text:
# 1.65 𝜇m (H-band) surface photometry of galaxies. VIII: the near-IR 𝜅-space at z=0

## 1 Introduction

The study of the scaling relations between photometric and kinematical properties of present-day stellar systems is a powerful tool for the comprehension of the processes that led to their formation and evolution (e.g. Mao & Mo 1998; Mao, Mo & White 1998; Pahre, de Carvalho & Djorgovski 1998; Avila-Reese & Firmani 2000). The relation between the total luminosity $`L`$ and the central velocity dispersion $`\sigma _0`$ (Faber & Jackson 1976) and the relation between the effective radius $`r_e`$ (the radius that contains half of the galaxy total luminosity) and the central surface brightness $`\mu _0`$ (Kormendy 1977) represent benchmarks for any theoretical modelling of the early-type galaxies (de Zeeuw & Franx 1991 and references therein). Further analyses pointed out that these galaxies and the bulges of the spiral galaxies populate a two-dimensional manifold in the parameter space defined by $`r_e`$, $`\mu _e`$ and $`\sigma _0`$, named the Fundamental Plane (FP) (Djorgovski & Davis 1987; Dressler et al. 1987), where $`\mu _e`$ is the mean effective surface brightness (mean surface brightness within $`r_e`$). The profound implications of this result, its interpretation and its extension to parent systems at high redshifts are still grounds both of observational challange and of intellectually exciting debate (e.g., Scodeggio et al. 1998; Pahre, Djorgovski & de Carvalho 1999 and references therein). For the late-type galaxies, the correlation between the total luminosity $`L`$ and the maximum rotational velocity $`V_{Max}`$ (Tully & Fisher 1977), as well as the distribution in the parameter space defined by exponential disk scale-length $`h`$ and central surface brightness $`\mu _0`$ (Grosb$`\mathrm{ø}`$l 1985; de Jong 1996a; see also Pierini 1997) are now compelling for any theory of disk-galaxy formation (e.g. Dalcanton, Spergel & Summers 1997; Mo, Mao & White 1998; Syer, Mao & Mo 1999). In order to reproduce the locus of these systems in the $`h`$$`\mu _0`$ plane, a bivariate distribution in mass and spin parameter of the proto-galaxies is required, whatever the model of disk-galaxy formation is (cf. Dalcanton, Spergel & Summers 1997; Firmani & Avila-Reese 2000).

The effective and central photometric parameters involved by the previous scaling relations were determined traditionally from fitting either a de Vaucouleurs $`r^{1/4}`$ law (de Vaucouleurs 1948) or an exponential law (Freeman 1970) to the radial surface brightness profiles. The first law was used to describe the light distribution along the radial coordinate of the elliptical galaxies and of the bulges of the spiral galaxies, after the pioneering analyses of de Vaucouleurs (1948, 1959). The second one was found to be a good description of the light profiles of the disks, also in the case of S0 galaxies (Burstein 1979).

Burstein et al. (1997 – hereafter referred to as BBFN; see also Bender, Burstein & Faber 1992; Burstein et al. 1995) proposed a three-dimensional parameter system, called $`\kappa `$-space, in order to represent and to compare the global relationships of any stellar system (i.e., from the Galactic globular clusters to the galaxy clusters), in a self-consistent way. The axes of the $`\kappa `$-space, $`\kappa _1`$, $`\kappa _2`$ and $`\kappa _3`$, are proportional to the logarithms of the galaxy mass and mass-to-light ratio and of a third quantity, which is basically the surface brightness, respectively, and do not depend on the fitting law of the surface brightness profile. They reflect a set of physical assumptions on the structure and velocity pattern of the different self-gravitating, equilibrium stellar systems (see BBFN), which may be subject of criticism on the basis of some observational results (e.g. Caon, Capaccioli & D’Onofrio 1993; Busarello et al. 1997). BBFN investigated kinematical and structural properties of nearby galaxies on the basis of a large optical (B-band: $`\lambda =0.44\mu \mathrm{m}`$) data-set. Further analyses focussed on the distribution in the near-IR $`\kappa `$-space either of present-day E+S0 systems (Pahre, Djorgovski & de Carvalho 1998 – hereafter referred to as PDdC) or of disks and bulges of present-day late-type galaxies (Moriondo, Giovanelli & Haynes 1999). The adoption of near-IR photometry gives an insight of the scaling properties of galaxies less biased by differences in age and metallicity of the stellar populations (de Jong 1996b) and by dustiness (Cardelli, Clayton & Mathis 1989 and references therein) than the picture emerging from optical studies.

Here we present the near-IR (H-band: $`\lambda =1.65\mu \mathrm{m}`$) $`\kappa `$-space of both early- and late-type galaxies as a whole at z=0. In Sect. 2 we define the $`\kappa `$-space axes and their relations with typical galaxy parameters, such as mass, radius, surface brightness and luminosity, and discuss the physical assumptions behind the $`\kappa `$-space and their limitations. The selection criteria of our sample and the determination of the galaxy parameters involved by the definition of the $`\kappa `$-space axes are described in Sect. 3. Here we note that this sample comprises several Virgo cluster galaxies down to $`\mathrm{M}_\mathrm{B}=15\mathrm{mag}`$ (cf. Boselli et al. 1997, 2000a), though it is not complete to low surface brightness and dwarf galaxies. We present and discuss the galaxy distribution in the near-IR $`\kappa `$-space in Sect. 4. Discussion and conclusions on the wavelength-dependence of the galaxy distribution in the $`\kappa `$-space are given in Sect. 5.

## 2 Physical meaning of the k-space parameters: assumptions and their limitations

In origin (Bender, Burstein & Faber 1992), the $`\kappa `$-space is a representation of the structural properties of the elliptical galaxies (but also of bulges of S0 and spiral galaxies) which makes use of a particular orthogonal rotation of the global parameter space defined by the one-dimensional central velocity dispersion ($`\sigma _0`$), effective radius ($`r_e`$) and mean effective surface intensity ($`I_e`$). This orthogonal rotation provides face-on and edge-on views of the Fundamental Plane, under the assumption that the ellipticals form a homologous family, i.e., that the two structure parameters $`c_1`$ and $`c_2`$, which define the total luminosity $`L_T`$ ($`L_T=c_1I_er_e^2`$) and the total mass $`M_T`$ ($`M_T=c_2\sigma _0^2r_e`$) of the system, are constant. As a consequence, it implies the following logarithmic relations between the three $`\kappa `$-coordinates $`\kappa _1`$, $`\kappa _2`$ and $`\kappa _3`$ and the parameters $`\sigma _0`$, $`r_e`$ and $`I_e`$ of the early-type galaxies:

$$\kappa _1=(log\sigma _0^2+logr_\mathrm{e})/\sqrt{2}$$
(1)
$$\kappa _2=(log\sigma _0^2+2logI_\mathrm{e}logr_\mathrm{e})/\sqrt{6}$$
(2)
$$\kappa _3=(log\sigma _0^2logI_\mathrm{e}logr_\mathrm{e})/\sqrt{3},$$
(3)
where $`r_e`$ is in kpc, $`I_e`$ is in solar units and $`\sigma _0`$ is in $`\mathrm{km}\mathrm{s}^1`$.

While $`c_1=2\pi `$, by definition of $`I_e`$, the assumption of a constant $`c_2`$ is more uncertain and, therefore, plays a more fundamental role. Bender, Burstein & Faber calculated that $`c_2/c_1`$ decreases by about a factor 1.6 from dwarf ellipticals to giant ellipticals in a roughly monotonic fashion, under the assumption that ellipticals are described by King (1966) models with an isotropic velocity dispersion. Of course real ellipticals may have more complex internal kinematics. The debate on homology is still waiting for definitive answers, but from theoretical (Capelato, de Carvalho & Carlberg 1995, 1997) and observational (Graham & Colless 1997; Busarello et al. 1997) studies it seems to emerge that kinematical deviations from a homologous family may produce more important effects than structural deviations (see also Pahre, de Carvalho & Djorgovski 1998).

Successively, BBFN proposed the $`\kappa `$-space as a tool of representation of the structural properties of all stellar systems. In particular, for spiral and irregular galaxies, this required the adoption of a transformation from their characteristic velocity at $`r_e`$ to their central velocity dispersion $`\sigma _0`$, their $`r_e`$ and $`I_e`$ being defined as for the ellipticals. Under the assumption that spiral and irregular galaxies have exponential Freeman (1970) disks and central surface brightnesses within 1 $`\mathrm{mag}\mathrm{arcsec}^2`$ of 21.65 B-$`\mathrm{mag}\mathrm{arcsec}^2`$, the characteristic velocity at $`r_e`$ is reasonably assumed to be equal to the maximum rotational velocity $`V_{Max}`$, on the basis of the observational results of Rubin et al. (1985). The transformation from $`V_{Max}`$ to $`\sigma _0`$ adopted by BBFN (i.e., $`V_{Max}/\sigma _0=\sqrt{2}`$) descends from the further assumption that disks are embedded in isotropic isothermal halos (Binney & Tremaine 1987, Equ. 4–55), and is consistent with observed values of this ratio (Whitmore & Kirshner 1981). With this transformation, the $`\kappa `$-coordinates of spiral and irregular galaxies are given by:

$$\kappa _1=(logV_{\mathrm{Max}}^2+logr_\mathrm{e})/\sqrt{2}0.21$$
(4)
$$\kappa _2=(logV_{\mathrm{Max}}^2+2logI_\mathrm{e}logr_\mathrm{e})/\sqrt{6}0.12$$
(5)
$$\kappa _3=(logV_{\mathrm{Max}}^2logI_\mathrm{e}logr_\mathrm{e})/\sqrt{3}0.17,$$
(6)
where $`V_{Max}`$ is expressed in $`\mathrm{km}\mathrm{s}^1`$.

According to the previous assumptions, the dynamical mass and the dynamical mass-to-light ratio of any early- and late-type galaxy within $`r_e`$ may be expressed in terms of the definitions 1–6 of the $`\kappa `$-coordinates. The effective dynamical mass (i.e., the mass within $`r_e`$) is defined by $`M_e=4.65\times 10^5\sigma _0^2r_e\mathrm{M}_{}`$, where the standard Keplerian formula $`M_e=r_eV^2(r_e)/G`$ is adopted in order to define the mass of a disk, with $`V(r_e)`$ set equal to $`V_{Max}`$ and transformed to $`\sigma _0`$. As a consequence, the effective dynamical mass (in solar units) is given by:

$$logM_\mathrm{e}(\mathrm{M}_{})=\sqrt{2}\kappa _1+5.67.$$
(7)
From the definition of effective luminosity (i.e., the luminosity within $`r_e`$) $`L_e=\pi \times 10^6I_er_e^2`$,

$$logL_\mathrm{e}(\mathrm{L}_{})=\sqrt{2}\kappa _1\sqrt{3}\kappa _3+6.50,$$
(8)
so that the effective dynamical mass-to-light ratio is expressed as:

$$logM_\mathrm{e}/L_\mathrm{e}()=\sqrt{3}\kappa _30.83.$$
(9)
In elliptical (and lenticular) galaxies, neglect of rotational support and flattening may lead to the underestimate of $`M`$, as derived from Equ. 7. The fractional contribution of ordered motion (rotation) to the total kinetic energy is not negligible in elliptical galaxies of intermediate mass (BBFN). In recent years (Simien & Prugniel 2000 and references therein), it has been found that, in elliptical galaxies, the ratio of rotational velocity and velocity dispersion has a broad range, with an average value of the order of 40%, roughly. For an isotropic oblate rotator, this figure corresponds to a fractional change in kinetic energy due to rotation of about 5%, which is associated with an ellipticity less than 0.2 (Binney & Tremaine 1987). According to the computational results tabulated by the latter authors, the correction factor for the mass of a rotating oblate galaxy with the previous characteristic is less than 1.12, i.e., 0.05 dex. As a reference, for rotating ellipticals of maximum ellipticity $``$ 0.4, the theoretical mass correction is 1.35, i.e., 0.13 dex.

The assumptions made in the case of spiral and irregular galaxies affect the $`\kappa `$-coordinates of these stellar systems as well. One reason of concern is that these objects are far from being described by a Freeman exponential profile in a homogeneous way, and not only when a bulge is present. In fact, in the near-IR, the central surface brightness of the disk-component of spiral and irregular galaxies falls within a broad range of $``$ 4 $`\mathrm{mag}\mathrm{arcsec}^2`$ (Grosb$`\mathrm{ø}`$l 1985; de Jong 1996a; Pierini 1997). Moreover, the effective radius of a spiral galaxy depends on the bulge-to-disk ratio in a complex way, this ratio depending on the formation mechanisms of bulge and disk, and on the spectral energy distribution of each of these two components. On a statistical basis, Gavazzi et al. (2000b – hereafter referred to as Paper V) and Scodeggio et al. (2001 – hereafter referred to as Paper IX) have found that the central near-IR–light concentration increases with near-IR luminosity in spiral and irregular galaxies. Consistently, more luminous systems tend to have a bulge. This means that, for these stellar systems, the effective radius corresponds to a lower fraction of the isophotal radius with increasing luminosity. The radius where the (supposed) universal shape of the rotation curve of spiral galaxies reaches its maximum velocity changes with luminosity as well (Persic, Salucci & Stel 1996), this radius becoming much shorter than the isophotal optical radius with increasing luminosity. On one hand, these results support the assumption that $`V(r_e)=V_{Max}`$ in spiral galaxies with a bulge. Therefore, Equ. 7 and 8 may be applied to spiral galaxies with a bulge, the more luminous ones, on average, the principal unknown being whether the transformation from $`V_{Max}`$ to $`\sigma _0`$ changes for these systems, i.e., more generally, with luminosity. On the other hand, the same assumption may be made for spiral and irregular galaxies of lower luminosities since the rotation pattern of these objects becomes shallow at radii $`r_e`$ (Persic, Salucci & Stel 1996), with the caveat that, by imposing $`V(r_e)=V_{Max}`$, $`V(r_e)`$ may be significantly overestimated in the least luminous objects.

## 3 Data

### 3.1 Sample and data analysis

In the last 7 years, Gavazzi and collaborators have carried out an extensive imaging survey of 1157 early- and late-type galaxies of the Local Universe, in the near-IR bands H and/or $`\mathrm{K}^{}`$ ($`\lambda =2.10\mu \mathrm{m}`$). The sample galaxies were optically selected in regions of the A262, Cancer and Virgo clusters, and of the Coma Supercluster (cf. Gavazzi, Pierini & Boselli 1996 - hereafter referred to as GPB). We determine galaxy distances either from individual redshifts using $`\mathrm{H}_0=75\mathrm{km}\mathrm{s}^1\mathrm{Mpc}^1`$ (isolated galaxies of the Coma Supercluster and Cancer cluster members) or via the cluster assignment method, i.e. from the average redshift of the structure to which they belong (cf. GPB). According to the different estimated distances and adopted limiting magnitudes, only for the Virgo cluster subsample (Boselli et al. 1997, 2000a) the observations reach the bright end of the luminosity function of dwarf systems. We identify dwarf systems as those which satisfy the commonly accepted distance-luminosity definition of Tammann (1980).

The entire survey is described in details elsewhere (Gavazzi et al. 1996b,c; Boselli et al. 1997; Scodeggio et al. 1998; Gavazzi et al. 2000a; Boselli et al. 2000a – hereafter referred to as Papers I and II, B97, S98, Papers III and IV) and we refer the reader to these papers for details concerning observations, data reduction, photometric calibration and image reduction procedures of these 1157 galaxies. For the present study it is important to say that azimuthally averaged surface brightness profiles were derived and succesively fitted using either a de Vaucouleurs $`r^{1/4}`$ law, an exponential-law, a bulge$`+`$disk model or an exponential/de Vaucouleurs truncated model. The total magnitude of each galaxy was obtained by adding to the flux measured within the outermost significant isophote the flux extrapolated to infinity along the model that fitted the outer parts of the galaxy. The typical internal error in the determination of $`\mathrm{H}_\mathrm{T}`$ is $`\pm `$0.15 mag. The effective radius $`r_e`$ and the mean surface brightness within $`r_e`$ (i.e., $`\mu _e`$) of each galaxy were computed in two ways (Paper V). The “fitted” values of the individual components were derived from the individual fitted profiles, extrapolated to zero and to infinity. By contrast, the “empirical” values of the effective radius and surface brightness of the system were obtained locating the half-light point along the observed light profile, where the total amount of light is given by the total magnitude described above, and corrected for seeing according to Saglia, Bender & Dressler (1993). The “empirical” values of $`r_e`$ and $`\mu _e`$ are used here. Typical internal errors in the determination of $`logr_e`$ and $`\mu _e`$ are $`\pm `$0.05 and $`\pm `$0.16 $`\mathrm{mag}\mathrm{arcsec}^1`$, respectively. Empirical values of the radii that enclose 75% and 25% of the total light were also determined, and their ratio defines the concentration index $`c_{31}`$ (de Vaucouleurs 1977). Since part of the late-type galaxies in the Virgo cluster were observed in the $`\mathrm{K}^{}`$-band, their surface brightness profiles were corrected for the mean H-$`\mathrm{K}^{}`$ color term found by B97 (0.26 mag) before the determination of $`r_e`$ and $`\mu _e`$.

For the late-type galaxies, accurately determined (double or single horned profile with high signal-to-noise ratio) line-widths (a mean of the full-widths at the 20% and 50% levels of the maximum intensity) are taken from homogeneous low spatial resolution HI (i.e., $`\lambda =21\mathrm{cm}`$) spectroscopic data-sets available in the literature (Scodeggio & Gavazzi 1993 and references therein). In absence of 21 cm measurements or for HI-deficient spirals (Haynes & Giovanelli 1984), maximum rotational velocities are derived from optical (i.e., $`\mathrm{H}\alpha `$ line, $`\lambda =6563\mathrm{\AA }`$) major-axis rotation curves either derived by us (Gavazzi et al. 1999) or available in the literature. Reassuringly, no evidences of systematic differences in the measured line-widths either from HI or from $`\mathrm{H}\alpha `$ spectroscopic data are found for the subsample of non HI-deficient objects with both measurements (Gavazzi et al. 1999). The values of $`V_{Max}`$ are derived from the line-widths, corrected for turbulent/z-motions along the line-of-sight ($`12.6\mathrm{km}\mathrm{s}^1`$) according to Richter & Huchtmeier (1984) and deprojected according to the Hubble type-dependent Holmberg formula given by Haynes & Giovanelli (1984). For the early-type galaxies, the values of the velocity dispersion are taken from the literature (S98 and references therein) and homogenized, if necessary, according to the latter authors.

In the present analysis, we exclude the dE and dS0 galaxies observed by Gavazzi et al. (2001) since it is still matter of debate whether their stellar disk-component is rotationally flattened or not (e.g. Rix, Carollo & Freeman 1999; Geha, Guhathakurta & van der Marel 2001). By contrast, we select 197 early-type galaxies and 210 late-type galaxies, out of the surveyed sample of 1157 galaxies, according to the following criteria:
1) available homogeneous reliable measurements either of the central velocity dispersion or of the maximum rotational velocity, for early- and late-type galaxies, respectively;
2) (only for the late-type systems) galaxy inclination between $`30^\mathrm{o}`$ and $`85^\mathrm{o}`$, in order to limit any deprojection bias on $`V_{Max}`$ and a non-negligible inclination correction of the photometric properties (if any), respectively;
3) goodness of the mono-dimensional (i.e. radial) surface brightness profile fit (Paper V), assured by the rejection threshold $`\chi ^2=3.5`$. Though $`r_e`$ and $`\mu _e`$ do not come from the fitting of the radial surface brightness profile, we adopt this criterion in order to select a sample of “well-behaved” galaxies, i.e. of objects with photometric properties not highly affected either by prominent structural features different from bulge and disk or by peculiarities.

Requirement 1 limits the statistics of our sample by and large, so that we do not adopt any cut either in $`V_{Max}`$ or in $`\sigma _0`$, though literature sources suggest that values of $`V_{Max}<100\mathrm{km}\mathrm{s}^1`$ and of $`\sigma _0<100\mathrm{km}\mathrm{s}^1`$ are less reliable (but see PDdC). The availability of reliable measurements of $`V_{Max}`$ limits the statistics of galaxies later than Sc but not that of S0a–Sab galaxies.

No completeness is claimed for the resultant sample of 407 galaxies, which is, therefore, exposed to the cluster population incompleteness bias (Teerikorpi 1987, 1990). Since the goal of the present paper is not to determine statistically accurate relations between the parameters of different scaling relations but to discuss the relative distribution of each morphological class of galaxies within the $`\kappa `$-space, the effects of such a bias are less worrisome.

For the sample here selected, Table 1 reproduces the relevant information as follows:
1) the galaxy denomination, from either the “Catalogue of Galaxies and Clusters of Galaxies” of Zwicky et al. (1961–1968 – CGCG) or from the “Virgo Cluster Catalogue” of Binggeli, Sandage & Tammann (1985 – VCC);
2) the Hubble type ($`0=`$ E – E/S0, $`1=`$ S0, $`2=`$ S0a – S0/Sa, $`3=`$ Sa, $`4=`$ Sab, $`5=`$ Sb, $`6=`$ Sbc, $`7=`$ Sc (dSc), $`8=`$ Scd, $`9=`$ Sd, $`10=`$ Sdm – Sd/Sm, $`11=`$ Sm, $`12=`$ Im (Im/S), $`13=`$ generic irregulars of Coma and peculiar galaxies, $`14=`$ S/BCD (dS/BCD, dS0/BCD, Sd/BCD), $`15=`$ Sm/BCD, $`16=`$ Im/BCD);
3) the major axis;
4) the minor axis;
5) the characteristic velocity (i.e., either the central velocity dispersion $`\sigma _0`$ or the maximum rotational velocity $`V_{Max}`$ according to morphology);
6) the effective radius $`r_e`$;
7) the effective surface brightness $`\mu _e`$ (the effective surface intensity in H-band solar units is given by $`I_e=10^{0.4(\mu _e24.91)}`$);
8) $`\kappa _1`$;
9) $`\kappa _2`$;
10) $`\kappa _3`$.

The values of $`r_e`$ and $`\mu _e`$ listed in Tab. 1 are corrected for extinction as described in the next section.

### 3.2 Extinction corrections

Dust extinction affects the observed global metric and photometric properties of potentially any galaxy somehow, since dust production is a result of star formation. The magnitude of these effects changes with the pass-band of the observations and depends on the physical and chemical properties of the dust grains, the topology of the dust, the distribution of the dust with respect to the different stellar populations and the attenuation optical depth along the line-of-sight in a non trivial way. A careful correction of the photometric properties for dust attenuation, in particular, requires modeling of the stellar populations and of the radiative transfer within each galaxy, on one hand, and a multi-wavelength data-set for any individual galaxy, on the other. This task is prohibitive for a large sample like ours. Therefore, we have to make a set of assumptions and adopt a set of corrections based on statistics. The relatively low exctinction in the H-band (Cardelli, Clayton & Mathis 1989 and references therein) gives some insurance against large systematic errors, though the magnitude of the error may vary on an individual basis.

Elliptical and lenticular galaxies may contain dust, either in the form of lanes and patches or of a diffuse component of the interstellar medium (Bertola & Galletta 1978; Hawarden et al. 1981; Jura 1986). The wavelength-dependent effects of dust absorption and scattering on their photometric properties have been studied by Witt, Thronson & Capuano (1992) under the assumption of a diffuse dust component. As shown by these authors, attenuation optical depths of 0.1–1 in the V-band ($`\lambda =0.55\mu \mathrm{m}`$) may explain some of the photometric properties of these stellar sytems, e.g. their color gradients. Starlight attenuation is primarily the result of absorption in the near-IR, where the absorption optical depths are lower than in the optical (Witt, Thronson & Capuano). Dust is found capable to affect the projection of the kinematical quantities of these stellar systems as well (Baes & Dejonghe 2000; Baes, Dejonghe & De Rijcke 2000). Nonetheless, under the assumption that only the diffuse dust component is present in elliptical and lenticular systems, we may reasonably assume that these stellar systems are basically dust-free in the H-band, in agreement with Baes & Dejonghe.

This assumption is questionable for spiral and irregular galaxies. The debate on the opacity of the disk-component of spiral and irregular galaxies is still open and its discussion is beyond our scope (see Disney et al. 1989 for a review). If dust is distributed only in the disk, disks are more absorbed at high inclinations, because of the larger optical depth of the dust in the plane of the galaxy. By contrast, bulges are more attenuated at low inclinations, as in this case basically only the foreground light of the system is observed, whereas at high inclinations, almost the entire bulge comes into view, if the dust thickness is not substantial with respect to the bulge effective radius (Ferrara et al. 1999). As a consequence, in bulge+disk systems, the dust effects on $`r_e`$ and $`\mu _e`$ will depend not only on the opacity along the line-of-sight but also on the bulge-to-disk ratio at a given pass-band. To make things more complex, bulges may be dusty too (Peletier et al. 1999). For bulge+disk systems, recipes for the correction of $`r_e`$ and $`\mu _e`$ for dust attenuation, motivated either by radiative transfer models or by observational studies, still lack. By contrast, dust attenuation in exponential disks has driven more attention both from theory (e.g. Bianchi et al. 2000) and observations (e.g. Moriondo, Giovanelli & Haynes 1999). For the purposes of our study, we make the following assumptions: i) dust is distributed only in the disk-component of spiral and irregular galaxies; ii) the inclination corrections for $`r_e`$ and $`\mu _e`$ are the same as for the exponential disk scale-length ($`h`$) and central surface brightness ($`\mu _0`$), respectively, whatever the late Hubble type of the galaxy is. Given the previous discussion, we aknowledge that the second assumption over-simplifies the problem. However, at least this assumption does not lead to an inconsistency when we compare the effective luminosities obtained through Equ. 10, after applying the extinction correction of Moriondo, Giovanelli & Haynes (1999) to $`r_e`$ and $`\mu _e`$, and the total luminosities obtained from our data analysis and corrected for internal extinction (Galactic extinction is negligible in the H-band) according to the recipes of Gavazzi & Boselli (1996). The corrections for inclination applied to $`r_e`$ and $`\mu _e`$ are:

$$r_{\mathrm{e},\mathrm{c}}=r_{\mathrm{e},\mathrm{o}}/(1+0.41(\pm 0.17)loga/b)$$
(10)
$$\mu _{\mathrm{e},\mathrm{c}}=\mu _{\mathrm{e},\mathrm{o}}+1.5(\pm 0.35)loga/b,$$
(11)
where $`r_{e,o}`$, $`r_{e,c}`$, $`\mu _{e,o}`$ and $`\mu _{e,c}`$ are the observed and corrected values of the effective radius (in arcsec) and of the mean effective surface brightness (in $`\mathrm{mag}\mathrm{arcsec}^2`$), respectively, and $`a/b`$ is the major-to-minor axis ratio. Total magnitudes are corrected for internal extinction as follows (Gavazzi & Boselli 1996):

$$m_{\mathrm{T},\mathrm{c}}=m_{\mathrm{T},\mathrm{o}}2.5\times 0.17loga/b,$$
(12)
where $`m_{T,o}`$ and $`m_{T,c}`$ are the observed and corrected values, whatever the Hubble-type is. In fact, Gavazzi & Boselli did not find any morphological dependence of the corrections of total magnitudes for internal extinction in the near-IR pass-bands, as opposed to the optical ones.

## 4 The H-band k-space

Fig. 1 shows the distribution of the sample galaxies in a three-dimensional fold-out of the near-IR $`\kappa `$-space. Here we group the sample galaxies in ellipticals (E) plus lenticulars (S0), S0a galaxies, and giant spirals (Sa–Sc) plus late-spirals/Im/BCDs (Scd–Im/BCD) and generic irregular/peculiar galaxies. E+S0, S0a, Sa–Im/BCD galaxies plus generic irregular/peculiar galaxies are represented with filled circles, asterisks and empty circles, respectively, in Fig. 1. We assume characteristic cumulative uncertainties $`\delta \kappa _1=\delta \kappa _2=\delta \kappa _3=0.1`$, consistent with typical uncertainties in the observables (cf. Sect. 3). The magnitudes of these 1 $`\sigma `$ errors are reproduced in each panel of Fig. 1. We also reproduce the increase in all the three $`\kappa `$-space coordinates due to the increase of the dynamical mass when the potential contribution of rotational velocity to the total kinetic energy of the ellipticals is taken into account (cf. Sect. 2).

Here we need to say that the impact of the extinction corrections on the distribution of the late-type galaxies in the near-IR $`\kappa `$-space is small but the fact that the average effective mass-to-light ratio of these galaxies increases by 70% when extinction corrections are applied.

In the next subsections we analyse the galaxy distribution in each projection of the $`\kappa `$-space as a function of morphology. Therefore, in Fig. 2, we reproduce the three-dimensional fold-out of the near-IR $`\kappa `$-space for these four groups of Hubble types:

* E, S0 and S0a, represented by filled circles, empty squares and asterisks, respectively (panel a);
* Sa+Sab and Sb, represented by broad crosses and empty hexagons, respectively (panel b);
* Sbc and Sc, represented by filled triangles and empty circles, respectively (panel c);
* Scd, Sd and Im/BCD plus generic irregular/peculiar galaxies, represented by empty pentagons, stars and crosses, respectively (panel d).

We adopt this classification from BBFN (except for the generic irregular/peculiar galaxies).

In each panel of Fig. 2, we reproduce the Fundamental Plane relation in the $`\kappa _1`$$`\kappa _3`$ plane (see Sect. 4.1.1), the distribution of the E+S0 galaxies, within $`\pm 1\sigma `$ from the mean, in the $`\kappa _2`$$`\kappa _3`$ plane (see Sect. 4.2.1) and the borderline of the “Zone of Exclusion” in the $`\kappa _1`$$`\kappa _2`$ plane (see Sect. 4.3.1).

### 4.1 Galaxies in the $`\kappa _1`$$`\kappa _3`$ plane

#### 4.1.1 Ellipticals and lenticulars

The distribution of the elliptical and lenticular galaxies in the $`\kappa _1`$$`\kappa _3`$ projection of the $`\kappa `$-space confirms that the dynamical mass-to-near-IR light ratio increases with the dynamical mass (cf. PDdC) as found in the optical (Bender, Burstein & Faber 1992; Burstein et al. 1995; BBFN). This result was expected from the existence of the Fundamental Plane relation in its canonical notation (Pahre, de Carvalho & Djorgovski 1998; S98). A linear fit to the data which minimizes the dispersion in both axes gives:

$$\kappa _3=0.242(\pm 0.022)\kappa _10.373(\pm 0.076).$$
(13)
The slope of the H-band FP (in $`\kappa `$-space notation) that we derive corresponds to the scaling relations $`M_e/L_eM_e^{0.296\pm 0.027}`$ and $`M_e/L_eL_e^{0.421\pm 0.055}`$. In the K-band PDdC obtained $`M_e/L_eM_e^{0.147\pm 0.011}`$ and $`M_e/L_eL_e^{0.172\pm 0.013}`$. The origin of the significant discrepancy between these two sets of near-IR scaling relations is twofold: the incompleteness bias and differences in data analysis. First we note that both these analyses rest on uncomplete samples, so that the derived scaling relations are biased. The PDdC sample is more than twice in size than ours, containing 251 elliptical and lenticular galaxies, selected primarily from 13 nearby rich clusters (but also from loose groups and the general field), whose distribution in redshift velocity brackets the redshift velocities of Virgo and Coma, the main contributors of objects in our study. According to the study of the incompleteness bias by Teerikorpi (1987, 1990), we may allow that, in our sample, the fraction of low-luminosity (and low-mass) objects is skew towards higher luminosities (and masses) than in the PDdC sample, so that a steeper relation between mass-to-light ratio and mass may be expected. Nonetheless, systematic differences in the data analysis between us and PDdC probably have a larger impact on the obtained scaling relations. While the seeing corrections adopted by us and PDdC are consistent (cf. Pahre 1999), the effective radii and mean surface brightnesses are derived in two different ways. We obtain these effective parameters from isophotal, elliptical surface photometry (cf. Sect. 3.1), while PDdC determined them from circular aperture photometry, in agreement with previous optical studies. As discussed by Pahre (1999), the isophotal estimate of the effective radius is, on average, slightly larger than its circular aperture estimate, and, conversely, the isophotal estimate of the effective intensity is lower than the corresponding circular aperture estimate. This was already proposed by S98 in order to explain the discrepancy between the H-band and the K-band FP relations, the K-band effective parameters being obtained from the circular aperture estimates of Mobasher et al. (1999). If the comparison of these two data-sets is held as representative of the systematic effects due to the different data analysis, we infer that the adoption of circular aperture estimates of the effective parameters causes a systematic decrease of the $`\kappa _1`$ and $`\kappa _3`$ coordinates (cf. Equ. 1 and 3). This results in a reduced slope of the FP in the $`\kappa `$-space notation and contributes to justify the discrepancy between us and PDdC.

#### 4.1.2 Spirals and Im/BCDs

Spiral and Im/BCD galaxies form two distinct classes in the $`\kappa _1`$$`\kappa _3`$ plane, the latter having a mean effective mass-to-light ratio (in solar units) larger by a factor of 2. Taken as a whole, the late-type galaxies have a mean value of $`\kappa _3`$ equal to 0.656, i.e., a mean effective mass-to-light ratio (in solar units) equal to 2. This figure is 43% of the value of the mean total mass-to-light ratio (in solar units) determined by GPB for a sample of 426 late-type galaxies. This large discrepancy has not a statistical origin. First, the total mass-to-light ratios of GPB were determined, under the same assumptions of virial equilibrium and spherical symmetry as in Sect. 2, at the 25 B-$`\mathrm{mag}\mathrm{arcsec}^2`$ isophotal radius $`R_{opt}`$, and not at infinity. As a consequence, the mass-to-light ratios quoted in GPB are about 10% less than the total ones, on average. From the definitions of total and effective mass and luminosity, $`M_T`$ and $`L_T`$ respectively, it is straightforward to determine that $`M_e/L_e=2r_e/R_{opt}\times M_T/L_T`$. Whatever the Hubble type of the galaxy is, on average, $`R_{opt}/r_e=5.3\pm 0.08`$ (Paper V), so that we expect that the mean effective mass-to-light ratio is 38% of the mean total mass-to-light ratio, on average. Second, we note that the maximum rotational velocities were not corrected for turbulent/z-motions by GPB, so that the estimates of the total mass-to-light ratios further exceed those of the effective mass-to-light ratio for the low-mass objects. We conclude that the two estimates are consistent within the assumptions and the uncertainties of the observations.

What do these two estimates tell us about the radial behaviour of the mass-to-light ratio? The mass of a spiral galaxy within a given galactocentric distance lays with high confidence between the estimates given by a flat disk model and a spherical one and is between 60 and 100% of the mass estimate determined through the assumption of spherical symmetry (Lequeux 1983). According to this author, the overestimate due to this assumption is probably much reduced at galactocentric distances as large as the optical radius, where spherical components dominate the potential. Hence, the 60% difference between the average estimates of the effective and total mass-to-light ratios may suggest that the actual mass-to-light ratio increases with galactocentric distance.

A linear fit to the data of all the galaxies later than S0a which minimizes the dispersion in both axes gives:

$$\kappa _3=0.076(\pm 0.021)\kappa _1+0.904(\pm 0.070).$$
(14)
Formally this relation corresponds to the scaling relations $`M_e/L_eM_e^{0.093\pm 0.026}`$ and $`M_e/L_eL_e^{0.103\pm 0.032}`$. The slight dependences of the effective mass-to-light ratio on effective mass and luminosity are marginally significant. We note that the adoption of velocity corrections for turbulent/z-motions gives us some protection against a systematic overestimate of the mass of the Scd–Im/BCD galaxies, where such motions are not negligible with respect to the rotational velocity. The incompleteness bias which affects our sample may justify even higher mass-to-light ratios for these galaxies, since we better observe low-mass objects of higher luminosity. On the other end, Lequeux (1983) shows that the discrepancy between the estimates of the mass-to-light ratio given by a flat disk model and a spherical one depends on its rotation curve. In a disk where the rotation curve increases linearly until a radial distance $`a`$, where it reaches its maximum, and stays flat at larger radii, this assumption leads to a discrepancy increasing from 40 to 50% when $`a`$ ranges between 0 and the optical radius. Since rotation curves seem to peak at larger radial distances with decreasing mass of the system (Persic, Salucci & Stel 1996), it is reasonable to assume that our estimates of the effective mass-to-light ratio for the Scd–Im/BCD galaxies may be systematically in excess by an additional 10% with respect to those of earlier and more massive late-types. Furthermore, setting the velocity at the effective radius equal to the maximum velocity may lead to an overestimate of the dynamical mass of these systems, as discussed in Sect. 2. Alternatively, the decrease of the dynamical mass-to-light ratio with mass may be attributed to increasing extinction, as an effect of the mass-metallicity relation (Zaritsky, Kennicutt & Huchra 1994). At present, there are no estimates of such an effect, obtained from modelling both kinematics and radiative transfer and we assume that these effects are very small in the near-IR. Hence, we conclude that the validity and interpretation of the scaling relations involved by Equ. 14 are dubious.

### 4.2 Galaxies in the $`\kappa _2`$$`\kappa _3`$ plane

#### 4.2.1 Ellipticals and lenticulars

In this projection of the $`\kappa `$-space, the distribution of the E and S0 galaxies is elongated in the direction of the $`\kappa _2`$ axis, so that $`I_e(M_e/L_e)^3`$ for these objects (Fig. 2a). A similar distribution is found by PDdC and BBFN. Therefore, we conclude that the higher is the mass of an elliptical/lenticular galaxy the higher is its mean effective mass-to-light ratio and the lower is its effective surface intensity, whatever the pass-band is. S0a galaxies distribute in a similar way to the early-types.

#### 4.2.2 Spirals and Im/BCDs

For the late-type galaxies, the coordinates $`\kappa _2`$ and $`\kappa _3`$ are not independent. As shown by BBFN, the distribution of the spiral and Im/BCD galaxies in this plane reproduces the generalized Tully–Fisher (TF) relation $`logL_T=A_ClogV_{Max}+const.`$, where $`A_C`$ is the color-dependent exponent in the standard TF power law. In the near-IR $`A_C=4`$ (Aaronson et al. 1979) whatever the morphological type is (e.g. Pierini & Tuffs 1999) and, as a consequence, spiral and Im/BCD galaxies distribute in a plane that projects with minimal scatter onto $`\kappa _2`$$`\kappa _3`$ (BBFN). For the present sample of late-type galaxies we obtain $`A_C=3.851\pm 0.074`$, consistent with the standard exponent of the near-IR TF relation, but the scatter in the $`\kappa _2`$$`\kappa _3`$ plane is still large. We conclude that, whatever the astrophysical origin of the TF relation is (e.g. Silk 1997; Avila-Reese & Firmani 2000), its existence implies a non-linear relation between effective surface intensity and mass-to-light ratio along the whole Hubble sequence of the spiral galaxies (Pierini & Tuffs 1999). The exponent of this power law depends on the observing wavelength and is $``$ 1.5 in the near-IR.

### 4.3 Galaxies in the $`\kappa _1`$$`\kappa _2`$ plane

#### 4.3.1 Ellipticals and lenticulars

The $`\kappa _1`$$`\kappa _2`$ plane may be considered a sort of face-on projection of the galaxy distribution in the $`\kappa `$-space (BBFN), where early- and late-type galaxies distribute in two broad and almost perpendicular regions. Elliptical and lenticular galaxies populate the broad region defined by $`\kappa _1>2.5`$ and $`\kappa _2>3`$, with $`\kappa _1+\kappa _2<9`$, approximately, together with the S0a galaxies. This result is consistent with the distribution of similar galaxies in PDdC and BBFN. In analogy with the latter authors we call “Zone of Exclusion” the region with $`\kappa _1+\kappa _29`$.

#### 4.3.2 Spirals and Im/BCDs

The galaxies with morphological type later than S0a populate a broad region defined by $`1<\kappa _2\kappa _1<2`$, with $`\kappa _1+\kappa _2<9`$. Individual late-type galaxies distribute inside this strip and further away from the “Zone of Exclusion” according to the progression in morphological type from Sa to Im/BCD, as found in the optical (BBFN). Consistently, late-type galaxies with decreasing values of the light concentration index $`c_{31}`$ populate regions further away from the “Zone of Exclusion”. By contrast, all our E+S0+S0a galaxies have $`c_{31}>2.82`$, the typical value for a pure exponential disk-system, and do not show any relation between their location in the $`\kappa _1`$$`\kappa _2`$ plane and their value of $`c_{31}`$.

#### 4.3.3 The “generalized” Kormendy relation

The similar behaviours of early- and late-type galaxies in the optical and near-IR $`\kappa _1`$$`\kappa _2`$ planes must reproduce a change in the relation between fundamental structural parameters, independent of the observational wavelength where these parameters are determined. As suggested by BBFN, the distribution of giant and dwarf early-type galaxies in the optical $`\kappa _1`$$`\kappa _2`$ plane is analogous to the division of these stellar systems found by Kormendy (1988), the behaviour of the Sa–Sc galaxies resembling that of the giant ellipticals and lenticulars.

Therefore, we plot $`\mu _e`$ vs. $`r_e`$ for the pure de Vaucouleurs systems (filled hexagons) in Fig. 3a and for all the E+S0 galaxies of our sample (filled circles and empty squares, respectively) in Fig. 3b. The Kormendy relation (Kormendy 1977, 1988; Burstein 1979) of the E galaxies of the present sample is reproduced in each panel:

$$\mu _\mathrm{e}=2.65(\pm 0.07)logr_\mathrm{e}+15.65(\pm 0.04).$$
(15)
It is no surprise that the subsample of the pure de Vaucouleurs systems follows such a relation, since this is a natural consequence of the $`r^{1/4}`$ law of their light profiles (Khosroshahi, Wadadekar & Kembhavi 2000). However, all the E+S0 galaxies distribute along the same mean relation (Fig. 3b), whatever their radial surface brightness profiles are. Hence we conclude that the Kormendy relation is not an artifact of the $`r^{1/4}`$ law but it expresses a unique property of all these stellar systems.

In addition, we plot $`\mu _e`$ vs. $`r_e`$ for the pure exponential disk-systems plus the truncated-disk systems (empty triangles in Fig. 3c) and for all the de Vaucouleurs/exponential bulge+exponential disk systems (filled squares in Fig. 3d). We find that the distribution of the late-type galaxies as a whole class in the near-IR $`r_e`$$`\mu _e`$ plane is similar to the distribution of their disk-components in the near-IR and optical $`h`$$`\mu _0`$ planes (Grosb$`\mathrm{ø}`$l 1985; de Jong 1996a; Dalcanton, Spergel & Summers 1997; Pierini 1997). In fact:

* the mean effective surface intensity of spiral systems as a whole and the central intensity of their exponential disk-components range within a broad but upper limited interval for any value of the effective radius and of the exponential disk scale-length, respectively;
* in both distributions the limiting intensity is constant for systems with characteristic sizes less than $`1\mathrm{kpc}`$, but decreases in systems of larger characteristic sizes.

It is interesting to realize that the Kormendy relation of the ellipticals represents the borderline of the broad region in the $`r_e`$$`\mu _e`$ plane populated by the late-type galaxies. In particular, the bulge+disk late-type galaxies populate a strip parallel and immediately below the locus defined by the Kormendy relation, consistent with Khosroshahi et al. (2000), while the pure exponential/truncated disks populate the whole permitted region of the $`r_e`$$`\mu _e`$ plane.

The comparison of Fig. 1 and 3 may suggest that structure changes with the mass of the stellar system (Paper V and IX), under the assumption of homologous classes of galaxies in gravitational equilibrium, and that this equilibrium holds only outside the “Zone of Exclusion” (BBFN).

## 5 Discussion and conclusions

The existence of the Hubble sequence of galaxies (Hubble 1926; Sandage 1961) reflects differences in structure, kinematics and global star-formation histories of the classified stellar systems (Roberts & Haynes 1994). The study of the galaxy distribution in the so-called $`\kappa `$-space (BBFN) contributes to the understanding of the galaxy phenomenology, under the non trivial assumption that early- and late-type galaxies form two distinct homologous classes in gravitational equilibrium. Our investigation of the $`\kappa `$-space of nearby galaxies is based on near-IR surface photometry and is complementary to the near-IR studies of PDdC (limited to ellipticals and lenticulars) and Moriondo, Giovanelli & Haynes (1999) (limited to bulges and disks of late-type galaxies) and to the optical study of BBFN, though the photometric parameters are derived via different procedures in these four studies.

As a first result, we find that galaxies of the same morphological type distribute in the $`\kappa _1`$$`\kappa _2`$ projection of the $`\kappa `$-space in a way analogous to the optical case. This distribution reproduces the “generalized” Kormendy relation (BBFN) since it finds analogies with the Kormendy relation of elliptical and lenticular galaxies (Kormendy 1977, 1988; Burstein 1979) on one hand and, on the other, the distribution of the disk-components of late-type galaxies in the $`h`$$`\mu _0`$ plane (Grosb$`\mathrm{ø}`$l 1985; de Jong 1996a; Pierini 1997). It traces changes in the global structure associated with the dynamical mass of the galaxy (cf. Paper V and IX), beyond any possible systematic effect due to differences in the radial distribution of the stellar populations which dominate the light emission in different pass-bands, whether these differences are intrinsic or due to differential attenuation by dust (cf. Witt, Thronson & Capuano 1992 for the early-type galaxies). We also confirm that the distribution of the early-type galaxies in the $`\kappa _1`$$`\kappa _3`$ plane reproduces their Fundamental Plane relation and that, conversely, the distribution of the late-type galaxies in the $`\kappa _2`$$`\kappa _3`$ plane reproduces the Tully–Fisher relation of the latter stellar systems. This time, the galaxy distribution in the $`\kappa _1`$$`\kappa _3`$ and $`\kappa _2`$$`\kappa _3`$ projections of the $`\kappa `$-space depends on the pass-band adopted in order to determine the photometric properties of the galaxies, as a consequence of the dominant role of the mass-to-light ratio.

The Fundamental Plane relation (in $`\kappa `$-space notation) shows that the dynamical mass-to-light ratio of elliptical and lenticular galaxies increases with dynamical mass, both in the optical and in the near-IR. The neglect of dust effects, even for rather modest amounts of dust, leads to an overestimate of the total dynamical mass-to-light ratio by a factor of $``$ 20% per optical depth unit (Baes, Dejonghe & Rijcke 2000). Therefore, this relation holds almost unaffected by dust bias of the photometric properties in the near-IR. By contrast, the neglect of the rotational velocity on the mass estimate affects the Fundamental Plane relation, whatever the photometric pass-band is. We estimate that the systematic underestimate of the dynamical mass of the ellipticals is about 10%, on average. As a consequence, in the near-IR, a giant elliptical galaxy would have a corrected mean effective mass-to-light ratio of about 1.6 (in solar units), on average, still lower than the average mean effective mass-to-light ratio of late-type galaxies. The correction for the lenticular galaxies is not straightforward, but we may expect that it ranges between 10 and 30%, on average, the latter value applying to rotating ellipticals of maximum ellipticity $``$ 0.4. As a consequence, in the near-IR, the corrected mean effective mass-to-light ratios of lenticular galaxies might be intermediate between those of earlier and later Hubble types.

Spiral and Im/BCD galaxies show very different behaviours in the optical and near-IR $`\kappa _1`$$`\kappa _3`$ planes. First of all, they have mean effective mass-to-light ratios higher than those of elliptical and lenticular galaxies of the same mass in the near-IR but it is vice versa in the optical (cf. BBFN). A study of the non-trivial effects of dust attenuation on the surface photometry of the late-type galaxies is beyond the reach of this analysis and, therefore, we have assumed statistically-based inclination corrections of the near-IR photometric parameters of these stellar systems (Equ. 10 and 11). In the near-IR, these corrections produce an increase of the mean effective mass-to-light ratio (Fig. 3a,b), opposite to what expected for early-type galaxies, so that we are confident that the relative distribution of early- and late-type galaxies $`\kappa _1`$$`\kappa _3`$ plane is robust. Second, in the optical, the mass-to-light ratio vs. mass relation shows a strong dependence on the Hubble type of the spiral and Im/BCD galaxies. In the near-IR this dependence is not detected (if any) though there may be a hint that Im/BCD galaxies have higher mass-to-light ratios than spirals.

If not due to systematic differences either in the statistically-based corrections for dust effects and inclination adopted by us and BBFN or in the estimate of the photometric parameters, the different locations of early- and late-type galaxies in the optical and near-IR $`\kappa _1`$$`\kappa _3`$ planes may originate from residual dust effects and/or from differences in the characteristic stellar populations, both dependent on morphology and mass. The stellar mass-to-light ratio of a simple stellar population (SSP) increases with age both in the optical and in the near-IR, its early-time evolution being very fast until $`5`$ Gyrs and becoming mild afterwards (e.g. Maraston 1998). In particular, the stellar mass-to-near-IR light ratio reaches a value within 20% from the present one ($`1.2`$ at 15 Gyrs) after only 3 Gyrs, while the stellar mass-to-optical light ratio amounts to 80% of the present one ($`10`$) after 13 Gyrs. Of course a galaxy is not reproduced by a SSP but by a mix of different SSPs, weighted by its global star formation history. In particular, star formation activity leads to dust production, so that the mass-to-light ratio of a more recently born SSP will be reduced by dust attenuation both at the stellar photosphere and in the interstellar medium. It is commonly accepted that the bulk stellar population of giant elliptical and lenticular galaxies is older than those of spiral and Im/BCD galaxies, i.e. that the former have transformed gas into stars much faster than the latter (e.g. Renzini 1998). An analogous trend of decreasing ages of the characteristic stellar population with later Hubble type is suggested for the late-type galaxies (e.g. Sandage 1986; Kennicutt, Tamblyn & Congdon 1994; Gavazzi & Scodeggio 1996; Boselli et al. 2001). If these considerations apply, we expect that the early-type galaxies have higher stellar mass-to-light ratios than later ones, where star formation is still going on, under the assumptions that galaxies of all morphological types have the same age and the same initial mass function. In particular, the stellar mass-to-near-IR light ratios of nearby early- and late-type galaxies will not differ much if the peak of star formation activity took place more than 3 Gyrs ago for all of them. By contrast, the stellar mass-to-optical light ratios of early- and late-type galaxies may still differ by a maximum factor of $``$ 7 (Maraston 1998), if this peak took place not less than 3 Gyrs ago for all of them.

We observe that the dynamical mass-to-near-IR light ratio of elliptical and lenticular galaxies is lower than that of spiral of the same dynamical mass. From the previous considerations, we conclude that the dynamical-to-stellar mass ratio of the former galaxies is lower than that of the latter, if the peak of the star formation activity took place more than 3 Gyrs ago for all of them. Extending the same conclusion to Im and BCD galaxies is dangerous, since the near-IR luminosity may be seriously contaminated by emission from younger stellar populations. Since BBFN observe that the dynamical mass-to-optical light ratio of elliptical and lenticular galaxies is higher than that of spiral galaxies of the same dynamical mass, this behaviour is consistent with the previous conclusion if the difference in the stellar mass-to-optical light ratio, due to the different star formation histories of these two classes of stellar systems, is larger than the difference in the dynamical-to-stellar mass ratio.

Finally, we note that the optical and near-IR Fundamental Plane relations should be analogous if the peak of star formation took place more than 3 Gyrs ago for all the elliptical and lenticular galaxies, but for a color term, when the differential effects of diffuse dust on the photometric parameters are taken into account. Whether this color term is not or is constant, it depends on the existence of the color-magnitude relation or not (Scodeggio 2001 and references therein). The answer to this question would help understanding whether the Fundamental Plane relation (in $`\kappa `$-space notation) is (mainly) due to the increase either of the dynamical-to-stellar mass ratio or of the stellar mass-to-light ratio with dynamical mass.

## Acknowledgments

D.P. wishes to thank David C. Koo and Claudia S. Möller for illuminating discussions held at the Göttingen Sternwarte.
We are thankful to the several night-assistents, undergraduate students and researchers who contributed to the near-IR survey at the basis of this work.
We are gratefult to the anonymous referee, whose stimulating comments and suggestions led to the improvement of the original manuscript.

## Figure captions

Fig. 1: The three-dimensional fold-out of the $`\kappa `$–space, where $`\kappa _1logM`$, $`\kappa _2logI_e^3\times M/L`$ and $`\kappa _3logM/L`$. Here, we represent elliptical (E) and S0 galaxies with filled circles, S0a galaxies with asterisks and Sa – Im/BCD galaxies with empty circles. In each panel, we represent characteristic observational errors (crosses) and the expected increase of the three $`\kappa `$-coordinates of E and S0 galaxies when the kinetic energy of these stellar systems is not negligible. Late-type galaxies have higher values of $`M/L`$ than earlier ones of the same mass, contrary to what found by BBFN in the optical.
Fig. 2: The three-dimensional fold-out of the $`\kappa `$–space for different groups of morphological types is reproduced. In particular, we represent: E, S0 and S0a galaxies with filled circles, empty squares and asterisks, respectively (a); Sa$`+`$Sab and Sb galaxies with broad crosses and empty hexagons, respectively (b); Sbc and Sc galaxies with filled triangles and empty circles, respectively (c); Scd, Sd and irregular/BCD galaxies with empty pentagons, stars and crosses, respectively, and generic peculiar and irregular galaxies with broad triangles (d). In each panel, we represent characteristic observational errors with crosses and we reproduce the Fundamental Plane relation (continuous line in the $`\kappa _1`$$`\kappa _3`$ plane), the borderline of the “Zone of Exclusion” (short-dashed line in the $`\kappa _1`$$`\kappa _2`$ plane) and the distribution of the E$`+`$S0 galaxies, within $`\pm 1\sigma `$ from the mean, in the $`\kappa _2`$$`\kappa _3`$ plane. For E and S0 galaxies, we represent also the expected increase of the three $`\kappa `$-coordinates when the kinetic energy of these stellar systems is not negligible. Galaxies of later Hubble type march farther away from the “Zone of Exclusion”, while spiral and irregular/BCD galaxies have higher mean effective dynamical mass-to-near-IR light ratios than E$`+`$S0$`+`$S0a galaxies.
Fig. 3: The galaxy distribution in the $`r_e`$$`\mu _e`$ plane, according to the decomposition of their radial light profiles or morphology. Here, we represent: pure de Vaucouleurs systems with filled hexagons (a); E and S0 galaxies with filled circles and empty squares, respectively (b); pure exponential disk-systems and truncated-disk systems with empty triangles (c); de Vaucouleurs/exponential bulge$`+`$disk systems with filled squares (d). In each panel, the short-dashed line reproduces the Kormendy relation (Equ. 15) for the de Vaucouleurs systems. E$`+`$S0 galaxies follow this relation, whatever their profile decompositions are. Conversely, pure exponential disk-systems and truncated-disk systems do not populate the region of the $`r_e`$$`\mu _e`$ plane beyond this line. Bulge$`+`$disk systems populate the region of the $`r_e`$$`\mu _e`$ plane immediately below this line.


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# Level-Rank Duality in Kazama-Suzuki Models

## Abstract

We give a path-integral proof of level-rank duality in Kazama-Suzuki models for world-sheets of spherical topology.

Since the discovery of nonabelian bosonization in two dimensions  we have learned quite a bit about the conformal structure of string theory and two dimensional statistical field theory. An important class of supersymmetric conformal field theories was discovered by Kazama and Suzuki \[KS\] . These models are believed to be that subset of the $`N=1`$ supersymmetric Goddard-Kent-Olive \[GKO\]  coset models which admit $`N=2`$ superconformal symmetry. Therefore, they give explicit integrable conformal field theory realization of target spaces with space-time supersymmetry. Since in a lagrangian formulation coset models correspond to the gauging a WZW model by $`g(z,\overline{z})h(z,\overline{z})g(z,\overline{z})h^1(z,\overline{z})`$ they describe, in string theory, space(times) with black holes . Some of the KS models have been conjectured to enjoy the following duality property :

$`\left[SU(M+N)/(SU(M)\times SU(N)\times U(1))\right]_k`$ (1)
$`\left[SU(k+M)/(SU(M)\times SU(k)\times U(1))\right]_N`$ (2)
and similarly

$`\left[SO(N+2)/(SO(N)\times SO(2))\right]_k`$ (3)
$`\left[SO(k+2)/(SO(k)\times SO(2))\right]_N.`$ (4)
There is now a considerable body of work on this duality, especially in the operator approach  but a path-integral formulation of the duality has been lacking. It is desirable for aesthetic as well as string theoretic reasons to have a path-integral analysis of this intriguing duality. The purpose of this letter is to supply such a proof for world-sheet of spherical topology. We shall give our results for the case $`\left[SU(N+1)/(SU(N)\times U(1))\right]_k\left[SU(k+1)/(SU(k)\times U(1))\right]_N`$ in detail but the method can be generalized for all the models involved.

It has been known for some time that an $`SU(N)`$ WZW model at level $`k`$ describes $`N`$ Dirac parafermions of order $`k`$ :

$`𝒵_1={\displaystyle [dg]e^{kI_{SU(N)}(g)}}={\displaystyle [d\psi ][d\overline{\psi }][dA]e^{I_F(\psi ,A)}}`$ (5)
where $`I_{SU(N)}`$ is the level-$`1`$ WZW action for the group $`SU(N)`$ and the fermionic action is given by $`I_F(\psi ,A)=\frac{1}{2\pi }d^2zi\overline{\psi }_a^i/\psi _a^i+\overline{\psi }_a^i/A^I\lambda _{ij}^I\psi _a^j`$ with $`i,j=1,\mathrm{},k`$, $`I=1,\mathrm{},k^2`$ and $`a=1,\mathrm{},N`$. Because of its equivalence to the constrained fermionic system the $`SU(N)`$ WZW model at level $`k`$ can also be expressed in terms of a negative level WZW model, free fermions, a free boson and ghosts :

$`𝒵_1`$ $`=`$ $`{\displaystyle [d\overline{\psi }][d\psi ][d\widehat{g}][d\mathrm{\Phi }]det_+det_{}e^{I_B(\mathrm{\Phi })}e^{I_F(\psi ,0)}}`$ (6)
$`\times `$ $`e^{[N2k]I_{SU(k)}(\widehat{g})}.`$ (7)
Where $`I_B(\mathrm{\Phi })`$ is the action of a free boson. Negative level WZW models are non-unitary but since they arise here with ghosts, it is believed that a BRST cohomology structure ensures their unitarity. This point has been explored in .

There are various approaches to obtaining a supersymmetric extension of a gauged-WZW model on $`G/H`$ . The one that we follow here is the one by Witten . In this approach the supersymmetric gauged-WZW action is given by

$`I(g,A,\psi )`$ $`=`$ $`I(g,A)`$ (8)
$`+`$ $`{\displaystyle \frac{i}{4\pi }}{\displaystyle d^2z\mathrm{tr}(\psi _+D_{}\psi _++\psi _{}D_+\psi _{})}.`$ (9)
Here $`I(g,A)`$ is the bosonic action for a gauged-WZW model and the $`\psi _\pm `$ are Weyl fermions which belong to the complexified orthogonal complement of the Lie algebra $``$ and they are minimally coupled to the gauge fields $`A_\pm `$. The condition that the $`N=1`$ superconformal algebra can be extended to $`N=2`$ superconformal algebra can be translated to the condition that the group coset $`G/H`$ is Kähler. Eq. (9) can then be written in a suitable form to reflect that structure .

We are interested in the partition function for the KS models as gauged-WZW models:

$`𝒵_2`$ $`=`$ $`{\displaystyle [dg][dA_+][dA_{}][d\psi _+][d\psi _{}]e^{kI(g,A,\psi )}}`$ (10)
$`=`$ $`{\displaystyle [dg][dh][d\stackrel{~}{h}][d\psi _+][d\psi _{}]detD_+detD_{}}`$ (11)
$`\times `$ $`e^{kI_G(g)}e^{kI_H(h^1\stackrel{~}{h})}e^{\frac{1}{2}(c_Gc_H)I_H(h^1\stackrel{~}{h})}e^{I_F(\psi ,0)}.`$ (12)
Where we have made the change of variables $`A_{}=_{}\stackrel{~}{h}\stackrel{~}{h}^1,A_+=_+hh^1`$ . $`c_G`$ ($`c_H`$) is the quadratic Casimir operator of the group $`G`$ ($`H`$) in the adjoint representation. In the above expression the level $`\frac{1}{2}(c_Gc_H)`$ WZW model arises from “rotating away” the gauge coupling to the fermions . We can now use the following identity

$$detD_+detD_{}=e^{c_HI_H(h^1\stackrel{~}{h})}det_+det_{}$$
(13)
and rewrite eq. (12) in a gauge fixed form (which does not introduce any new ghosts):

$`𝒵_2`$ $`=`$ $`{\displaystyle [dg][dh][d\psi _+][d\psi _{}]det_+det_{}}`$ (14)
$`\times `$ $`e^{kI_G(g)}e^{(k+\frac{1}{2}(c_Gc_H)+c_H)I_H(h)}e^{I_F(\psi ,0)}.`$ (15)
We now specialize to the case where $`G=SU(N+1)`$ and $`H=SU(N)\times U(1)`$. Using eqs. (5) & (7) this can be written as

$`𝒵_2`$ $`=`$ $`{\displaystyle [d\widehat{g}][d\psi _{}^{}][d\psi _+^{}][d\mathrm{\Phi }^{}]det_+^{}det_{}^{}}`$ (16)
$`\times `$ $`e^{I_B(\mathrm{\Phi }^{})}e^{[N12k]I_{SU(k)}(\widehat{g})}e^{I_F(\psi ^{},0)}`$ (17)
$`\times `$ $`[dh][d\mathrm{\Phi }][d\psi _+][d\psi _{}]det_+det_{}`$ (18)
$`\times `$ $`e^{I_B(\mathrm{\Phi })}e^{(k+1+2N)I_{SU(N)}(h)}e^{I_F(\psi ,0)}.`$ (19)
In the above expression primed spinors correspond to free Dirac spinors with global $`SU(N+1)\times SU(k)\times U(1)`$ symmetry. The $`Nk+k`$ free Dirac spinors $`\psi ^{}`$ can be combined with the original $`2N`$ Weyl spinors $`\psi `$ to give $`Nk+N`$ free Dirac spinors $`\chi ^{}`$ and $`2k`$ free Weyl spinors $`\chi `$. Having rearranged the spinors in this way eqs. (5) & (7) can be applied to the level $`(k+1+2N)`$ WZW model on $`SU(N)\times U(1)`$ to yield

$`𝒵_2`$ $`=`$ $`{\displaystyle [d\widehat{h}][d\widehat{g}][d\chi _+][d\chi _{}][d\mathrm{\Phi }]det_+^{}det_{}^{}}`$ (20)
$`\times `$ $`e^{I_B(\mathrm{\Phi })}e^{NI_{SU(k+1)}(\widehat{h})}`$ (21)
$`\times `$ $`e^{[N12k]I_{SU(k)}(\widehat{g})}e^{I_F(\chi ,0)}.`$ (22)
This is the gauge-fixed partition function for a $`\left[SU(k+1)/(SU(k)\times U(1))\right]_N`$ gauged-WZW model with $`\widehat{h}SU(k+1)`$ and $`\widehat{g}SU(k)`$. The central charge can be easily obtained from eq.(19) which is symmetric in $`k`$ & $`N`$. In an obvious notation the central charge is given by

$`\mathrm{c}_{\mathrm{tot}}`$ $`=`$ $`\mathrm{c}(SU(k),N12k)`$ (23)
$`+`$ $`\mathrm{c}(SU(N),k12N)`$ (24)
$`+`$ $`\mathrm{c}_{ghost}^{}+\mathrm{c}_{ghost}+2\mathrm{c}_\mathrm{\Phi }+\mathrm{c}_\psi ^{}+\mathrm{c}_\psi `$ (25)
where $`\mathrm{c}(G,k)=\frac{2k\mathrm{dim}(G)}{2k+c_G}`$ is the standard central charge for a level-$`k`$ WZW model on $`G`$, $`\mathrm{c}_{ghost}^{}=2k^2`$, $`\mathrm{c}_{ghost}=2N^2`$, $`\mathrm{c}_\mathrm{\Phi }=1`$, $`\mathrm{c}_\psi ^{}=Nk+k`$ and $`\mathrm{c}_\psi =N`$, which give

$$\mathrm{c}_{\mathrm{tot}}=\frac{3kN}{k+N+1}$$
(26)
which is the anomaly found by KS .

The above proof can be extended easily to all the models involved in (2). Following the same set of steps as before we arrive at an expression for the partition function

$`𝒵_3`$ $`=`$ $`{\displaystyle [d\widehat{g}][dh_1][dh_2][d\psi _+][d\psi _{}][d\psi _+^{}][d\psi _{}^{}][d\mathrm{\Phi }][d\mathrm{\Phi }^{}]}`$ (27)
$`\times `$ $`e^{(M+N+2k)I_{SU(k)}(\widehat{g})}e^{I_B(\mathrm{\Phi }^{})}det_+^{}det_{}^{}`$ (28)
$`\times `$ $`e^{(k+N+2M)I_{SU(M)}(h_1)}det_{1+}det_1`$ (29)
$`\times `$ $`e^{(k+M+2N)I_{SU(N)}(h_2)}e^{I_B(\mathrm{\Phi })}det_{2+}det_2`$ (30)
$`\times `$ $`e^{I_F(\psi ^{},0)}e^{I_F(\psi ,0)}`$ (31)
where we have written the ghosts on the same line as the corresponding WZW model. This expression is completely symmetric in $`k`$, $`M`$ and $`N`$ and it can be easily verified that conformal anomaly agrees with . By using analogous identities  for orthogonal groups this analysis may be extended to (4).

Eqs. (19) & (31) lay bare the structure of the level-rank duality in a concise form. It can be used to study the precise map between the correlation functions of the dual theories, modular invariance and coupling to gravity. Also interesting is the fact that this duality connects a string theory vacuum in the semiclassical limit (for $`k`$, $`N`$ or $`M\mathrm{}`$) to a string theory without a geometric interpretation (and with infinite navïe “dimensions”.) These issues are under investigation .

Acknowledgements

It is a pleasure to thank Malcolm Perry & Adam Ritz for helpful discussions. I am also grateful to Jürgen Fuchs & Christoph Schweigert for pointing out additional references and insightful comments for futher investigations.
E-Mail: T.Ali@damtp.cam.ac.uk


text:
# Searching for the Slater Transition in the Pyrochlore Cd2Os2O7 with Infrared Spectroscopy

## Abstract

Infrared reflectance measurements were made on the single crystal pyrochlore Cd2Os2O7 in order to examine the transformations of the electronic structure and crystal lattice across the boundary of the metal insulator transition at $`T_{MIT}=226K`$. All predicted IR active phonons are observed in the conductivity over all temperatures and the oscillator strength is found to be temperature independent. These results indicate that charge ordering plays only a minor role in the MIT and that the transition is strictly electronic in nature. The conductivity shows the clear opening of a gap with $`2\mathrm{\Delta }=5.2k_BT_{MIT}`$. The gap opens continuously, with a temperature dependence similar to that of BCS superconductors, and the gap edge having a distinct $`\sigma (\omega )\omega ^{1/2}`$ dependence. All of these observables support the suggestion of a Slater transition in Cd2Os2O7.

Mott’s classic paperMott49  published over half a century ago has triggered extensive research on correlated electron systems which undergo a metal insulator transition (MIT). Both Mott and HubbardHubbard63  have suggested that for systems at half filling, the Coulomb repulsion between electrons could split the band, thus producing an insulator. Alternatively, Slater in 1951 suggested that antiferromagnetic order alone could produce an insulator by a doubling of the magnetic unit cellSlater51 . While there are numerous examples of Slater / spin-density-wave (SDW) insulators in the realm of 1-dimensional (1D) conductorsDegiorgi96 ; Gruner , the experimental situation at higher dimensions is less clear. Impossibility of the Slater state in the 2D regime has been recently argued based on dynamical cluster approximation calculationsMoukouri01 . For 3D solids, spin ordering alone usually generates an energy gap corrupting only a fraction of the Fermi surface so that metallic conductivity persistsFawcett88 . In this context the metal-insulator transition in the 3D pyrochlore Cd2Os2O7 is exceptionally intriguing since transport and magnetic properties across the MIT boundary appear to be in accord with the Slater mechanismMandrus01 . In this paper we report on the first spectroscopic studies of the MIT in Cd2Os2O7. Our analysis of the infrared data reveals that the transition into the insulating state is driven solely by the electronic interactions without significant involvement of the crystal lattice. We discuss new facets of the spin-driven insulating state in a 3D material.

The pyrochlore Cd2Os2O7 was first characterized by Sleight et al.Sleight74 . The metal-insulator transition in the resistivity has been found to occur at the same temperature $``$ 226 K as the antiferromagnetic transition in susceptibility measurements. No evidence of concurrent structural changes were detected through X-ray diffraction (XRD) analysis. Thorough examination of transport and magnetism in Cd2Os2O7 has been recently reported by Mandrus et al.Mandrus01  with a Slater picture delivering a coherent interpretation of all experimental data. This particular mechanism in Cd2Os2O7 may be favored by the fact that Os5+ is in the 5d3 configuration so that $`t_{2g}`$ band is near half filling.

The Slater transition is characterized by several hallmarks in the frequency domain which so far remained unexplored in Cd2Os2O7. Among them, the specific temperature dependence of the energy gap as well as the frequency dependence of the dissipative response at energies above the gap edge that are distinct from the Mott-Hubbard caseThomas94 . Also the analysis of the IR active phonon modes allows one to verify if a development of charge ordering is concomitant with spin ordering. Despite the fact that IR spectroscopy is ideally suited for directly studying the nature of the MIT in solids, the extremely small size of Cd2Os2O7 single crystals so far has rendered these measurements impossible. Spectroscopic tools available in our lab at UCSD are tailored for investigations of microcrystals,Dordevic99  allowing us to fill voids in the experimental picture of the insulating state in Cd2Os2O7.

The near normal reflectance R$`(\omega )`$ of Cd2Os2O7 was measured from 40 cm-1 to 14000 cm-1 using a Fourier transform spectrometer and from 12000 cm-1 to 35000 cm-1using a grating monochromator. A test involving polarized light displayed no signs of anisotropy, thus unpolarized radiation was used for a detailed study of the temperature dependence. Samples were coated in situ with gold or aluminum and spectra measured from the coated surface were used as a reference. This method, discussed previously in detailHomes93 , allows one to reliably obtain the absolute value of the reflectance by minimizing the errors associated with non-specular reflection and small sample size. We inferred the complex conductivity $`\sigma _1(\omega )+i\sigma _2(\omega )`$ by use of Kramers-Kronig (KK) analysis after extrapolating data to $`\omega 0`$ and $`\omega \mathrm{}`$. Various low frequency extrapolations (Drude, Hagen-Rubens) were used; however the data did not significantly depend on the particular method of low-$`\omega `$ extrapolation. We employed the usual $`\omega ^4`$ dependence for the high-energy extension of the dataWooten .

Fig.1 shows the infrared reflectance taken between 25 K and room temperature from an unpolished facet of Cd2Os2O7 crystal with dimensions less than 0.5x0.7 mm2. The reflectance at room temperature is high and is metallic in nature. R$`(\omega )`$ decreases with decreasing temperature in the infrared region. Although the reflectance decreases monotonically, it changes little near room temperature and at low temperatures. Depression of R$`(\omega )`$ is most significant in the vicinity of the MIT: between 225K and 150K. The absolute value of the reflectance for the 80K data is, within experimental accuracy, equivalent to that at 25K. As temperature is lowered the free electron screening is gradually reduced unveiling several strong phonons in the infrared region. Notably, all phonons are still visible in the room temperature data. In the inset to Fig.1 we plot the reflectance over the entire range characterized for room temperature and 25K.

Fig.2 shows the real part of the conductivity $`\sigma _1(\omega )`$ at different temperatures. The room temperature spectrum can be adequately described with a simple Drude model $`\sigma _1(\omega )=\sigma _0/(1+\omega ^2\tau ^2)`$ at least for $`\omega <`$ 1000 cm-1 where $`\sigma _0`$ is the DC conductivity and $`\tau `$ is the relaxation time. This behavior is followed by a somewhat slower decrease than that prescribed by the Drude form, and an interband feature at 22000 cm-1. Several strong phonons are visible in the IR region. As temperature is lowered one witnesses the continuous opening of a gap with a drastic reduction of $`\sigma _1(\omega )`$ in the infrared. In the 25 K spectrum the intragap conductivity is frequency independent (apart from the sharp phonon peaks). At $`\omega `$ above the gap edge the spectrum reveals the $`\omega ^{1/2}`$ dependence expected for a Slater transitionThomas94 ; Millis01 . An intersection between the two segments at 818 cm-1 can be chosen as a quantitative measure of the energy gap 2$`\mathrm{\Delta }`$. The $`\omega ^{1/2}`$ behavior can be recognized at higher temperatures as well. In the latter spectra (Fig.3) the intragap region is best described with a linear dependence. The temperature dependence of the intersection between the $`\sigma _1(\omega )\omega `$ and $`\sigma _1(\omega )\omega ^{1/2}`$ regions is plotted in the inset of Fig.3.

It is instructive to characterize the development of the energy gap in Cd2Os2O7 through the spectra of the effective spectral weight $`N_{eff}(\omega )=\frac{120}{\pi }_0^\omega \sigma _1(\omega ^{})𝑑\omega ^{}`$. The magnitude of $`N_{eff}(\omega )`$ depicted in Fig.4, is proportional to the number of carriers participating in the optical absorption up to a cutoff frequency $`\omega `$, and has the dimension of frequency squared. The significant reduction in spectral weight occurring in the intragap region is transferred to the energy region above 3$`\mathrm{\Delta }`$. Interestingly, the spectral weight does not become completely exhausted until 16000 cm-1 implying that the energy range as broad as $`40\mathrm{\Delta }104k_BT_{MIT}`$ is involved in the metal insulator transition.

Important insights into the origin of the insulating state in Cd2Os2O7 may be reached through the analysis of the phonon spectra. The pyrochlore structure belongs to the space group Fd3̄m and reveals seven IR active modesMcCauley72 ; DeAngelis72 . We observe phonon peaks at 86 cm-1, 108 cm-1, 200 cm-1, 347 cm-1, 371 cm-1, 440 cm-1, and 615 cm-1 in the 25K spectrumphonon-foot . Both the frequency position and the oscillator strength of all phonons (with the exception of the 347 cm-1 resonance) are independent of temperature (lower inset of Fig. 4). The 347 cm-1 mode assigned to the $`O_{II}OsO_{II}`$ bendMcCauley72  shows weak hardening at $`T<T_{MIT}`$. The key outcome of the examination of the phonon spectra in Figs.1,2, is that no new phonon modes appear at $`T=T_{MIT}`$ and the low-T data for Cd2Os2O7 displays only the 7 modes expected for the ideal pyrochlore structure.

The experimental evidence presented above suggests that the development of the insulating state in Cd2Os2O7 occurs without visible signs of charge ordering. Examination of the IR-active phonons has proven to be one of the most sensitive tests for the charge-ordered state. Quite commonly additional lattice modes appear in the phonon spectra or a dramatic redistribution of the spectral weight between several resonances takes place provided the system reduces its symmetry in the charge-ordered regimeBuixaderas01 . We failed to detect any of these effects. Furthermore, a detailed analysis of the x-ray diffraction data did not produce any indications for structural changes at $`T<T_{MIT}`$Mandrus01 . These observations allow us to conclude that the metal-insulator transition in Cd2Os2O7 is driven solely by electronic processes without noticeable indications for involvement of the lattice. Another important fact pertaining to the nature of the insulating state is the continuous development of the energy gap in the electronic conductivity displayed in Fig.2 which is consistent with the Slater picture of the MITMatsubara53 ; Des Cloizeaux59 . The second order transition is in accord with earlier specific heat and magnetic susceptibility dataMandrus01 .

Further support for the Slater hypothesis in the context of the Cd2Os2O7 data is provided by the electronic conductivity. We first note that our data reveals several hallmarks of the Bardeen-Cooper-Schrieffer (BCS) electrodynamics expected for systems with spin density wavesGruner , including the ratio of $`2\mathrm{\Delta }/k_BT_{MIT}5.1`$ (expected in a modified BCS theory that takes into account the scattering of electrons by phonons, as for the canonical SDW Chromium)Barker68 ; Millis00  as well as a characteristic decline of the gap value at non-zero temperatures Matsubara53 ; Des Cloizeaux59 . The general form of the conductivity spectra is also consistent with the BCS picture where type 2 coherence factors lead to an overshoot between the data at $`TT_{MIT}`$ and $`T>T_{MIT}`$ at frequencies above the gap. As pointed out above, the behavior of the low-T spectra above the gap edge are adequately described with the $`\sigma _1(\omega )\omega ^{1/2}`$ dependence, as is expected for a Slater transition. This finding is important because the $`\omega ^{1/2}`$ dependence is distinct from the $`\omega ^{3/2}`$ dependence observed in the Hubbard limitThomas94 .

Given the experimental evidence discussed above, the Slater mechanism emerges as a viable model of the MIT in Cd2Os2O7. Therefore, this compound may be the first well documented case of a three-dimensional SDW materialTokura95 , subject to further direct verification of the spin structure. An unexpected feature of the antiferromagnetically-driven MIT is a mismatch between the $`T_{MIT}200K`$ and the frequency range involved in the redistribution of the spectral weight in the insulating state $`\mathrm{\Omega }20000K`$. Similar mismatch is commonly found throughout the spectroscopic studies of the so-called pseudogap state in high-$`T_c`$ superconductorsBasov02 , in which antiferromagnetic fluctuations are perceived as a likely cause of the pseudogap state. Finally, it is worth mentioning that other pyrochlore compounds reveal very different properties at the verge of the metal-insulator transition. For instance, the transition to the insulating regime in the closely related Tl2Ru2O7 system appears to be of first order and additionally is accompanied by charge ordering effects judging from the transformations of the phonon spectraLee01 . It is yet to be determined what microscopic factors define the peculiar character of the MIT in Cd2Os2O7.

Work performed at UCSD was sponsored by the U.S. Department of Energy under Contract No. DE-FG03-00ER45799. Work at Oak Ridge National Laboratory is managed by UT-Battelle, LLC, for the U.S. Department of Energy under Contract No. DE-AC05-00OR22725.