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# Line-of-sight velocity distributions of low-luminosity elliptical galaxies

## 1 Introduction

The shape and strength of absorption features provide a direct measure of the kinematics of integrated stellar populations in early-type galaxies \[Sargent et al. 1977, Tonry & Davis 1979\]. Large format CCD arrays of small pixels enable two-dimensional studies of galaxy kinematics at high spectral and spatial resolution to be made using long-slit spectroscopy. This has led to the study of the line-of-sight velocity distribution (LOSVD) at different positions within a galaxy, allowing the kinematical structure to be tightly constrained (e.g., Franx & Illingworth 1988, hereafter FI88; Bender 1990, hereafter B90; Rix & White 1992, hereafter RW92; van der Marel & Franx 1993, hereafter vdMF93; Bender, Saglia & Gerhard 1994, hereafter BSG94, van der Marel et al. 1994, hereafter vdM94a, Fisher et al. 1995, hereafter F95, Statler & Smecker-Hane 1999, hereafter SSH99, Mehlert et al. 2000).

The orbital structure of a galaxy is a fossil record of its evolutionary history. However, there is a degeneracy between changes in mass-to-light ratio and velocity dispersion anisotropy that limits the analysis of rotation and dispersion measurements alone (Binney & Tremaine 1987). To recover the mass density distribution of a given galaxy requires at least an accurate determination of the velocity dispersion anisotropy through the LOSVD. A full determination of the galaxy dynamics would require the measurement of surface brightness profiles and is beyond the scope of this work but an accurate measurement of the LOSVD is an important step in achieving this (e.g., van der Marel et al. 1994, hereafter vdM94b; Saglia et al. 2000).

To a first approximation, elliptical galaxies are believed to be relaxed dynamical systems and the distribution of stellar velocities has been assumed to be Maxwellian producing approximately Gaussian profiles. However, within a number of ellipticals non-Gaussian LOSVDs have been measured. For example, see Figure 1 for LOSVDs measured in NGC 5582 at various radii. The non-Gaussian LOSVDs led to the detection of multiple component structures in ellipticals, such as kinematically-decoupled cores (FI88; Jedrzejewski & Schechter 1988, hereafter JS88), and central disks (RW92; van den Bosch et al. 1998). It has been demonstrated that under the assumption of Gaussian LOSVDs, the measurement of both rotation velocity and velocity dispersion can be incorrect by 10% or more (vdMF93).

To improve on the earlier measurements, more general parameterizations of the LOSVD have been tested and have been found to provide a superior description of the galaxy kinematical structure (RW92; vdMF93; Kuijken & Merrifield 1993; Zhao & Prada 1996). Here galaxy kinematics are measured using the Fourier Correlation Quotient (FCQ) method of B90. This method is considerably less sensitive to template-mismatching than traditional Fourier methods and allows the measurement of the full LOSVD. The LOSVD is then parameterized as a Gauss-Hermite series expansion (vdMF93) including the higher order terms $`h_3`$ and $`h_4`$.

The galaxy sample studied here consists mostly of low-luminosity ellipticals (hereafter LLEs). Evidence has grown steadily over the past 15 years that LLEs may be very different from the more luminous giant ellipticals, both in their kinematical behaviour (Davies et al. 1983, hereafter DEFIS83; Bender & Nieto 1990; Rix et al. 1999) and the properties of their stellar populations (e.g. Faber et al. 1992). As isotropic rotators (DEFIS83), LLEs are more easily modelled than the giant ellipticals which are believed to be supported by velocity dispersion anisotropy. Furthermore, the lower velocity dispersion broadening of LLEs enables the higher-orders of the LOSVD to be measured more accurately than for the more luminous ellipticals, provided that data of sufficiently high spectral resolution and signal-to-noise ratio (hereafter S/N) can be obtained.

The main objective of the measurements described here is to constrain the kinematical structure of our LLE sample as a function of radius. In Section 2, observations and reduction steps are described. The adopted LOSVD parameterization is presented and discussed in Section 3. A description of the measurement of galaxy kinematics using the FCQ method and measurements of rotation, $`\sigma `$, $`h_3`$ and $`h_4`$ are given in Section 4 and Appendix A. A short analysis of characteristic global kinematic parameters for the major axis of our sample is presented in Section 5 and a discussion of our results is given in Section 6. Comparisons between measurements obtained here and the measurements of previous authors are presented in Appendix B.

## 2 Observations and Basic Reduction

### 2.1 Galaxy Sample

A complete sample of 17 low-luminosity elliptical galaxies was selected from the Virgo catalog of Bingelli et al. (1985) covering the absolute magnitude range $`20M_B17`$.

Nine galaxies of this original sample were observed. Other low-luminosity ellipticals (NGC 2778, NGC 3377, NGC 3605, NGC 3608, NGC 5582) were observed when Virgo was not available due to cloudy or windy conditions. The well studied ‘bona fide’ elliptical NGC 3379 was observed to enable consistency checks to be made with the measurements of other authors. Our observed sample is given in Table 1 which lists the morphological type, apparent magnitude BT, the effective radius in arcsec (Re), mean ellipticity, heliocentric redshift, czhelio and environment. Values of absolute magnitude, as listed also in Table 1, were calculated using the distances from the surface-brightness-fluctuation survey of Tonry et al. (2001). Specifically we use a mean distance of 17.0 Mpc to the Virgo cluster, 11.1 Mpc to the Leo I group and 21.8 Mpc to the Leo II group. Two galaxies, NGC 2778 and NGC 5582, are in low density environments and we use the individual SBF distances of 16.9 Mpc and 28.4 Mpc, respectively.

### 2.2 Description of Observations

Long-slit spectroscopic data were obtained using the Blue Channel Spectrograph at the Multiple Mirror Telescope, Arizona, U.S.A., during 5-7 March and 15-17 May 1994, and 22-26 February 1995. The seeing varied from 0.5 to 2.0 arcsec. The Loral CCD detector of the Blue Channel Spectrograph was replaced between the observing runs of May 1994 and February 1995 with a chip of improved cosmetics. A summary of the instrumental set-up is given in Table 2.

A wavelength range of $``$4555-6045 Å was chosen to be centred on the Mg $`b`$, Fe5270 & Fe5335 Lick/IDS line-strength indices \[Trager et al 1998\]. To accurately determine values of $`\sigma `$ of as low as 60 km s-1, a high spectral resolution of $``$1.5 Å FWHM was required; for this purpose a grating of 1200 g/mm and a slit width of 1 arcsec were used. The resolution element in the spatial direction was rebinned by 2 pixels to produce a spatial scale of 0$`\stackrel{}{.}`$6 pixel-1. The slit length was 180 arcsecs.

High S/N long-slit spectra were obtained for the major and minor axes of each galaxy of our sample. To determine kinematics 3-8 stellar template stars, predominantly G and K giants, were observed during each night. A log of all galaxy observations is given in Table 3: this includes the date of observation, position angle (hereafter PA) of observation and the exposure time in seconds. Data for the galaxies NGC 4467 and NGC 4239 were of poor S/N and results for these objects will not be presented here.

Two different types of stellar observation were made: ‘trailed’ and ‘rocked’. ‘Trailed’ spectra were obtained by trailing the stellar image along the length of the slit while the telescope was slightly de-focussed. A ‘rocked’ spectrum was created by moving the stellar image across the slit at regular intervals (10-20 arcsecs) along the slit length. This helped to ensure that the illumination of the slit and hence the instrumental broadening of observations, was identical for both star and galaxy spectra, and for this reason ‘rocked’ spectra were preferred for the kinematical analysis.

Exposures of both an incandescent lamp and the twilight night sky were obtained as flat-field standards. Standard He-Ar and Ne comparison lamp sources were observed simultaneously to enable wavelength calibration and geometrical rectification to be completed for all stellar and galaxy observations. For galaxy observations, comparison exposures were taken both before and after the exposure to monitor any shift in the instrumental set-up. For a given star, a single comparison exposure of $``$2-4 minutes was obtained for both the ‘rocked’ and ‘trailed’ exposures where these were taken consecutively.

### 2.3 Basic Reduction

A standard data reduction was performed principally using IRAF 222Image Reduction and Analysis Facility of the National Optical Astronomy Observatories, Tuscon, Arizona, U.S.A... To complete the measurement of galaxy kinematics additional steps were performed using IRAF and MIDAS 333Munich Image Data Analysis System of the European Southern Observatory..

Reduction steps, performed for each night of observation, are summarized; for a more detailed description see Halliday (1998). All CCD observations were bias-subtracted, flat-fielded and corrected for the effects of both cosmic ray hits and bad pixel columns. A wavelength calibration was performed for each star and galaxy frame to a typical accuracy of 0.05 Å ($``$ 3 km s-1 at $``$5200 Å). A series of distortion maps were created to geometrically rectify each frame to a typical accuracy of 0.2 pixels RMS ($``$6 km s-1 at $``$5200 Å). Background sky signal was subtracted for each galaxy frame by linearly-interpolating between areas of sky at opposite sides of the galaxy spectrum. A correction for chromatic focus variations within a galaxy frame was made where required. This involved measuring the central width of the galaxy profile as a function of wavelength. A procedure was developed to smooth the galaxy profile width to the same value for all wavelengths. This was similar to a procedure adopted by Mehlert et al. (1998) to correct for chromatic focus variations detected within their data. The dispersion axis of each galaxy frame was finally rebinned on to a natural logarithmic scale.

A one-dimensional stellar spectrum was created for each ‘rocked’ star frame by extracting individual ‘strips’ of spectra within each frame. These were combined to produce a single one dimensional spectrum and deredshifted to laboratory wavelengths.

## 3 Parameterization of the Line-of-Sight Velocity Distribution

The line-of-sight velocity profile was decomposed using the parameterization proposed by Gerhard (1993) and van der Marel and Franx (1993):

$$f(y)=I_0e^{\frac{y^2}{2}}(1+h_3H_3(y)+h_4H_4(y))$$
(1)
where $`y=\frac{(\nu _{fit}\nu )}{\sigma _{fit}}`$, $`\nu _{fit}`$ is the measured velocity; $`\nu `$ is the mean of all measured velocities for a given spectrum (i.e., the mean radial velocity); $`\sigma _{fit}`$ is the measured velocity dispersion; $`H_3(y)`$ and $`H_4(y)`$ are antisymmetric and symmetric standard Gauss-Hermite polynomials of 3rd and 4th order and $`h_3`$ and $`h_4`$ are their coefficients, respectively; and $`I_0`$ is a normalization constant.

The coefficient $`h_3`$ quantifies the LOSVD asymmetry. Measured asymmetries for elliptical galaxies arise from a non-Gaussian velocity distribution along the line-of-sight, e.g., the superposition of a slowly rotating bulge and a more rapidly rotating disk component. Positive measurements of $`h_3`$ correspond to a distribution skewed towards velocities lower than the measured systemic velocity of the galaxy. Conversely negative $`h_3`$ measurements correspond to distributions skewed towards velocities greater than the systemic velocity.

The $`h_4`$ term quantifies the symmetric deviations of the LOSVD from a Gaussian. For $`h_4>0`$ the corresponding distribution is more peaked than a Gaussian at small velocities with more extended high velocity tails. Conversely, distributions less peaked than a Gaussian will have $`h_4<0`$.

## 4 Galaxy Kinematics: Measurement and Results

Measurements of rotation, $`\sigma `$, $`h_3`$ and $`h_4`$ were obtained using the FCQ method of B90. This procedure involved extraction of an appropriate wavelength range, binning the spectra as a function of radius to a particular value of S/N, continuum level removal and application of a Wiener filter.

Optimal values of parameters for each of the measurement steps were established using Monte-Carlo simulations. Simulated ‘galaxy’ spectra for particular measurements of $`\sigma `$, $`h_3`$ and $`h_4`$ were created from one-dimensional stellar spectra. To model the effect of noise in simulations for a given S/N, different Gaussian noise realisations were added to 30 copies of each simulated galaxy spectrum. The mean value and spread of kinematical measurements obtained for the different spectra were used to determine the optimal value for each parameter (for details see Halliday 1998).

From our overall wavelength range, we extracted a range centred on the Mg $`b`$ spectral feature and excluding H$`\beta `$. Galaxy spectra were rebinned in the direction of the spectroscopic slit to a minimum signal-to-noise ratio (S/N) of 60 per Å and separately for S/N = 30 per Å. The shapes of continuua were removed for the stellar and galaxy spectra by fitting and dividing by a third order polynomial. The edges of all spectra were tapered using a cosine bell function. Filtering of high frequency noise was performed using an appropriate Wiener filter. Error estimation involved the calibration of the peak-to-noise ratio of the power-spectrum of the galaxy spectra with the value of the signal-to-noise ratio. Simulations of galaxy spectra at different radii were performed to derive their signal-to-noise ratio and therefore the error values.

Measurements were obtained for 3-8 different stellar templates. Only templates observed on the same night of observation were used for a given galaxy; this is important since a central assumption of the FCQ method is that the instrumental broadening of the galaxy and stellar spectra can be assumed to be similar. Although the FCQ method reduces the effect of template-mismatching, measurements of the higher order terms $`h_3`$ and $`h_4`$ are still sensitive to spectral differences between template star and galaxy. For an elliptical galaxy of axisymmetric kinematical structure, where the spectroscopic slit has been carefully centred on the galaxy centre, the $`h_3`$ profile is expected to have reflection symmetry about the galaxy centre. Template-mismatching produces a constant offset in $`h_3`$. The final template was choosen to minimize the offset in $`h_3`$. Where possible, identical templates were used to derive measurements for the major and minor axis spectrum of each galaxy. Where major and minor axis observations were obtained on different nights and identical templates could not be used, templates of most closely matching stellar type were chosen.

In Appendix A we present measurements of rotation, $`\sigma `$, $`h_3`$ and $`h_4`$ for the major and minor axes of our sample galaxies. A range of different kinematical behaviour is evident. Significant LOSVD asymmetries are measured for 13 out of 14 galaxies along the major axis. Central dips in $`\sigma `$ are measured for the major and minor axis of three galaxies. Two galaxies are found to have kinematically-decoupled cores.

## 5 Characteristic Kinematical Parameters

In this section characteristic, global kinematic parameters are derived and analysed for the major axes of each galaxy. Six parameters were determined for each individual galaxy: $`v_{max}`$ the maximum measured rotation velocity; $`\sigma _0`$, $`\sigma _{max}`$ and $`\overline{\sigma }`$, the central, maximum and mean velocity dispersion, respectively. For $`\overline{\sigma }`$, values were taken to be the mean of all measurements within $`\frac{1}{2}`$Re. Furthermore $`\overline{|h_3|}`$, the mean of the absolute values of $`h_3`$, and $`\overline{h_4}`$, the mean value of $`h_4`$ were determined. For $`\overline{|h_3|}`$ and $`\overline{h_4}`$, the mean of all measurements within $`\frac{1}{2}`$Re, excluding the innermost measurements ($`|r|2`$$`\stackrel{}{.}`$$`6`$), was taken. Uncertainties were calculated by propagating the errors determined for the original measurements of rotation, $`\sigma `$, $`h_3`$ and $`h_4`$. A summary of all values is given in Table 4.

In Figure 2 the ratio of $`v_{max}`$ to the mean velocity dispersion $`\overline{\sigma }`$ is plotted against the mean ellipticity $`\overline{ϵ}`$. Predictions for an oblate isotropic rotator model from Binney (1978) are shown as a solid line. These predictions were obtained using the tensor virial theorem, assuming constant ellipticity. Measurements obtained here for the low luminosity ellipticals are found close to the predictions for isotropic rotators with the exception of NGC 5582. The latter galaxy shows unusually strong rotation for its mean ellipticity. Our data is in good agreement with the earlier findings of DEFIS83 (their LLEs are shown as open triangles in Figure 2).

The deviations from a Gaussian LOSVD as measured by the higher order terms $`h_3`$ and $`h_4`$, span a large range in values within and between galaxies. The mean values of $`|\overline{h_3}|`$ vary from $`+0.013`$ to $`+0.169`$ between galaxies, and $`\overline{h_4}`$ varies from $`0.060`$ to $`+0.104`$. The largest values of $`h_3`$ and $`h_4`$ are detected in NGC 5582. We did not find clear correlations between our global parameters and the higher order terms $`h_3`$ and $`h_4`$. However, two interesting diagrams concerning $`h_3`$ are shown in Figure 3.

In Figure 3(a) the ratio of $`v_{max}`$ to $`\overline{\sigma }`$ is plotted against $`\overline{|h_3|}`$ for each galaxy. We note that there is a weak trend such that galaxies with larger ratios of $`v_{max}/\overline{\sigma }`$ have on average larger values of $`\overline{|h_3|}`$. This suggests that greater rotational support may be related to larger LOSVD asymmetries. In Figure 3(b) it is shown that the largest values of $`\overline{|h_3|}`$ are measured for galaxies with intermediate values of $`\sigma _0`$. LOSVD asymmetries may be more common for these galaxies. A larger sample is needed to confirm this suggestion.

## 6 Discussion

We have demonstrated in Section 5 that for our sample of LLEs the global kinematic parameters such as $`v_{max}`$, $`\overline{\sigma }`$ and $`\overline{ϵ}`$ are consistent with the predictions for a simple oblate isotropic rotator model.

In general, however, we find a wide range of complex kinematical behaviour in our sample. There is a wide range of velocity dispersion gradients with radius. Some galaxies, such as NGC 3377, show a steep decline, whereas others, such as NGC 4551, have a rather shallow profile. Central decreases in $`\sigma `$ are measured for three galaxies for the major and minor axes (NGC 4387, NGC 4478 and NGC 4551), and two galaxies (NGC 3608 and NGC 4458) are found to have kinematically-decoupled cores (KDCs). Significant asymmetric line-of-sight velocity distributions, parameterized by the Gauss-Hermite coefficient $`h_3`$, are measured for 13 low-luminosity ellipticals. These asymmetries are found mainly for radii close to the galaxy centre, and suggest that we are detecting the motion of two or more components of different kinematical properties in at least some of the low-luminosity ellipticals.

The LOSVDs along the minor axis are generally consistent with a Gaussian shape. Only a few galaxies show significant $`h_3`$ or $`h_4`$ terms. In the cases where non-Gaussian LOSVDs are detected this can be explained by isophote twisting such that our slit does not follow the exact location of the kinematic minor axis. This may also explain the non-zero velocities measured for some galaxies along the minor axis (e.g, NGC 3377 and NGC 4464). NGC 4478 is the most spectacular case, since it exhibits signs of disturbed, perhaps unrelaxed kinematics. This galaxy is not axisymmetric and any dynamical model would need to be triaxial. This is also likely to be the case for the other galaxies which show non-zero velocities along the minor axis.

Some of the kinematic signatures we detect in our sample of LLEs, such as KDCs and central dips in velocity dispersion, are indicative of a merger scenario. It is interesting to note that in their recent merger simulations, Bendo and Barnes (2000, hereafter BB2000) have presented LOSVDs for the merger remnants of two spiral galaxies, which resemble elliptical galaxies. In these simulations central dips in $`\sigma `$ were found for remnants of an equal-mass merger of two spirals. Predictions for the profiles of rotation, $`h_3`$ and $`h_4`$ are however different from those observed in our study. In most cases $`h_3`$ is predicted to have a similar sign to the rotation velocity close to the galaxy centre; for our galaxy sample, $`h_3`$ has an opposite sign to rotation. In one case in the study of BB2000, where $`h_3`$ and rotation do have opposite signs, the merger remnant has a counterrotating core: neither of the two galaxies in our sample with a counterrotating core (i.e. NGC 3608 and NGC 4458) have a central decrease in $`\sigma `$. For NGC 4387, rotation rises steadily outside the galaxy centre in agreement with the simulation results, although $`h_4`$ is consistent with zero in contrast to the predicted values of positive $`h_4`$. Rotation velocities for the unequal-mass mergers considered by BB2000 are of far greater amplitude than the velocities measured in this study.

Our long-slit observations provide a valuable insight into the dynamics of LLEs and demonstrate clearly that there exists a wide range of complex, sometimes non-axisymmetric kinematics. With data available only for the major and minor axis of a galaxy it is difficult, if not impossible, to describe the full dynamical make-up of galaxies. The newly commisioned integral field units such as SAURON (Bacon et al. 2001), however, provide 2-dimensional rotational velocity and velocity dispersion maps of early-type galaxies and will advance this area of astronomy.

## 7 Acknowledgements

We thank the CFA Observing Time Committee for their generous allocation of telescope time. CH thanks Frank van den Bosch for kindly providing his photometric measurements for NGC 4478 and NGC 4564. CH acknowledges helpful discussions with Reynier Peletier and the support of a PPARC studentship at the University of Durham and a PPARC PDRA grant at Liverpool JMU. HK was supported at the University of Durham by a PPARC rolling grant in Extragalactic Astronomy and Cosmology.

## Appendix A Measurements of Galaxy Kinematics

We present our measurements for v, $`\sigma `$, $`h_3`$ and $`h_4`$ as a function of radius for all galaxies in order of their NGC number.

The systemic velocity of each galaxy was removed by subtracting the mean velocity. Small shifts ($`<`$8 km s-1) were applied in order to centre the velocity profile about the apparent kinematic centre of the galaxy. The PA of observation is indicated in each case (values of positive radius correspond to positions in the direction of the PA). Measurements of rotation, $`\sigma `$, $`h_3`$ and $`h_4`$ obtained for a S/N binning of $``$ 60 per Å are shown by asterisk and open circle symbols for values away from and in the direction of the PA, respectively. Additional measurements for rotation and $`\sigma `$, obtained for a lower S/N binning of $``$ 30-35 per Å, define greater spatial detail and extend to greater radii; these are plotted as open star and open square symbols, away from and in the direction of the PA, respectively. Measurements of rotation and $`h_3`$ for radii away from the direction of PA are multiplied by -1 in folding. For some galaxies (NGC 2778, NGC 4339, NGC 4464, NGC 4468, NGC 4478, NGC 5582) the major axis rotation and $`h_3`$ measurements are plotted such that the rotation shows mostly positive values.

Where a chromatic focus variation correction for a particular spectrum was applied, this is indicated and the corresponding effective smoothing in arcsec is given. Considerable reference is made to photometry available in the literature, e.g., U, B, and R-band photometry of Peletier et al. (1990, hereafter P90), HST WFPC-1 V-band photometry of van den Bosch et al. (1994, hereafter vdB94) and Lauer et al. (1995, hereafter L95) and HST WFPC-2 V and I-band photometry of Carollo et al. (1997, hereafter C97).

Tables for measurements presented in this appendix are available electronically from the Centre de Donnees astronomiques de Strasbourg (CDS).

### A.1 NGC 2778

Classified as elliptical in RC3, rotation and velocity dispersion were measured previously for this galaxy by DEFIS83 and F95. Photometry was obtained by P90 who detected a small amount of diskiness for $`r7`$″, and a gradual isophotal twisting between 3$`\stackrel{}{.}`$2 and 40$`\stackrel{}{.}`$1, from 45$`\stackrel{}{.}`$8 to 42$`\stackrel{}{.}`$1.

For the major axis, $`h_3`$ is non-zero for $`|r|<8`$″ (see Figure 4). $`h_4`$ is positive for $`r7`$$`\stackrel{}{.}`$$`5`$. For the minor axis, $`h_3`$ and $`h_4`$ are mostly consistent with zero; only at $`r4\mathrm{}`$ is a positive $`h_4`$ detected.

### A.2 NGC 3377

A member of the Leo I group, NGC 3377 is widely considered to be a “disky” elliptical. It is classified as an intermediate E5 elliptical galaxy in RC3 and E6 in Sandage and Tammann (1987, hereafter RSA). Photometric measurements by Carter (1987), P90 and Scorza & Bender (1995, hereafter SB95) have shown this galaxy to be “disky” for the range of radii studied here beyond which it becomes “boxy”.

For the major axis, $`h_3`$ is non-zero for almost all radii. $`h_4`$ is mostly consistent with zero (see Figure 5). For the minor axis, $`h_3`$ and $`h_4`$ are mainly consistent with zero. The rotation curve of the major axis is steeply rising to $``$110 km s-1 within $`r3\mathrm{}`$ and stays roughly constant out to 40″. The minor axis shows non-zero velocities for $`3\mathrm{}<|r|<10`$″. Our non-zero measurements of $`h_3`$ along the major axis are consistent with a central disk at radii $`|r|<20\mathrm{}`$ as described by SB95.

### A.3 NGC 3379

NGC 3379 is a member of the Leo-I group and is a well observed elliptical, classified as E1 in RC3.

For the major axis, rotation decreases at $`r4\mathrm{}`$ and then increases again at larger radius. Both $`h_3`$ and $`h_4`$ show small non-zero values but there is no clear trend. For the minor axis, both $`h_3`$ and $`h_4`$ are mostly consistent with zero (see Figure 6).

### A.4 NGC 3605

NGC 3605, a member of the Leo II group, is classified as an E4 intermediate in RC3, and E5 in RSA. Measurements of rotation and $`\sigma `$ for this galaxy were obtained previously by DEFIS83. Photometry for this galaxy was studied by P90 and L95. For $`r4\mathrm{}`$ the galaxy shows “disky” isophotes while for $`r4\mathrm{}`$, the isophotes are increasingly “boxy”.

For the major axis spectrum, the most notable features are the non-zero values of $`h_3`$ for $`2\mathrm{}<|r|<7\mathrm{}`$ (see Figure 7). $`h_4`$ is zero for these radii. For the minor axis, both $`h_3`$ and $`h_4`$ are consistent with zero close to the galaxy centre, becoming non-zero at greater radii. The minor axis also shows non-zero velocities. It should be noted that the minor axis spectrum was smoothed considerably in the spatial direction in order to account for chromatic focus variations. The non-zero measurement of $`h_3`$ for the major axis and the detection of diskiness by L95 at similar radii, support the existence of a central disk component.

### A.5 NGC 3608

NGC 3608, a member of the Leo II group, is classified as E2 in RC3 and E1 in RSA, this galaxy was one of the first to be recognised to contain a KDC (JS88). The counterrotation of the galaxy core was suggested by JS88 to be the result of an interaction with another galaxy, without full merging, which caused the motion of the outer parts to be reversed. NGC 3608 is one of several KDC candidates imaged by C97. From measurement of the $`VI`$ colour gradient, C97 found no significant stellar population differences between the core and surrounding galaxy of NGC 3608. They found the ellipticity increased from a value close to zero at $`r0`$$`\stackrel{}{.}`$1, to $`ϵ0.2`$ at $`r4\mathrm{}`$, and NGC 3608 to be slightly boxy for radii outside $`5\mathrm{}`$.

The profiles of $`h_3`$ and $`h_4`$ for both the major and minor axes, are asymmetric about the galaxy kinematical centre (see Figure 8). A small amount of rotation is detected along the minor axis. The measured velocity along the minor axis for $`|r|10\mathrm{}`$ is consistent with zero rotation. Since NGC 3608 has a counterrotating KDC, the LOSVD is likely to be more accurately described by a two-component parameterization.

### A.6 NGC 4339

NGC 4339 is a member of the Virgo cluster and classified as E0 in RC3 and S0$`\frac{1}{2}`$ in RSA, this galaxy is intermediate between an elliptical and S0 galaxy.

For this galaxy, the most striking result is a large positive value of $`h_4`$ at almost all radii for both, the major and minor axis. For most measurements $`h_3`$ is non-zero along the major axis and consistent with zero for the minor axis (see Figure 9).

### A.7 NGC 4387

NGC 4387 is a member of the Virgo cluster and classified as elliptical in the RC3. This galaxy was one of 8 of the 45 ellipticals imaged by L95, suspected to contain a nuclear star cluster. Such a component was proposed to explain an upturn in the measured surface brightness towards the HST resolution limit.

Both major and minor axis observations show a noticeable dip in $`\sigma `$ at the galaxy centre (see Figure 10). For $`0\mathrm{}r5\mathrm{}`$ along the minor axis, $`h_4`$ is slightly positive. For the major axis, $`h_3`$ is slightly non-zero for $`1.5\mathrm{}|r|5\mathrm{}`$ and positive for $`r7\mathrm{}`$. $`h_4`$ is positive for $`r5`$″. Outside $`4\mathrm{}`$ this galaxy was observed by P90 to have predominantly boxy isophotes.

The central decrease in $`\sigma `$ for both axes suggests that a separate, more rotationally supported component is present at the galaxy centre.

### A.8 NGC 4458

NGC 4458 is a member of the Virgo cluster and is classified as an E0 intermediate elliptical galaxy in RC3. Studied by L95, its ellipticity was measured to decrease from a value of $`0.5`$ at $`r`$0$`\stackrel{}{.}`$5 to close to zero at $`r`$7$`\stackrel{}{.}`$5.

Our velocity measurements along the major axis show a clear signature of a KDC within $`|r|<5\mathrm{}`$ and a maximum rotation speed of $``$30 km s-1(see Figure 11). At radii $`|r|>5\mathrm{}`$ we do not detect any significant rotation. The profiles for both $`h_3`$ and $`h_4`$ are very unusual and change sharply between independent points. $`h_4`$ is measured to be slightly negative close to the galaxy centre for both axes. For radii in the direction of the observation PA, $`h_3`$ is positive for the major axis, and the minor axis outside the galaxy centre, and is slightly negative for small negative radii on the major axis.

### A.9 NGC 4464

NGC 4464 is a member of the Virgo cluster and has an uncertain classification as a spiral galaxy in RC3. Observed by L95, a4 was measured to be almost zero for the central 4″, and ellipticity $`ϵ0.35`$ for $`1\mathrm{}r10\mathrm{}`$.

For radii $`|r|10\mathrm{}`$ along the major axis, significant asymmetrical and symmetrical deviations of the LOSVD from a Gaussian are indicated by non-zero $`h_3`$ and $`h_4`$ (see Figure 12). The measurements of $`h_4`$ are of large amplitude and change sign with increasing radius. The large amplitude of $`h_3`$ for the major axis suggests the presence of multiple components of different kinematics along the line-of-sight. For $`|r|5`$″, the measurements are consistent with the superposition of a bulge and an additional, more rotationally supported, component. At greater radii, the rotation begins to decrease suggesting that the more rotationally supported (perhaps disk) component has a scale-length of $`5`$″, and that at $`|r|>5`$″ a more slowly rotating bulge component begins to dominate the galaxy light. We note that the kinematic measurements for this galaxies are similar to those of NGC 5582.

### A.10 NGC 4468

NGC 4468 is a member of the Virgo cluster and has an uncertain classification as S0 in the RC3. Our exposures for the major and minor axes of NGC 4468 were too short to provide good spatial detail for the LOSVD higher order terms. Taking our errors into account $`h_3`$ is almost entirely consistent with zero for both the major and minor axes. $`h_4`$ shows negative values for both major and minor axis (see Figure 13).

Probably a low surface brightness dwarf elliptical or S0 galaxy, the measured rotation and velocity dispersion for this galaxy are very low, with $`v`$/$`\sigma `$1.0. These measurements mark the limits achievable for the spectral resolution of our data.

### A.11 NGC 4478

NGC 4478 is a member of the Virgo cluster. While classified as E2 in both RC3 and RSA, this elliptical is classified as a compact elliptical by Prugniel et al. (1987). They argue that NGC 4478 had been tidally-truncated by its nearby neighbour M87. NGC 4478 has been studied with HST by vdB94. In Figure 15 we show their measurements along the major axis of $`ϵ`$, PA and a4 (kindly supplied by F.C. van den Bosch). Also shown are the measurements of $`ϵ`$ and PA taken from P90.

In Figure 14, measurements of rotation, $`\sigma `$, $`h_3`$ and $`h_4`$ for $`|r|<10\mathrm{}`$, provide strong indications of a central component, decoupled from the surrounding galaxy. Measurements of $`\sigma `$ and $`h_4`$ for this range of radii, are asymmetric, and rotation and $`h_3`$ are not point-symmetric about the galaxy centre, most notably along the major axis. This could be the result of considerable isophote twisting measured by vdB94 for $`|r|<5\mathrm{}`$, such that the measured PA deviated by up to 10° from that of our major axis observation (i.e., PA 145°) (see Figure 15). Observations obtained for the photometric axes of the main galaxy may not therefore coincide with the similar axes of a distinct component. A central decrease in $`\sigma `$ is measured for both, minor and major axes. For the major axis, a significantly non-zero value of $`h_3`$ is measured for $`|r|<5`$″, and $`h_4`$ is positive for $`0r3`$″. For the minor axis, $`h_3`$ is slightly non-zero for $`|r|<2\mathrm{}`$, and $`h_4`$ becomes slightly negative outside $`r=3\mathrm{}`$.

Two additional interesting features of the photometry of vdB94 (Figure 15) are the significant measurement of diskiness for the inner $`2\mathrm{}`$ and the sharp increase in ellipticity for $`|r|1.5\mathrm{}`$. These two results offer strong support to the idea that a disk component resides at the galaxy centre. From the study of residual maps of their photometry, vdB94 were unable, however, to state conclusively that such a component was observed.

The asymmetric LOSVDs along the major axis (i.e., non-zero measurement of $`h_3`$) together with the positive measurement of $`h_4`$ for both axes close to the galaxy centre, are consistent with the detection of a separate kinematical component with orbital motion across the line-of-sight. The central dip in $`\sigma `$, for similar radii, suggests that this component is more rotationally-supported than the surrounding bulge component. Taken together these results may be consistent with the detection of a central disk population.

The kinematics of this galaxy are clearly complex. Two-dimensional maps of the velocity field, available using integral field unit spectroscopy, would greatly enhance the study of its dynamics.

### A.12 NGC 4551

NGC 4551 is a member of the Virgo cluster and has an uncertain classification as elliptical in RC3. Our kinematic measurements are presented in Figure 16. This galaxy was studied by both, P90 and L95. The photometric measurements of L95 found NGC 4551 to have “disky” isophotes for $`1\mathrm{}|r|4\mathrm{}`$. As for NGC 4387, L95 have postulated that NGC 4551 may contain a central stellar nucleus. P90 measure NGC 4551 to become increasingly “boxy” from $`r4\mathrm{}`$ to $`r10\mathrm{}`$, and at greater radii a4 tends to zero.

For the major axis $`h_3`$ is non-zero for $`|r|5\mathrm{}`$. $`h_4`$ shows non-zero values close to the galaxy centre. For the minor axis $`h_4`$ changes only slightly with radius and is almost consistent with a value of zero.

Rotation is measured for the major axis and no rotation is detected for the minor axis. A small central decrease in $`\sigma `$ is clearly observed for the minor axis. For the major axis this effect is less pronounced. The dip in central velocity dispersion and the measured LOSVD asymmetry for $`|r|5\mathrm{}`$ along the major axis may be consistent with the detection of a distinct central component of orbital motion across the line-of-sight.

### A.13 NGC 4564

NGC 4564 is a member of the Virgo cluster and classified as E6 in both RC3 and RSA. Measurements of v, $`\sigma `$, $`h_3`$ and $`h_4`$ are given in Figure 17. This galaxy has been studied by vdB94 using HST photometry and in Figure 18 major axis measurements of $`h_3`$ obtained here are compared with the photometric measurements of $`ϵ`$, PA and a4 from vdB94.

Non-symmetric LOSVDs are detected along the major axis by non-zero $`h_3`$ for $`|r|5`$″. $`h_4`$ is consistent with zero. For the minor axis $`h_3`$ is non-zero for $`9`$$`r5\mathrm{}`$ and $`r9`$″. $`h_4`$ is positive for $`|r|5\mathrm{}`$.

In Figure 18, the most interesting results from the photometry are the measurement of negative a4 and hence boxiness for $`r2\mathrm{}`$, and measurement of diskiness for $`|r|10`$″, isophote twisting for $`r<2`$$`\stackrel{}{.}`$5, and gradually increasing measurement of $`ϵ`$ with radius. The measurements of a4 for different radii suggest that two separate components are being detected: within the inner 6″ the measurements of boxy isophotes are consistent with existence of a central bulge; diskiness for $`r10\mathrm{}`$, where rotation is still measured to increase with radius, and the gradual increase in $`ϵ`$ with radius, are consistent with the detection of a disk component. Measurements are consistent with detection of a disk component embedded within a more slowly rotating bulge.

### A.14 NGC 5582

NGC 5582 is classified as elliptical in RC3. Measurements are presented in Figure 19. For the major axis, $`h_3`$ is significantly non-zero for $`|r|<14\mathrm{}`$ and reaches a maximum amplitude for radii at which there is a knee in the rotation curve. $`h_4`$ changes significantly in value with radius. For the inner 10″, the measurements closely resemble those for the major axis of NGC 4464.

Examples of actual fits to the recovered galaxy broadening function, i.e. the recovered LOSVD shape, are given in Figure 1 in the main part of this paper. For $`r<1`$″, the LOSVD is clearly asymmetric and for $`r<2\mathrm{}`$ there is clear evidence for the existence of two separate kinematical components, one of which has greater mean velocity along the line-of-sight and appears to dominate the measured kinematics. This is consistent with detection of a separate bright disk component, or a bulge component of high rotational support.

## Appendix B Comparisons with other authors

Comparisons are made between measurements of v, $`\sigma `$, $`h_3`$ and $`h_4`$ obtained here and measurements obtained previously by other authors (BSG94, Kormendy et al. 1998, hereafter K98, and SSH99). Measurements have been obtained for the major axis of NGC 3379, NGC 3377 and NGC 4564 by BSG94, for the major axis of NGC 3379 by SSH99, and for rotation velocity and $`\sigma `$ of NGC 3377 by K98. The PAs of different observations for a given galaxy differed slightly, but in all cases by less than 5°. Results of comparisons are given in Figure 20.

There is in general very good agreement between our measurements and those of other studies. Disagreements can be attributed to the different seeing conditions, instrumental set-ups and exposure times. For NGC 3377 there is remarkably good agreement for the higher-order terms $`h_3`$ and $`h_4`$. There are however differences in the measurements of rotation and $`\sigma `$ at the galaxy centre. The better spatial resolution of our own observations and particularly those of K98 are able to resolve the steeply rising rotation curve; the $`\sigma `$ measurements of K98 are also lower for these radii than both our own and those of BSG94, reflecting their improved resolution of the rotation curve. For NGC 3379 our measurements of rotation, $`\sigma `$, $`h_3`$ and $`h_4`$ agree well with the measurements of BSG94 and SSH99. For NGC 4564, there is disagreement between our measured values of $`h_3`$ for $`r12\mathrm{}`$ and those of BSG94.


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# INVESTIGATION OF THE ROLE OF ELASTIC UNITARITY IN HIGH-ENERGY SCATTERING: GRIBOV’S THEOREM AND THE FROISSART BOUND

## 1 Introduction

The work we want to present is not completely finished, but, at the time of writing, we are 99% convinced that the results we present are correct and will be made – “dans un mois, dans un an”, as Françoise Sagan says – completely rigorous.

The Gribov theorem to which we refer is the statement that at high energy the scattering amplitude cannot behave like

$$sf(t)$$
(1)
for $`s\mathrm{}`$, $`t`$ fixed, where $`s`$ is the square of the centre-of-mass energy and $`t`$ the square of the momentum transfer (negative or zero for $`t`$ physical).

In physical terms this means that the proton cannot behave like an object with a fixed size independent of the collision energy,leading to a finite, non-zero, constant cross-section at high energy, and an asymptotically fixed diffraction peak. This theorem, which appeared in the proceedings of the 1960 International Conference on High-Energy Physics  (V. Gribov was not allowed to attend the conference!), came in the “Pre-Regge”  period, and was the first blow to destroy the naive beliefs of most physicists about elementary particles at the time. I consider it as a turning point in “forward physics” , the topic of this conference.

To find a contradiction, Gribov assumes not only that $`F(s,t)isf(t)`$ for $`t`$ physical ($`i`$ is necessary for a crossing symmetric amplitude!), but also for $`t`$ in a complex domain. This assumption can be weakened a little, as we shall see later. Also it is really done for the simple case of pion-pion scattering, but it would be very awkward if the behaviour $`Fsf(t)`$ was forbidden for pion-pion scattering and allowed for nucleon-nucleon scattering.

We now present Gribov’s original proof, which is remarkably simple. Here we consider the $`\pi _0\pi _0\pi _0\pi _0`$ amplitude where the pion has isospin zero. This is an inessential simplification. To generalize to the real pion, which is an isospin triplet, one can consider simultaneously all possible channels or play with the fact that, strictly speaking, $`m_{\pi _0}<m_{\pi ^\pm }`$. In Fig. 1 we have represented the Mandelstam diagram with $`m_\pi =1`$.

We assume Mandelstam representation where the scattering amplitude is

$`{\displaystyle \frac{1}{\pi ^2}}{\displaystyle \frac{ds^{}dt^{}\rho (s^{},t^{})}{(s^{}s)(t^{}t)}}+\mathrm{circular}\mathrm{permutations}\mathrm{on}s,t,u`$ (2)
$`+\mathrm{subtractions}`$
with $`s+t+u=4`$.

In fact we use a much smaller domain of analyticity than Mandelstam (for a method of construction of such domains, see for instance Ref. ). However, the domain obtained from axiomatic field theory and unitarity  is not sufficient.

We assume $`F(s,t)sf(t)`$, but from crossing in the $`su`$ variable we must have

$$F(s,t)isf(t),$$
(3)
$`f(t)`$ real for $`t0`$, so that the asymptotic absorptive part is just $`sf(t)`$, where $`f(t)`$ must have a cut from $`t=4`$ to $`\mathrm{}`$, and the double spectral function is given by

$$\rho (s,t)sImf(t).$$
(4)
Now Gribov uses elastic unitarity in the elastic strip of the $`t`$ channel which, originally, reads:

$$A_t(t,z_t)=K(t,z_t,z_t^{},z_t^{\prime \prime })F(t,z_t^{})F(t,z_t^{\prime \prime })𝑑z_t^{}𝑑z_t^{\prime \prime }$$
(5)
where $`z_t=1+2s/(t4)`$ is the cosine of the scattering angle in the $`t`$ channel. Equation (5) is just a fancy way to write a spherical convolution of $`F`$ and $`F^{}`$. $`K`$ is a known kernel, the square root of a polynomial whose support is entirely in the physical region.

Because of Mandelstam representation, $`A_t(t,z_t),F(t,z_t),F^{}(t,z_t^{})`$ are all analytic in a cut plane in $`z_t`$, with cuts at $`z_t=\pm (1+8/(t4))`$, and Equation (5), as shown by Mandelstam, can be continued on the cuts, and transformed into a relation connecting the discontinuities of $`A_t,F`$ and $`F^{}`$:

$$\rho (s,t)=\widehat{K}(t,s,s_1,s_2)A_s(s_1,t)A_s^{}(s_2,t)𝑑s_1𝑑s_2$$
(6)
$`\widehat{K}`$ is again a completely known expression with a finite support in $`s_1,s_2`$ for given $`s`$ and $`t`$.

When $`s\mathrm{}`$, the domain of integration grows in such a way that the maximum of $`s_1`$ and $`s_2`$ also tends to infinity, and it is not difficult to convince oneself that if $`A_ssf(t)`$, the dominating region of the integral is such that both $`s_1`$ and $`s_2\mathrm{}`$. It is not difficult to see that the right-hand side of Eq. (6) behaves like

$$|f(t)|^2s\mathrm{log}s$$
(7)
while the left-hand side is obviously

$$\rho =sImf(t)$$
(8)
This is the Gribov contradiction, which occurs also for $`Fs/\mathrm{log}s`$. Only if $`Fs/(logs)^{1+ϵ}`$ is the contradiction removed. This was the way out that Gribov proposed, corresponding to a total cross-section going to zero, but Nature did not make this choice. As we have known since 1972, cross-sections are rising  and might go to infinity at infinite energy.

Another way of looking at the Gribov phenomena is to use the complex angular momentum plane. In this language, the Gribov theorem says that elastic unitarity in the $`t`$ channel forbids a “fixed pole” at $`J=1`$. It is slightly more general in the sense that it is clearly insufficient to take an amplitude

$$isf(t)+g(t)s^{\alpha (t)}$$
(9)
with $`\alpha (t)<1`$ for $`t0`$ and $`Re\alpha (t)>1`$ for $`t>4m_\pi ^2`$ to “turn” the Gribov Theorem. In this version one clearly sees that the Donnachie-Landshoff odderon, $`st^4`$, is also, strictly speaking, forbidden unless there is an insurmountable natural boundary in the complex angular momentum plane.

One of the reasons for our renewed interest in the Gribov theorem is that there is another problem concerning high-energy cross-sections. As we said, we know that they are rising, possibly to infinity, possibly saturating qualitatively the Froissart-Martin bound

$$\sigma _t<C(\mathrm{log}s)^2$$
(10)
The question is to know if this bound can be saturated if one takes into account unitarity constraints. The simplest unitarity constraint is:

$$Imf_{\mathrm{}}(s)\frac{2k}{\sqrt{s}}\left|f_{\mathrm{}}(s)\right|^2$$
(11)
when $`f_{\mathrm{}}(s)`$ is a partial wave amplitude. It is valid at all energies.

Joachim Kupsch has been able to show the existence of amplitudes which satisfy Mandelstam representation and the general unitarity constraint (11), and saturate the bound (10) . This was a formidable achievement, taking into account all the restrictions that amplitudes saturating (10) must satisfy, in particular the so-called AKM conditions .

However, it is legitimate to ask oneself if the elastic unitarity condition in the elastic region

$$Imf_{\mathrm{}}(s)=\frac{2k}{\sqrt{s}}\left|k_{\mathrm{}}(s)\right|^2,$$
(12)
which is so constraining in the Gribov case, might prevent the qualitative saturation of the Froissart bound. Turning the argument upside down, we may ask if the Gribov theorem survives if we require only (11) but not (12).

We want to show, and have almost succeeded in doing so, that there are explicit examples of amplitudes behaving like $`sf(t)`$ i.e., violating Gribov’s theorem, satisfying the general condition (11) at all energies. If this is so, all doubts are allowed concerning the other problem, the saturation of the Froissart bound because, while D. Atkinson succeeded in 1970  to construct amplitudes satisfying (11) and (12) but with cross-sections decreasing faster than $`(\mathrm{log}s)^2`$, nobody has succeeded in saturating the Froissart bound at the same time.

If it were to be shown one day that (12) prevents the qualitative saturation of the Froissart bound, it would be a major blow to many models such as the one of Bourrely-Cheng-Soffer-Walker-Wu, where $`\sigma _t(\mathrm{log}s)^2`$ at extreme energies. I admit that the likelihood of this happening is very small, first of all because it requires somebody with great classical mathematical skill, who would tend naturally to use his abilities on a more fashionable subject. Nevertheless, we are allowed to raise the question.

## 2 A Candidate for Violating Gribov’s Theorem

We propose to take

$$F=C[F_s+F_t+F_u]$$
(13)
$`F_s`$ $`=`$ $`(4\sqrt{4t}\sqrt{4u})\mathrm{exp}2(4s)^{1/4}`$
$`F_t`$ $`=`$ $`(4\sqrt{4u}\sqrt{4s})\mathrm{exp}2(4t)^{1/4}`$
$`F_u`$ $`=`$ $`(4\sqrt{4t}\sqrt{4s})\mathrm{exp}2(4u)^{1/4}`$ (14)
For $`s\mathrm{}`$, $`t`$ fixed, $`F_t`$ dominates and behaves like $`is\mathrm{exp}2(4t)^{1/4}`$, which is what we want. We must now show that (11) is satisifed and, first of all, that all partial waves have a positive imaginary part. It is possible to show that in this channel $`Im(F_t+F_u)`$ has positive partial wave amplitudes, because $`Im(F_t+F_u)`$ can be expanded in powers of $`\mathrm{cos}\theta _s`$:

$$Im(F_t+F_u)=\mathrm{\Sigma }C_n(\mathrm{cos}\theta _s)^n,$$
(15)
and it can be shown that the $`C_n`$’s are positive.

Then, since

$$(\mathrm{cos}\theta )^n=\mathrm{\Sigma }C_{\mathrm{},n}P_{\mathrm{}}(\mathrm{cos}\theta )$$
(16)
with $`C_{\mathrm{},n}>0`$, positivity of the partial waves follows. Another consequence from (15) and (16) is that the partial waves of $`Im(F_t+F_u)`$ are decreasing. However, $`ImF_s`$ has oscillating signs, and though, globally, it is small in the $`s`$ channel, it must be proved that it is small partial wave by partial wave.

There are limiting cases where the behaviour is correct:
i) $`\mathrm{}`$ fixed, $`k\mathrm{}`$ and, in fact, also $`k\mathrm{}`$ and $`\mathrm{}\mathrm{}`$ with $`\mathrm{}/k0`$, which allows $`\mathrm{}\mathrm{}`$ in some way. Then from the direct integration of $`F`$ with $`P_{\mathrm{}}(\mathrm{cos}\theta _s)`$ one gets:

$`f_{\mathrm{}}`$ $``$ $`\left({\displaystyle \frac{8}{s}}+2i\right){\displaystyle _{\mathrm{}}^0}𝑑t\mathrm{exp}2(4t)^{1/4}`$ (17)
$``$ $`\left({\displaystyle \frac{4}{s}}+i\right)(15+14\sqrt{s})\mathrm{exp}3\sqrt{2}`$
This shows that “unitarity” is satisfied just by adjusting $`C`$ in (13).
ii) $`k`$ fixed, $`\mathrm{}\mathrm{}`$ and more generally $`\mathrm{}/k\mathrm{}`$, $`\mathrm{}\mathrm{}`$. Then one has to use the Froissart-Gribov representation of the different contributions of the partial waves of the form

$$x_{\mathrm{}}=_u^{\mathrm{}}w(s,t)Q_{\mathrm{}}\left(1+\frac{t}{2k^2}\right)\frac{dt}{2k^2}$$
(18)
If

$$wC(s)(t4)^\nu $$
(19)
we get for $`\mathrm{}\mathrm{}`$, $`\mathrm{}/k\mathrm{}`$:

$$x_{\mathrm{}}C(s)\left(\frac{2k\sqrt{2}}{\mathrm{}+1}\right)^{\nu +1}\mathrm{\Gamma }(\nu +1)Q_{\mathrm{}}\left(1+\frac{2}{k^2}\right)$$
(20)
In this way it is trivial to see that the contribution from $`Im(F_u+F_t)`$ dominates all the rest and that unitarity and positivity are satisfied.
iii) Finally, in the “scaling limit”

$$\frac{\mathrm{}+1}{k}=b,b\mathrm{fixed}k\mathrm{}$$
(21)
one can use the asymptotic expression for the $`Q_{\mathrm{}}`$’s valid for large $`\mathrm{}`$, uniform in $`\varphi `$:

$$Q_{\mathrm{}}(\mathrm{cosh}\varphi )\sqrt{\frac{\varphi }{\mathrm{sinh}\varphi }}K_0\left((\mathrm{}+1/2)\varphi \right)$$
(22)
The RHS contribution to $`ImF_{\mathrm{}}^t`$ becomes:

$$\frac{1}{2k^2}𝑑tK_0(b\sqrt{t})\mathrm{sin}\sqrt{2}(t4)^{1/4}\mathrm{exp}\sqrt{2}(t4)^{1/4},$$
(23)
and is necessarily positive, because of the positivity properties of $`Im(F_t+F_u)`$, and necessarily dominates all the other terms, the real parts and the contribution from $`ImF_s`$ which decrease exponentially with $`s`$.
iv) Unitarity of the $`\mathrm{}=0`$ partial wave can be checked by hand. There, in the expression $`(4\sqrt{4t}\sqrt{4u})`$, the cancellation at $`s=4`$ is essential.

We conclude that it is only necessary to check unitarity in a finite region of the $`\mathrm{},k`$ domain. First we did this numerically. Tests, at selected energies where unitarity seems endangered by the negative signs of the partial wave expansion of $`ImF_s`$, indicate that provided one divides the amplitude by a factor 2.1, there does not seem to be any violation. These tests are presented in Table 1.

However, we believe that by using old and new properties of the $`Q_{\mathrm{}}`$’s, for instance

$$\mathrm{old}:Q_L(z)/Q_{\mathrm{}}(z),\mathrm{decreases}\mathrm{with}z\mathrm{for}L>\mathrm{}$$
(24)
$$\mathrm{new}:Q_{M1}\left(1+\frac{t}{2k^2}\right)/Q_{m1}\left(1+(\frac{M}{m})^2\frac{t}{2k^2}\right)\mathrm{decreases}\mathrm{with}t\mathrm{for}M>m$$
(25)
We can complete the proof analytically, except for the calculation of a small, finite number of integrals over a finite interval.

Let us illustrate by two examples how we use (24) and (25). One problem is to find a lower bound on

$`ImF_{t,RHC}^{\mathrm{}}=`$
$`{\displaystyle \frac{1}{2k^2}}{\displaystyle \underset{4}{\overset{\mathrm{}}{}}}Q_{\mathrm{}}\left(1+{\displaystyle \frac{t}{2k^2}}\right)\sqrt{s4}\sqrt{s+t}\mathrm{sin}\sqrt{2}(t4)^{1/4}\mathrm{exp}\sqrt{2}(t4)^{1/4}dt.`$
With the change of variable $`x=\sqrt{2}(t4)^{1/4}`$, the integral becomes

$$_0^{\mathrm{}}W(x,s)sinx𝑑x.$$

It is easy to prove that for $`x>2\pi `$, $`W(x,s)`$ is decreasing in $`x`$. Hence

$$_{2\pi }^{\mathrm{}}W(x,s)\mathrm{sin}xdx>0.$$

So

$`ImF_{t,RHC}^{\mathrm{}}>g_{\mathrm{}}(s)=`$
$`{\displaystyle \frac{1}{2k^2}}{\displaystyle \underset{4}{\overset{4(1+\pi ^4)}{}}}Q_{\mathrm{}}\left(1+{\displaystyle \frac{t}{2k^2}}\right)\sqrt{s4}\sqrt{s+t}\mathrm{sin}\sqrt{2}(t4)^{1/4}\mathrm{exp}\sqrt{2}(t4)^{1/4}dt.`$
In $`g_{\mathrm{}}`$ the integrant has a single change of sign at $`t_0=4+\frac{\pi ^4}{4}`$. If $`g_\mathrm{}_0(s_0)>0`$, it follows from (24) that

$$g_{\mathrm{}}(s_0)>g_\mathrm{}_0(s_0)\frac{Q_\mathrm{}_0\left(1+\frac{t_0}{2k^2}\right)}{Q_{\mathrm{}}\left(1+\frac{t}{2k^2}\right)}$$

if $`\mathrm{}>\mathrm{}_0`$, and hence we get a lower bound on $`Imf_{t,RHC}^{\mathrm{}}(s_0)`$ for $`\mathrm{}>\mathrm{}_0`$, but we can also change at the same time $`\mathrm{}`$ and $`s`$ and use (25) to get a lower bound for

$$\frac{\mathrm{}+1}{2k^2}=\frac{\mathrm{}_0+1}{2k_0^2},\mathrm{}>\mathrm{}_0.$$

Finally, we can also use the fact that $`Im\left(f_t^{\mathrm{}}+f_u^{\mathrm{}}\right)`$ is decreasing with $`\mathrm{}`$ to get lower bounds for smaller $`\mathrm{}`$’s.

Everybody will understand that this is a rather delicate book-keeping, but with enough patience, we will succeed.

## 3 Conclusions

If you believe that our example, after “renormalization”, satisfies the general unitarity condition (11), you conclude that the proof of Gribov’s theorem holds only if we impose elastic unitarity (12) in the elastic region. Incidentally, a kind of universality postulate is tacitly made by everybody, because everybody believes that the Gribov theorem applies to $`pp`$ scattering, while technically there are problems with the unphysical region in the $`t`$ channel which would disappear only if $`m_p<1.5m_\pi `$.

It is therefore legitimate to ask oneself what happens in another situation, the qualitative saturation of the Froissart bound, where the examples saturating this bound only satisfy condition (11) but not elastic unitarity. Would elastic unitarity make the saturation of the bound impossible?

My own prejudice is that this will not happen, but there is absolutely no proof of that. As pointed out by S.M. Roy,  it could be that elastic unitarity leads to a quantitative improvement of the Froissart bound, i.e., replacing the factor $`\pi /m_\pi ^2`$, which appears in the Lukaszuk-Martin  version:

$$\sigma _t<\frac{\pi }{m_{\pi ^2}}(\mathrm{log}s)^2,$$

by something much smaller. In any case, we believe that these questions are worth investigating.

## 4 Acknowledgements

One of us (A.M.) would like to thank J. Kupsch and S.M. Roy for very stimulating discussions, and the Indo-French Centre for the Promotion of Advanced Research (IFCPAR) for support.

## References


text:
# 1 Introduction

## 1 Introduction

It looks quite appealing to study central production processes with a large rapidity gap on either side in high energy hadron collisions. These embrace double-diffractive reactions generated by ‘Pomeron-Pomeron’ fusion, searches for new objects (such as the Higgs boson), and new approaches to study conventional physics, including the investigation of subtle aspects of QCD. Equally interesting are other processes mediated by the colourless $`t`$-channel exchanges, especially the $`W`$-boson fusion reactions.

One possibility, which at first sight looks attractive, is the search for the Higgs boson in double rapidity gap events at proton colliders, see, for example, . This has become more important since LEP is no longer available for Higgs hunting. An obvious advantage of the rapidity gap approach is the spectacularly clean experimental signatures (hadron-free zones between the remnants of the incoming protons and the produced system) and the possibility to clearly differentiate between different production mechanisms.

Events with large rapidity gaps may be selected either by using a calorimeter or by detecting leading protons with beam momentum fractions $`x_p`$ close to 1. If the momenta of the leading protons can be measured with very high precision then a centrally produced state may be observed as a peak in the spectrum of the missing-mass ($`M`$) distribution. Indeed, it has recently been proposed  to supplement CDF with very forward detectors to measure both proton and antiproton in Run II of the Tevatron in events with the fractional momentum loss $`\xi =1x_p`$ $`\stackrel{<}{}0.1`$ with extremely good accuracy, corresponding to missing-mass resolution $`\mathrm{\Delta }M250`$ MeV. The experimental proposal is focused on the searches for the Higgs boson, possible manifestations of the physics beyond the Standard Model as well as on unique studies of some subtle aspects of QCD dynamics. It is expected that, in association with the high $`x_p`$ protons and antiprotons, a central system with mass up to about 200 GeV can be produced. To perform such challenging measurements the outgoing $`p`$ and $`\overline{p}`$ must be detected in roman pots, or microstations as proposed for an extension of ATLAS .

To ascertain whether a Higgs signal can be seen, it is crucial to evaluate the background. Recall that the inclusive search for an intermediate mass Higgs, that is $`pp`$ or $`p\overline{p}HX`$ with $`Hb\overline{b}`$, has an extremely small signal-to-background ratio, which makes this process impossible to observe. If we specialize to double-diffractive $`Hb\overline{b}`$ production, the background is suppressed  (see also Section 3).

## 2 Double-diffractive hard production processes

Here we are going to present the estimates of the cross-sections for high energy processes of the type

$$ppp+M+p,$$
(1)
and similarly for $`p\overline{p}`$, where a ‘plus’ signs indicates the presence of a large rapidity gap. To be precise, we calculate the rate for the double-diffractive exclusive production of a system of large invariant mass $`M`$, say a Higgs boson. Our discussion below will be focused on the case of an intermediate mass Higgs which dominantly decays into the $`b\overline{b}`$ final state. From the outset we would like to make it clear that today there is no consensus within the community regarding the evaluation of the double-diffractive production cross sections, see . The literature shows a wide range of predictions varying by many orders of magnitude111The range of values for exclusive process (1) can be found in .. As in Refs. , we adopt the two-gluon exchange picture of the Pomeron, where the amplitude for the double-diffractive process is shown in Fig. 1. Here the hard subprocess $`ggM`$ is initiated by gluon-gluon fusion and an additional relatively soft $`t`$-channel gluon is needed to screen the colour flow across the rapidity gap intervals.

One major difference between the various theoretical approaches concerns the specification of the exchanged gluons. Either non-perturbative gluons are used in which the propagator is modified so as to reproduce the total cross section , or a perturbative QCD estimate is made  using an unintegrated, skewed gluon density that is determined from the conventional gluon obtained in global parton analyses. In this respect, it has been emphasized  (see also  that the non-perturbative normalisation based on the value of the elastic or total cross section fixes the diagonal gluon density at $`\widehat{x}\mathrm{}_T/\sqrt{s}`$ where the transverse momentum $`\mathrm{}_T`$ is small, namely $`\mathrm{}_T<1`$ GeV. Thus the value of $`\widehat{x}`$ is even smaller than

$$x^{}\frac{Q_T}{\sqrt{s}}x\frac{M}{\sqrt{s}},$$
(2)
where the variables are defined in Fig. 1. However, the gluon density grows as $`x0`$ and so the use of a non-perturbative normalisation will lead to an overestimation of double-diffractive cross sections.

Of course the fusion of the two energetic gluons into a high mass state, as shown in Fig. 1, is generally accompanied by the emission of soft gluons which may populate the rapidity gaps. The basic mechanism which suppresses this effect is the additional $`t`$-channel gluon of Fig. 1. It screens the colour, but does not couple to the produced state of mass $`M`$. It has typical values of $`Q_T`$ which are much smaller than $`M`$, but which are large enough (for sufficiently large $`M`$) to screen soft gluon emission and to justify the applicability of perturbative QCD.

Another crucial numerical difference between the approaches concerns the size of the so-called survival probability of rapidity gaps, $`W`$, which symbolically can be written as

$$W=S^2T^2.$$
(3)
$`S^2`$ is the probability that the gaps are not filled by secondary particles generated by soft rescattering, see for instance . The second factor, $`T^2`$, is the price to pay for not having gluon radiation in the hard subprocess $`ggM`$. The estimates of the survival factor $`S^2`$ strongly depend on the models for soft hadron rescattering, which causes the main uncertainty in evaluation of the double-diffractive cross section. In  for $`M_H=120`$ GeV at the LHC we tabulated our results for an optimistic estimate $`S^2=0.1`$, while our detailed recent calculations  yield a lower value, $`S^2=0.02`$. However it has been pointed out  that it is possible to check the value of $`S^2`$ by observing double-diffractive dijet production222A promising idea of probing the gap survival factor in the $`WW`$-fusion events with a rapidity gap on either proton side was advocated in Ref. . For this purpose it was proposed there to measure the $`Z^0`$-production rate with the rapidity gap signature.. This process is driven by the same dynamics, and has a higher cross section, so a comparison of the measurements with the predictions can determine $`S^2`$. The recent CDF data for diffractive dijet production, reported at this Workshop , appear to be consistent with our determination of $`S^2`$ in Ref. . This is clear evidence in favour of the strong suppression due to the low survival probability of the rapidity gaps.

The $`p^(`$$`\overline{p}`$$`{}_{}{}^{)}p+H+^(`$$`\overline{p}`$$`^)`$ cross section, corresponding to the basic mechanism shown in Fig. 1, recently has been calculated to single $`\mathrm{log}`$ accuracy . The amplitude is

$$=A\pi ^3\frac{d^2Q_T}{Q_T^4}f_g(x_1,x_1^{},Q_T^2,M_H^2/4)f_g(x_2,x_2^{},Q_T^2,M_H^2/4),$$
(4)
where the $`ggH`$ vertex factor $`A^2`$ is given by (9) below, and the unintegrated skewed gluon densities are related to the conventional distributions by

$$f_g(x,x^{},Q_T^2,M_H^2/4)=R_g\frac{}{\mathrm{ln}Q_T^2}\left[\sqrt{T(Q_T,M_H/2)}xg(x,Q_T^2)\right].$$
(5)
The factor $`R_g`$ is the ratio of the skewed $`x^{}x`$ integrated gluon distribution to the conventional one . $`R_g1.2(1.4)`$ at LHC (Tevatron) energies. The bremsstrahlung survival probability $`T^2`$ is given by

$$T(Q_T,\mu )=\mathrm{exp}\left(_{Q_T^2}^{\mu ^2}\frac{dk_T^2}{k_T^2}\frac{\alpha _S(k_T^2)}{2\pi }_0^{1k_T/\mu }𝑑z\left[zP_{gg}(z)+\underset{q}{}P_{qg}(z)\right]\right).$$
(6)
Note, that the factor $`\sqrt{T}`$ arises in (5) because the survival probability is only relevant to the hard gluon exchanges in Fig. 1. The origin of the factor $`1/Q_T^4`$ in the integrand in (4) reflects the fact that the production is mediated by the ‘fusion’ of two colourless dipoles of size $`d^21/Q_T^2`$. Due to the presence of this factor it is argued (see e.g. ) that a perturbative treatment of process (1) is inappropriate. However, it is just the Sudakov suppression factor $`T`$ in the integrand, which makes the integration infrared stable and hence the perturbative predictions reliable333Moreover, the effective anomalous dimension, $`\gamma `$, of the gluon distribution $`(xg(x,Q_T^2)(Q_T^2)^\gamma )`$ additionally suppresses the contribution from the low $`Q_T^2`$ domain .. The saddle points of the integral are located near $`Q_T^2=3.2(1.5)`$ GeV2 at LHC (Tevatron) energies.

The bremsstrahlung survival factor $`T`$ determines the probability not to emit the bremsstrahlung gluons in the interval $`Q_T\stackrel{<}{}k_T\stackrel{<}{}M_H/2`$. The upper bound of $`k_T`$ is clear, and the lower bound occurs because there is destructive interference of the amplitude in which the bremsstrahlung gluon is emitted from a “hard” gluon with that in which it is emitted from the screening gluon. That is there is no emission when $`\lambda 1/k_T`$ is larger than the separation $`d1/Q_T`$ of the two $`t`$-channel gluons in the transverse plane, since then they act effectively as a colour-singlet system. The neglect of such an important dampening factor in practically all theoretical papers on the double-diffractive Higgs or dijet production444The only exceptions are our results in Refs.  and the evaluation presented in . However there is a clear difference in the estimate of the survival factor $`T^2`$ even between these two groups. The calculation in  yields a significantly lower value of $`T^2`$ than that advocated in . reminds one of the attempt to force two camels to go through the eye of a needle. The size of the eye is given by $`1/M`$, while the camel’s height is regulated by the position of the saddle point, $`1/Q_T`$.

The amplitude (4) corresponds to the exclusive process (1). The modification for the inclusive process

$$ppX+M+Y$$
(7)
is given in , where it was found that the event rate is much larger. However, in the inclusive case the large multiplicity of secondaries poses an additional problem in identifying the Higgs boson.

## 3 Signal-to-background ratio for double-diffractive Higgs production

In order to use the ‘missing-mass’ method to search for an intermediate mass Higgs boson, via the $`Hb\overline{b}`$ decay mode, we have to estimate the QCD background which arises from the production of a pair of jets with invariant mass about $`M_H`$, see Ref.  for details. The good news is that the signal-to-background ratio does not depend on the uncertainty in the soft survival factor $`S^2`$, and is given just by the ratio of the corresponding $`ggHb\overline{b}`$ and $`ggb\overline{b}`$ subprocesses.

We begin by assuming that the $`b`$ jets are not tagged. Then the main background is the double-diffractive colour-singlet production of a pair of high $`E_T`$ gluons with rapidities $`\eta _1`$ and $`\eta _2`$. The $`gggg`$ subprocess cross section is

$$\frac{d\widehat{\sigma }}{d^2p_T}=\frac{9\alpha _S^2}{8p_T^6}\left(\frac{M^4}{4p_T^4}\frac{M^2}{p_T^2}\right)^{\frac{1}{2}}\frac{dM^2}{d(\mathrm{\Delta }\eta )},$$
(8)
where $`M`$ is the invariant mass of the dijet system, $`p_T`$ is the transverse momentum of the jets, and $`\mathrm{\Delta }\eta =|\eta _1\eta _2|`$ is the jet rapidity difference. The background (8) should be compared to the double-diffractive $`ggH`$ signal

$$\frac{A^2}{4}=\frac{\sqrt{2}}{36\pi ^2}G_F\alpha _S^2.$$
(9)
First of all, in order to reduce the background we impose a jet $`E_T`$-cut. For instance, if we trigger on events containing a pair of jets with angles $`\theta >60^{}`$ from the proton direction in the Higgs rest frame, then we only eliminate one half of the signal, whereas the background dijet cross section is reduced to

$$\frac{d\widehat{\sigma }}{dM^2}=\mathrm{\hspace{0.33em}9.7}\frac{9\alpha _S^2}{8M^4}.$$
(10)
With a common scale for the coupling $`\alpha _S`$, and neglecting the NLO corrections, we obtain a signal-to-background ratio

$$\frac{S}{B_{gg}}=(4.3\times 10^3)\mathrm{Br}(Hb\overline{b})\left(\frac{M}{100\mathrm{GeV}}\right)^3\left(\frac{250\mathrm{MeV}}{\mathrm{\Delta }M}\right).$$
(11)
If $`M_H=120`$ GeV, the ratio $`S/B_{gg}5\times 10^3`$. This is too small for the above approach to provide a viable signal for the Higgs boson. However the situation is greatly improved if we are able to identify the $`b`$ and $`\overline{b}`$ jets. If we assume that there is only a 1% chance to misidentify a gluon jet as a $`b`$ jet, then tagging both the $`b`$ and $`\overline{b}`$ jets will suppress the gluon background by $`10^4`$. In this case only the true $`b\overline{b}`$ background may pose a problem.

A remarkable advantage of the double-rapidity-gap signature for the $`Hb\overline{b}`$ events is that here the $`Hb\overline{b}`$ signal/$`b\overline{b}`$ background ratio is strongly enhanced due to the colour factors, gluon polarization selection and the spin $`\frac{1}{2}`$ nature of the quarks . First, the background $`b\overline{b}`$-dijet rate is suppressed due to the absence of the colour-octet $`b\overline{b}`$-state. Thus, for $`E_T^2<M^2/4`$ we have

$$\frac{d\widehat{\sigma }(ggb\overline{b})}{d\widehat{\sigma }(gggg)}<\frac{1}{4\times 27}<\mathrm{\hspace{0.33em}10}^2.$$
(12)
Second, we emphasize that for the exclusive process the initial $`gg`$ state obeys special selection rules. Besides being a colour-singlet, for forward outgoing protons the projection of the total angular momentum is $`J_z=0`$ along the beam axis. On the other hand, the Born amplitude for light fermion pair production555For light quark pair exclusive production $`p+pp+q\overline{q}+p`$, with forward outgoing protons, the cancellation was first observed by Pumplin , see also . vanishes in this $`J_z=0`$ state, see, for example, . This result follows from $`P`$\- and $`T`$-invariance and fermion helicity conservation of the $`J_z=0`$ amplitude . Thus, if we were to neglect the $`b`$-quark mass $`m_b`$, then at leading order we would have no QCD $`b\overline{b}`$-dijet background at all. Even beyond LO, the interference between the signal and background amplitudes is negligibly small, since they have different helicity structure. Therefore the form of the peak, observed in double-diffractive exclusive $`Hb\overline{b}`$ production, will not be affected by interference with $`b\overline{b}`$ jets produced by the pure QCD background process.

Of course, a non-vanishing $`b\overline{b}`$ background is predicted when we allow for the quark mass or if we emit an extra gluon. Nevertheless in the former case we still have an additional suppression to (12) of about a factor of $`m_b^2/p_T^24m_b^2/M_H^2<10^2`$, whereas in the latter case the extra suppression is about $`\alpha _S/\pi 0.05`$. Note that events containing the third (gluon) jet may be experimentally separated from Higgs decay, where the two jets are dominantly co-planar666The situation here is similar to the signal-to-background ratio for intermediate mass Higgs production in polarised $`\gamma \gamma `$ collisions, which was studied in detail in .. However, the price to pay for this separation is the further reduction of the signal caused by the Sudakov suppression of the final state radiation in the Higgs events .

Thus, the two-gluon fusion mechanism for hard production, illustrated in Fig. 1, provides a unique situation where the incoming hard two-gluon system is practically fully polarized with $`J_z=0`$. An explicit calculation , assuming $`M_H=120`$ GeV and imposing the $`\theta >60^{}`$ cut of low $`E_T`$ jets, gives a signal-to-background ratio

$$\frac{S}{B_{b\overline{b}}}\stackrel{>}{}\mathrm{\hspace{0.33em}4}\left(\frac{1\mathrm{GeV}}{\mathrm{\Delta }M}\right).$$
(13)
The signal is, thus, in excess of background even at mass resolution $`\mathrm{\Delta }M2`$ GeV, so the $`b\overline{b}`$ background should not be a problem777Unfortunately the situation worsens for inclusive Higgs production, when the polarization arguments become redundant. In this case $`S/B_{b\overline{b}}`$ ratio is additionally suppressed by a factor $`2030`$..

## 4 Is the production rate of Higgs events with rapidity gaps large enough?

While the predictions for the $`S/B_{b\overline{b}}`$-ratio look quite favourable for Higgs searching using the missing-mass method, the expected event rate casts a shadow on the feasibility of this approach (at least for experiments at the Tevatron). The cross section for exclusive double-diffractive Higgs production at Tevatron and LHC energies has been calculated by several authors888A more complete set of references to related theoretical papers can be found in Ref. . . In our recent analysis  the gap survival probability for the double-diffractive process is estimated to be $`S^2=0.05`$ at $`\sqrt{s}=2`$ TeV and $`S^2=0.02`$ at $`\sqrt{s}=14`$ TeV. If we incorporate these estimates into the perturbative QCD calculations of , we find

$`\sigma _H`$ $`=`$ $`\sigma (p\overline{p}p+H+\overline{p})\mathrm{\hspace{0.33em}0.06}\mathrm{fb}\mathrm{at}\sqrt{s}=\mathrm{\hspace{0.33em}2}\mathrm{TeV},`$ (14)
$`\sigma _H`$ $`=`$ $`\sigma (ppp+H+p)\mathrm{\hspace{0.33em}2.2}\mathrm{fb}\mathrm{at}\sqrt{s}=\mathrm{\hspace{0.33em}14}\mathrm{TeV}`$ (15)
for a Higgs boson of mass 120 GeV. These values are much lower than the expectations of other authors listed in . However, as we already mentioned, the recent CDF study of diffractive dijet production , provides strong experimental evidence in favour of our pessimistic estimates of the survival factor $`S^2`$, see . CDF  have studied double-diffractive dijet production for jets with $`E_T>7`$ GeV. They find an upper limit for the cross section, $`\sigma (\mathrm{dijet})<3.7`$ nb, as compared to our prediction of about 1 nb . Using the dijet process as a monitor thus rules out the much larger predictions for $`\sigma (p\overline{p}p+H+\overline{p})`$ which exist in the literature. Unfortunately the prediction $`\sigma _H0.06`$ fb of (14) means that Run II of the Tevatron, with an integrated luminosity of $`=15`$ fb-1, should yield less than an event. We should add that the double-diffractive Higgs search can also be made in the $`\tau ^+\tau ^{}`$ and $`WW^{}`$ decay channels, but, due to the small branching ratios, the event rate is even less.

We emphasize that such a low expected signal cross section at the Tevatron just illustrates the high price to be paid for improving the $`S/B_{b\overline{b}}`$ ratio by selecting events with double rapidity gaps. On the other hand, a specific prediction of the perturbative approach is that the cross section $`\sigma _H`$ steeply grows with energy  (c.f. (14) with (15)), in contrast to non-perturbative phenomenological models based on Ref. . In fact, if we were to ignore the rapidity gap survival probability, $`S^2`$, then $`\sigma _H`$ would have increased by more than a factor of 100 in going from $`\sqrt{s}=2`$ TeV to $`\sqrt{s}=14`$ TeV. However, at the larger energy, the probability to produce secondaries which populate the gaps increases, and as a result the $`\sigma (ppp+H+p)`$ increases only by a factor of 40. Nevertheless, there is a real chance to observe double-diffractive Higgs production at the LHC, since both the cross section and the luminosity are much larger than at the Tevatron. Another test of our perturbative scenario is the behaviour of the dijet cross section with the jet $`E_T`$. Due to the $`x`$ dependence of the perturbative gluon, we predict a steeper fall off with increasing $`E_T`$ than the non-perturbative models .

For the inclusive production of a Higgs of mass $`M_H=120`$ GeV we expect, at the LHC energy, a cross section of the order of 40(4) fb, taking rapidity gaps $`\mathrm{\Delta }\eta =2(3)`$ .

The double-diffractive dijet cross sections are much larger than those for Higgs production. For example, if we take a dijet bin of size $`\delta E_T=10`$ GeV for each jet and $`\eta _1=\eta _2`$ we obtain, for $`E_T=50`$ GeV jets at LHC energies,

$$d\sigma _{\mathrm{excl}}/d\eta |_0\mathrm{\hspace{0.33em}40}\mathrm{pb},d\sigma _{\mathrm{incl}}/d\eta |_0\mathrm{\hspace{0.33em}250}\mathrm{pb},$$
(16)
where $`\eta (\eta _1+\eta _2)/2`$. The rapidity gaps are taken to be $`\mathrm{\Delta }\eta `$(veto) $`=(\eta _{\mathrm{min}},\eta _{\mathrm{max}})=(2,4)`$ for the inclusive case (see  for the definition of the kinematics). Such a high event rate and the remarkable purity of the di-gluon system, that is generated in the exclusive double-diffractive production process, provides a unique environment to make a detailed examination of high energy gluon jets999In double-diffractive exclusive high-$`E_T`$ dijet events the jets appear to be pure gluon ones at the level about 3000:1. Moreover, after an appropriate selection of the two-jet configuration and the removal of the $`b\overline{b}`$ contamination by tagging, the sample may become (at least) an order of magnitude purer.. Indeed, we may speak here of a ‘gluon factory’ .

Let us finally comment on the soft suppression factor $`S^2`$, which causes the main uncertainty in various calculations of the rate of rapidity gap events and, thus, is the ‘Achilles heel’ of the evaluation of the Higgs production signal in the exclusive and inclusive processes of (1) and (7) respectively. This factor depends sensitively on the spatial distributions of partons inside the proton, and thus, is closely related to the whole diffractive part of the $`S`$-matrix, see Ref.  for details. For example, the survival probability for central Higgs production by $`WW`$ fusion, with large rapidity gaps on either side, is expected to be larger than that for the double-Pomeron exchange . Recall that a quantitative probe of the suppression factor $`S^2`$ can be achieved either by measurements of central $`Z`$ production  or of dijet production.

An instructive example is Higgs boson production by the $`\gamma \gamma H`$ fusion subprocess . This process takes place at very large impact parameters, where the corresponding gap survival probabilities are $`S^2=1`$ . $`\sigma (\gamma \gamma H)`$ is estimated to be about 0.03 fb at $`\sqrt{s}=2`$ TeV and 0.3 fb at $`\sqrt{s}=14`$ TeV, which is comparable to our expectations (14), (15) for double-diffractive Higgs production. Note that the strong and electromagnetic contributions have negligible interference, because they occur at quite different values of the impact parameter.

As well known , the two-photon mechanism of Higgs production is especially interesting for heavy ion collisions where the photon flux scales with $`Z^2`$ ($`Z`$ being the charge of the nucleus) . In the photon-photon case for $`M_H=120`$ GeV we expect a signal-to-background ratio $`S/B_{b\overline{b}}1`$, if the experimental resolution on the reconstruction of the $`b\overline{b}`$-invariant mass is $`10`$ GeV, and if a cut $`|\mathrm{cos}\theta |<0.7`$ is imposed on the $`b`$ and $`\overline{b}`$ jets.

## 5 Conclusions

We have examined the possibility of performing a high resolution missing-mass search for the Higgs boson at the Tevatron, that is the process $`p\overline{p}p+H+\overline{p}`$ where a ‘plus’ denotes a large rapidity gap. Using a model-independent approach, we find that there is a huge QCD background arising from double-diffractive dijet production. A central detector to trigger on large $`E_T`$ jets is essential. Even so, the signal-to-background ratio is too small for a viable ‘missing-mass’ Higgs search. The situation is much improved if we identify the $`b`$ and $`\overline{b}`$ jets. The $`ggHb\overline{b}`$ signal is now in excess of the QCD $`ggb\overline{b}`$ background, even for a mass resolution of $`\mathrm{\Delta }M2`$ GeV. The only problem is that, when proper account is taken of the survival probability of the rapidity gaps, the $`p\overline{p}p+H+\overline{p}`$ event rate is too small at the Tevatron. Recall that the experimental limit on the cross section for double-diffractive dijet production confirms the small predicted rates. Nevertheless, there is a real chance to observe double-diffractive Higgs production at the LHC, since both the cross section and the luminosity are much larger than at the Tevatron.

The rather pessimistic expectations of the missing-mass Higgs search at the Tevatron are, however, compensated by a by-product of the double-diffractive proposal. The double-diffractive production of dijets offers a unique gluon factory, generating huge numbers of essentially pure gluon jets from a colour-singlet state in an exceptionally clean environment.

## Acknowledgements

We thank M. Albrow, D. Goulianos, A.B. Kaidalov, R. Orava, A. Rostovtsev and W.J. Stirling for useful discussions. VAK thanks The Leverhulme Trust for a Fellowship. This work was also supported by PPARC, the Russian Fund for Fundamental Research (98-01-17629) and the EU Framework TMR programme, contract FMRX-CT98-0194 (DG-12-MIHT).


text:
# Abstract

## Abstract

The SS 433 objects is a well–known source of relativistic jets, which are formed in supercritical accretion disk. It is very probable that the disk has polar channels and their radiation is collimated (the photocones). The face–on SS433 object can appear as beamed ultra–bright (and highly variable) X–ray source, $`L_x10^{39}10^{42}`$ erg/s. We discuss properties of these hypothetical objects and their frequency expected in galaxies. We describe a search for such objects using the ROSAT ASS Bright Source Catalog and Faint Source Catalog (99528 point–like sources) and the RC3 catalog (16741 spiral and irregular galaxies). Among in total 418 positive correlations in all types of galaxies we find that in S and Irr galaxies 142 sources are unknown as AGNs. We isolated by visual inspection 37 clear non-nuclear, 43 probably non–nuclear and 35 probably nuclear sources. The last two classes certainly contain many unknown AGNs. The sources of the 1-st class have X–ray luminosities mainly $`10^{39}\mathrm{3\hspace{0.17em}10}^{41}`$ erg/s. Their observed frequency is about $`4÷5\%`$ per S/Irr galaxy, what is in agreement with expected frequency of face-on SS 433 stars. The only way to recognize such stars is their expected violent variability in X–rays.

## Backgrouds

The well–known galactic binary star SS 433 shows unique relativistic jets moving with a velocity $`V_j=0.26c`$. The jets are originated in the supercritical accretion disk. The disk is extremely bright, its total luminosity is $`L_{bol}10^{40}`$ erg/s with maximum of the radiation in UV (Dolan et al. 1997). We observe a supercritical wind outflowing from the disk, the temperature of the wind photosphere is $`T_{ph}510^4`$ K. The disk orientation is “edge–on” and variable ($`\pm 20^{}`$) because of the precession.

The jets propagating in inner regions of the wind make channels, which may form a collimated radiation of SS 433. The jets are accelerated and collimated in some inner region inside the photosphere. They are accelerated by radiative pressure with the line–locking, where the collimated radiation is also needed (Shapiro, Milgrom, Rees 1986). Necessity of SS 433 collimated radiation follows also from observation data (Fabrika 1997). The outflowing wind velocity is $`V_w1500`$ km/s, the total mass loss rate in the wind is $`\dot{M}_w10^4M_{}/y`$, the mass loss rate in the jets is $`\dot{M}_w510^7M_{}/y`$. The wind photosphere size is $`R_{ph}=\dot{M}_w\sigma _T/4\pi m_pV_w\left(1÷2\right)10^{12}`$ cm and corresponding photospheric temperature is $`T_{ph}510^4`$ K, what agree well with direct estimates from SS 433 fluxes. The photospheric size inside the cannels $`R_{phj}=\dot{M}_j\sigma _T/\pi \left(\theta _c/2\right)^2m_pV_j10^{10}`$ cm and corresponding temperature of inner photosphere is $`T_{ph}510^5`$ K, where $`\theta _c`$ is opening angle of the channels. The wind photosphere mean size $`R_{ph}`$ is much greater than that of around the jets $`R_{phj}`$, what means that channels and collimated radiation do exist. From SS433 data we can only find upper limit on the opening angle of the photocone $`\theta _c/2<<60^{}`$.

The supercritical accretion disk simulations (Eggum, Coroniti, Katz, 1985) show that in the inner regions of accretion disk a cone is formed in outflowing matter, where the collimated radiation and fast–moving gas propagate. These cones are rather broad, $`40^{}60^{}`$. In active galactic nuclei (AGNs) ionization cones are observed, which are very probably photocones of collimated radiation. They are broad with opening angles in the range $`\theta _c=40^{}÷100^{}`$ (Wilson, Tsvetanov 1994).

SS 433 star being orientated “face–on” and observed in photocone will look brighter by the geometrical brightening factor $`B=2\pi /\mathrm{\Omega }_c`$, where $`\mathrm{\Theta }_c`$ is solid angle of the channel. It will be X–ray source registered with a luminosity $`BD^{3+\alpha }L_c`$, where $`L_c`$ – the cone luminosity, $`D=\left(1\left(V_j/c\right)^2\right)^{1/2}/\left(1V_j/c\right)`$ – the Doppler factor, $`\alpha `$ – spectral index ($`I\nu ^\alpha `$). Accepting $`\alpha =1`$ we find for SS 433 the relativistic beaming factor $`D^{3+\alpha }=2.9`$. Ii is not easy to estimate $`L_c`$. We may expect $`L_cL_{bol}`$ and accept here $`L_c=L_{bol}`$.

How many such stars one may expect? We know one SS 433 in the Galaxy as a persistent superaccretor and a source of relativistic jets. Results of relativistic binary stars population synthesis (Lipunov et al. 1996) show that we may expect ($`0.1÷10`$) SS 433s per a galaxy like Milky Way. Very important, that it is much more propable to find such a star in young star–burst regions, i. e. rather in nuclear regions in galaxies. Let us accept one SS 433 star per spiral galaxy like MW, and taking into account the specific orientation of “face–on SS 433”, we accept a frequency of the face–on SS 433s as $`1/B`$ per spiral galaxy. So we have an assumption which is not easy to be corrected today — the cone luminosity is $`L_cL_{bol}=10^{40}`$ erg/s. We do not specify opening angle $`\theta _c`$ (t. e. the brightening factor $`B`$) of the photocone. In Fig. 1 we show these simple relations, how expected X–ray luminosity ($`L_x=BL_c`$) and number of MW–like galaxies per one face–on SS 433 star ($`1/B`$) depend on $`\theta _c`$.

## Method

We search for hypothetical objects, face–on SS 433 stars, which have to be ultraluminous X–ray sources. Their expected properties are:
Frequency. $`1/B`$ per spiral galaxy like MW. Th expected scatter is $`\pm `$ one order of magnitude.
Location. Spiral galaxies: arms, star–burst regions, Irr galaxies. Nuclear regions of spiral and S0 galaxies: the conditions needed for production of such stars are practically the same as those for production of an AGN.
Luminosity and spectrum. X-rays: luminosity is ultra–bright, $`10^{39}÷10^{42}`$ erg/s. It depends on many unknown parameters: the cone luminosity and opening angle, specific orientation and precession phase at observations. Spectrum is unknown, probably soft. Very variable, sporadical variability from 1 min to 1 year, periodical variavility with orbibal and precession periods (days, months). The fast variability is the main criterion for such objects. It could be quasi–periodical with a time–scale of about $`\delta tR_{ph}/V_j`$, what is about 200 sec for SS 433.
Visible range: very faint (Fabrika, Sholukhova 1995), $`V>21^m`$ for $`D=10`$ Mpc. The main contributor is the accretion disk wind, the object appears as UV or blue star.
Radio: the SS 433 being face–on and observed at $`D=10`$ Mpc (with taking into account relativistic beaming, $`V=0.26c`$) will show a radio flux $`410^3`$ mJy. The transient source Cyg X–3 (accepting the same beaming $`V=0.3c`$) will be observed as $`510^2`$ mJy source in maximum. The transient source GRS 1915+105 (the beaming factor at $`V=0.92c`$) will show maximum flux of about $`0.8`$ mJy. At the modern sensitivity of radio surveys, like the FIRST Survey we have a little hope to detect such sources.

We have correlated RC3 catalogue of galaxies (de Vaucouleurs et al. 1991) with ROSAT All Sky Survey Bright Source Catalogue (BSC, Voges et al. 1999) and Faint Source Catalogue (FCS, Voges et al. 2000). RC3 contains 23007 galaxies (15415 spirals and 1326 irregulars), it is considered as complete up to $`V=14{}_{}{}^{\mathrm{m}}\mathrm{.\hspace{0.17em}5}15{}_{}{}^{\mathrm{m}}\mathrm{.\hspace{0.17em}0}`$. Distances to nearby galaxies ($`<`$ 5–10 Mpc) in RC3 may have large errors, we used data from Karachentsev et al. (2000) to correct these distances. The Local Group galaxies were omitted. ROSAT ASS (0.1 – 2.4 kev) contains 18811 sources in BSC ($`F>0.05`$ cts/s), 8365 among them are point–like and 91163 point–like sources in FSC.

The correlation box was used as 25th magnitude isophote of a galaxy + Rerr. Fig. 2 shows the number of positive correlations versus Rerr together for the BSC and FSC. The polynomial fitting shows real sources + contanimations. The polinomial was found making multiple correlations with galaxy coordinates $`+\mathrm{\Delta }\alpha =1^h,2^h,`$ etc. The deficit of galaxies below the polinomial is contributed both by real errors in X–ray sources and galaxy coordinates and by extended sources. We have found that the Rerr $`<`$ 30′′ and chosen Rerr = 30′′ for final correlations. We see that about 400–420 positive correlations do exist, but about 90 sources from them are contaminations (Fig. 2). To select AGNs among our positive correlations we used Veron–Cetty, Veron (2000) cataloque choosing only confirmed from optical spectroscopy Seyfert and Liner nuclei. As a first step we study in this paper only point–like sources from ROSAT ASS and only spiral and irregular galaxies from RC3 cataloque.

## Results

We have found 418 positive correlations of ROSAT ASS point–like sources — 308 sources from FSC and 110 sources from BSC. After comparing with Veron–Cetty, Veron (2000) cataloque we have 327 positive correlations of X–ray sources (unknown as AGNs) with RC3 galaxies. Considering only spiral and irregular galaxies, we find the final number of X–ray sources is 142.

Fig. 3 shows frequencies of X–ray fluxes of all originally found 418 sources. The fluxes have been found accepting power–law spectrum with the photon index $`\mathrm{\Gamma }=2.3`$ and the Galaxy foreground absorption (Voges et al. 1999). From this figure we find that FSC may be complete up to $`\mathrm{6.3\hspace{0.17em}10}^{13}erg/cm^2s`$. Only 10 $`\%`$ of our sources were detected in FSC below $`\mathrm{2.7\hspace{0.17em}10}^{13}erg/cm^2s`$. In BSC only 6 $`\%`$ of our positive correlations were detected below $`10^{12}erg/cm^2s`$.

A visual inspection of all 142 BSC + FSC sources in spiral and irregular galaxies has been done. These sources have been classified in 4 groups:
1st class of clear offset (non–nuclear) sources, without probable contamination with a star–like object in X–ray error boxes — 37 sources;
2nd class of probable offset, but may be nuclear sources — 43 sources;
3rd class of very probable nuclear sources, unknown AGNs can be present in this class, — 35 sources;
4th class of probable contaminations (star–like objects inside a box, or unusually big distance between X–ray source and galaxy.

Fig. 4 presents X–ray hardness ratios HR1 and HR2 for known AGNs among our sources (from BSC only) and for our sources from BSC + FSC. There are many X–ray sources with hard spectra among our best correlations. The known X–ray binaries in ROSAT data show very hard spectra (Motch et at., 1998). This result is in agreement with interpertation of the sources as X–ray binaries.

Fig. 5 shows the hardness ratios HR1 and HR2 versus X–ray luminosity for 3 our classes of sources. The only firm conclusion may be done here, that nuclear sources are brighter. They include really unknowm AGNs.

In Fig. 6 we present distributions of X–ray luminosities of our sources (a, b, c) and galactic sources from Read, Pomnan and Strickland (1996) (d), offset sources (e) and AGNs (f) from Roberts, Warwick (2000). The last is a study of complete list of nearby galaxies with the HRI of ROSAT. One can see again that our 2dn and 3rd classes do include new AGNs.

We may compare our results with results by Roberts and Warwick (2000). Using only spiral galaxies in both samples, taking their sources found with our “limiting flux” $`\mathrm{4\hspace{0.17em}10}^{13}`$ erg/s and taking our sources found in their “limiting galaxy magnitude” $`B12{}_{}{}^{\mathrm{m}}\mathrm{.\hspace{0.17em}5}`$ range of galaxies, we find that they found X–ray sources in 39 $`\%`$ of galaxies, but we found sources in only $`13\%`$ of galaxies. This contradiction may be because of observational selection, Roberts and Warwick (2000) used HRI data of pointing observations, but we used ASS data, which were obtained without any preference of astronomers. From the other hand a ratio of offset sources to AGNs found from their flux–limited data is 1.3, and the same ratio (we have not 3rd class sources in our bright–galaxies sample, all they are known AGNs!) in our data 1.5, if we consider the 1st + 2-nd class sources as non–nuclear over known AGNs. And this ratio is 0.7, if we consider only 1st class sources as non–AGNs over 2–nd class sources + known AGNs. We conclude that our number of offset/nuclear sources ($`0.7÷1.5`$) is in agreement with the number obtainesd from Roberts and Warwick (2000) data (1.3).

Fig. 7 shows X–ray luminosities versus galactic distances for our three classes of positive correlations. We see that the FSC may detect all sources with $`L_x>10^{39}`$ erg/s in galaxies closer that 4 Mpc, and all sources with luminosities $`L_x>10^{40}`$ erg/s could be detected to a distance $`D<12`$ Mpc.

We calculated frequencies of the positive correlations in the galaxies studied, that is a number of sources in S and Irr galaxies over all galaxies of these types in the RC3 cataloque closer than some specific distance. In Fig. 8 we observe a high peak in the 1st class sources at distances $`10`$ Mpc. Sources with luminosities $`L_x=10^{39÷40}`$ erg/s contribute mainly in the peak. Otherwise at distances $`>10`$ Mpc we have a strong selection in our data and can not recognize all sources with $`L_x>10^{40}`$ erg/s. We may estimate a frequency using only closer galaxies, in the interval of distances $`D<10`$ Mpc. The frequency of the best offset sources (the 1-st class) is about $`4÷5\%`$ per S/Irr galaxy in this interval. They are ultra–bright X–ray sources, $`L_x10^{39}÷10^{41}`$ erg/s. Frequencies of sources of the 2-nd and 3-rd classes show quite different behaviour. They confirm the interpretation, that in 2-nd class of ”probably offset” sources we have both stellar sources and AGNs, but among the 3-rd class (the known AGNs being excluded) we have unknown AGNs.

We conclude that the data do not contradict the idea of existence of the “hypothetical” face–on SS 433 X–ray sources. The only way to identify such stars is their expected violent variability. The problem of existence of ultrabright X–ray sources in galaxies is well known (Fabbiano, 1998; Roberts and Warwick, 2000). We may identify these sources, on the base of today–level of knowledges, as face–on SS 433 stars.