# 1 Introduction

## 1 Introduction

This field is now in an explosive phase of growth, driven mainly by a wealth of observations at ever higher redshifts. We probably know as much today about galaxies at $`z=3`$ as we did five years ago about galaxies at $`z=0.3`$. This new knowledge is the product of many clever people and some powerful telescopes and instruments: HST, Keck, COBE, ISO, and SCUBA among them. With these observations and some theoretical background, we have begun to write an outline of the story of galaxy formation, the subject of this conference. If we continue to make progress at anything like the present rate, we will know, within a decade or two, the full story of galaxy formation. At that time, I predict, we will look back to this one and recall with nostalgia how exciting it was to help write that story.

We have heard at this meeting (and can now read in this book) a large number of excellent presentations, all with new data and/or ideas. While this has certainly made the conference stimulating, it has not made the job of summarizing it easy! In fact, so many new results were presented that it would be impossible for me to review more than a small fraction of them. Instead, it is probably more valuable and tractable to highlight a couple of the major themes that pervade much of the recent work in this field and at this meeting. These are the global evolution of galaxies and the origin of the Hubble sequence; the first ignores the individuality of galaxies, while the second attempts to understand it.

## 2 Global Evolution of Galaxies

One of the grand themes to emerge in the last few years is the idea that we may be able to trace the global histories of star formation, gas consumption, and metal production in galaxies from high redshifts to the present. By “global,” we mean averages over the whole population of galaxies or, equivalently, over large, representative volumes of the universe. This idea is illustrated in Figure 1, where we sketch the evolution of the contents of a large, comoving box. We can conveniently quantify the masses of the different constituents of the box by the corresponding mean comoving densities normalized to the critical density. We are especially interested in the comoving densities of stars, gas (both inside and outside galaxies, i.e., ISM and IGM), metals, dust, and black holes: $`\mathrm{\Omega }__\mathrm{S}`$, $`\mathrm{\Omega }_{\mathrm{ISM}}`$, $`\mathrm{\Omega }_{\mathrm{IGM}}`$, $`\mathrm{\Omega }_\mathrm{M}`$, $`\mathrm{\Omega }_\mathrm{D}`$, and $`\mathrm{\Omega }_{\mathrm{BH}}`$, respectively. We are also interested in the cosmic emissivity $`E_\nu `$, the power radiated per unit comoving volume per unit rest-frame frequency $`\nu `$, and the background intensity $`J_\nu `$, the power received per unit solid angle of sky per unit area of detector per unit observed frequency $`\nu `$.

After recombination, our comoving box is filled with neutral, metal-free gas with nearly uniform density. Perturbations in this intergalactic medium (IGM) eventually condense, probably by gravitational clumping and inflow, into protogalaxies. Stars then form in the resulting interstellar medium (ISM). They produce metals and may drive outflows of gas from galaxies. In this way, both the ISM and IGM may be enriched with metals. Some of the metals remain in the gas phase; others condense into solid dust grains. Black holes form in the nuclei of some, perhaps even all, galaxies and, when fueled, can power active galactic nuclei (AGN). Some of the radiation emitted by stars and AGN propagates freely, while the rest is absorbed and then emitted at longer wavelengths by dust. Thus, the radiation we detect from galaxies tells us primarily about their star, AGN, and dust contents. The spectra of high-redshift quasars contain signatures of the absorption and scattering of radiation by the intervening ISM and IGM (absorption lines, reddening, etc). Such observations tell us primarily about the composition and comoving densities of the ISM and IGM.

Exactly how all this happens is not yet known, of course. This is a major long-term goal, the holy grail, of our subject. It should be clear from Figure 1 and the commentary above, however, that the constituents of our comoving box, including the radiation that propagates through it, are very much interrelated. In fact, the corresponding comoving densities must obey a series of coupled conservation equations. This is illustrated in Figure 2, which shows the hypothetical but plausible evolution of several of these comoving densities. Clearly, $`\mathrm{\Omega }_\mathrm{S}`$, $`\mathrm{\Omega }_{\mathrm{ISM}}`$, and $`\mathrm{\Omega }_{\mathrm{IGM}}`$ must add up to $`\mathrm{\Omega }_{\mathrm{baryon}}`$, a constant. Similarly, $`\mathrm{\Omega }_\mathrm{M}^\mathrm{S}`$, $`\mathrm{\Omega }_\mathrm{M}^{\mathrm{ISM}}`$, and $`\mathrm{\Omega }_\mathrm{M}^{\mathrm{IGM}}`$, the comoving densities of metals in stars, the ISM and the IGM, must add up to $`\mathrm{\Omega }_\mathrm{M}`$. Moreover, $`\mathrm{\Omega }_\mathrm{M}`$ remains a fixed fraction of $`\mathrm{\Omega }_\mathrm{S}`$ on the assumption that the global yield is constant and that delayed recycling is negligible (a good approximation in the present context). The bolometric emissivity, $`E_{\mathrm{bol}}=E_\nu 𝑑\nu `$, is the sum of two terms, one nearly proportional to the star formation rate $`\dot{\mathrm{\Omega }}_\mathrm{S}`$ and one proportional to the black hole fueling rate $`\dot{\mathrm{\Omega }}_{\mathrm{BH}}`$. The spectral shape of $`E_\nu `$ depends on $`\dot{\mathrm{\Omega }}_\mathrm{S}`$, $`\dot{\mathrm{\Omega }}_{\mathrm{BH}}`$, and the amount of reprocessing by dust and hence on $`\mathrm{\Omega }_\mathrm{D}`$. Finally, the background and emissivity are related by $`J_\nu =(c/4\pi )E_{(1+z)\nu }𝑑t`$.

In the past few years, we have made great progress in sketching out a global picture of galactic evolution. In fact, we now have empirical estimates of several of the quantities mentioned above at redshifts from $`z=0`$ up to $`z4`$ and hence over most of cosmic time. One of the great advantages of the global approach is that the quantities of interest are so interrelated that, in principle, any one of them could be predicted from the others. For example, one could infer the global history of star formation from its consequences on the ISM and IGM, and hence on the spectra of background quasars, without observing a single photon emitted by a star! In practice, of course, there are uncertainties. Some of these stem from the difficulty of making measurements at particular wavelengths and redshifts. For example, it is harder to determine the redshifts of galaxies at $`1\text{ }<z\text{ }<\mathrm{\hspace{0.17em}\hspace{0.17em}2}`$ than at $`z\text{ }<\mathrm{\hspace{0.17em}\hspace{0.17em}1}`$ and $`z\text{ }>\mathrm{\hspace{0.17em}\hspace{0.17em}2}`$. Another source of uncertainty is that various differential quantities must be extrapolated outside the ranges over which they have been observed in order to estimate integral quantities. The emissivity and background, for example, are computed from the luminosity function and number vs flux density relation through $`E_\nu =L_\nu \varphi (L_\nu )𝑑L_\nu `$ and $`J_\nu =S_\nu (dN/dS_\nu )𝑑S_\nu `$. As Figure 3 indicates, extrapolating $`\varphi (L_\nu )`$ to $`L_\nu 0`$ and $`dN/dS_\nu `$ to $`S_\nu 0`$ may introduce uncertainties in $`E_\nu `$ and $`J_\nu `$.

How well are we doing with this program? Most authors seem to agree that the global star formation rate $`\dot{\mathrm{\Omega }}_\mathrm{S}`$ declines by a large factor ($`10`$) from $`z1`$ to $`z=0`$, although there are still some uncertainties (i.e., factors of 5–20 are possible). It appears that $`\dot{\mathrm{\Omega }}_\mathrm{S}`$ may level off at $`1\text{ }<z\text{ }<\mathrm{\hspace{0.17em}\hspace{0.17em}2}`$, but its behavior at higher redshifts has been a topic of much recent debate. Within the large uncertainties, it could rise, fall, or remain constant. Part of the uncertainty comes from the unknown corrections for dust when converting observed UV emissivities into star formation rates. Some authors have ignored these corrections altogether, while others have advocated corrections by an order of magnitude or more. In this context, it is worth noting that the average correction factor (over all redshifts) can be estimated by comparing the energy densities in the background at wavelengths above and below 10 $`\mu `$m:

$$CF1+\left(_{\lambda >10\mu \mathrm{m}}J_\nu 𝑑\nu /_{\lambda <10\mu \mathrm{m}}J_\nu 𝑑\nu \right).$$

Figure 4 shows recent estimates of, and limits on, $`J_\nu `$ over a wide range of wavelengths. From this, we infer a modest correction factor, $`CF`$ 2–3 (i.e., neither negligible nor dominant).

Damped Ly$`\alpha `$ absorbers (DLAs) are usually taken to represent the ISM of galaxies. The reasons for this are that they contain most of the neutral gas in the universe and have column densities near or above the threshold for star formation ($`N_\mathrm{H}\text{ }>\mathrm{\hspace{0.17em}\hspace{0.17em}10}^{20}`$ cm<sup>-2</sup>). The comoving density of gas in the DLAs declines by a factor of about 10 between $`z=`$ 2–3 and $`z=0`$, the redshifts at which it is known most reliably. Moreover, $`\mathrm{\Omega }_{\mathrm{ISM}}`$ at $`z=`$ 2–3 is nearly equal to $`\mathrm{\Omega }_\mathrm{S}`$ at $`z=0`$, highly suggestive of the conversion of ISM into stars. The value of $`\mathrm{\Omega }_{\mathrm{ISM}}`$ at $`z1`$ is less certain because relatively few DLAs are known at these redshifts. The global mean ISM metallicity, $`Z_{\mathrm{ISM}}\mathrm{\Omega }_\mathrm{M}^{\mathrm{ISM}}/\mathrm{\Omega }_{\mathrm{ISM}}`$, rises substantially, from $`Z_{\mathrm{ISM}}0.1Z_{}`$ at $`z=`$ 2–3 to $`Z_{\mathrm{ISM}}Z_{}`$ at $`z=0`$, again suggestive of a great deal of star formation in this period. However, the observed value of $`Z_{\mathrm{ISM}}`$ at $`z1`$ is surprisingly low. This may be the result of a selection effect in which metal-rich regions of the ISM are also dust-rich and hence obscure any quasars behind them. Finally, we note recent estimates of the global mean IGM metallicity: $`Z_{\mathrm{IGM}}\mathrm{\Omega }_\mathrm{M}^{\mathrm{IGM}}/\mathrm{\Omega }_{\mathrm{IGM}}10^3Z_{}`$ at $`z3`$. This and the observations of DLAs indicate that the comoving density of metals in the IGM is less than that in the ISM at this redshift. We know very little about the metallicity of the IGM at $`z\text{ }<\mathrm{\hspace{0.17em}\hspace{0.17em}1}`$, a situation we hope will improve soon.

Another recent development is the realization that AGN may make a significant contribution to the global radiation budget. This can be understood as follows. The present comoving density of black holes can be estimated from dynamical studies of the nuclei of nearby galaxies. Given an efficiency of conversion between black hole mass and radiant energy and a typical redshift of conversion, one can estimate the contribution of AGN to the bolometric background intensity. For $`ϵ10`$% and $`z2`$, both plausible values, the result is $`J_{\mathrm{AGN},\mathrm{bol}}0.2J_{\mathrm{bol}}`$. Within the uncertainties in the various input quantities (including $`\mathrm{\Omega }_{\mathrm{BH}}`$ at $`z=0`$), $`J_{\mathrm{AGN},\mathrm{bol}}`$ could be several times larger or smaller, i.e., nearly dominant or nearly negligible. For comparison, AGN make only a minor contribution to $`J_\nu `$ at visible wavelengths. Thus, if they are a major contributor to $`J_{\mathrm{bol}}`$, most of the radiation must be reprocessed by dust. Visible and radio observations of the sub-mm sources detected with SCUBA may help to resolve this issue. In any case, it serves as a useful reminder that the observed background is strictly an upper limit on the mean intensity of stellar radiation.

## 3 Origin of the Hubble Sequence

The other major theme on which we have seen many new results is the origin and evolution of the Hubble sequence of galactic morphologies. Much of this progress comes from deep imaging with HST at visible and, very recently, near-infrared wavelengths. From these and other observations, the following picture emerges. Large elliptical galaxies in clusters appear relatively old at $`z1`$, indicating formation at $`z\text{ }>`$ 2–3. In the field, however, a small but significant fraction of elliptical galaxies and the spheroids of disk galaxies ($`20`$%) either formed late or experienced recent episodes of star formation (at $`z\text{ }<\mathrm{\hspace{0.17em}\hspace{0.17em}1}`$). Large galactic disks appear to have changed relatively little—in luminosity, size, or rotation velocity—from $`z1`$ to $`z=0`$. The decline in the cosmic UV emissivity between $`z1`$ and $`z=0`$ is caused mainly by rapid evolution in the number density and/or luminosities of small galaxies \[e.g., blue compact galaxies (BCGs)\]. The last result needs confirmation, however, because it depends on the faint end of the luminosity function, which is notoriously difficult to determine.

The situation at higher redshifts is potentially even more interesting: galaxies at $`z\text{ }>\mathrm{\hspace{0.17em}\hspace{0.17em}2}`$ appear smaller and more disturbed than their present-day descendants. We observe some normal-looking elliptical galaxies but remarkably few (if any) normal-looking disk galaxies. Taken at face value, these observations suggest that most ellipticals and spheroids formed at $`z\text{ }>`$ 2–3, that most disks (large ones, at least) formed later, at $`1\text{ }<z\text{ }<\mathrm{\hspace{0.17em}\hspace{0.17em}2}`$, that the subsequent evolution of large galaxies was mainly passive (ellipticals and spheroids) or quiescent (disks), while the activity of dwarf galaxies declined at $`z\text{ }<\mathrm{\hspace{0.17em}\hspace{0.17em}1}`$. If this picture is correct, the Hubble sequence, in the form familiar to us, largely came into being during the period $`1\text{ }<z\text{ }<\mathrm{\hspace{0.17em}\hspace{0.17em}2}`$. It is highly significant, in this regard, that the sizes and morphologies of galaxies at high redshifts appear much the same at visible and NIR wavelengths (i.e., rest-frame UV and visible wavelengths). There is, however, a selection effect to worry about. As a result of the usual cosmological dimming, it becomes increasingly difficult to observe low surface brightness features, such as the outer parts of quiescent disks, at higher redshifts. We need to understand this effect better before we can be confident we have witnessed the origin of the Hubble sequence.

Tentative though these results may be, they do invite some harmless speculation. First, the observations are at least qualitatively consistent with the idea that galaxies formed in a hierarchical sequence, starting with small objects and progressing to larger ones by merging and inflow. Second, the observations contain a vital clue as to why galactic disks appeared relatively late. At high redshifts, galaxies were close together and interacted frequently, leading in some cases to mergers and the formation of elliptical galaxies and spheroids (“hot” stellar systems). These disturbances, clearly visible in the HST images, would destroy or prevent the formation of thin disks (“cold” stellar systems). At lower redshifts, however, galaxies were farther apart and interacted rarely, permitting the formation and survival of disks. In this situation, the gas in galactic halos can cool, contract, spin up, and settle into thin, rotationally supported disks, where it can then be converted into stars. Clearly, much remains to be done to confirm or refute this picture. But we can look forward to a bright future, informed by even better observations with HST, with the large ground-based telescopes, and ultimately, with NGST.

## 4 Appreciation

This has been a wonderful conference: excellent food, excellent skiing, excellent conversation, and especially, excellent science. The success of the meeting derives from the efforts of many people, including all the speakers and participants. We are especially grateful to the scientific organizing committee—Véronique Cayatte, Bruno Guiderdoni, François Hammer, Trinh Xuan Thuan—and the organizer of organizers—Trân Thanh Vân—for the vision that created this and other Moriond meetings. Last but not least, we thank Sabine Kimmel, who helped turn this vision into reality.