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# Starbirth in Galaxy Collisions

## 1 Extreme environmental conditions

Stars rarely form in isolation. In fact, star formation in galaxies generally occurs in extended regions, where the fragmentation of the giant molecular clouds (GMCs) making up a significant fraction of a galaxy’s interstellar medium (ISM) leads to the (almost simultaneous) gravitational collapse of multiple GMC subclumps. It is well known that the vast majority of stars in the Milky Way, and in nearby galaxies out to distances where individual stars and a variety of star cluster-type objects can be resolved by high-resolution observations, are found in groups ranging from binary stars to “OB” or “T Tauri” associations (young star-forming regions dominated by a small number of massive stars), open cluster-type objects, compact, old “globular” and young massive clusters, to supermassive clusters often confusingly referred to as “super star clusters”. The nearest examples of these latter objects include the Milky Way star-forming region NGC 3603, and the giant starburst region 30 Doradus with its central star cluster R136 in the Large Magellanic Cloud.

In addition to a fraction of the more massive unbound OB associations, our Milky Way galaxy contains two main populations of gravitationally bound clusters with masses exceeding $`10^3\mathrm{M}_{}`$. The Milky Way’s globular cluster population, consisting of some 150 compact objects with a median mass of $`M_{\mathrm{cl}}3\times 10^5\mathrm{M}_{}`$ (e.g., Harris 1996, 2001), is predominantly old, with ages $`810`$ billion years. The much larger open cluster population (with a likely Galactic total number $`10^5`$), on the other hand, is dominated by significantly younger ages (although open clusters up to the lower age limit of the globular cluster population do exist) and lower masses ($`1010^4\mathrm{M}_{}`$). Although the older open clusters are undoubtedly gravitationally bound objects, their lower masses and more diffuse structures make them much more vulnerable to disk (and bulge) shocking when they pass through the Milky Way disk (or close to the bulge) on their orbits, thus leading to enhanced cluster evaporation. These objects are therefore unlikely globular cluster progenitors. It appears that the conditions for the formation of compact, massive star clusters – that have the potential to eventually evolve into globular cluster-type objects by the time they reach a similar age – are currently not present in the Milky Way, or at best to a very limited extent.

The production of luminous, massive yet compact star clusters seems to be a key feature of the most intense star-forming episodes. Such so-called “starbursts” normally occur at least once during the lifetimes of the vast majority of galaxies. The defining properties of young massive star clusters (with masses often significantly in excess of $`M_{\mathrm{cl}}=10^5\mathrm{M}_{}`$, i.e., the median mass of the abundant old globular clusters in the local Universe) have been explored in intense starburst regions in several dozen galaxies, often involved in gravitational interactions of some sort (e.g., Holtzman et al. 1992, Whitmore et al. 1993, O’Connell et al. 1994, Conti et al. 1996, Watson et al. 1996, Carlson et al. 1998, de Grijs et al. 2001, 2003a,b,c,d,e).

An increasingly large body of observational evidence suggests that a large fraction of the star formation in starbursts actually takes place in the form of such concentrated clusters, rather than in small-scale star-forming “pockets”. Young massive star clusters are therefore important as benchmarks of cluster formation and evolution. They are also important as tracers of the history of star formation of their host galaxies, their chemical evolution, the initial mass function (IMF; i.e., the proportion of low to high-mass stars at the time of star formation), and other physical characteristics in starbursts.

In a detailed study of the young star cluster population associated with the fading starburst region “B” in the prototype nearby starburst galaxy M82 (de Grijs et al. 2001), we concluded that the last tidal encounter between M82 and its large neighbour spiral galaxy M81, which occurred about $`500800`$ Myr ago (Brouillet et al. 1991, Yun 1999) had a major impact on what was probably an otherwise normal, quiescent, disk galaxy. It caused a concentrated starburst, resulting in a pronounced peak in the clusters’ age distribution, roughly 1 billion years ago (de Grijs et al. 2001, 2003c, Parmentier et al. 2003). The enhanced cluster formation decreased rapidly within a few hundred Myr of its peak. However, general (“field”) star formation activity continued in the galactic disk of M82’s region B, probably at a much lower rate, until $`20`$ Myr ago.

The evidence for the decoupling between cluster and field star formation is consistent with the view that star cluster formation requires special conditions, such as large-scale gas flows, in addition to the presence of dense gas (cf. Ashman & Zepf 1992, Elmegreen & Efremov 1997). Such conditions occur naturally in the extreme environments of colliding or otherwise gravitationally interacting galaxies.

Using optical observations of the “Mice” and “Tadpole” interacting galaxies (NGC 4676 and UGC 10214, respectively; see Fig. 1) – based on a subset of the Early Release Observations obtained with the Advanced Camera for Surveys on board the Hubble Space Telescope – and the novel technique of pixel-by-pixel analysis of their colour-colour and colour-magnitude diagrammes, we deduced the systems’ star and star cluster formation histories (de Grijs et al. 2003e).

In both of these interacting systems we find several dozen bright (and therefore massive) young star clusters (or, alternatively, compact star forming regions), which overlap spatially with regions of active star formation in the galaxies’ tidal tails and spiral arms (from a comparison with H$`\alpha `$ observations that trace active star formation; Hibbard & van Gorkom 1996). We estimate that the main gravitational interactions responsible for the formation of these clusters occurred $`150200`$ Myr ago.

In fact, we show that star cluster formation is a major mode of star formation in galactic interactions, with $`35`$% of the active star formation in encounters occurring in star clusters (de Grijs et al. 2003e). The tidal tail of the Tadpole system is dominated by star forming regions, which occupy some 60% of the total area covered by the tail; they contribute $`70`$% of the total flux in our bluest filter (decreasing to $`40`$% in the reddest filter; see Fig. 1, bottom row). If the encounter occurs between unevenly matched, gas-rich galaxies then, as expected, the effects of the gravitational interaction are much more pronounced in the smaller galaxy. For instance, when we compare the impact of the interaction as evidenced by star cluster formation between M82 (de Grijs et al. 2001, 2003b,c) and M81 (Chandar et al. 2001), or the star cluster formation history in the “Whirlpool Galaxy” M51 (Bik et al. 2003), which is currently in the process of merging with the smaller spiral galaxy NGC 5194, the evidence for enhanced cluster formation in the larger galaxy is minimal if at all detectable.

The NGC 6745 system (the “Bird’s Head Galaxy”; Fig. 2) represents a remarkably violently star-forming interacting pair of unevenly matched galaxies. The optical morphology of NGC 6745, and in particular the locations of the numerous bright blue star-forming complexes and compact cluster candidates, suggest a recent tidal passage by the small northern companion galaxy (NGC 6745c; nomenclature from Karachentsev et al. 1978) across the eastern edge of the main galaxy, NGC 6745a. The high relative velocities of the two colliding galaxies likely caused “ram pressure” at the surface of contact between both galaxies, which – in turn – is responsible for the triggering of enhanced star and cluster formation, most notably in the interaction zone in between the two galaxies, NGC 6745b (cf. de Grijs et al. 2003a). The smaller galaxy, however, does not show any significant enhanced cluster formation, which is most likely an indication that it contains very little gas.

For the NGC 6745 young cluster system we derive a median age of $`10`$ Myr. Based on the age distribution of the star clusters, and on the Hi morphology of the interacting system (from high-resolution observations with the Very Large Array), we confirm the interaction-induced enhanced cluster formation scenario once again. NGC 6745 contains a significant population of high-mass clusters, with masses in the range $`6.5\mathrm{log}(M_{\mathrm{cl}}/\mathrm{M}_{})8.0`$. These clusters do not have counterparts among the Milky Way globular clusters (e.g., Mandushev et al. 1991, Pryor & Meylan 1993), but are similar to or exceed the spectroscopically confirmed mass estimates of the “super star clusters” (SSCs) in M82 (e.g., M82 F and L; see Smith & Gallagher 2001) and the Antennae galaxies (Mengel et al. 2002). We caution, however, that these massive SSC candidates may not be gravitationally bound objects, but more diffuse star forming regions or aggregates of multiple unresolved clusters instead. Nevertheless, we measure a very compact “effective” radius (i.e., the radius within which half of an object’s light is contained) for the most massive object ($`M_{\mathrm{cl}}5.9\times 10^8\mathrm{M}_{}`$) of only $`R_{\mathrm{eff}}16`$ pc. However, this object appears very elongated, or may in fact be a double cluster. We should also keep in mind that this high mass estimate is a strong function of the (low) metallicity assumed; if we had assumed (higher) solar metallicity for this object, the derived age would have been significantly smaller ($`1020`$ Myr vs. $`1`$ Gyr assumed in our study), and the mass could be smaller by a factor of $`\begin{array}{c}>\\ \end{array}10`$. Even so, if we could confirm this mass estimate spectroscopically, either of the subcomponents would be the most massive cluster known to date, significantly exceeding cluster W3 in NGC 7252, which has a mass of about $`(318)\times 10^7\mathrm{M}_{}`$, depending on the age, metallicity and IMF assumed (Schweizer & Seitzer 1998; Maraston et al. 2001). Our detection of such massive SSCs in NGC 6745, which are mostly located in the intense interaction zone, supports the scenario that such objects form preferentially in the extreme environments of interacting galaxies.

## 2 An evolutionary connection?

The (statistical) derivation of galaxy formation and evolution scenarios using their star cluster systems as tracers is limited to the study of integrated cluster properties (such as their luminosities, sizes, masses, ages and metallicities) for all but the nearest galaxies, even at Hubble Space Telescope spatial resolution.

The question remains, therefore, whether or not at least a fraction of the young compact star clusters seen in abundance in extragalactic starbursts, are potentially the progenitors of globular cluster-type objects in their host galaxies. If we could settle this issue convincingly, one way or the other, the implications of such a result would have profound and far-reaching implications for a wide range of astrophysical questions, including (but not limited to) our understanding of the process of galaxy formation and assembly, and the process and conditions required for star (cluster) formation. Because of the lack of a statistically significant sample of similar nearby objects, however, we need to resort to either statistical arguments or to the painstaking approach of one-by-one studies of individual objects in more distant galaxies, as outlined below. With the ever increasing number of large-aperture ground-based telescopes equipped with state-of-the-art high-resolution spectroscopic detectors and the wealth of observational data provided by the Hubble Space Telescope we may now be getting close to resolving this important issue. It is of paramount importance, however, that theoretical developements go hand in hand with observational advances.

The present state-of-the-art teaches us that the sizes, luminosities, and – in several cases – spectroscopic mass estimates of most (young) extragalactic star cluster systems are fully consistent with the expected properties of young Milky Way-type globular cluster progenitors (e.g., Meurer 1995, van den Bergh 1995, Ho & Filippenko 1996a,b, Schweizer & Seitzer 1998, de Grijs et al. 2001, 2003d). For instance, for the young massive star cluster system in the centre of the nearby starburst spiral galaxy NGC 3310, we find a median mass of $`\mathrm{log}(M_{\mathrm{cl}}/\mathrm{M}_{})=5.24\pm 0.05`$ (de Grijs et al. 2003d); their mass distribution is characterised by a Gaussian width of $`\sigma _{\mathrm{Gauss}}0.33`$ dex. In view of the uncertainties introduced by the poorly known lower-mass slope of the stellar IMF ($`m_{}0.5\mathrm{M}_{}`$; see below), our median mass estimate of the NGC 3310 cluster system – which was most likely formed in a (possibly extended) global burst of cluster formation $`3\times 10^7`$ yr ago – is remarkably close to that of the Milky Way globular cluster system (cf. de Grijs et al. 2003d; Fig. 3).

\[Recent determinations of the stellar IMF deviate significantly from a (solar neighbourhood-like) Salpeter-type IMF at low masses, in the sense that the low-mass stellar IMF may well be significantly flatter than the Salpeter slope. The implication of using a Salpeter-type IMF for our cluster mass determinations is therefore that we may have overestimated the individual cluster masses (although the relative mass distributions of our cluster samples remain unaffected). Therefore, from a comparison with the more modern IMF parametrisation of Kroupa, Tout & Gilmore (1993) we derive that – depending on the adopted slope for the lowest mass range, below $`m_{}=0.08\mathrm{M}_{}`$ – we may have overestimated our individual cluster masses by a factor of $`1.52.4`$.\]

However, the postulated evolutionary connection between the recently formed massive star clusters in regions of violent star formation and starburst galaxies, and old globular clusters similar to those in the Milky Way, the Andromeda galaxy, the giant elliptical galaxy M87 at the centre of the Virgo cluster, and other old elliptical galaxies is still a contentious issue. The evolution and survivability of young clusters depend crucially on the stellar IMF of their constituent stars (cf. Smith & Gallagher 2001): if the IMF is too shallow, i.e., if the clusters are significantly depleted in low-mass stars compared to (for instance) the solar neighbourhood, they will disperse within a few orbital periods around their host galaxy’s centre, and likely within about a billion years of their formation (e.g., Smith & Gallagher 2001, Mengel et al. 2002).

Ideally, one would need to obtain (i) high-resolution spectroscopy (e.g., with 8m-class ground-based telescopes) of all clusters in a given cluster sample in order to obtain dynamical mass estimates (we will assume, for the purpose of the present discussion, that our young clusters can be approximated as systems in full virial equilibrium, so that the widths of their absorption lines reflect the clusters’ internal velocity dispersions and therefore their masses) and (ii) high-resolution imaging (e.g., with the Hubble Space Telescope) to measure their luminosities. One could then estimate the mass-to-light (M/L) ratios for each cluster, and their ages from the features in their spectra. The final, crucial analysis would involve a direct comparison between the clusters’ locations in the M/L ratio vs. age diagramme with models of so-called “simple stellar populations” (i.e., stellar populations of a single metallicity formed in an instantaneous burst of star formation) governed by a variety of IMF descriptions (cf. Smith & Gallagher 2001, Mengel et al. 2002).

However, individual young star cluster spectroscopy, feasible today with 8m-class telescopes for the nearest systems, is very time-consuming, since observations of large numbers of clusters are required to obtain statistically significant results. Instead, one of the most important and most widely used diagnostics, both to infer the star (cluster) formation history of a given galaxy, and to constrain scenarios for its expected future evolution, is the distribution of cluster luminosities, or – alternatively – their associated masses, commonly referred to as the cluster luminosity and mass functions (CLF, CMF), respectively.

Starting with the seminal work by Elson & Fall (1985) on the young cluster system in the Large Magellanic Cloud (with ages $`2\times 10^9`$ yr), an ever increasing body of evidence, mostly obtained with the Hubble Space Telescope, seems to imply that the CLF of young star clusters (YSCs) is well described by a power law of the form $`N_{\mathrm{YSC}}(L)\mathrm{d}LL^\alpha \mathrm{d}L`$, where $`N_{\mathrm{YSC}}(L)\mathrm{d}L`$ is the number of YSCs with luminosities between L and $`L+\mathrm{d}L`$, and $`2\alpha 1.5`$ (e.g., Elson & Fall 1985, Elmegreen & Efremov 1997, Whitmore et al. 2002, Bik et al. 2003, see also Elmegreen 2002). On the other hand, for the old globular cluster systems in the local Universe, with ages $`10`$ billion years, the CLF shape is well established to be roughly Gaussian (Whitmore et al. 1995, Harris 1996, 2001, Harris et al. 1998). This shape (characterised by its peak – or turn-over – magnitude and width) is almost universal, showing only a weak dependence on the metallicity and mass of the host galaxy (e.g., Harris 1996, 2001, Whitmore et al. 2002).

This type of observational evidence has led to the popular – but thus far mostly speculative – theoretical prediction that not only a power-law, but any initial CLF (and CMF) will be rapidly transformed into a Gaussian distribution because of (i) stellar evolutionary fading of the lowest-luminosity (and therefore lowest-mass) clusters to below the detection limit; and (ii) disruption of the low-mass clusters due both to interactions with the gravitational field of the host galaxy, and to cluster-internal two-body relaxation effects (such as caused by star-star collisions and the resulting redistribution of mass inside the cluster) leading to enhanced cluster evaporation (e.g., Elmegreen & Efremov 1997, Gnedin & Ostriker 1997, Ostriker & Gnedin 1997, Fall & Zhang 2001).

We recently reported the first discovery of an approximately Gaussian CLF (and CMF) for the star clusters in M82 B formed roughly simultaneously in a pronounced burst of cluster formation (Fig. 3, top). This provides the very first sufficiently deep CLF (and CMF) for a star cluster population at intermediate age (of $`1`$ billion years), which thus serves as an important benchmark for theories of the evolution of star cluster systems.

The shape of the CLF (CMF) of young cluster systems has recently attracted renewed theoretical and observational attention. Various authors have pointed out that for young star clusters exhibiting an age range, one must first correct their CLF to a common age before a realistic assessment of their evolution can be achieved (e.g., Meurer 1995, Fritze–v. Alvensleben 1998, 1999, de Grijs et al. 2001, 2003b,c). This is particularly important for young cluster systems exhibiting an age spread that is a significant fraction of the system’s median age, because of the rapid evolution of the colours and luminosities of star clusters at young ages (below $`1`$ Gyr). Whether the observed power laws of the CLF and CMF for young star cluster systems are intrinsic to the cluster population or artefacts due to the presence of an age spread in the cluster population – which might mask a differently shaped underlying distribution – is therefore a matter of debate (see, e.g., Carlson et al. 1998, Zhang & Fall 1999, Vesperini 2000, 2001).

Nevertheless, the CLF shape and characteristic luminosity of the M82 B cluster system is nearly identical to that of the apparently universal CLFs of the old globular cluster systems in the local Universe (e.g., Whitmore et al. 1995, Harris 1996, 2001, Ashman & Zepf 1998, Harris et al. 1998). This is likely to remain virtually unchanged for a Hubble time (i.e., the present age of the Universe, defined as $`H_0^1`$, where $`H_0`$ is the Hubble constant), if the currently most popular cluster disruption models hold. With the very short characteristic cluster disruption time-scale governing M82 B (see below), its cluster mass distribution will evolve towards a higher characteristic mass scale than that of the Milky Way globular cluster system by the time it reaches a similar age. Thus, this evidence, combined with the similar cluster sizes (de Grijs et al. 2001), lends strong support to a scenario in which the current M82 B cluster population will eventually evolve into a significantly depleted old Milky Way-type globular cluster system dominated by a small number of high-mass clusters. This implies that globular clusters, which were once thought to be the oldest building blocks of galaxies, are still forming today in galaxy interactions and mergers. However, they will likely be more metal-rich than the present-day old globular cluster systems. This is simply so because, at the formation epoch of the current generation of old globular clusters, the metal content of their host galaxies’ ISM was still close to primordial, and therefore almost pristine; in the generally accepted scenario of the origin of globular clusters, the globular clusters in the local Universe were formed before significant star formation had occurred in their host galaxies, so that their source material was not yet “polluted” by recycled material from evolved stars. On the other hand, clusters being formed today are formed from interstellar material that must have undergone at least a few cycles of stellar evolution (i.e., star birth and death, including stellar mass loss through stellar winds and supernova explosions, both of which processes replenish the ISM; the time-scale arguments are based on the lifetimes of the higher-mass stars compared to those of their host galaxies as such).

The connection between young or intermediate-age star cluster systems, as in M82 B, and old globular clusters lends support to the hierarchical galaxy formation scenario. Old globular clusters were once thought to have been formed at the time of, or before, galaxy formation, i.e., during the first galaxy mergers and collisions. However, we have now shown that the evolved CLF of the compact star clusters in M82 B most likely to survive for a Hubble time will probably resemble the high-mass wing of the “universal” old globular cluster systems in the local Universe. Proto-globular cluster formation thus appears to be continuing until the present.

## 3 What determines the observed cluster masses?

The observed CLF, and its corresponding CMF, is the result of both the original mass distribution of the young star clusters and the GMCs they originated from, and subsequent cluster disruption processes (e.g., Harris & Pudritz 1994, Bik et al. 2003, Boutloukos & Lamers 2003, de Grijs et al. 2003a,c)

The apparent formation rate of the observed clusters in M82 B, i.e., the number of clusters per unit age range, shows a gradual increase to younger ages, reaching a maximum at the present time (see Fig. 4). This shows that cluster disruption must have removed a large fraction of the older clusters from the observed CLF (over and above the expected effects of evolutionary fading of the stellar population, shown by the dotted line), assuming that the cluster formation rate has been roughly constant over the lifetime of the galaxy (but see below).

The (initial) masses of the young clusters in M82 B brighter than our observational completeness limit are mostly in the range $`10^410^6\mathrm{M}_{}`$, with a median mass of $`10^5\mathrm{M}_{}`$ (de Grijs et al. 2001, 2003b,c). If the initial mass spectrum (i.e., the CMF) of the clusters formed at the burst epoch was a power law (as expected from observations of very young star cluster systems), disruption effects have transformed it into a broader and flatter distribution on time-scales up to the system’s present lifetime, of $`1`$ Gyr. This has, in fact, been predicted by, e.g., Fall & Zhang (2001) based on theoretical cluster disruption models.

Adopting a mass-dependent cluster disruption time-scale, $`t_{\mathrm{dis}}`$, in M82 B (i.e., $`t_{\mathrm{dis}}M_{\mathrm{cl}}^\gamma `$, with $`\gamma `$ being the power-law coefficient), and assuming instantaneous cluster disruption (Boutloukos & Lamers 2003; we realise that this is a physically unrealistic assumption, but a more detailed, time-dependent treatment of cluster disruption shows that this is in fact a reasonable approximation), we find that the ratios between the real cluster formation rates in the pre-burst phase ($`\mathrm{log}[t/\mathrm{yr}]9.4`$), the burst phase ($`8.4<\mathrm{log}[t/\mathrm{yr}]<9.4`$) and the post-burst phase ($`\mathrm{log}[t/\mathrm{yr}]8.4`$) are roughly $`1:2:\frac{1}{40}`$ (de Grijs et al. 2003c). The formation rate during the burst may have been higher if the actual duration of the burst was shorter than adopted: uncertainties in the age determinations based on broad-band colours may have broadened the peak (de Grijs et al. 2001, 2003b,c). The cluster formation rate in the post-burst phase is much lower than in the pre-burst phase because the burst has consumed a large fraction of the available GMCs, leaving little material for cluster formation in the post-burst phase (a similar effect is seen in NGC 1569, see below).

For the young star cluster systems in NGC 3310 and NGC 6745, for which their respective characteristic cluster disruption time-scales (defined as the mass-dependent disruption time-scale for a $`10^4\mathrm{M}_{}`$ cluster) are significantly longer than the age of the starbursts in which they were formed, the application of the empirical cluster disruption models of Boutloukos & Lamers (2003) results in an independent estimate of the initial cluster mass function slope, $`\alpha `$. For the NGC 3310 and NGC 6745 cluster systems, this slope $`\alpha =2.04(\pm 0.23)_{0.43}^{+0.13}`$ and $`1.96(\pm 0.15)\pm 0.19`$, respectively, for masses $`M_{\mathrm{cl}}10^5\mathrm{M}_{}`$ and $`M_{\mathrm{cl}}4\times 10^5\mathrm{M}_{}`$ (de Grijs et al. 2003a). Here, the first uncertainty represents the formal uncertainty in the fit and the second the likely uncertainty resulting from our choice of fitting range. These mass function slopes are consistent with those of other young star cluster systems in interacting and starburst galaxies, circumnuclear starburst rings, and of the Hii region luminosity (and mass) functions in “normal” spiral and irregular galaxies (see de Grijs et al. 2003a for an overview). They are also very similar to the mass function slopes of Galactic open clusters and (OB) associations, of GMCs and their cores (although recent observational evidence seems to indicate that the GMC mass distribution in some galaxies in the local Universe, in particular in M33, may be significantly deviating from that in the Milky Way and M31; cf. Engargiola et al. 2003), and of the young compact clusters in the Large Magellanic Cloud (Elson & Fall 1985, Elmegreen & Efremov 1997, Whitmore et al. 2002, Bik et al. 2003).

Although it now appears that in the strong tidal fields of interacting galaxies, and in the larger quiescent spirals and ellipticals, the process of cluster formation and their resulting mass distribution may be comparable, with $`\alpha 2`$, the interplay between the tidal field and gas supply in the smaller starburst dwarf galaxies is clearly more complicated. For instance, the young star cluster system in the nearby dwarf starburst galaxy NGC 1569, mostly formed in the last $`25`$ Myr (Anders et al. 2003), consists of two (possibly three; Hunter et al. 2000) well-known, massive SSCs, in addition to a large number of lower-mass objects more similar in their properties to Galactic open clusters. These objects may not survive for any significant amount of time. This is supported by the observed change in the CMF as the (current) burst proceeds (Anders et al. 2003), which is in the sense expected for slowly dispersing open cluster-type objects. It is therefore likely that the initial burst of cluster formation in NGC 1569 formed the massive SSCs, thereby depleting the gas supply for continuing massive cluster formation – the most recently formed objects are without exception of open cluster or OB association appearance.

In summary, in this review I have shown that young, massive star clusters are the most significant end products of violent star-forming episodes (starbursts) triggered by galaxy collisions and gravitational interactions in general. Their contribution to the total luminosity induced by such extreme conditions dominates, by far, the overall energy output due to the gravitationally-induced star-formation. The general characteristics of these newly-formed clusters (such as their ages, masses, luminosities, and sizes) suggest that at least a fraction may eventually evolve into equal, or perhaps slightly more massive, counterparts of the abundant old globular cluster systems in the local Universe, although they will likely be more metal rich than the present generation of globular clusters. Establishing whether or not such an evolutionary connection exists requires our detailed knowledge of not only the physics underlying the evolution of “simple” stellar populations (i.e., idealised model clusters), but also that of cluster disruption in the time-dependent gravitational potentials of interacting galaxies. Initial results seem to indicate that proto-globular clusters do indeed continue to form today, which would support hierarchical galaxy formation scenarios. Settling this issue conclusively will have far-reaching consequences for our understanding of the process of galaxy formation and assembly, and of star formation itself, both of which processes are as yet poorly understood.

## Globular clusters

(Inset in a separate box)

The globular clusters in the Milky Way and most other large nearby spiral and elliptical galaxies are thought to represent a fossil record of the conditions at the time of galaxy formation. Their large ages, combined with their generally low metal content, suggest that they were formed from largely unpolluted – pristine – material, and therefore before significant star formation and stellar evolution had taken place in their host galaxies. They are thus often assumed to be the oldest galactic building blocks.

Globular clusters play a key role in astronomy: starting with John Herschel in the 1830s, later followed by Shapley in 1917, the Milky Way globulars have been instrumental in mapping the three-dimensional structure of our Galaxy. Using variable stars in globular clusters, Shapley derived the distance to the Galactic Centre for the first time. Although he based his distance estimate on the incorrect assumption that the variable stars he detected were Cepheids (while in fact they were RR Lyrae stars), thus leading to an overestimate of the Galactic Centre distance by a factor of $`2`$, his work was of key importance to our understanding that the Galactic Centre is far away from the Sun. In fact, ever since globular clusters have been used extensively as the basis for the extragalactic distance scale, by either using features based on resolved stars (such as the “turn-off magnitude” in the observational Hertzsprung-Russell diagramme, RR Lyrae variables, or the white dwarf cooling sequence) or using the integrated globular cluster properties as a whole (e.g., by using the globular cluster luminosity function as a “standard candle”, although its use – and reliability – is still controversial at present).

From an astrophysical point of view, globular clusters constitute unique laboratories for the study of stellar evolution and of the dynamics of dense stellar systems: they are essentially single-age (i.e., almost instantaneously formed), single-metallicity “simple” stellar populations of several $`\times 10^5`$ stars, thus providing statistically useful samples of even relatively rare objects (such as blue stragglers, various types of variable stars, planetary nebulae, white dwarfs, neutron stars and other X-ray sources, among others). Furthermore, dynamical processes such as two or multiple-body relaxation, core collapse, and mass segregation can be traced very robustly using the resolved stelalr content of globular clusters in the Milky Way and our nearest galactic neighbours.


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# XMM-Newton Observation of Fe K𝛼 emission from a BAL QSO: Mrk 231

## 1 Introduction - the BAL QSO phenomenon

The ejection of matter at moderate to high velocities appears to be a common phenomenon in Active Galactic Nuclei (AGN). Details of the accretion and ejection processes provide fundamental insight into the fueling of the AGN, and the effect of an active nucleus on its environment. Moderate velocity (hundreds of km s-1) outflows have been observed in many Seyfert 1 galaxies (e.g. Kaspi et al. 2002). Broad Absorption Line Quasars (BAL QSOs) are the high-velocity systems, showing blueshifted optical and UV absorption lines from resonant transitions of ionized species such as Civ, Siv, Nv and Ovi. Fabian (1999) suggested that BAL QSOs are in an early evolutionary phase when the mass of gas around a black hole is beginning to get blown away to reveal a QSO.

The BAL absorption lines are thought to arise in radiatively-driven material along the line-of-sight, with outflow velocities in the range 5000-30,000 km s-1 (e.g. Turnshek et al. 1988). BAL QSOs comprise $`8\%`$ of the high-luminosity QSOs (see Weyman 1997 for an overview). Models for BAL QSOs seek to explain how gas gets accelerated to the observed velocities. Suggestions have included a scenario where gas and radiation pressure lift material from the photosphere of the accretion disk and this gas is illuminated by radiation from the inner disk/corona (Murray et al., 1995). That nuclear photon flux then accelerates the wind outwards. As the inner edge of the wind is thought to be quite close to the central source, some “shielding” gas has been invoked to prevent the wind material becoming stripped, and difficult to drive. This gas is thought to be highly-ionized and have column density in the range $`N_H=10^{22}10^{24}\mathrm{cm}^2`$. Proga et al. (2000) found that a layer of shielding gas arises naturally in their models for BAL winds. An alternative suggestion is that the outflow consists of dense clouds that are magnetically confined and that have small filling factor (Arav, Li & Begelman, 1994).

Constraints to date on the BAL gas location and mass-loss rates have been based on the UV and optical data. X-rays may be the key to understanding BAL QSOs as they offer the opportunity to probe closer to the nucleus than studies in the optical and UV bands. Interesting X-ray results have recently emerged with detection of some broad absorption features from the lensed QSO, APM 082769$`+5255`$ (Chartas et al., 2002), indicating an origin in gas components outflowing at $`0.20.4`$c. However, BAL QSOs are very faint, and detection of significant spectral features in the X-ray band has been rare to date. For example, while Fe K$`\alpha `$ emission is commonly seen in Seyfert 1 galaxies (e.g. Nandra et al. 1997) and valued as an indicator of conditions very close to the black hole, this line has been detected in just a few BAL QSOs, e.g. the gravitationally-lensed ‘Cloverleaf’ QSO, H$`1413+117`$ (Oshima et al., 2001). Here we report on a brief XMM-Newton (hereafter XMM) observation of the BAL QSO Mrk 231, yielding a rare detection of an Fe K$`\alpha `$ emission line.

## 2 The Properties of Mrk 231

Mrk 231 (z=0.042) is an ultraluminous infrared galaxy (ULIRG) and one of the strongest known Feii emitters. Furthermore, Mrk 231 has one of the highest bolometric luminosities in the local (z $`<`$ 0.1) universe with $`L_{81000\mu m}4\times 10^{12}L_{}`$ and $`L_{BOL}>10^{46}\mathrm{erg}\mathrm{s}^1`$ (Soifer et al., 1987). Bryant & Scoville (1996) find that starburst activity can only account for 40% of the IR luminosity in Mrk 231, an active nucleus appears to provide the rest of the energy. Another extreme property of Mrk 231 is its high polarization, $`20\%`$ at 2800 Å (e.g. Smith et al. 1995), most likely due to scattering by dust. Broad optical emission lines are observed similar to those defining the Seyfert 1 class. However, no narrow emission lines are seen except for O`[`ii`]` $`\lambda 3727`$. The absence of narrow emission lines is sometimes observed in quasi-stellar objects (QSOs) but rarely in Seyfert galaxies, this, and the high bolometric luminosity of Mrk 231 supported the idea that the nucleus of this source is similar to a QSO. This O`[`ii`]` emission line is consistent with production in gas which is ionized by hot young stars (Smith et al., 1995) rather than by ultraviolet radiation from the nucleus. This possibility seems attractive since the nuclear UV, extreme-UV and soft X-ray photons are likely to be heavily attenuated by the dense circumnuclear absorber, i.e. the narrow-line gas may not receive ionizing radiation.

Boroson et al. (1991), Rudy et al. (1985) and Rupke et al. (2002) are among those discussing several distinguishable Broad Absorption Line (BAL) systems evident in optical and UV observations of Mrk 231. The most prominent is defined by Nai, Caii and Hei lines originating in gas with an outflow velocity $`4200\mathrm{km}\mathrm{s}^1`$ relative to the line emission seen in the source. Other systems appear and disappear between observing epochs, showing velocities from $`200\mathrm{km}\mathrm{s}^1`$ inflow to $`8000\mathrm{km}\mathrm{s}^1`$ outflow (e.g. Boroson et al. 1991; Kollatschny, Dietrich & Hagan 1992; Forster et al. 1995). Rudy et al. (1985) showed that the shapes of absorption features and velocities in the absorbing gas systems of Mrk 231 are the same as those observed in BAL QSOs and suggested the gas is probably accelerated by the same mechanism. Nevertheless, the nature of the absorbing systems in Mrk 231 continued to be debated. The width of the Civ resonance line is used as a key indicator of the BAL nature of an AGN (Weyman, 1997). Heavy reddening has made that line width difficult to constrain in Mrk 231 until an HST spectrum settled the case in favor of a BAL QSO designation (Gallagher et al. 2002; hereafter G02). Most BAL systems are dominated by high-ionization species, only $`15`$% have absorption by low-ionization systems such as Mgii$`\lambda \lambda 2796`$ and 2803, Alii$`\lambda \lambda 1671`$, Aliii$`\lambda \lambda 1855`$ and 1863 and Cii$`\lambda \lambda 1335`$ (Voit, Weymann & Korista, 1993). In addition to these low-ionization systems, Mrk 231 shows even rarer absorption lines, such as NaiD, Hei$`\lambda 3889`$ and Mgi$`\lambda 2853`$. While Mrk 231 does show some of the high-ionization systems (G02) it is dominated by the low-ionization systems; the Mgii absorption in particular, places Mrk 231 into the so-called LoBAL subclass of low-ionization BAL QSOs.

### 2.1 Previous X-ray Observations of Mrk 231

The ROSAT High Resolution Instrument (HRI) showed extended soft X-ray emission consistent with the extent of the host galaxy ($`10^{\prime \prime }`$; Turner 1999), confirmed using Chandra (G02). An early ASCA observation (Iwasawa, 1999; Turner, 1999) showed a flat spectrum but with insufficient counts to distinguish between absorption or reflection models. In this paper we use the term “reflection” to refer to reprocessing of photons via Compton scattering and fluorescence by material which is optically-thick to electron scattering. We use the term “scattering” to refer to the case where the optical depth to electrons is $`0<\tau <1`$. A longer ASCA observation (Maloney & Reynolds 2000; hereafter MR) suggested the X-ray spectrum to be dominated by reflected plus scattered nuclear emission with a large absorbing column in the line-of-sight. Thus MR suggested a Seyfert 2 type geometry and orientation for Mrk 231, with the accretion-disk system surrounded by a shell of absorbing gas $`N_H3\times 10^{22}\mathrm{cm}^2`$ which covers direct and reflected/scattered components. The shell may block ionizing radiation from the optical narrow-line region, while allowing hard X-rays to penetrate. G02 find significant variability in the hard X-ray flux, and suggested nuclear X-rays are hidden by a Compton-thick cloud (Fig 12 of G02) existing on size-scales $`<10^{15}`$cm, while scattered X-rays from multiple lines-of-sight reach the observer. In the context of the MR model the hard X-rays could vary if the reprocessor were suitably small. This may be reasonable for a source like Mrk 231, radiating at a large fraction of the Eddington luminosity, as the inner disk may puff up into a funnel (Rees, 1984) yielding a reflector surface consistent with the size implied by variability in this case. Smith et al. (1995) suggest there may be a superposition of two polarized components in Mrk 231, supporting the importance of scattering in this system.

## 3 The XMM-Newton Observation

### 3.1 Data Reduction

An XMM observation of Mrk 231 was performed starting 2001 June 7 UT 13:10:24 with an exposure time of $`22`$ ks. Here we present analysis of the archived XMM data from that observation. EPIC data were processed using SASS 5.4. EPIC pn and MOS data utilized the medium filter and the prime full window. The EPIC data were screened to remove hot and bad pixels, and some brief periods of high background counts. Instrument patterns 0 – 12 (MOS) and 0 – 4 (pn) were selected. The screening criteria resulted in an effective exposure of 21.4 ks for the MOS and pn data. The background-subtracted count rates were $`0.0391\pm 0.0014`$ (MOS1), $`0.0389\pm 0.0014`$ (MOS2) and $`0.130\pm 0.0028`$ (pn) over the 0.3-10.0 keV band. Spectra and time series were extracted from a cell of radius $`30^{\prime \prime }`$ centered on the source. Background spectra were extracted from nearby, source-free regions of MOS and pn, the background was $`6`$% of the source count rate. Unfortunately this brief exposure accumulated only 400 source counts in the combined arms of the RGS data, insufficient for spectral analysis.

### 3.2 EPIC Results

XMM data showed Mrk 231 to have an observed flux $`F_{210keV}6.2\times 10^{13}\mathrm{erg}\mathrm{cm}^2\mathrm{s}^1`$, during the June 2001 observation, corresponding to an observed luminosity $`L_{210keV}2\times 10^{42}\mathrm{erg}\mathrm{s}^1`$ (assuming $`H_0=75`$ km s-1 Mpc-1, $`q_0=0.5`$ throughout). The 2 - 8 keV flux ($`5\times 10^{13}\mathrm{erg}\mathrm{cm}^2\mathrm{s}^1`$) is consistent with that reported by G02. We found no significant variations in X-ray flux within this short XMM exposure.

The overall spectral shape is complex. Several previous papers have discussed the difficulty in distinguishing between models where the active nucleus is covered by a patchy and/or ionized absorber (Iwasawa, 1999; Turner, 1999) and those where the spectrum is dominated by a reflected component (MR). This XMM exposure is brief and the data do not allow us to determine the precise contributions of reflected and absorbed continua to the overall spectrum. However, progress is possible as the pn spectrum shows two prominent emission lines (Fig 1) plus emission consistent with a blend of lines from the (previously suspected) thermal component peaking between 0.5 - 1 keV (Iwasawa 1999; Turner 1999; Gallagher et al. 2002, MR). EPIC data show some evidence for absorption-like features at $`1.1`$, 1.6 and $`2.4`$ keV. The latter appears only in pn data and is probably an instrumental effect. For the others, the low S/N combined with the modest energy resolution leads to ambiguity between emission and absorption features. These may be absorption features due to Fe, but these data do not allow an unambiguous determination.

One of the most obvious features in the pn data is immediately identified with emission from the K-shell of Fe. The pn detects 30 counts in the line during this exposure. The MOS spectra have far fewer counts and the line is not significantly detected in those (although the data are consistent with the pn results). Thus we used only the pn data to derive the line parameters given below. Detection of an Fe line in the EPIC spectrum from Mrk 231 is also reported within the analysis of a sample of Ultra-Luminous Infrared Galaxies performed by Franceschini et al. (2003).

First we fit the Fe K$`\alpha `$ line relative to a ‘local’ continuum parameterized as a powerlaw between 4 – 9 keV, absorbed by the galactic line-of-sight column ($`N_H=1.27\times 10^{20}\mathrm{cm}^2`$). This yielded $`\mathrm{\Gamma }1.01_{0.38}^{+0.39}`$, indicative of complex absorption and/or a contribution from reflection, as previously found for this source. We measured an observed-energy for the emission line $`E=6.23\pm 0.12`$ keV, corresponding to a rest-energy $`E=6.49\pm 0.12`$ keV correcting for the systemic velocity of the host galaxy. The line width was $`\sigma =0.17_{0.11}^{+0.12}`$ keV with flux $`n=3.85_{1.86}^{+2.11}\times 10^6`$ photons cm-2 s-1 and the luminosity in the line was $`L_{FeK}=1.3\times 10^{41}\mathrm{erg}\mathrm{s}^1`$. The lower limit of $`\sigma =60`$ eV means the Fe K$`\alpha `$ line has a significant breadth. (Errors are 90% confidence.) The line equivalent width is $`450_{204}^{+229}`$ eV relative to the local continuum. For comparison the spectral resolution of the pn at 6.4 keV is $`\sigma 50`$ eV. Fig 1 shows the data compared to lines denoting the expected observed energies of an emission line from neutral Fe, along with the energy of the Fe K edge which would arise in the same gas, both assumed to be observed at the redshift of the host galaxy. While a dip is evident at the energy where an edge is expected, addition of an edge did not improve the fit significantly.

For comparison, we fit the line relative to a “pure reflection” model for data in the 2 - 10 keV band (as suggested by MR). This fit utilized the pexrav model (Magdziarz & Zdziarski, 1995) from xspec. Fits were attempted assuming disk inclination angles of 45o and $`0^\mathrm{o}`$ (face-on). The (unseen) powerlaw was assumed to be $`\mathrm{\Gamma }=2.0`$ and to turn-over at 100 keV. Fits using the former disk orientation gave $`\chi ^2=103/97dof`$ and a line equivalent width $`EW=202_{202}^{+208}`$ eV relative to the reflected continuum, while a face-on disk yielded $`\chi ^2=103/97dof`$, $`EW=139_{139}^{+221}`$. The best-fit equivalent width in either case is lower than that found relative to the absorbed powerlaw because the edge in the reflected continuum contributes to the curvature just above 6.4 keV, and so fewer photons are attributed to the line. In these two (pure reflection) disk models the best-fit line strength is about 10% of the strength expected, relative to the reflected continuum (George & Fabian, 1991). Thus the line strength is low compared to the model in this picture. As the discrepancy is in the ratio of reflected line to reflected continuum, we can extend this result to a range of geometries. The line is too weak relative to the reflected continuum if reflection occurs from either a disk or a distribution of clouds.

Alternative fits were attempted, which utilized both transmitted and reflected components, with an unconstrained absorber covering both. First we considered the face-on disk. We fixed the reflection to that expected from a flat disk illuminated by an isotropic source ($`R=1`$ in pexrav). This yielded $`\chi ^2=93/97dof`$ with a flat photon index $`\mathrm{\Gamma }=1.14_{0.75}^{+0.48}`$, $`N_H=2.69_{1.57}^{+2.41}\times 10^{22}\mathrm{cm}^2`$, indicating additional, but undeterminable complexity to the absorber. We obtained similar results for a disk at 45o, with $`\chi ^2=93/97dof`$, $`\mathrm{\Gamma }=1.14_{0.74}^{+0.47}`$, $`N_H=2.71_{1.96}^{+2.40}\times 10^{22}\mathrm{cm}^2`$. Fixing, instead, the photon index at $`\mathrm{\Gamma }=2`$ yielded $`R10`$ for both disk orientations, equivalent to the ‘pure reflection’ solutions, above.

To confirm the presence of the Fe line, and look for flux variability we reduced the long archival observation by ASCA, from 1999 November 10-12. Data reduction followed the methods outlined for the Tartarus database (Turner et al., 2001). The ASCA spectral data were fit using all four instruments, and the spectrum confirms the presence of the Fe line (Fig 2). The spectrum was modeled constraining photon index, absorption, line energy and line width to match the values derived from the XMM data. This produced a good fit, with continuum flux $`F_{210keV}7.5\times 10^{13}\mathrm{erg}\mathrm{cm}^2\mathrm{s}^1`$ and line flux $`n=5.76_{2.78}^{+2.91}\times 10^6`$ photons cm-2 s-1.

We also reduced the archived ACIS data from 2000 October 19-20, originally reported by G02 (Fig 2). Extracting ACIS CCD spectra of Mrk 231 we fit the data using the same continuum and line model used for the XMM and ASCA spectra, leaving only line and continuum normalizations free. This model yielded a line flux $`n=2.48_{2.25}^{+2.26}\times 10^6`$ photons cm-2 s-1. The differences in line flux are not significant and so the data show the line flux to be consistent with a constant value over a baseline of 1.5 years.

Turning to the soft X-ray band. Previous PSPC (Turner, 1999) and Chandra ACIS data (G02) allowed limited spatially-resolved spectroscopy which provided two-temperature thermal models for the extended soft emission. While previous models account for the approximate flux in the soft band, they fail to produce some observed features such as the relatively isolated peak evident at $`0.471\pm 0.03`$ keV (Fig 1). Correcting for the redshift of the host galaxy we obtain a rest-energy 0.490 keV, nominally consistent with Cvi RRC 0.492 keV, although most of the line flux lies slightly redward of this energy (Fig 1). Confirmation of Cvi RRC would be interesting as the width would constrain temperature and excitation mechanism for the gas.

## 4 Discussion

A brief XMM observation of Mrk 231 has revealed a rare detection of Fe K$`\alpha `$ from a BAL QSO. The presence of strong Fe K$`\alpha `$ emission dispels any remaining doubt as to the presence of an active nucleus at the heart of Mrk 231. The existence of this line is confirmed by analysis of archived ASCA and ACIS data, and the line flux is consistent with a constant value between all datasets, covering a baseline of $`1.5`$ years. The luminosity in the line is $`L_{Fe}10^{41}\mathrm{erg}\mathrm{s}^1`$ which is typical of the Fe K$`\alpha `$ luminosities observed in Seyfert 1 and 2 galaxies (e.g. Nandra et al. 1997; Turner et al. 1997). Assuming a nuclear system with an intrinsic luminosity in the Seyfert 1 range, the luminosity of the line would disfavor any model where we are seeing the line via scattering from optically-thin gas, which typically scatters only a few percent of nuclear emission into our line-of-sight in Seyfert 2 galaxies. The other alternative is that we see only a few percent of the line flux, which happens to come out to a line luminosity typical of Seyfert 1 galaxies. In this case the nuclear luminosity would just have to be a factor 50 or so higher than a Seyfert nucleus. Different analyses have yielded a wide range of inferred nuclear luminosities for Mrk 231, including an estimate at $`2\times 10^{44}\mathrm{erg}\mathrm{s}^1`$ (MR) which encompasses the latter possibility. The high equivalent width of the line, and the flat continuum shape are reminiscent of the properties of H$`1413+117`$ (Oshima et al., 2001). A line of this equivalent width could be produced from shell of gas $`N_H3\times 10^{23}\mathrm{cm}^2`$ (Leahy & Creighton, 1993). This column is consistent with that found when the X-ray spectrum is fit with a powerlaw, partially-covered by cool gas (Turner, 1999). The line is too strong to be produced by scattering from a shell with $`N_Hfew\times 10^{22}\mathrm{cm}^2`$, as suggested to cover the central regions (MR).

We turn now to the line energy. We consider the possibility that the line arises from neutral Fe. If so, there is no systematic velocity shift for the emitting gas. While the data disfavor models where we preferentially observe one side of a flow system, the line breadth is equivalent to a velocity-width of $`18500_{12000}^{+13000}`$ km s-1. The geometry of the emitting gas remains unconstrained, it could be anything from a spherical distribution or ring of clouds to the conical BAL flow, so long as we see contributions from both sides (as the line peak is not shifted). A specific model which fits this general picture is that of Arav, Li & Begelman (1994), where the line would arise in dense clouds with a small filling factor. The Fe K$`\alpha `$ emission in H$`1413+117`$ (Oshima et al., 2001; Gallagher et al., 2002b) was also found to be consistent with an origin in neutral gas. In that case, emission from the BAL flow was used to explain the line, with the width suggesting a flow velocity of 12,000 km s-1.

An alternative is that the line is produced in the accretion disk and that the broadening can be attributed to strong gravity, as it is in the spectra of Seyfert type AGN, where there are no high-velocity BAL flows. Of course the line width observed here is rather modest compared to the distortion observed in Seyfert profiles. The equivalent width of the line is $`450`$ eV, about twice that expected from a source isotropically illuminating a flat disk (George & Fabian, 1991), assuming we see both the primary and the reflected components. This may infer the reprocessor sees more of the illuminating flux than the observer does, or that there is a lag between primary and reprocessed spectra. An alternative explanation of the line strength is that the Fe abundance is very high in BAL QSOs, as expected if these are young systems (Hamann & Ferland, 1999).

However, fits assuming we see only the reflected spectrum in the 2 - 10 keV band (i.e. the primary continuum is hidden) show the Fe line has just 10% of the strength expected, relative to the reflected continuum. This supports the case for some contribution from the primary continuum in the hard X-ray regime and thus disfavors pure reflection models, whether reflection occurs from a disk or from a distribution of clouds.

Of course, the breadth of the line could be due simply to Compton scattering of line photons in material along the line-of-sight, as discussed during the early days of Fe K$`\alpha `$ observations from Seyfert 1 galaxies (e.g. Mushotzky et al. 1995). If so, the lack of shift to the peak indicates the opacity of that gas is low, while the upper limit on line width, $`\sigma `$, constrains the gas to $`kT<0.5`$ keV (using $`\mathrm{\Delta }E/E=\sqrt{2kT/mc^2}`$), following Mushotzky et al. 1995).

Finally, it is impossible to rule out emission from a higher energy, redshifted down to 6.49 keV. A velocity of 24,000 km s-1 is possible if the line is from recombination in H-like Fe. However, if the gas were highly ionized we would most likely see emission from both He-like and H-like Fe (and the observed feature would have to be a blend of these two). Further, it seems unlikely H$`1413+117`$ and Mrk 231 would both show single broad lines consistent with 6.4 keV by this conspiracy. Thus we favor an origin in neutral gas.

## 5 Acknowledgements

We are grateful to the XMM guest observer support team who provided useful input regarding the analysis of these data. We thank Ian George for useful comments. T.J. Turner acknowledges support from NASA grant NAG5-7538.


text:
# Quasars as probes of the submillimetre cosmos at 𝐳>5: I. Preliminary SCUBA photometry

## 1 INTRODUCTION

Forty years ago, an accurate optical identification was obtained for the curious radio source 3C273 (Hazard, Mackey & Shimmins, 1963). Subsequent spectroscopy revealed an unexpectedly high redshift, $`z=0.16`$, heralding a dramatic new type of astrophysical phenomenon— dubbed the “quasi-stellar object” (QSO). Ever since, the extremely luminous, compact emission from quasars has rendered them almost unrivalled as beacons to the distant Universe— whether as spotlights shining through absorption systems, pinpoints fixing their host galaxies or as tracers of large scale structure.

Recently, however, dedicated searches for galaxies at the highest redshifts have unveiled new populations of star-forming sources at $`z>5`$ and $`z>6`$ (e.g. Hu et al. 2002; Stanway, Bunker & McMahon 2003). Nevertheless, the latest AGN (Active Galactic Nuclei) surveys keep pace, and efficiently yield quasars at $`z>5`$ (refs. under Fan et al.; Sharp et al. 2001), with the promise of many more to be discovered over the coming years. That AGN remain important cosmological tools was recently highlighted by the first evidence for Gunn–Peterson absorption, discovered in the spectrum of a $`z=6.3`$ quasar (Becker et al. 2001). The high-redshift quasars of this new generation stand tantalizingly as signposts to the epoch of reionization.

The very existence of luminous quasars at $`z>5`$, indeed, poses a challenge to structure formation theory. Their supermassive black hole engines ($`M10^9\mathrm{M}_{}`$), and the fuel reservoir required to supply them ($`\dot{M}100\mathrm{M}_{}\mathrm{yr}^1`$), constitute a large mass concentration already in place only a gigayear after recombination. The Cold Dark Matter cosmogony, in contrast, predicts that the first objects to form were of predominantly low mass ($`10^6\mathrm{M}_{}`$). High-redshift quasars therefore offer a a test of hierarchical cosmology operating at its extreme (Efstathiou & Rees, 1988; Turner, 1991). The signatures of high overdensity, for example the biased evolution of the surrounding region, can in principle be detected observationally by targetting quasars and their environs (e.g. in the submm, Ivison et al. 2000).

Here, we report continuum submillimetre observations, made with the SCUBA bolometer array on the James Clerk Maxwell Telescope, of a sample of some of the highest-redshift quasars currently known. These observations form part of a larger project to establish the fiducial properties of cool dust emission from radio-quiet, optically-selected quasars over a wide range in redshift ($`z<1`$: Isaak et al., in prep.; $`z=2`$: Priddey et al. 2003a; $`z>4`$: McMahon et al. 1999, Isaak et al. 2002). Our earlier work suggested that a significant fraction of optically-bright quasars are ultra- or even hyper-luminous at far-infrared wavelengths. Additionally, no significant difference between the $`z=2`$ and $`z>4`$ samples was detected, contrasting with the SCUBA radio galaxy survey by Archibald et al. (2001). Several lines of evidence suggest that the submm light is powered by star formation, and multiband follow-up is in progress to test this hypothesis. Observation beyond $`z>5`$, reaching yet further back in cosmic time, is a vital extension to the project. Are conditions at the highest redshifts favourable, or adverse, to the formation of luminous, dusty sources? Do we catch the quasars during an even more turbulent phase of youth (gas-rich, violently star-forming), or does there exist a redshift cut-off beyond which too little dust has formed for the object to be a SCUBA source?

This Letter is the first in a series of papers discussing submm sources at $`z>5`$. Here we present initial submillimetre photometry of the sample, leaving a presentation of follow-up data, and a more thorough account of interpretation, to forthcoming works (Isaak et al. in prep.; Robson et al. in prep.). Throughout, we assume a flat, $`\mathrm{\Lambda }`$-dominated cosmology $`\mathrm{\Omega }_M`$=0.3, $`\mathrm{\Omega }_\mathrm{\Lambda }`$=0.7 with $`H_0`$=65$`\mathrm{km}\mathrm{s}^1`$ Mpc-1. Additional quantities (in parentheses) are for an Einstein–de Sitter (EdS) universe with $`H_0`$=50$`\mathrm{km}\mathrm{s}^1`$ Mpc-1.

## 2 OBSERVATIONS

The observed quasars are listed in Table 1.

### 2.1 The sample

The parent sample consisted of all quasars above a redshift of 4.90 that were known at the time of observation (i.e. late 2001). The targets were drawn from the Sloan Digital Sky Survey (SDSS: see Fan et al. refs.), the Isaac Newton Wide Field Survey (WFS: Sharp et al., 2001) and the single object (RD J0301+0020) reported by Stern et al. (2000). Targets were prioritized solely on the basis of redshift, with target visibility providing the only additional constraint.

Absolute $`B`$ magnitudes are calculated from 1450Å continuum fluxes obtained from published spectra, assuming an optical spectral index $`\alpha =0.5`$. In Table 1, the primary values are for the $`\mathrm{\Lambda }`$ cosmology, and those for $`\mathrm{\Omega }_M=1`$ are given in parentheses. In our previous submm quasar surveys (McMahon et al., 1999; Isaak et al., 2002; Priddey et al., 2003), we had targetted quasars brighter than $`M_B=27.5`$ (based on the EdS cosmology). At $`z>5`$, too few sources are known for this stringent criterion to be maintained: the median and mean magnitude are each now $`M_B=26.6`$ (again EdS).

### 2.2 JCMT–SCUBA submillimetre data

Data for SDSS J1044$``$0125 were obtained through service observing time in July 2000 and January 2001. The bulk of the rest of the data were obtained during the period autumn 2001–summer 2002, through a combination of ”flexible” scheduling, the scheduled time itself and Director’s Discretionary Time.

SCUBA was employed in photometry mode, with the wide 850:450 filter set, and a standard 60 arcsec chop in azimuth at 7.8Hz. The source was placed on the central bolometer (H7, C14), and the median of the remaining (quiet) bolometers was used for additional sky removal. Flux calibration was performed against the planets Mars and Uranus, and against the standard continuum calibrators CRL618, OH231.8, IRC10216 and 16293$``$2422. Telescope pointing was checked frequently. Sky opacity was monitored via regular skydips at 850 and 450$`\mu `$m, and continuously at 225GHz via the JCMT Water Vapour Monitor and the CSO Tau Meter: over the whole set of observations, $`\tau _{225}`$ ranged between $`0.04<\tau _{225}<0.14`$. Data were reduced with both the ORAC-DR pipeline and the SURF software.

Both SDSS J1044$``$0125 and SDSS J1306+0356 were reobserved, after showing some inconsistencies in their initial datasets: the detections were confirmed in each case. For example, during initial observation of SDSS J1306+0356, in November 2001, the final two blocks of integrations were inconsistent with the data taken over the preceding few hours. Their mean signals were zero or negative, where the others had throughout been strongly positive. This marked change in consistency coincided not only with deteriorating weather (seeing poorer than 4 arcsec), but with sunrise, and consequent fleeting changes in atmosphere, dish figure and absolute pointing accuracy. We reobserved the quasar under good, stable conditions (seeing 0.5 arcsec, $`\tau _{225\mathrm{G}\mathrm{H}\mathrm{z}}=0.065`$), conditions in March 2002. The signal thereby obtained was consistent with the first seven blocks from the previous November. The final flux quoted in Table 1 therefore consists of the November data minus the last two blocks, plus the March data. Adding back the suspect data would give $`S_{850\mu \mathrm{m}}`$=3.1$`\pm `$0.9mJy— a signal-to-noise which is still greater than three.

SCUBA consists of two detector arrays, dedicated respectively to long- and short-wavelength observations— in this case 850 and 450$`\mu `$m. The atmospheric transmission decreases with frequency, hence the long-wave array is the usual primary instrument. Nevertheless, 450$`\mu `$m data are obtained gratis, and they are here of particular interest, for they provide important constraints on the physical temperature of the dust. 450$`\mu `$m fluxes are thus included in Table 1 for reference, however none of the sources was detected in the band. Observations were made under a wide range of atmospheric conditions (450$`\mu `$m opacities $`0.75<\tau _{450\mu \mathrm{m}}<3.0`$), resulting in a very heterogeneous set of RMS values, between 10 and 100mJy. We emphasise that accurate calibration of these short-wavelength observations is possible only under the very best observing conditions. For comparison, the relative errors in flux calibration with the 850 and 450 arrays are typically 5–10 percent and $`20`$ percent, respectively.

## 3 RESULTS

Two of the targets, SDSS J0756+4104 and SDSS J0338+0021 (both $`z=5.1`$) are strikingly bright submm sources, with $`S_{850\mu \mathrm{m}}>10`$mJy. The latter was also detected at 1.2mm by Carilli et al. (2001), $`S_{1.2\mathrm{mm}}=3.7`$mJy. The 850$`\mu `$m flux is consistent with a thermal spectrum (see Figure 1 and Section 4.1). SDSS J1044$``$0125 ($`z=5.7`$) is a moderately bright detection, $`S_{850}=7`$mJy. Its 1.2mm flux of around 2mJy (Isaak et al., in prep.) is consistent with the steep Rayleigh–Jeans tail of a thermal greybody spectrum from dust. This source and its environs have formed the target of a range of follow-up observation, reported in a companion paper (Isaak et al., in prep.). It is notable that SDSS1044 is a broad absorption line (BAL) quasar, a fact drawn upon to account for its X-ray weakness, relative to the optical, as measured by Brandt et al. (2001). It is conceivable that the gaseous outflow responsible for the optical absorption also absorbs the X-rays; and that dust embedded within the gas gives rise to the submm emission. SDSS J1306+0536 ($`z=6.0`$) was detected at 850$`\mu `$m with a significance of 3.7$`\sigma `$ (see also Section 2.2).

RD J0301+0020 (z=5.50) was detected at 1.2mm in a very deep IRAM–MAMBO observation by Bertoldi & Cox (2002): the 850$`\mu `$m limit presented here is consistent with a thermal spectrum given their $`S_{1.2}=0.87\pm 0.20`$mJy. RD J0301+0020 stands out from the other $`z>5`$ quasars by virtue of its extremely low optical luminosity, $`M_B=23.1`$. Using the Elvis et al. (1994) bolometric correction from $`\nu L_B`$ ($`C_B=12`$) implies $`L_{bol}2\times 10^{12}\mathrm{L}_{}`$. This is comparable to the far-infrared luminosity derived from the millimetric flux, if we assume a canonical cool dust spectrum ($`T=4050`$K). Assuming that the quasar (and not some foreground object) is the MAMBO source, then either the AGN is absorbed, and we are seeing reprocessed emission in the far-infrared, or the $`L_{\mathrm{FIR}}`$ derives from star formation (or, indeed, a combination of the two).

### 3.1 Caveat emptor: the effects of lensing

In neither Table 1 nor Table 2 do we attempt to correct the observed fluxes, and their derived quantities, for a gravitational lensing magnification. At $`z>5`$, one would expect the optical depth to lensing to be significant; Wyithe & Loeb (2002) additionally point out that the $`z>5`$ SDSS survey selects quasars on the steep, bright tail of the luminosity function, rendering it prone to magnification bias. Gravitational lensing is therefore a serious problem whose effects must be addressed on a source-by-source basis. For now we can only do so statistically: for our two $`z>5.5`$ detections, SDSS J1306 and SDSS J1044, Wyithe & Loeb (2002) estimate a 7–30 percent probability of multiple imaging, with median (mean) magnifications between 1.1 (5) and 1.2 (30).

Schwartz (2002) examined the Chandra–ACIS images of the three highest-redshift objects in this sample. The six photons comprising the SDSS J1030 detection are widely distributed, statistically inconsistent with a point source. This is a possible signature of lensing, however the counts are too few to differentiate between a single extended source or multiple point sources. In contrast, Fan et al. (2003) report that HST–ACS images of SDSS J1030 and J0836 are consistent with unresolved point sources. Their ground-based imaging of SDSS J1306 promotes a similar conclusion.

## 4 DISCUSSION

### 4.1 Dust, metals and star formation at $`z>5`$

The mm–submm spectral indices measured for SDSS J1044$``$0125 and J0338+0021— each $`\alpha _{submm}^{mm}3.3`$— are consistent with the Rayleigh–Jeans tail of thermal emission from cool dust. Such a spectral energy distribution (SED) would be expected to peak at a rest wavelength $`50100\mu `$m; similar, for example, to star-forming galaxies such as M82. Indeed, existing 450 and 350$`\mu `$m detections of $`z4`$ quasars suggest that the SED tends to a plateau (see e.g. Priddey & McMahon, 2001 (PM01)) at around 100$`\mu `$m rest-frame: all but the brightest sources would lie below the short-wavelength limit that we could detect. At $`z>5`$, then, a 450$`\mu `$m detection would imply that the dust is hot; conversely, the deep limits obtained for the bright 850$`\mu `$m detections are valuable constraints on their dust temperature. Again considering J0338+0021, 450 upper limit requires $`T<100`$K for a greybody index $`\beta =1`$, and $`T<50`$K for $`\beta =2`$, the higher $`\beta `$ favoured by the steep mm–submm slope (Figure 1). (However we warn of the potentially considerable systematic uncertainties in the 450$`\mu `$m calibration.) In the following, we shall therefore assume the SED of PM01, namely $`\beta `$=2, $`T`$=40K.

Temperature uncertainty notwithstanding, determination of the dust opacity ($`\kappa `$) has, in the past, presented additional uncertainties to a derivation of a dust mass from a submm flux. We adopt a value $`\kappa (125\mu \mathrm{m})`$=30$`\mathrm{cm}^2\mathrm{g}^1`$, at a normalisation wavelength (125$`\mu `$m) corresponding to observed 850$`\mu `$m at $`z`$=5.8. This is consistent with the $`\kappa (125)`$ determined by Hildebrand (1983). Extrapolated to longer wavelengths assuming $`\kappa \lambda ^2`$, it is also consistent with a Galactic mixture of Draine & Lee (1984) grains as well as with more recent measurements, e.g. the 850$`\mu `$m value of James et al. (2002). For our $`z>5`$ sample, it yields masses in the range $`10^{89}\mathrm{M}_{}`$ (Table 2).

The youth of the universe— 1Gyr at $`z=5`$— imposes a constraint on the mechanisms of dust production, for it is comparable to the evolutionary timescale of the stars in whose atmospheres the dust is believed to condense. An alternate method of manufacture, on the winds of Type II supernovae, requires much shorter timescales, but its efficacy has yet to be proven. Crudely assuming an overall dust enrichment rate per mass forming stars of around 1 percent, and an absolute upper limit of 1Gyr available for star formation, then a dust mass of $`10^{89}\mathrm{M}_{}`$ would require a minimum average star formation rate of $`100\mathrm{M}_{}\mathrm{yr}^1`$. It is thus plausible that star-forming activity is responsible for some or all of the observed submm luminosity. In Table 2, the quantity $`\dot{M}_{}`$(min) is the minimum star formation rate necessary to produce the estimated dust masses, averaged the lifetime of the universe. Alternatively, $`L_{\mathrm{FIR}}`$ could be used to estimate the instantaneous star formation rate, $`\frac{\dot{M}_{}}{\mathrm{M}_{}\mathrm{yr}^1}=\mathrm{\Psi }\frac{L_{\mathrm{FIR}}}{10^{10}\mathrm{L}_{}}`$, where $`\mathrm{\Psi }`$ is a constant of order unity, depending on the stellar initial mass function (IMF). This quantity represents an upper limit on the star formation rate, due to the potential of AGN contribution to dust heating. Nevertheless it is plausible that the dust we observe was formed during production of a substantial fraction of stars in the quasar’s host galaxy.

Morgan & Edmunds (2003) present a detailed model of dust synthesis and discuss its implications for very high redshift submm sources such as the current sample. Their model implies that, in the absence of supernovae as a source of dust, the star formation efficiency must be very high to yield, by $`z=5`$, the masses we observe.

### 4.2 The growth of supermassive black holes

The four highest-redshift quasars in the sample are all very luminous in the optical, $`M_B28`$. The assumption that this luminosity is supplied by Eddington-limited accretion then requires a black hole of at least 5$`\times 10^9\mathrm{M}_{}`$ (Table 2). How does a black hole of such mass form? Imposing the maximum available time of $``$1Gyr implies an average accretion rate of 5$`\mathrm{M}_{}\mathrm{yr}^1`$. In comparison, assuming an (optimistic) radiative efficiency $`ϵ=0.1`$ (where $`L_{\mathrm{bol}}=ϵ\dot{M}c^2`$), an (instantaneous) accretion rate of $`100\mathrm{M}_{}\mathrm{yr}^1`$ is required to fuel the bolometric power inferred from the optical. The $`e`$-folding time for Eddington accretion is $`0.5ϵ`$Gyr; starting from a $`10^{36}\mathrm{M}_{}`$ seed (e.g. Haehnelt, Natarajan & Rees, 1998), an observed redshift of $`z`$=6 would require a formation redshift $`z`$=10–18 in the $`\mathrm{\Lambda }`$ cosmology, but an upper limit longer than the age of the Universe in the matter-dominated cosmology.

In the local universe, quiescent supermassive black holes and their surrounding stellar bulges correlate in their mass and velocity dispersion (Magorrian et al. 1998; Ferrarese & Merrett 2000; Gebhardt et al. 2000). It is likely, therefore, that their formation processes— the one through accretion and an AGN phase, the other perhaps through a dusty starburst— are closely linked. What can we conclude concerning the coevolution of a quasar and its host galaxy, given these data? Both PM01 and Archibald et al. (2002) consider this matter. They propose a simple model in which a black hole exponentiating according to the Eddington rate, and an elliptical host galaxy forming stars and dust at roughly constant rate, conspire to produce a submm-luminous AGN just before the gaseous fuel supply is exhausted. In a future paper, we will consider a wider range of possibilities.

## 5 CONCLUSIONS AND FUTURE WORK

We have presented SCUBA 850$`\mu `$m observations a sample of quasars at $`z>5`$— where the youth of the Universe itself ($``$1Gyr) starts to become a constraint on the histories of accretion and star formation— detecting four sources at 850$`\mu `$m. The few 1.2mm–850$`\mu `$m spectral indices that we can determine are consistent with thermal reradiation from dust; and deep 450$`\mu `$m limits imply that the dust is cool ($`T<100`$K), consistent with their siblings at $`z=4`$ (Priddey & McMahon, 2001). Although the sample is much smaller, and its median optical luminosity fainter, its submm properties seem tentatively similar to those of radio-quiet quasars we have studied at $`z=4`$ and $`z=2`$ (Isaak et al. 2002; Priddey et al. 2003a).

It is plausible that we are observing extreme, high-$`\sigma `$ peaks in the overdensity distribution. The quasar host galaxies are likely massive, gas-rich and actively forming stars. We are pursuing a range of follow-up observations designed to investigate such a scenario. For example, submillimetre imaging of the fields of high-redshift AGN has been used (e.g. Ivison et al. 2000) to test for biased galaxy formation. In this spirit, we have obtained SCUBA jiggle maps of three of the sources from the current sample, and our findings will be reported in a forthcoming paper (Isaak et al. in prep.).

An important quantifier of the evolutionary state of the sources themselves will be obtained through detection of carbon monoxide emission lines, which would reveal the existence of reservoirs of molecular gas indicative of star formation. Simultaneously, it will be essential to improve the constraints on the infrared/submm SEDs of these quasars, to confirm the presence of dust, differentiate between AGN- and starburst-powered components and improve estimates of the dust mass and star formation rate. And of no less importance is the need to obtain high resolution optical/near-infrared images of the quasars, to assess the probable effects of gravitational lensing.

It is an oft-cited consequence of the negative submm $`K`$-correction that it hypothetically permits an unidentified SCUBA source to lie at a redshift as high as ten, without being intrinsically more luminous than a local object like Arp220. The difficulty of optically identifying such a source has prevented this claim becoming more than hypothetical. Now, however, the submillimetre study of samples of quasars at $`z>5`$ provides a ready means of inferring the properties– indeed the very existence– of dust within one gigayear of the Big Bang.

## 6 ACKNOWLEDGMENTS

We are grateful to the observers who gathered much of the data in “flexible” time, and to the TSSs and JAC staff (notably Jim Hoge, Ed Lundin and Iain Coulson) for providing efficient operation during our observing run. We thank Matt Fox for his presence through the March 2002 run. We are indebted to the anonymous referee for making valuable comments. The JCMT is operated by JAC, Hilo, on behalf of the parent organisations of the Particle Physics and Astronomy Research Council in the UK, the National Research Council of Canada and The Netherlands Organisation for Scientific Research.