text:
# REFERENCES

Search for Neutral Supersymmetric Higgs Bosons
in $`p\overline{p}`$ Collisions at $`\sqrt{s}=1.8`$ TeV

The CDF Collaboration

## Abstract

We present the results of a search for neutral Higgs bosons produced in association with $`b`$ quarks in $`p\overline{p}b\overline{b}\phi b\overline{b}b\overline{b}`$ final states with $`91\pm 7`$ pb-1 of $`p\overline{p}`$ collisions at $`\sqrt{s}=1.8`$ TeV recorded by the Collider Detector at Fermilab. We find no evidence of such a signal and the data is interpreted in the context of the neutral Higgs sector of the Minimal Supersymmetric extension of the Standard Model. With basic parameter choices for the supersymmetric scale and the stop quark mixing, we derive 95% C.L. lower mass limits for neutral Higgs bosons for $`\mathrm{tan}\beta `$ values in excess of 35.

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J. Kim,21 S. H. Kim,43 Y. K. Kim,23 M. Kirby,10 M. Kirk,4 L. Kirsch,4 S. Klimenko,12 P. Koehn,29 A. Köngeter,20 K. Kondo,45 J. Konigsberg,12 K. Kordas,25 A. Korn,24 A. Korytov,12 E. Kovacs,2 J. Kroll,33 M. Kruse,37 S. E. Kuhlmann,2 K. Kurino,17 T. Kuwabara,43 A. T. Laasanen,36 N. Lai,8 S. Lami,38 S. Lammel,11 J. I. Lamoureux,4 J. Lancaster,10 M. Lancaster,23 R. Lander,5 G. Latino,34 T. LeCompte,2 A. M. Lee IV,10 K. Lee,41 S. Leone,34 J. D. Lewis,11 M. Lindgren,6 T. M. Liss,18 J. B. Liu,37 Y. C. Liu,1 N. Lockyer,33 J. Loken,31 M. Loreti,32 D. Lucchesi,32 P. Lukens,11 S. Lusin,46 L. Lyons,31 J. Lys,23 R. Madrak,16 K. Maeshima,11 P. Maksimovic,16 L. Malferrari,3 M. Mangano,34 M. Mariotti,32 G. Martignon,32 A. Martin,47 J. A. J. Matthews,28 J. Mayer,25 P. Mazzanti,3 K. S. McFarland,37 P. McIntyre,40 E. McKigney,33 M. Menguzzato,32 A. Menzione,34 C. Mesropian,38 A. Meyer,11 T. Miao,11 R. Miller,27 J. S. Miller,26 H. Minato,43 S. Miscetti,13 M. Mishina,22 G. Mitselmakher,12 N. Moggi,3 E. Moore,28 R. Moore,26 Y. Morita,22 M. Mulhearn,24 A. Mukherjee,11 T. Muller,20 A. Munar,34 P. Murat,11 S. Murgia,27 J. Nachtman,6 S. Nahn,47 H. Nakada,43 T. Nakaya,8 I. Nakano,17 C. Nelson,11 T. Nelson,11 C. Neu,29 D. Neuberger,20 C. Newman-Holmes,11 C.-Y. P. Ngan,24 H. Niu,4 L. Nodulman,2 A. Nomerotski,12 S. H. Oh,10 T. Ohmoto,17 T. Ohsugi,17 R. Oishi,43 T. Okusawa,30 J. Olsen,46 W. Orejudos,23 C. Pagliarone,34 F. Palmonari,34 R. Paoletti,34 V. Papadimitriou,41 S. P. Pappas,47 D. Partos,4 J. Patrick,11 G. Pauletta,42 M. Paulini,(∗) 23 C. Paus,24 L. Pescara,32 T. J. Phillips,10 G. Piacentino,34 K. T. Pitts,18 A. Pompos,36 L. Pondrom,46 G. Pope,35 M. Popovic,25 F. Prokoshin,9 J. Proudfoot,2 F. Ptohos,13 O. Pukhov,9 G. Punzi,34 K. Ragan,25 A. Rakitine,24 D. Reher,23 A. Reichold,31 A. Ribon,32 W. Riegler,16 F. Rimondi,3 L. Ristori,34 M. Riveline,25 W. J. Robertson,10 A. Robinson,25 T. Rodrigo,7 S. Rolli,44 L. Rosenson,24 R. Roser,11 R. Rossin,32 A. Safonov,38 R. St. Denis,15 W. K. 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Turini,34 F. Ukegawa,43 T. Vaiciulis,37 J. Valls,39 S. Vejcik III,11 G. Velev,11 R. Vidal,11 R. Vilar,7 I. Volobouev,23 D. Vucinic,24 R. G. Wagner,2 R. L. Wagner,11 J. Wahl,8 N. B. Wallace,39 A. M. Walsh,39 C. Wang,10 M. J. Wang,1 T. Watanabe,43 D. Waters,31 T. Watts,39 R. Webb,40 H. Wenzel,20 W. C. Wester III,11 A. B. Wicklund,2 E. Wicklund,11 T. Wilkes,5 H. H. Williams,33 P. Wilson,11 B. L. Winer,29 D. Winn,26 S. Wolbers,11 D. Wolinski,26 J. Wolinski,27 S. Wolinski,26 S. Worm,28 X. Wu,14 J. Wyss,34 A. Yagil,11 W. Yao,23 G. P. Yeh,11 P. Yeh,1 J. Yoh,11 C. Yosef,27 T. Yoshida,30 I. Yu,21 S. Yu,33 Z. Yu,47 A. Zanetti,42 F. Zetti,23 and S. Zucchelli3

(CDF Collaboration)

1 Institute of Physics, Academia Sinica, Taipei, Taiwan 11529, Republic of China

2 Argonne National Laboratory, Argonne, Illinois 60439

3 Istituto Nazionale di Fisica Nucleare, University of Bologna, I-40127 Bologna, Italy

4 Brandeis University, Waltham, Massachusetts 02254

5 University of California at Davis, Davis, California 95616

6 University of California at Los Angeles, Los Angeles, California 90024

7 Instituto de Fisica de Cantabria, CSIC-University of Cantabria, 39005 Santander, Spain

8 Enrico Fermi Institute, University of Chicago, Chicago, Illinois 60637

9 Joint Institute for Nuclear Research, RU-141980 Dubna, Russia

10 Duke University, Durham, North Carolina 27708

11 Fermi National Accelerator Laboratory, Batavia, Illinois 60510

12 University of Florida, Gainesville, Florida 32611

13 Laboratori Nazionali di Frascati, Istituto Nazionale di Fisica Nucleare, I-00044 Frascati, Italy

14 University of Geneva, CH-1211 Geneva 4, Switzerland

15 Glasgow University, Glasgow G12 8QQ, United Kingdom
16 Harvard University, Cambridge, Massachusetts 02138

17 Hiroshima University, Higashi-Hiroshima 724, Japan

18 University of Illinois, Urbana, Illinois 61801

19 The Johns Hopkins University, Baltimore, Maryland 21218

20 Institut für Experimentelle Kernphysik, Universität Karlsruhe, 76128 Karlsruhe, Germany

21 Center for High Energy Physics: Kyungpook National University, Taegu 702-701; Seoul National University, Seoul 151-742; and SungKyunKwan University, Suwon 440-746; Korea

22 High Energy Accelerator Research Organization (KEK), Tsukuba, Ibaraki 305, Japan

23 Ernest Orlando Lawrence Berkeley National Laboratory, Berkeley, California 94720

24 Massachusetts Institute of Technology, Cambridge, Massachusetts 02139

25 Institute of Particle Physics: McGill University, Montreal H3A 2T8; and University of Toronto, Toronto M5S 1A7; Canada

26 University of Michigan, Ann Arbor, Michigan 48109

27 Michigan State University, East Lansing, Michigan 48824

28 University of New Mexico, Albuquerque, New Mexico 87131

29 The Ohio State University, Columbus, Ohio 43210

30 Osaka City University, Osaka 588, Japan

31 University of Oxford, Oxford OX1 3RH, United Kingdom

32 Universita di Padova, Istituto Nazionale di Fisica Nucleare, Sezione di Padova, I-35131 Padova, Italy

33 University of Pennsylvania, Philadelphia, Pennsylvania 19104

34 Istituto Nazionale di Fisica Nucleare, University and Scuola Normale Superiore of Pisa, I-56100 Pisa, Italy

35 University of Pittsburgh, Pittsburgh, Pennsylvania 15260

36 Purdue University, West Lafayette, Indiana 47907

37 University of Rochester, Rochester, New York 14627

38 Rockefeller University, New York, New York 10021

39 Rutgers University, Piscataway, New Jersey 08855

40 Texas A&M University, College Station, Texas 77843

41 Texas Tech University, Lubbock, Texas 79409

42 Istituto Nazionale di Fisica Nucleare, University of Trieste/ Udine, Italy

43 University of Tsukuba, Tsukuba, Ibaraki 305, Japan

44 Tufts University, Medford, Massachusetts 02155

45 Waseda University, Tokyo 169, Japan

46 University of Wisconsin, Madison, Wisconsin 53706

47 Yale University, New Haven, Connecticut 06520

(∗) Now at Carnegie Mellon University, Pittsburgh, Pennsylvania 15213

A fundamental question which remains open today in particle physics is the origin of the electroweak symmetry breaking. The simplest mechanism in the Standard Model (SM) and in many supersymmetric extensions is spontaneous symmetry breaking, achieved through the introduction of one or more scalar field doublets. The SM assumes one doublet of scalar fields and a single physical Higgs boson ($`h_{SM}`$), with unknown mass but with fixed couplings to other particles. A more complex symmetry breaking mechanism occurs in the Minimal Supersymmetric extension of the Standard Model (MSSM), where several physical scalar states are predicted: three neutral bosons (the CP-even $`h`$ and $`H`$, and the CP-odd $`A`$) and two charged bosons ($`H^\pm `$). A distinct feature of the MSSM is the modified couplings of the Higgs particles, in particular the enhancement of the bottom-Higgs Yukawa couplings by $`\mathrm{tan}\beta `$ for the case of the $`bbA`$ vertex, where $`\mathrm{tan}\beta `$ is the ratio of the vacuum expectation values of the two Higgs doublets of the theory. The Higgs sector of the MSSM is completely determined at tree level by two free parameters, chosen to be the mass of the CP-odd Higgs boson, $`m_A`$, and $`\mathrm{tan}\beta `$. The mass of the CP-even Higgs boson $`h`$, $`m_h`$, is constrained to be less than $`m_{Z^0}|\mathrm{cos}2\beta |`$. Radiative corrections substantially modify the masses and couplings of the two neutral CP-even Higgs scalars, in particular the upper bound on $`m_h`$ .

At the Tevatron, one of the Higgs production mechanisms likely to be observed in both the SM and some regions of the MSSM parameter space is the associated production $`p\overline{p}V+\phi `$, where $`V=W,Z`$ and $`\phi =h,H,h_{SM}`$. CDF has already reported on searches for this channel ($`V+h_{SM}`$) with different signatures . In this Letter we exploit the enhanced bottom-Higgs Yukawa couplings of the MSSM to test the large $`\mathrm{tan}\beta `$ sector of the theory by searching for the process $`p\overline{p}b\overline{b}\phi b\overline{b}b\overline{b}`$ with $`\phi =h,H,A`$. Our sensitivity in this search is limited to the region of parameter space corresponding to $`\mathrm{tan}\beta 35`$. In this region, at least one of the CP-even Higgs bosons has similar couplings to, and is always degenerate with, the CP-odd Higgs boson. For $`m_A110125`$ GeV/c2 (depending on $`\mathrm{tan}\beta `$ and on the parameters of the stop quark mass matrix), $`m_hm_A`$, while for $`m_A110125`$ GeV/c2, $`m_Hm_A`$. Therefore this analysis covers a simultaneous search for two or more Higgs signals with an experimental signature of four $`b`$ jets in the final state.

The search reported here is based on $`91\pm 7`$ pb-1 of integrated luminosity recorded during the 1994-95 Tevatron run. The CDF detector is described in detail elsewhere . The silicon vertex detector (SVX) consists of four layers of axial microstrips located immediately outside the beampipe with an innermost radius of 2.9 cm . The SVX provides precise track reconstruction in the plane perpendicular to the beam and the ability to identify secondary vertices produced by heavy flavor decays. The momenta of charged particles are measured in the central tracking chamber (CTC), which lies inside a 1.4 T superconducting solenoidal magnet. Outside the CTC, electromagnetic and hadronic calorimeters arranged in a projective tower geometry cover the pseudorapidity region $`|\eta |<4.2`$  and are used to identify jets. The data sample was recorded with a trigger which requires four or more clusters of contiguous calorimeter towers, each with transverse energy $`E_T15`$ GeV, and a total transverse energy $`E_T125`$ GeV.

The initial steps of the data selection are the same as in the recent CDF SM Higgs search . We start by rejecting cosmic ray events, beam halo, and detector noise. Events with one or more identified electrons or muons from vector boson decays defined as in  are also rejected. After this selection, events are required to have at least four jets with $`E_T15`$ GeV and well contained within the fiducial calorimeter regions $`|\eta |1.5`$. Jets are defined as localized energy depositions in the calorimeters and are reconstructed using an iterative clustering algorithm with a fixed cone of radius $`\mathrm{\Delta }R=\sqrt{\mathrm{\Delta }\eta ^2+\mathrm{\Delta }\varphi ^2}=0.4`$ in $`\eta \varphi `$ space . Jet energies are corrected for energy losses in uninstrumented detector regions, energy falling outside the clustering cone, contributions from underlying event and multiple interactions, and calorimeter nonlinearities. The selected data sample is dominated by QCD multijet events and contains $`207,604`$ events. The four highest-$`E_T`$ jets in an event are then ordered in $`E_T`$ and a search sample is obtained for each of a set of Higgs boson masses by requiring the three highest-$`E_T`$ jets to pass cuts which are Higgs boson mass dependent. This is motivated by the fact that the $`E_T`$ spectrum of the leading jets for the signal is, on average, larger than the QCD background, and grows with increasing scalar boson mass ($`m_\phi `$). We use the leading order (LO) parton level matrix elements  encoded in the PYTHIA v5.6 Monte Carlo program  along with a full simulation of the CDF detector to simulate the signal. We use the CTEQ3L parton distribution functions and set a factorization scale equal to the Higgs boson mass in the simulation. We find optimal $`E_T`$ cuts by maximizing the expected significance of the signal. For a Higgs boson mass of $`m_\phi =120`$ GeV/c2 these cuts correspond to 48, 34 and 15 GeV for the leading jet, second and third leading jets of the event, respectively, and vary roughly linearly with the Higgs boson mass. We then require that at least three among the four highest-$`E_T`$ jets in the event are identified (tagged) as $`b`$ quark candidates. The algorithm used to identify secondary vertices  begins by searching for jets which contain three or more displaced tracks. If none are found, the algorithm searches for two-track vertices using more stringent track criteria. A jet is tagged if the transverse displacement of the secondary vertex from the primary vertex exceeds three times its uncertainty. A requirement on the azimuthal angular distribution of the two highest-$`E_T`$ $`b`$-tagged jets in the event, $`\mathrm{\Delta }\phi _{b\overline{b}}>109^{}`$, reduces the heavy flavor QCD content of the sample attributed to gluon splitting. This cut preserves $`90`$% of the signal events which favor a larger angular separation between the $`b`$-tagged jets coming from the Higgs decay. After the three tag requirement and the $`\mathrm{\Delta }\phi `$ cut we are left with 20 and 13 events, respectively, for the case of the $`m_\phi =70`$ GeV/c2 selection.

To reconstruct the signal we select one of the possible invariant mass combinations between the highest-$`E_T`$ jets in the event. From Monte Carlo we find that the mass of the highest-$`E_T`$ jets in the event ($`m_{12}`$) for signal masses $`m_\phi >120`$ GeV/c2, and the mass of the second and third highest-$`E_T`$ jets in the event ($`m_{23}`$) for signal masses $`m_\phi 120`$ GeV/c2 enhance the signal resolution, $`\delta (m_\phi )/m_\phi `$. The use of these distributions also minimizes the percentage of events for which at least one of the jets in the dijet mass is not associated with a $`b`$ quark from a Higgs boson decay. All signal mass distributions contain a Gaussian core with a resolution which depends on the Higgs boson mass and varies from $``$25% for $`m_\phi 120`$ GeV/c2 to $``$13% for $`m_\phi >120`$ GeV/c2. We increase the expected significance of the signal by applying mass window cuts on the $`m_{12}`$ and $`m_{23}`$ distributions which vary between $`\pm 1\delta (m_\phi )`$ and $`\pm 3\delta (m_\phi )`$, depending on the Higgs mass, and centered on the mean of the fit distributions. A cut on the invariant mass distribution between the two $`b`$-tagged highest-$`E_T`$ jets of the event further discriminates against heavy flavor QCD events. All mass cuts were chosen to maximize the expected significance of the signal. Table I shows the number of observed triple $`b`$-tagged events left after all cuts as a function of mass. Five events are left after all cuts in the mass bin at 70 GeV/c2. All events for the mass bins above 70 GeV/c2 are included in this sample of five events.

In addition to the large QCD multijet background, other sources of heavy flavor in the triple $`b`$-tagged sample include multijet $`t\overline{t}`$ production ($`tWb`$, $`Wq\overline{q}^{}`$), $`Wb\overline{b}`$ and $`Wc\overline{c}`$ with $`Wq\overline{q}^{}`$, $`Zb\overline{b}`$ and $`Zc\overline{c}`$ with $`Zb\overline{b}/c\overline{c}`$, and fake triple-tags. They are estimated from a combination of Monte Carlo and data. We use the HERWIG v5.6 Monte Carlo generator  with the CDF measured cross section ($`\sigma _{t\overline{t}}=6.5_{1.4}^{+1.7}`$ pb)  and a top mass of $`m_t=175`$ GeV/$`c^2`$ to predict the expected number of $`t\overline{t}`$ events. Electroweak processes are also estimated with the same Monte Carlo generator. Fake triple-tags are defined as events in which at least one of the three $`b`$-tagged jets contains a false secondary vertex in a light quark or gluon jet. Fake tag probabilities are parameterized by measuring in several inclusive jet data samples the fraction of jets in which a secondary vertex is reconstructed on the wrong side of the primary vertex with respect to the jet direction .

The same fit technique that was used to estimate the QCD heavy flavor normalization in the SM Higgs search  is applied to this analysis. We reduce the $`b`$-tag cuts on our data sample from triple to double $`b`$-tags. This gives a high statistics background-rich sample in which we fit the double $`b`$-tagged dijet mass distribution to a combination of signal and SM backgrounds. The shape of the QCD heavy flavor distribution is obtained from the PYTHIA Monte Carlo program. We generate all QCD jet production channels, and retain the events that contain a heavy quark produced either in the hard scattering or in the associated radiation process. The signal and QCD normalization is left free in the fit while the SM non-QCD background, both shape and normalization, is obtained from Monte Carlo simulation. The QCD normalization in our triple $`b`$-tagged sample is then obtained from the ratio of normalizations of double $`b`$-tagged to triple $`b`$-tagged QCD events taken from the PYTHIA Monte Carlo simulation. Table II lists the individual QCD, $`t\overline{t}`$, $`Wb\overline{b}`$, $`Wc\overline{c}`$, $`Zb\overline{b}`$, $`Zc\overline{c}`$, fake triple tags, and total expected contributions to the final observed sample as a function of mass. From these numbers we find no evidence for the presence of a Higgs boson signal. Figure 1 shows the $`m_{12}`$ and $`m_{23}`$ distributions for the observed triple $`b`$-tagged sample compared to the SM background expectations and for three different selections corresponding to $`m_\phi =70`$, $`120`$, and $`200`$ GeV/c2. Also shown are the signal plus background shapes normalized to the expected number of events for $`\mathrm{tan}\beta =50`$ and the case of no mixing in the scalar top sector (no mixing scenario).

We calculate the signal detection efficiencies and normalizations from Monte Carlo. The overall detection acceptances with their total uncertainties are shown in Table I as a function of mass. They are within a range of 0.2% to 0.6%, increasing with mass. This low acceptance is dominated by the small multijet trigger efficiencies ($``$1% to $``$7%, increasing with the signal mass) and, to a lesser extent, by the triple $`b`$-tag requirement ($``$20%). The low values for the trigger efficiency are due to the high $`E_T`$ thresholds and multiplicity requirements on jets. The trigger efficiency curves have been obtained with a trigger simulation with parametrized curves estimated from data. The total systematic error includes uncertainties in the multijet trigger simulation ($`5`$%), in the modelling of gluon radiation ($`10`$% to $`7`$%, depending on the mass), in the calorimeter energy scale ($`10`$% to $`2`$%, depending on the mass), in the luminosity measurement ($`7`$%), and in the $`b`$-tag efficiencies ($`10`$%).

From the data in Table I we set upper limits on $`b\overline{b}\phi b\overline{b}b\overline{b}`$ ($`\phi =h,H,A`$) production using a one-sided conditional frequentist construction , where systematic uncertainties are approximately taken into account by Bayesian averaging over the systematic parameters , assuming gaussian a-priori distributions around their best estimates. The 95% C.L. upper limits on the total expected signal events as well as on the production cross section times branching fraction are listed in Table I. Using the LO theoretical cross sections for $`\sigma (p\overline{p}b\overline{b}\phi )(\phi b\overline{b})`$ with $`\phi =h,H,A`$ and the bottom-Higgs Yukawa coupling calculated with a running bottom quark mass evaluated at the Higgs boson mass scale, $`m_b(m_\phi )3`$ GeV/c2, we exclude regions of parameter space for $`m_h\mathrm{tan}\beta `$ and $`m_A\mathrm{tan}\beta `$, respectively, as shown in Figures 2 and 3. Results are shown for two common choices of the stop quark mixing parameter : no mixing ($`A_t=\mu \mathrm{cot}\beta `$), and maximal mixing ($`A_t=\mu \mathrm{cot}\beta +\sqrt{6}m_S`$, with $`\mu `$ the supersymmetric Higgs boson mass parameter and $`A_t`$ a soft breaking parameter). In all cases we set $`m_S`$, the supersymmetric mass scale, to be 1 TeV/c2 and $`m_t=175`$ GeV/c2. As a test of the sensitivity of our calculated limits to the background estimate, if we assume a zero background hypothesis the result limits increase, for all signal masses, by $`\delta (\mathrm{tan}\beta )=10`$.

In conclusion, we have searched for neutral Higgs bosons produced in association with $`b`$ quarks through the reaction $`p\overline{p}b\overline{b}\phi b\overline{b}b\overline{b}`$. We do not find evidence for the presence of a signal and 95% C.L. upper limits are set on the production cross section times branching ratio. The results have been interpreted in the context of the MSSM Higgs sector and lower mass limits for neutral Higgs bosons derived for $`\mathrm{tan}\beta `$ values in excess of 35.

We thank the Fermilab staff and the technical staffs of the participating institutions for their vital contributions. This work was supported by the U.S. Department of Energy, the National Science Foundation, the Istituto Nazionale di Fisica Nucleare (Italy), the Ministry of Science, Culture and Education of Japan, the Natural Sciences and Engineering Council of Canada, the National Science Council of the Republic of China, and the A. P. Sloan Foundation.


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# On the apparent coupling of neutral hydrogen and dark matter in spiral galaxies

## 1 Introduction

The first indications that spiral galaxies are surrounded by unseen matter date to the early seventies (Freeman 1970; Roberts 1975; Shostak 1973). Later 21-cm line studies, especially those of Bosma (1978,1981) and Begeman (1987), have all confirmed this discovery. Dark matter manifests itself already in the outer(most) parts of the luminous body of spiral galaxies (Rubin 1978; Kent 1986), but its main signature is the general flatness of rotation curves well outside the optical radius.

Bosma (1978, 1981) noted a curious result for the galaxies in his sample: the total surface density of matter needed to explain the observed rotation curve in the outer region, i.e. outside the optical radius, was roughly proportional to the surface density of neutral hydrogen. Later work has shown that this proportionality not only holds for the high surface brightness (HSB) galaxies studied by Bosma, but also for dwarf galaxies (Carignan 1985a; Carignan & Puche 1990; Jobin & Carignan 1990).

These results, and other considerations, have led Pfenniger et al. (1994a, b) to the hypothesis that the dark matter surrounding spiral galaxies consists of cold gas, mainly in the form of molecular hydrogen. The spatial distribution of this cold gas should be similar to that of the observed neutral hydrogen.

As the contribution of luminous matter to the total mass density is negligible in the outer parts (under the assumption that the mass-to-light ratio of the luminous matter is independent of radius), Bosma’s relationship is equivalent to a proportionality of dark matter and neutral hydrogen.

This apparent coupling of dark matter and neutral hydrogen deserves closer scrutiny, because it seems at odds with the current view that dark haloes are triaxial (but not extremely flattened) and that they consist of non-baryonic material. Rather, this coupling suggests possible support for the hypothesis put forth by Pfenniger et al. (1994a).

Several questions should be considered: (i) How tight is this relation between the surface densities of HI and dark matter for the galaxies with the best available data? (ii) To what extent does the relation depend on the use of the so-called maximum disc assumption? (iii) Does the relation also hold for the low surface brightness (LSB) galaxies?

In this paper we investigate the apparent coupling of dark matter and neutral hydrogen for a sample of 24 spiral galaxies with good rotation curves. The sample contains both HSB and dwarf galaxies. Unfortunately the quality of the rotation curves for LSB galaxies is still rather poor and we have decided not to include those galaxies in the present discussion.

We wish to stress at the outset that there is a potentially powerful selection effect that may cause a relationship between the surface densities of HI and dark matter for the galaxies in our sample. This is because the HI surface density distributions of the galaxies in our sample have the common characteristic that the highest values in the inner regions, as well as the lowest values in the outer regions are similar from galaxy to galaxy (the latter being linked to the sensitivity reached in the observations). As a result, a large radial extent implies a large radial scale length of HI and vice versa. In section 5 we discuss how this can lead to a proportionality between dark matter and HI.

## 2 Mass model

To study the mass distribution, and in particular the apparent coupling between the dark matter and HI, we use axisymmetric distributions of matter containing three components. These are used to model the derived rotation curves. The various components of the mass model are:

1. The stars are distributed in a disc. If present, we also include a bulge component. The radial surface density profiles of the stellar components are estimated using luminosity profiles from the literature, assuming a mass-to-light ratio independent of radius. We further assume that the stellar disc has an exponential vertical density profile, with a scale height that is one fifth of the optical disc scale length (van der Kruit & Searle 1981a,1981b).
2. We use the observed radial surface density distribution of HI and we assume that the vertical distribution mimics that of the stars. In reality most of the neutral hydrogen lies in a thin disc, but our results are not sensitive to the detailed $`z`$distribution because in the inner regions (where the thick disc description for HI does not hold) the contribution of HI to the gravitational field can be safely neglected. Apart from neutral hydrogen, detectable through the 21-cm line, galaxies contain molecular gas. We assume that the bulk of this molecular gas follows the surface density profile of the stellar component. In this way the presence of molecular gas is taken into account in the value of the mass-to-light ratio of the stellar component.
3. Usually a spherical halo is used to describe the density distribution of the dark matter. If the dark matter and neutral hydrogen are indeed coupled, as Pfenniger et al. (1994a) argue, it is reasonable to assume that their spatial distributions are similar. In this paper we therefore assume that the surface density of dark matter is proportional to the observed surface density of neutral hydrogen. The vertical scale height of the dark matter, like that of HI, is taken equal to that of the stars. For the discussion in this paper the choice of the scale height is fairly arbitrary because the changes in calculated rotation velocities, given a surface density profile, are small when the scale height is varied. But the derived total masses do depend on scale height.

The mass model can be fitted to the observations in two ways: one can fit the model rotation curve to the observed one, or one can compare the total surface density, calculated from the rotation curve, to the measured surface densities of stars and HI. We prefer to fit the circular velocities calculated from the mass model to the observed rotation curves. To do so, we compute the rotation velocity of a disc using (Cuddeford 1993):

$$V_c^2(R)=2\pi GR\underset{0}{\overset{\mathrm{}}{}}𝑑k\frac{S(k)}{1+kϵ}kJ_1(kR),$$
(1)
where $`J_\nu (x)`$ is the Bessel function of order $`\nu `$ and where $`S(k)`$ is given by:

$$S(k)=\underset{0}{\overset{\mathrm{}}{}}𝑑R^{}\mathrm{\Sigma }(R^{})R^{}J_0(kR^{}).$$
(2)
In these equations $`\mathrm{\Sigma }(R)`$ is the surface density of the disc as a function of radius $`R`$, and $`ϵ`$ is the scale height of the disc, assuming a density profile given by $`\rho (x,y,z)=\mathrm{\Sigma }(R)\mathrm{e}^{z/|ϵ|}`$.

Equation (1) requires that the surface density is known out to infinity. This can only be achieved through extrapolation, for which we assumed an exponential law. At large radii the surface densities are low, thus giving rise to minor contributions to the integral. Finally, the model rotation curve is calculated by adding the circular velocities, calculated for the different components, in quadrature:

$$V_{\mathrm{tot}}^2=\left(\frac{\mathrm{\Sigma }_{\mathrm{dark}}}{\mathrm{\Sigma }_{\mathrm{HI}}}+1\right)V_{\mathrm{HI}}^2+\left(\frac{\mathrm{M}}{\mathrm{L}_\mathrm{B}}\right)_\mathrm{b}V_{\mathrm{bulge}}^2+\left(\frac{\mathrm{M}}{\mathrm{L}_\mathrm{B}}\right)_\mathrm{d}V_{\mathrm{disc}}^2,$$
(3)
where $`\mathrm{\Sigma }_{\mathrm{dark}}`$ denotes the surface density of the dark matter component and where $`\mathrm{\Sigma }_{\mathrm{HI}}`$ is the surface density of the HI disc.

In making the fits we have three free parameters at our disposal: $`\mathrm{\Sigma }_{\mathrm{dark}}/\mathrm{\Sigma }_{\mathrm{HI}}`$, $`(\mathrm{M}/\mathrm{L}_\mathrm{B})_{\mathrm{bulge}}`$ and $`(\mathrm{M}/\mathrm{L}_\mathrm{B})_{\mathrm{disc}}`$. For late type galaxies, that show no clear signs of a bulge, we omitted the (spherical) bulge contribution. The fits were done by eye, in such a way that the model rotation curve explained the observed rotation curve as far out as possible.

## 3 The sample

The sample used for this study is essentially that of Broeils (1992a), with galaxies characterized by the following:

* The HI rotation curve has been measured with the Westerbork Synthesis Radio Telescope or with the Very Large Array.
* The galaxy has a smooth and fairly symmetric velocity field and gas distribution.
* High precision photometric data are available.
* Inclination and position angle have been derived kinematically, using a tilted ring analysis of the velocity field.

We have included NGC 5371 (Begeman 1987), which was not used by Broeils ‘because of its clumpy gas distribution and asymmetric velocity field’. For our purpose the properties of this galaxy are sufficiently regular. We have further added NGC 6946 using data from Kamphuis (1993). NGC 1003 from Broeils’ sample could not be used, because the data are not readily available. The selected galaxies are listed in Table 1, together with some of their basic properties. The distances given in this table are based on the values∗\*∗\*$``$Adopting $`H_o=`$ 75 km/s/Mpc. given in Broeils (1992a). For NGC 5371 and NGC 6946 distances from Begeman (1987) and Carignan et al. (1990) have been used.

The galaxies in Table 1 span a considerable range in Hubble type, from Sab to Irr. Although most galaxies are of type Sc or later, the sample allows for a systematic study of galaxy properties from types Sb to Irr. Note that our sample does not include LSB galaxies.

The light profiles and HI surface density distributions for the galaxies in Table 1 are shown in Figure 2. Apart from the occasional presence of a bulge, most light profiles are essentially exponential. The HI surface density distributions show a larger variety of shapes, but the maximum surface densities reached in the inner regions are remarkably similar: about $`6\mathrm{M}_{}/\mathrm{pc}^2`$. Note the larger radial extent of the neutral hydrogen component compared to the light, and the steepening of the HI profile in the outer region for several galaxies. However, for some of the dwarf galaxies the scalelengths of light and HI gas are quite similar.

The HI surface density profiles in Figure 2 have been derived from 21-cm line synthesis observations. For large galaxies the HI flux in the outer parts may therefore have been underestimated. As a consequence of the missing “large scale length” HI components, rotation curves in Figure 4 may show a decrease in the outermost parts. Comparison of the total flux with that measured with single dish telescopes (Rots 1980) shows that the profiles of NGC 55 and 300 may well suffer from this. This may also be true for NGC 3109.

## 4 Results of mass model fits

In this section we present and discuss the fits of the adopted mass model to the rotation curves of the 24 galaxies in Table 1. In Table 2 we list the values of the fitted parameters and the inferred masses of the various components.

The models are compared to the observed rotation curves in Figure 4. The radius is expressed in units of $`R_{\mathrm{out}}`$, the radius of the last measured point of the rotation curve. The circular velocities for the stellar component(s) (dotted) and the scaled HI component (dashed) are also plotted.

We see that most of the 24 rotation curves can be fitted rather well over their full extent by scaling up the HI surface density. The poorer fits can be categorized as follows:

1. The model curve does not agree with the observed rotation curve in the inner region. This can be due to an incorrect bulge contribution.

For dwarf galaxies the inner parts of the rotation curves may be affected by beam smearing, as in the case of NGC 5585 (compare with the optical rotation curve by Blais-Ouellette et al. 1999). In the case of DDO 168 the published rotation curve may be too low in the inner parts and the model rotation curve is in fact consistent with the observations. The fits for the other dwarf galaxies in Table 2 are quite acceptable.
2. The model rotation curve shows large wiggles that are not present in the observed rotation curve. This effect is seen for NGC 2841, NGC 2903 and NGC 300. In estimating the contribution of the gas to the rotation velocity, we have used a radial profile that is an azimuthal average of the HI distribution. Features such as spiral arms or blobs of HI, however, may cause bumps in the radial profile. In the model rotation curve strong features will then show up, because the scaling of HI amplifies the irregularities in the HI distribution. Indeed the HI map of NGC 2903 shows clear spiral structure and blobs related to the wiggles. For NGC 2841 and NGC 300 the situation is less clear. The presence of wiggles in the rotation curves shows that the distribution of dark matter can not be an exact copy of the distribution of HI. At best, the smeared-out distribution of HI is a tracer of dark matter.
3. The model rotation curve drops below the observed rotation curve at large radii. Seven galaxies fall in this category (NGC 7331, 5033, 6674, 5371, 1560, 55, and also NGC 300). In Section 3 we noted that for large galaxies HI flux may be missed in the 21-cm synthesis observations. Obviously this could be a contributing factor to a decline of the HI rotation curve in the outer parts. In the same vein, hydrogen may be partly ionised in the outer regions due to photons of intergalactic origin. This possibility has been discussed for NGC 3198 by Maloney (1993). Irrespective of the presence of molecular gas, the observed HI surface density may therefore not always trace the total gas density in the outer parts.

We conclude from the comparisons in Fig. 4 and the results above that the rotation curves of two-thirds of the galaxies in our sample, spirals and dwarfs alike, can be fitted with a mass model based on the distribution of light and the distribution of HI, provided that the scale factors $`\mathrm{M}_{}/\mathrm{L}_\mathrm{B}`$ and $`\mathrm{\Sigma }_{\mathrm{dark}}/\mathrm{\Sigma }_{\mathrm{HI}}`$ can be chosen freely. The values we find for the mass-to-light ratios of the stellar component(s) agree well with the values given in Broeils (1992a) and Begeman (1987). From Fig. 4 one sees that many fits are nearly maximum disc fits (van Albada & Sancisi, 1986). This is indeed a remarkable property of this type of modeling: scaling of HI to represent the dark component only works in combination with maximal discs. We have verified this by gradually lowering the disc mass. Decreasing the disc mass by more than $`10\%`$ below its maximum value results in a substantially smaller core radius of the dark component, and such a dark component can then no longer be represented by a scaled-up HI distribution.

In Fig. 6 the frequency distribution of the scaling factor is shown. It is strongly peaked around a value of approximately 9. Correcting for primordial helium we find that the dark matter surface density is approximately 6.5 times the gas surface density (i.e. HI + He). As can be seen from Table 2, the HI scaling factor does not change much with galaxy type, although the scatter increases towards earlier types.

Two galaxies, NGC 2841 (23) and NGC 2903 (37), have $`\mathrm{\Sigma }_{\mathrm{dark}}/\mathrm{\Sigma }_{\mathrm{HI}}>20`$. These galaxies are the two most compact ones in the sense that they have small scale lengths in comparison to their maximum rotation velocities; they therefore require a relatively massive dark halo. Their HI surface densities do not differ much from those of other galaxies and this results in an HI scale factor that is above average.

## 5 Discussion

As shown above, in general the distribution of HI mimics the distribution of dark matter remarkably well, provided the contribution of the disc to the rotation curve is close to maximal. We now examine more closely which property, or properties, of the HI layer in galaxies play a role in this.

### 5.1 Bias against small HI scale length

The rotation curves of the galaxies in our sample extend to well beyond the radius of 2.2 scale lengths where the rotation curve of the luminous component reaches its maximum. For a good match, we therefore require a rotation curve for the HI component rising to well beyond $`2.2h_{\mathrm{stars}}`$, in order to compensate for the decline of the rotation curve of the stars. Put differently, the radial ‘scale length’ of the HI distribution must be large, about 0.4 times the outer radius of the HI disc, $`R_{\mathrm{out}}`$, or even larger. For the galaxies in our sample we find an average $`h_{\mathrm{HI}}0.33R_{\mathrm{out}}`$, only barely enough for HI scaling to work. Figure 1 shows that for most galaxies the HI surface density profiles curve downwards with increasing radius. This is why for several galaxies scaling of HI gives a poor fit in the outer parts, with the model curve falling below the observed rotation curve (see e.g., NGC 7331 and 5371). Apparently, with the present 21-cm line sensitivity we may be reaching the border of the region where scaling of atomic hydrogen to fit the rotation curve works. Extension of the rapidly declining HI surface density profiles to larger radii would result in progressively poorer fits.

It is worth noting that our selection in favour of a large radial extent in HI excludes galaxies with small HI scale lengths, for the following reason. The HI surface density in the inner region of spiral galaxies, leaving aside a possible central depression, varies only by a modest amount from galaxy to galaxy (Broeils 1992a, Rhee 1996 and Fig. 2). In the mean for our sample $`\mathrm{\Sigma }_{HI}(0)6\mathrm{M}_{}/\mathrm{pc}^2`$. The smallest HI surface densities measured in the outer regions are set by the sensitivity of the observations. For our sample typically: $`\mathrm{\Sigma }_{\mathrm{HI}}(R_{\mathrm{out}})0.3\mathrm{M}_{}/\mathrm{pc}^2`$. The corresponding range in $`\mathrm{\Sigma }_{\mathrm{HI}}`$ is therefore about a factor of 20 for most galaxies in our sample, corresponding to three scale lengths for an exponential distribution. As a result our sample is biased against galaxies with $`R_{\mathrm{out}}/h_{\mathrm{HI}}`$ substantially larger than 3. Obviously, for such galaxies scaling of HI to fit the rotation curve does not work.

### 5.2 The HI scale factor

Above we have shown that the success of our model fits is related to rather specific properties of the HI distributions for the galaxies in our sample. Could a selection effect also be responsible for the small range in the scale factor seen in Figure 6? Below we shall argue that this is unlikely.

Let us assume that the mass distribution in a galaxy can be represented by two exponential discs: one for the stars and one for the dark matter. The maximum rotation velocity of an exponential disc is proportional to the product of the scale length and the central surface density. One observes a more or less flat rotation curve when the maximum velocities of both discs are similar, i.e. when

$$\mathrm{\Sigma }_{\mathrm{stars}}(0)h_{\mathrm{stars}}\mathrm{\Sigma }_{\mathrm{dark}}(0)h_{\mathrm{dark}},$$
(4)
where $`\mathrm{\Sigma }_{\mathrm{stars}}(0)`$ and $`\mathrm{\Sigma }_{\mathrm{dark}}(0)`$ are the central surface densities of respectively the stellar disc and the dark halo, and where $`h_{\mathrm{stars}}`$ and $`h_{\mathrm{dark}}`$ indicate their scalelengths. This equation is a description of the disc-halo conspiracy (van Albada & Sancisi, 1986).

If we assume that the surface density profile of the dark matter is a scaled version of the HI surface density, we can write for the scale factor $`f`$:

$$f=\frac{\mathrm{\Sigma }_{\mathrm{dark}}(R)}{\mathrm{\Sigma }_{\mathrm{HI}}(R)}\frac{\mathrm{\Sigma }_{\mathrm{stars}}(0)}{\mathrm{\Sigma }_{\mathrm{HI}}(0)}\frac{h_{\mathrm{stars}}}{h_{\mathrm{dark}}},$$
(5)
where $`\mathrm{\Sigma }_{HI}(0)`$ is a measure of the maximum HI surface density, ignoring a possible central depression. The small spread in the scale factor $`f`$ therefore implies a coupling of the scale lengths of stars and dark matter, as well as a coupling of the surface mass densities of stars and HI.

As mentioned above, the maximum surface density of the HI disc of high surface brightness galaxies does not vary much from galaxy to galaxy. Similarly, for luminous spiral galaxies the central surface brightness of the disc is remarkably constant (Freeman, 1970). Assuming some constant value for the mass-to-light ratio, this would result in a fairly small variation in the central surface density of the stellar disc. Thus, the spread in the first factor in Equation (5) may well be small. This suggests that if the ratio of scale lengths of the dark disc and the stellar disc were approximately constant, then the scale factor $`f`$ would be more or less constant. We note that, when calculating total surface densities from observed rotation curves, we indeed found a more or less exponential surface density profile in the outer parts. The scale length of this profile was in many cases about 4 to 5 times the optical scale length. Thus for the HSB galaxies in our sample, there appears to be a coupling between the linear scales of the disc and the dark halo. Similar results were found by Sackett (1997). Consequently, the expected spread in $`f`$ is small for HSB galaxies.

Our sample also includes several dwarf galaxies, with central surface brightnesses lower than those of the more luminous galaxies. Their HI surface densities are comparable to the larger galaxies however. Although we do not know how the stellar $`M/L`$ values of dwarfs and more luminous galaxies differ, it seems unlikely that equation (5) would apply. The similarity of the scale factor $`f`$ for dwarfs to that of the more luminous galaxies therefore seems a significant result that can not easily be explained in terms of a selection effect in our sample.

Swaters (1999) has applied HI scaling to a sample of 35 late-type dwarf galaxies. With one or two exceptions he finds excellent fits. Here too discrepancies, if any, occur mainly in the outermost regions. The required scaling factors for HI show a considerable spread, with a peak between 3 and 6. In the mean they are about a factor of two smaller than the scaling factors found above.

## 6 Summary & Conclusions

We have fitted mass models to the observed rotation curves of 24 galaxies under the assumption that the dark matter surface density is proportional to the HI surface density. For about two thirds of the galaxies we obtain good fits to the data. After correction for primordial Helium the required scaling factor is about 7. The main discrepancies occur at large radii, with the fitted rotation curves falling below the observed ones. This results from a fairly rapid decline of the HI surface density in the outermost regions.

For the HI data used here, the radial density profiles of HI typically extend to about 3 scale lengths, i.e. close to or just beyond the radius where the rotation curve of the HI component is expected to decline. The good fits are therefore somewhat coincidental. More sensitive HI observations would reach the declining part of the rotation curve of the HI component for several galaxies in our sample (provided the HI surface density remains exponential further out). If the observed circular velocity of the galaxy remains constant with radius it would then no longer be possible to fit such a flat rotation curve with a scaled up distribution of HI. Furthermore, in several galaxies scaling up of HI leads to rotation curves with wiggles, and in some galaxies not included in this paper the neutral hydrogen density drops rather abruptly around the optical radius.

Therefore, in many cases, there seems to be little or no relation between HI and dark matter. Note, however, that for a number of reasons (ionisation by the intergalactic radiation field, presence of molecular gas and missing HI flux) the observed HI densities may be lower than the actual gas densities. Because of these complications and the selection effects sketched above, it is not possible to conclude here that there is a real coupling between HI and dark matter in spiral galaxies.

## Acknowledgments

We thank Kor Begeman, Adrick Broeils and Floris Sicking for kindly providing their data.


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# Cosmological Origin of the Lowest Metallicity Halo Stars

## 1 INTRODUCTION

The formation and the properties of the first stars in the universe are probably among the most fascinating problems in present-day cosmology. Numerical simulations and analytical studies in a cosmological context (Tegmark et al. 1997, Abel et al. 1998, Bromm, Coppi & Larson 2000, Machacek, Bryan & Abel 2000) have reached a consensus on the fact that the fragments potentially leading to star formation were already available inside very small dark matter halos at redshift $`z30`$ in most cosmological models. After that point the requirements concerning the dynamic range and number of physical processes to be treated become so demanding that one has to turn to simplified and/or lower dimensional studies. Although considerably refined, these studies (Omukai & Nishi 1999, Susa & Umemura 2000, Nakamura & Umemura 2000, Ripamonti et al. 2000) have not yet reached an agreement on the mass of the stellar seed (core) and on the accretion rate by which the former grows into a star. Determining if and when the accretion is quenched seems to hold the key for the understanding of the properties of the first stars. However, the large variety of physical effects to be considered (for a review see Ferrara 2000) again complicate the problem tremendously.

On general grounds some authors have speculated that the IMF of the first stars can be skewed towards high stellar masses (Larson 1998) or even be bimodal (Nakamura & Umemura 2000). One of the consequences of this assumption is an increase of the relative number of massive, short-lived stars. These stars will soon end their life as supernovae, leaving either a compact remnant (a neutron stars or a black hole) or nothing at all (for masses above $`120M_{}`$, see Umeda et al. 2000 and Fryer, Woosley & Heger 2000), and possibly releasing detectable bursts of gravitational waves (Schneider et al. 2000). In turn, this implies a strong decrease of the amount of zero- or very low-metallicity stars presumably included in the present-day Milky Way (MW), according to the hierarchical paradigm. Given the above discussion it appears that number counts of very low-metallicity MW stars can not only provide evidences for “living fossils”, i.e. stars formed immediately after the end of Dark Ages, but also probe the primordial IMF and hierarchical models to cosmic epochs ($`z\stackrel{>}{}6`$) currently unreachable to essentially all experiments.

We propose here that the first stars are born inside the so-called PopIII objects (Haiman & Loeb 1996, Gnedin & Ostriker 1997, Ciardi et al. 2000) i.e. systems with total mass $`\stackrel{<}{}2\times 10^8M_{}`$, which strongly rely on molecular hydrogen cooling in order to collapse, given their low virial temperatures; in short, we define as PopIII stars those formed inside such mini galaxies. As Ciardi et al. have pointed out, these objects are extremely fragile to the energy release by their own supernovae; as a result, their gas is quickly evacuated and they can only witness a single burst of star formation. The remnant is a ”naked stellar object” (Ciardi et al. 2000), i.e. a tiny agglomerate of long lived low-mass stars, essentially retaining the metallicity of the gas from which they formed. These are the stars that we are considering as candidates for the very low-metallicity stars observed in the MW halo.

Our paper is structured as follows: the next section presents the Press-Schechter formalism used to calculate the mass functions of MW sub-galactic clumps at different redshifts. In Section 3 we describe the treatment of PopIII halos as mini galaxies to estimate the number of stars each contributes to the final MW. Section 4 gives a comparison with recent observational results of the numbers and metallicity distribution of extremely low metallicity halo stars. Finally, a brief summary is given in Section 5.

## 2 BUILD UP OF THE MILKY WAY

We use the extended Press-Schechter formalism to calculate the conditional probability that a virialized halo of mass $`M_1`$ at $`z_1`$ will become part of a more massive halo of mass $`M_0`$ at a later time, $`z_0`$. This allows us to calculate the mass functions of the fragments which through mergers will end up as part of a MW sized system today. Following Nusser & Sheth (1999), we identify the mass contained in progenitors of mass between $`M_1`$ and $`(M_1+dM_1)`$ with:

$$\mathrm{\Delta }M=\frac{M_0}{\sqrt{2\pi }}\frac{\delta _c(z_1z_0)}{(S_1S_0)^{3/2}}exp\left[\frac{\delta _c^2(z_1z_0)^2}{2(S_1S_0)}\right]\left|\frac{dS_1}{dM_1}\right|dM_1$$
(1)
In the above expression $`\sqrt{S_i}`$ is the rms density fluctuation in a top hat window function of radius $`(3M_i/4\pi \rho _0)^{1/3}`$, and $`\delta _c`$ the critical overdensity for collapse, with $`\rho _0=3\mathrm{\Omega }_MH_o^2/8\pi G`$ being the present mean mass density of the universe. Both of the above quantities were calculated using a $`\mathrm{\Lambda }CDM`$ power spectrum normalized to $`\sigma _8=0.91`$, in a $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$ flat universe ($`\mathrm{\Omega }_M=0.3`$), with $`H_0=65`$ km s-1Mpc-1, which we used throughout, e.g. Percival & Miller(1999). A baryonic fraction of 0.05 of the total halo mass was assumed for all halos.

Current direct estimates of the mass of the MW rely on distant galactic satellites used as probes of the mass internal to their current positions, using their line of sight velocities and reasonable assumptions on their orbits. These methods give values for the total mass of the MW of around $`1\times 10^{12}M_{}`$, e.g. Kulessa & Lynden-Bell (1992), Binney & Merrifield (1998). However, those estimates yield only lower limits, as the total extent of the Galactic dark halo could be greater than the current positions of suitably observable satellites. Consistently with the Press-Schechter approach we are using, we estimate the total mass of the MW as the total mass contained within a sphere of radius $`r_{200}`$, the radius inside which the average density is 200 times the present background density, $`\rho _{200}=200\times \rho _0`$. This in fact is the only meaningful definition of “galaxy” within the Press-Schechter approach. The circular velocity at this radius would be around $`V_{max}=\sqrt{2}\times V_{200}`$, where $`V_{max}=220`$ km s-1 and the factor of $`\sqrt{2}`$ between $`V_{max}`$ and $`V_{200}`$ is deduced from CDM simulations e.g. Avila-Reese et al. (1999), Steinmetz & Navarro (1999). This gives:

$$M_{MW}=\left(\frac{3}{4\pi }\right)^{1/2}\frac{V_{200}^3}{G^{3/2}\rho _{200}^{1/2}}$$
(2)
which for the adopted cosmological model gives $`2.6\times 10^{12}M_{}`$, somewhat above the observational lower limits. In what follows we shall use $`M_{MW}=2.0\times 10^{12}M_{}`$, within the uncertainties associated with going from $`V_{max}`$ to $`V_{200}`$, and in determining $`V_{max}`$.

Fig. 1 shows the mass of sub-halos which at $`z=0`$ find themselves included in MW sized halos, as a function of sub-halo mass, at different redshifts; the dotted lines show the limits within which halos at the redshifts shown will form PopIII halos.

We associate a maximum metallicity to the stars to be formed and contained within these halos through the mean mass weighted metallicity of the universe at each redshift, as calculated by Gnedin & Ostriker (1997) using fully hydrodynamic simulations. As a result of the merger process, these halos will probably contain a few stars with yet lower metallicities formed in halos of the preceding hierarchies; in this sense we take the metallicities of Gnedin & Ostriker (1997) as an upper limit for the stars of these halos.

The lower mass limit, $`M_{crit}`$, is taken from Tegmark et al. (1997) (see however Fuller & Couchman 2000). Systems having virial temperatures below this curve cannot cool in a Hubble time. The upper limit, $`M_{by}`$, corresponds to the upper mass at which the stellar feedback due to supernova can expel the baryonic component entirely, thus quenching further star formation. Following Ciardi et al. (2000), we define this as a ”blowaway”, and we adopt their determination for the evolution of $`M_{by}`$. Thus, larger systems where self enrichment can continue and stars of metallicities higher than the Gnedin & Ostriker (1997) limit will be formed are excluded. However, given the sharply decreasing mass functions, our results are rather insensitive to this upper limit. These two limits change slightly with redshift, the ones shown are typical for the redshifts displayed, although the more detailed redshift dependent estimates discussed above were used.

Fig. 2 shows the integral of the PopIII halos mass functions between the selected limits, $`M_{total}`$, as a function of redshift. The upper axis shows the mean mass weighted metallicity corresponding to each redshift, discussed above. Fig. 2 also gives the typical mass of a single PopIII halo, $`M_{typical}`$, showing that within the redshift interval displayed, each present day MW sized system will have had between $`10`$ and $`100`$ PopIII halos as progenitors, contributing stars with metallicities in $`4.0<[Z/Z_{}]<2.4`$. This means that the mass functions of eq. 1 will be sampled densely, and the spread between different present day systems will be minimal i.e., all MW sized systems should contain the same numbers and distribution of stars having metallicities in the above range. The two curves of Fig. 2 intersect at a redshift of $`15`$, corresponding to a metallicity of $`[Z/Z_{}]=4.3`$ in the Gnedin & Ostriker picture. At this limit many present day MW sized systems will have had only one PopIII halo coming from beyond this redshift, and many will have had none at all. In this way we can expect that the numbers of stars in the Milky Way with metallicities below $`[Z/Z_{}]=4.3`$ should be minimal, indeed, no such stars have been found to date.

For even lower metallicities, one goes to larger limiting redshifts to reach $`z30`$, $`Z/Z_{}0`$ and $`M_{typical}10^6M_{}`$, the objects responsible for the appearance of the very first stars and of starting the reionization of the universe. However, as commented above, the chance of finding any such object as part of the MW is slim, they will be found as part of larger systems, perhaps as intracluster stars. For simplicity though, we will use the term first stars to identify the earliest stars of our Galaxy.

## 3 FORMING THE FIRST STARS

### 3.1 Disk Formation

We model each of the PopIII halos discussed above as a small galactic system. Systems with masses larger than $`M_{crit}`$ cool and the gas forms a disk in centrifugal equilibrium (often seen in the numerical simulations quoted above), with an exponential surface density profile fixed by the total baryonic mass and angular momentum. This last is given by the $`\lambda `$ parameter, which is chosen at random from the distribution:

$$P(\lambda )=\frac{1}{\sigma _\lambda (2\pi )^{1/2}}\mathrm{exp}\left[\frac{\mathrm{ln}^2(\lambda /<\lambda >)}{2\sigma _\lambda ^2}\right]\frac{d\lambda }{\lambda },$$
(3)
with $`<\lambda >=0.05`$ and $`\sigma _\lambda =1.0`$, e.g. Dalcanton et al. (1997) and references therein. The initial dark halo profile is chosen such to have a central constant density core, as seen in present day dark halos from dwarf to cluster scales, Firmani et al. (2000). The formation of the disk modifies the gravitational potential in the central regions, we include the reaction on the dark halo to this process through an adiabatic invariance hypothesis (Flores et al. 1993; Hernandez & Gilmore 1998).

Fig. 3 shows a typical PopIII proto-galaxy, having a total mass of $`3\times 10^8M_{}`$, with a close-to-average angular momentum, $`\lambda =0.035`$. The final rotation curve is given by the solid curve, with the dotted line giving the surface density profile of the disk.

### 3.2 Disk Instabilities

The final temperature of the gas in the disk is taken to be $`300K`$, as appropriate for gas where the main cooling mechanism is H2 (Ferrara 1998, Susa & Umemura 2000, Machacek et al. 2000). This temperature determines $`c_s`$, the sound speed within the disk, which together with $`\kappa `$, the epicycle frequency obtained from the detailed final rotation curve, yields the Toomre’s stability parameter for the disk:

$$Q=\frac{c_s\kappa }{\pi G\mathrm{\Sigma }}.$$
(4)
In the regions where $`Q>1`$ the total tidal shears, together with the velocity dispersion, are sufficient to stabilize the disk locally against its self gravity. These regions are therefore not subject to star formation. The dashed curve in Fig. 3 gives the profile of $`Q^1`$ in the disk, showing the regions interior to the intersection with the $`Q=1`$ line to be unstable towards star formation, in this case $`85\%`$ of the disk mass. Fig. 4 is analogous to Fig. 3, but for a system having a larger angular momentum, $`\lambda =0.08`$. The changes in disk surface density and rotation curve imply than now only a smaller fraction ($`60\%`$) of the disk will form stars. A value for the gas temperature lower than the $`300K`$ we are assuming, due to the small presence of heavy elements in these objects, would only increase slightly the value of the unstable fraction. Given that the unstable fractions for systems with typical values of $`\lambda `$ are already close to unity, this detail does not affect our conclusions.

Finally, a gas to star conversion efficiency $`f_{}=0.05`$ is used to turn the total mass within the instability region into a final mass of stars, for each object. Although we have calibrated this parameter from local observations (Ciardi et al. 2000), since there is no firm theoretical prediction for any evolution with redshift of it, we have not explored such possibility.

### 3.3 Cloud Collisions and Collapse

Although the above instability criterion might be satisfied, it does not necessarily follow that the considered PopIII objects will be able to form stars. In fact, it is possible that cloud-cloud collisions might disrupt the gas clouds formed by the gravitational instability before they have time to collapse (a point originally made by Kashlinsky & Rees 1983). To explore this possibility we calculate the time for collisions between clouds, $`t_{coll}`$ and for cloud collapse, $`t_{ff}`$. This last will be given by:

$$t_{ff}\left(\frac{1}{G\rho }\right)^{1/2},$$
(5)
where $`\rho `$ is the density of the gas clouds. The collisional time scale is

$$t_{coll}=(\pi 𝒩\lambda _J^2c_s)^1,$$
(6)
with $`𝒩`$ the number density of clouds, and $`\lambda _J`$ the Jeans length in the disk (in general a function of radius) which we take as a representative size for the clouds. Taking $`𝒩=f_c\rho /M_J`$, where $`f_c`$ is the volume fraction of the disk filled with clouds, a filling factor, and the Jeans mass

$$M_J=\left(\frac{\pi \rho }{6}\right)\left(\frac{\pi c_s^2}{G\rho }\right)^{3/2},$$
(7)
since the Jeans length is:

$$\lambda _J=\left(\frac{\pi c_c^2}{G\rho }\right)^{1/2},$$
(8)
we can calculate the ratio of the collision time to the collapse time by substituting the values above into eqs. 5 and 6 to yield,

$$\frac{t_{coll}}{t_{ff}}=\frac{2.9}{f_c}.$$
(9)
Eq. 9 shows that even if the filling factor for the fragmenting disk were unity, which is unlikely, the collapse time of the clouds is always shorter than the collision time, at all radii, and independent of the value of $`c_s`$. This is a result of having taken a constant value of $`c_s`$ throughout the disk, which is a consequence of H2 being the dominant cooling mechanism operating in the primordial metallicity gas. As eq. 9 shows, for all the scales of our problem, gravitational cloud collapse can proceed unimpeded by cloud-cloud collisions, which we shall not consider further.

### 3.4 The First Stars Today

Once the total gas mass turned into stars as a function of the metallicity has been determined, we use the IMF of Larson (1998) to turn this into a total number of stars. This function offers a convenient parameterization of the IMF:

$$dN/dlogm(1+m/m_s)^{1.35}.$$
(10)
In the above equation $`m_s`$ is a characteristic mass scale, of order $`0.35M_{}`$ for a present day solar neighbourhood IMF. This scale mass can be increased to explore the consequences of a top heavy IMF applying to stars of metallicities much lower than solar, as the ones we are treating.

We combine this sampling of the IMF using $`m_s=0.35M_{}`$ with the most recent Padova stellar models of primordial metallicities of Girardi et al. (2000) to exclude those stars which due to their age have by now evolved off the tip of the RGB, and are hence no longer visible. In this way we obtain a sample of present day stars. Sampling the IMF from a fixed lower luminosity up to the tip of the RGB of the theoretical isochrones allows us to obtain the number of stars visible today upwards of a certain limiting luminosity, as a function of metallicity. Our final samplings include only stars between $`0.6M_{}`$ and the tip of the RGB of the Padova isochrones (of around $`1.0M_{}`$), which is the range over which stellar models were calculated.

As the total mass in PopIII objects is high, both the PopIII halos mass functions and the $`\lambda `$ distributions are sampled densely, yielding a low spread for the predicted final number of stars.

To summarize, each of the PopIII object selected from the mass function of eq. 1 is carefully modeled as a mini galaxy, with a value of $`\lambda `$ selected at random from eq. 3. The resulting system is then treated as a mini galaxy where the cooling of the baryons leads to disk formation; subsequently a disk instability criterion is used to obtain the total mass in stars contributed by each object. Finally, through the use of an IMF and new low metallicity stellar models, this total mass is turned into a number of stars visible today. This is repeated until the total PopIII object mass equals that within the bounded region described in Section 2, for a given limiting redshift, which corresponds to a fixed maximum metallicity. This process is repeated for different limiting redshifts, to construct a total mass distribution function for the low metallicity stars for the present day MW. The curve in Fig. 5 shows the number of MW stars with mass in the above range and having metallicities lower than a given value.

## 4 COMPARISON WITH DATA

To compare our results with observations we take the sample of Ryan & Norris (1991) of low metallicity halo stars in the local disk. They include a magnitude limited sample, (their NLTT sample) which is complete down to $`0.6M_{}`$ and $`V=13.0`$, the same limit we use to sample our IMF. From the theoretical isochrones, this corresponds to a distance of 290 pc, which we take as the radius of the sample. In that sample 5 stars were found with $`[Z/Z_{}]<3.0`$. To obtain the total number of stars in the Galactic halo at this metallicity, we must introduce an assumption regarding the distribution of these stars.

If the PopIII stellar systems are disrupted while they are incorporated into the growing MW, their stars will today be found almost exclusively in the Galactic halo, while if the initial stellar systems form tight clusters, they might survive disruption and through dynamical friction end up in the galactic bulge. Which of these two processes dominates will depend on the mass ratio of the mergers through which the PopIII systems reach the MW. If these mass ratios are close to one, disruption will be important, while if they are accreted late into a fully formed MW PopIII objects might remain bound. From N-body simulations White & Springel (2000) have argued that most of the lowest metallicity stars in a present day galaxy will be found in the stellar halo, and not in the bulge. We therefore make the assumption that the lowest metallicity stars share the isothermal distribution of the dark halo, out to a distance of $`100`$ kpc, representative of the total extent of the halo. The actual density profile of these objects might more closely resemble that of the old globular cluster population, having an $`R^3`$ profile. Fortunately, fixing the normalization point at the solar radius (8.5 kpc) yields total numbers which are largely independent of this change in the assumed profile, e.g. for core radii in the $`R^3`$ profile going from 0.2 to 2 kpc (a core radius must be introduced in the $`R^3`$ profile to avoid the central divergence), the total numbers of stars change by a factor 1.24 to 0.34, respectively, small compared to our error bars in figures 5 and 6. It is worth pointing out that the assumption of a particular density profile for the current low metallicity halo stars is not intrinsic to our results, but becomes necessary only for data comparison purposes.

Taking the Ryan & Norris (1991) data plus the hypothesis of an isothermal distribution discussed above, we derive the total number of stars with $`[Z/Z_{}]<3.0`$ in the Galaxy as $`4.43\times 10^6`$. To obtain numbers at other metallicities we use the relative metallicity distribution function of the more recent Beers et al. (1998) work, which combines several new samples. These observations are shown in Fig. 5 by the points with error bars, which reflect the uncertainties in the normalization.

The stellar halo might not extend as far out as $`100`$ kpc, but some PopIII stars might be found in the bulge, so the interpretation of data used in Fig. 5 is probably a lower limit. On the other hand, given the uncertainties in the primordial IMF, our prediction is a strict upper limit.

It is clear that our results fall somewhat above the observational measurements, implying that our assumption of a constant $`m_s=0.35M_{}`$, essentially a present day solar neighbourhood IMF, is not valid. Reconciling our estimates with the observations requires not only the assumption of a higher $`m_s`$ in the past, but throughout the redshift range studied, an increasing trend for this value. Note that our derived numbers of PopIII stars scale linearly with $`f_{}`$

Several authors, e.g. Larson (1998) have pointed out that the increase of the CMB temperature with redshift alone, implies an increase in the Jeans mass for the star forming clouds, once one is beyond $`z=2`$, where the CMB temperature equals the $`8`$ K of cold star forming clouds. It has therefore been suggested that at high redshift the IMF should be increasingly weighted towards larger stellar masses. The labeled arrows in Fig 5. show the values of $`m_s`$ which we require at $`z=6.5`$ and $`z=9.0`$, to match the observed points.

In Fig. 6 we show the values of $`m_s`$ which we infer for the IMF of PopIII objects, by imposing that model and observations agree. The solid curve indicates the redshift evolution of the Jeans mass in star forming clouds, which we identify with $`m_s`$. Although for $`z<9`$ our results are consistent with the increase in $`m_s`$ coming solely from that in the Jeans mass due to the CMB, the trend for $`6<z<9`$ is clearly for a rise in $`m_s`$ beyond what this effect can account for. In fact, as Larson (1998) points out, this is only the minimum increase to be expected, as other heating sources, e.g. massive stars themselves or a UV background, were likely to be present. Furthermore, a reduced opacity consistent with these low metal abundances would have the effect of skewing the IMF towards larger masses, thus operating in the same direction.

For $`z>9`$, the values of the characteristic mass appear to stabilize around the value $`m_s=1015M_{}`$, indicative of a very top heavy IMF at these early epochs, although the increase of our error bars makes determining trends in this redshift range harder.

Finally, Fig. 7 presents an HR diagram containing over 2000 stars, produced from the low metallicity stellar models used, convolved with errors appropriate to HST observations of halo stars (Gallart et al. 1999; Hernandez et al. 2000), for $`m_s=5.0M_{}`$. The inclusion of detailed atmosphere calculations and spatial information to yield detailed observational predictions will form part of a forthcoming paper.

## 5 SUMMARY

From our study we conclude that:

* If the standard hierarchical merger scenario is correct, in the MW one should not expect to find stars having metallicities lower than $`[Z/Z_{}]=4.3`$, consistent with current observational limits.
* We infer the IMF of PopIII stars to have been strongly weighted towards high masses, and increasingly more so in the range $`6<z<9`$, this levelling off at $`z\stackrel{>}{}9`$ at a characteristic mass scale $`m_s=1015M_{}`$.
* Observational limits on the numbers and metallicity distribution of very low metallicity stars in the MW can place sharp restrictions on the IMF of the first stars. This can be achieved through detailed modelling of the full range of phenomena giving rise to such stars, of the type attempted here, thus necessarily establishing a connection with the underlying structure formation scenario.

## 6 ACKNOWLEDGMENTS

The authors wish to thank the referee, Volker Bromm, for his careful reading of the manuscript and helpful comments which improved the presentation of this paper, as well as Richard Larson for a detailed look at a first draft and Leo Girardi for making his new isochrones available electronically. This work was completed as one of us (AF) was a Visiting Professor at the Center for Computational Physics, Tsukuba University, whose support is gratefully acknowledged.


text:
# The GDH sum rule for the Δ isobar: A possible anomaly?

## 1 Introduction

The Gerasimov–Drell–Hearn sum rule puts a nontrivial constraint on a spin dependence of the total photoabsorption cross section by hadrons. For a target $`B`$ of spin $`s`$, the electric charge $`eZ`$ ($`e^2=1/137`$), and the mass $`m`$ it states

$$I^{\mathrm{GDH}}_{\mathrm{thr}}^{\mathrm{}}\left(\sigma _{1+s}(\omega )\sigma _{1s}(\omega )\right)\frac{d\omega }{\omega }=4\pi ^2s\left(\frac{\mu }{s}\frac{eZ}{m}\right)^2,$$
(1)
where $`\mu `$ is the magnetic moment of $`B`$ and $`\mu eZs/m`$ is the anomalous magnetic moment (a.m.m.). The cross sections $`\sigma _\lambda (\omega )`$ refer to absorption of a circularly polarized photon by the target with spin $`s`$ parallel or antiparallel to the photon helicity, so that $`\lambda =1\pm s`$ is the net helicity.

The only strong assumption needed for the validity of the GDH relation (1), viz. that spin dependence of the Compton forward scattering amplitude vanishes at high energies, seems to agree with QCD. Recent measurements of $`\sigma _\lambda (\omega )`$ off the proton at MAMI  confirm that the GDH integral is indeed equal to its theoretical value given by the a.m.m. of the proton.

We concentrate here on a contribution to the GDH integral from baryon resonances $`B^{}`$. In the zero-width approximation and in terms of standard photocouplings,

$$A_\lambda =\sqrt{\frac{\pi }{\omega ^{}}}B^{}(+\frac{1}{2}𝒌,\lambda )|J_+(0)|B(\frac{1}{2}𝒌,\lambda 1),\omega ^{}\frac{|m_{}^{}{}_{}{}^{2}m^2|}{2m^{}}$$
(2)
($`J_\pm =J_x\pm iJ_y`$ is the electromagnetic current), this contribution reads

$$I_{\mathrm{res}}^{\mathrm{GDH}}=\underset{B^{}B}{}\frac{2\pi }{\omega }\left(|A_{1+s}|^2|A_{1s}|^2\right),\omega \frac{|m_{}^{}{}_{}{}^{2}m^2|}{2m}.$$
(3)
Both the experimental data  and theoretical arguments of quark models  and large-$`N_c`$ QCD  suggest that the GDH integral for the nucleon is dominated by energies in the $`\mathrm{\Delta }`$-resonance region. The magnetic $`\gamma N\mathrm{\Delta }`$ transition and $`s`$-wave pion photoproduction dominate the integral, whereas a contribution of resonances of $`N1`$ oscillator bands is relatively small. For other targets situation is, however, different, and a fulfillment of the GDH sum rule requires $`N=1`$ resonance contributions, as it will be explained below.

## 2 M1-part of the GDH integral in NQM

It is known that magnetic spin-transitions like $`\gamma N\mathrm{\Delta }`$ are generally insufficient for saturation of the GDH sum rule. For example, in the case of a weakly-bound system of a few nonrelativistic $`s`$-wave quarks with the operator of the total magnetic moment $`𝑴=_q(e_q𝝈_q/2m_q)`$, the (unretarded) magnetic M1-contribution to Eq. (3) takes the closure form

$`I_{\mathrm{M1}}^{\mathrm{GDH}}`$ $`=`$ $`2\pi ^2{\displaystyle \underset{B^{}B}{}}\left\{|B^{}(s_z+1)|M_+|B(s_z)|^2|B^{}(s_z1)|M_{}|B(s_z)|^2\right\}`$ (4)
$`=`$ $`2\pi ^2B(s_z)|[M_{},M_+]|B(s_z)2\pi ^2B(s_z)|[\mu _{},\mu _+]|B(s_z).`$
Here the magnetic moment $`𝝁`$ of the state $`B`$ appears as

$$B(s_z^{})|𝝁|B(s_z)=B(s_z^{})|𝑴|B(s_z),\frac{\mu }{s}=\underset{q}{}\frac{e_q}{m_q}P_q,$$
(5)
where quantities $`P_q=s_{qz}/s_z`$, $`_qP_q=1`$, are fractions of the total spin $`s_z=s`$ carried by different quarks $`q`$. In this notation Eq. (4) becomes

$$I_{\mathrm{M1}}^{\mathrm{GDH}}=4\pi ^2s\left[\left(\frac{\mu }{s}\right)^2\underset{q}{}\left(\frac{e_q}{m_q}\right)^2P_q\right].$$
(6)
Generally, $`I_{\mathrm{M1}}^{\mathrm{GDH}}`$ is not equal to the r.h.s. of Eq. (1). For SU(3)-octet states like the proton ($`p=uud`$), for which $`P_1=P_2=\frac{2}{3}`$, $`P_3=\frac{1}{3}`$ and $`e_1=e_2`$, Eqs. (1) and (6) do coincide, provided all masses of quarks are the same and $`m=3m_q`$. These states include also the neutron and the strange baryons $`\mathrm{\Sigma }^\pm `$, $`\mathrm{\Xi }^0`$, $`\mathrm{\Xi }^{}`$. However, in the case of $`\mathrm{\Sigma }^0`$ and $`\mathrm{\Lambda }`$ we have $`I_{\mathrm{M1}}^{\mathrm{GDH}}<I^{\mathrm{GDH}}`$. For SU(3)-decuplet states all $`P_q=\frac{1}{3}`$, so that the a.m.m. $`\mu eZs/m=0`$ (in the limit of $`m=3m_q`$) and therefore $`I^{\mathrm{GDH}}=0`$. Meanwhile $`I_{\mathrm{M1}}^{\mathrm{GDH}}<0`$ whenever there are quarks of different electric charges in the baryon $`B`$. This is the case for those members of the decuplet which contain exactly one or two $`u`$-quarks and thus have the electric charge 0 or $`+1`$ (e.g., $`\mathrm{\Delta }^+`$ and $`\mathrm{\Delta }^0`$).

## 3 M1-photon scattering in NQM

Since the a.m.m. of $`\mathrm{\Delta }`$ is zero (at least in the NQM), a naive understanding of the GDH integral (1) as an integral over positive $`\omega `$ may suggest that (spin-dependent part of) the photoabsorption cross section off $`\mathrm{\Delta }`$ is small. This, however, is not true since we have seen that the GDH M1-contribution $`I_{\mathrm{M1}}^{\mathrm{GDH}}`$ for $`\mathrm{\Delta }^+`$ or $`\mathrm{\Delta }^0`$ is not zero and as large as $`300\mu `$b. This piece of $`I^{\mathrm{GDH}}`$ emerges owing to $`\mathrm{\Delta }N`$ transition which is de-excitation and which corresponds to a negative-energy part of the GDH integral. In order to have $`I^{\mathrm{GDH}}=0`$, a big positive contribution must also exist which can only come from resonances of spin $`\frac{5}{2}`$. Therefore, the GDH sum rule implies that both $`\mathrm{\Delta }^+`$ and $`\mathrm{\Delta }^0`$ must have strong electromagnetic transitions into resonances of higher spins.

In view of importance of such a conclusion, we want to argue more that the negative de-excitation contribution is indeed a part of the GDH integral. Let us write the forward scattering amplitude of a photon with the helicity $`+1`$ in the above-considered nonrelativistic quark model. Neglecting the retardation and recoil and keeping only M1 terms in the electromagnetic current, we have

$$T_{\mathrm{M1}}(\omega )=\frac{\omega ^2}{2}\underset{n}{}\left(\frac{B|M_{}|nn|M_+|B}{E_nE_B\omega iϵ}+\frac{B|M_+|nn|M_{}|B}{E_nE_B+\omega iϵ}\right),$$
(7)
where the sum is taken over all possible intermediate states $`n`$. At low energies $`\omega `$, the amplitude $`T_{\mathrm{M1}}(\omega )`$ is dominated by intermediate states $`|n`$ of the energy $`E_n=E_B`$. These states are just $`|B`$ with perhaps different spin projections. Using closure, we find that

$$\omega ^1T_{\mathrm{M1}}(\omega )\frac{1}{2}B|[\mu _{},\mu _+]|B=s\left(\frac{\mu }{s}\right)^2\text{when }\omega 0.$$
(8)
In the opposite limit of high energies we neglect $`E_nE_B`$ and, using the closure, write

$$\omega ^1T_{\mathrm{M1}}(\omega )\frac{1}{2}B|[M_{},M_+]|B=s\underset{q}{}\left(\frac{e_q}{m_q}\right)^2P_q\text{when }\omega \mathrm{}.$$
(9)
The conclusion is that the full GDH integral (4), with both excited and de-excited intermediate states included, is what determines a variation of the quantity $`\omega ^1T_{\mathrm{M1}}(\omega )`$ between low and high energies.

In the real (relativistic) world, the spin-dependent part of the full amplitude, $`T_{\mathrm{spin}}(\omega )`$, is determined at low energies by the a.m.m. rather than $`\mu `$ and $`\omega ^1T_{\mathrm{spin}}(\omega )`$ vanishes at high energies rather than goes to the constant (9). With these changes, the full GDH integral is still that determines a variation of $`\omega ^1T_{\mathrm{spin}}(\omega )`$ between $`\omega =0`$ and $`\mathrm{}`$ and therefore gives the r.h.s. of Eq. (1).

## 4 The GDH sum rule for $`\mathrm{\Delta }`$ in quark models

A challenge with evaluating the GDH sum rule for $`\mathrm{\Delta }`$ is in finding a source for a big photoabsorption cross section $`\sigma _{5/2}(\omega )`$ which must compensate the large negative de-excitation contribution from the nucleon, as well as negative contributions of all resonances of spin $`\frac{3}{2}\text{}`$. Theoretical evaluations of the GDH sum rule for weakly-bound systems  suggest that the full electromagnetic spin-orbit interaction, including a relativistic two-body correction, which leads to $`p`$-wave excitations of the system, should play an important role here. Using such an interaction in the framework of the Karl–Isgur nonrelativistic quark model, we calculated photocouplings $`A_\lambda `$ of the $`\mathrm{\Delta }`$ resonance to all the lowest $`L=1`$ baryons and found the resonance contribution (3). We have found that the spin-orbit interaction strongly affects photocouplings of $`|N^4P_M`$ resonances (lying in the 1700 MeV mass range) and makes $`D_{15}(1675)`$ a prominent mode of the $`\mathrm{\Delta }`$ photoexcitation. Still, the found strength of the $`D_{15}(1675)`$ contribution is not sufficient to bring the GDH integral to a positive (even small) value (see Table 1).

Recently, Carlson and Carone estimated photocouplings of $`\mathrm{\Delta }`$ with the $`L=1`$ baryons using an operator structure of the large-$`N_c`$ QCD and determining unknown coefficients through experimental data on photocouplings of the nucleon. Depending on whether two-body operators are included or not included into the fits, two solutions were provided (CC-II and CC-I, respectively) which lead to results which we shown in Table 1. Doing so, we add the contribution of the nucleon with the experimentally known photocoupling, just to be in line with the whole ideology of this approach. The CC predictions reveal a strong photocoupling of $`\mathrm{\Delta }`$ with $`D_{15}(1675)`$ which leads to an essential cancellation between the $`N(939)`$ and $`D_{15}(1675)`$ contributions. Uncertainties in photocouplings make it difficult to predict unambiguously the GDH integral. A clear trend, however, is that the $`D_{15}(1675)`$ resonance does not yield all the needed cross section $`\sigma _{5/2}`$.

It would be desirable to extend the present consideration by including soft-pion photoproduction which is known to visibly contribute to the GDH integral for the nucleon target and which is partly responsible for reducing the otherwise too big contribution of $`\mathrm{\Delta }`$ if taken with the experimental strength. Then effects of the finite width of the $`\mathrm{\Delta }`$ should be taken into account as well. We might anticipate that essentially $`s`$-wave pion photoproduction off the $`\mathrm{\Delta }`$ does not contribute much to $`\sigma _{5/2}`$ but does contribute to $`\sigma _{1/2}`$ owing to the reaction $`\gamma \mathrm{\Delta }\pi N`$. It thus can further increase the gap between the negative resonance contribution $`I_{\mathrm{res}}^{\mathrm{GDH}}`$ and the positive theoretical value of $`I^{\mathrm{GDH}}`$.

## Acknowledgments

I appreciate a useful discussion with S.B. Gerasimov. The hospitality and support of the Institut für Kernphysik at University of Mainz, where a part of this work was done, is greatly acknowledged.


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# A quasi classical approach to fully differential ionization cross sections

## References


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# Emergence of a dominant unit in a network of chaotic units with delayed synaptic change

## Abstract

We study here a model of globally coupled units with adaptive interaction weights which has a delay in the updating rule. Simulations show that the model with such delayed synaptic change exhibits dynamical self-organization of network structure. With suitably chosen parameters, “dominant” unit emerges spontaneously, in the sense that the connections from such unit to almost all of the other units are especially strengthened. Such weight structure facilitates the coherent activity among units.

Self-organization associated with neural networks has been one of the main research focus . It has been studied from both dynamical aspects such as firing patterns, and structural aspects like strength of synaptic connections. The main principle for many self-organizing characteristics is the Hebbian rule. Ito and Kaneko  has recently proposed a model of globally coupled chaotic units with the Hebbian type synaptic updating rule. The striking finding from the simulation of the model is that with an external input unit, such network model self-organizes into the layered structures. In this model, some layers can be defined according to the distance from the external input unit measured along the connection between units. The notable point is that such structure emerges spontaneously without any predetermined instruction, except which unit the external input is given to. The model has given a possible starting point for the mechanism of self-organization of the layered structure.

The main theme of this Letter is the study of this model when we incorporate a delay in the updating rule of synaptic weight. The change of weight lags behind the change of the state of the model neuron unit reflecting a delay between presynaptic and postsynaptic process . In biological information processing, delay is an important factor, and the effect of delay on dynamical systems is perceived as a source of more complexity . Our numerical solution indeed shows that delay contributes to phase of more mixed dynamical patterns in the network. When the model structure is concerned, however, the delay induces a peculiar dynamical order. Without delay, we have designated a single input neuron which is supplied with an external fixed input. Some structural order is induced with that neuron as a “core”. With delay, such a “core” or “dominant” neuron emerges spontaneously. In other words, some structural coherence is observed due to delay without an external fixed input. Ohira and Sato  has recently proposed a simple model to induce a regular spiking patterns using delay. There are also studies that delay could lead to suppression of complex dynamics . Our model here can be considered as one of such examples exhibiting an effect of delay toward order. From the neural network point of view, this model could lead to a possibility of emergence of neural network structure without any driving external input.

As an abstract model for neural information processing, we adopt a simple dynamical system model that has the following two properties: (1) global connections between nonlinear units that can exhibit chaotic and other dynamic behavior, and (2) plastic change of the connections between units that depend not only on the states of the two units to which they correspond but also globally on all the other units.

Specifically we employ a globally coupled map (GCM)  with plastic couplings. Although, in a conventional GCM, couplings between units are fixed, we need to introduce a process corresponding to the change of the synaptic weight. Here we introduce variable connection strengths between units. In some applications of GCM to neural networks, a unit of the GCM corresponds to a single neuron . We do not adopt such a representation in our model. Instead we study neural dynamics at a coarse-grained level, by regarding the dynamics of each unit of the GCM as a collective variable representing an ensemble of neurons. Here, we are interested in the universal behavior of systems which possess the features described above, rather than the phenomena specific to any particular choice of the unit dynamics.

Each unit in the system is taken to be the logistic map. The output $`x_n`$ at the time step $`n`$ is given as follows:

$`x_{n+1}=ax_n(1x_n).`$

$`a`$ is the parameter representing the nonlinearity of the map, which can take the value between 0 and 4.

With units of this type, we consider the following network model:

$`x_{n+1}^i=ay_n^i(1y_n^i)`$

$`y_n^i=(1c)x_n^i+c{\displaystyle \underset{j=1}{\overset{N}{}}}\epsilon _n^{ij}x_n^j.`$

Here $`x_n^i`$ and $`y_n^i`$ are the output and the state variable of the unit $`i`$, respectively, at the time step $`n`$. The variable $`\epsilon _n^{ij}`$ is time-dependent synaptic weight of the coupling from unit $`j`$ to unit $`i`$. $`N`$ is the number of the units, and $`c`$ is the parameter which represents the strength of the influence of other units.

In general, for systems of the type we study, the variation of the connections has been described by Hebbian-type dynamics. It is not straightforward to introduce the coupling dynamics in the present case, since the state $`x_n^i`$ refers not to a neuron but to a collective state. We extract the essence of the above dynamics of synapses, and include it in our abstract GCM model. Here we consider the dynamics for the synaptic strength described by

$`\epsilon _n^{ij}={\displaystyle \frac{\stackrel{~}{\epsilon }_n^{ij}}{_{j=1}^N\stackrel{~}{\epsilon }_n^{ij}}},`$

$`\stackrel{~}{\epsilon }_{n+1}^{ij}=\{\begin{array}{cc}[1+\mathrm{cos}\pi (x_{n\tau }^jx_n^i)]\epsilon _n^{ij}\hfill & \text{(for }ij\text{)}\hfill \\ 0\hfill & \text{(for }i=j\text{)}\hfill \end{array}.`$

$`\tau `$ is the delay time. When $`\tau =0`$, this updating rule is the same as in the original model . The ‘normalization’ over all units gives a simple representation of the global competition for the coupling change.

As an initial condition, all the coupling strengths $`\epsilon _0^{ij}`$ are set to be identical, and the state variables $`x_0^i`$ are drawn from a random number between 0 and 1.

In simulations shown below, we use parameter values $`a=3.7`$, $`c=0.25`$, and $`\tau =1`$. These parameter values correspond to partially ordered phase . In this phase, the dynamics of state variables exhibits chaotic itineracy, which is characterized by the dynamic change of the effective degrees of freedom. In a conventional GCM, this phase is observed for relatively narrow ranges of parameter values. Here, by the introduction of delay, partially ordered phase appears in much wider regime in the parameter space. Hence, the effect of delay produces a richer dynamical behavior.

Although the dynamics of state variables exhibit such a complex movement, the situation is different as we turn our attention to the dynamics of the synaptic weights. Snapshots of the strength of the connection matrices $`\epsilon _n^{ij}`$ at different time step are shown in figure 1 and figure 2. Fig. 1(a) is a snapshot taken at the 1200th time step. One can easily see that the stronger connections are concentrated in a few columns. In this figure, the filled squares in the $`i`$th column represents the connection from $`i`$th unit to the other units, so fig. 1(a) represents the situation that the connections from a few units to almost all the other units are selectively strengthened. These few units emerged as “core” or “dominant” units of the structure of the network. In figure 1(b), one example of the graph representation of the network structure, drawn according to the method used in , is shown. The dominance of unit 8 and 17 over the rest of units can be seen.

After sufficient time steps are elapsed, the connection matrix appears like the state shown in figure 2(a). In this figure, taken at 20000th time step, almost all the connections are sited in the only one column, reflecting an emergence of a single dominant unit. One connection is sited in the other column because of the characteristics of our model that the self connection is meant to be 0. In fig. 2(b), the graph representation of the network structure is shown again, illustrating the prominent dominance of unit 11. During this stage, the concentration of the coupling strength to one column is relatively stable so that such state can sustain for thousands of time steps.

Considering the apparent tendency that the connection strength would gather to a few columns, we calculated the summation of the connection strength over each column at each time step, i.e., $`_{i=1}^N\epsilon _n^{ij}`$, which represents, in a sense, the strength of the influence of the unit $`i`$ on the other units, and plotted the time series of this value averaged for every 100 steps. Figure 3 is the plot. The frequent changes of the dominant core unit during the earlier stage, and the stable lasting of the dominance by a particular core unit for up to about 20000 steps during the later stage can be seen.

Now let us consider the influence of the appearance of such dominant unit on the dynamics of state variables. As described above, in the parameter regime we now consider, system exhibits the chaotic itineracy which accompanies the dynamic temporal change of the effective degrees of freedom. One method to evaluate the effective degrees of freedom is to calculate the number of clusters with low resolution . Figure 4 is the calculated number of clusters with three different resolutions. Prominent declines of the effective degrees of freedom are observed in two periods, namely, from the 5000th step to the 8000th step, and after the 18000th step. Note that these periods corresponds to the appearance of the dominant unit, as is shown in fig. 3.

The decline of the effective degrees of freedom implies the coherence of dynamics of state variables. To investigate whether such coherent dynamics really happens, we computed the distribution of $`x_n^i`$ around the mean value, $`_{i=1}^Nx_n^i/N`$, at each step. The distribution is calculated for three different periods, say, 0th-5000th step, 5000th-10000th step, and 20000th-25000th step. Note that the first period corresponds to the frequent change of the dominant unit, and the latter two periods to the stable lasting of the dominance. The results are shown in figure 6(a), 6(b), and 6(c), respectively. All of these three figure show the peak at the center. However, the peak is much keener and the width of the distribution is thinner for the last two figures, which imply that the coherent activity among units do emerge.

There are a couple of points for discussion. The first point is the dynamical emergence of dominant units in the weight structure of the network. Without delay, as shown in the previous study , a core unit was needed to be manually placed by representing an external constant input. This input unit then became a core unit of structured weight connections. Here, as we have shown, delay induced the dynamical emergence of such core units. It is yet to be investigated whether this model, with such dynamically emerged core units, can also show a layered structure as in the original model.

Also, we note that there is a dynamical interplay between the coherence of weight structure and the coherence of activities of units. As mentioned above, delay in the synaptic change gives rise to the complex behavior in the dynamics of state variables. This dynamics is characterized by temporal change of the effective degrees of freedom. The low degrees of freedom implies that values of state variables are somewhat gathering and the high degrees of freedom corresponds to spread values. Now, let us suppose that the system with the relatively low degrees of freedom suddenly get the high degrees of freedom. Since, in this situation, only a few units have the values near the previous ones, selective strengthening of connections from such a few units to the other units occurs. This is the mechanism that the dominant unit appears. The dynamic change of the effective degrees of freedom triggers the emergence of the dominant units. Once the dominance of one unit gets sufficiently large, this unit starts to attract more and more units around it, since, in this state, almost all of the units obey the quite similar rule, and the dynamics of every unit has to be similar to each other. This results in almost complete dominance by the only one unit. However, this dominant state cannot last too long. Indeed, our numerical simulation shows sudden substitution of a core unit. The study on the stability of dominant state is one of the further works.

Our model may have rather peculiar points such as a choice of logistic map units, and more study is needed to clarify the characteristics of such delay induced dynamically emerged interplay of coherence between structure and activities. We expect, however, that such effect may be of importance with biological neural networks.