Mon. Not. R. Astron. Soc.

308, 447458 (1999)

Are stars with planets anomalous?

Guillermo Gonzalezw
University of Washington, Astronomy Department, Box 351580, Seattle, WA 98195, USA

Accepted 1999 April 7. Received 1999 March 30; in original form 1998 December 7

A B S T R AC T

The chemical-dynamical properties of stars with giant planets are compared to those of a
nearby star sample within the framework of a stellar orbital diffusion model. The stars-withplanets sample includes recently discovered extrasolar planets and the Sun. We find that the
planet-bearing stars, 14 Her, r 1 Cnc and t Boo, are much more metal-rich than stars of
similar age and this cannot be easily explained by orbital diffusion. We also confirm
previous claims that the motion of the Sun relative to the local standard of rest is very small
compared to other G dwarfs of similar age, and we offer a possible explanation for this
apparent anomaly.
Key words: stars: abundances stars: kinematics planetary systems Galaxy:
abundances solar neighbourhood.

INTRODUCTION

Spectroscopic studies of the solar-type parent stars of recently

discovered extrasolar planets (see Marcy & Butler 1998 for a
review) have yielded accurate values for their physical parameters.
In particular, Fuhrmann, Pfeiffer & Bernkopf (1997, 1998),
Gonzalez (1997, hereafter G97), Gonzalez (1998, hereafter G98),
Gonzalez & Vanture (1998, hereafter GV98) and Gonzalez,
Wallerstein & Saar (1999, hereafter GWS99) have shown that the
spectroscopically determined metallicities of stars with planets
are, on average, metal-rich compared to nearby F and G star
samples. This anomaly1 is likely an indication of a causal link
between high metallicity and the presence of planets, but the
nature of the link is as yet unknown.
Recent studies of the metallicity distribution of nearby solartype stars (Edvardsson et al. 1993, hereafter E93; Favata, Micela
& Sciortino 1997, hereafter F97) and of the abundances of zeroage objects (B stars and H ii regions) in the Milky Way (Smartt &
Rolleston 1997; Afflerbach, Churchwell & Werner 1997; Esteban
et al. 1998) have led some (Snow & Witt 1996; Wielen, Fuchs &
Dettbarn 1996, hereafter W96; G97) to note that the Sun appears
to be anomalously metal-rich relative to both groups. Several
theories have been put forward to try to account for the anomalous
solar metallicity, including stellar orbital diffusion (W96), a
localized metal enhancement by a nearby supernova (Snow & Witt
1996), and self-enrichment as a result of the planet formation
process (G97). Evidence cited in support of orbital diffusion in the
w

E-mail: gonzalez@astro.washington.edu
In this study we define a quantity measured in a particular star as
anomalous if it deviates significantly from the average of the same quantity
measured in a group of otherwise similar stars. An anomaly may be due to
a simple low-probability statistical fluctuation, or it may be an indication
of an unrecognized physical process or selection bias.
1

q 1999 RAS

Milky Way includes the observed correlation between the dispersion in metallicity and age for nearby stars (W96) and the
silicon isotope trends in presolar grains relative to the meteorite
ratios (Clayton 1997). Evidence for the injection of supernova
material into the early Solar system has been discussed recently by
Cameron, Hoflich & Meyers (1995) and Amari, Zinner & Lewis
(1995). The self-enrichment hypothesis has been proposed as a
partial solution to the solar neutrino problem (Jeffery, Bailey &
Chambers 1997 and references therein), but in G97 we proposed it
to account for the high metallicities of the parent stars of the shortperiod extrasolar planetary systems and suggested that a similar
mechanism also operated in the early Solar system; we presented
as positive evidence a correlation between the difference in solar
photospheric and meteoritic abundances and elemental condensation temperature. A less well-known anomaly is the small velocity
of the Sun relative to the local standard of rest (LSR), y lsr.
Compared to other solar-type stars of similar age, the kinematics
of the Sun may be even more anomalous than its metallicity.
The primary goal of this study is to evaluate, within the
framework of the stellar diffusion hypothesis of W96, the notion
that stars with planets are anomalous as compared to stars without
planets. We will do this by comparing the metallicities of the
planet-bearing stars to the metallicity distribution of nearby single
stars of similar spectral types. We employ a sample of nearby F
and G dwarfs and subgiants with well-determined metallicities,
ages and kinematics. However, this comparison will not be perfect
given that not all stars in the sample have been searched for the
presence of giant planets. Given the current rate of detection of
extrasolar giant planets (about 6 per cent, Marcy & Butler 1998),
the number of stars with giant planets possibly contaminating our
sample should be small. We begin with a description of the sample
selection, followed by an application of the diffusion model, and
end with a discussion of the results.

448
2

G. Gonzalez

SAMPLE SELECTION

We constructed our primary sample from E93, with several stars

included from F97. E93 employed Stromgren indices to select
their sample according to certain specific criteria, which they
detail in their paper. We have adopted these same photometric
criteria along with Stromgren photometry from Hauck &
Mermilliod (1998) to select a subsample from F97s volumelimited spectroscopic survey of 91 G and K dwarfs. A few stars
from E93 have been reanalysed by Tomkin et al. (1997) using
spectra of greater quality; in most cases the differences are not
significant, so we have adopted the newer results only when the
differences are significant. We have also eliminated from the E93
and F97 subsamples known single-lined spectroscopic binaries.
The mean difference E93 2 F97 in [Fe/H] among the five stars
in common to the two studies is 20:04 ^ 0:03 (s.d.), which is not
significant. We should note that E93 put together their sample in
such a way as to achieve similar numbers of stars in each
metallicity interval. This leads to an overestimate of metal-poor
stars compared with a volume-limited sample (e.g., F97). This
should not be a problem for us, but such a sample is not suitable
for constructing an unbiased metallicity histogram distribution for
nearby stars. We should also note that the cooler members of the
F97 sample (with T eff , 5100 K) are metal-rich compared to
the hotter stars. This does not pose a problem for the present

study, since we restrict the primary sample to stars with

T eff . 5600 K.
We have also prepared three samples containing the parent stars
of planets: One contains stars from E93. Another contains stars
from G97, G98, GV98 and GWS99 that are not in E93. The mean
difference in [Fe/H] between stars common to E93 and the G97,
G98, GV98, GWS99 studies is not significant. The third group
contains only one star the Sun. The typical uncertainties in the
[Fe/H] estimates for the samples of parent stars are slightly
smaller than those for the primary sample of stars.
W96 made use of the E93 data set in their diffusion model
calculations. However, since the E93 and W96 studies were
published, Ng & Bertelli (1998) have produced an important new
analysis of this nearby star sample. They redetermined the ages for
the E93 stars using Hipparcos parallaxes (ESA 1997) and
evolutionary tracks from Bertelli et al. (1994). We have adopted
their results in the present work and retained only those stars with
the highest-quality age estimates (n . 2 from tables 7 and 8 of Ng
& Bertelli 1998). We used the same evolutionary tracks to
estimate ages by visual inspection for our F97 subsample and for
the G97, G98, GV98 and GWS99 samples (except those stars
noted in the footnote to Table 1). A couple of stars from F97 too
close to the zero-age main sequence (ZAMS) to derive accurate
ages were not included in the primary sample, even though they
passed all the other qualifications. We should note that these new

Table 1. Data on the F97 and extrasolar planet samples.

HR

[Fe/H]

Ua

6
98

963
1747
2251
2274
2667

3992

7260
8700

0:04
20:12
20:39
20:35
20:10
20:08
0:06
20:05
20:21
20:06
20:20
20:65
0:15
0:10
0:15

258:3
260:8
77:7
237:0
236:8
220:1
53:3
252:6
60:9
260:3
253:3
261:2
2115:7
28:6
227:5

E93 extrasolar planets:

9826
458
95128
4277
143761
5968
217014
8729
114762

0:09
0:01
20:26
0:19
20:68

HD
F97 subsample:
142
2151
4597
20010
34721
43587
44120
53705
67458
78643
88218
94444
106116
178428
216435

G97, G98, GV98, GWS99 extrasolar planets:

75732
3522
0:45
117176
5072
20:03
120136
5185
0:34
145675

0:50
186427
7504
0:06
187123

0:16
210277

0:24

Ageb
(Gyr)

Zmax
(kpc)

236:8
246:6
242:4
17:5
244:1
15:0
8:1
272:5
26:0
231:4
249:3
226:2
22:9
23:0
221:7

212:8
231:2
40:4
32:3
20:6
29:0
212:3
220:1
10:8
240:4
223.8
227:6
28:4
218:6
210:5

4.8
14
6.0
5.4
7.2
12
6.0
14
13
6.6
14
15
6.4
12
5.0

0.08
0.24
0.61
0.43
0.31
0.04
0.11
0.15
0.20
0.40
0.12
0.21
0.54
0.16
0.05

28:6
224:7
54:5
215:2
282:7

222:2
22:4
235:6
227:9
269:6

214:3
1:9
21:1
14:5
58:0

2.7
6.3
12.3
6.0
14

0.08
0.07
0.29
0.19
0.90

236:6
13:2
233:5
25:9
17:7
2:4
3:5

217.9
251:8
218:9
26:9
229:7
215:9
250:8

28:5
24:0
26:7
210:1
21:7
243:5
25:4

5
8
1
6
9
5.5
8.5

0.02
0.04
0.00
0.04
0.06
0.45
0.00

V
(km s21)

a
The sign of the U velocity component employed here is opposite that of E93. Positive U is
directed towards the Galactic Centre. These velocities are relative to the Sun.
b
The age estimates for HD 114762 and HD 145675 are from G98 and GV98, respectively. The
age estimate for HR 8729 is from Ng & Bertelli (1998) corrected using the [Fe/H] estimate from
G98. The age estimate for HD 75732 is based on Ca ii observations.

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Are stars with planets anomalous?

age estimates are a substantial improvement over those of E93 as a
result of the use of more accurate parallaxes and updated opacity
tables for the stellar isochrones.
The space velocities have been calculated using the equations of
Johnson & Soderblom (1987). The radial velocity estimates are
from the Simbad data base (most are listed in Duflot et al. 1995).

449

Two velocities are from Marcy (private communication): HD

187123, 217:5 km s21 and HD 210277, 220:9 km s21 . His
estimate for HD 187123 is the only one available, and we
averaged his estimate for HD 210277 with the Simbad value. For
the other stars with no available published radial velocities, we
derived them from the distances and space velocities given by

Figure 1. (a) A plot of [Fe/H] against age for nearby stars. The dots are data from E93; the plus signs are the data from F97; the filled triangles are extrasolar
planet parent stars from G97, G98, GV98, GWS99 and not in E93; the empty triangles are extrasolar planet parent stars from E93; the empty circle is for the
Sun. The age estimates are based on Hipparcos parallaxes and the evolutionary tracks of Bertelli et al. (1994). (b) A plot of the average [Fe/H] against age for
the five age groups defined in the text from the primary sample. The averages for each group have been calculated using jW W ( j as the weight for each
star; the error of the mean (m.e.) is shown for each age group. The dotted line is the least-squares fit to the five data points (equation 1).
q 1999 RAS, MNRAS 308, 447458

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G. Gonzalez

E93, who do not quote the radial velocity values for their stars.
The proper motions are from the Hipparcos catalogue. The
adopted solar motion relative to the LSR is U ( ; V ( ; W (
10; 6; 6 km s21 :
The number of stars in our final subsamples from E93 and F97
are 159 and 15, respectively, which are treated together as one data
set in the following analysis. It will be referred to as the primary
sample. We list the basic data on the F97 and extrasolar planet
parent star samples in Table 1, and plot the individual [Fe/H]
values against age in Fig. 1(a). At the present time this is the best
(with accurate metallicities and ages) nearby star sample that can
be assembled with fairly uniform selection criteria. While the E93
subsample is biased in favour of metal-poor stars, the inclusion of
stars from F97 should mitigate this bias somewhat.

A P P LY I N G T H E D I F F U S I O N M O D E L

3.1

The primary sample

The primary sample data have been binned into five age groups as
follows (all ages are in Gyr):
(i) age , 3; N 52;
(ii) 3 # age , 6; N 48;
(iii) 6 < age , 9; N 37;
(iv) 9 < age , 12; N 10;
(v) 12 < age; N 27;
where the number of stars in each bin is also indicated. The width
of each group was chosen to be slightly larger than 2s in age for a

typical star. They were also chosen to give similar numbers of

stars in each group. The recent reduction of the ages of globular
clusters by about 20 per cent (Reid 1997) should have little effect
on the analysis. In particular, stars comparable in age to the Sun or
younger should have reliable age estimates.
The kinematic orbit diffusion model was applied to the original
E93 sample by W96 in an attempt to explain the apparently
anomalous metallicity of the Sun compared to nearby stars of
similar age and the present interstellar medium. We will repeat
most of W96s analysis here with our primary sample.
We first determine the agemetallicity relation from the
primary sample. Following W96 the mean [Fe/H] value for each
group is calculated by weighting the individual [Fe/H] values by
jW W ( j. This weighting scheme effectively gives a representation of stars around the Sun in a cylinder with the long axis
perpendicular to the Galactic plane. A least-squares fit through the
weighted data yields the following relation:
Fe=H 20:01 ^ 0:05 2 0:035 ^ 0:005t

where t is the age in Gyr. We show the data points and leastsquares fit in Fig. 1(b). W96 obtained 0:05 and 20:048 from the
original E93 sample for the intercept and slope, respectively.
The other key relation is that between [Fe/H] and the mean
Galactocentric distance, Rm. We can derive this relation from our
primary sample by excluding old stars, so that the change in [Fe/H]
resulting from Galactic chemical evolution is negligible. Restricting
the analysis to ages < 2 Gyr, we are left with 26 stars. The
individual values of Rm were calculated from the V space velocity

Figure 2. The [Fe/H] values for stars from the primary sample with ages less than or equal to 2 Gyr are shown. The dotted line is a least-squares fit to the data.
Also shown as a triangle symbol is HR 5185, the youngest star in the extrasolar planet samples (it was not included in the least-squares fit). An error bar in
[Fe/H] for the typical star in the figure is shown on the lower left.
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Are stars with planets anomalous?

component using equation (A2) of W96:
Rm R0 V=22B

451

resulting least-squares fit to these 26 stars is:

2

where V is relative to the LSR (unlike the velocities in Table 1,

which are relative to the Sun), B is Oorts constant and R0 is the
present Galactocentric distance of the Sun (we adopt the same
values as W96, B 210 km s21 kpc21 and R0 8:5 kpc). The

Fe=H 20:02 ^ 0:02 2 0:12 ^ 0:03Rm 2 R0 :

We show the data in Fig. 2 along with the fit. The rms scatter of
the data about the least-squares fit is 0.09 dex. Clearly, extrapolating this relation beyond the range of the data 7:5 , Rm ,
9:5 kpc is not justified the predicted value of [Fe/H] at the
Galactic Centre is 1.0!

Figure 3. (a) The total velocity dispersion plotted against age for each of the five age groups in the primary sample. The dotted line is the least-squares fit
using equation (6). (b) The dispersion in [Fe/H] plotted against the dispersion in Galactocentric distance, calculated from equation (5). The dotted line is the
least-squares fit to the data using equation (4) with the initial dispersion in [Fe/H] set to zero. The dashed line is a least-squares fit with the initial dispersion
set to 0.10 dex.
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G. Gonzalez

However, the gradient given by equation (3) is not quite what

we want. We really want the metallicity gradient with respect to
the initial Galactocentric distance, Ri. W96 noted that a nearby
star sample will be biased in favour of stars with their present
values of Rm very near R0. So, if a star has Ri , R0 , it will be more
likely to be included in the sample if its present value of Rm is
larger than Ri. To obtain a gradient appropriate for Ri, W96
prescribe that we multiply the apparent gradient by 0.4. Doing so,
the apparent gradient from equation (3) becomes a true gradient,
a , of 20:05 ^ 0:01 dex kpc21 .
To compare the gradient of the young stars from the primary
sample to recent estimates using zero-age objects (H ii regions and
B stars), we need to determine the value of [O/Fe] for young stars
near the Sun. Six young stars from E93 with [O/H] and [Fe/H]
estimates have Rm values near 8.5 kpc. The mean value of [O/Fe]
for these stars is 20:1 ^ 0:02 (m.e.). Neglecting a possible
gradient in [O/Fe], we can convert the [O/H] values of the zeroage objects to [Fe/H]. The radial metallicity gradients from the
various types of objects in the Milky Way will be compared in
Section 4.1. It is sufficient to note for the present discussion that
there is consensus that the radial metallicity gradient in the Milky
Way is 20:07 dex kpc21 (Gummersbach et al. 1998). This is
consistent with our determination from the young nearby star
sample.
We can also derive an estimate of the metallicity gradient
within the framework of the orbital diffusion hypothesis. The
method is based on the assumption that the dispersion in [Fe/H] at
a given age is proportional to the dispersion in R, or (repeating
equation 10 from W96 with the addition of the initial dispersion in
[Fe/H]):

sFe=H t s2Fe=H0 jaj2 kDR2 tl1=2 ;

where |a | is the absolute value of the true metallicity gradient, t is

the age, and the parameter k(DR)2(t )l is given by:
kDR2 tl 12 1=k2 3=2B2 Dt;

where D is the true diffusion coefficient and k is the epicyclic

frequency. We adopt the same value for k as W96
(32.1 km s21 kpc21). The relation between D and the empirical
diffusion coefficient, Cy , is D Cy =2:95. We can determine the
value of Cy from the primary sample by plotting the total velocity
dispersion, s y , for each age group against age and fitting the
following equation to the data:

sy s2y;0 C y t1=2 ;

where s y ,0 is the initial velocity dispersion. The s y values were

calculated using the equations given by Wielen (1977). We present
the data in Fig. 3(a) along with the least-squares fit from equation
(6). The resulting values of the two constants are sy;0 12 ^
31 km s21 and Cy 522 ^ 151 km2 s22 Gyr21 . This corresponds
to D 1:8^0:5  1027 km2 s22 yr21 , which is only 10 per cent
smaller than the estimate of Wielen (1977). Our estimate for the
initial velocity dispersion, while not well constrained, is in
agreement with the velocity dispersion of Classical Cepheids
(Wielen 1977).
Applying this value of D to equation (5), we have produced a
plot of s [Fe/H] versus s DR (Fig. 3b). The values of s [Fe/H] have
been weighted in the same manner as in Fig. 1(b). The leastsquares fit with equation (4) [not including age group (v)] results
in jaj 0:098 ^ 0:016 dex kpc21 with s [Fe/H]0 set to zero. When
s [Fe/H]0 is set to 0.10 dex, the least-squares solution yields

jaj 0:085 ^ 0:015 dex kpc21 . While the initial dispersion in

[Fe/H] is not well constrained with this technique, the range of
allowed values is consistent with dispersion in the residuals
relative to the least-squares fit in Fig. 2. The results shown in Fig. 3
will be discussed further in Section 4.2.
In summary, the orbital diffusion model is able to account for
the full spread in [Fe/H] among the stars in the primary sample.
The absolute value of the metallicity gradient is only slightly
greater than that derived from zero-age objects.
3.2

Stars-with-planets sample

We can use the results of the previous section to determine if

planet-bearing stars are anomalous with respect to the diffusion
model. We will assume in the following discussion that the
appropriate value of the present true metallicity gradient to use is
20:07 dex kpc21 (see Section 3.1). Therefore, we adopt the
following relation:
Fe=HISM 20:01 2 0:175Rm 2 R0 2 0:035t

which is a combination of equation (1) and the radial gradient

estimate from zero-age objects, converted to an apparent gradient
20:07=0:4 20:175. In order to determine how well each
star fits the diffusion model, we have calculated the difference
between the observed value of [Fe/H] and value calculated with
equation (7) from its present Rm value and t (Fig. 4a). We also
present the data in a different way: the measured value of [Fe/H] is
equated to the right-hand side of equation (7) and the original
value of Rm is calculated and subtracted from the present value
(Fig. 4b). Therefore, D[Fe/H] is a measure of the deviation of the
metallicity of a star from that of the interstellar medium (ISM) at
the time and place of its birth, assuming no change in Rm.
Contrariwise, DRm is the radial distance a star would have to
migrate from its birth place to be consistent with its measured
metallicity.
As can be seen in both panels of Fig. 4, only one of the planetbearing stars has large negative D values. The three planet-bearing
stars with negative D values, in decreasing order, are r CrB, 70 Vir
and HD 114762. Two stars, r 1 Cnc and 14 Her, have large positive
deviations. Also evident in Fig. 4 is the very small peculiar
velocity of the Sun and its positive D values. This point will be
addressed in Section 4.3.
4
4.1

DISCUSSION
The Galactic radial metallicity gradient

While not the primary goal of this study, the determination of the
Galactic radial metallicity gradient for F and G dwarfs is a
necessary step in the study of the chemical-dynamical properties
of the parent stars of extrasolar planets. Gummersbach et al.
(1998) give a brief review of recent estimates of the radial
metallicity gradient of the Milky Way. They range from 0 to
20:11 dex kpc21 , with the most common value being
20:07 dex kpc21 . Recent studies have derived the Galactic radial
metallicity gradient from H ii regions, B stars and open clusters.
None of these types of objects is expected to display the effects of
orbital diffusion the H ii regions and B stars are too young, and
open clusters are too massive (Carraro & Chiosi 1994). Afflerbach
et al. (1997) derived an O gradient of 20:064 ^ 0:009 dex kpc21
from 34 compact H ii regions. They estimate an intrinsic scatter of
O at a given value of Rm of s 0:16 dex. Gummersbach et al.
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Are stars with planets anomalous?

(1998) and Smartt & Rolleston (1997) derive O abundance
gradients from B stars of 20:07 ^ 0:01 and 20:07 ^
0:02 dex kpc21 ; respectively (Fig. 5a). Carraro, Ng & Portinari
(1998), using a sample of 18 open clusters with ages less than
2 Gyr, derived a gradient of 20:07 ^ 0:02 dex kpc21 ; the rms
scatter about the linear metallicitydistance relation is 0.17 dex.
Hence, all three types of objects give almost exactly the same
gradient for either [Fe/H] or [O/H].

453

However, there are some significant differences among these

various relations. First, the zero-point of Smartt & Rollestons
(1997) B star [O/H]Rm fit is larger than that of the H ii region fit
by 0.25 dex. Is this difference caused by a systematic error in
either the B star or the H ii region abundance analyses? The Orion
nebula is the best-studied H ii region in the Milky Way. Recent
studies of the nebular emission lines and the associated B stars
have resulted in a consistent picture. The carbon, nitrogen, oxygen

Figure 4. (a) The difference between the measured value of [Fe/H] and the [Fe/H] value of the ISM as inferred from equation (7) and the age and Rm of each
star. (b) The difference between the present value of Rm and the original one inferred from equation (7) using [Fe/H] and age for each star. The data are
plotted against the velocity relative to the local standard of rest (y lsr).
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454

G. Gonzalez

(CNO) gas dust phase abundances in Orion determined by

Esteban et al. (1998) are in very good agreement with the B star
CNO abundances determined by Cunha & Lambert (1994).
Esteban et al.s gas dust phase CNO abundances are about
0.15 dex less than in the Sun, confirming previous studies. Their
abundance analysis is based on recombination line analysis, which
should be less dependent on temperature variations in the nebula
than the more often used forbidden lines. This important result
gives us confidence that (1) modern methods used to derive O

abundances in H ii regions and B stars give consistent answers to

within about 0.1 dex, and (2) gas phase abundances can be
properly corrected for dust condensation. Interestingly, the B star
Fe abundances in the Orion nebula are solar. Being a zero-age
object near the Sun, the Orion B star Fe abundance is, therefore,
consistent with the prediction of our equation (7). The difference
between the B star and H ii region zero-points in Fig. 5(a) might
instead be the result of differences in the B star abundance analysis methods of Smartt & Rolleston (1997) versus Gummersbach

Figure 5. (a) The [O/H] values as a function of Rm for H ii regions (plus signs; data from Afflerbach et al. 1997) and B stars (empty squares; data from Smartt
& Rolleston 1997) and the corresponding least-squares fits (solid line and dashed line, respectively). (b) The least-squares fits from (a) have been converted to
[Fe/H] and replotted. The open cluster data (Carraro et al. 1998) are shown as empty circles. The least-squares fit from Fig. 2 is indicated with a dotted line,
and the corrected gradient is shown with a short-dashed line.
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Are stars with planets anomalous?

et al. (1998) (the latter obtain an O abundance zero-point 0.2 dex
less than the former), in particular, their different treatments
of non-local thermodynamic equilibrium (NLTE) corrections
(Gummersbach et al.s study is probably more self-consistent). If
we take the Gummersbach et al. study as the more accurate one
and allow for a dust-correction offset to H ii region O abundances
near 0.1 dex, then the differences between the H ii regions and B
stars can be accounted for.
The radial metallicity gradients of several other galaxies have
been determined recently from studies of H ii regions (Garnett
et al. 1997; van Zee et al. 1998) and even B stars (Monteverde
et al. 1997). The observed range of the oxygen abundance gradient
for non-barred spirals similar to the Milky Way is 20:04
to 20:07 dex kpc21 . Late-type spirals have gradients near
20:15 dex kpc21 :

4.2

The diffusion model

Our results are similar to those of W96 regarding the application

of the diffusion model to nearby stars. The largest discrepancy in
Figs 3(a) and (b) between theory and the observations is the data
point corresponding to age group (v). This might be caused by
contamination of the group (v) stars by halo stars. Halo stars
display a large velocity dispersion and a relatively small spread in
[Fe/H].
We offer a couple of suggestions concerning small deviations of
the observations from the diffusion model. First, the presence of
the Sun at or near the corotation radius, Rc (see next section for a
more detailed discussion), could be relevant. The frequency of
spiral arm passages is greatly reduced near Rc, likely resulting in a
substantial modification of the star formation efficiency and other
Galactic parameters related to chemical evolution compared to
regions outside the zone centred at Rc.
Secondly, the presence of a bar may alter some parameters. A
couple of barred spirals (NGC 1365 and 3359; Roy & Walsh
1997) have been found to possess a break in the radial metallicity
gradient with a steep gradient in the barred region and a flat
gradient farther out in the disc. Martinet & Friedli (1997) argue
that a double gradient is present in a strong, young bar but
eventually approached a single slope. So, while a bar can yield a
locally different gradient, zero-age objects in the Milky Way show
no evidence of a double gradient. However, the formation of a
temporary bar in the past would have resulted in enhanced radial
mixing for a short time.
There is independent empirical evidence that conditions in the
disc of the Milky Way at the location of the Sun are not typical.
Olling & Merrifield (1998) show that the gradient of the H column
density at the location of the Sun is quite large compared to the
mean (see their fig. 2). This necessarily leads to substantial
deviations of the Oort constants compared to extrapolations from
the inner and outer disc values (see their fig. 3). Whether these
variations in the Oort constants result from our being near Rc and/
or from a Galactic bar remains to be determined.
Fuchs, Dettbarn & Wielen (1994) note that the Spitzer &
Schwarzschild mechanism [involving the deflections of stellar
orbits by giant molecular clouds (GMCs)] is more efficient at
radial diffusion than the W96 diffusion model. This could account
for the slightly high dispersions in [Fe/H] for the three youngest
age groups in Fig. 3(b). For a brief summary of the possible
sources of the spread in [Fe/H] at a given age, the reader is
referred to Carraro et al. (1998).
q 1999 RAS, MNRAS 308, 447458

4.3

455

Anthropic considerations

When comparing the properties of the Sun to other solar-type stars

with planets, we must consider the fact that we, as observers in the
Solar system, have a selection bias the Solar system must
necessarily possess properties which allow our existence.2 Hence,
if the Sun appears anomalous in a particular property, this may
simply be an indication that it must have a value within a narrow
parameter range to allow for our existence on the Earth. For
example, the fact that the Sun ranks in the top ,10 per cent by
mass among the nearest stars may be an indication that a parent
star with a mass near that of the Sun is a requirement for our
existence. Certainly, reasonable reasons can be given why G
dwarfs should be favoured over K and M dwarfs for habitability.
We should note, though, that while the WAP removes the surprise
of our discovery that we are living near one of the most massive
stars in the solar neighbourhood, it does not explain why massive
stars are rare to begin with. Thus, while the WAP can remove
some of the apparent anomaly of a particular observation, it has
only limited explanatory power.
The anomalously small y lsr value of the Sun may be another
example of an observer selection bias. Shown in Fig. 6 is the y lsr
value of the Sun along with those of all the other stars studied in
the present work.3 The general trend of increasing y lsr with age is
evident, as is the very small solar y lsr. Only one star in the figure
has a significantly smaller value of y lsr. The anomalously small
y lsr value of the Sun can also be seen in Gaidos (1998) discussion
of the kinematics of solar analogues. The position of the Sun on
the VU and VW diagrams is much more consistent with the
young solar analogues (age less than , 1 Gyr) than it is with the
old solar analogues (see Gaidos fig. 11, but note that he adopts a
solar y lsr value of 16:2 km s21 from an old study).
To first order, y lsr can be decomposed into two parameters
describing the orbit of a star in the Milky Way: the pseudoeccentricity, e, and the maximum height reached relative to the
mid-plane, Zmax. Hence, a small value of y lsr necessarily requires
small values of both e and Zmax. Since these two parameters
describe orthogonal components of a stars motion in the plane of
the Milky Way, it is possible that they relate to habitability in
different ways. For this reason, below we will discuss mechanisms
that affect habitability via their relation to e and Zmax. There are
two broad groups of astrophysical phenomena that may relate to the
anomalously small value of y lsr of the Sun via their effects on
habitability: radiation damage to the ozone layer from extraterrestrial
radiation sources and comet impacts. We will discuss each in turn.
Ruderman (1974) was the first to estimate the effects of
radiation (both high-energy ionizing photons and cosmic rays)
from supernova (SN) explosions on the Earths biosphere. He
concluded that the primary effect of such an event on the
biosphere is damage to the ozone layer via NOx production. More
recent calculations have concentrated on the effects of cosmic rays
in a supernova remnant (SNR) bubble with the Sun located inside
it. Whitten et al. (1976) applied a more refined atmospheric model
to the problem, and found that ozone reductions of 20 to 50

This statement is called the weak anthropic principle (WAP). A more

formal definition can be found in Barrow & Tipler (1986).
3
The value of y lsr of the Sun adopted here is 13.1 km s21. This is slightly
smaller than, but consistent with, the mean of the recent Hipparcos-derived
values of 14:1 ^ 1:4 km s21 (Kovalevsky 1998), 13.4^0.8 km s21 (Dehnen
& Binney 1998) and 12:9 ^ 1:1 km s21 (Bienayme 1999).

456

G. Gonzalez

Figure 6. The total space velocity relative to the LSR, y lsr, is plotted against age for the primary and extrasolar planet samples.

per cent lasting about 104 yr would result from cosmic rays from a
SN 5 to 10 pc from the Sun. Reid, McAfee & Crutzen (1978),
employing yet another treatment of the atmosphere, derived total
ozone depletions of 64 to 89 per cent for the same SN distances;
they also noted that the production of NO2 by the ionizing
radiation would lead to a several per cent increase of absorption of
blue to green solar radiation, thus further reducing photosynthesis.
Estimates of the probability of a SN occurring within 5 to 10 pc
from the Sun vary. The calculation is complicated by the fact that
Type II SNe concentrate in the spiral arms. Clark, McCrea &
Stephenson (1977) estimated that the interval between Type II
SNe within 10 pc is about equal to the interval between spiral arm
crossings, which they claimed to be about 108 yr (they assumed a
Galactic mean interval between Type II SNe of 100 yr). However,
Tammann, Loffler & Schroder (1994) have estimated a Galactic
Type II SN interval of about 50 yr (with a total SN interval of
40 ^ 10 yr), which results in a halving of Clark et al. nearby
Type II SN interval. Whitten et al. (1976), neglecting the
concentration of SNe within spiral arms, but taking into account
Clark & Caswells (1976) observations that SNRs at the solar
circle have a volume density about a quarter as great as in the
inner regions of the Milky Way, estimated a nearby SN interval
near 1010 yr (they assumed a Galactic total SN interval of 50 yr).
These estimates of the threat from SNe can be improved with the
inclusion of additional details, such as the distribution of SNR sizes
at a given age and the theoretical evolution of the SNe rate. Even if
the threat from killer SNe (see van den Bergh 1994) is found to be
negligible, less lethal SNe resulting in relatively short-term, moderate
reductions in ozone may still satisfy the WAP requirements. This is

so, because the WAP applies to humans (and related advanced

life), which are much more sensitive to environmental catastrophe.
Relating all this to the Galactic orbit of the Sun, we note that
increasing its eccentricity in the plane, e, while maintaining a
constant Galactocentric distance, will lead to a reduction in
perigalactic distance. With e 0:11 and R0 7:1 kpc,4 the Suns
perigalactic distance is about 6.3 kpc. According to fig. 8 of Clark
& Caswell (1976) (and rescaling it from R0 10 to 7.1 kpc), the
surface number density of SNRs in the Galactic plane jumps
abruptly by over a factor of 4 for R & 5:7 kpc, which corresponds
to e . 0:20. A larger value of Rm with a perigalactic distance
equal to the Suns present value of R would also avoid the SN
threat. However, a larger Rm combined with the negative Galactic
metallicity gradient would have resulted in a smaller initial
endowment of metals for the Solar system. This, in turn, would
likely reduce the probability of planet formation in the Solar
system (see G97; G98).

Although we adopt R0 8:5 kpc in our calculations, recent studies

appear to be converging on a value between 7 and 7.5 kpc. Reid (1993)
obtains R0 7:2 ^ 0:7 kpc from H2O masers, Olling & Merrifield (1998),
who take into account the radial surface density distribution of the ISM,
obtain R0 7:1 ^ 0:4 kpc, Dambis, Melnik & Rastorguev (1995) obtain
R0 7:1 ^ 0:5 kpc from Classical Cepheids, and Metzger, Caldwell &
Schechter (1998) obtain R0 7:7 ^ 0:3 kpc also from Classical Cepheids,
but with the inclusion of a weak ellipticity in the disc orbits. A smaller
Milky Way leads to an increase in the estimated surface number density of
SNRs in the disc.
q 1999 RAS, MNRAS 308, 447458

Are stars with planets anomalous?

Although it is still somewhat controversial, the precise location
of the Sun relative to the corotation circle might be an important
Galactic-scale constraint on habitability (Marochnik 1983).
Amaral & Lepine (1997), using mostly open cluster data, derive
DRc ; R0 2 Rc 1:1 kpc. Using Classical Cepheid radial velocities and distances, Mishurov et al. (1997) calculated DRc
0:3 ^ 1:3 kpc: More recently, Mishurov & Zenina (1999) have
repeated the analysis with Hipparcos proper motion data added;
0:3
they now derive DRc 0:120:03
kpc (note, a more appropriate
measure is Rm;( 2 Rc , which is about 0.4 kpc). In an axisymmetric
model, a star located precisely at Rc with e 0 orbits at the same
angular speed as the spiral arm pattern. Hence, such a star would
never cross a spiral arm after its birth. The farther a star is located
from the corotation circle, the more frequently it crosses the spiral
arms. Hence, the Type II SNe threat is minimized for low-e orbits
at Rc. The presence of the Sun very near the corotation circle also
presents us with a possible explanation for its very small y lsr.
According to Jenkins (1992) most of the heating of disc stars is
accomplished via spiral wave passages and scattering by GMCs.
Both types of perturbations will be less common for stars with
nearly circular orbits located near the corotation circle.
While SNe probably pose the greatest threat on a Galactic scale,
there is another potential danger: active galactic nucleus AGN
outbursts. Clarke (1981) briefly discusses the possible threat from
a Seyfert-type outburst in the Milky Way. He argues, assuming the
cosmic rays from the outburst are evenly distributed in the disc of
the Galaxy, that such an event would increase background cosmic
rays to levels comparable to that of a nearby SN; the X-ray flux
would not pose a threat at our present distance from the Galactic
Centre. More likely, there would exist a radial gradient in the
cosmic ray number density, resulting in a greater radiation threat
inside the solar circle.
Schwartz & James (1984) noted that the protection offered
against soft X-rays by neutral hydrogen in the plane of the Galaxy
is a strong function of the height of the Sun above the plane. They
cited three sources of radiation as possibly relevant to habitability
with respect to interstellar matter: SNRs, the diffuse X-ray
background, and the Galactic Centre. However, none of these
sources are likely to have a significant impact on the ozone layer
as the Sun oscillates relative to the plane for two reasons. First, the
spectral indices of SNRs and the diffuse X-ray background are too
shallow; the flux of X-rays above 2 keV, where interstellar
extinction is negligible, dominates the total high-energy output
from these sources. Hence, reducing the amount of interstellar
extinction towards a hard X-ray source has little effect on the total
flux of ionizing radiation received at the top of the Earths
atmosphere. Interstellar extinction does have a large effect on the
received flux from a so-called super-soft X-ray source, for which
the energy spectrum peaks near 0.1 keV. However, the brightest
such sources typically have LX < 1038 erg s21 , and they are
relatively rare in the Milky Way. Secondly, the soft X-ray
luminosity from AGN outbursts and nuclear starburst is not going
to have a significant effect at our current distance from the
nucleus. Orbits within a few kpc of the nucleus are at greater risk
because of the closer proximity to the ionizing radiation and the
smaller protection offered by the neutral hydrogen (the scaleheight
of neutral hydrogen is much smaller in the inner disc).
The second category of possible threats to life on Earth includes
temporary increases in the Oort comet impact rate resulting from
perturbations from sources outside the Solar system. The primary
perturber is considered to be the Galactic radial and z tides
(Heisler & Tremaine 1986; Matese et al. 1995; Matese &
q 1999 RAS, MNRAS 308, 447458

457

Whitmire 1996); impulses from GMCs, and nearby stellar

encounters are secondary in importance at our location in the
Galaxy. Excursions to smaller Rm would increase the probability
of nearby stellar and GMC encounters as well as increase the
radial Galactic tide. If Matese et al. are correct in predicting that
the z Galactic tide dominates and that we are in for a comet
shower in ,1 Myr, then this may be an example of an observer
selection effect in the temporal domain, in that the biosphere has
been relatively free of large impacts for a prolonged period (the
last large impacts on Earth occurred about 35 Ma), hence setting
the stage for our appearance. This selection effect would also
explain the apparent spatial domain coincidence of the very small
height of the Sun above the Galactic plane (about 10 to 12 pc;
Reed 1997), since comet showers are predicted to occur shortly
after a plane crossing.5
Fuchs & Wielen (1987), using the original and present temporal
boundary conditions on the kinematic parameters of the Sun, have
calculated the most probable history of the solar peculiar velocity
within the framework of the diffusion model. They find that, since
its birth, the Sun has likely maintained larger y lsr than the present
value; only within the last Gyr has it come within a factor of 2 of
its present value (see their fig. 14). If true, then spiral arm
crossings and large perturbations to the Oort comet cloud were
likely more common prior to 0.51 Ga. This tends to confirm the
WAP, since it is during this same time interval that advanced life
first appeared on the land. Note that the WAP does not remove the
surprise that any old star has a small y lsr, but rather that we should
be orbiting one. But the calculations of Fuchs & Wielen (1987)
assume that the dynamical history of the Sun is not special in
any way. Perhaps the Sun experienced an atypical dynamical
history that allowed life to flourish. So, for instance, if the Suns
proximity to Rc reduces the probability of dynamical heating of its
orbit, then the low y lsr of the Sun could be long-lived.
Unfortunately, with only the present kinematic parameters to go
by, we can only speak in terms of the probable dynamical history
of the Sun, not the actual one.
The anomalously small solar y lsr value was noted also by W96.
They offered a link between habitability and Galactic kinematics;
they suggested that the predicted birthplace of the Sun, according
to the diffusion model, at a smaller Rm would have presented
greater threats from nearby SNe and molecular cloud passages.
This implies that a certain amount of migration in the Galactic
disc was required before we could exist.
In summary, there are some plausible reasons related to the
WAP for removal of the Sun from the list of apparently anomalous
stars. Which threat to habitability dominates is not clear, but good
arguments can be given for both SNe and comets.

CONCLUSIONS

Stars with planets are indeed anomalous with regard to their

metallicities; 14 Her, r 1 Cnc and t Boo are especially anomalous
relative to nearby stars. The diffusion model is not able to account
for their high metallicities. The Sun, while only moderately metalrich relative to nearby stars of similar age, has an unusually small
peculiar velocity. The anomalous label can be removed from the
solar kinematics if it can be shown that a nearly circular orbit in
5

This is a remarkable coincidence given that the Sun spends most of its
time near the apex of its z oscillation. The plane crossing occurred about
1.5 Ma.

458

G. Gonzalez

the plane of the Milky Way is essential for our existence. We have
offered some reasons to believe that indeed such an orbit offers
greater protection than the typical one. Certainly, we encourage
others to repeat our analysis with a larger nearby star sample,
when additional high-quality data become available, and a more
realistic model of Galactic kinematics (i.e., barred models and
variable Oort constants).
AC K N O W L E D G M E N T S
We thank Scott Anderson, Derek Richardson and George
Wallerstein for helpful comments and discussions. The referee,
Burkhard Fuchs, is gratefully acknowledged for valuable advice
on the diffusion model. We are also thankful to Geoff Marcy for
providing radial velocity estimates for two planet-bearing stars.
This research has made use of the Simbad data base, operated at
CDS, Strasbourg, France. The research was supported in part by
the Kennilworth Fund of the New York Community Trust.
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This paper has been typeset from a TEX/LATEX file prepared by the author.

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