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Abstract
The direct collapse of baryonic gas halos is proposed as a viable mechanism for the formation
of supermassive black hole seeds in the early universe. Recent simulations and analyses suggest
that direct collapse is viable under sufficient Lyman-Werner flux in metal-free halos, or via
ample shock heating in cold accretion flows. Research indicates soft x-rays can inhibit direct
collapse, and that the process is not viable at redshifts less than 13. Despite this, the number
density of direct collapse black holes is expected to be sufficient for observation, with radiative
data detectable by astronomical surveys in the near-future.
Keywords: gas halos, fragmentation, black hole seeds, hydrogen suppression, atomic cooling,
high redshift
Introduction
The existence of supermassive black holes (SMBHs), black holes with masses on the order of
104 to 106 solar masses, is strongly supported by recent astronomical observations, with recent
research focussing on characterising the mass, dynamics, and evolution of SMBH systems
(Gültekin et al. 2012). Prior to the growth of these systems by consumption of matter, known
as accretion, a relatively small black hole – a ‘seed’ – must be formed by the collapse of a large
amount of matter, such as a late-stage star or dust cloud (Kegeles 1978). However, recent
observations have found evidence of SMBHs at high redshifts – where high redshift indicates
radiation from a younger epoch of the universe – such as that observed by Mortlock et al.
(2011) at a redshift of 7.085. Hence, it is evident that SMBH formation must have been able to
occur within the first ~1 Gyr of the big bang, prompting the question of the mechanism behind
such a rapid formation.
As stellar collapse or gas-cloud collapse do not occur sufficiently rapidly to permit the
existence of SMBHs of such a large mass so early in the universe, alternative formation models
must be investigated. A favourable formation process is the direct collapse model, which can
rapidly create a black hole of sufficient mass to act as a seed for these SMBHs. This review
seeks to assess current research into the direct collapse process – firstly, the mechanisms that
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underpin the process will be discussed, followed by the constraints of the process, and finally
the predicted number density and observational signatures of direct collapse black holes.
Despite the existence of background LW radiation, even the lowest estimates of the required
flux are significantly above this background level (Djikstra et al. 2014) - indicating that a local
source of LW flux is required, likely in the form of a proximal star-forming galaxy. However,
the presence of a nearby bright star-forming galaxy may result in the photoevaporation of the
halo, in which the gas is ionised and dispersed, preventing direct collapse - an alternative
process, proposed in the work of Visbal et al (2014), requires two atomically-cooling halos in
very close proximity. The larger of these synchronised halos evolves into a star-forming
galaxy, producing sufficient LW flux to suppress H2 formation in the second halo – allowing
for isothermal collapse in the irradiated halo. This mechanism, however, requires that the two
halos be atomically-cooling, with a low H2 abundance. Recent simulations suggest that a
velocity offset between baryonic and dark matter is able to suppress H2 formation in order to
allow both halos to atomically cool (Schauer et al. 2017), permitting the synchronised halo
model without an initial external source of LW flux.
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(Inayoshi and Omukai 2012). As these cold, dense flows reach the core and collide with one
another, they produce a relatively hot and dense gas which then cools by atomic Lyman-α
emission until reaching ~8000K. If the atomic density at this point is greater than 104 cm-3, the
simulations of Inayoshi and Omukai (2012) predict significant collisional disassociation of H2
molecules, which permit atomic cooling and an isothermal collapse process without significant
fragmentation. This mechanism absolves itself of the large LW flux requirement of proximal-
galaxy models (Djikstra et al. 2014), and the associated constraints on this provision, which
are to be discussed in the following section.
In addition to the above constraints, there also exists a restriction on the epoch in which direct
collapse black hole formation was viable – limited primarily by negative feedback systems
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(Yue et al. 2014). The work by Yue et al. suggests that the probability of direct collapse black
hole formation is not constant in time, and that seed formation would be exceedingly rare in
later epochs. A simple mode of probability decay is the process of cosmic expansion, which
would reduce the likelihood of a metal-free gas halo existing in a LW flux strong enough to
suppress H2 formation, or for two pristine halos to come into close contact as suggested in the
model of Visbal et al (2014). The second mechanism, which brings a rapid rise and sudden halt
to the era of direct collapse, is the feedback contributions of previous black hole formation.
After the formation of the first direct collapse black holes, the large LW flux they produce
permits further direct collapse scenarios, leading to an era of rapid direct collapse black hole
growth at redshifts of ~20. However, the photoevaporation of halo gas by ionising radiation
from these black holes quickly disperses the remaining viable metal-free gas halos at a redshift
of 13, making later direct collapse scenarios unviable - this may provide an indication as to
why direct collapse black holes are not observed at smaller redshifts.
Several observational signatures have been predicted to originate from direct collapse black
holes, one such signature is the result of pumping of atomic hydrogen by Lyman-α photons, in
which the electrons are raised to a higher energy state, resulting in population inversion and
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stimulated emission of microwave radiation (Djikstra et al. 2016a). The resultant emission is
predicted to possess a distinct hyperfine splitting profile that would provide direct evidence of
direct collapse black holes, and would potentially be detectable in planned ultra-deep surveys.
Alternatively, these black holes are also predicted to display a high luminosity in the Lyman-
α range and unique spectral lines, which may make them distinct from black holes formed by
other processes (Djikstra et al. 2016b). This luminosity would only be observed during certain
periods of the formation, however, and thus would need to be studied by high-sensitivity arrays
such as the upcoming James Webb Space Telescope (JWST). The JWST will also contribute
to photometric surveys such as that undertaken by Pacucci et al. (2016), which has already
isolated two likely candidates as possible black holes formed by direct collapse.
Conclusion
The existence of supermassive black holes at redshifts greater than 6 requires the consideration
of the direct collapse of gas halos as a formation mechanism for supermassive black hole seeds.
Simulations have shown that direct collapse is a viable model for the existence of many of
these seeds, although further research is needed to determine key parameters such as the critical
Lyman-Werner flux for H2 disassociation. Several constraints of the direct collapse model have
been applied to limit the viability of the process to pristine metal-free halos in the epoch
corresponding to redshifts between 14 and 20 – however, under the currently predicted values
of the required LW flux, these constraints do not prevent the formation of significant numbers
of direct collapse black holes. Future astronomical surveys, such as those carried out by the
JWST, will likely be able to provide evidence for direct collapse in the form of stimulated
microwave emission and UV signatures.
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