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# Semistable divisorial contractions

## 1 Introduction

The minimal model program is a generalisation of the classical theory of minimal models of surfaces. Given a 3-fold $`X`$ with mild singularities, a minimal model $`Y`$ of $`X`$ is a 3-fold birational to $`X`$ such that either $`K_YC0`$ for every curve $`CY`$, or there exists a fibration $`YS`$ such that $`K_YC<0`$ for every curve $`C`$ contained in a fibre. The minimal model program constructs a minimal model of $`X`$ inductively: if $`X`$ is not minimal then there is an elementary birational map $`XX^{}`$ and we replace $`X`$ with $`X^{}`$. After a finite number of such steps we obtain a minimal model. The elementary birational maps are of two types: divisorial contractions and flips. A divisorial contraction is a birational morphism $`\varphi :XY`$ which contracts an irreducible divisor $`EX`$ to a point or curve on $`Y`$. A flip is a birational map $`\varphi :XY`$ of the form $`\varphi =g^1f`$, where $`f:XZ`$ and $`g:YZ`$ are birational morphisms which contract bunches of curves to points of $`Z`$.

Suppose given a 3-fold $`X`$ fibred over a curve $`T`$ such that each fibre is reduced and the total space and the fibres have appropriately mild singularities (including, e.g., the case that $`X`$ is smooth and the fibres are simple normal crossing divisors). We can run a relative minimal model program for the family $`X/T`$, contracting only curves which lie in the fibres, so that each elementary birational map is defined over $`T`$. This process is called the semistable minimal model program (, Chapter 7); we say a contraction is semistable if it occurs in this context. In this paper we classify semistable divisorial contractions which contract the exceptional divisor to a normal point of a fibre.

The semistable minimal model program is an important tool in the construction and explicit description of compact moduli spaces of surfaces. For, given a family $`𝒳^\times /T^\times `$ of surfaces of general type over a punctured curve $`T=T^\times \backslash \{0\}`$, we can construct a canonical completion to a family $`𝒳/T`$ using the semistable minimal model program . If $`M`$ is a moduli space of surfaces of general type, there is a compactification $`\overline{M}`$ of $`M`$ with boundary points corresponding to surfaces obtained as the limit of a family $`𝒳^\times /T^\times `$ of surfaces from $`M`$ by the above process. More generally, one can compactify moduli spaces of surface-divisor pairs $`(X,D)`$ such that $`K_X+D`$ is ample . For example, the surface may be a K3 or abelian surface. In this case we construct limits using the log minimal model program, where the rôle of $`K_X`$ is played by $`K_X+D`$. In fact, I have already applied the results of this paper to give an explicit description of the degenerate surfaces which occur at the boundary of a compactification of a moduli space $`M`$ of pairs (,). Here $`M`$ is the moduli space of pairs consisting of the plane together with a smooth curve of fixed degree $`d4`$; in other words $`M`$ is the moduli space of smooth plane curves of degree $`d`$. Similiarly, one can apply our methods to explain and extend the results of Hassett on stable reduction of plane curve singularities .

Since this article first appeared as a preprint , the classification of all divisorial contractions with centre a point has been completed (, , , , , ). However, the classification of the semistable contractions is much simpler — there are several exceptional cases which do not occur in the semistable context, and the remaining cases are organised into easily described families; moreover, the proof of the classification is concise. Hence, in view of the applications to moduli problems, it seems worthwhile to present our result separately.

I would like to thank Alessio Corti for his helpful comments on a preliminary version of this paper.

## 2 The Classification

###### Notation 2.1.

We refer to  for Mori theory background, including the definitions of the various classes of singularities we shall consider. In this paper log terminal means purely log terminal. We write $`0T`$ for the analytic germ of a smooth curve. We use script letters to denote flat families of surfaces over $`T`$ and regular letters for the special fibre, e.g.,

$`\begin{array}{ccc}X& & 𝒳\\ & & \\ 0& & T\end{array}`$
###### Definition 2.2.

We say $`𝒳/T`$ is *semistable terminal* if $`(𝒳,X)`$ is divisorial log terminal and $`𝒳`$ is terminal.

###### Definition 2.3.

A *semistable divisorial contraction* is a birational morphism $`\pi :𝒴𝒳/T`$ where

1. $`𝒴/T`$ and $`𝒳/T`$ are semistable terminal.
2. The divisor $`K_𝒴`$ is $`\pi `$-ample.
3. The relative Picard number $`\rho (𝒴/𝒳)=1`$.
4. The exceptional locus of $`\pi `$ is a divisor.

We recall the classification of semistable terminal singularities (cf. ). It can also be easily derived using the method of toric blowups explained in .

###### Theorem 2.4.

Let $`𝒳/T`$ be semistable terminal. Then, locally analytically at a point $`PX𝒳`$, the pair $`X𝒳`$ is isomorphic to one of the following:

1. $`(xyz=0)^3`$.
2. $`(t=0)((xy+tg(z^n,t)=0)\frac{1}{n}(1,1,a,0))`$, where $`(a,n)=1`$.
3. $`(t=0)((xyz^{kn}+tg(z^n,t)=0)\frac{1}{n}(1,1,a,0))`$, where $`(a,n)=1`$.
4. $`(t=0)((f(x,y,z)+tg(x,y,z,t)=0)^4)`$, where $`((f=0)^3)`$ is a Du Val singularity of type $`D`$ or $`E`$.

Conversely, any isolated singularity of this form is semistable terminal.

Note that the special fibre $`X`$ is normal only in cases (3) and (4). In case (3) the singularity $`PX`$ is a cyclic quotient singularity:

$$X=((xyz^{kn}=0)\frac{1}{n}(1,1,a))𝔸_{u,v}^2/\frac{1}{kn^2}(1,kna1)$$

where $`x=u^{kn}`$, $`y=v^{kn}`$ and $`z=uv`$. If $`r=1`$ then $`X`$ is a Du Val singularity of type $`A`$. In case (4) the singularity $`PX`$ is a Du Val singularity of type $`D`$ or $`E`$.

We can now state our result:

###### Theorem 2.5.

Let $`E𝒴\stackrel{\pi }{}P𝒳/T`$ be a semistable divisorial contraction such that the special fibre of $`𝒳/T`$ is normal. Then there is a local analytic isomorphism

$$P𝒳(f(x,y,z)+tg(x,y,z,t)=0)\frac{1}{n}(1,1,a,0)$$

such that $`\pi `$ is given by the weighted blowup of $`x,y,z,t`$ with weights $`w=(w_0,1)`$, where $`w(tg)w(f)`$. Here $`t`$ corresponds to a local parameter on the curve $`T`$, the function $`f+tg`$ is $`\mu _n`$-invariant and $`(a,n)=1`$. We have the following possibilities for $`n`$, $`f`$ and $`w_0`$:

1. $`n`$ arbitrary:

1. $`f(x,y,z)=xyz^{kn}`$ and $`w_0`$ is a primitive vector in the lattice $`^3+\frac{1}{n}(1,1,a)`$ such that $`f`$ is homogeneous with respect to the weights $`w_0`$ of $`x,y,z`$.
2. $`n=1`$:

1. $`f(x,y,z)=x^2+y^2z+z^{m1}`$ and $`w_0=(m1,m2,2)`$, some $`m4`$.
    2. $`f(x,y,z)=x^2+y^3+z^4`$ and $`w_0=(6,4,3)`$.
    3. $`f(x,y,z)=x^2+y^3+yz^3`$ and $`w_0=(9,6,4)`$.
    4. $`f(x,y,z)=x^2+y^3+z^5`$ and $`w_0=(15,10,6)`$.

Conversely, let $`P𝒳(f+tg=0)\frac{1}{n}(1,1,a,0)`$ and let $`\pi :𝒴𝒳`$ be the birational map induced by the weighted blowup of $`x,y,z,t`$ with weights $`w=(w_0,1)`$, where $`n`$, $`f`$ and $`w_0`$ are as above and $`g`$ is chosen so that $`𝒳`$ has an isolated singularity and $`w(tg)w(f)`$. Then the families $`𝒴/T`$ and $`𝒳/T`$ are semistable terminal, the divisor $`K_𝒴`$ is $`\pi `$-ample and the exceptional locus of $`\pi `$ is an irreducible divisor. Thus $`\pi `$ is a semistable divisorial contraction if $`\rho (𝒴/𝒳)=1`$ (which is automatic if $`𝒳`$ is $``$-factorial at $`P`$).

## 3 Proof of the Classification

###### Proposition–Definition 3.1.

Let $`\pi :𝒴𝒳/T`$ be a semistable divisorial contraction with exceptional divisor $`E`$. Assume that $`E`$ is contracted to a point $`P𝒳`$ and that $`X`$ is normal. Write $`Y=Y_1+E`$, where $`Y_1`$ is the strict transform of $`X`$ and $`F=E|_{Y_1}`$. Then the map $`p:Y_1X`$ satisfies the following:

1. The surface $`X`$ is log terminal and the pair $`(Y_1,F)`$ is log terminal.
2. The divisor $`(K_{Y_1}+F)`$ is $`p`$-ample.
3. The relative Picard number $`\rho (Y_1/X)`$ equals $`1`$.
4. The exceptional locus of $`p`$ is $`F`$, a divisor.

We say a map $`p:Y_1X`$ satisfying the conditions above is a *log divisorial contraction*.

###### Proof.

The pair $`(𝒳,X)`$ is dlt and $`X`$ is normal by assumption, hence $`X`$ is log terminal by adjunction. We have $`(K_𝒴+Y)|_{Y_1}=K_{Y_1}+F`$ by adjunction. The pair $`(𝒴,Y)`$ is dlt, so $`F`$ is smooth and irreducible and $`(Y_1,F)`$ is log terminal. The divisor $`K_𝒴`$ is $`\pi `$-ample thus the restriction $`(K_{Y_1}+F)`$ is $`p`$-ample. ∎

###### Theorem 3.2.

Let $`PX`$ be a log terminal surface singularity which admits a $``$-Gorenstein smoothing (equivalently, $`X`$ occurs as the special fibre of a semistable terminal family $`𝒳/T`$). Then the log divisorial contractions $`EY_1PX`$ are precisely the following:

1. There is an isomorphism $`PX𝔸_{u,v}^2/\frac{1}{kn^2}(1,kna1)`$, where $`(a,n)=1`$, such that $`Y_1X`$ is given by the weighted blowup of $`u,v`$ with weights $`\alpha `$. Here $`\alpha N=^2+\frac{1}{kn^2}(1,kna1)`$ is a primitive vector in the lattice $`N`$.

Equivalently, there is an isomorphism $`PX(xyz^{kn}=0)\frac{1}{n}(1,1,a)`$ such that $`Y_1X`$ is given by the weighted blowup of $`x,y,z`$ with weights $`w_0`$. Here $`w_0`$ is a primitive vector in the lattice $`^3+\frac{1}{n}(1,1,a)`$ such that $`f`$ is homogeneous with respect to these weights.
2. The singularity $`PX`$ is a Du Val singularity of type $`D`$ or $`E`$. Then $`PX((f(x,y,z)=0)^3)`$ and $`Y_1X`$ is given by the weighted blowup of $`x,y,z`$ with weights $`w_0`$, where

1. $`f(x,y,z)=x^2+y^2z+z^{m1}`$ and $`w_0=(m1,m2,2)`$, some $`m4`$.
    2. $`f(x,y,z)=x^2+y^3+z^4`$ and $`w_0=(6,4,3)`$.
    3. $`f(x,y,z)=x^2+y^3+yz^3`$ and $`w_0=(9,6,4)`$.
    4. $`f(x,y,z)=x^2+y^3+z^5`$ and $`w_0=(15,10,6)`$.

###### Proof.

The pair $`(Y_1,F)`$ has log terminal singularities, thus at $`F`$ the singularities of $`(Y_1,F)`$ are of the form $`(\frac{1}{r}(1,a),(x=0))`$ (, p. 119, Theorem 4.15). Let $`\stackrel{~}{X}X`$ and $`\stackrel{~}{Y_1}Y_1`$ be the minimal resolutions of $`X`$ and $`Y_1`$, then there is a diagram

$`\begin{array}{ccc}\stackrel{~}{Y_1}& & \stackrel{~}{X}\\ & & \\ Y_1& & X.\end{array}`$
The map $`q:\stackrel{~}{Y_1}\stackrel{~}{X}`$ is a composition of contractions of $`(1)`$-curves. The exceptional locus of $`\stackrel{~}{Y_1}X`$ consists of the strict transform $`F^{}`$ of $`F`$ together with strings of curves meeting $`F^{}`$ obtained by resolution of the $`(\frac{1}{r}(1,a),(x=0))`$ singularities of $`(Y_1,F)`$. Thus if $`q`$ is not an isomorphism, then $`F^{}`$ must be a $`(1)`$-curve, and $`q`$ factors through the blow down $`\sigma :\stackrel{~}{Y_1}Y_1^{}`$ of $`F^{}`$.

The exceptional locus of $`\stackrel{~}{X}X`$ is either a string of rational curves, or one of the $`D`$ or $`E`$ configurations, in particular it has normal crossing singularities. This property is preserved by blowups, thus if $`F^{}`$ is contracted by $`q`$ then the exceptional locus of $`Y_1^{}X`$ has normal crossing singularities — equivalently, the exceptional locus of $`\stackrel{~}{Y_1}X`$ is a string of curves. In this case, the singularity $`PX`$ is a cyclic quotient singularity, and is of the form $`𝔸_{u,v}^2/\frac{1}{kn^2}(1,kna1)`$ by the classification of Theorem 2.4. Moreover, for an appropriate choice of the coordinates $`u,v`$, the morphism $`\stackrel{~}{Y_1}X`$ is toric. Then in particular $`Y_1X`$ is toric and thus is given by a weighted blowup of $`u,v`$ with weights given by some primitive vector in the lattice $`^2+\frac{1}{kn^2}(1,kna1)`$.

On the other hand, if the exceptional locus of $`\stackrel{~}{Y_1}X`$ is not a string of curves, then $`q:\stackrel{~}{Y_1}\stackrel{~}{X}`$ is an isomorphism and the curve $`F^{}`$ is the ‘fork’ curve of the $`D`$ or $`E`$ configuration (i.e., the exceptional curve which meets $`3`$ others). This determines $`Y_1X`$ uniquely, and we observe that these contractions can be described explicitly as above. ∎

Our main theorem 2.5 follows immediately from Theorem 3.3 below.

###### Theorem 3.3.

Let $`E𝒴\stackrel{\pi }{}P𝒳/T`$ be a semistable divisorial contraction with $`X`$ normal. Let $`FY_1\stackrel{p}{}PX`$ be the induced log divisorial contraction. There is an isomorphism

$$PX(f(x,y,z)=0)\frac{1}{n}(1,1,a)$$

such that $`p`$ is given by the weighted blowup of $`x,y,z`$ with weights $`w_0`$ as in Theorem 3.2 — fix one such identification. Then there is a compatible isomorphism

$$P𝒳/T((f(x,y,z)+tg(x,y,z,t)=0)\frac{1}{n}(1,1,a,0))/_t^1$$

such that $`\pi `$ is given by the weighted blowup of $`x,y,z,t`$ with weights $`w=(w_0,1)`$, where $`w(tg)w(f)`$.

Conversely, let $`\pi :𝒴𝒳`$ be a birational morphism constructed in this fashion, then the family $`𝒴/T`$ is semistable terminal, the divisor $`K_𝒴`$ is $`\pi `$-ample and the exceptional locus of $`\pi `$ is an irreducible divisor. More precisely, we assume that $`P𝒳(f+tg=0)\frac{1}{n}(1,1,a,0)`$ and $`\pi `$ is given by the weighted blowup of $`x,y,z,t`$ with weights $`w=(w_0,1)`$, where $`(f(x,y,z)=0)\frac{1}{n}(1,1,a)`$ and $`w_0`$ are as in Theorem 3.2, and $`g`$ is chosen so that $`𝒳`$ has an isolated singularity and $`w(tg)w(f)`$.

###### Proof.

A divisorial contraction $`\pi :EYPX`$ determines a discrete valuation $`\nu :k(X)^\times `$, where $`\nu (f)`$ equals the order of vanishing of $`\pi ^{}f`$ along $`E`$. Moreover, we can reconstruct $`\pi `$ from $`\nu `$. For, writing

$$m_{X,P}^{(n)}=\{f𝒪_{X,P}\text{ }|\text{ }\nu (f)n\},$$

we have $`m_{X,P}^{(n)}=\pi _{}𝒪_Y(nE)`$ and

$$Y=\underset{¯}{\mathrm{Proj}}_X(_{n0}\pi _{}𝒪_Y(nE))$$

since $`E`$ is $`\pi `$-ample. Hence, in order to identify two divisorial contractions it is enough to identify the corresponding valuations.

Consider the divisorial contraction $`p:Y_1X`$; let $`\nu _0:k(X)^\times `$ be the corresponding valuation. Write $`w_0=\frac{1}{d}(a_1,a_2,a_3)`$, where $`a_1`$, $`a_2`$, and $`a_3`$ are coprime. We have an inclusion

$$X=(f(x,y,z)=0)𝔸=\frac{1}{n}(1,1,a)$$

and a weighted blowup $`s:\mathrm{Bl}_{\frac{1}{d}(a_1,a_2,a_3)}𝔸𝔸`$ inducing the contraction $`p`$. Write $`w_0:k(𝔸)^\times `$ for the valuation corresponding to the weighted blowup; for $`h=a_{ijk}x^iy^jz^k𝒪_{𝔸,0}`$ we have

$$w_0(h)=\mathrm{min}\{\frac{1}{d}(a_1i+a_2j+a_3k)\text{ }|\text{ }a_{ijk}0\}.$$

Then, for $`h𝒪_{X,P}`$,

$$\nu _0(h)=\mathrm{max}\{w_0(\stackrel{~}{h})\text{ }|\text{ }\stackrel{~}{h}𝒪_{𝔸,0}\text{ a lift of }h\}.$$

More precisely, given a lift $`\stackrel{~}{h}`$ of $`h`$, write

$$\stackrel{~}{h}=\stackrel{~}{h}_\alpha +\stackrel{~}{h}_{\alpha +1}+\mathrm{},\stackrel{~}{h}_\alpha 0,$$

for the decomposition of $`\stackrel{~}{h}`$ into graded pieces with respect to the weighting. Then $`\nu _0(h)=w_0(\stackrel{~}{h})`$ iff $`f\overline{)}\stackrel{~}{h}_\alpha `$. For, the exceptional divisor $`G`$ of $`s`$ is a weighted projective space $`(a_1,a_2,a_3)`$, and the exceptional divisor $`F`$ of $`p`$ is given by

$$F=(f(X,Y,Z)=0)(a_1,a_2,a_3)$$

(note that $`f`$ is homogeneous with respect to the weighting). Now, $`s^{}\stackrel{~}{h}=u^\alpha \stackrel{~}{h}^{}`$, where $`u`$ is a local parameter at $`G`$, and $`(\stackrel{~}{h}^{}=0)`$ is the strict transform of $`(\stackrel{~}{h}=0)𝔸`$. Thus $`p^{}h=s^{}\stackrel{~}{h}|_{Y_1}=v^\alpha \stackrel{~}{h}^{}|_{Y_1}`$, where $`v`$ is a local parameter at $`F`$. So $`\nu _0(h)\alpha =w_0(\stackrel{~}{h})`$, with equality iff $`\stackrel{~}{h}^{}|_{Y_1}`$ does not vanish on $`F`$. We have

$$(\stackrel{~}{h}^{}=0)|_G=(\stackrel{~}{h}_\alpha (X,Y,Z)=0)(a_1,a_2,a_3),$$

so this last condition is equivalent to $`f\overline{)}\stackrel{~}{h}_\alpha `$.

Our aim is to deduce a description of the contraction $`\pi :𝒴𝒳`$ similiar to that of $`p:Y_1X`$ above. Let $`\nu `$ be the valuation defined by $`\pi `$. We first show that, in the case that the index $`n`$ of $`P𝒳`$ equals $`1`$, we may lift $`x,y,z𝒪_{X,P}`$ to $`\stackrel{~}{x},\stackrel{~}{y},\stackrel{~}{z}𝒪_{𝒳,P}`$ such that $`\nu (\stackrel{~}{x})=\nu _0(x)`$ etc. Certainly, for $`h𝒪_{X,P}`$ and any lift $`\stackrel{~}{h}𝒪_{𝒳,P}`$, we have $`\nu (\stackrel{~}{h})\nu _0(h)`$; we show that for an appropriate choice of $`\stackrel{~}{h}`$ we have equality. Equivalently, the map

$$\pi _{}𝒪_𝒴(iE)p_{}𝒪_{Y_1}(iE)$$

is surjective for each $`i1`$. Applying $`\pi _{}`$ to the exact sequence

$$0𝒪_𝒴(iEY_1)𝒪_𝒴(iE)𝒪_{Y_1}(iE)0$$

we obtain the long exact sequence

$$\mathrm{}\pi _{}𝒪_𝒴(iE)p_{}𝒪_{Y_1}(iE)R^1\pi _{}𝒪_𝒴(iEY_1)\mathrm{}.$$

We have $`Y_1+E=Y0`$ and $`K_𝒴\pi ^{}K_𝒳+aEaE`$, so $`iEY_1K_𝒴(i1+a)E`$. Thus $`R^1\pi _{}𝒪_𝒴(iEY_1)=R^1\pi _{}𝒪_𝒴(K_𝒴(i1+a)E)=0`$ by Kodaira vanishing since $`E`$ is $`\pi `$-ample; the required surjectivity result follows. In the case that the index is greater than $`1`$, by Lemma 3.5 there is a diagram

$`\begin{array}{ccc}\stackrel{~}{E}\stackrel{~}{𝒴}& \stackrel{\stackrel{~}{\pi }}{}& \stackrel{~}{P}\stackrel{~}{𝒳}\\ & & \\ E𝒴& \stackrel{\pi }{}& P𝒳\end{array}`$
where $`\stackrel{~}{𝒳}𝒳`$ is the index one cover. Then a similiar calculation shows that we may lift $`x,y,z𝒪_{\stackrel{~}{X},P}`$ to $`\stackrel{~}{x},\stackrel{~}{y},\stackrel{~}{z}𝒪_{\stackrel{~}{𝒳},P}`$ of the same weights as above.

For simplicity of notation, now write $`x,y,z`$ for the lifts $`\stackrel{~}{x},\stackrel{~}{y},\stackrel{~}{z}𝒪_{\stackrel{~}{𝒳},P}`$ of $`x,y,z𝒪_{\stackrel{~}{X},P}`$ constructed above. Let $`t`$ denote a local parameter at $`0T`$. Then $`x,y,z,t`$ define an embedding $`𝒳𝔸\times T`$ extending $`X𝔸`$; write

$$𝒳=(f(x,y,z)+tg(x,y,z,t)=0)𝔸\times T=\frac{1}{n}(1,1,a,0).$$

Define a weighted blowup

$$\sigma :\mathrm{Bl}_{\frac{1}{d}(a_1,a_2,a_3,d)}(𝔸\times T)𝔸\times T,$$

and let $`w`$ denote the corresponding valuation. Our aim is to show that $`\pi `$ is induced by $`\sigma `$. Note immediately that, for $`h𝒪_{X,P}`$, and any lift $`\stackrel{~}{h}𝒪_{𝔸\times T,0}`$, we have $`\nu (h)w(\stackrel{~}{h})`$. For, the valuations $`\nu `$ and $`w`$ agree on $`x,y`$ and $`z`$ by construction, and $`\nu (t)=1=w(t)`$ by the semistability assumption. So, writing $`\stackrel{~}{h}=a_{ijkl}x^iy^jz^kt^l`$, we have

$$\nu (h)\mathrm{min}\{\nu (x^iy^jz^kt^l)\text{ }|\text{ }a_{ijkl}0\}=\mathrm{min}\{w(x^iy^jz^kt^l)\text{ }|\text{ }a_{ijkl}0\}=w(\stackrel{~}{h})$$

as claimed. We also need the following preliminary result: $`w(tg)w(f)`$. To prove this, write

$$g=g_\alpha +g_{\alpha +1}+\mathrm{},g_\alpha 0$$

for the decomposition of $`g`$ into graded pieces with respect to the weighting. Let $`g_\alpha =t^\beta k`$, where $`k_0=k|_{t=0}0`$. We may assume that $`f`$ does not divide $`k_0`$, for otherwise $`w(tg)>w(f)`$. In this case, we have $`\nu _0(k_0)=w_0(k_0)`$ as proved above. Now $`w(k)\nu (k)\nu _0(k_0)=w_0(k_0)=w(k)`$, thus $`w(k)=\nu (k)`$ and so $`w(g)=\nu (g)`$. Finally $`w(f)\nu (f)=\nu (tg)=w(tg)`$ as required.

We now complete the proof that $`\pi `$ is induced by $`\sigma `$. The contraction $`\pi ^{}:E^{}𝒴^{}P𝒳`$ induced by $`\sigma `$ has valuation $`\nu ^{}`$ given by

$$\nu ^{}(h)=\mathrm{max}\{w(\stackrel{~}{h})\text{ }|\text{ }\stackrel{~}{h}𝒪_{𝔸\times T,0}\text{ a lift of }h\}$$

(cf. our earlier treatment of the contraction $`p`$ induced by $`s`$). We show that $`\nu =\nu ^{}`$ and thus $`\pi =\pi ^{}`$ as required. We know that $`\nu (h)w(\stackrel{~}{h})`$ for $`h𝒪_{X,P}`$ and $`\stackrel{~}{h}𝒪_{𝔸\times T,0}`$ any lift of $`h`$, it remains to show that we have equality for some $`\stackrel{~}{h}`$. Given $`h𝒪_{𝒳,P}`$, pick some lifting $`\stackrel{~}{h}`$. Write

$$\stackrel{~}{h}=\stackrel{~}{h}_\alpha +\stackrel{~}{h}_{\alpha +1}+\mathrm{}$$

for the decomposition into graded pieces with respect to the weighting and $`\stackrel{~}{h}_\alpha =t^\beta k`$, where $`k_0=k|_{t=0}0`$. If $`f`$ divides $`k_0`$, say $`k_0=qf`$, replace $`\stackrel{~}{h}`$ by $`\stackrel{~}{h}^{}=\stackrel{~}{h}q(f+tg)`$. Defining $`\alpha ^{}`$ and $`\beta ^{}`$ as above, we see that either $`\alpha ^{}>\alpha `$ or $`\alpha ^{}=\alpha `$ and $`\beta ^{}>\beta `$, using $`w(tg)w(f)`$. It follows that this process can repeat only finitely many times, so we may assume $`f\overline{)}k_0`$ and hence $`\nu _0(k_0)=w_0(k_0)`$. Then $`w(k)\nu (k)\nu _0(k_0)=w_0(k_0)=w(k)`$, so $`w(k)=\nu (k)`$ and $`w(\stackrel{~}{h})=\nu (h)`$ as required.

Conversely, we show that all contractions $`\pi :𝒴𝒳`$ constructed in this way have all the properties of a semistable divisorial contraction, except that the relative Picard number is not necessarily equal to $`1`$. We first prove that $`(𝒴,Y)`$ is dlt. We know that the pair $`(Y_1,F)`$ is log terminal and

$$E=(f(X,Y,Z)+Tg_{\lambda 1}(X,Y,Z,T)=0)(a_1,a_2,a_3,d),$$

where $`\lambda =w(f)`$ and $`g_{\lambda 1}`$ is the graded piece of $`g`$ with weight $`\lambda 1`$ (possibly zero). The curve $`F=(T=0)E`$ is smooth and the only singularities of $`E`$ at $`F`$ are cyclic quotient singularities induced by the singularities of the ambient weighted projective space. Hence the pair $`(E,F)`$ is log terminal near $`F`$. But $`(K_E+F)`$ is ample, so $`(E,F)`$ is log terminal everywhere by Shokurov’s connectedness result (see Lemma 3.7). Hence the degenerate surface $`Y=Y_1+E`$ is semi log terminal . A standard inversion of adjunction argument shows that $`(𝒴,Y)`$ is dlt. The divisor $`E`$ is clearly irreducible. Finally, $`K_𝒴`$ is $`\pi `$-ample. For $`K_𝒴aE`$ and $`a>0`$ since $`𝒳`$ is terminal. ∎

###### Remark 3.4.

Note that a morphism $`\pi :𝒴𝒳`$ constructed as in the Theorem is a semistable divisorial contraction precisely when $`\rho (𝒴/𝒳)=1`$. This is not always the case, e.g., if $`𝒳=(xy+z^2+t^2=0)^4`$ and $`\pi :𝒴𝒳`$ is the blowup of $`0𝒳`$ then $`\rho (𝒴/𝒳)=2`$, and $`\pi `$ can be factored into a divisorial contraction followed by a flopping contraction. However, if $`𝒳`$ is $``$-factorial, then the exact sequence

$$0E\mathrm{Cl}(𝒴)\mathrm{Cl}(𝒳)0$$

implies that $`\rho (𝒴/𝒳)=1`$.

Note also that, in order to compute $`\rho (𝒴/𝒳)`$, we must work algebraically rather than local analytically at $`P𝒳`$. For example, we can construct a variety $`𝒳`$ which has an ordinary double point $`P𝒳`$ but is (algebraically) $``$-factorial. Then the blowup $`𝒴𝒳`$ of $`P𝒳`$ has $`\rho (𝒴/𝒳)=1`$.

###### Lemma 3.5.

Let $`\pi :E𝒴P𝒳`$ be a semistable divisorial contraction. Let $`p:\stackrel{~}{𝒳}𝒳`$ be the index one cover of $`𝒳`$. Then there is a diagram

$`\begin{array}{ccc}\stackrel{~}{E}\stackrel{~}{𝒴}& \stackrel{\stackrel{~}{\pi }}{}& \stackrel{~}{P}\stackrel{~}{𝒳}\\ q& & p\\ E𝒴& \stackrel{\pi }{}& P𝒳\end{array}`$
where the map $`q:\stackrel{~}{𝒴}𝒴`$ is a cyclic quotient, and the map $`\stackrel{~}{\pi }:\stackrel{~}{𝒴}\stackrel{~}{𝒳}`$ is a birational morphism such that $`\stackrel{~}{𝒴}`$ is log terminal, the divisor $`K_{\stackrel{~}{𝒴}}`$ is $`\stackrel{~}{\pi }`$-ample and the exceptional locus $`\mathrm{Ex}(\stackrel{~}{\pi })=\stackrel{~}{E}`$ is an irreducible divisor.

###### Proof.

Note first that $`\stackrel{~}{𝒴}`$ is the normalisation of $`𝒴`$ in the function field of $`\stackrel{~}{𝒳}`$. We give an explicit construction of $`\stackrel{~}{𝒴}`$ below and verify the desired properties.

Let $`a`$ be the discrepancy of $`E`$ and $`n`$ the index of $`P𝒳`$. Then the index one cover of $`P𝒳`$ is given by

$$\stackrel{~}{𝒳}=\underset{¯}{\mathrm{Spec}}_𝒳(_{i=0}^{n1}𝒪_𝒳(iK_𝒳)),$$

where the multiplication is defined by fixing an isomorphism $`𝒪_𝒳(nK_𝒳)𝒪_𝒳`$. Define $`\stackrel{~}{𝒴}`$ as follows:

$$\stackrel{~}{𝒴}=\underset{¯}{\mathrm{Spec}}_𝒴(_{i=0}^{n1}𝒪_𝒴(iK_𝒴+iaE)),$$

where the multiplication is given by $`𝒪_𝒴(nK_𝒴naE)=𝒪_𝒴(\pi ^{}nK_𝒳)𝒪_𝒴`$. The map $`\stackrel{~}{\pi }:\stackrel{~}{𝒴}\stackrel{~}{𝒳}`$ is given by the natural maps

$$𝒪_𝒳(iK_𝒳)\pi _{}𝒪_𝒴(iK_𝒴+iaE),$$

where we are using $`\pi ^{}K_𝒳K_𝒴aE`$.

Write $`a=a_1/d`$ where $`a_1`$ and $`d`$ are coprime integers. Then $`d`$ divides $`n`$; let $`e=n/d`$. The exact sequence of groups

$$0\mu _d\mu _n\mu _e0$$

induces a factorisation $`\stackrel{~}{𝒴}𝒴^{}𝒴`$ where $`𝒴^{}𝒴`$ is etale in codimension $`1`$: we have

$$𝒴^{}=\stackrel{~}{𝒴}/\mu _d=\underset{¯}{\mathrm{Spec}}_𝒴(_{j=0}^{e1}𝒪_𝒴(jdK_𝒴ja_1E))$$

and

$$\stackrel{~}{𝒴}=\underset{¯}{\mathrm{Spec}}_𝒴^{}(_{k=0}^{d1}𝒪_𝒴^{}(kK_𝒴^{}+kaE^{})).$$

To understand the cover $`\stackrel{~}{𝒴}𝒴^{}`$, choose $`b`$ such that $`ba_1=1modd`$ and, working locally over a point of $`E^{}𝒴^{}`$ where $`𝒴^{}`$ is smooth, let $`v`$ generate $`𝒪_𝒴^{}(bK_𝒴^{}+baE^{})`$. Then $`𝒪_{\stackrel{~}{𝒴}}`$ is freely generated locally by $`1,v,\mathrm{},v^{d1}`$ over $`𝒪_𝒴^{}`$ and $`v^d=u𝒪_𝒴^{}`$ cuts out $`E^{}`$. In other words,

$$\stackrel{~}{𝒴}=\mathrm{Spec}𝒪_𝒴^{}[s]/(s^d=u)$$

where $`E^{}=(u=0)`$. So $`\stackrel{~}{𝒴}`$ is normal and $`\stackrel{~}{𝒴}𝒴^{}`$ is totally ramified over $`E^{}`$.

We verify that $`\stackrel{~}{𝒴}`$ is log terminal. The pair $`(𝒴,Y)`$ is dlt by the semistability assumption, in particular $`(𝒴,E)`$ is log terminal. We have $`K_{\stackrel{~}{𝒴}}=q^{}K_𝒴+(d1)\stackrel{~}{E}`$ by Riemann–Hurwitz and $`q^{}E=d\stackrel{~}{E}`$, so $`K_{\stackrel{~}{𝒴}}+\stackrel{~}{E}=q^{}(K_𝒴+E)`$. Thus $`(𝒴,E)`$ log terminal implies $`(\stackrel{~}{𝒴},\stackrel{~}{E})`$ log terminal and so $`\stackrel{~}{𝒴}`$ is log terminal as required. The remaining assertions are clear. ∎

###### Remark 3.6.

The contraction $`\stackrel{~}{\pi }`$ covering $`\pi `$ is usually not a Mori contraction since $`\stackrel{~}{𝒴}`$ has log terminal but not terminal singularities. However, in some cases, $`\stackrel{~}{\pi }`$ is a Mori contraction. For example, let

$$𝒳=(xy+z^2+t^N=0)\frac{1}{2}(1,1,1,0),N3,$$

a $`\mu _2`$ quotient of a $`cA_1`$ point, and let $`\pi `$ be given by the weighted blowup with weights $`\frac{1}{2}(1,5,3,2)`$. Then $`\stackrel{~}{𝒳}=(xy+z^2+t^N=0)𝔸^4`$ and $`\stackrel{~}{\pi }`$ is the contraction given by the weighted blowup with weights $`(1,5,3,2)`$. A calculation shows that $`\stackrel{~}{\pi }`$ is a Mori contraction precisely when $`N=3`$. Moreover this is the only non-semistable contraction to a $`cA_1`$ point .

###### Lemma 3.7.

Let $`X`$ be a normal proper surface and $`B`$ an effective $``$-divisor on $`X`$ such that $`(K_X+B)`$ is nef and big. Then the locus where $`(X,B)`$ is not klt is connected.

###### Proof.

This is a global version of a connectedness result due to Shokurov and Kollár (see e.g. , p. 173, Theorem 5.48) — the proof is essentially unchanged but is included below for completeness.

Let $`f:YX`$ be a resolution of $`X`$ such that the support of the strict transform of $`B`$ together with the exceptional locus of $`f`$ form a snc divisor on $`Y`$. Define $`D`$ via the equation

$$K_Y+D=f^{}(K_X+B)$$

and let $`D=d_iD_i`$ where the $`D_i`$ are the irreducible components of $`\mathrm{Supp}D`$. Decompose $`D`$ into $`A=_{d_i<1}d_iD_i`$ and $`F=_{d_i1}d_iD_i`$. Then the locus where $`(X,B)`$ is not klt is the image of $`F`$, so we are required to prove that $`\mathrm{Supp}F`$ is connected. By definition we have

$$AF=D=K_Yf^{}(K_X+B).$$

Rounding up we obtain

$$AF=K_Yf^{}(K_X+B)+\{A\}+\{F\}.$$

Since $`f^{}(K_X+B)`$ is nef and big and $`\{A\}+\{F\}`$ has snc support and coefficients smaller than $`1`$, we deduce that $`H^1(𝒪_Y(AF))=0`$ by Kodaira vanishing. Hence the map

$$H^0(𝒪_Y(A))H^0(𝒪_F(A))$$

is surjective. The divisor $`A`$ is effective and $`f`$-exceptional. So

$$H^0(𝒪_Y(A))=H^0(𝒪_X)$$

and $`H^0(𝒪_{F_j}(A))0`$ for any connected component $`F_j`$ of $`F`$. Thus $`\mathrm{Supp}F=\mathrm{Supp}F`$ is connected by the surjectivity result above, as required. ∎

## 4 Examples

We give a detailed description of the semistable contractions $`E𝒴\stackrel{\pi }{}P𝒳`$ where $`P𝒳`$ is of the form

$$(xy+z^{kn}+tg(x,y,z,t)=0)\frac{1}{n}(1,1,a,0).$$

By our theorem we may choose the coordinates $`x,y,z,t`$ so that the contraction $`\pi `$ is given by the weighted blowup of $`x,y,z,t`$ with weights $`w=(w_0,1)`$, where $`w_0^3+\frac{1}{n}(1,1,a)`$ is a primitive vector, $`f(x,y,z)=xy+z^{kn}`$ is homogeneous with respect to $`w_0`$ and $`w(tg)w(f)`$.

###### Example 4.1.

Consider first the case where the index $`n`$ equals $`1`$. Let $`w_0=(a_1,a_2,a_3)`$. After a change of coordinates we may assume that

$$tg(x,y,z,t)=b_{k2}z^{k2}t^{2a_3}+b_{k3}z^{k3}t^{3a_3}+\mathrm{}+b_0t^{ka_3},$$

where $`b_ik[[t]]`$ for each $`i`$, using $`w(tg)w(f)`$. Then the exceptional divisor $`E`$ of $`\pi `$ is the surface

$$E=(XY+Z^k+c_{k2}Z^{k2}T^{2a_3}+\mathrm{}+c_0T^{ka_3}=0)(a_1,a_2,a_3,1)$$

where $`c_i=b_i(0)k`$, and $`X,Y,Z,T`$ are the homogeneous coordinates on $`(a_1,a_2,a_3,1)`$ corresponding to the coordinates $`x,y,z,t`$ on $`𝔸^4`$.

We now describe the singularities of the pair $`(𝒴,Y)`$. Consider first the affine piece $`U=(T0)`$ of $`E`$:

$$U=(x^{}y^{}+z_{}^{}{}_{}{}^{k}+c_{k2}z_{}^{}{}_{}{}^{k2}+\mathrm{}+c_0=0)𝔸^3.$$

The only singularities of $`U`$ are $`A_{l1}`$ singularities at the points where $`x^{}=y^{}=0`$ and $`h(z^{})=z_{}^{}{}_{}{}^{k}+c_{k2}z_{}^{}{}_{}{}^{k2}+\mathrm{}+c_0`$ has a multiple root of multiplicity $`l`$. These singularities are sections of $`cA_{l1}`$ singularities on the total space $`𝒴`$. The remaining singularities of $`Y𝒴`$ are of the form $`(xy=0)\frac{1}{a_1}(1,1,a_3)`$ and $`(xy=0)\frac{1}{a_2}(1,1,a_3)`$ at the points $`(1:0:0:0)`$ and $`(0:1:0:0)`$ of $`E`$ respectively.

###### Example 4.2.

Let the index $`n`$ be arbitrary. Let $`w_0=\frac{1}{d}(a_1,a_2,a_3)`$, where $`a_1`$, $`a_2`$, and $`a_3`$ are coprime, and write $`n=de`$. We may assume that

$$tg(x,y,z,t)=b_{k2}z^{(k2)n}t^{2ea_3}+b_{k3}z^{(k3)n}t^{3ea_3}+\mathrm{}+b_0t^{kea_3},$$

where $`b_ik[[t]]`$ for each $`i`$, and we have used the fact that $`g`$ is $`\mu _n`$ invariant. The exceptional divisor $`E`$ of $`\pi `$ is the surface

$$E=(XY+Z^{kn}+c_{k2}Z^{(k2)n}T^{2ea_3}+\mathrm{}+c_0T^{kea_3}=0)(a_1,a_2,a_3,d)$$

where $`c_i=b_i(0)k`$. Consider the affine piece $`U=(T0)`$ of $`E`$:

$$U=(x^{}y^{}+z_{}^{}{}_{}{}^{kn}+c_{k2}z_{}^{}{}_{}{}^{(k2)n}+\mathrm{}+c_0=0)\frac{1}{d}(a_1,a_2,a_3).$$

The singularities of $`U`$ away from $`(0,0,0)`$ can be described as above. At $`(0,0,0)`$ we have a singularity of the form

$$(xy+z^{ln}=0)\frac{1}{d}(a_1,a_2,a_3)\frac{1}{d}(1,1,b)$$

where $`l`$ is the least $`i`$ such that $`b_i0`$ and $`ba_1^1a_3modd`$. This is a cyclic quotient singularity of the form $`\frac{1}{k^{}n_{}^{}{}_{}{}^{2}}(1,k^{}n^{}a^{}1)`$, where $`k^{}=le`$, $`n^{}=d`$ and $`a^{}=b`$. The corresponding singularity of the total space $`𝒴`$ is a deformation of $`0U`$ of the form

$$(xy+z^{ln}+tg(z^d,t)=0)\frac{1}{d}(1,1,b,0).$$

The remaining singularities of $`Y𝒴`$ are of the form $`(xy=0)\frac{1}{ea_1}(1,1,\frac{a_3aa_1}{d})`$ and $`(xy=0)\frac{1}{ea_2}(1,1,\frac{aa_2+a_3}{d})`$ at the points $`(1:0:0:0)`$ and $`(0:1:0:0)`$ of $`E`$ respectively.

Department of Mathematics,
University of Michigan,
Ann Arbor, MI 48109, USA
phacking@umich.edu


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# 1 Introduction

## 1 Introduction

The famous microquasar SS 433 shows two distinctive states; the quiescent state in which the continuous jet flow is emanated, and the high state in which massive jet blobs are successively ejected. While the former state has been well studied with numerous X-ray missions, few massive jet-ejection events were observed in X-ray band, except for a possible snapshot or two taken with Einstein and RXTE . Because the ejection of a massive jet blob is a rare (2.6 yr-1) and short (a few days) event, it is difficult to observe with an X-ray mission unless the observation is specially coordinated for that purpose.

The situation is same for other microquasars such as GRS 1915+105. While minor jet-ejection events in GRS 1915+105 have been observed with RXTE in multi-wavelength campaigns and several other occasions (e.g., ), there are few X-ray observations of a massive ejection event like the one reported in the famous paper by Mirabel & Rodiríguez. X-ray data of a massive jet-ejection event in microquasars are needed to fill the void in our understanding. With such data, we can measure the mass of the massive blob, determine the energy budget of the system, etc.

We planed TOO monitoring observations of SS 433 with RXTE. In the plan, a long-term monitoring is triggered with a radio flare, which indicates that the source enters its high state. In the high state, the source is expected to experience a second flare within 30 days. If the second flare occurs, we can observe it from the onset. Our plan is different from the common TOO strategy for transient sources aiming at the first flare. The formation of a massive jet blob would not be observed with an X-ray pointing observation after the detection of the flare. SS 433’s radio activity is monitored with the RATAN-600 radio telescope, which performs such a several-month-long monitoring observation of SS 433 occasionally.

## 2 The Observations and the Data Reduction

A radio monitoring observation of SS 433 with RATAN-600 started on 2001/09/15. After two months of static activity, a remarkable flare occurred on 2001/11/02 (MJD = 52215). The radio and X-ray light curves are shown in figure 1. Flux densities reached 1.3 Jy at 2.3 GHz at MJD = 52216.6. We triggered RXTE monitoring observations as shown in Table 1. Except for a break at 2001/11/18, the source was observed for 3 ks everyday until 2001/11/25. Both anodes of layer 1, 2, and 3 of the PCA have been used in the Standard-2 mode. The raw count rate of a data segment taken on 2001/11/19 is shown in figure 2. Irregular variations are clearly seen. The spectrum and the response matrix have been made from each segment and fitted with the traditional model used for the data of SS 433 taken with Ginga and RXTE (e.g., ):

$$\mathrm{exp}[\sigma N_\mathrm{H}]\times \{\text{Bremsstrahlung}+\text{thin Fe line}+\text{thick Fe line}\}.$$
(1)
The hydrogen column density $`N_\mathrm{H}`$ is fixed to $`0.6\times 10^{22}`$. From the fit, BGD-subtracted X-ray light curves are obtained as shown in figure 1. For more detailed spectroscopy, see .

## 3 Discussion

The X-ray emitting part of the continuous jet flow with a speed of 0.26 c was estimated to be as long as $`10^{13}`$ cm, and the cooling time of the X-ray emitting plasma as short as $`10^3`$. According to this picture, an X-ray variation faster than $`10^3`$ s is difficult to detect. So, the discovery of the fast variation clearly seen in figure 2 is surprising, and our understanding of the system must be somehow changed. The fast variation suggests that either the X-ray emitting part of the jet was as short as $`10^{12}`$ cm, or other source than the jet, e.g., the inner part of the accretion disk or the surface of the compact object was seen. To distinguish the two possibilities, a temporal analysis of the Doppler-shifted iron lines is quite promising. If the jet itself was flickering, the iron line would also show flickering, and if the variation was caused by some instability of the accretion disk, the iron line would be stable through the variation. This report is preliminary and spectrally-resolved temporal study is not yet done. The data taken on 2001/11/19 has been divided into two, data with count rate larger than 220 counts s-1 and with count rate less than 220 counts s-1, and a spectrum has been made from each data. The fit results are not different significantly. So far, there is no evidence of an X-ray source other than the jet. And from the quick-look analysis, it can be said that the fast variation is not periodic; no pulsation or QPO has been found from the power spectra. We can not determine whether the variation comes from the accretion disk or a neutron star at this stage of analysis.

If we assume that the fast variation is resulted from the sudden change of the power of the jet, the parameters of the jet would be derived. The shortest time scale of the fast variation seems to be $``$50 s, i.e., $`4\times 10^{11}`$ cm, which corresponds to an initial electron density of $`10^{14}`$ cm-3, assuming an initial temperature of 20 keV . Assuming a X-ray luminosity of $`6\times 10^{35}`$ erg s-1, the mass outflow rate of the jet would be $`10^6`$ M yr-1, or a kinematic luminosity of $`10^{38}`$ erg s-1.

It should be noted that these estimated parameters are rather smaller than those based on the data taken in the quiescent state. Is the jet weaker in the high state than in the quiescent state? Or the previous estimations are simply wrong and the jet is always short and weak? Further analysis is going on.


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# Hard X-ray emission from a young massive star-forming cluster

## 1 Introduction

In the past, star formation research in the X-ray regime has focused strongly on low-mass objects, e.g., T Tauri stars. These objects emit mainly in the soft range of the X-ray spectrum ($`<2`$ keV) with typical X-ray luminosities between $`10^{28}10^{30}`$ erg s-1. The satellite observatory ROSAT was an ideal instrument to study such stars within a few 100 pc distance from the Sun, and the observed emission can be explained by enhanced solar-type magnetic activity (Feigelson & Montmerle, 1999). In the last few years, a rising number of Class I protostars, which are still deeply embedded within their natal molecular cores ($`A_\mathrm{V}10100`$ mag), have been detected in the hard X-ray regime between 2 and 10 keV with X-ray luminosities higher than $`10^{30}`$ erg s-1. These detections were mostly made with the X-ray satellites ASCA and, most recently, with Chandra. Magnetic star–disk interactions are thought to be the most likely explanation for the hard X-ray emission (Hayashi et al., 1996; Montmerle et al., 2000). Furthermore, X-ray variability is observed in all types of low-mass pre-main-sequence objects. For an excellent recent review on these topics see Feigelson & Montmerle (1999). Recently, Tsuboi et al. (2001) and Tsujimoto et al. (2002) reported the first tentative detections of deeply embedded Class 0 protostellar candidates in OMC3 by Chandra.

In comparison with the low-mass regime, X-ray observations of massive star-forming regions have been rare. Due to the high visual extinction within such regions ($`A_\mathrm{v}`$ up to a few 100 or even 1000), soft X-ray emission is completely absorbed by the gas along the line of sight. Hofner & Churchwell (1997) detected with ASCA for the first time hard X-ray emission in the massive star-forming region W3. Because of the low angular resolution of ASCA ($`>1^{}`$) they could not determine whether the emission is caused by the superposition of many point sources, e.g., protostellar clusters, or whether it is due to a wind-shocked cavity resulting from strong stellar winds interacting with the surrounding medium. Recently, Churchwell (2001) reported that Chandra data of the same region with a spatial resolution of $`0.5^{\prime \prime }`$ resolve the emission into many individual sources distributed over the entire W3 complex. Similarly, Garmire et al. (2000) and Feigelson et al. (2002) reported about 1000 X-ray emitting pre-main-sequence stars between 0.05 and 50 M in the Orion Nebula. Additionally, Zinnecker & Preibisch (1994) found X-ray emission with the ROSAT satellite in the soft X-ray band associated with several intermediate-mass Herbig Ae/Be pre-main-sequence stars. The derived X-ray luminosities for the Herbig Ae/Be stars are ranging between $`10^{30}`$ erg s-1 and $`10^{32}`$ erg s-1. Preibisch & Zinnecker (1995) speculated that the emission might originate from coronal activity due to shear dynamo action. A study of the more distant molecular clouds Monoceros and Rosette also found indirect evidence for X-ray emission from intermediate-mass pre-main-sequence sources (Gregorio-Hetem et al., 1998). An example of hard X-ray emission from a Herbig Be star is MWC 297 (Hamaguchi et al., 2000). In a recent X-ray study of the Monoceros R2 molecular cloud, Kohno et al. (2002) detected X-ray emission for stars of all masses, in particular hard X-ray emission from high-mass pre-main-sequence or Zero-age-main-sequence stars. Based on these results, X-ray emission seems likely to be an ubiquitous phenomenon in the protostellar evolution of stars of all masses.

So far, X-ray studies in high-mass star-forming regions focused on more evolved massive star formation sites, while the very deeply embedded phase – and thus the youngest stage of stellar evolution – has not been detected at all. Results obtained in recent years by our group (Sridharan et al., 2002; Beuther et al., 2002a, b, d) and other groups studying massive star formation (e.g., Cesaroni et al. 1997, Zhang et al. 2002, Tan & McKee 2002, Yorke 2002) support the hypothesis that massive stars form via disk accretion in a similar fashion as low-mass stars. Therefore, high-mass star-forming cores are promising candidate regions where in rather small spatial areas a number of sources could be hard X-ray emitters via the physical process of star-disk interactions (Hayashi et al., 1996; Montmerle et al., 2000). Necessary observational requirements are first of all sensitivity in the hard X-ray regime ($`>2`$ keV), because only hard X-ray photons can penetrate high gas column densities. Additionally, high angular resolution is needed to resolve different sub-sources of the forming cluster. While ROSAT was not sensitive to hard X-ray photons, the spatial resolution of ASCA was not sufficient to study massive star-forming regions in detail at their typical distances of a few kpc. The new-generation X-ray satellite telescopes Chandra and XMM-Newton comprise both features, being sensitive up to 10 keV, and having a spatial resolution of $`0.5^{\prime \prime }`$ (Chandra) and $`15^{\prime \prime }`$ (XMM-Newton), respectively. Especially Chandra is able to resolve many different sub-sources as impressively demonstrated in Orion by Garmire et al. (2000) and Feigelson et al. (2002).

Here, we present a Chandra X-ray study of the very young, massive and deeply embedded star-forming cluster IRAS 19410+2336. IRAS 19410+2336 is part of a large sample of 69 high-mass protostellar candidates which has been studied extensively in a series of papers during the last years (Sridharan et al., 2002; Beuther et al., 2002a, b, c, d). We assume the source to be located at its near kinematic distance of 2.1 kpc (Sridharan et al., 2002), because the derived outflow parameters are unreasonably high for the far kinematic distance (Beuther et al., 2002b). At the distance of 2.1 kpc, its infrared derived luminosity is $`10^4`$ L, and one observes two adjacent star-forming cores with masses of 840 M and 190 M (Sridharan et al., 2002; Beuther et al., 2002a). Each core drives a massive bipolar outflow in east-west direction (Beuther et al., 2002b). At the center of the southern massive core, a very compact and weak ($`1`$ mJy) cm wavelength source is detected, which coincides with H2O and Class ii CH3OH maser emission (Beuther et al., 2002c). Figure 1(top) gives an overview of the region of interest with the 1.2 mm dust continuum data (Beuther et al., 2002a) superposed on an infrared K-band image (§2.3). As the source is located in the Galactic plane, confusion due to foreground and background sources is expected and has to be disentangled by the different observations. We focus on the X-ray emission of this region and correlate the detected X-ray sources with high-resolution images in the mm and near-infrared regime. §2 describes the different observations we performed (X-ray, near-infrared and mm data), and in §3 we derive the main physical parameters of this star-forming region from our data (source detections, spectra, X-ray luminosities, plasma temperatures and masses). Finally, §4 compiles our conclusions and puts the observational findings into a more general framework of high-mass star formation.

## 2 Observations

### 2.1 Chandra X-ray observations and data reduction

IRAS 19410+2336 was observed with the ACIS-S3 chip on board the X-ray telescope Chandra for 20 ksec on October 15 2001. The ACIS-S3 aim-point was centered at the IRAS position R.A. 19:43:11.4, Dec. 23:44:06.0. (J2000.0) that is coincident with the main mm emission peak. The field of interest shown in Fig. 1 is much smaller than the $`8^{}\times 8^{}`$ field of view of the S3 chip, and the FWHM of the point-spread-function of this region is approximately $`0.5^{\prime \prime }`$. The data were reduced with the CIAO 2.2 software package using the CALDB 2.10 database. Both packages are provided by the Chandra X-ray center111http://asc.harvard.edu/ciao/download.html. The basic data product of our observation is the level 2 processed event list provided by the pipeline processing at the Chandra X-ray center.

Light curves were extracted for the whole S3 chip as well as just for the region presented in Figure 1. No flares or enhancements due to low energy protons are observed. The whole observation time is usable as good time interval. The background emission is about 0.1 cts pixel-1, but as one or two photons could be detected by background fluctuations anyway, we conservatively use 6 cts as the detection threshold for an X-ray source in this field. A wavelet based source detection algorithm was applied using default parameters (Freeman et al., 2002), and 13 sources between 7 and 19 cts are found in the field of interest (Table 1). Based on the 1.2 mm continuum map from the 30 m telescope – assuming optically thin dust emission –, we can estimate an average hydrogen column density of $`N_\mathrm{H}=5\times 10^{22}`$ cm-2 of the molecular cloud (for details on the dust emission see Beuther et al. 2002a). A Raymond-Smith plasma model (Raymond & Smith, 1977) with a 3 keV plasma, which is commonly used to model the X-ray emission of very young and embedded pre-main-sequence sources (Feigelson & Montmerle, 1999; Preibisch & Zinnecker, 2002), 6 cts correspond to an unabsorbed flux limit of $`2\times 10^{14}`$ erg cm-2 s-1. Based on the log$`N`$-log$`S`$ distribution of Giacconi et al. (2001), in a field as small as ours less than 0.1 extragalactic background sources are expected. The source positions in the field of interest are compared with 2MASS near-infrared data and should be correct within less than $`1^{\prime \prime }`$.

### 2.2 Plateau de Bure mm observations

We observed IRAS 19410+2336 in Summer 2001 with the Plateau de Bure Interferometer (PdBI) at 2.6 mm in the D (with 4 antennas) and C (with 5 antennas) configuration (Guilloteau et al., 1992). The simultaneously observed 1 mm data were only used for phase corrections because of the poor Summer weather conditions. The 3 mm receivers were tuned to 115.27 GHz (USB) (centered at the 12CO $`10`$ line) with a sideband rejection of about 5 dB. At this frequency, the typical SSB system temperature is 300 to 400 K, and the phase noise was below 30. Atmospheric phase correction based on the 1.3 mm total power was applied. For continuum measurements, we placed two 320 MHz correlator units in the band to cover the largest possible bandwidths. In this paper we are focusing on the 2.6 mm continuum data, the CO line observations will be presented elsewhere. Temporal fluctuations of the amplitude and phase were calibrated with frequent observations of the quasars 1923+210 and 2023+336. The amplitude scale was derived from measurements of MWC349 and CRL618, and we estimate the final flux density accuracy to be $`15\%`$. To cover both cores a mosaic of 10 fields was observed. The final beam size is $`4.1^{\prime \prime }\times 3.6^{\prime \prime }`$ (P.A. $`108^{}`$). We obtain a $`3\sigma `$ rms of $`5`$ mJy, which corresponds to a mass sensitivity limit of approximately 15 M assuming optically thin dust emission at 2.6 mm (see, e.g., Beuther et al. 2002a for the deviation of dust parameters from mm observations).

### 2.3 Calar Alto near-infrared observations

The near-infrared camera Omega Prime on the 3.5 m telescope on Calar Alto/Spain was used to obtain K wide field images of the region around IRAS 19410+2336 in June 2001. At a pixel scale of $`0.4^{\prime \prime }`$ pixel-1, the 1024$`\times `$1024 pixel array provides a field-of-view of $`6.8^{}\times 6.8^{}`$. A five position dither pattern was applied to image the field and to allow for a correction of array defects that were identified from well illuminated flat-field frames (for the dark pixels) and a dark frame (for the hot pixels). In each dither position, 15 individual exposures of 2 secs were stacked into one frame of 30 secs total integration time. For each position, the thermal background (sky) was computed by median combining the four frames resulting from the other dither positions. This sky frame was subtracted from the respective science frame, which also removes the bias level. The resulting frame was divided by a flat-field resulting from dome flats (the difference of a number of frames of the dome illuminated by a tungsten lamp and a number of frames taken without illumination). The images of the various dither positions were then registered and averaged into the final image. The total integration time in the center of the final image is 2.5 min, which yields a detection limit ($`5\sigma `$ peak flux) for point sources of roughly K=17.5. The seeing-limited angular resolution in the final image is about $`1.2^{\prime \prime }`$. Because the observation was conducted at high air-masses, its photometry is rather poor. Thus, we used the Omega Prime data for identification only, and the photometry is taken from the 2MASS catalog.

## 3 Results

### 3.1 Source detections and identification

Fig. 1(bottom) shows that in the very young massive star-forming region IRAS 19410+2336 hard X-ray emission from several point sources is detected. No evidence for extended or diffuse emission is found within our detection limits (§2.1). At mm wavelengths, the two massive cores detected with the IRAM 30 m single-dish observations at an angular resolution of $`11^{\prime \prime }`$ (Beuther et al., 2002a) split up into many sub-sources when observed at higher spatial resolution (Fig. 1, bottom), confirming that a cluster of stars is forming. The interferometric data highlight the real massive cores, whereas the large-scale surrounding core emission is filtered out by the interferometric observing technique. A detailed analysis of the protocluster properties will be presented elsewhere. Here we are focusing on the spatial associations of X-ray, near-infrared and mm sources.

Thirteen X-ray sources are detected within the field of interest (Table 1). Remarkably, nearly all X-ray sources are, within the positional uncertainty, associated with near-infrared counterparts observed in the K-band (X3 and X5 only tentatively). Because the K-band extinction is approximately only $`10\%`$ of the visual extinction, in the K-band we can observe more embedded regions of star-forming cluster than possible in the optical. We recall that the extinction in the soft X-ray regime is similar to the K-band extinction, and that it drops even further going to higher X-ray energies (Casanova et al., 1995; Ryter, 1996). In contrast to the K-band counterparts, only 2 sources (X2 and X8) are found in the direct vicinity of mm dust cores that are tracing the coldest and deepest embedded regions where presumely the youngest sources are found. The whole region is also covered by the 2 Micron All Sky Survey (2MASS222For details see the 2MASS web-site at http://www.ipac.caltech.edu/2mass/releases/docs.html) in the near-infrared bands J, H and K. Except for sources X2, X3, X5 and X11, which are detected by our K-band Omega Prime observation but which are too faint to be detected by the 2MASS survey, all other X-ray sources are also 2MASS point sources. A color-color diagram helps to determine the characteristics of the associated near-infrared counterparts (Fig. 2). While a few of the near-infrared sources are located around the unreddened main sequence in the color-color diagram, many sources are reddened and show near-infrared excess, suggesting that they are pre-main-sequence objects surrounded by circumstellar material. This is expected in view of the early evolutionary stage, the large core masses and the high column densities of the region (Beuther et al., 2002a). Table 1 compiles reddening estimates of the X-ray near-infrared counterparts. The $`A_\mathrm{v}`$ of X1 is most uncertain because X1 has the largest near-infrared excess which makes the $`A_\mathrm{v}`$ determination more difficult. Using the reddening scale (Fig. 2), we can still estimate an approximate value of the visual extinction $`A_\mathrm{v}`$ of X1.

### 3.2 Spectral information of the X-ray data

#### 3.2.1 X-ray spectra and X-ray luminosities

The number of photons per detected source ranges from 7 to 19 counts within the 20 ksec observation time (Table 1). We note that we are dealing with low-number statistics, and this has to be taken into account when deriving the physical parameters of this region. Figure 3 presents the photon energies of the 13 X-ray sources versus time. As expected, we detect emission mainly between 2 keV and 6 keV in the near-infrared reddened and thus embedded sources, whereas the sources, that are near main sequence colors in the color-color diagram, emit more in the soft regime below 2 keV (see also mean values in Figure 3 and Table 1). The deficiency of soft photons ($`<2`$ keV) in the direction of the embedded sources is most probably due to the high column densities that absorb the soft X-rays. The lack of photons above 6 keV may be a real feature of the X-ray sources, but it has also to be noted that the sensitivity of Chandra above 6 keV decreases significantly. The effective collection area of Chandra at 8 keV drops to less than a quarter of that at 4 keV333See Chandra Proposers’ Observatory Guide, 2000, http://cxc.harvard.edu. The fact that we detect hard X-ray emission ($`>3`$ keV) of the embedded sources fits in the general finding that the younger the sources are, the harder the X-ray emission is (e.g., Feigelson & Montmerle 1999 or §1). The X-ray spectra of X1 to X7 show all such hard X-ray signatures, which makes them likely to belong to the forming cluster. The distribution of photon energies cannot be explained by a low-temperature-Raymond-Smith plasma of 1-2 keV (Raymond & Smith, 1977), usually used to fit the X-ray spectra of low-mass T Tauri stars (Feigelson & Montmerle, 1999), because the column densities $`N_\mathrm{H}`$, that are necessary to attenuate all the emission below 2 keV($`N_\mathrm{H}`$ a few times $`10^{23}`$ cm-2), would imply average X-ray luminosities as high as $`10^{34}`$ erg s-1. This value exceeds the known luminosities of young stellar objects by orders of magnitude (§1), and it could hardly be reached even during strongest flaring events (e.g., Preibisch et al. 1993, Grosso et al. 1997, Tsuboi et al. 2000). Contrasting these hard spectra, X8 to X13 show softer spectra. While some of them might be unrelated objects, others could belong to the cluster but be in a more advanced state of evolution (for details see §3.4).

In order to derive estimates of the X-ray plasma temperatures and the X-ray luminosities, we performed a detailed spectral analysis. We extracted individual pulse-height spectra and built the corresponding redistribution matrices and ancillary response files for each source. We fitted the ungrouped pulse-height spectra with XSPEC, using a single-temperature thermal plasma model (model “raymond”, Raymond & Smith 1977) plus the absorption model “wabs”. The plasma temperatures and column densities derived in these fits are compiled in Table 1. The fitting results were then used to integrate (in XSPEC) the model fluxes over the 0.2–10 keV band and to compute the X-ray luminosities. In some cases the low number of detected photons allowed only to derive lower limits to the plasma temperature. We are fully aware that, given the rather low number of photons per source, the derived spectral parameters inherit a relatively large statistical uncertainty. Nevertheless, we believe that the fitting results contain valuable information, for the following three reasons:

(1) The spectral parameters derived in the fits allow a clear distinction of two different groups among the sources: sources X1-X7 show high plasma temperatures (k$`T>3`$ keV) and high colum densities ($`N_\mathrm{H}>10^{22}`$ cm-2); in contrast, the sources X8-X13 show low plasma temperatures (k$`T<1.5`$ keV) and (with the exception of X8) low colum densities ($`N_\mathrm{H}<10^{22}`$ cm-2). These two groups exactly reflect the spatial distribution of the sources: X1-X7 are located inside the central region of the molecular clump, while X8-X13 lie outside the molecular clump (Fig. 1).

(2) The column densities derived in the spectral fits agree in nearly all cases rather well with expectations from the infrared colors of the sources (Table 1, $`A_\mathrm{v}=N_\mathrm{H}/2\times 10^{21}`$).

(3) Getman et al. (2002) have performed fitting simulations of pulse-height spectra with low numbers of counts to estimate the statistical uncertainties of the fitting results. They found that even if the column densities and temperatures derived in the fits are subject to rather large uncertainties, the broad-band X-ray luminosities derived from the fitting results are quite reliable (statistical error $`35\%`$ for spectra with 15 counts).

Very likely, the X-ray emission of these objects originates from a hot thermal plasma typical for very young embedded objects (e.g., Feigelson & Montmerle 1999, Preibisch & Zinnecker 2002, Kohno et al. 2002). But as the number of photons and by that the spectroscopic information is small, other X-ray emission processes have to be taken into account, e.g., non-thermal power-law distributions as a signature of synchrotron emission, which has been observed in the radio regime by Reid et al. (1995) in the massive star-forming region W3(OH). Therefore, we also estimate X-ray luminosities with three different power-law distributions $`S_\mathrm{x}E^\alpha `$ ($`\alpha =0.5,1,2`$) to derive an estimate for the influence of $`\alpha `$ on the total X-ray luminosity (using the web-based PIMMS tool444http://asc.harvard.edu/toolkit/pimms.jsp). The derived luminosities vary by less than a factor 1.5 for the different $`\alpha `$. As hot plasmas are dominated by bremsstrahlung above k$`T1`$ keV (Fink & Trümper, 1982), which can also be approximated by non-thermal power-law distributions, the X-ray luminosities derived this way are close to the luminosities calculated using the Raymond-Smith plasma (they differ only a factor 2 at maximum).

We calculated $`L_\mathrm{x}`$ only for X1 to X8 (Table 1), because the other sources could be foreground or background objects, and thus no reliable distance is known. We find X-ray luminosities in the $`10^{31}`$ erg s-1 range. These values are high, and above or at the upper end of classical T Tauri X-ray luminosities, i.e., in the regime of younger Class I sources (Feigelson & Montmerle, 1999) and/or more massive Herbig Ae/Be type objects (Zinnecker & Preibisch, 1994; Gregorio-Hetem et al., 1998; Hamaguchi et al., 2000). Unresolved binary systems could alter the results slightly, but not by orders of magnitude.

#### 3.2.2 Variability

We do not see strong intensity flaring in our observations (Fig. 3), but sources X2, X3 and X4 show absence of detected photons in the time interval between $`6\times 10^3`$ and $`10^4`$ sec, which indicates possible variability in these sources. The other sources show a rather constant count rate within the 20 ksec of our observation. To quantify the possible variability, we performed a statistical test of the photon arrival times following the approach outlined by Preibisch & Zinnecker (2002): given the number of detected photons in one source in the total integration time, we compute the mean count rate and specify the time period in which two photons are expected assuming a constant count rate. Then we determine the maximum number of photons $`N_{\mathrm{max}}`$ detected in this source within any time interval as long as the one derived for the two photons. The Poisson probability to find $`N_{\mathrm{max}}`$ or more counts due to statistical fluctuations in a period for which two photons are expected, is given by

$$P=1\underset{k=0}{\overset{N_{\mathrm{max}}1}{}}e^2\frac{2^k}{k!}.$$

The probability of variability ($`pov`$) is given by $`pov=1P`$ (for details see, e.g., Bevington & Robinson 1992). The $`pov`$ values for X3 and X4 are only $`68\%`$ and $`85\%`$, giving just marginal evidence for variability within our total observing time. Contrasting to that, $`pov`$ equals $`98.3\%`$ for X2, therefore this source is consistent with X-ray variability.

### 3.3 Mass estimates from the near-infrared data

The 2MASS near-infrared K-band data provide a tool to estimate the masses of the infrared sources. Taking the observed K-band brightnesses $`m_\mathrm{K}`$ at the given K-band extinction ($`A_\mathrm{K}0.11\times A_\mathrm{v}`$) we get an estimate of the intrinsic brightness $`M_\mathrm{K}`$ of the source assuming the distance $`d=2`$ kpc:

$$m_\mathrm{K}M_\mathrm{K}=5\mathrm{log}(d)5+A_\mathrm{K}.$$

Different pre-main-sequence tracks are discussed in the literature (e.g., D’Antona & Mazzitelli 1994, Baraffe et al. 1998, Palla & Stahler 1999, Siess et al. 2000, D’Antona et al. 2000). While some of them differ significantly at the low-mass end, they are better comparable going to masses $`>1`$ M (Siess et al., 2000). Most of the calculated tracks do not cover stars more massive than 2.5 M, but Palla & Stahler (1999) calculate the pre-main-sequence evolution to 6 M and Siess et al. (2000) to 7 M. At the high-mass end, which we are particularly interested in, both calculations agree well. The tracks of intermediate-mass stars ($`>2`$ M) are following almost horizontal tracks of equal luminosity in the Hertzsprung-Russel diagram, and the luminosity is almost independent of the temperature. Thus, it is possible to estimate luminosities and by that masses from our K-band observations, but the data do not give any information about the age of the objects. Siess et al. (2000) stress that any age determination below $`10^6`$ yr is highly uncertain. In the following, we use the tracks compiled by Palla & Stahler (1999), but the results are similar when using the tracks of Siess et al. (2000).

Comparing the intrinsic K-band brightnesses $`M_\mathrm{K}`$ with the theoretical tracks by Palla & Stahler (1999), we can derive mass estimates for the near-infrared objects. We apply this procedure for the near-infrared sources corresponding to X1, X6, X7 and X8, because only those are 2MASS detections and likely belong to the forming massive clusters (§3.2). The pre-main-sequence tracks provided by Palla & Stahler (1999) for stars up to 6 M do not comprise sources intrinsically brighter than $`1.6`$ mag in the K-band. Sources more massive than 8 M do not have an optically visible pre-main-sequence phase, because they start nuclear burning already being deeply embedded in their natal cores (Palla & Stahler, 1993). Therefore, X6 and X7 could be more massive than 6 M, but it has to be noted that the derived model brightnesses $`M_\mathrm{K}`$ neglect luminosity due to the disk, i.e., heated dust in the disk, and accretion luminosity within the disk and between the disk and the protostar. Palla & Stahler (1999) stress that the understanding of these processes is still inadequate for quantitative predictions, but as the near-infrared excess in X6, X7 and X8 is not very high (Fig. 2), to our judgment the additional disk luminosity in these sources is not the dominant effect. This is different for source X1 which has considerable infrared excess and makes K-band brightnesses difficult to be compared with theoretical predictions. But as stars below 2 M are at least 2 magnitudes fainter in the theoretical predictions than the observed brightness of X1, 2 M can still be regarded as a tentative lower mass limit for this source. Real upper mass limits are given by the total bolometric luminosity of the whole cluster of $`10^4`$ L (Sridharan et al., 2002). A luminosity of $`10^4`$ L corresponds in the case of main sequence stars to a B1 star (13 M). As a cluster of stars is forming in IRAS 19410+2336, the mass distribution of the cluster members is likely to follow an initial mass function. In spite of their larger number, the luminosity-mass relation for low-mass stars is lower ($`Lm^{2.8}`$ for $`m<1`$ M) than for high-mass stars ($`Lm^4`$ for $`1<m<30`$ M, Schatzman & Praderie 1993), and still the major contribution of the total luminosity stems from the massive cluster members. For a detailed IMF discussion of the initial source sample see Sridharan et al. (2002). As the most massive object is likely the central mm source, which is not detected in X-ray emission, the X-ray detected sources are $`10`$ M. Additionally, the models give the approximate luminosity of the sources and we get an estimate of the $`L_\mathrm{X}/L_{\mathrm{bol}}`$ ratio ($`L_\mathrm{X}`$ is taken from §3.2 and Table 1). The parameters and results are listed in Table 2.

The derived masses are in the intermediate-mass regime of Herbig Ae/Be stars, clearly more massive than usual T Tauri or Class I sources. Zinnecker & Preibisch (1994) observed X-ray emission from Herbig Ae/Be stars, and those sources showed rather soft spectra. Preibisch & Zinnecker (1995) speculate that the observations could be explained by coronal emission due to a shear dynamo. As the spectral signatures of the sources we are studying here are significantly harder than those found in their sample (§3.2), we suggest that the X-ray emission could be due to magnetic star–disk interactions as proposed for very young Class I sources (Montmerle et al., 2000). In that framework, it is possible that the sources observed in IRAS 19410+2336 are precursors of the better studied Herbig Ae/Be stars. The possible $`L_\mathrm{X}/L_{\mathrm{bol}}`$ ratio-regime (Table 2) for two sources is at the upper boundary consistent with ratios found in very young low-mass objects ($`2\times 10^4`$, e.g., Feigelson & Montmerle 1999, Preibisch & Zinnecker 2002), but at the lower end it is also consistent with the $`L_\mathrm{X}/L_{\mathrm{bol}}`$ ratios found in samples of Herbig Ae/Be stars (Zinnecker & Preibisch, 1994; Gregorio-Hetem et al., 1998). It could be argued that the X-ray emission is due to low-mass counterparts, but as the derived X-ray luminosities are significantly larger than typical values in the low-mass regime, most of the X-ray emission stems likely from the intermediate-mass sources.

### 3.4 The X-ray sources in detail

##### Source X1 and the main mm core:

The most remarkable X-ray source is X1, which does not only show strong reddening but also the largest infrared excess indicative embedded protostellar objects (Feigelson & Montmerle, 1999). As the infrared derived mass is $`2`$ M but the X-ray spectrum harder than usual Herbig Ae/Be stars (Zinnecker & Preibisch, 1994), X1 is probably not a normal Herbig Ae/Be star but a precursor of such an object.

Source X1 is the X-ray source nearest to the core center but not coincident with a mm core. Figure 4 shows that the main mm core coincides with a compact cm source as well as with H2O and Class ii CH3OH maser emission (Minier et al., 2001; Beuther et al., 2002c), while the X-ray source is clearly offset and coincides with a near-infrared source $`6^{\prime \prime }`$ to the west. Thus, the main mm core is likely to contain the youngest and most massive object of the cluster, and we do not detect X-ray emission from this source, but only from another object nearby that might be slightly more evolved. Therefore, we do detect X-ray emission from pre-main-sequence sources but not from the youngest and massive center of the cluster. Assuming optically thin dust emission, we estimate the core mass of the central source from the 2.6 mm continuum data to about 80 M and the H2 column density to $`2\times 10^{24}`$ cm-2, corresponding to a visual extinction $`A_\mathrm{v}`$ of approximately 2000 (for details on mm dust calculations see Beuther et al. 2002a). Taking into account this visual extinction and assuming different Raymond-Smith plasma temperatures for the X-ray emission, we can calculate a range of upper limits for the X-ray luminosity of this source: a 3 keV plasma temperature corresponds to an upper limit of $`L_\mathrm{X}<9\times 10^{34}`$ erg s-1, while a temperature of 10 keV implies $`L_\mathrm{X}<4\times 10^{34}`$ erg s-1. A lower plasma temperature of 1 keV results in an upper limit of $`L_\mathrm{X}<14\times 10^{36}`$ erg s-1. However, it has to be noted that the possibility remains that there is no significant X-ray emission in the earliest stages of massive star formation.

##### Sources X2 and X5:

Source X2 is at the edge of the southern mm emission and associated with some faint K-band emission that might be a reflection nebula from the main sources to the south. As the K-band emission is weak, it is not detected by 2MASS. Being in the near vicinity of a mm core and showing a very hard X-ray spectrum, it is possible that X2 might be powered by an embedded protostellar object. It has to be noted that this source is the only one with observed X-ray variability. Source X5 is also too faint in the near-infrared to be detected by 2MASS, and it is difficult to decide whether the nearby faint K-band emission is a stellar feature or a reflection nebulae. But as X5 has the hardest X-ray spectrum of our sample, it is very likely a young protostellar object within the cluster of IRAS 19410+2336.

##### Sources X3 and X4:

These sources are both close to the same near-infrared source, but accurate astrometry indicates that X4 rather than X3 is associated with it (Fig. 4). Additionally, we find an optical counterpart for X4 in the Digitized Sky Survey provided by the Space Telescope Science Institute. Based on the X-ray spectrum, which is not as hard as the spectra of the other cluster members, and the optical and infrared data, we cannot distinguish whether X4 belongs to the cluster or is an unrelated foreground object. In contrast, X3 might be associated with more diffuse K-band emission (Fig. 4). As the hard X-ray spectrum of X3 is indicating an early evolutionary stage, this source most likely is a very young pre-main-sequence object belonging to the cluster under investigation.

##### Sources X6 and X7:

These sources also show hard X-ray spectra, and both are within the large-scale region of the southern massive core as seen in Fig. 1(top), but no mm core corresponds to any of them. This is reflected in the color-color diagram, where they inhabit a reddened region without strong infrared excess. The infrared-derived mass estimates are not conclusive, but the data – X-ray and near-infrared – are consistent with precursors of Herbig Ae/Be stars of masses between 5 M and 10 M.

##### Source X8:

Source X8 is associated with the strongest mm peak of the northern cluster as well as with a near-infrared and even an optical counterpart (as found in the Digitized Sky Survey). The 2MASS data show that the infrared source is reddened and has infrared excess, and we derive a lower mass limit of approximately 3.5 M. The X-ray spectrum is softer than for the southern cluster members, thus it is possible that X8 is in a slightly more evolved state of evolution.

##### Sources X9 and X10:

The X-ray spectrum of these sources is softer, but they are still reddened in the color-color diagram and X9 even shows infrared excess. It is likely that they are also young stellar objects, but we are not able to determine whether they belong to the cluster or whether they are foreground objects.

##### Sources X11, X12 and X13:

These sources also have a rather soft spectrum, and the color-color diagram locates them on or near the unreddened main sequence (X11 is too weak to be a 2MASS detection). As they are also spatially offset from the large-scale mm core, we regard them as not associated with the massive star-forming region.

## 4 Conclusions

Hard X-ray emission from a number of point sources is detected in a young, massive and embedded star-forming cluster in a very early stage of evolution. We did not detect X-ray emission from the most massive and central object (upper limit $`L_\mathrm{X}<9\times 10^{34}`$ erg s-1 for k$`T=3`$keV) but from a few sources in its vicinity. Typical X-ray properties of high-mass main-sequence stars ($`M_{}8M_{}`$), where the emission originates from internal shocks in the radiation-driven stellar winds, are $`L_\mathrm{X}/L_{\mathrm{bol}}10^7`$, soft X-ray spectra with typical temperatures of k$`T0.5`$ keV and very little variability (Berghöfer et al., 1997). The X-ray properties we find for X1 to X7 are clearly different, they show hard X-ray emission (k$`T3`$ keV) and most of them also near-infrared excess, very similar to those observed for extremely young embedded objects (Class I protostars), which have typical plasma temperatures of k$`T510`$ keV (Feigelson & Montmerle, 1999; Imanishi et al., 2001). Combining infrared data with pre-main-sequence evolutionary tracks (Palla & Stahler, 1999), it is possible to estimate the approximate masses of some of the hard X-ray sources. Those estimates indicate that they are in the intermediate-mass regime of Herbig Ae/Be objects. Taking additionally into account the harder X-ray spectra compared with other Herbig Ae/Be studies, it is likely that the X-ray sources in IRAS 19410+2336 are even precursors of Herbig Ae/Be stars. The emitted X-ray photons with energies mostly above 2 keV indicate plasma temperatures $`>10^7`$ K and X-ray luminosities around a few times $`10^{31}`$ erg s-1. The latter values are well within the regime of Class I low-mass protostars (Feigelson & Montmerle, 1999), but they are also consistent with the results obtained for Herbig Ae/Be stars (Zinnecker & Preibisch, 1994). Thus, some of the objects are probably very young intermediate-mass pre-main-sequence sources, whereas other sources could also be low-mass Class I or T Tauri stars. The emission of one of the sources is consistent with X-ray variability.

In spite of the observation of hard X-ray emission in the weak-lined T Tauri star V773 (Tsuboi et al., 1998), where the disk has already been dissipated to a large degree, it is unlikely that the hard X-ray spectra observed in younger class I sources are due to enhanced solar-type magnetic activity. Therefore, it is proposed that the hard X-ray emission, which is more often observed in class I sources than in weak-lined T Tauri stars, is produced by magnetic reconnection effects between the protostars and their accretion disks (Hayashi et al., 1996; Feigelson & Montmerle, 1999; Montmerle et al., 2000). As the X-ray spectra of the intermediate-mass objects in IRAS 19410+2336 exhibit very similar signatures to such low-mass sources, our results are consistent with disks being present in intermediate-mass star formation as well.

For a better understanding of the nature of the underlying X-ray powering sources much work has to be done in the future. Deeper X-ray and near-infrared images will help to set stronger constraints on the physical properties of the sources: it will be necessary to obtain sensitive X-ray spectra to determine better the absorbing $`N_\mathrm{H}`$ column densities and plasma parameters. It is also of great interest to further investigate the properties of the central and deepest embedded object, which means lowering the detection limits. Furthermore, the variability of the X-ray sources in very young massive star-forming regions is not known so far. Therefore, several approaches should be followed in the years coming: deep Chandra observations of the source of interest will disclose variabilities and faint emission of the central object. Additionally, a sample of similar sources has to be identified, because only a statistical analysis of several young high-mass star-forming regions can build a solid picture of the relevant physical processes. As high spatial resolution is essential for many of this studies, Chandra is a very promising choice. But considering the higher sensitivity of XMM-Newton, it might be possible to study grating X-ray spectra of the brightest sources of the sample of clusters studied then. On the near-infrared side, we suggest to get deeper images in the J, H and K bands to improve the mass estimates of the X-ray emitting sources, and near-infrared spectroscopy might help classifying the types of stars (Hanson et al., 2002).

To summarize, X-ray studies of young massive star-forming regions are just in its infancy, and the next years with the space telescopes Chandra and XMM-Newton will bring many new insights in that research area. We also like to stress that multi-frequency studies over a wide range of bands are extremely promising approaches for the understanding of the physical processes forming massive stars.

###### Acknowledgements.

We thank an anonymous referee for very helpful and detailed comments on the paper. This publication makes use of data products from the Two Micron All Sky Survey, which is a joint project of the University of Massachusetts and the Infrared Processing and Analysis Center, funded by the National Aeronautics and Space Administration and the National Science Foundation. We also used data from the Digitized Sky Survey as provided by the Space Telescope Science Institute.


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# Interplay between pairing and exchange in small metallic dots

## Abstract

We study the effects of the mesoscopic fluctuations on the competition between exchange and pairing interactions in ultrasmall metallic dots when the mean level spacing $`\delta `$ is comparable or larger than the BCS pairing energy $`\mathrm{\Delta }`$. Due to mesoscopic fluctuations, the probability to have a non-zero spin ground state may be non-vanishing and shows universal features related to both level statistics and interaction. Sample to sample fluctuations of the renormalized pairing are enlightened.

The competition of superconductivity and ferromagnetism and their possible coexistence in bulk materials has been intensively investigated in the past and it lead to a very rich phase diagram ferrosuper . In addition to the suppression of superconductivity due to time reversal symmetric breaking, new phases with non-uniform magnetic and superconducting ordering were predicted fsreview . This picture does not hold when the size of the sample is reduced such that the average level spacing $`\delta `$ becomes comparable with the energy scales related to the onset of macroscopic order. In this case fluctuation (both thermal and quantum) effects become very important and even the definition of ordered phase is elusive. For instance a small superconductor will not posses a fully developed gap pairing  and the spin of a ferromagnet will not be macroscopically large exchange . Nevertheless distinct features reminiscent of the macroscopic order can be traced even in nanosized grains.

In this Letter we investigate the competition between exchange and pairing in small metallic grains. Our approach starts from the results of a recent work of Kurland et al. kualal  who have shown that universal features of electrons in isolated mesoscopic grains are accounted for by the Hamiltonian (see also Refs. blanter96 ; aleiner97 )

$$=\underset{\alpha =1}{\overset{\mathrm{\Omega }}{}}\underset{\sigma =\{,\}}{}ϵ_\alpha c_{\alpha ,\sigma }^{}c_{\alpha ,\sigma }+E_C\widehat{N}^2\lambda \widehat{T}^{}\widehat{T}J\widehat{S}^2.$$
(1)
This description is valid in the limit of very large dimensionless conductance $`g=E_T/\delta `$, being $`E_T`$ the Thouless energy and $`\delta `$ the mean level spacing. In Eq.(1) the first term is the kinetic energy while the electron-electron interaction is expressed as a sum of three terms, which describe respectively charging, pairing and exchange interactions. The index $`\alpha `$ spans a shell of $`\mathrm{\Omega }`$ doubly degenerate ($`\sigma =\pm `$) time reversed single particle states of energy $`ϵ_\alpha `$, and $`c_{\alpha ,\sigma }`$ ($`c_{\alpha ,\sigma }^{}`$ ) are the corresponding annihilation (creation) operators. The energies $`ϵ_\alpha `$ are distributed according to the Gaussian Orthogonal Ensemble (GOE), which describes the case of time-reversal symmetry with no spin-orbit coupling mehta . The interaction depends only on the collective variables $`N=_\sigma c_{\alpha ,\sigma }^{}c_{\alpha ,\sigma }`$ (the number operator), $`T=_{\alpha =1}^\mathrm{\Omega }c_{\alpha ,}c_{\alpha ,+}`$ (pair creation operator), and $`\stackrel{}{S}=_{\alpha =1}^\mathrm{\Omega }c_{\alpha ,\sigma }^{}\stackrel{}{\sigma }_{\sigma ,\sigma ^{}}c_{\alpha ,\sigma ^{}}`$ (the total spin operator, $`\sigma `$ are the Pauli matrices). For isolated grains $`N`$ is fixed and the charging term can be ignored. Pairing interaction tends to favour the formation of spin singlets, while exchange tends to favour maximal spin, so they compete in determining the spin ordering.

A clear picture is already emerging in the case where either pairing or exchange is present. In the absence of exchange interactions ($`J=0`$), the Hamiltonian in Eq.(1) describes pairing correlations in small metallic grains pairing . Although no phase transition occurs, signatures of pairing correlations have been detected BRT  even in nanosized grains. For this model it has been shown matlar ; mastellone  that the low-energy properties are universal functions of the ratio $`\delta /\mathrm{\Delta }=2\mathrm{sinh}(\delta /\lambda )/\mathrm{\Omega }`$ ($`\mathrm{\Delta }`$ is the BCS gap value). Upon increasing the size of the grains, hence decreasing the ratio $`\delta /\mathrm{\Delta }`$, there is a crossover mastellone  between the case of ultrasmall grains ($`\delta \mathrm{\Delta }`$) where pairing produces strong quantum fluctuations matlar , and a regime ($`\delta \mathrm{\Delta }`$), where the BCS mean-field description remains valid vondelft . Signatures of pairing correlations may be detectable in thermodynamic quantities thermo , even for ultrasmall grains. In absence of paring ($`\lambda =0`$) the properties of the model of Eq.(1) are determined by the interplay between the kinetic term, which favours Pauli filling of the levels and zero total spin in ground state, and exchange one which tends to maximize $`S`$ and eventually leads to the Stoner instability for $`J\delta `$. However in mesoscopic samples kualal ; baranger ; brouwer ; jasto  it is possible to find individual grains with a cluster of $`2S`$ closely spaced levels around the Fermi energy, whose ground state may have spin $`S`$ even for $`J\delta `$. The probability $`P_S(J/\delta )`$ of spin-$`S`$ ground state directly reflects the universal properties of the level statistics folk .

In order to describe the interplay between superconductivity and ferromagnetism in small grains we study how the tendency to magnetic ordering is reduced when pairing is gradually increased. Hence, in the same spirit as in Ref. folk , we consider the probability $`P_S`$ of finding a spin-$`S`$ ground state in the regime $`J,\lambda \delta `$, which is in turn related to the spontaneous magnetization of an ensemble of grains. All the results that will be presented are obtained in the half-filling scheme, where the numbers of electrons $`N`$ is equal to the number of levels $`\mathrm{\Omega }`$. For an ensemble of normal grains $`P_S(J/\delta )`$ for $`J\delta `$ is non-zero due to grains with a cluster of $`2S`$ close levels around the Fermi energy folk . The same picture applies when pairing interaction is present except that, since the energy balance between spin $`S`$ states involves the pairing correlation energy, one should take into account contributions coming from the entire shell of $`\mathrm{\Omega }`$ levels. In the weak coupling limit $`J,\lambda \delta `$ there is a simple way to circumvent this problem, namely to consider a shell of $`2S`$ levels with a renormalized pairing coupling $`\stackrel{~}{\lambda }_{2S}`$ (see Ref. berhal ). Notice that whereas no sample to sample fluctuations affect the bare $`\lambda `$, the actual level distribution may produce fluctuations in $`\stackrel{~}{\lambda }_{2S}`$, which we ignore at the moment. With this hypothesis the probability to have spin-$`S`$ in the ground state, for $`0<JJ_S^{}\lambda \delta `$, is

$$P_S\left(\frac{J}{\delta }\right)=C_S\left(\frac{J}{\delta }\right)^{\alpha _S}\left(\frac{JJ_S^{}}{\delta }\right)^{\alpha _S},$$
(2)
where $`\alpha _S=(S+1)(2S1)/2`$, $`J_S^{}`$ is the threshold value of the exchange below which the spin probability vanishes and depends on the spin and the pairing ($`J_1^{}=\stackrel{~}{\lambda }_2`$, $`J_{3/2}^{}=2\stackrel{~}{\lambda }_3/3`$) and the $`C_S`$ are dimensionless constant depending only on the spin $`S`$ ($`C_1=\pi ^2/3`$, $`C_{3/2}=9\pi ^4/50`$) which directly reflect the universal statistical properties of the GOE level distribution. Compared to the case where pairing is absent kualal , the exponent $`\alpha _S`$ is halved.

We now check these results with numerical calculations. We have considered grains with size up to $`\mathrm{\Omega }=30,31`$, which are large enough to show the universal behavior of the pairing interaction mastellone , as in grains with much larger $`\mathrm{\Omega }`$. We considered ensembles of grains whose single particle spectra $`\{ϵ_\alpha ,\alpha =1,\mathrm{},\mathrm{\Omega }\}`$ realize the GOE level statistics. To this end we diagonalized a set of $`5\mathrm{\Omega }`$x$`5\mathrm{\Omega }`$ real orthogonal random matrix taking out the central $`\mathrm{\Omega }`$ eigenvalues, in order to avoid edge effects. Then we found the many-particle energies of Eq.(1) by using the Richardson exact solution richardson  for larger systems ($`\mathrm{\Omega }20`$), whereas for smaller systems we used the standard numerical diagonalization of the Hamiltonian or the Lanczos method. For systems with even (odd) $`N`$ we studied the probability $`P_1`$ ($`P_{3/2}`$) of a ground state with spin 1 (3/2) using a set of $`10^5`$ ($`10^6`$) level configurations (systems with odd $`N`$ require more statistics because $`P_{3/2}`$ is smaller). Results are shown in Fig.1 and Fig.2 for values of $`J/\delta `$ such that the probability that the ground state has larger spin ($`S>1`$ or $`S>3/2`$) is negligible.

The result given in Eq.(2) reproduces quite well the numerical data, except for smaller $`\delta /\mathrm{\Delta }`$ (large grains) and near $`J_S^{}`$, a regime which we discuss later. Thus we conclude that $`P_1`$ and $`P_{3/2}`$ show the universal features of the level statistics predicted in Eq.(2), namely the coefficient $`C_S`$ and the power law as a function of $`(JJ_S^{})`$. In addition we find a new manifestation of the universal behavior in the quantity $`J_S^{}`$. According to the simple theory which leads to Eq.(2) for grains with even (odd) $`N`$ this quantity is related to the renormalized two (three) levels pairing constant $`\stackrel{~}{\lambda }_2`$ ($`\stackrel{~}{\lambda }_3`$). By fitting the linear part of the curves in Fig.1 and Fig.2, we find that $`\stackrel{~}{\lambda }_2`$ and $`\stackrel{~}{\lambda }_3`$ are given by a universal functions of $`\delta /\mathrm{\Delta }`$, of the form $`\stackrel{~}{\lambda }_{2S}=\delta /\mathrm{ln}(a_S\delta /\mathrm{\Delta })`$ matlar ; mastellone . This result, shown in the insets of the Fig.1 and Fig.2, is valid over several decades of values of the parameters.

We now discuss more carefully the behavior near $`J_1^{}`$ for grains with even $`N`$ (Fig.1). For samples with larger pairing interaction (smaller $`\delta /\mathrm{\Delta }`$) the probability $`P_1`$ shows a non vanishing tail for $`JJ_1^{}`$. We argue that this effect is due to sample to sample fluctuations of the renormalized $`\stackrel{~}{\lambda }_{2S}`$ which we ignored in Eq.(2). To understand this point consider even $`N`$ and samples for which the two levels in the central cluster at the Fermi energy are closely spaced ($`s_2\delta `$). These samples may contribute to $`P_1(J/\delta )`$ for $`JJ_1^{}`$. The two-level renormalized coupling in one of these grains is determined by the configuration of the other levels in the $`\mathrm{\Omega }`$ shell and in particular depends strongly on the spacing $`s_4`$ between next neighboring pair of levels (above and below the Fermi energy, see the right side of Fig.3). For most of the samples $`s_43\delta `$ and they will have approximately the same two-level renormalized coupling, which is identified as the threshold $`J_1^{}`$ in Eq.(2). However for a small fraction of samples we may have $`s_43\delta `$ (see the left side of Fig.3) which leads to a smaller value of the renormalized coupling. As a consequence pairing correlations will be weaker and the ground state will have $`S=1`$ for a value of $`J`$ smaller than $`J_1^{}`$. These samples determine the appearance of the tail for $`JJ_1^{}`$.

To check this argument we have first analyzed the typical level configurations of samples contributing to $`P_1(J/\delta )`$ (Fig.3). Indeed samples which contribute to $`P_1(J/\delta )`$ in the tail region have level configurations as in Fig.3, with a central cluster of two levels around the Fermi energy, and all the others very far away, whereas in the region described by Eq.(2) the other levels are closer to the two central ones. Further insight can be gained by including in Eq.(2) the effect of fluctuations of a neighboring level. We consider a shell of three levels with two electrons. Two levels are close while the third lies far away. In this system we determine the approximate form of the probability distribution $`P_1(J/\delta )`$ (caption of Fig.4), which is non vanishing in the tail region. Moreover we fitted this result with numerical data for larger systems (up to $`\mathrm{\Omega }=30`$, see inset of Fig.4), using the value of the renormalized coupling as a fitting parameter(see the inset of the Fig.4). The agreement with the numerical data suggests that fluctuations of the renormalized pairing constant due to the statistics of far levels are negligible.

We also studied the behavior of $`P_1(J/\delta )`$ for $`JJ_1^{}`$, for fixed $`\delta /\mathrm{\Delta }=25`$ and for various values of the bandwidth $`\mathrm{\Omega }`$. We used sets of GOE levels with $`10^7`$ realizations for $`\mathrm{\Omega }=4,6,10`$ and with $`10^6`$ realizations for $`\mathrm{\Omega }=20,30`$. We see that for the values of $`J`$ we could study $`P_1(J/\delta )`$ becomes independent on $`\mathrm{\Omega }`$ for $`\mathrm{\Omega }20`$, showing that still $`P_1(J/\delta )`$ depends on features of the universal level statistics. However by decreasing $`J`$ the behavior of $`P_1(J/\delta )`$ will depend more and more on details of the full $`\mathrm{\Omega }`$ shell so universality is lost (for instance $`P_1(J/\delta )`$ is expected to be nonzero for $`J>\lambda `$, the bare coupling). On the contrary by increasing $`J`$ we recover the behaviour of Eq.(2) and all the curves collapse on the same line. The above analysis could be in principle carried out also in samples with odd $`N`$. However the unpaired electron in the spin 1/2 ground state weakens pairing correlations. As a consequence the tail in $`P_{3/2}(J/\delta )`$ is tiny and it would require a much larger statistics to be investigated.

Finally we consider grains with larger pairing interaction such that $`\delta \mathrm{\Delta }`$. This is the crossover region to BCS-like superconductivity mastellone ; berhal  and an analytical approach to the problem is a formidable task, so we studied this regime numerically. Some qualitative results can be inferred by looking at the evolution of the behavior of the probability distributions $`P_S(J/\delta )`$ from the perturbative region $`\delta \mathrm{\Delta }`$ to the region $`\delta \mathrm{\Delta }`$. In Fig.5 the probability distributions of the smallest and largest spin ground states are shown for the systems with an even ($`\mathrm{\Omega }=30`$) and odd ($`\mathrm{\Omega }=29`$) number of electrons in $`10^5`$ GOE realizations. For smaller $`J`$ we have $`P_0(J/\delta )=1`$ whereas for large $`J`$ the maximal spin is favoured. In the intermediate region the stable value of $`S`$ is finite but the physics is sensitive to mesoscopic fluctuations. Results show that this crossover region becomes narrower as the ratio $`\delta /\mathrm{\Delta }`$ decreases.

This trend is confirmed by the fact that, on increasing the exchange, the system tends to maximize the spin in the ground state, whereas in the dot regime $`\delta >\mathrm{\Delta }`$ the crossover occurs gradually across all the increasing values of the spin. In the samples with an odd number of electrons the width of the $`J`$ range between the probability of the smallest and largest spin probability is larger than in the even systems since the pairing is weakened by the presence of the unpaired electron.

In conclusion we studied a model for the competition between superconducting and ferromagnetic ordering in small metal grains. The presence of pairing implies that all the levels in the shell are responsible for the determination of the spin in the ground state. As compared to the normal case there are three new features: i) a soft threshold appears in the $`P_S`$ directly related to the renormalized pairing coupling; ii) the power law behavior has a new exponent as compared to the case where pairing is absent; iii) at low enough exchange couplings $`P_S(J/\delta )`$ is determined by sample to sample fluctuations in the pairing coupling. By increasing both the pairing interaction and the exchange coupling we found that the region of the phase diagram where mesoscopic effects are important becomes progressively narrower.

###### Acknowledgements.

We acknowledge very useful discussions with B.L. Altshuler, L. Amico, A. Di Lorenzo, A. Fubini, and A. Osterloh. We acknowledge financial support from European Community (grant RTN2-2001-00440).