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# The ROSAT Deep Survey

## 1 Introduction

The X-ray backgound has been a matter of intense study since its discovery about 40 years ago by Giacconi et al. (1962). Several deep X-ray surveys using ROSAT, BeppoSAX, ASCA and recently Chandra and XMM-Newton have resolved a large fraction (60-80 %) of the soft and hard X-ray background into discrete sources (Hasinger et al. Has98 (1998), Mushotzky et al. Mu00 (2000), Giacconi et al. Gia00 (2000), Hasinger et al. Has01 (2001).)

The optical/infrared identification of faint X-ray sources from deep surveys is the key to understanding the nature of the X-ray background. A significant advance was the nearly complete optical identification of the ROSAT Deep Survey (RDS), which contains a sample of 50 PSPC X-ray sources with fluxes above 5.5 $``$ 10-15 erg cm-2 s-1 in the 0.5-2.0 keV energy band (Hasinger et al. Has98 (1998), hereafter Paper I). The spectroscopy has revealed that $``$80% of the optical counterparts are AGNs (Schmidt et al. Schm98 (1998), hereafter Paper II).

The very red colour ($`RK^{}>5.0`$) of the only two optically unidentified RDS sources indicates either high redshift clusters of galaxies ($`z>1.0`$) or obscured AGNs (Lehmann et al. 2000a , hereafter Paper III). This study found a much larger fraction of AGNs than did any previous X–ray survey (Boyle et al. Boy95 (1995), Georgantopoulos et al. Geor96 (1996), Bower et al. Bow96 (1996) and McHardy et al. Mc98 (1998)).

Several deep hard X-ray surveys ($`>`$2 keV) have been started with Chandra and XMM-Newton to date (e.g., Brandt et al. Bra00 (2000), Mushotzky et al. Mu00 (2000), Hornschemeier et al., Horn00 (2000), Giacconi et al. Gia00 (2000) and Hasinger et al. Has01 (2001)), but most of their optical identification is at an early stage or their total number of sources is still relatively small (Barger et al. Ba01 (2001)).

In this paper we present the X-ray sources and their spectroscopic identification of the Ultra Deep Survey (UDS) in the region of the Lockman Hole. The UDS contains 94 X-ray sources with 0.5-2.0 keV fluxes larger than $`1.210^{15}`$ erg cm-2 s-1, which is about 4.6 times fainter than our previously optically identified RDS survey.

The scope of the paper is as follows. In Sect. 2 we define the X-ray sample and present its X-ray properties. The optical imaging, photometry and spectroscopy of their optical counterparts are described in Sect. 3. The optical identification of the new X-ray sources and the catalogue of optical counterparts of the 94 X-ray sources are presented in Sect. 4. A $`K^{}`$ survey covering half of the X-ray survey area is presented in Sect. 5. The photometric redshift determination of three very red sources ($`RK^{}>5.0`$) is shown in Sect. 6. The implications of our results with respect to the X-ray background are discussed in Sect. 7.

Throughout the paper, we use $`H_0=50`$ km s-1 Mpc-1, $`q_0=0.5`$, and $`\mathrm{\Lambda }=0`$.

## 2 The X-ray observations

The ROSAT Deep Surveys consist of ROSAT PSPC and HRI observations in the direction of the Lockman Hole, a region of an extremely low galactic Hydrogen column density $`N_\mathrm{H}=5.7\times 10^{19}`$ cm-2 (Lockman et al. Loc86 (1986)). About 207 ksec were accumulated with the PSPC detector (Pfeffermann & Briel Pfef82 (1992)) centered at the direction $`\alpha _{2000}=10^h52^m00^s,\delta _{2000}=57^o21^{}36^{\prime \prime }`$. The most sensitive area of the PSPC field of view is within a radius of $``$20 arcmin from its center.

The ROSAT PSPC image is the basis for the ROSAT Deep Survey (RDS), which includes a statistically complete sample of 50 X–ray sources with 0.5–2.0 keV fluxes larger than 1.1 $``$ 10-14 erg cm-2 s-1 at off-axis angles smaller than 18.5 arcmin and fluxes brighter than 5.5 $``$ 10-15 erg cm-2 s-1 at off-axis angles smaller than 12.5 arcmin (see Paper I).

A pointing of 1112 ksec (net exposure time) with the ROSAT HRI (David et al. Dav96 (1996)) has been obtained centered at the direction $`\alpha _{2000}=10^h52^m43^s,\delta _{2000}=57^o28^{}48^{\prime \prime }`$. The HRI pointing is shifted about 10 arcmin to the North-East of the PSPC center (see Fig 1. in Paper I). This shift was chosen to allow a more accurate wobble correction to increase the sensitivity and spatial resolution using some bright optically identified X-ray sources.

The HRI field of view is about $`36\times 36`$ arcmin. The main advantage of the HRI compared to the PSPC is the higher angular resolution of the HRI ($``$5 arcsec) compared to that of the PSPC ($``$25 arcsec), but the HRI has practically no energy resolution. Fig. 1 presents the combined PSPC/HRI image of the overlap region covered by both pointings.

In addition to the HRI and PSPC pointings we have obtained a raster scan with the HRI for a total 205 ksec exposure time, which covers nearly the entire field of the PSPC pointing.

The 1112 ksec HRI exposure is the main basis for the Ultra Deep ROSAT Survey (UDS) in the Lockman Hole region. The sample selection and the complete X-ray catalogue are presented in the following sections. For a detailed description of the X-ray observations, the detection algorithm, the astrometric correction and the verification of the analysis procedure by simulation, see Paper I.

### 2.1 Sample definition

The Ultra Deep Survey sample combines three statistically independent samples of HRI and of PSPC sources, whose defining characteristics, both in terms of area and flux limits, are given in Table 1. The total number of sources is 94. Forty-seven of the 68 sources in the HRI sample are also detected with the PSPC, while seven of the 26 sources in the PSPC samples are also detected with the HRI (but outside of the central HRI survey region). For the 54 sources both detected with the HRI and the PSPC we adopt the flux (see Table 3) measured with the instrument which defines the sample to which each source belongs. This corresponds to assuming that each sample is defined at the epoch at which its observation has been obtained.

The HRI detector has practically no energy resolution in the 0.1-2.4 keV band, which leads to a significant model-dependence in the count rate to flux conversion. The conversion of the PSPC count rates in the PSPC hard band (PI channels 52-201) to fluxes in the 0.5-2.0 keV band is straightforward in comparison to the HRI because of the similar band passes (see Paper I).

The HRI fluxes in the 0.5-2.0 keV band were determined from the HRI count rates using the corresponding exposure time, a vignetting correction, an energy-to-flux conversion factor (ECF) and a point spread function-loss factor determined from simulations (see Table 2). To derive the ECF factor we have assumed a power law spectrum with photon index 2 and galactic absorption (using N$`{}_{\mathrm{H}}{}^{}=5.7\times 10^{19}`$ cm-2), folded through the instrument response.

### 2.2 The X-ray source catalogue

Table 3 provides the complete catalogue of the 94 X-ray sources from the Ultra Deep ROSAT Survey in the Lockman Hole region. The first two columns give the source name and an internal source number. The capital letters in parenthesis mark whether the source belongs to the HRI sample (H) or to the PSPC samples (P1 or P2). The weighted coordinates of the X-ray sources for an equinox of J2000.0 are shown in columns 3 and 4. The 1$`\sigma `$ error of their position (in arcsec), including statistical and systematic errors, is given in column 5. The capital P indicates that the X-ray position is based on the 207 ksec PSPC exposure. The positions based on the 1112 ksec HRI pointing and the 205 ksec HRI raster scan are marked with capital letters H and R, respectively. Columns 6 and 7 show the distance of the sources from the center of the HRI and PSPC field (in arcmin). Columns 8 and 9 contain the 0.5-2.0 keV HRI and PSPC fluxes of the sources in units of 10-14 erg cm-2 s-1. The PSPC flux marked with parenthesis is lower than the flux limits of the PSPC samples (see Table 1). These sources would not belong to the PSPC samples without HRI detection. The hardness ratio HR1 $`=`$ (H-S)/(H$`+`$S) derived from the PSPC hard and soft bands (see Table 2) is given in column 10.

### 2.3 The differences between the UDS and the RDS samples

The UDS sample contains all X-ray sources from the RDS sample (see Paper I and II), except the sources 36 and 116, which are in the HRI area (HRI off-axis angle smaller than 12 arcmin) and have not been detected by the HRI. The re-analysis of the PSPC data has led to slightly different

PSPC fluxes compared to Paper I. The new PSPC fluxes are statistically consistent with Paper I fluxes. The flux limit of the PSPC subsample P2 (see Table 1) is marginally lower than that limit for the same off-axis angles in the RDS sample (1.1 $`\times `$ 10-14 erg cm-2 s-1).

The PSPC fluxes differ from the HRI fluxes for several sources (see Table 3). Fig. 2 shows the HRI to PSPC flux ratio plotted versus the PSPC hardness ratio HR1 for all sources detected both with the HRI and the PSPC. The flux ratio of the softer X-ray sources (HR1 $`0.5`$) scatters around one, whereas the HRI flux of the hard sources (HR1 $``$ 0.5) is clearly lower than the PSPC flux, indicated by an average flux ratio of 0.6.

All spectroscopically identified type II AGNs including the very red sources (see Sect. 4 and 5) are relatively hard sources. Their lower HRI to PSPC flux ratio can be due to a harder spectrum than the assumed unabsorbed power-law spectrum with photon index 2, leading to lower HRI fluxes compared to PSPC fluxes for intrinsically absorbed sources. We have performed simulations with XSPEC to determine the influence of intrinsic absorption to the HRI to PSPC flux ratio using three different photon indices ($`\mathrm{\Gamma }=1,2,3`$). The models predict a decrease of the flux ratio ( $``$ 0.8) at apparent column densities (i.e., not corrected for redshift) larger than 1.2 $`\times `$ 1021 cm-2 (see Fig. 2). The lower HRI to PSPC flux ratio of the harder UDS sources (HR1 $``$ 0.5) results probably from intrinsic absorption.

The ASCA Deep Survey in the Lockman Hole by Ishisaki et al. (Ish01 (2001)) has confirmed that the X-ray luminous UDS type II AGN, detected with ASCA in the 1-7 keV energy band, show harder spectra than type I AGN, which can be explained by intrinsic absorption with $`N_\mathrm{H}10^{2223}`$ cm-2.

Several groups and clusters of galaxies (e.g., 41C and 228Z) show significant lower HRI fluxes compared to their PSPC fluxes. This is probably due to the lower sensitivity of the HRI to detect extended X-ray emission. The 0.5-2.0 keV X-ray flux of the UDS groups and clusters of galaxies can be at least a factor of 2 larger than those values, which are based on the HRI, given in Table 3.

However, the difference between the PSPC and HRI fluxes for several sources can be also due to X-ray variability, because the fluxes are defined by the epoch of the observation.

## 3 Optical spectroscopy

Optical images and optical spectra of 50 of the 94 UDS sources are published in Paper III and in Hasinger et al. (Has99b (1999), hereafter Paper IV). Finding charts and, when available, optical spectra are given in Fig. 8 for the remaining 44 objects.

The optical identifications of most of the new X-ray sources is based on their highly accurate HRI positions and Keck $`R`$ band images with a limiting magnitude ranging from 23.5 to 26.0. We have found for nearly all sources only one optical counterpart inside the HRI error circle (see Fig. 8). In some cases the HRI detection of PSPC sources (e.g., 15 and 18) is essential to identify the correct optical counterpart. For the new sources, presented here for the first time, three (24, 70, and 151) are only covered by the PSPC exposure. For these sources, due to the lower positional accuracy of the PSPC detector ($`25^{\prime \prime }`$), we considered all objects inside the PSPC error circle as possible optical counterparts. For sources 5, 24, 70, 131, 151, 477, 804, 827, 832, and 840 we used Palomar 5-m $`V`$ band images taken with the 4-Shooter (Gunn et al. Gun87 (1987)) to locate the optical counterparts, as for these cases Keck $`R`$ images are not available.

The optical imaging and photometry of the X-ray sources has been previously described in Papers II and III. However, we have to complete the $`R`$-band coverage (not the entire UDS survey area is covered by Keck LRIS frames). The optical photometry should still be regarded as somewhat uncertain for those objects, not covered by the Keck $`R`$ images. For instance, the $`R`$ magnitudes of the objects 9A, 17A, 29A, and 54A are significant lower than those given in Paper II due to the more reliable Keck photometry compared to the $`R`$ band photometry based on imaging with the University of Hawaii 2.2-m telescope (see Paper II). A more complete and reliable photometry will be published in a future paper.

Optical spectroscopy of nearly all new UDS sources was performed with the Low Resolution Imaging Spectrometer (LRIS; Oke et al. Oke95 (1995)) at the Keck I and II 10-m telescopes during observing runs in February and December 1995, April 1996, April 1997, March 1998 and March 1999. The spectra were taken either through multislit masks using 1.4′′ and 1.5′′ wide slits or through 0.7′′ and 1.0′′ wide long slits. The detector is a back-illuminated 2048 $`\times `$ 2048 Tektronics CCD. A 300 lines mm-1 grating produces a spectral resolution of $``$10 Å for the long slit spectra and of $``$15 Å for the mask spectra. The wavelength coverage of the spectra varies within 3800-8900 Å. In addition, long slit spectra of some relatively bright counterparts ($`R<21`$) were obtained with LRIS at the Keck II telescope during service observing in February, March and April 1998. The exposure times for long slit spectra range from 120 to 3600 sec, for mask spectra from 1800 to 3600 sec.

The optical spectrum of the bright star 232A ($`R=11.7`$) was taken in March 1998 at the Calar Alto 3.5-m telescope using the Boller & Chivens Cass Twin spectrograph. The detector is a 800 $`\times `$ 2000 SITe CCD. A 600 lines mm-1 transmission grating and a slit width of 1.5′′ produce spectra from 3500-5500 Å at a spectral resolution of 4.4 Å in the blue channel.

The spectra were processed with the MIDAS package involving standard procedures (e.g., bias-subtraction, flat-fielding, wavelength calibration using He-Ar or Hg-Kr lamp spectra, flux calibration and atmospherical correction for broad molecular bands). The optimal extraction algorithm of Horne (Hor86 (1986)) was used to extract the one-dimensional spectra. A relative flux calibration was performed using secondary standards for spectrophotometry from Oke and Gunn (Oke83 (1983)). Several spectra show residuals from night sky line subtraction (e.g., 15A and 33A). In some cases the atmospheric band correction was only partially successful (see 131Z).

The optical images ($`R`$ or $`V`$) of the new UDS objects and their optical spectra are presented in Fig. 8.

## 4 The optical identification of UDS X-ray sources

To identify the new 46 X-ray sources from the UDS not contained in the previously optically identified RDS sample, we apply the identification scheme described in Paper II. The scheme involves identification (ID) classes that characterize the spectroscopic information as detailed below.

The existence of broad UV/optical emission lines with FWHM$`>`$1500 km s-1 in the optical spectra of 27 X-ray sources of the 46 new UDS sources reveals broad emission line AGNs (type I), which are subclassified in the ID classes a-c. The 15 new objects of ID class a show at least two of the high-redshifted broad emission lines: Mg II $`\lambda 2798`$, C III\] $`\lambda 1908`$, C IV $`\lambda 1548`$, Si IV $`\lambda 1397`$, Ly$`\alpha `$ $`\lambda 1216`$. Object 817A, a quasar at $`z=4.45`$ (Schneider et al. Schn98 (1998)), is the most distant X-ray selected quasar found to date, and object 832A is a broad absorption line quasar (BALQSO) at $`z=2.735`$.

Ten new objects belong to the ID class b. Their optical spectra show only a broad Mg II emission line and usually several narrow emission lines (e.g., \[Ne V\] $`\lambda 3426`$ and \[O II\] $`\lambda 3727`$). The broad Mg II lines of 513 (34O) and of 426A are marginally seen in the low S/N spectra (see Fig. 8), but the Gaussian fit to the lines reveals 3$`\sigma `$ detections in both cases. In addition, source 513 (34O) has been detected at 6 cm wavelength with the VLA (Ciliegi, private communication) confirming its AGN nature.

There is no ID class c object (showing only broad Balmer emission lines) among the 46 new sources.

Four X-ray sources are identified with narrow emission line AGNs (type II). One of these AGNs (901A) is identified with ID class d, where high ionization \[Ne V\] $`\lambda 3426`$ emission lines indicate an AGN.

Three narrow line AGNs belong to the ID class e, which contains 13 new UDS sources. The optical spectra of these sources show neither broad emission lines nor high ionization \[Ne V\] emission lines.

The identification of the ID class e objects is based on the ratio of X-ray to optical flux $`f_\mathrm{x}/f_\mathrm{v}`$ as defined by Stocke et al. (Sto91 (1991)), the angular extent of the X-ray source and its high 0.5-2.0 keV X-ray luminosity (L$`{}_{\mathrm{x}}{}^{}10^{43}`$ erg s-1) indicating an AGN or a group/cluster of galaxies.

Seven of the new class e objects are spectroscopically confirmed as groups or clusters of galaxies (see notes on individual sources below). In two cases we found stars as optical counterparts of the X-ray sources (see Table 4).

Six new UDS sources (434B, 486A, 607, 828A, 866A, and 905A ), which belong to class e, still lack an optical identification.

Fig. 3 shows the 0.5-2.0 keV X-ray flux of all UDS sources as a function of the $`R`$ magnitude of their optical counterparts. Nearly all AGNs are located around a well defined line with $`f_\mathrm{x}/f_\mathrm{v}=1`$.

Six of the eight unidentified UDS sources have $`R`$ magnitudes lower than the spectroscopic limit of our survey, which is approximately $`R23.5`$. The photometric redshift determination of these sources are presented in Sect. 6. The identification of several new UDS sources is discussed in more detail below.

### 4.1 Notes on individual objects

Source 24 is detected as a point source with the PSPC and is not covered by the HRI exposure. The Palomar $`V`$ image shows one object (24Z) inside the PSPC error circle. The optical spectrum contains narrow emission lines of Oxygen and a H$`\beta `$ emission line at $`z=0.480`$. The Gaussian fit to the H$`\beta `$ line reveals a significant broader line (FWHM$`=`$1440 km s-1) compared to the width of the Oxygen emission lines (see Table 11). The log $`f_\mathrm{x}/f_\mathrm{v}`$ ratio and the X-ray luminosity of L$`{}_{\mathrm{x}}{}^{}>10^{43}`$ erg s-1 in the 0.5-2.0 keV band are rather high for a normal galaxy. We classify the object as an AGN.

Source 34 is extended in the HRI exposure. It was not possible to determine the morphology with the PSPC, because of the confusion with source 513 at a distance of about 35′′. There is no optical or even $`K^{}`$ band counterpart inside the HRI error circle. Two galaxies 34L and 34M are located at distances of $`5^{\prime \prime }`$ and $`18^{\prime \prime }`$ from the HRI position. The object 34M is a narrow emission line galaxy at $`z=0.263`$. A 1 hour long slit exposure of the object 34L has not yielded a definitive redshift. Another emission line galaxy (34F) at $`z=0.262`$ is at a distance of $`28^{\prime \prime }`$ from the HRI position. The ratio log $`f_\mathrm{x}/f_\mathrm{v}=0.87`$ for 34F is consistent with those of groups or clusters of galaxies. We tentatively classify source 34 as a group of galaxies.

Source 104 is consistent with a point source in the PSPC and the HRI exposures. The relatively bright galaxy 104A is located inside the HRI circle and shows several narrow emission lines at $`z=0.137`$. The flux ratios of the emission lines log (\[O III\] $`\lambda `$5007/H$`\beta \lambda 4861)=0.86`$, log (\[N II\] $`\lambda 6584`$/H$`\alpha \lambda 6563)=0.24`$ and log (\[S II\] $`\lambda 6716+\lambda 6731`$/ H$`\alpha \lambda 6563)=0.50`$ reveal an AGN using the diagnostic diagrams by Veilleux & Osterbrock (Vei87 (1987)). The ratio log $`f_\mathrm{x}/f_\mathrm{v}=1.05`$ is at the lower limit of the EMSS AGN (Stocke et al. Sto91 (1991)). This object has a 0.5-2.0 keV X-ray luminosity of log L$`{}_{\mathrm{x}}{}^{}=41.65`$ (erg s-1) and is one of the four low luminosity AGN found in the survey (see Fig. 6). A second galaxy (104C) at $`z=0.134`$ is at a distance of 25′′ from the X-ray source. Although the AGN is probably the source of the X-ray radiation, object 104A could belong to a group of galaxies.

Source 128 appears significantly extended in the HRI image, but it is not detected in the PSPC exposure. However, we are not able to exclude that the extended emission results from source confusion. The galaxy 128E inside the HRI error circle shows a narrow \[O II\] $`\lambda 3727`$ emission line at redshift $`z=0.478`$. The ratio log $`f_\mathrm{x}/f_\mathrm{v}=0.08`$ agrees with the range of galaxy groups and clusters of galaxies. The X-ray extent of the source cannot originate from the galaxy 128E at such a high redshift.

A second galaxy (128D) at a redshift $`z=0.031`$ is located near the edge of the HRI error circle. The spectrum of the object shows several narrow emission lines of Oxygen and the Balmer series. The flux ratios log (\[O III\] $`\lambda `$5007/H$`\beta \lambda 4861)=0.46`$ and log (\[S II\] $`\lambda 6716+\lambda 6731`$/H$`\alpha \lambda 6563)=1.13`$ allow a secure classification as a starburst galaxy using the Veilleux & Osterbrock diagnostic diagrams (1987). The galaxy 128D is probably a field object.

There are three additional faint galaxies within a distance of 20′′ from the galaxy 128E, which seems to indicate the presence of a poor group of galaxies with an X-ray luminosity of 3.1 $`\times `$ 1042 (see, e.g, Mulchaey et al. Mul96 (1996)) or a fossil galaxy group similar to that object found by Ponman et al. (Pon94 (1994)). We tentatively classify source 128 as a galaxy group.

Source 131 shows extended X-ray emission in the HRI exposure. The relatively bright elliptical galaxy 131Z ($`z=0.205`$) is located at the edge of the HRI error circle and is surrounded by at least 10 fainter galaxies. A similar object is the elliptical cD galaxy in A2218 at $`z=0.175`$ (Le Borgne et al. LeB92 (1992)). We classify source 131 as a cluster of galaxies. However, the ratio log $`f_\mathrm{x}/f_\mathrm{v}=1.95`$ is rather low for a galaxy cluster.

Sources 228/229, the most extended X-ray sources of our sample, are separated only by about 1. The Keck $`R`$-image shows a marginal excess of galaxies brighter than $`R=24.5`$, which indicates a high-redshift cluster of galaxies. The optical spectrum of the brightest galaxy close to the center of source 229 (left peak in Fig.1 of Paper IV) revealed a gravitationally lensed arc at $`z=2.570`$ (Hasinger et al. Has99b (1999), Paper IV). Near-infrared images have shown a number of relatively bright galaxies with $`RK^{}=5.55.7`$ (Lehmann et al. 2000b ).

Recently, Thompson et al. (Tho01 (2001)) have detected a broad H$`\alpha `$ emission line at $`z=1.263`$ in the near-infrared spectrum of one of the galaxies. The X-ray and optical morphologies suggest the presence of either a bimodal cluster or two clusters in interaction. This would be one of the two most distant X-ray selected cluster of galaxies found to date. Another cluster at $`z=1.267`$ was discovered in the ROSAT Deep Cluster Survey (Rosati et al. Ro99 (1999)).

Source 815 appears pointlike in the HRI exposure. The optically brightest galaxy 815C inside the HRI error circle is an elliptical galaxy at $`z=0.700`$. Two further narrow emission line galaxies (815D and 815F) have been found at the same redshift. The ratio log $`f_\mathrm{x}/f_\mathrm{v}=0.87`$ for 815C is consistent with a cluster of galaxies or an AGN. The galaxy 815C has been detected in the VLA 6cm survey of the Lockman Hole (Ciliegi, private communication), which reveals a radio galaxy. At least 7 additional faint galaxies are within a distance of 20′′ from the center of X-ray position, which seems to indicate a rich galaxy cluster around the radio galaxy. We cannot conclude that the detected emission is due to a single AGN or due to a cluster of galaxies. Extended X-ray emission is probably not detected because of the faintness of this source. On the base of the existense of three galaxies at $`z=0.700`$ we classify source 815 as a cluster of galaxies.

Source 827 is consistent with a point source in the HRI exposure. The HRI error circle contains a galaxy (827B) at $`z=0.249`$. The optical spectrum of 827B shows only a very strong H$`\alpha `$ emission line, but no further emission lines resulting in a large Balmer decrement. The H$`\alpha `$ line width of 1200 km s-1 (FWHM) is significantly broader than typical narrow emission lines, which indicates an AGN. The source is detected in the VLA 20 cm survey of the Lockman Hole region (DeRuiter et al. deRui97 (1997)). The ratio log $`f_\mathrm{x}/f_\mathrm{v}=0.35`$ of 827B agrees with the range of AGN. We classify source 827 as an AGN. It is one of the four low-luminosity AGN (log L$`{}_{\mathrm{x}}{}^{}42`$ erg s-1) of our sample (see Fig. 6).

Source 840 is extended in the HRI pointing and not covered by the inner PSPC field of view. The HRI error circle contains a bright star and a faint galaxy (840C) at $`z=0.074`$. A brighter galaxy (840D) at the same redshift is located at a distance of 20′′ from the center of the HRI position. The ratio log $`f_\mathrm{x}/f_\mathrm{v}=2.55`$ for 840D and the X-ray luminosity (log $`L_\mathrm{x}=40.7`$) are very low for a group of galaxies. Due to the lower sensitivity of the HRI to detect extended X-ray emission the X-ray flux could be underestimated by a factor of 2-8 (see, e.g., sources 41 and 228 in Table 3). Source 840 is classified as a group of galaxies due to the extended X-ray emission. However, we cannot exclude that the X-ray emission is due to a single galaxy or a to the sum of the emission of a few galaxies in the group.

Source 901 is identified with ID class d. A high ionization \[Ne V\] $`\lambda 3426`$ emission line indicates an AGN in this source. The flux ratios of the emission lines log (\[O III\] $`\lambda `$5007/H$`\beta \lambda 4861)>1.31`$ and log (\[N II\] $`\lambda 6584`$/H$`\alpha \lambda 6563)=0.17`$ confirm the optical identification as an AGN (see diagnostic diagrams by Veilleux & Osterbrock Vei87 (1987)). Its X-ray luminosity of $`2.310^{41}`$ erg s-1 in the 0.5-2.0 keV energy band and its ratio log $`f_\mathrm{x}/f_\mathrm{v}=3.09`$ are very low for an AGN, which could be due to intrinsic absorption. The object is one of the four low luminosity AGNs (log L$`{}_{\mathrm{x}}{}^{}<42`$) of the total sample of 69 UDS AGNs (see Fig. 6).

The following six new UDS X-ray sources are still spectroscopically unidentified:

Source 434 is a faint X-ray source detected in the HRI and the PSPC pointing. The HRI error circle contains two objects (434A and 434B). The optical spectrum of 434A reveals an elliptical galaxy at $`z=0.762`$. The ratio log $`f_\mathrm{x}/f_\mathrm{v}=0.15`$ is rather high for a galaxy, but consistent with an AGN or a group or cluster of galaxies. We have no optical spectrum of 434B ($`R=22.4`$), which has $`RK^{}=4.1`$. The galaxy 434A is not detected on the $`K^{}`$ image. We need to take an optical spectrum of 434B to identify the source 434.

Source 486 is detected as a point source in the HRI and the PSPC exposures. The $`R`$ images (see Fig. 8) show the faint object 486A ($`R=23.8`$) inside the HRI error circle. This object has a $`K^{}`$ magnitude of 18.5; $`RK^{}=5.3`$. Source 486 is one of the three unidenitified soures with $`RK^{}`$ indices larger than 4.5 (14Z and 84Z being the other two). We argue that 486A is probably an obscured AGN (see photometric redshift determination in Sect. 6.). The ratio log $`f_\mathrm{x}/f_\mathrm{v}=0.65`$ is too high for a galaxy.

Source 607 has been detected in the HRI and the PSPC pointing. The $`R`$ images show a very faint counterpart ($`R=24.1`$) inside the HRI error circle. Due to the high accuracy of the HRI position we argue that 36Z is the optical counterpart. We were unable to determine the spectroscopic redshift of 36Z with a one hour Keck exposure. The high ratio log $`f_\mathrm{x}/f_\mathrm{v}=0.78`$ is consistent with an AGN. The photometric redshift estimation of the object 607 (36Z) is described in Sect. 6.

Source 825 is a point source in the HRI image. The HRI error circle contains a faint object 825A ($`R=22.8`$). We were not able to determine the redshift of 825A with a one hour Keck exposure. The high ratio log $`f_\mathrm{x}/f_\mathrm{v}=0.35`$ would be consistent with an AGN or with a group/cluster of galaxies.

Source 866 is a HRI point source. The faint object 866A ($`R=24.2`$) is located inside the HRI error circle, but hard to see in Fig. 8. The high ratio log $`f_\mathrm{x}/f_\mathrm{v}`$=0.95 is consistent with an AGN or a group/cluster of galaxies. However, due to its X-ray faintness source 866 could be a spurious detection. We expect about 1-2 spurious detections in our sample of 94 X-ray spources down to a limitimg flux of $`1.210^{15}`$ erg cm-2 s-1 in the 0.5-2.0 keV band.

Source 905 is detected as a point source in the HRI exposure. The faint optical counterpart 905A ($`R=25.0`$) shows a very red colour ($`RK^{}=6.3`$), which could indicate an obscured AGN similar to 14Z or 84Z . The high ratio log $`f_\mathrm{x}/f_\mathrm{v}`$=0.86 is consistent with an AGN or a group/cluster of galaxies.

### 4.2 The catalogue of optical counterparts

Table 4 contains the optical properties of the 94 X-ray sources in the UDS sample as defined in Sect. 2.1. The table is sorted by increasing internal X-ray source number (see Table 3), which is included in the name of the optical object identified with the X-ray source. The first four columns give the name of the object, the $`R`$ magnitude of the object and its right ascension and declination at epoch 2000. We have marked the $`R`$ magnitudes, which are determined from Keck LRIS images. The other values have to be regarded as somewhat uncertain.

Column 5 gives the distance of the optical counterpart from the position of the X-ray source in arcsec. The capital letters (H, P and R) mark whether the source position is mainly derived from the 1112 ksec HRI exposures, the 207 ksec PSPC exposure or the 205 ksec HRI raster scan. The HRI or the PSPC flux in units of 10-14 erg cm-2 s-1 (0.5-2.0 keV) depending if the source belongs to the HRI sample or to the PSPC samples is given in column 6. The next column shows the X-ray to optical flux ratio $`f_\mathrm{x}/f_\mathrm{v}`$ as defined by Stocke et al. (Sto91 (1991)). Columns 8 and 9 give a optical morphological parameter of the object (s$`=`$star-like, g$`=`$extended, galaxy-like) and the redshift. The morphological parameter has changed for several objects (e.g., 9A and 60B) compared to that of Paper II due to availability of higher quality Keck images.

The absolute magnitude $`M_\mathrm{v}`$ (using the assumption $`VR=+0.22`$, corresponding to a power law spectral index of -0.5) and the logarithm of the X-ray luminosity in the 0.5-2.0 keV energy band in units of erg s-1 (assuming an energy spectral index of -1.0) are shown in columns 10 and 11. For the three very red sources with photometric redshifts we have determined the absolute magnitude $`M_\mathrm{v}`$ using their $`K`$ magnitudes. The $`RK^{}`$ colour of the counterparts is given, when available, in column 12. Column 13 gives the optical classification (broad emission line AGNs – AGN I, narrow emission line AGNs – AGN II, GAL - galaxy and GRP/CLUS – group/cluster of galaxies).

The large Balmer decrement, indicated by the large ratio of the H$`\alpha `$ to the H$`\beta `$ emisssion line equivalent widths ($`>9`$), of some AGNs (e.g., 28B, 59A) reveals a large amount of optical absorption. We therefore classify these objects as AGN type II. The ID class of the optical counterparts is given in the last column.

### 4.3 AGN emission lines and galaxy absorption lines

The optical identification of the UDS X-ray sources depends on the accurate measurement of the optical emission line properties. Nearly all identified X-ray sources in the UDS have high S/N Keck spectra, which would allow detection of faint high ionized \[Ne V\] $`\lambda \lambda 3346/3426`$ emission lines, if they were present.

To help assign a reliable identification we have derived the emission line properties, the FWHM in km s-1 corrected for instrumental resolution and the rest frame EW in Å. For the determination of the line parameters we fitted single or double Gaussian profiles using the Levenberg-Marquardt algorithm (Press et al. Pre92 (1992)), see Paper III for details. The parameter set was accepted if the reduced $`\chi ^2`$ was less than 3.0.

We distinguish between narrow and broad emission lines at FWHM of 1500 km s-1. In some cases we found very broad components with FWHM $`>`$ 8000 km -1. Tables 9-12 (see Appendix) contain the FWHM and the EW values of those emission lines, which were detected at the 3$`\sigma `$ level.

The UDS AGNs cover a redshift range from 0.080 to 4.45 with a median redshift z $`=`$ 1.2, which is only slightly larger than that of the RDS AGN sample (z $`=`$ 1.1). In Paper III we compared the FWHM and the EW distributions of the RDS AGNs with those from several X-ray selected samples (e.g., the RIXOS sample of Puchnarewicz et al. Puch97 (1997), the CRSS sample of Boyle et al. Boy97 (1997)) and from optical/UV selected AGN/quasar samples (e.g., the AGN samples of Steidel & Sargent & Stei91 (1991), of Brotherton et al. Bro94 (1994), and of Green Gre96 (1996).)

We have found a good agreement for the distributions of both broad and narrow emission lines. Slightly smaller mean EW values of the narrow emission lines are probably due to significant continuum emission from the host galaxies of several RDS AGNs.

To compare the results obtained from the RDS sample we have derived the mean FWHM and the mean EW for the UDS AGN sample, which contains in total 70 objects. Table 5 shows the comparison of emission line properties of the UDS AGN sample and the RDS AGN sample, which is a subsample of the UDS at higher X-ray flux. The first column gives the name of the most prominent emission lines. Column 2 marks the line component. The columns 3 and 4 (5 and 6) give the mean FWHM (EW), its 1$`\sigma `$ error, and the number of lines found in the RDS AGNs. The same data are shown for the UDS AGNs in columns 7 to 10. The very broad line components (FWHM$`>`$8000 km s-1) have not been considered here. The mean EW and FWHM of the two samples agree very well with each other, confirming the results from the comparison of the RDS AGN sample with other AGN/quasar samples from Paper III.

For completenes Table 6 shows the galaxy absorption lines of those UDS objects, that do not belong to the RDS sample (see Table 1 in Paper III for similar data for the objects in the RDS sample). Objects with $`z>1.1`$ are not listed, because the mentioned galaxy absorption lines lie outside the covered wavelength range.

The columns 1 and 2 contain the name and the class of the objects (AGN I – type I AGN, AGN II – type II AGN, GRP/CLUS – galaxy group/cluster of galaxies). The redshift of the objects and the typical galaxy absorption lines found in the optical spectra are given in the columns 3 and 4. The entry ”no” means that the absorption lines are not detected. Column 4 shows the 4000 Å break index, as defined by Bruzual (Bru83 (1983)), and its 1$`\sigma `$ error.

Seven out of the 11 new identified AGNs with $`z<1.1`$ show typical galaxy absorption lines in their optical spectra. Four of those AGNs have D(4000) values clearly larger than 1.0, which is an indication for a large continuum emission from their host galaxies (see Paper III for a detailed discussion). This is consistent with the fact 10 of these 11 AGNs have an absolute magnitude fainter than -22.0, well in the range covered by normal galaxies.

## 5 Near-infrared photometry

A deep broad-band K (1.9244–2.292 $`\mu `$m) survey of the Lockman Hole region has been performed with the Omega-Prime camera (Bizenberger et al. 1998) on the Calar Alto 3.5-m telescope in 1997 and in 1998. Some of the data were kindly provided to us by M. McCaughrean. About half of the ultradeep HRI pointing area is already covered. We planned to observe the remaining area in spring 2000, but weather conditions did not allow us to finish the $`K^{}`$ survey.

The camera uses a 1024$`\times `$1024 pixel HgCdTe HAWAII array with an image scale of 0.396 arcsec pixel-1, and covers a field-of-view of 6.7$`\times `$6.7 arcmin. A large number of background limited images were taken at slightly dithered positions. The total accumulated integration time of the combined images ranges from 45 to 70 minutes. The image reduction involves the usual standard techniques. The SExtractor package (Bertin & Arnouts Ber96 (1996)) was used to detect the sources and to measure their fluxes. Point sources are well detected at the 5$`\sigma `$ level at K=19.7 mag in a 45 min (net) exposure.

Four of the spectroscopically unidentified sources in this paper, 14Z, 84Z, 486A, and 607-36Z, were observed on UT 1999 December 15 and 16 under good seeing and photometric conditions using the facility Near-Infrared Imaging Camera (NIRC, Matthews & Soifer Ma94 (1994)) on the Keck I telescope. NIRC has an image scale of 0$`\stackrel{}{.}`$15 per pixel, imaging onto a $`256^2`$ InSb detector for a 38$`\stackrel{}{.}`$4 square field of view. Objects 14Z, 84Z, and 486A were observed for 10 minutes in each of the $`zJHK`$ bands; 607-36Z was observed for 5 minutes in the $`JHK`$ filters (the $`z`$ band data were saturated because the data were obtained near dawn). The telescope was dithered in a random pattern every one minute of integration. The images were sky-subtracted and flatfielded, then stacked using integer pixel offsets. Calibration onto the Vega flux scale was done using the Persson et al. (Pers98 (1998)) infrared standard stars.

Fig. 4 presents the $`RK^{}`$ colour versus the $`R`$ magnitude for almost half of the objects of the UDS field. We have detected all X-ray sources at the K images, which are covered by the deep K band survey in the Lockman Hole to date. There is a trend for the $`RK^{}`$ colour of the X-ray counterparts to increase to fainter $`R`$ magnitudes. Four of the optically unidentified X-ray sources have only very faint optical counterparts ($`R>24`$). The $`K^{}`$ images of these sources (see Fig. 3 in Paper III) show relatively bright counterparts resulting in very red colours ($`RK^{}>5.0`$).

We have already argued in Paper III that such red counterparts of X-ray sources suggest either obscured AGNs or a high-z cluster of galaxies. The spectroscopic identification of five counterparts with $`RK^{}>4.5`$ confirms this so far (see Table 4). However, we cannot exclude that the very red objects are high-z quasars at $`z>4.0`$. The most distant X-ray selected quasar (817A) found to date (Schneider et al. Schn98 (1998)) shows also a relatively red colour ($`RK^{}4`$).

## 6 Photometric redshift determination

We have estimated photometric redshifts for the four unidentified sources 14Z, 84Z, 486A, 607 with broad-band photometry in several filters, described in Sect. 4. Due to the hardness of 14Z, 84Z and 486A (see Table 3) and their large $`RK^{}`$ colours we argue that they are probably obscured AGNs. The photometric redshift of these objects is based on the assumption that their spectral energy distribution (SED) in the optical/near-infrared is due to stellar processes. If emission from an obscured AGN is contributing significantly at some wavelength, the following results should be taken with caution.

We used a standard photometric redshift technique (see e.g., Cimatti et al. Cim99 (1999) and Bolzonella et al. Bolz00 (2000)). In our version of the software the templates consist of a set of synthetic spectra (Bruzual & Charlot Bru93 (1993)), with different star formation histories and spanning a wide range of ages (from $`10^5`$ to $`2\times 10^{10}`$ yrs); the basic set of templates includes only solar metallicity and Salpeter’s IMF. The effect of IGM attenuation (Madau Mad95 (1995)), extremely important at high redshift, is included, along with the effect of internal dust attenuation, using a dust–screen model and the SMC extinction law with E(B-V) ranging from $`0`$ to $`0.5`$. In total $`768`$ synthetic spectra have been used.

The “best” photometric redshift ($`z_{\mathrm{phot}.}`$) for each galaxy is computed by applying a standard, error-weighted $`\chi ^2`$ minimization procedure. Moreover we have computed error bars to $`z_{\mathrm{phot}.}`$ corresponding to 90% confidence levels, computed by means of the $`\mathrm{\Delta }\chi ^2`$ increment for a single parameter (Avni Av76 (1976)). The observed spectral energy distribution (SED) of each objects, obtained from broad–band photometry in several filters ($`V,I`$ from 8K UH, $`R`$ from Keck+LRIS and $`z,J,H,K`$ from Keck+NIRC), is compared to our set of template spectra. The $`V,I`$ 8K UH observations are described by Wilson et al. (Wil96 (1996)).

In agreement with their very red colours ($`4.6<RK<5.7`$) we obtained relatively high $`z_{\mathrm{phot}.}`$, ranging from $`1.21<z_{\mathrm{phot}.}<2.71`$, for all sources (Fig. 5). For objects 14Z and 486A we estimate $`z_{\mathrm{phot}.}=1.94_{0.10}^{+0.18}`$ and $`z_{\mathrm{phot}.}=1.21_{0.14}^{+0.10}`$, respectively. Both observed SEDs are consistent with an old stellar population (age=$`2.5÷5`$ Gyrs), while the content of dust is badly constrained because of the absence of $`U`$ and $`B`$ band photometry.

The formal best estimate for redshift of object 607 (36Z) is $`z_{\mathrm{phot}.}=1.36_{0.12}^{+0.07}`$, but the resulting fit is very poor; the upturn in the $`V`$ photometry at $`\lambda <6000`$ indicates the presence of a young stellar population (0.3 Gyrs) and the absence or a low dust extinction or the presence of an underlying AGN component. The photometric redshift of 607 (36Z) is therefore very uncertain. Data in bluer bands ($`U`$ and $`B`$) and combined AGN and galaxy templates would probably be needed for a more reliable redshift estimate for this object. We therefore have not included the value of 607 in Table 4.

Object 84Z shows a quite clear break between $`J`$ and $`H`$ photometry, consistent with a best fit model at $`z_{\mathrm{phot}.}=2.71_{0.41}^{+0.29}`$, while the decreasing flux towards shorter wavelength indicates the presence of a moderate dust content ($`E(BV)=0.3`$) in a young stellar population (age=$`0.1`$ Gyrs). As seen in Fig 5, the resulting fit is very good, with a $`\chi ^2`$ value of the order of unity. However, due to the relatively large magnitude errors, especially in the $`I`$ and $`z`$ bands, also lower redshifts (down to z $``$ 1.5) would be statistically acceptable.

## 7 Discussion and conclusion

We have presented the nearly complete optical identification of 94 X-ray sources with 0.5-2.0 keV X-ray fluxes larger than $`1.210^{15}`$ erg s-2 from the Ultra Deep ROSAT Survey in the Lockman region. Highly accurate HRI positions, deep Keck $`R`$ and Palomar $`V`$ images, and high signal-to-noise ratio Keck spectra allow a reliable identification of 85 (90%) X-ray sources.

Table 8 shows the spectroscopical identification summary of the UDS, compared with that of the RDS. As seen in the table, the population of optical counterparts in the UDS has not changed from that of the RDS, with the large majority of the identifications (75% of the X-ray sources) being identified with AGN. The ratio between AGN I (57 objects) and AGN II (13 objects) is greater than 4, although it could decrease to about 3 if some, or most, of the 8 remaining spectroscopically unidentified X-ray sources are type II AGN (see Sect. 6). The second most abundant class of objects is constituted by groups and/or clusters of galaxies (10), followed by galactic stars (5).

We have spectroscopically identified only one source in the entire sample with a ”normal” emission line galaxy (53A). The ASCA Deep Survey of the Lockman Hole by Ishisaky et al. (Ish01 (2001)) suggests an obscured AGN also in this case.

These results clearly show that the fraction of AGN as optical/infrared counterparts of faint X-ray sources in the 0.5-2.0 keV energy band remains high down to a limiting flux of 1.2$`10^{15}`$ erg cm-2s -1, a factor $``$4.6 times fainter than the RDS survey, and confirm that the soft X-ray background is dominated by the emission of type I AGN, and that the increased sensitivity of the UDS has not revealed an increase in the fraction of type II AGN.

In the following we briefly summarize, in turn, some of the properties of the objects in the three main classes of optical counterparts.

a) Type I AGN

$``$ The emission line properties of the 57 type I AGN in the UDS survey are consistent with those of other brighter X-ray selected samples and optical/UV selected samples.

$``$ The X-ray luminosity of these objects covers the range 43 $`<`$ log $`L_\mathrm{x}<`$ 45, confirming that most of the contribution to the X-ray background from AGN I is due to moderately powerful objects.

$``$ The X-ray and optical luminosity of the type I AGN are reasonably well correlated, with an average value corresponding to $`f_\mathrm{x}/f_\mathrm{v}`$ 1 (see Fig. 6).

$``$ The UDS contains the most distant X-ray selected quasar ($`z=4.45`$) found to date (Schneider et al. Schn98 (1998)).

$``$ The surface density of type I AGN in the HRI defined sample, which is the deepest part of the UDS survey (40 objects in 0.126 sq.deg., corresponding to 317 $`\pm `$ 50 objects per sq.deg.) is higher than any reported surface density based on spectroscopic samples for this class of objects. This confirms the very high efficiency of X-ray selection in detecting this kind of objects (see discussion in Zamorani et al. Zam99 (1999) for a comparison of the relative efficiencies of X-ray and optical selections of type I AGN).

b) Type II AGN and unidentified X-ray sources

Following Schmidt et al. (1998; Paper II) and Lehmann et al. (2000; Paper III), we have adopted a variety of indicators (e.g. optical diagnostic diagrams, presence of \[Ne V\] and/or strong \[Ne III\] forbidden lines in the spectrum, large X-ray luminosity) to classify an object as AGN II. In addition, we have put in this class also two “intermediate” objects (28B and 59A), which, although having broad Balmer lines, show a clear indication of significant absorption as suggested by their large Balmer decrement.

$``$ While the colours of type I AGN are relatively blue, type II AGN and groups/clusters of galaxies show on average much redder colours. The location of type II AGN in the redshift - $`(RK^{})`$ diagram (see Fig. 7) occupies the same region as expected for elliptical and spiral galaxies. The colours of type II AGN appear to be dominated by the light from their host galaxies. The optical spectra of type II AGN confirm that a substantial fraction of their emission originates in their host galaxies (see Sect. 4.3). Two type II AGN (12A and 117Q), with spectroscopic redshifts 0.990 and 0.780, have very red colours ($`RK^{}5.0`$). Both sources are detected with the PSPC and show hard spectra. It is therefore likely that these objects are significantly absorbed in X-ray.

$``$ Most of the type II AGN (9 out of 13) have X-ray luminosities in the relatively narrow range 43 $`<`$ log $`L_\mathrm{x}<`$ 43.7 and are approximately consistent, although toward low luminosities, with the $`L_\mathrm{x}M_\mathrm{v}`$ relation defined by the type I AGN (see Fig. 6). The X-ray luminosity distributions of the two classes of AGN are significantly different: we have 37 type I and no type II AGN with log $`L_\mathrm{x}>`$ 43.7, but 19 type I and 13 type II AGN with log $`L_\mathrm{x}<`$ 43.7.

$``$ Four objects (59A, 104A, 827B, 901A) have X-ray luminosities significantly smaller than all the other AGN (log $`L_\mathrm{x}`$ 41.5), with correspondingly low $`f_\mathrm{x}/f_\mathrm{v}`$ ratio. All of them are at low redshift ($`z<0.25`$).

$``$ The different distributions in X-ray luminosity of type II and type I AGN translates into significantly different distributions in redshift. For example, up to $`z=0.25`$ we have 5 type II and no type I AGN. The ratio between the type I and type II AGN, which is $``$ 4.3 for the entire sample, is $``$ 0.3 up to $`z=0.5`$, $``$ 0.4 up to $`z=0.75`$ and $``$ 1 up to $`z=1`$.

$``$ These trends of the ratio between the type I and type II AGN (increasing with redshift and/or luminosity) would remain qualitatively similar even if most of the 8 spectroscopically unidentified sources will turn out to be, as we have argued in Sect. 6, high redshift type II AGN. For three of these sources, assuming that their optical/near-infrared SED is mainly due to stellar processes, we have determined photometric redshifts ranging from 1.22 to 2.71. These redshifts lead to X-ray luminosities in the 0.5-2.0 keV band of up to 1044 erg s-1, which is in the regime of typical QSO X-ray luminosities.

Even in this case, however, the number of high luminosity type II AGN in our sample appears to be smaller than that expected in the simplest version of the unified models which has been used so far for the AGN synthesis models of the X-ray background (see e.g., Comastri et al. Co95 (1995) and Gilli et al. Gi99 (1999)).

This is consistent with the fact that until now only a few hard X-ray selected type II AGN at high luminosity are known (Akiyama et al. Aki00 (2000), Nakanishi et al. Na00 (2000)). In addition, the recent 1-7 keV ASCA Deep Survey in the Lockman Hole suggests a deficit of high luminous absorbed sources at $`z12`$. Unfortunately, all these samples, including ours, are based on a very limited number of sources, so that a strong conclusion is not warranted yet. For example, Gilli et al. (Gi01 (2001)) have recently shown that the redshift distribution of type I and type II AGN for a sub-sample of the UDS sources is statistically consistent with models in which the fraction of obscured AGN is constant with luminosity. Only significantly larger spectroscopic samples of hard X-ray selected AGN from Chandra and XMM-Newton observations can fully clarify this issue. For example, the PV-observation of the Lockman Hole with XMM-Newton has recently revealed a large fraction of very red sources in the 2-10 keV energy band, which are probably heavily obscured AGNs (Hasinger et al. Has01 (2001), see also Barger et al. Ba01 (2001) for similar finding in the Chandra observation of the Hawaii Deep Survey Field SSA13), but no spectroscopic identifications for these objects currently exist.

c) Groups and clusters of galaxies

$``$ Nine out of the ten X-ray sources identified with groups and/or clusters of galaxies are extended either in the HRI or in the PSPC images or both. The point-like source 815 is classified as a cluster on the basis of the optical data: three galaxies within a few arcseconds of the X-ray position have the same redshift ($`z=0.700`$).

$``$ Nine out of ten objects have X-ray luminosities in the range 41.5 $`<`$ log $`L_\mathrm{x}<`$ 43.5 and cover the redshift range 0.20 - 1.26. The median redshift of this sample of groups is $``$ 0.5.

$``$ The faintest X-ray group in our sample (identified with the X-ray source 840) has a very low X-ray luminosity (log $`L_\mathrm{x}`$ = 40.7). In this case, given the small redshift ($`z=0.074`$) we cannot exclude the possibility that the X-ray emission is due to a single galaxy or to the sum of the emission of a few galaxies in the group.

$``$ We have detected one of the most distant X-ray selected cluster of galaxies at $`z=1.263`$ known to date (Hasinger et al. Has98 (1998); Paper IV, Thompson et al. Tho01 (2001)).

###### Acknowledgements.

The ROSAT project is supported by the Bundesministerium für Bildung, Forschung und Technologie (BMBF/DFR) and the Max-Planck-Gesellschaft. Data presented herein were obtained at the W.M. Keck Observatory, which is operated as a scientific partnership among the California Institute of Technology, the University of California and the National Aeronautics and Space Administration. The Observatory was made possible by the generous financial support of the W.M. Keck Foundation. We thank J. Oke and J. Cohen for their efforts in the contruction of LRIS, and B. Schaefer for organizing service observing. I.L. was visiting astronomer at the German-Spanish Astronomical Centre, Calar Alto, operated by the Max-Planck-Instiute for Astronomy, Heidelberg, jointly with the Spanish National Commission for Astronomy. I.L. thanks for the support by the DFG travel grant (HA 1850/11-1). Partial support for this work was provided by National Science Foundation grant AST99-00703 and by NASA through grant number GO-08194.01-97A from the Space Telescope Science Institute, which is operated by the Association of Universities for Research in Astronomy, Inc., under NASA contract NAS5-26555 (DPS). G.Z. acknowledges partial support by the Italian Space Agency (ASI) under ASI contract ARS-98-119 and by the Italian Ministry for University and Research (MURST) under grant Cofin98-02-32. Part of this work was supported by the German Deutsches Zentrum für Luft- und Raumfahrt, DLR project numbers 50 OX 9801 and 50 OR 9908. We thank our referee R.S. Warwick for his helpful comments and suggestions.

## Appendix A Optical images and spectra

The optical images of all X-ray sources previously not contained in the RDS sample (see Lehmann et al. 2000a ), are presented in Fig. 8. The $`R`$ images show a 40′′ $`\times `$ 40′′ field of view, in most cases centered on the position of the X-ray source. The field size of the $`V`$ images is $``$60′′ $`\times `$ 60′′. Overplotted are 80% confidence level error circles of the PSPC detection (large) and of the HRI detection (small). VLA 20 cm detections from DeRuiter et al. (deRui97 (1997)) are marked with 2$`\sigma `$ error boxes.

In addition, Fig. 8 shows the low-resolution Keck spectra of the optical counterparts of the X-ray sources. The location of UV emission lines (e.g., Ly$`\alpha `$ $`\lambda `$1216, Si IV $`\lambda `$1397, C IV $`\lambda `$1548 , C III\] $`\lambda `$1908, Mg II $`\lambda `$2798) and the lines of the Balmer series as well as narrow forbidden lines of Neon and Oxygen (e.g., \[Ne V\] $`\lambda `$3426, \[O II\] $`\lambda `$3727) are indicated. Furthermore there are marked typical galaxy absorption lines (Ca H+K $`\lambda `$$`\lambda `$3934/3968, CH G $`\lambda `$4304, Mg I $`\lambda `$5175, Na I $`\lambda `$5890).

## Appendix B FWHM and EW tables

Tables 912 contain the instrumental corrected FWHM in km s-1 and the rest frame EW in Å of the UV/optical emission lines from the newly identified optical counterparts of the X-ray sources. The first two columns give the name of the objects and their mean redshifts. The FWHM values in columns 3 to 8 and 3 to 9 of the Tables 9 and 11 are rounded to the nearest integer that can be divided 10. The EW values given in columns 3 to 8 and 3 to 9 of the Tables 10 and 12 have been rounded to the tenths. The errors of the FWHM and EW values are propagated 1$`\sigma `$ errors provided by the fitting algorithm.


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# 1 Introduction

## 1 Introduction

Using the Hamiltonian approach we solve the Schwinger model, with compact gauge group $`U(1)`$, which we call the compact Schwinger model (CSM) in the sequel. The standard Schwinger model ? has been solved in many ways and we have not attempted here to provide a complete list of all the related references ?,?,?,?,?,?,?,?,?. We will refer to the latter as the non-compact Schwinger model (NCSM).

The compactification of the gauge group $`U(1)`$ is realized by demanding that the only surviving electromagnetic degree of freedom, called $`c`$ in the sequel, behaves as an angular variable living in a circle of lenght $`\frac{2\pi }{eL}`$ , i.e. $`\pi /eLc+\pi /eL`$. Not surprinsingly, the compactification prescription leads to a model which drastically differs from the NCSM, as will be seen along the text.

Many solutions of the NCSM, where the electromagnetic degree of freedom $`c`$ lives in the line $`\{\mathrm{},+\mathrm{}\}`$, start from considering $`c`$ as an angular variable. Nevertheless, using apropriate boundary conditions, the corresponding authors manage to unfold the circle into the line, i.e. to go from $`U(1)`$ to its universal covering ?,?,?,?.

Here we maintain the angular character of $`c`$ and fully explore the consequences of this choice. It is important to emphasize that our results follow uniquely from the compactification condition, together with the standard definitions of both a scalar product and the hermiticity requirements in the corresponding Hilbert space.

A partial solution of the CSM was found in Ref. ?, using the loop approach to this problem ?, and served as a motivation for the work presented here. These partial results coincide with those obtained in this work. Previous progress towards the complete solution of the CSM were reported in ?.

Since both models, the CSM and the NCSM, differ only in the topology of the gauge group, it is neither surprising that the Hamiltonian method employed in the solution of the latter would be also effective for the former. For this reason and with the necessary modifications, we relay in the work of Refs. ?,? which provide a complete Hamiltonian solution of the NCSM.

## 2 CSM, gauge invariant degrees of freedom and commutator algebra

The model is described by the Lagrangian

$$=\frac{1}{4}F_{\mu \nu }F^{\mu \nu }+\overline{\psi }\gamma ^\mu \left(i_\mu eA_\mu \right)\psi $$
(1)
where $`F_{\mu \nu }=_\mu A_\nu _\nu A_\mu `$, $`\overline{\psi }=\psi ^{}\gamma ^0`$ is a Grassmann valued fermionic field and we are using units such that $`\mathrm{}=c=1`$. We consider the coordinate space to be $`S^1`$ and we will require periodic (antiperiodic) boundary conditions for the fields $`A_\mu (x)(\psi (x))`$, where $`L`$ is the length of the circle. The gamma matrices are: $`\gamma ^0=\sigma _1,\gamma ^1=i\sigma _2,\gamma ^5=\gamma ^0\gamma ^1=\sigma _3`$, where $`\sigma _i`$ are the standard Pauli matrices. We use the signature $`(+,),i.e.\eta _{00}=\eta _{11}=1`$.

After the standard canonical analysis of the Lagrangian density (1), describing the configuration space variables $`A_0,A_1`$ and $`\psi `$, we obtain

$$=\frac{1}{2}E^2+i\psi ^{}\sigma _3\left(_1+ieA_1\right)\psi A_0\left(_1Ee\psi ^{}\psi \right),\mathrm{\Pi }_00,$$
(2)
where the corresponding canonical momenta are $`\mathrm{\Pi }_0,\mathrm{\Pi }_1=F_{01}=E`$ and $`\mathrm{\Pi }_\psi =i\psi ^{}`$. Conservation in time of the primary constraint $`\mathrm{\Pi }_00`$ leads to the the Gauss law constraint

$$𝒢=_1Ee\psi ^{}\psi 0.$$
(3)
There are no additional constraints. At this stage we partially fix the gauge in the electromagnetic potential by choosing $`A_0=0,\mathrm{\Pi }_0=0`$. The only remaining constraint $`𝒢`$ is first class and it will be imposed strongly upon the physical states of the system.

From now on we use the notation $`A_1=A`$ for the surviving electromagnetic degree of freedom. Also we have $`\psi =(\psi _+,\psi _{})^{}`$, where $``$ denotes transposition. Applying the standard canonical quantization procedure to the resulting Poisson brackets algebra, we obtain the well known commutator (anticommutator) algebra for the involved fields.

The previous choice of gauge does not completely fix the electromagnetic degrees of freedom, leaving the Lagrangian density (1) still invariant under the gauge transformations

$$\psi \mathrm{e}^{ie\alpha (x)}\psi ,A_\mu A_\mu _\mu \alpha (x),$$
(4)
generated by $`𝒢`$. The constant piece $`\alpha _0`$ of the function $`\alpha (x)`$ is irrelevant in the above transformation, leading to an overall phase in the fermionic field. In the sequel we consider $`\overline{\alpha }(x)=\alpha (x)\alpha _0`$ as the function generating the gauge transformations. As it is well known, there are two families of gauge transformations:(1) those continuously connected to the identity, called small gauge transformations (SGT), characterized by the functions

$$\overline{\alpha }_S(x)=b\left(e^{i2\pi nx/L}1\right),\overline{\alpha }_S(0)=\overline{\alpha }_S(L)=0,$$
(5)
which are periodic in $`x`$. (2) The second family corresponds to the so called large gauge transformations (LGT), which are generated by the non-periodic functions

$$\overline{\alpha }_L(x)=\frac{2\pi n}{eL}x=2n\overline{c}x,n=\pm 1,\pm 2,\mathrm{},\overline{c}=\frac{\pi }{eL},\overline{\alpha }_L(0)=0.$$
(6)
Let us emphasize that in both cases we have

$$\overline{\alpha }(0)=0.$$
(7)
At this stage we define the CSM by demanding that the only true degree of freedom arising from the electromagnetic potential in one dimension, which is the zero mode $`c`$, be restricted to the interval

$$\overline{c}c=\frac{1}{L}_0^LA(z)𝑑z\overline{c}.$$
(8)
The compactification condition (8) implies that two values of $`c`$ differing by $`2\overline{c}N=\frac{2\pi N}{eL}`$ must be identified, corresponding to one point in such configuration space.

Next we show that the basic degrees of freedom in the CSM are in fact fully gauge invariant. Let us consider the following Fourier decomposition for the electromagnetic potential $`A`$, the field strength $`E`$ and the gauge transformation function $`\overline{\alpha }`$

$`A(x,t)`$ $`=`$ $`c(t)+{\displaystyle \underset{m0}{}}A_m(t)\mathrm{e}^{\frac{2\pi im}{L}x},E(x,t)=E_0(t)+{\displaystyle \underset{m0}{}}E_m(t)\mathrm{e}^{\frac{2\pi im}{L}x},`$
$`\overline{\alpha }(x)`$ $`=`$ $`{\displaystyle \underset{m0}{}}\overline{\alpha }_m\mathrm{e}^{\frac{2\pi im}{L}x},\mathrm{where}0=\overline{\alpha }(0)={\displaystyle \underset{m0}{}}\overline{\alpha }_m.`$ (9)
Under a general gauge transformation $`A(x)A(x)\frac{\overline{\alpha }(x)}{x}`$, the corresponding modes change as

$$cc\frac{1}{L}(\overline{\alpha }(L)\overline{\alpha }(0)),A_mA_m\frac{2\pi im}{L}\overline{\alpha }_m,m0.$$
(10)
Clearly, the zero mode $`c`$ is invariant under SGT. As for LGT, $`cc\frac{2\pi n}{eL}`$, but these points must be identified according to the compactification condition (8). In other words, $`c`$ is also invariant under LGT. Summarizing, the zero mode $`c`$ is fully gauge invariant. This is a consequence of our choice of topology for $`c`$ and provides the fundamental difference with the NCSM, leading to all the remaining non-standard features of the CSM.

Next we consider the expansion of the fermionic variables in a background electromagnetic field $`A(x)`$. According to Ref. ?, these can be written as

$$\psi _+(x,t)=\underset{n}{}a_n\varphi _n(x)\mathrm{e}^{iϵ_nt},\psi _{}(x,t)=\underset{n}{}b_n\varphi _n(x)\mathrm{e}^{iϵ_nt},$$
(11)
where $`a_n,b_n`$ are independent fermionic annihilation operators satisfying the standard anticommutators. The states $`\psi _+(\psi _{})`$ describe the positive (negative) chiral (eigenvalues of $`\gamma _5`$) sectors of the model. The functions $`\varphi _n`$ , together with the energy eigenvalues $`ϵ_n`$ are given by

$$\varphi _n(x)=\frac{1}{\sqrt{L}}e^{iϵ_nxie_0^xA(z)𝑑z},ϵ_n=\frac{2\pi }{L}\left(n+\frac{1}{2}\frac{eL}{2\pi }c\right).$$
(12)
Rewriting the fermionic sector of the Hamiltonian density (2) as $`_F=\psi ^{}h_F\psi `$, we observe that the corresponding eigenvalues of $`h_F`$ are $`+ϵ_n`$ and $`ϵ_n`$ for the positive and negative quirality sectors, respectively.

Since $`c`$ is invariant under both LGT and SGT, each energy eigenvalue $`ϵ_n`$ is fully gauge invariant. Furthermore, according to the definition (12), we obtain

$$\varphi _n\mathrm{e}^{ie\overline{\alpha }(x)}\varphi _n,$$
(13)
under gauge transformations. Here we have used the condition $`\overline{\alpha }(0)=0`$, which is valid for both LGT and SGT. As a consequence of the above properties and in order to recover the trasformation law (4) of the fermionic field $`\psi `$, we are led to

$$a_na_n,b_nb_n.$$
(14)
for the gauge transformation of the fermionic operators $`a_n`$ and $`b_n`$.

In other words, consistency among the compactification condition (8), the transformation law (4) and the definition (12) for $`\varphi _n`$ demands that the basic fermionic operators $`a_n`$ and $`b_n`$ are fully gauge invariant in the compact case. Let us emphasize that the above property establishes the main difference between the CSM and the NCSM.

Following the same steps in the NCSM we obtain that the change $`cc\frac{2\pi n}{eL}`$, under LGT and with these points not identified, implies that the individual energy eigenvalues are not gauge invariant, i.e. $`ϵ_nϵ_{n+1}`$. This leads to $`\varphi _n(x)\mathrm{e}^{ie\overline{\alpha }(x)}\varphi _{n+1}`$. Again, in order to satisfy the transformation property (4) of the fermionic field, we must have now that $`a_na_{n+1},b_nb_{n+1}`$, under LGT, which is the well known result in the NCSM.

In this way, it is transparent that the topological behavior of $`c`$, i.e. compact versus non-compact case, implies completely different transformation laws for the operators $`c,a_n`$ and $`b_n`$ under gauge transformations.

Using the Fourier expansions (2) and (11), we rewrite the commutators for the fields in terms of the correspondig modes. In particular, the commutator $`[E(x),\psi _\alpha (y)]=0`$ leads to

$$[E_m,a_n]=\frac{ie}{2\pi m}\left(a_na_{n+m}\right),m0,[E_0,a_n]=0,$$
(15)
with analogous relation for $`[E_m,b_n]`$. The remaining commutators are

$$[A_k,A_l]=0=[E_k,E_l],[A_k,E_l]=\frac{i}{L}\delta _{kl},[A_k,a_n]=0,[A_k,b_m]=0.$$
(16)
Next, we concentrate on the commutator algebra of the Fourier modes. To this end, it is convenient to introduce the following operators

$$j_{++}^{nm}=a_n^{}a_m,j_{}^{nm}=b_n^{}b_m,j_+^{nm}=a_n^{}b_m,j_+^{nm}=b_n^{}a_m.$$
(17)
Another useful combinations of the above fermionic operators are the currents

$`j_\pm (x)=\psi _\pm {}_{}{}^{}(x)\psi _\pm (x)={\displaystyle \frac{1}{L}}{\displaystyle \underset{n=\mathrm{}}{\overset{+\mathrm{}}{}}}\mathrm{e}^{\frac{2\pi in}{L}x}j_\pm {}_{}{}^{n},`$ (18)
where

$$j_+{}_{}{}^{n}=\underset{m=\mathrm{}}{\overset{\mathrm{}}{}}j_{++}^{m,m+n},j_{}{}_{}{}^{n}=\underset{m=\mathrm{}}{\overset{\mathrm{}}{}}j_{}^{m+n,m}.$$
(19)
At this stage we introduce the $`\zeta `$regularized form of the currents defined in Eq.(19),

$$j_+{}_{}{}^{n}|_{\mathrm{reg}}^{}=\mathrm{lim}_{s0}\underset{m=\mathrm{}}{\overset{\mathrm{}}{}}\frac{1}{\lambda _{m,s}}a_m^{}a_{m+n},j_{}{}_{}{}^{n}|_{\mathrm{reg}}^{}=\mathrm{lim}_{s0}\underset{m=\mathrm{}}{\overset{\mathrm{}}{}}\frac{1}{\lambda _{m,s}}b_{m+n}^{}b_m,$$
(20)
where the regulator is given by $`\lambda _{n,s}=|\lambda ϵ_n|^s`$, with $`\lambda `$ been a parameter with dimensions of inverse energy. In the sequel we will drop the subindex $`|_{\mathrm{reg}}`$ from the above currents, but we will always consider their form (20) in calculating any relation involving them. At the end of the calculation we will take the $`s0`$ limit. In other words, we will construct an algebra among regularized objects, which will be further restricted to the action upon the physical Hilbert space of the problem. It can be shown that the regularized current algebra of the operators (20) is given by

$$[j_+{}_{}{}^{n},(j_+{}_{}{}^{m})^{}]=n\delta _{m,n},[j_{}{}_{}{}^{n},(j_{}{}_{}{}^{m})^{}]=n\delta _{m,n},[j_+{}_{}{}^{n},j_{}{}_{}{}^{m}]=0,$$
(21)
together with the hermiticity properties $`(j_\pm {}_{}{}^{m})^{}=j_\pm ^m`$. The above commutation relations are the same as those obtained in the NCSM ?,?.

In order to satisfy the commutation relations (15) and (16) we make the ansatz

$$E_m=\frac{1}{iL}\frac{}{A_m}\frac{e}{2\pi im}\left(j_+{}_{}{}^{m}+(j_{}{}_{}{}^{m})^{}\right),m0,E_0=\frac{1}{iL}\frac{}{c},$$
(22)
which clearly satisfies the third commutation relation in (16). Substituting the expressions (22) in the corresponding commutators of Eq.(15) we obtain

$$\frac{a_n}{A_m}=\frac{eL}{2\pi m}a_n,m0,\frac{a_n}{c}=0.$$
(23)
The above equation leads to the following solution for the fermionic operators with respect to their dependence on the gauge field

$$a_m=\mathrm{exp}\left(\frac{eL}{2\pi }\underset{k0}{}\frac{1}{k}A_k\right)\overline{a}_m,$$
(24)
where $`\overline{a}_m`$ are new fermionic operators which are independent of the gauge field $`A_k`$ and which also satisfy the basic fermionic anticommutation relations. The expression (24) reproduces the fully gauge invariant character of $`a_n`$. In fact, under the gauge transformation (10), the exponential in (24) changes by a factor $`\mathrm{exp}(ie_{k0}\overline{\alpha }_k)`$ which is exactly $`\mathrm{exp}(ie\overline{\alpha }(0))=1`$, according to the fourth relation in (2). Analogous results are obtained for the operators $`b_n`$.

With the ansatz (22), the Gauss law $`𝒢(x)=\frac{1}{L}\mathrm{exp}(\frac{2\pi imx}{L})𝒢_m`$ reduces to

$`𝒢_0`$ $`=`$ $`e\left(j_+{}_{}{}^{0}+(j_{}{}_{}{}^{0})^{}\right)=eQ`$
$`𝒢_m`$ $`=`$ $`2\pi imE_m+e\left(j_+{}_{}{}^{m}+(j_{}{}_{}{}^{m})^{}\right)={\displaystyle \frac{2\pi m}{L}}{\displaystyle \frac{}{A_m}},m0.`$ (25)
Our expression (2) for the Gauss law constraint is somewhat different from the one obtained in Ref. ?.

Sumarizing, we have shown that the compactification condition (8) implies that the basic operators which are used to solve the model: $`c`$, $`a_n`$ and $`b_n`$ are fully gauge invariant. Also, the Gauss constraint implies that the wave function of the system must have zero electric charge, being independent of the electromagnetic modes $`A_m,m0`$.

## 3 Fermionic Fock space

We now construct the fermionic Fock space in a background electromagnetic field. Starting from the vacuum $`|0`$ annihilated by the operators $`a_n`$ (positive quirality sector), $`b_n`$ (negative quirality sector), the Dirac vacuum $`|vac`$ is constructed in such a way that all negative energy levels are filled. Our compactification condition (8) for the electromagnetic variable $`c`$ implies that all levels with $`n1(n0)`$ have negative energies for the positive (negative) quirality sectors, respectively. In this way, the Dirac vacuum is

$$|vac=\underset{n=\mathrm{}}{\overset{1}{}}a_n^{}|0\underset{n=0}{\overset{\mathrm{}}{}}b_n^{}|0.$$
(26)
Using the $`\zeta `$regularized expresions for the operators electric charge $`Q`$, chiral charge $`Q_5`$ and energy $`H_F`$ ?, we obtain the following eigenvalues on the Dirac vacuum state

$`Q|vac`$ $`=`$ $`0,Q_5|vac={\displaystyle \frac{ecL}{\pi }}|vac,`$
$`H_F|vac`$ $`=`$ $`{\displaystyle \frac{2\pi }{L}}\left\{\left({\displaystyle \frac{ecL}{2\pi }}\right)^2{\displaystyle \frac{1}{12}}\right\}|vac\epsilon _0|vac,`$ (27)
At this level it is already convenient to introduce the modified chiral charge

$$\overline{Q}_5=lim_{s0}\underset{n=\mathrm{}}{\overset{+\mathrm{}}{}}\frac{1}{|\lambda ϵ_n|^s}\left(a_n^{}a_nb_n^{}b_n\right)+\frac{ecL}{\pi },$$
(28)
which is fully gauge invariant in the CSM. This is not the case in NCSM, where $`\overline{Q}_5\overline{Q}_5+2n`$ under LGT. The eigenvalues of $`\overline{Q}_5`$ are even numbers in the fermionic Hilbert space. In the sequel we will refer to $`\overline{Q}_5`$ as the modified chiral charge of the system. Also, a given eigenvalue $`2M`$ of $`\overline{Q}_5`$ will be referred to as the $`M`$-chiral sector of the theory. In this way, the second equation (27) reads $`\overline{Q}_5|vac=0`$, which assigns zero modified chiral charge to the Dirac vacuum. Without writting the explicit label of zero electric charge, which will be undestood for all physical states in the sequel, we denote

$$|vac=|\epsilon _0,0.$$
(29)
It can be shown that the current operators $`j_+^n`$ and $`j_{}^n`$ do not change either the electric or the chiral charge. Also, the action of any linear combination of the operators $`j_+^{pq}(j_+^{pq})`$, which leaves invariant the electric charge, will change the chiral charge by $`+\mathrm{\hspace{0.17em}2}(\mathrm{\hspace{0.17em}2})`$ units.

Next, using the operators (17) we can construct additional states with minimum energy, but different chirality. The are

$$|\epsilon _N,2N=\underset{n=\mathrm{}}{\overset{N1}{}}a_n^{}|0\underset{m=N}{\overset{\mathrm{}}{}}b_m^{}|0,\epsilon _N(c)=\frac{2\pi }{L}\left\{\left(N\frac{ecL}{2\pi }\right)^2\frac{1}{12}\right\}.$$
(30)
All the states in (30) have zero electric charge. They satisfy the recursions

$`j_+^{NN}|\epsilon _N,\mathrm{\hspace{0.17em}2}N=|\epsilon _{N+1},\mathrm{\hspace{0.17em}2}(N+1),j_+^{N1N1}|\epsilon _N,\mathrm{\hspace{0.17em}2}N=|\epsilon _{N1},\mathrm{\hspace{0.17em}2}(N1).`$ (31)
Summarizing, from the Dirac vacuum we have so far constructed states with minimum energy for each possible chirality. Each one of these states can be considered as a local vacuum in the corresponding quirality sector.

The properties

$$j_\pm {}_{}{}^{n}|\epsilon _N,2N=0,n1,[H_F,(j_\pm ^n)^{}]=\frac{2\pi n}{L}(j_\pm ^n)^{}.$$
(32)
allow us to construct the complete fermionic Fock space in the background electromagnetic field. It will consist of all the local vacuums (30), together with all possible states constructed from them by the application of an arbitrary number of the current operators $`(j_\pm {}_{}{}^{n})^{},n=1,2,\mathrm{}`$ defined in Eq. (20). The spectrum of this fermionic Fock space is

$$\{\epsilon _N+\frac{2\pi }{L}M,M=1,2,\mathrm{},,N=0,\pm 1,\pm 2,\mathrm{}\}.$$
(33)
In this way, the fermionic Hamiltonian in the external field can be rewritten in the Sugawara form ?

$$H_F=\epsilon _N(c)+\frac{2\pi }{L}\underset{n>0}{}\left((j_+^n)^{}j_+^n+(j_{}^n)^{}j_{}^n\right).$$
(34)
## 4 Complete solution and comments

The next step is to write the complete Hamiltonian $`H=H_{EM}+H_F`$ in terms the currents operators, together with the electromagnetic degrees of freedom, which are the zero mode of the electric field $`/c`$, and the zero mode of the gauge potential $`c`$. The result is

$$H=H_{EM}+H_F=H_0+\underset{n>0}{}H_n\frac{2\pi }{12L},$$
(35)
where

$`H_0`$ $`=`$ $`{\displaystyle \frac{\pi }{2L}}\left(Q^2+\left(\overline{Q}_5{\displaystyle \frac{ecL}{\pi }}\right)^2\right){\displaystyle \frac{1}{2L}}\left({\displaystyle \frac{}{c}}\right)^2,`$
$`H_n`$ $`=`$ $`{\displaystyle \frac{2\pi }{L}}((j_+^n)^{}j_+^n+(j_{}^n)^{}j_{}^n)+{\displaystyle \frac{e^2L}{4\pi ^2n^2}}((j_+^n)^{}+j_{}^n)(j_+^n+(j_{}^n)^{}).`$ (36)
Following Refs. ?,?, we have explicitly used the Gauss law constraint (2) to express the electric field modes $`E_m`$ in terms of the fermionic currents.

In order to diagonalize the expression (4) for the Hamiltonian, we use the Bogoliubov transformations $`\stackrel{~}{j}_+^n=U_n^{}(j_+^n)U_n`$, given in ?,?, for the currents operators. The Bogoliubov transformation affects only the modes $`n1`$ of the system and, in particular, the currents $`j_\pm ^0`$, or equivalently $`Q`$ and $`\overline{Q}_5`$, remain unchanged. In this way, the fully rotated Hamiltonian $`H_B=U^{}H(j_+^n,j_{}^n)U=H(\stackrel{~}{j}_+^n,\stackrel{~}{j}_{}^n),`$ is

$`H_B={\displaystyle \frac{\pi }{2L}}\left(Q^2+\left(\overline{Q}_5{\displaystyle \frac{ecL}{\pi }}\right)^2\right){\displaystyle \frac{1}{2L}}\left({\displaystyle \frac{}{c}}\right)^2+{\displaystyle \underset{n>0}{}}{\displaystyle \frac{_n}{n}}\left((j_+^n)^{}j_+^n+(j_{}^n)^{}j_{}^n\right),`$ (37)
up to an infinite constant.

The general structure of the states in the full Hilbert space of the model will be of the type

$$|\text{state}=F(c)\times |\text{fermionic}.$$
(38)
The whole wave function will have zero electric charge and definite chiral charge, which really implies a condition only upon de fermionic piece. The strategy to construct the Hilbert space will be to start from the zero modes $`F_N(c)\times |\epsilon _N,2N`$ and to subsequently apply all possible combinations of the raising operators $`(j_\pm {}_{}{}^{m})^{}`$.

First we consider the zero modes. They correspond to the case of zero fermionic excitations above the corresponding Dirac vacuum and can be written as

$$|N_B=F_N(c)\times |_N,2N.$$
(39)
The subscript $`B`$ in any ket is to remind us that such vector is written in the Bogoliubov rotated frame, where the Hamiltonian has the form (37). Its action upon the above wave functions reduces to the following Schroedinger equation for the zero mode wave functions $`F_N(c)`$

$$\left(\frac{1}{2L}\left(\frac{}{c}\right)^2+\frac{e^2L}{2\pi }\left(\frac{2\pi N}{eL}c\right)^2\right)F_N(c)=_{N,0}F_N(c),$$
(40)
which corresponds to a piecewise harmonic oscillator. Each sector, labeled by $`N`$, is defined in the interval $`\overline{c}c\overline{c}`$.

For arbitrary functions $`F(c)`$ and $`G(c)`$, we define the inner product in the standard way as

$$F|G=_{\overline{c}}^{\overline{c}}𝑑cF^{}(c)G(c).$$
(41)
Next we demand the hermiticity of the zero mode electric field operator $`E_0=\frac{1}{iL}\frac{}{c}`$, together with the Hamiltonian (40). The above requirements lead to the boundary conditions

$$F_N|_{c=\overline{c}}=F_N|_{c=+\overline{c}},\frac{F_N}{c}|_{c=\overline{c}}=\frac{F_N}{c}|_{c=+\overline{c}},$$
(42)
for the wave function $`F_N`$ and their derivatives.

A fundamental difference between the CSM and the NCSM arises in the energy spectrum $`\{_{\alpha ,N,0}\}`$ of zero mode sector. Here $`\alpha =0,1,2,\mathrm{}`$ labels the eigenvalues of the zero mode $`0`$ in the $`N`$-chiral sector of the model. The solution corresponding to $`N=0`$ has been already discussed in Ref.?, together with the corresponding wave functions. Here we extend the calculation for arbitrary $`N0`$. The general solution of the above Schroedinger equation can be expressed in terms of cylindrical parabolic functions ?. The energy eigenvalues are parametrized as $`_{\alpha ,N,0}=\frac{e}{\sqrt{\pi }}a_{\alpha ,N}`$ , where $`a_{\alpha ,N}`$ is determined by a complicated trascendental equation arising from the boundary conditions ?. As in the $`N=0`$ case ?, this function can only be determined numerically for arbitrary $`l=\frac{eL}{\pi ^{3/2}}`$. In Figs.1 and 2 we show the results for $`a_{\alpha ,N}`$ versus $`l`$, for the choices $`\alpha =0,1,2`$ and $`N=0,1,2,3`$.

Among the zero modes, we now focus on the local minimum ($`\alpha =0`$) energy states: $`|0,N,\mathrm{\hspace{0.17em}0}_B`$, for each chiral sector $`N`$ of the theory. They have energies $`_{0,N,\mathrm{\hspace{0.17em}0}}`$. An important consequence of the compactification prescription is that these states are not fully degenerated as they are in the NCSM. Most importantly, from the numerical calculation we find that the absolute minimum value of $`_{0,N,\mathrm{\hspace{0.17em}0}}`$ correspond to $`N=0`$. Thus, in the compact case the physical, non-degenerated, vacuum of the theory is $`|0,\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}0}_B`$. This means that we do not need to introduce the $`\theta `$-vacua in the CSM.

The excited states are obtained by applying the creation operators $`(j_\pm {}_{}{}^{m})^{}`$ to the zero modes constructed previously. Each individual action raises the energy by $`_m`$, as can be seen from Eq.(37). The excited states will be labeled by

$$|\alpha ,N,N_1,\mathrm{},N_k,\mathrm{}_B,$$
(43)
where $`N_k`$ is the the total number of times that the operators $`(j_\pm {}_{}{}^{k})^{}`$ have been applied to the corresponding minimun energy state. The total energy of the state (43) is given by

$$_{\alpha ,N,N_1,N_2,\mathrm{}N_k,\mathrm{}}=_{\alpha ,N,\mathrm{\hspace{0.17em}0}}+\underset{k>0}{}N_k_k.$$
(44)
The fact that the chiral charge $`\overline{Q}_5=j_+{}_{}{}^{0}j_{}{}_{}{}^{0}+ecL/\pi `$ is conserved in the full Hilbert space of the model deserves a separate discussion. We make the calculation of the commutator $`[\overline{Q}_5,H_B]`$ in the Bogoliubov rotated frame, where $`\overline{Q}_5`$ preserves the above expression and $`H_B`$ is given by (37) . It is a direct matter to verify that $`\overline{Q}_5`$ commutes with all the terms in the full Hamiltonian (37), with the exception of the derivative term. We analyze this piece in the sequel. Let us begin with

$$C_+{}_{}{}^{n}=[\frac{}{c},j_+{}_{}{}^{n}]=\mathrm{lim}_{s0}\underset{m=\mathrm{}}{\overset{\mathrm{}}{}}\frac{}{c}\left(\frac{1}{|ϵ_n|^s}\right)a_m^{}a_{m+n}$$
(45)
First, let us consider the action of $`C_+{}_{}{}^{n},n0`$ upon an arbitrary vector

$$|\{m_i\}=\underset{i}{}a_{m_i}{}_{}{}^{}|0$$
(46)
in the positive-chirality fermionic Fock subspace. In general, the subindex $`m_i`$ will take values over an infinite subset of integer numbers. The only non-zero result of the action of the $`i^{th}`$-term of (45) upon the above vector, is to replace the $`m_i+n`$ fermion by the $`m_i`$ fermion, thus leading to a sum of linearly independent states. In this way, the $`s0`$ limit must be taken separately in each term of the series and no infinite summation occurs. Since

$$\frac{}{c}\left(\frac{1}{|ϵ_n|^s}\right)\frac{s}{|ϵ_n|^{s+1}},$$
(47)
this limit is zero and the operators commute.

Now, let us consider the $`n=0`$ case together with the action of $`C_+^0`$ upon the local ground state $`F_N(c)\times |\epsilon _N,2N`$ of each chirality sector. We obtain

$`C_+{}_{}{}^{0}|N_B`$ $`=`$ $`\mathrm{lim}_{s0}{\displaystyle \underset{m=\mathrm{}}{\overset{N1}{}}}{\displaystyle \frac{}{c}}\left({\displaystyle \frac{1}{|ϵ_n|^s}}\right)|N_B`$
$`=`$ $`{\displaystyle \frac{eL}{2\pi }}\mathrm{lim}_{s0}s\zeta (s+1,{\displaystyle \frac{1}{2}}+{\displaystyle \frac{ecL}{2\pi }}N)|N_B={\displaystyle \frac{eL}{2\pi }}|N_B,`$
where $`\zeta (s,q)`$ is the standard Riemann zeta-function. We have used the property $`\mathrm{lim}_{s0}s\zeta (s+1,q)=1`$ ?. In analogous manner we obtain

$`C_{}{}_{}{}^{0}|N_B={\displaystyle \frac{eL}{2\pi }}|N_B.`$ (49)
The above results lead to

$$[\frac{}{c},\overline{Q}_5]|N_B=\left(C_+{}_{}{}^{0}C_{}{}_{}{}^{0}+\frac{eL}{\pi }\right)|N_B=0.$$
(50)
Besides, any excited state is constructed by applying the raising operators $`(j_\pm {}_{}{}^{n})^{},n1`$ to $`|N_B`$. These operators commute with $`\overline{Q}_5`$ and $`\frac{}{c}`$ in such way that the commutator $`[\frac{}{c},\overline{Q}_5]`$ is zero in the full Hilbert space of the problem. This completes our proof that the fully gauge invariant charge $`\overline{Q}_5`$ commutes with the total Hamiltonian (37).

Nevertheless, the axial-current anomaly is still present in the CSM, as we now discuss. The charge $`Q_5`$ arises from the current $`J_{5\mu }(x)=\overline{\psi }(x)\gamma _\mu \gamma _5\psi (x)`$ which possesses the anomaly

$$^\mu J_{5\mu }=\frac{e}{\pi }E(x),$$
(51)
that can be directly calculated using the mode descomposition of $`J_{5\mu }`$, together with the unrotated Hamiltonian (35) and the Gauss law (22). On the other hand, one can introduce the conserved local current

$$\overline{J}_{5\mu }(x)=J_{5\mu }(x)\frac{e}{\pi }ϵ_{\mu \nu }A^\nu ,ϵ_{01}=+1.$$
(52)
leading to the charge $`\overline{Q}_5`$. Nevertheless, the current (52) is not gauge invariant, so that it cannot be restricted to the physical Hilbert space of the problem.

Sumarizing this point, the axial current anomaly (51) is also present in the CSM, and it cannot be removed, in spite that it is possible to define the conserved and gauge invariant modified chiral charge $`\overline{Q}_5`$.

Finally we comment that our boundary conditions (42) are an unavoidable consequence of the compactification of the electromagnetic degree of freedom $`c`$. These should be contrasted with those apropriate for the NCSM ( Eqs. (3.15) of Ref. ?, or Eq. (48) of Ref. ?). The latter are correctly designed to recover the non-compact case, i.e. to go from the compact gauge group $`U(1)`$ to the corresponding universal covering. Also, for a given $`L0`$, the boundary conditions for the CSM and those for the NCSM can not be continuously connected between each other. This emphasizes the fact that the compactification condition (8) has produced a new version of the Schwinger model which is different from the standard one.

Acknowledgments

Partial support from the grants CONACyT 32431-E and DGAPA-UNAM-IN100397 is acknowledged.

References