text:
# Finite thermal conductivity in 1D models having zero Lyapunov exponents

## Abstract

Heat conduction in three types of 1D channels are studied. The channels consist of two parallel walls, right triangles as scattering obstacles, and noninteracting particles. The triangles are placed along the walls in three different ways: (a) periodic, (b) disordered in height, and (c) disordered in position. The Lyapunov exponents in all three models are zero because of the flatness of triangle sides. It is found numerically that the temperature gradient can be formed in all three channels, but the Fourier heat law is observed only in two disordered ones. The results show that there might be no direct connection between chaos (in the sense of positive Lyapunov exponent) and the normal thermal conduction.

Recent years has witnessed an increasing attention to the establishment of a connection between macroscopic phenomena such as transport coefficient and microscopic chaos. A direct mathematical derivation has been proved to be very difficult, and only very simple model can such an approach be established, we have to rely on massive numerical simulations. There have been a large number of numerical works on heat conduction in 1D systems aim to understand what are the necessary and sufficient conditions for a Hamiltonian system to obey the Fourier heat conduction law. It is found that an on-site potential is sufficient for a 1D lattice model to have a finite thermal conductivity.

Albeit many progress achieved, open questions remain (see recent review). For example, in connecting the normal heat conduction with the underlying dynamics, some contradictions exist. On the one hand, some models like the ding-a-ling model and the Lorentz gas model (with periodic and/or disordered disks) showing exponential instability, thus a positive Lyapunov exponent, have a normal heat conduction. On the other hand, the Fermi-Pasta-Ulam (FPU) model has a divergent thermal conductivity even though it has positive Lyapunov exponents. Therefore, what’s a role does chaos (in the sense of positive Lyapunov exponent) play in the normal heat conduction is still a unsolved problem and deserves further investigation.

In this Letter, we study this problem in a series of 1D models having zero Lyapunov exponents. Our models are variants of the Ehrenfest model and thus called “Ehrenfest gas channels”. The channel consists of two parallel walls, a series of isosceles right triangles with hypotenuse along the parallel walls, and noninteracting particles. The two ends of the channel are put in contact with heat baths. By placing the triangles in different ways, we obtain different types of channels.

The Ehrenfest model differs from the Lorentz gas model in underlying dynamics. The collisions of the particles with the circles in the Lorentz gas lead to exponential separation of nearby trajectories, thus a positive Lyanpunov exponent, whereas collisions with the squares in the Ehrenfest model lead to linear separation of nearby trajectories, thus a zero Lyapunov exponent.

Channel with periodic structure In this channel, the right triangles are placed periodically, namely, in each cell, we have two triangles, one on the bottom wall, the other on the top. The triangles are placed at the position of $`x=1,3,\mathrm{}`$ (arbitrary unit). The model geometry is shown in Fig. 1(a). The channel of length $`N`$ is $`N`$’th repetition of the cell. Two heat baths with temperature $`T_+`$ and $`T_{}`$ are attached to the left and right ends of the channel, respectively . The heat bath has simple velocity distribution $`P_T(v)=\delta (v\sqrt{2T})`$. It can be proved that the form of heat baths does not affect the transport behavior in our systems.

To compute temperature field at a stationary state, we calculate time averages by dividing the configuration space into a set of boxes $`C_i`$ . The time spent within a box in the $`j`$th visit is denoted by $`t_j`$ and the total number of crossings of a box $`C_j`$ during the simulation is $`M`$. The temperature field is defined by

$$T_{C_i}=E_{C_i}=\frac{_j^Mt_jE_j(C_i)}{_j^Mt_j}.$$
(1)
Then it is projected on $`x`$ direction (the transport direction). The heat flux is calculated by the change of energy carried through to the left and right ends by the particles,

$$J=\frac{1}{t_M}\underset{j=1}{\overset{M}{}}\mathrm{\Delta }E_j,$$
(2)
where $`\mathrm{\Delta }E_j=(E_{in}E_{out})_j`$ is the energy change at the $`j`$th collision with a heat bath, $`t_M`$ is the total time spent for $`M`$ such collisions.

In numerical simulation, we compute the flux for a single particle $`J_1`$. The scaled heat flux is $`J_N(N)=NJ_1(N)`$, where $`N`$ is the number of the cells. Each cell has length $`a`$, thus the channel has length $`L=Na`$.

In spite of the jumps at both ends the temperature gradient is well established and scales as $`dT/dxN^1`$ as shown in Fig. 1(b). The heat flux $`J_1(N)`$ is found to be

$$J_1(N)=AN^\alpha ,$$
(3)
with $`\alpha =1.186\pm 0.002`$. The thermal conductivity $`\kappa =\frac{J_N(N)}{dT/dx}NJ_NN^{0.81}`$, which is divergent as one goes to the thermodynamic limit ($`N\mathrm{}`$).

To understand this divergent behavior, we study the transport property of the particles in the channel quantified by the mean square displacement $`(x(t)x(0))^2`$. An ensemble of particles ($`10^5`$) with the same amplitude of velocity $`(=1)`$ are injected into the channel in random directions. The best fit for the asymptotic behavior gives rise to

$$(x(t)x(0))^2=Dt^\beta ,$$
(4)
with $`\beta =1.672\pm 0.003`$ (Fig 1(d)). This means that the transport along $`x`$ direction is neither a ballistic one ($`\beta =2`$) nor a diffusive one ($`\beta =1`$). This super diffusion is responsible for the divergent thermal conductivity. It may also be the reason for the jumps near the channel ends in the temperature profiles. Such jumps have been observed in the FPU model and attributed to the soliton alike excitations. A quantitative analysis has been done by Aoki and Kusnezov more recently.

When our model is compared with the Lorentz gas channel, it is intuitive to attribute the divergent thermal conductivity to the zero Lyapunov exponent. To clarify this point, we modify the channel slightly in two ways: (a) make the height of triangles random; (b) put the triangles in random position along the transport direction. The Lyapunov exponent in both variants remain zero because of the flatness of the triangle sides.

Channel with right triangles of random heights The height of the triangle is given by

$$h_i=h_0+dR_i,i=1,2,\mathrm{},2N$$
(5)
where $`\{R_i\}`$ are random numbers uniformly distributed in the interval $`[1,1]`$, $`d`$ is the magnitude of disorder. $`h_i<H`$, where $`H`$ is the width of the channel. Figure 2(a) shows the geometry of the channel. In this Letter, we take $`H=1.1`$, $`h_0=0.6`$, and $`d[0,0.4]`$.

In our calculations, the temperature and heat flux are averaged over 100 disorder realizations and compared with that one from averaged over 1000 realizations, the difference is found to be indistinguishable.

Figure 2(b) shows the temperature profile for $`d=0.4`$. It is a straight line with gradient $`dT/dx=0.05/N`$. The heat flux $`J_1(N)`$ is shown in Fig. 2(c). The best fit gives rise to a slope $`\alpha =1.992\pm 0.018`$. Therefore $`J_N(N)N^1`$. The thermal conductivity $`\kappa =J_N(N)/(dT/dx)`$ is an $`N`$ independent constant, the Fourier law is thus justified. To see how the heat conduction changes with disorder, we calculate the exponent $`\alpha `$ for different values of $`d`$ by fixing the channel length. The results are shown in Fig.2(d). The bullets represent the $`\alpha `$ values obtained from the best fit with Eq.(3) by using $`N[16,512]`$. It shows that, for a disordered channel of finite length, the heat conduction obeys Fourier law when the disorder amplitude is large enough. In principle, in the thermodynamic limit, any infinitesimal disorder will cause a diffusive transport, thus a normal thermal conduction. This is demonstrated by the case with $`d=0.0125`$, $`\alpha =1.724\pm 0.012`$ from the data $`N[16,512]`$ which is far from the normal thermal conduction, however, $`\alpha =1.999\pm 0.011`$ from $`N[1024,32768]`$ (the star in Fig. 2(d).) showing a normal thermal conductivity. This is similar to the mass disordered lattice model .

We compute $`(x(t)x(0))^2`$ and find that for all values of disorder, it can be best fitted by $`Dt^\beta `$ asymptotically. $`\beta `$ as a function of the disorder $`d`$ is plotted in Fig. 2(e). It is seen that for any finite value of $`d`$, the slope $`\beta `$ is very close to unity, which means that the particles moves diffusively in the channel, thus the heat conduction in this channel obeys Fourier law.

Thermal conductivity $`\kappa `$ versus temperature $`T_0=(T_++T_{})/2`$ is plotted in Fig. 3(a). It is found that $`\kappa T_0^\gamma `$, and the best fit gives rise to $`\gamma =0.501\pm 0.002`$. The normalized temperature profile $`T^{}(x)=T(x)/T_0`$ is shown in Fig. 3(b), which indicate that $`dT/dx=0.02T_0/L`$.

Channel with triangles at random positions The position of the triangle is made random, namely, $`x_i=dR_i`$, where $`x_i`$ is the position away from the periodic structure shown in Fig. 1(a). Figure 4(a) is the schematic illustration of the geometry. The numerical simulations show that the temperature gradient is well established and is similar to Fig. 2(b). The heat flux $`J_1(N)`$ is described by Eq. (3). We plot the exponent $`\alpha `$ versus $`d`$ in Fig. 4(b). It tells us the trend to normal thermal conductivity ($`\alpha =2`$) in a long length limit (star) and a large disorder limit (bullets).

As an independent check, we also calculate the integral of the current-current correlation function in the Green-Kubo formula. The integral is found to be convergent in cases with disorder but divergent in the case with periodic geometry shown in Fig. 1(a).

Theoretical analysis Suppose the path length distribution of particles from left to right (or vice versa) is $`f_L(l)`$ in a channel of length $`L`$, namely, there are $`\delta n`$ particles whose path length lies in the interval $`[l,l+dl]`$. $`\delta n/n=f_L(l)dl`$. $`f_L(l)`$ is determined merely by the structure and the length of the channel. Two heat baths of temperature $`T_L`$ and $`T_R`$ are put to the left and right ends, respectively. In a time period of $`t`$ there are $`n`$ particles exchanged between two heat baths. The total time spent to reach the right heat bath from the left one is $`t_{LR}=nl_0^{\mathrm{}}\frac{1}{v}P_{T_1}(v)𝑑v,`$ where $`l=_0^{\mathrm{}}lf_L(l)𝑑l`$ is the average path length from the left heat bath to the right one, and $`P_T(v)`$ the velocity distribution function of heat bath at temperature $`T`$. Similarly, the total time of $`n`$ particles from the right bath to the left one is $`t_{RL}=nl_0^{\mathrm{}}\frac{1}{v}P_{T_2}(v)𝑑v`$. The total time is $`t=t_{LR}+t_{RL}`$. The energy exchange between two heat baths is $`E=n_0^{\mathrm{}}\frac{v^2}{2}(P_{T_1}(v)P_{T_2}(v))𝑑v=n(T_1T_2)`$, the heat flux for the channel of length $`L`$ per particle is thus given by:

$$J_1(L)=\frac{E}{t}=\frac{T_1T_2}{l_0^{\mathrm{}}\frac{1}{v}(P_{T_1}(v)+P_{T_2}(v))𝑑v}.$$
(6)
From Eq(6), it can be seen that whether the heat conduction obeys the Fourier law or not does not depend on the types of heat bath, it depends only on $`l`$ \- the transport property. For instance, if the system is diffusive, then $`lL^2`$ and the heat flux $`J_1(L)L^2`$. This is what we see in numerical calculations (Fig. 2(c)). Moreover, for a given geometry, i.e. $`l`$ is determined, the heat flux and heat conductivity are determined by the property of the heat baths. If we change the temperature of heat baths $`q`$ times, then for the simple heat bath we used and the Gaussian heat bath, it can be shown that, the heat flux changes $`q^{3/2}`$ times. Because the temperature gradient $`dT/dx=\text{Const.}T_0`$ (see Fig. 3(b)), thus the thermal conductivity $`\kappa `$ changes with temperature $`T_0^{1/2}`$, this agrees with our numerical finding in Fig. 3(a).

In summary, we have studied heat conduction in three different 1D Ehrenfest channels. The temperature gradient can be formed in all cases. However, a finite thermal conductivity can be reached only when the disorder (either in position or in height) exists. As the Lyapunov exponents are zero in our model, we thus conclude that the finite thermal conductivity might have nothing to do with the underlying dynamics. Most recent study on heat conduction in channels with irrational triangles supports this argument.

BL would like to thank G Casati for useful discussions, he was supported in part by Academic Research Fund of NUS. LW and BH were supported in part by Hong Kong RGC, the HKBU’s FRG, and the Texas Center for Superconductivity.

Author to whom correspondence should be addressed. Email: phylibw@nus.edu.sg


format: text

text:
# Untitled Document

On the greatest prime factor of $`(ab+1)(ac+1)`$

P. Corvaja U. Zannier

Abstract. We prove that for integers $`a>b>c>0`$, the greatest prime factor of $`(ab+1)(ac+1)`$ tends to infinity with $`a`$. In particular, this settles a conjecture raised by Györy, Sarkozy and Stewart, predicting the same conclusion for the product $`(ab+1)(ac+1)(bc+1)`$.

In the paper \[GSS\], Gÿory, Sarkozy and Stewart conjectured that, for positive integers $`a>b>c`$, the greatest prime factor of the product $`(ab+1)(ac+1)(bc+1)`$ tends to infinity as $`a\mathrm{}`$. In the direction of this conjecture, some partial results and analogues for more than three integers were obtained in the papers \[GS\] and \[ST\]; for example, in this last paper the conclusion is proved (through the use of Baker’s method, and thus in en “effective” way) under the assumption that $`\mathrm{log}c/\mathrm{log}a0`$. The paper \[GS\] instead proved the special case when some number in the set $`a,b,c,a/b,b/c,c/a`$ is an $`S`$-unit, and quantitative improvements on \[GS\] come from a paper by Bugeaud \[B\]. However the general case remained open.

In this note we show how the methods introduced in \[CZ\] and \[BCZ\] may be useful for such problems. In fact, we shall give an affirmative answer actually to a strengthening of the above conjecture. Namely, we prove that the greatest prime factor of $`(ab+1)(ac+1)`$ tends to infinity with $`a`$.

Actually, it will be clear from the proof that arguments similar to ours in fact lead to much more general conclusions (see also Remark 1 at the end). However here we shall focus only on the basic case just mentioned.

We shall prove the above statement (and so the conjecture) in the following equivalent form:

Theorem.Let $`S`$ be a finite set of prime numbers. Then there exist only finitely many triples of positive integers $`a>b>c`$ such that the product $`(ab+1)(ac+1)`$ has all of its prime factors in $`S`$.

As mentioned above, our proof will use the Subspace Theorem, leading (contrary to \[ST\]) to an ineffective result, in the sense that it will not provide an explicit lower bound for the greatest prime factor in question (i.e. our proof will not provide an explicit upper bound for $`a`$ in terms of $`S`$). However, for a given $`S`$ it would be possible to obtain an explicit upper bound for the number of triples in the above statement.

Acknowledgement. We thank Yann Bugeaud for drawing our attention to the problem and for providing us with some relevant references.

Proof of theorem. We shall use the same letter $`S`$ as in the statement to mean also the set of valuations of $`𝐐`$ associated to the primes in $`S`$. We also suppose that $`S`$ includes the infinite valuation.

Our arguments depend on the Subspace Theorem, as well as on a result by Liardet, appealed to in the final part. (This is essentially a particular case of the former “Lang conjecture for algebraic tori”, proved later by M. Laurent in full generality.) For the reader’s convenience we recall at once a formulation of the Subspace Theorem relevant to us. (For a proof see \[S1,2\].)

Subspace Theorem. Let $`S`$ be a finite set of absolute values of $`𝐐`$, including $`\mathrm{}`$ (normalized so that $`|p|_p=p^1`$) and let $`N𝐍`$. For $`wS`$, let $`L_{1w},\mathrm{},L_{Nw}`$ be linearly independent linear forms in $`N`$ variables, with rational coefficients, and let $`\delta >0`$. Then the solutions $`𝐱=(x_1,\mathrm{},x_N)𝐙^N`$ of the inequality

$$\underset{wS}{}\underset{j=1}{\overset{N}{}}|L_{jw}(𝐱)|_w<(\mathrm{max}|x_i|)^\delta $$

are contained in finitely many proper subspaces of $`𝐐^N`$.

Now with the proof. We argue by contradiction and we let $`\mathrm{\Sigma }`$ denote an infinite set of triples of positive integers $`(a,b,c)`$ with $`a>b>c`$ such that the two integers $`u:=ab+1`$, $`v:=ac+1`$ are $`S`$-units (namely they are entirely composed of primes from $`S`$).

Further, we put

$$y_1:=\frac{u1}{v1}=\frac{b}{c},y_2=\frac{u^21}{v1}=\frac{(u+1)b}{c},$$

so $`y_1,y_2`$ are rational numbers with denominator at most $`c`$. Similarly to \[CZ, Thm. 1\] and \[BCZ\], we shall now approximate $`y_1,y_2`$ with suitable linear combinations of $`S`$-units, which will allow an application of the Subspace Theorem.

First, observe the approximation<sup>(1)</sup> where for our purpose the number $`5`$ could be replaced by any larger integer

$$\frac{1}{v1}=\frac{1}{v(1v^1)}=\underset{n=1}{\overset{\mathrm{}}{}}v^n=\underset{n=1}{\overset{5}{}}v^n+O(v^6).$$

On multiplying by $`u^j1`$, for $`j=1,2`$, we thus obtain

$$\left|y_j+\underset{n=1}{\overset{5}{}}v^n\underset{n=1}{\overset{5}{}}u^jv^n\right|u^jv^6,j=1,2,$$

where the implied constant is absolute. In turn, this is equivalent to

$$\left|v^5y_j+\underset{n=1}{\overset{5}{}}v^{5n}\underset{n=1}{\overset{5}{}}u^jv^{5n}\right|u^jv^1,j=1,2.$$
$`(1)`$
Let $`\sigma _1,\mathrm{},\sigma _{15}`$ denote the integers $`u^jv^{5n}`$ for $`j=0,1,2`$ and $`n=1,\mathrm{},5`$, in some order. Naturally, these integers depend on $`(a,b,c)\mathrm{\Sigma }`$. Then (1) may be rewritten in the form

$$\left|v^5y_j+\underset{i=1}{\overset{15}{}}\alpha _{ji}\sigma _i\right|u^jv^1j=1,2,$$
$`(2)`$
for suitable rational numbers $`\alpha _{ji}`$.

We now introduce linear forms $`L_{jw}`$ in $`17`$ variables $`Y_1,Y_2,X_1\mathrm{},X_{15}`$, for $`j=1,\mathrm{},17`$ and $`wS`$. We set

$$L_j\mathrm{}=Y_j+\underset{i=1}{\overset{15}{}}\alpha _{ji}X_i,L_{jw}=Y_j\mathrm{for}w\mathrm{},j=1,2,$$

while for $`j=3,\mathrm{},17`$ and any $`wS`$ we put simply $`L_{jw}=X_{j2}`$.

Plainly, for each $`wS`$ the linear forms $`L_{jw}`$, $`j=1,\mathrm{},17`$ are linearly independent.

We also define, for each $`(a,b,c)\mathrm{\Sigma }`$, a vector $`𝐱=(x_1,\mathrm{},x_{17})𝐙^{17}`$ by

$$𝐱=(x_1,\mathrm{},x_{17})=(cv^5y_1,cv^5y_2,c\sigma _1,\mathrm{},c\sigma _{15}).$$

Observe that the $`x_i`$ so defined are in fact integers. Inequalities (2) translate into

$$|L_j\mathrm{}(𝐱)|_{\mathrm{}}cu^jv^1,j=1,2.$$
$`(3).`$
Also, for $`j=1,2`$ we have

$$\underset{wS\mathrm{}}{}|L_{jw}(𝐱)|_w=\underset{wS\mathrm{}}{}|cy_jv^5|_w\underset{wS\mathrm{}}{}|v^5|_w=v^5,$$

the inequality holding because $`cy_j`$ is an integer and the last equality following from the product formula, since $`v`$ is a positive $`S`$-unit. Combining with (3) yields

$$\underset{wS}{}|L_{jw}(𝐱)|_wcu^jv^6,j=1,2.$$
$`(4)`$
On the other hand, if $`j=3,\mathrm{},17`$ we have (by the product formula again)

$$\underset{wS}{}|L_{jw}(𝐱)|_w=\underset{wS}{}|c\sigma _{j2}|_wc,$$
$`(5)`$
since $`c`$ is an integer and since $`\sigma _1,\mathrm{},\sigma _{15}`$ are $`S`$-units. Combining (4) and (5) yields

$$\underset{j=1}{\overset{17}{}}\underset{wS}{}|L_{jw}(𝐱)|_wc^{17}u^3v^{12}.$$
$`(6)`$
Now, we have $`u=ab+1a^2`$ and $`v=ac+1>ac`$, whence $`c^{17}u^3v^{12}c^5a^6<a^1`$. Also, $`\mathrm{max}|x_i|u^2v^5ca^{15}`$, so (6) gives

$$\underset{i=1}{\overset{17}{}}\underset{wS}{}|L_{iw}(𝐱)|_w(\mathrm{max}|x_i|)^{\frac{1}{15}}.$$

Therefore we may apply the Subspace Theorem (say with $`\delta =1/16`$) and deduce that the vectors $`𝐱`$ in question all lie on the union of finitely many rational proper linear subspaces of $`𝐐^{17}`$. In particular, we may assume that there exist rationals $`\eta _1,\eta _2,\gamma _1,\mathrm{},\gamma _{15}`$, not all zero and such that for infinitely many triples $`(a,b,c)\mathrm{\Sigma }`$, we have

$$\eta _1y_1v^5+\eta _2y_2v^5+\underset{i=1}{\overset{15}{}}\gamma _i\sigma _i=0.$$

Recalling the definition of $`y_i`$ and $`\sigma _i`$ we derive an equation

$$\eta _1\frac{v^5(u1)}{v1}+\eta _2\frac{v^5(u^21)}{v1}+\underset{j,n}{}\rho _{jn}u^jv^{5n}=0,$$
$`(7)`$
valid for an infinity of triples in $`\mathrm{\Sigma }`$, where the summation is over $`j=0,1,2`$ and $`n=1,\mathrm{},5`$ and where the coefficients $`\eta _1,\eta _2,\rho _{jn}`$ are fixed rationals, not all zero.

Consider now the algebraic curve $`𝒱`$ (not necessarily irreducible) defined in $`𝐆_m^2`$ by the equation

$$\eta _1(U1)+\eta _2(U^21)+(V1)\underset{j,n}{}\rho _{jn}U^jV^n=0,$$

where $`U,V`$ are variables. We pause to show that this equation is nontrivial, so it defines in fact a curve. Suppose on the contrary that the left side vanishes identically. Then $`\eta _1(U1)+\eta _2(U^21)`$ would be divisible by $`V1`$, (which is coprime with the denominators of all the other terms). But this would imply $`\eta _1=\eta _2=0`$, yielding $`_{j,n}\rho _{jn}U^jV^n=0`$. Now, looking at nonzero terms with maximal $`n`$, we conclude that $`\rho _{jn}=0`$ for all $`j,n`$ in question, a contradiction.

In view of (7), $`𝒱`$ contains infinitely many points $`(u,v)`$ in the finitely generated group of points whose coordinates are $`S`$-units in $`𝐐`$. By a theorem of Liardet (see e.g. \[L, Thm. 7.3, p. 207\]) all but finitely many of such points lie in a certain finite union of translates of algebraic subtori of $`𝐆_m^2`$. So, we may assume that some such translate contains an infinity of the points in question. But it is an easy well-known fact that such a translate is defined by some equation $`U^pV^q=h`$, where $`p,q`$ are coprime integers not both zero and where $`h𝐂^{}`$ (see also the quoted theorem in \[L\]). Therefore we would have $`u^pv^q=h`$ for some fixed $`h`$ and an infinity of triples in $`\mathrm{\Sigma }`$. This plainly implies that $`h`$ is rational and that $`pq<0`$. So, writing $`h=h_1/h_2`$ and replacing $`p,q`$ by $`\pm p,\pm q`$, we may assume that $`h_1u^p=h_2v^q`$, where now $`p,q,h_1,h_2`$ are certain fixed positive integers with $`(p,q)=1`$. But $`uv1(moda)`$, whence $`h_1h_2(moda)`$ for an infinity of integers $`a`$. This implies $`h_1=h_2`$, so the equation is in fact $`u^p=v^q`$. This implies $`u=t^q`$, $`v=t^p`$ for a suitable integer $`t`$, depending on $`a,b,c`$. Now, the GCD$`(t^p1,t^q1)`$ is bounded by a constant multiple of $`t1`$, since the polynomials $`\frac{x^p1}{x1}`$ and $`\frac{x^q1}{x1}`$ are coprime. On the other hand the GCD$`(u1,v1)`$ is a multiple of $`a`$, whence

$$at1u^{1/q}a^{2/q}.$$

Therefore $`q2`$, which forces $`p=1,q=2`$, i.e. $`u=v^2>a^2`$. This would imply however $`ba`$, a contradiction which proves the theorem.///

Remark 1. A combination of the above arguments with the more refined technique of \[BCZ\] leads to an improvement on that paper. In such a sharpening one can show the following: Let $`ϵ>0`$ and let $`S`$ be a finite set of primes. Then, for pairs $`(u,v)`$ of multiplicatively independent $`S`$-units, we have GCD$`(u1,v1)_{ϵ,S}(\mathrm{max}(u,v))^ϵ`$. (The result of \[BCZ\] is the special case $`u=a^n`$, $`v=b^n`$, where $`a,b`$ are fixed multiplicatively independent integers and $`n`$ varies through $`𝐍`$.)

Remark 2. A somewhat different solution to the original conjecture is as follows. Write $`ab+1=r`$, $`ac+1=s`$, $`bc+1=t`$, so $`r,s,t`$ are $`S`$-units. We find $`(abc)^2=rstrsrtst+r+s+t1`$. This equation may be treated as in \[CZ\], by expanding with the binomial theorem the square root of the right side. This works provided the term $`rst`$ is “dominant”, which here means that $`rs<(rst)^{1\delta }`$, for some fixed positive $`\delta `$. In turn, it suffices that $`b`$ is larger than a fixed positive power of $`a`$. On the other hand, if this is not the case, then $`\mathrm{log}c/\mathrm{log}a`$ tends to zero and the result of \[ST\] applies.

References

\[B\] Y. Bugeaud, On the greatest prime factor of $`(ab+1)(ac+1)(bc+1)`$, Acta Arith., 86 (1998), 45-49.

\[BCZ\] Y. Bugeaud, P. Corvaja, U. Zannier - An upper bound for the G.C.D. of $`a^n1`$ and $`b^n1`$, preprint, 2001.

\[CZ\] P. Corvaja, U. Zannier - Diophantine equations with power sums and universal Hilbert sets, Indagationes Math., 9 (1998), 317-332.

\[GS\] K. Györy, A. Sarkozy - On prime factors of integers of the form $`(ab+1)(ac+1)(bc+1)`$, Acta Arith., 79 (1997).

\[GSS\] K. Györy, A. Sarkozy, C.L. Stewart - On the number of prime factors of integers of the form $`ab+1`$, Acta Arith., 74 (1996), 365-385.

\[L\] S.Lang - Fundamentals of Diophantine Geometry, Springer-Verlag, 1983.

\[S1\] W.M. Schmidt - Diophantine Approximation, Springer-Verlag LNM 785, 1980.

\[S2\] W.M. Schmidt - Diophantine Approximations and Diophantine Equations, Springer-Verlag LNM 1467, 1991.

\[ST\] C.L. Stewart, R. Tijdeman - On the greatest prime factor of $`(ab+1)(ac+1)(bc+1)`$, Acta Arith., 79 (1997).

Umberto Zannier Pietro Corvaja

I.U.A.V. - DCA Dipartimento di Mat. e Inf.

S. Croce, 191 via delle Scienze, 206

30135 VENEZIA (ITALY) 33100 UDINE (ITALY)

zannier@iuav.it corvaja@dimi.uniud.it


text:
# A note on Galois modules and the algebraic fundamental group of projective curves

## 1. Introduction

Let $`X`$ be a smooth projective connected curve of genus $`g2`$ defined over an algebraically closed field $`k`$ of characteristic $`p>0`$. Given a finite group $`G`$ when does there exist an étale Galois cover $`YX`$ with group $`G`$?

Grothendieck gave a necessary and sufficient condition for this to take place when $`|G|`$ is prime to $`p`$, . Hasse-Witt theory does the same for a $`p`$-group $`G`$, . Later, the case of a group $`G`$ which is the extension of a group $`H`$ of order prime to $`p`$ by a $`p`$-group $`P`$ necessary and sufficient conditions for $`G`$ to be such a Galois group were obtained in . This result was extended for a group $`G`$ which is the extension of any group $`H`$ by a $`p`$-group $`P`$, . The result in  relied on the naive representation theoretic approach of  as well as on techniques of embedding problems and cohomological dimension. The result in  relied on modular representation theory.

One natural question is: how far can this type of approach give information on the construction étale Galois covers? We start by discussing why it was needed in the two latter cases to take an extension of a group by a $`p`$-group. Next we consider any finite group $`G`$ and take $`P`$ to be a Sylow $`p`$-subgroup of $`G`$ and let $`N_G(P)`$ be its normalizer in $`G`$. Subject to the hypothesis that there exists an étale Galois cover $`YX`$ with group $`N_G(P)`$, we show that $`G`$ is the Galois group of an étale Galois cover $`𝒴𝒳`$ (using patching theory ), where the genus of $`𝒳`$ depends on the order of $`G`$, the number of Sylow $`p`$-subgroups of $`G`$ and $`g`$.

Finally, the necessary and sufficient condition of  can be expressed in terms of certain numbers, called generalized Hasse-Witt invariants, which generalize the notion of the $`p`$-rank of a curve. Our next result is of a different nature, however related to these numbers. At this point we assume that $`H`$ is a group of order prime to $`p`$ and the $`X`$ is defined over a finite field $`𝔽_q`$ large enough to contain the $`|H|`$-th roots of unity. We show that integral idempotent relations in the group ring $`[H]`$ imply similar relations among the corresponding generalized Hasse-Witt invariants. Analogous situations for the genera and Hasse-Witt invariants of curves were done before in  and . As in , where relations among zeta-functions are first proved, the result follows from relations between Artin $`L`$-functions.

## 2. Galois groups of étale Galois covers

Let $`X`$ be a smooth projective connected curve of genus $`g2`$ defined over an algebraically closed field $`k`$ of characteristic $`p>0`$. Let $`\pi _1(X)`$ be its algebraic fundamental group. Let $`\mathrm{\Gamma }_g`$ be the topological fundamental group of a compact Riemann surface of genus $`g`$ and $`\widehat{\mathrm{\Gamma }}_g`$ its profinite completion. It is a result due to Grothendieck \[5, Corollary 2.12\] that there exists a surjective group homomorphism $`\phi :\widehat{\mathrm{\Gamma }}_g\pi _1(X)`$ whose kernel is contained in every open normal subgroup $`N`$ of $`\widehat{\mathrm{\Gamma }}_g`$ such that $`(\widehat{\mathrm{\Gamma }}_g:N)`$ is prime to $`p`$. In particular, $`\pi _1(X)`$ is topologically finitely generated. Let $`\pi _A(X)`$ be the set of isomorphism classes of finite groups which are quotients of $`\pi _1(X)`$, i.e., $`G\pi _A(X)`$ if and only if there exists an étale Galois cover $`YX`$ such that $`G=\text{Gal}(Y/X)`$. Hence, the determination of $`\pi _1(X)`$ is equivalent to that of $`\pi _A(X)`$.

Our first goal is to discuss $`\pi _A(X)`$. As a consequence of \[5, Corollary 2.12\] Grothendieck obtained that a finite group $`G`$ of order prime to $`p`$ lies in $`\pi _A(X)`$ if and only if $`G`$ is isomorphic to a finite quotient of $`\widehat{\mathrm{\Gamma }}_g`$. The case of finite $`p`$-groups $`P`$ is first treated by Hasse-Witt theory, when $`P`$ is a $`p`$-elementary abelian group \[20, §11\]. In this case, $`G\pi _A(X)`$ if and only if it has at most $`\gamma _X`$ generators, where $`\gamma _X`$ is the $`𝔽_p`$-dimension of the $`p`$-torsion subgroup $`J_X[p]`$ of the Jacobian variety $`J_X`$ of $`X`$. This number is called the Hasse-Witt invariant or the $`p`$-rank of $`X`$. The general case is reduced to this one by taking the quotient $`P/\mathrm{\Phi }(P)`$ of $`P`$ by its Frattini subgroup $`\mathrm{\Phi }(P)=[P,P]P^p`$ and using that $`\pi _1(X)`$ has $`p`$-cohomological dimension $`\text{cd}_p(\pi _1(X))`$ at most $`1`$ \[16, Introduction\].

The first mixed case to consider is that of a finite group $`G`$ which is an extension of a group $`H`$ of order prime to $`p`$ by a $`p`$-group $`P`$ \[16, Theorem 1.3\]. We proved that the necessary and sufficient condition for $`G\pi _A(X)`$ is that there exists an étale Galois cover $`YX`$ such that $`P/\mathrm{\Phi }(P)`$ injects in $`J_Y[p]`$ as an $`𝔽_p[H]`$-module. Moreover, the étale Galois cover $`ZX`$ with group $`G`$ dominates $`YX`$. In the next section we will express this explicitly in terms of multiplicities of irreducible representations. It should be also noted that in \[19, Corollary 3.5\], using formal patching, it was proved that a finite group $`G`$ having at most $`g`$ generators lies in $`\pi _A(𝒳)`$, for some smooth projective connected curve $`𝒳`$ of genus $`g`$. In contrast, the first step of the proof of the former result is based in the case where $`P`$ is a $`p`$-elementary abelian group and it was solved by naive representation theory in \[14, Propositions 2.4 and 2.5\]. We will comment later on how to go from this step to the general case.

Later Borne in \[3, Theorem 1.1\] used modular representation theory to extend \[16, Theorem 1.3\] to the case of a finite group $`G`$ which is the extension of any group $`H`$ by a $`p`$-group $`P`$. He also obtained a necessary and sufficient condition for $`G\pi _A(X)`$ in terms of representation theory. At this point it is convenient to phrase these two latter results in terms of embedding problems \[6, p. 366\]. Let $`\mathrm{\Pi }`$, $`𝒢`$, $``$ and $`𝒫`$ be profinite groups. An embedding problem is a pair $`=(𝒢,\mathrm{\Pi })`$ of surjective profinite group homomorphisms. We say that $``$ has a weak, respectively strong, solution if there exists a group homomorphism, respectively a surjective group homomorphism, $`\mathrm{\Pi }𝒢`$ such that the following diagram commutes

$$\text{}.$$

The two latter situations can be described as obtaining a strong solution to the embedding problem

$$\text{}.$$

The kernel $`𝒫`$ of $`𝒢`$ is called the kernel of the embedding problem $``$. In the case where $`𝒫`$ is a profinite $`p`$-group, we say that $``$ is a $`p`$-embedding problem \[7, Section 2\]. Thus, \[16, Theorem 1.3\] and \[3, Theorem 1.1\] give a necessary and sufficient condition for finite $`p`$-embedding problems for the fundamental group of projective curves to be strongly solved.

One natural question is: how far can the Galois module theory approach go in order to obtain information on $`\pi _A(X)`$? Let us first point out where the $`p`$-group kernel was used in both situations. In \[16, §6\], we started from the strong solution of the embedding problem $`(\pi _1(X)H,P/\mathrm{\Phi }(P)HH)`$. This solution was obtained via naive representation theory, \[14, Propositions 2.4 and 2.5\]. Then we used the $`p`$-group kernel and $`\text{cd}_p(\pi _1(X))1`$ to obtain via Galois cohomology \[21, Proposition 16, I-23\] a weak solution to the embedding problem $`(\pi _1(X)P/\mathrm{\Phi }(P)H,GP/\mathrm{\Phi }(P)H)`$. The strong solution is obtained via a Frattini type of argument, \[16, Remark 4.4\]. In \[3, §2\] the $`p`$-group kernel was used to obtain (via Clifford’s theorem) a 1-1 correspondence between the set of isomorphism classes of simple $`k[H]`$-modules and the set of isomorphism classes of simple $`k[G]`$-modules \[3, Remark 2 to Proposition 2.4\]. This was crucial in the proof of the reduction lemma \[3, Lemma 3.1\], which was used to prove \[3, Theorem 1.1\].

Abhyankar’s conjecture is closely related to the problem of when a finite group $`G`$ lies in $`\pi _A(X)`$, . We now describe this conjecture. Let $`x_1,\mathrm{},x_rX`$ with $`r1`$ and $`U=X\{x_1,\mathrm{},x_r\}`$. Let $`\pi _1(U)`$ be the algebraic fundamental group of $`U`$ and $`\pi _A(U)`$ the set of isomorphism classes of finite groups which are quotients of $`\pi _1(U)`$. The conjecture states that a finite group $`G\pi _A(U)`$ if and only if $`G/p(G)\pi _A(U)`$, where $`p(G)`$ is the quasi-$`p`$ subgroup of $`G`$, i.e., the group generated by the Sylow $`p`$-subgroups of $`G`$. One side of this conjecture was already known to Grothendieck. In fact, another consequence of \[5, Corollary 2.12\] is that a finite group $`G`$ of order prime to $`p`$ lies in $`\pi _A(U)`$ if and only if $`G`$ is a finite quotient of the profinite completion $`\widehat{\mathrm{\Gamma }}_{g,r}`$ of the topological fundamental group $`\mathrm{\Gamma }_{g,r}`$ of a compact Riemann surface of genus $`g`$ minus $`r`$ points. If $`G\pi _A(U)`$, then $`G/p(G)\pi _A(U)`$ and Grothendieck’s result give a necessary and sufficient condition for this to take place. The converse was the issue in the conjecture. When $`U`$ is the affine line, the conjecture was proved by Raynaud , using rigid analytic techniques. Later, Harbater  extended this result to any affine curse using formal geometry.

The analogue of Abhyankar’s conjecture fails for projective curves. Indeed, suppose $`X`$ is an ordinary curve, i.e., $`J_X[p](/p)^g`$. Let $`n>g`$ be an integer and $`G=(/p)^n`$. Then $`G/p(G)=\{1\}\pi _A(X)`$, however $`G\pi _A(X)`$, since it violates the condition that the number of generators of $`G`$ has to be at most $`\gamma _X=g`$. The representation theoretic conditions of \[16, Theorem 1.3\] and \[3, Theorem 1.1\] are the obstruction for the condition $`G/p(G)\pi _A(X)`$ to be sufficient for $`G\pi _A(X)`$.

The first idea to proceed is to first obtain a strong solution to the embedding problem $`(\pi _1(X)H,(p(G)/[p(G)])HH)`$ in a similar way to \[14, Propositions 2.4 and 2.5\], where $`[p(G)]`$ denotes the commutator of $`p(G)`$. Then we are lead to try to solve the embedding problem $`(\pi _1(X)(p(G)/[p(G)])H,G(p(G)/[p(G)])H)`$. However, the kernel is not any longer a $`p`$-group and the $`\mathrm{}`$-cohomological dimension of $`\pi _1(X)`$ is not necessarily $`1`$, for a prime number $`\mathrm{}p`$ (cf. \[2, Corollaire 4.3\] and \[16, §5\]). In the modular representation theory approach, although \[3, Proposition 2.4\] can be proved without the hypothesis of the embedding problem having a $`p`$-kernel, \[3, Lemma 3.1\] cannot. So this points to a bound on the Galois module theoretic method.

The strategy of strongly solving first a finite $`p`$-embedding problem for the affine line $`𝔸^1`$ in order to show that $`G/p(G)\pi _A(𝔸^1)`$ implies $`G\pi _A(𝔸^1)`$ appears in . There rigid patching is used together with other techniques. Strongly solving finite $`p`$-embedding problems also appears as part of the strategy of , where also a prescribed local behavior is needed  and formal patching replaces rigid patching. For an account of the sketch of both proofs see \[9, p. 85, 86\].

If we try to mimic the use of patching theory for projective curves, not only do we not realize $`G`$ as a Galois group of an étale Galois cover of $`X`$, but also the base curve has its genus increased. This is due to \[19, Theorem 3.1\] which we describe next.

Given an integer $`g1`$, let $`\pi _A(g)`$ be the set of isomorphism classes of finite groups $`G`$ such that $`G\pi _A(X)`$, for some smooth projective connected curve $`X`$ of genus $`g`$ defined over $`k`$. Our main ingredient is the following result.

###### Proposition 2.1.

\[19, Theorem 3.1\] Let $`G`$ be a finite group generated by two subgroups $`H_1`$ and $`H_2`$. Suppose there exist smooth projective connected curves $`X_1`$ and $`X_2`$ of genus $`g_1`$ and $`g_2`$, respectively, defined over $`k`$ such that $`H_1\pi _A(U_1)`$ and $`H_2\pi _A(U_2)`$, where $`U_1=X_1\{\xi _1\}`$ and $`U_2=X_2\{\xi _2\}`$. Suppose furthermore that the ramification over $`\xi _1`$ and $`\xi _2`$ is tame and that the generator of the inertia group of $`\xi _1`$ is the inverse in $`G`$ of that of the inertia group at $`\xi _2`$. Then $`G\pi _A(g_1+g_2)`$.

Let $`P`$ be a Sylow $`p`$-subgroup of $`G`$ and $`N_G(P)`$ its normalizer in $`G`$. Let $`|G|=mp^e`$ with $`pm`$ and $`n_p`$ the number of Sylow $`p`$-subgroups of $`G`$. By \[4, Chapter I, Theorem 3.7\] $`G=N_G(P)p(G)`$. In particular, $`G`$ is generated by $`N_G(P)`$ and $`p(G)`$.

###### Theorem 2.2.

Suppose there exists a smooth projective connected curve $`X`$ of genus $`g2`$ such that $`N_G(P)\pi _A(X)`$ (hence satisfying the condition of \[16, Theorem 1.3\]). Then $`G\pi _A(n_p+m(g1)+g)`$.

###### Proof.

Let $`Z(P)X`$ be an étale Galois cover with group $`N_G(P)`$. This cover dominates an étale Galois cover $`Y(P)X`$ with group $`N_G(P)/P`$ and $`P\pi _A(Y(P))`$. By the Riemann-Hurwitz formula $`Y(P)`$ has genus $`(m/n_p)(g1)+1`$. Note that for any other Sylow $`p`$-subgroup $`P^{}`$ of $`G`$, $`N_G(P^{})N_G(P)`$, hence $`N_G(P^{})\pi _A(X)`$. Consequently, there exists an étale Galois cover $`Z(P^{})X`$ with group $`N_G(P^{})`$ which dominates an étale Galois cover $`Y(P^{})X`$ with group $`N_G(P^{})/P^{}`$ and $`P^{}\pi _A(Y(P^{}))`$. By Proposition 2.1, since $`p(G)`$ is generated by the Sylow $`p`$-subgroups of $`G`$, $`p(G)\pi _A(m(g1)+n_p)`$. Let $`𝒴^{}𝒳^{}`$ be an étale Galois cover with group $`p(G)`$. Since $`N_G(P)\pi _A(X)`$, i.e., $`N_G(P)`$ is the Galois group of an étale Galois cover $`YX`$, once again applying Proposition 2.1, we conclude $`G\pi _A(n_p+m(g1)+g)`$. ∎

## 3. Idempotent relations and generalized $`p`$-ranks of curves

Let $`G`$ be a finite group which is the extension of a group $`H`$ of order prime to $`p`$ by a $`p`$-group $`P`$. Let $`\mathrm{\Phi }(P)=[P,P]P^p`$ be the Frattini subgroup of $`P`$. Let $`X`$ be a smooth projective connected curve of genus $`g2`$ over $`k`$. The necessary and sufficient condition for $`G`$ to lie in $`\pi _A(X)`$ can be phrased in an explicit way using representation theory.

For each irreducible character $`\chi `$ of $`H`$, let $`V_\chi `$ be the corresponding irreducible $`k[H]`$-module and $`𝔽_{p^{l_\chi }}=𝔽_p(\chi )`$ the field generated by $`𝔽_p`$ and the values of $`\chi `$. Let $`\rho _\chi `$ be the irreducible representation corresponding to $`V_\chi `$. Then for each positive power $`p^m`$ of $`p`$ we have another irreducible representation $`\rho _{\chi ^{p^m}}`$ of $`G`$ such that $`\rho _{\chi ^{p^m}}(\tau )=\rho _\chi (\tau )^{p^m}`$, for every $`\tau H`$. Denote by $`V_{\chi ^{p^m}}`$ the irreducible $`k[G]`$-module corresponding to $`\rho _{\chi ^{p^m}}`$. The irreducible $`𝔽_p[H]`$-modules are given by $`V_{[\chi ]}=V_\chi V_{\chi ^p}\mathrm{}V_{\chi ^{p^{l_\chi 1}}}`$. Let $`P/\mathrm{\Phi }(P)=_{[\chi ]}V_{[\chi ]}^{m_{[\chi ]}}`$ be the decomposition of $`P/\mathrm{\Phi }(P)`$ into irreducible $`𝔽_p[H]`$-modules.

Let $`YX`$ a Galois cover with group $`H`$. The group $`H`$ acts on $`J_Y[p]`$. Let $`J_Y[p]_{𝔽_p}k=_\chi V_\chi ^{r_\chi }`$ be the decomposition of $`J_Y[p]_{𝔽_p}k`$ into irreducible $`k[H]`$-modules and denote $`J_Y[p]_\chi =V_\chi ^{r_\chi }`$. This is a $`k`$-vector space whose dimension $`\gamma _{Y,\chi }`$ is called the generalized Hasse-Witt invariant of $`Y`$ with respect to $`\chi `$ \[18, §2\]. It follows from \[14, Proposition 2.8 and Lemma 2.11\] that $`\gamma _{Y,\chi ^{p^m}}=\gamma _{Y,\chi }`$ for every positive power $`p^m`$ of $`p`$. Thus, we denote it by $`\gamma _{Y,[\chi ]}`$. The condition, $`P/\mathrm{\Phi }(P)`$ injects as an $`𝔽_p[H]`$-module in $`J_Y[p]`$ is equivalent to $`m_{[\chi ]}n_{[\chi ]}\gamma _{Y,[\chi ]}`$ for any irreducible $`𝔽_p[H]`$-module $`V_{[\chi ]}`$, where $`n_{[\chi ]}`$ denotes the dimension of any of the $`k[H]`$-irreducible modules $`V_{\chi ^{p^m}}`$. Hence, our representation theoretic condition is expressed in terms of the generalized Hasse-Witt invariants.

These invariants are also used to count the number of étale Galois covers of $`X`$ whose Galois group $`G`$ is the extension of a group $`H`$ of order prime to $`p`$ by an elementary $`p`$-abelian group $`P`$ such that the action of $`H`$ on $`P`$ is faithful and irreducible \[14, Theorem 1.8\] (for previous results see also  and ). When instead of an algebraically closed field $`k`$ we consider a finite $`𝔽_q`$ large enough to contain the $`|H|`$-th roots of unity, the generalized Hasse-Witt invariants are obtained as the degrees of the $`L`$-functions $`L(t,\chi ,Y/X)^{n_\chi }`$ which we now describe \[18, Corollary 4.1\].

We suppose from now on that $`Y`$ and $`X`$ are defined over a finite field $`𝔽_q`$ of characteristic $`p`$ large enough to contain the $`|H|`$-th roots of unity. Let $`F:YY`$ be the geometric Frobenius morphism of $`Y`$ with respect to $`𝔽_q`$. For each positive integer $`\nu `$ and for each $`\tau H`$, let $`\mathrm{\Lambda }(\tau F^\nu )`$ be the number of points of $`Y`$ fixed by $`\tau F^\nu `$. The Artin $`L`$-function $`L(t,\chi ,Y/X)`$ of an irreducible character $`\chi `$ of $`H`$ is defined as

$$L(t,\chi ,Y/X)=\mathrm{exp}\left(\underset{\nu 1}{}A_\nu (\chi )\frac{t^\nu }{\nu }\right),\text{ where }A_\nu (\chi )=\frac{1}{|H|}\underset{\tau H}{}\chi (\tau ^1)\mathrm{\Lambda }(\tau F^\nu ).$$

Let $`\mathrm{}p`$ be a prime number and let $`T_{\mathrm{}}(J_Y)=\underset{}{\mathrm{lim}}J_Y[\mathrm{}^n]`$ be the $`\mathrm{}`$-adic Tate module of $`J_Y`$. It is a result due to Weil \[12, p. 186, Theorem 6\] that there exists a representation $`\text{End}(J_Y)\text{End}(T_{\mathrm{}}(J_Y))`$ given by $`\tau \alpha _\tau ^{}`$. Let $`\vartheta `$ be the restriction of this representation to $`H`$. Denote also by $`F`$ the geometric Frobenius of $`J_Y`$ over $`𝔽_q`$ and let $`\alpha _{F^\nu }^{}\text{End}(T_{\mathrm{}}(J_Y))`$ be the element corresponding to $`\nu `$-th power $`F^\nu `$ of $`F`$. Then $`\mathrm{\Lambda }(\tau F^\nu )=q^\nu +1\text{Tr}(\alpha _{\tau ^1}^{}\alpha _{F^\nu }^{}|T_{\mathrm{}}(J_Y))`$. Hence,

$$L(t,\chi ,Y/X)=\frac{P(t,\chi ,Y/X)}{(1qt)^{u_\chi }(1t)^{u_\chi }},$$

where

(3.1)
$$P(t,\chi ,Y/X)=\mathrm{exp}\left(\underset{\nu 1}{}\frac{1}{|H|}\left(\underset{\tau H}{}\chi (\tau ^1)\text{Tr}(\alpha _{\tau ^1}^{}\alpha _{F^\nu }^{})\right)\frac{t^\nu }{\nu }\right)$$

is a polynomial in $`t`$ and $`u_\chi =1`$, if $`\chi `$ is trivial, $`u_\chi =0`$, otherwise. Denote by $`\chi ^1`$ the character of the representation $`\rho _\chi (\tau )^1`$, for every $`\tau H`$.

For each subgroup $`M`$ of $`H`$ and each irreducible character $`\chi _M`$ of $`M`$, let $`e_{\chi _M}=\frac{\chi _M(1)}{|M|}_{\sigma M}\chi _M(\sigma ^1)\sigma [H]`$ be the corresponding idempotent. An integral idempotent relation is an equality of the form $`_Ms_{\chi _M}e_{\chi _M}=0`$, where $`M`$ runs through the subgroups of $`H`$, $`s_{\chi _M}`$ and for each $`M`$ we choose an irreducible character $`\chi _M`$ of $`M`$.

###### Theorem 3.1.

An integral idempotent relation $`_Ms_{\chi _M}e_{\chi _M}=0`$ in $`[H]`$ implies a relation

$$\underset{M}{}P(t,\chi _M^1,Y/Y_M)^{\chi _M(1)s_{\chi _M}}=1,$$

where $`Y_M`$ is the quotient curve $`Y/M`$ and $`YY_M`$ the corresponding Galois cover.

###### Proof.

Let $`_{\mathrm{}}`$ be the completion of the algebraic closure $`\overline{}_{\mathrm{}}`$ of $`_{\mathrm{}}`$ and identify the $`|H|`$-th roots of unity in $``$ with those in $`_{\mathrm{}}`$. We will consider the integral idempotent relation $`_Ms_{\chi _M}e_{\chi _M}=0`$ inside $`_{\mathrm{}}[H]`$ instead of $`[H]`$. Extend the representation $`\vartheta `$ to a representation $`\overline{\vartheta }:_{\mathrm{}}[H]\text{GL}(T_{\mathrm{}}(J_Y)_{_{\mathrm{}}}_{\mathrm{}})`$. Then

$$0=\overline{\vartheta }\left(\underset{M}{}s_{\chi _M}e_{\chi _M}\right)=\underset{M}{}\left(\frac{s_{\chi _M}\chi _M(1)}{|M|}\right)\underset{\sigma M}{}\chi _M(\sigma ^1)\alpha _\sigma ^{}.$$

Taking the trace of following representation in $`T_{\mathrm{}}(J_Y)_{_{\mathrm{}}}_{\mathrm{}}`$, we obtain

$$0=\text{Tr}\left(\overline{\vartheta }\left(\underset{M}{}s_{\chi _M}e_{\chi _M}\right)\alpha _{F^\nu }^{}\right)=\underset{M}{}\frac{s_{\chi _M}}{|M|}\underset{\sigma M}{}\chi _M(\sigma ^1)\text{Tr}(\alpha _\tau ^{}\alpha _{F^\nu }^{}).$$

The result now follows from (3.1). ∎

The Artin $`L`$-function $`L(t,Y/X,\chi )`$ can be expressed $`p`$-adically as follows. For each $`PJ_Y`$, let $`𝒪_{J_Y,P}`$ be the local ring of $`J_Y`$ at $`P`$. For each integer $`n1`$, let $`W_n(𝒪_{J_Y,P})`$ be the Witt ring of length $`n`$ with coefficients in $`𝒪_{J_Y,P}`$. Let $`𝒲_n`$ be the sheaf over $`J_Y`$ defined by these rings. The cohomology groups $`H^m(J_Y,𝒲_n)`$ form a projective limit. Let $`H^m(J_Y,𝒲)=\underset{}{\mathrm{lim}}H^m(J_Y,𝒲_n)`$. Let $`J_Y^{}`$ be the dual abelian variety of $`J_Y`$ and $`T_p(J_Y^{})`$ its $`p`$-adic Tate module. Let $`W(\overline{𝔽}_q)`$ the ring of Witt vectors of $`\overline{𝔽}_q`$ and $`\overline{T}_p(J_Y^{})=T_p(J_Y^{})__pW(\overline{𝔽}_q)`$. Let $`L(J_Y)=H^1(J_Y,𝒲)\overline{T}_p(J_Y^{})`$. Note that identifying the $`|H|`$-th roots of unity in $``$ with those in $`𝔽_q`$, we can assume that the characters of $`H`$ take value in $`𝔽_q`$, hence in $`W(\overline{𝔽}_q)`$. Let $`L(J_Y)=_\chi 𝒱_\chi ^{m_\chi }`$ be the decomposition of $`L(J_Y)`$ into irreducible $`W(\overline{𝔽}_q)[H]`$-modules and let $`L(J_Y)_\chi =𝒱_\chi ^{m_\chi }`$. It is proved in \[18, Corollary 3.1\] that $`P(t,\chi ,Y/X)^{\chi (1)}=det(1\alpha _{p,F}^{}t|L(J_Y)_{\chi ^1})`$, where $`\alpha _{p,F}^{}L(J_Y)`$ is the endomorphism corresponding to the geometric Frobenius $`F`$ of $`J_Y`$. In particular, $`P(t,\chi ,Y/X)`$ has $`p`$-integral coefficients.

Let $`K=𝔽_q(Y)`$, let $`\mathrm{\Omega }_K`$ be the space of all differentials of $`K`$ and $`H^0(Y,\mathrm{\Omega }_Y)`$ the subspace of regular differentials. Let $`uK`$ be a separating variable and $`\omega =fdu\mathrm{\Omega }_K`$. The Cartier operator is defined by $`𝒞(\omega )=(d^{p1}f/du^{p1})^{/1/p}du`$. It is a $`1/p`$-linear operator, i.e., $`𝒞(a^p\omega )=a\omega `$, for $`aK`$, and it acts on $`H^0(Y,\mathrm{\Omega }_Y)`$ \[20, §10, p.39\].

Let $`H^0(Y,\mathrm{\Omega }_Y)=_\chi H^0(Y,\mathrm{\Omega }_Y)_\chi `$ be the decomposition of $`H^0(Y,\mathrm{\Omega }_Y)`$ into a sum of irreducible $`𝔽_q[H]`$-modules, where $`H^0(Y,\mathrm{\Omega }_Y)_\chi =V_\chi ^{m_\chi }`$ and $`V_\chi `$ is the irreducible $`𝔽_q[H]`$-module corresponding to $`\chi `$. Let $`q=p^n`$, then $`𝒞^n`$ acts on $`H^0(Y,\mathrm{\Omega }_Y)_\chi `$. Moreover, $`\gamma _{Y,\chi }=dim_{𝔽_q}\mathrm{ker}(1𝒞^n|H^0(Y,\mathrm{\Omega }_Y)_\chi )`$ \[18, Proposition 2.3\]. It is also shown that $`det(1\alpha _{p,F}^{}t|L(J_Y)_{\chi ^1})(modp)=det(1𝒞^nt|H^0(Y,\mathrm{\Omega }_Y)_\chi )`$ \[18, Theorem 4.1\]. Consequently, $`\mathrm{deg}(det(1\alpha _{p,F}^{}t|L(J_Y)_{\chi ^1})(modp))=\gamma _{Y,\chi }`$ and we obtain the following corollary of Theorem 3.1.

###### Corollary 3.2.

An integral idempotent relation $`_Ms_{\chi _M}e_{\chi _M}=0`$ in $`[H]`$ implies a relation

$$\underset{M}{}s_{\chi _M}\gamma _{Y,\chi _M^1}=0.$$


text:
# The Cuprate Pseudogap: Competing Order Parameters or Precursor Superconductivity

## A Experimental Data and Constraints Imposed

There is a strong consensus in the field that fermionic $`d`$-wave quasiparticles dominate thermodynamics and transport of the superconducting state, e.g., the T-linear decrease of $`\rho _s(T)`$ at low T is due to thermally excited BCS-like quasiparticles near the nodes in the gap, $`\mathrm{\Delta }`$. This view is natural for overdoped cuprates that do not exhibit a pseudogap above $`T_c`$. To extend it to underdoped cuprates, in which a d-wave gap $`\mathrm{\Delta }(T)`$ turns on at a temperature $`T^{}`$ substantially above $`T_c`$, and is relatively constant from $`T_c`$ down to $`T=0`$, theory must account for the pseudogap in the superconducting state. It is convenient to characterize the strength of the pseudogap below $`T_c`$ by an experimental parameter: $`\alpha =\mathrm{\Delta }(T_c)/\mathrm{\Delta }(0)`$. When $`\alpha 0`$ the system is “BCS-like”. $`\alpha `$ is of order unity in the strong pseudogap regime.

For pedagogical purposes, in Figure 1, we present a schematic plot of the temperature dependence of the excitation gap within the superconducting regime, for a range of hole concentrations ranging from very underdoped where $`\mathrm{\Delta }(T)`$ is essentially a constant, to overdoped, where $`\mathrm{\Delta }(T)`$ follows the BCS $`T`$ dependence. This plot, which can be viewed as a consolidation of an analysis, such as that presented in Ref., indicates the role played by the important parameter $`\alpha `$.

This simple figure in conjunction with experimental data on $`\rho _s(T)`$ to be presented below provides a restatement of a central theme in this paper: that, while the $`T`$ dependence of the excitation gap varies dramatically as the system becomes progressively more underdoped, nevertheless one sees rather little change in the temperature dependence of the superfluid density.

We make two more important points about $`T_c`$ and $`T^{}`$. We note the experimental observation that the zero temperature gap $`\mathrm{\Delta }(0,x)`$ is proportional to the onset temperature $`T^{}(x)`$:

$$2\mathrm{\Delta }(0,x)/(k_BT^{})2.15$$
(1)
which, because it satisfies the BCS condition, supports the idea that the pseudogap and superconductivity have a common origin.  If so, then the challenge is to understand why $`\rho _s`$ vanishes so far below $`T^{}`$. Another central equation which is reasonably well satisfied by the data presented below, is known as the Uemura constraint

$$T_c(x)=\nu \rho _s(0,x)$$
(2)
Here $`\nu `$ is an unimportant constant. Presumably this equation is intimately connected to the physics associated with a Mott insulator.

Measurements of the in-plane superfluid density in YBa2Cu3O7-δ films at various $`\delta `$, upper inset to Fig. 2, have rather similar shapes. Films were grown by co-evaporation and consistently showed a linear low-$`T`$ penetration depth and inductive transition less that $`0.5`$K wide as grown. Deoxygenation of the films was accomplished by heat treating the films in an Ar atmosphere at 250C for ten minute intervals. The sheet conductivity, $`\sigma =\sigma _1i\sigma _2`$, was determined from the mutual inductance of coaxial coils driven at 50 kHz located on opposite sides of the film. $`\sigma _1`$ is much smaller than $`\sigma _2`$ everywhere except close to $`T_c`$. From $`\sigma _2`$ we define $`\lambda ^2=\mu _0\sigma _2\omega /d`$, where $`d`$ is the film thickness. For purposes of later comparison with calculations, we define $`\rho _s\lambda ^2`$ to have units of energy: $`\rho _s\mathrm{}^2d_c\lambda ^2/2e^2\mu _0`$. $`d_c`$ is the c-axis lattice constant in YBCO, about 1.17 nm.

The similarity of behavior for different oxygen concentrations can be seen either by plotting normalized data, of which three typical curves are shown in the main portion of Figure 2, or by plotting the change in superfluid density, $`\rho _s(T)\rho _s(0)`$ vs. $`T`$, lower inset. In brief, the quasiuniversal aspects of the data are that the low-T slope changes little with underdoping, and the curvature at low T remains negative and small. These results are consistent with earlier experiments on LaSrCuO as well as with single crystal YBaCuO data at two different oxygen stoichiometries. Results such as these which show little difference between the overdoped (or optimal) samples where BCS theory is expected to apply, and underdoped samples, are the principal reason for the widespread belief that below $`T_c`$ pseudogap effects disappear, and the material becomes an ordinary BCS superconductor. The only energy scale evident in the data is $`T_c`$, in spite of the growing pseudogap with underdoping.

Finally, we note that data on films do not show evidence for a significant critical region near $`T_c`$ for any $`x`$. The underdoped films exhibit some inhomogeneity near $`T_c`$, so the experimental case for them is not strong, but the transition in the optimally doped film is less than 0.5 K wide, and for it the case is strong. In the end, we assume that it is reasonable to examine the data in the light of theories that are not too far from mean-field. It should also be noted that the universality in $`\rho _s(T)`$ is evident at all temperatures. This is most apparent in the off-set plot, but this and the rescaled plot suggest that the behavior around $`T_c`$ is as important, and needs to be understood as systematically as the behavior around $`T=0`$. On the basis of this universality, one might also conclude that some form of mean field theory which does not stray too far from the BCS picture is a reasonable starting point for addressing these $`\rho _s(T)`$ data. This viewpoint provides the background for some of the theoretical discussion which follows.

## B Fermi Liquid Based Superconductivity

In the inset of Figure 3 we present predictions for $`\lambda ^2(T)`$ based on BCS theory, given that $`T^{}`$ is the transition temperature, and given the experimental behavior of the magnitude of the excitation gap. The solid lines labelled “BCS” plot the BCS predictions for $`\lambda ^2(T)\rho _s^{BCS}(\mathrm{\Delta }(T))`$, for three values of $`x`$, with indicated values of the parameter $`\alpha `$, introduced above. Here the momentum dependence of the $`d`$-wave gap was chosen to nearly fit the slope in the optimal case ($`\alpha =0.4`$). The same gap shape was then used for all $`x`$. The bandwidth $`t(x)`$ was chosen to agree with the measured $`\lambda ^2(x,0)`$.

This disagreement between experiment and BCS theory, as applied in this plot, might be explained within three different scenarios. In the extrinsic pseudogap model the BCS curves are inappropriate since $`T^{}`$ and the normal state excitation gap have nothing to do with superconductivity. Alternative Fermi liquid based theories of the superconducting state belong to the intrinsic school which presumes that the pseudogap derives from superconductivity. They introduce Landau parameters to fit the low $`T`$ slope. Finally, one might argue that there are other forms of excitation of the condensate (i.e., bosonic pair fluctuations) which form the basis for a mean field theoretic intrinsic approach to be discussed later.

In BCS d-wave theory with a tight-binding band model with nearest-neighbor hopping, $`t`$, the low-$`T`$ behavior of $`\rho _s`$ is given by:

$$[\rho _s(T)\rho _s(0,x)]^{BCS}\frac{4t}{\mathrm{\Delta }(0,x)}\frac{\mathrm{ln}2}{\pi }T$$
(3)
Fermi liquid based theories introduce Landau parameters $`\gamma _{FL}`$ which modify the low temperature slope:

$$[\rho _s(T)\rho _s(0,x)]^{FL}\frac{4t}{\mathrm{\Delta }(0,x)}\frac{\mathrm{ln}2}{\pi }\gamma _{FL}T$$
(4)
If it is presumed that $`\rho _s(0)T_c(x)`$ and furthermore, that (unlike in the BCS case) $`\rho _s(0)`$ is independent of the hopping integral $`t`$, one arrives at a form in which $`T_c(x)`$ now appears explicitly.

$$\left[\frac{\rho _s(T)}{\rho _s(0,x)}\right]^{FL}1\gamma _{FL}\frac{t\nu }{\mathrm{\Delta }(0,x)}\frac{4\mathrm{ln}2}{\pi }\frac{T}{T_c(x)}$$
(5)
In order for the right hand side of this equation to depend only on $`T/T_c(x)`$, $`\gamma _{FL}`$ must counter the strong $`x`$ dependence of $`\mathrm{\Delta }(0,x)`$, or equivalently, $`T^{}`$. Much of the literature has concentrated on $`x`$-dependences in the $`d`$-wave function shape which are presumed to be responsible for some of the cancellation of $`x`$-dependences in the prefactor of $`T/T_c(x)`$ in Eq 5. We are inclined to view this as a peripheral effect since trends in the $`\rho _s`$ data presented here are so strikingly systematic. Furthermore, a microscopic mechanism must be identified to suppress $`\rho _s`$ to zero well below $`T^{}`$. Strong thermal phase fluctuations have been suggested as a possibility.

The main frame of Figure 3 plots this Fermi liquid result for $`\rho _s`$ when $`\gamma _{FL}=1`$. Here to make the fitting easier, we chose slightly smaller than conventional values of $`t`$: $`4t160meV`$ (although this is of no physical consequence) and introduced the ($`x`$-independent) $`d`$-wave shape modifications discussed in the first paragraph of this section, so that at optimal doping, agreement with experiment is reasonable. It can be seen that because of the way the Uemura relation is enforced, the discrepancies between theory and experiment are less than for the strict BCS predictions. Choosing appropriate values of $`\gamma _{FL}`$ as shown in the inset of Figure 4 leads to precisely fitted slopes and less discrepancy at all $`T`$, as plotted in the main frame of Figure 4. It should be noted from this Figure, however, that once Fermi liquid parameters are introduced to fit the low $`T`$ slope, there are discrepancies in the region around $`T_c`$. That the calculated curves go to zero well above the measured $`T_c`$ is presumably a consequence of the fact that phase fluctuations need to be invoked in this temperature regime.

Fermi-liquid based approaches, thus, obtain the measured universal slope for the rescaled curves by introducing $`x`$-dependent Landau parameters. These approaches also presume a strong interconnection between the universality found in both the rescaled and off-set plots of $`\rho _s(T)`$ and the Uemura relation. There have been a variety of experimental studies which build on this Fermi liquid picture. Indeed, this approach represents the most natural extrapolation of our BCS-based intuition. The theoretical work of Ioffe and Millis suggests that these Landau parameters arise from coupling to phase fluctuations, and, in view of the systematic $`x`$-dependences inferred above, it might be reasonable to speculate that coupling to these phase fluctuations becomes progressively more important with underdoping.

## C Generalized Mean Field Theories of the Cuprate Pseudogap

There are two other approaches to pseudogap physics which are based on mean field theoretic approaches. In intrinsic models, $`T^{}`$ is taken to be the mean-field superconducting transition temperature, and either phase fluctuations (as in the Fermi liquid based theories, we have discussed above) or pair fluctuations (to be discussed below) suppress $`\rho _s`$ to zero at a temperature well below $`T^{}`$. In extrinsic theories $`T^{}`$ marks the onset of another order parameter. Some support for adopting a mean field theoretic approach comes from the fact that $`T^{}`$ and $`T_c`$ can be orders of magnitude apart, so that it seems reasonable to establish an improved mean field theory, and then append fluctuation effects as they appear appropriate. In extrinsic models the pseudogap arises from physics other than superconductivity. Both extrinsic and intrinsic classes of mean field theories account for $`T_cT^{}`$ from the outset, and the behavior of $`\rho _s`$ is at low temperatures already intimately connected to the $`x`$-dependent pseudogap physics responsible for the separation of the higher temperatures $`T_c`$ and $`T^{}`$, as will be discussed below.

In both the intrinsic or extrinsic mean field schools, the superconducting pseudogap state ($`TT_c`$) is associated with the generalized equations for the gap and chemical potential $`\mu `$

$$g^1+\underset{𝐤}{}\frac{12f(E_𝐤)}{2E_𝐤}\phi _𝐤^2=0$$
(6)
$$n=2\underset{𝐤}{}\left[f(E_𝐤)+v_𝐤^2(12f(E_𝐤))\right]$$
(7)
where $`n`$ is the electron filling factor, $`\phi _𝐤`$ represents a general $`d`$-wavefunction shape, and $`g`$ the superconducting coupling constant. The quantity $`v_𝐤`$ is the coherence factor (described below) and $`E_𝐤`$ is the fermionic excitation energy which depends on the superconducting order parameter $`\mathrm{\Delta }_{sc}`$ and the pseudogap energy scale $`\mathrm{\Delta }_{pg}`$. The extrinsic pseudogap is associated with the mixing of different $`𝐤`$ states, leading to the dispersion:

$$E_𝐤^{extrinsic}=\sqrt{(ϵ_𝐤^{pg}\mu )^2+\mathrm{\Delta }_{sc}^2(𝐤)}$$
(8)
where $`ϵ_𝐤^{pg}=\sqrt{\xi _𝐤^2+\mathrm{\Delta }_{pg}(𝐤)^2}`$

While there are a variety of different intrinsic theories of the normal state pseudogap only the last of these is readily compared with the extrinsic model discussed above, principally because it, too, represents a mean field treatment in which the two scales $`\mathrm{\Delta }_{sc}`$ and $`\mathrm{\Delta }_{pg}`$ appear. A detailed theoretical basis for this theory is given in a series of papers (See Ref. and references therein). The principal assumption is a ground state wavefunction of the BCS form with arbitrarily strong coupling constant $`g`$ (which is parameterized via $`T^{}/T_c`$ or equivalently $`\alpha `$) and self consistent $`\mu `$ so that Eqs. (6) and (7) apply.

Below $`T_c`$ this strong coupling leads to pairing fluctuations of very low frequency and momentum contributing a fermion self-energy similar to the superconducting self-energy, leading to a more BCS-like dispersion:

$$E_k^{intrinsic}=\sqrt{(\xi _𝐤\mu )^2+\mathrm{\Delta }^2(𝐤)}$$
(9)
where $`\mathrm{\Delta }^2(𝐤)=\mathrm{\Delta }_{pg}^2(𝐤)+\mathrm{\Delta }_{sc}^2(𝐤)`$. We may now write the coherence factors and quasi-particle velocities in consolidated notation; these are given by $`v_𝐤^2=\frac{1}{2}(1(ϵ_𝐤\mu )/E_𝐤)`$, and $`_𝐤ϵ_𝐤`$,  with $`ϵ_𝐤=\xi _𝐤`$ and $`ϵ_𝐤^{pg}`$ for the intrinsic and extrinsic cases, respectively. Interestingly, a substantial body of evidence for a purportedly extrinsic pseudogap comes from assuming this intrinsic dispersion.

The schematic $`T`$ and $`x`$ dependences of the various energy gaps in the two scenarios are sketched in Fig. 5. For the extrinsic case (upper panel) superconductivity forms on top of a pre-existing pseudogap in the normal-state dispersion, which first appears at $`T^{}`$ and is weakly $`T`$-dependent below $`T_c`$. For the intrinsic case (lower panel) $`T^{}`$ marks a gradual onset of the pseudogap associated with pairing fluctuations, which are to be differentiated from simple phase fluctuations around strict BCS (mean field) theory. Below $`T_c`$, these fluctuations are similar to free bosons, with the condensed fraction ($`\mathrm{\Delta }_{sc}^2`$) increasing at the expense of the uncondensed fraction ($`\mathrm{\Delta }_{pg}^2`$) until the fully condensed $`T=0`$ ground state is reached. In effect, the normal-state pseudogap evolves smoothly into the superconducting energy. As for the $`T`$-dependence of the crossover, the bosonic degrees of freedom behave, to leading order, as an ideal Bose gas, so the pseudogap portion of the total gap decreases as:

$$\mathrm{\Delta }_{pg}^2(T)\mathrm{\Delta }^2(T_c)(T/T_c)^{3/2},TT_c$$
(10)
This description of the bosons below $`T_c`$ is required to maintain the form of the mean field defined by Eqs.( 6) and (7). While Eqs. (6), (7), and (10) are the results of a previously discussed microscopic formalism, they motivate a phenomenology which requires as input only the measured values for $`\mathrm{\Delta }(0,x)`$ and $`T_c(x)`$. The $`T`$ dependence of the full gap $`\mathrm{\Delta }(T,x)`$ can be expressed in terms of the BCS functional form with “transition temperature” $`T^{}`$, as is also consistent with experiment.

The insets to Figs. 5 indicate the $`x`$ dependencies of the gaps at $`T=0`$. In the intrinsic case, which has more BCS-like dispersion, the gap at $`T=0`$ is much larger than expected from the measured $`T_c`$. Hence, the slope of $`\rho _s`$ at low T would diminish with underdoping if thermally excited fermionic quasiparticles were the only important excitation at low T.

For the extrinsic case, while the pseudogap persists to $`T=0`$, the gap for superconducting excitations vanishes as $`T_c`$ vanishes with underdoping. Thus, these theories would predict a growing slope in $`\rho _s`$ at low T.

To further illustrate the important differences in dispersion between the two models, Fig. 6 presents a comparison of the density of states at $`T=0`$. In the intrinsic model there are two large gap-related peaks centered on the Fermi energy. Van Hove singularities are also apparent as relatively sharp structures. In contrast, there exist two pairs of peaks in the extrinsic theory. The larger pseudogap peaks are centered around -$`\mu `$, while the superconducting peaks appear around the Fermi energy. These differences will affect transport, and in particular $`\rho _s(T)`$.

For both extrinsic and intrinsic models $`\rho _s`$ is of the form:

$`\rho _{s_{ab}}`$ $`=`$ $`{\displaystyle \underset{𝐤}{}}{\displaystyle \frac{\mathrm{\Delta }_{sc}^2}{E_𝐤^2}}\left[{\displaystyle \frac{12f(E_𝐤)}{E_𝐤}}+2f^{}(E_𝐤)\right]`$ (12)
$`(_aϵ_𝐤_bϵ_𝐤{\displaystyle \frac{1}{2}}_aϵ_𝐤(ϵ_𝐤\mu )_b\phi _𝐤^2)`$
For the extrinsic case, one finds at low $`T`$:

$$[\rho _s(T)\rho _s(0)]^{extrinsic}\frac{4t}{\mathrm{\Delta }_{sc}(0,x)}\frac{\mathrm{ln}2}{\pi }T$$
(13)
showing that the low-T slope should grow as $`t/\mathrm{\Delta }_{sc}(0)`$, ultimately diverging at the superconductor to insulator transition. Even if we consider normalized $`\rho _s`$, we find

$$\left[\frac{\rho _s(T)}{\rho _s(0)}\right]^{extrinsic}1\frac{\nu }{\mathrm{\Delta }_{sc}(0,x)}\frac{4t\mathrm{ln}2}{\pi }\frac{T}{T_c(x)}$$
(14)
and the same divergence. Another consequence of the extrinsic dispersion is a $`\sqrt{T}`$ dependence  which sets in for $`T/\mu \mathrm{\Delta }_{sc}^2/\mathrm{\Delta }_{pg}^2`$. This deviation from linearity is reflected in a convex shape for $`\rho _s(T)`$. These results (which were derived from the DDW scheme) appear to be consequences of the fermionic dispersion which is expected to be rather general for an extrinsic pseudogap.

In the intrinsic mean-field model, the bosons or uncondensed pairs couple in a natural way to the superfluid density. Above $`T_c`$ (as in Hartree approximated GL theory) these pair fluctuations are responsible for the fermionic pseudogap which in turn depresses $`T_c`$ relative to its mean field value, $`T^{}`$. Within the superconducting phase, these uncondensed bosons contribute to the reduction of $`\rho _s`$ at low $`T`$. Their contribution grows as the contribution of fermionic excitations decreases, as the pseudogap increases. The net result is very little apparent change in the low-$`T`$ behavior of $`\rho _s`$ with underdoping. Because of the BCS-like structure underlying the ground state (also consistent with the mean field equations (Eqs. ( 6) and (7)), the result for $`\rho _s`$ is rather simple

$$\rho _s^{intrinsic}(T)=[\mathrm{\Delta }_{sc}^2(T)/\mathrm{\Delta }^2(T)]\rho _s^{BCS}(\mathrm{\Delta }(T))$$
(15)
$`\rho _s^{BCS}`$ is the BCS superfluid density that vanishes at $`T^{}`$. Bosonic fluctuations simply rescale it by $`\mathrm{\Delta }_{sc}^2/\mathrm{\Delta }^2`$, which causes $`\rho _s`$ to vanish at $`T_c`$. Bosonic degrees of freedom enter this equation in that they determine the T-dependence of $`\mathrm{\Delta }_{sc}`$. Rather than repeat the microscopic theory presented elsewhere we introduce a more approximate but more accessible approach :

$$\mathrm{\Delta }_{sc}^2(T)\mathrm{\Delta }^2(T)[1(\mathrm{\Delta }^2(T_c)/\mathrm{\Delta }^2(T))(T/T_c)^{3/2}],$$
(16)
which is applicable to the entire temperature regime. This leads to the following low $`T`$ dependence of $`\rho _s`$

$$\left[\frac{\rho _s(T)}{\rho _s(0)}\right]^{intrinsic}=1[A+B(T)]\frac{T}{T_c}$$
(17)
where $`[A+B(T)]`$ is weakly $`x`$ dependent and

$$A=\frac{4\mathrm{ln}2}{\pi }\frac{T_c}{\mathrm{\Delta }(0,x)}\frac{t}{\rho _s(0)}$$
(18)
with

$$B(T)=\frac{\mathrm{\Delta }^2(T_c)}{\mathrm{\Delta }^2(T)}(T/T_c)^{1/2}$$
(19)
Here terms $`A`$ and $`B`$ correspond respectively to fermionic and bosonic excitations of the condensate. The quantity $`t/\rho _s(0)`$ must be be evaluated numerically; it is found to be of order unity, and independent of $`t`$. This fermionic term is precisely the same as in strict BCS theory and it reflects the full excitation gap $`\mathrm{\Delta }`$. Note that the fermionic contribution becomes progressively smaller as the insulator is approached. On the other hand, the bosonic contribution $`B(T)`$, which is only weakly $`T`$-dependent at low $`T`$, is insignificant in the overdoped regime where $`\mathrm{\Delta }(T_c)`$ vanishes, and becomes progressively more important with underdoping. It can be seen that the $`x`$ dependences in these two terms tend to oppose one another. In effect, this rescaled equation (Eq.( 17)) represents a statement of the physical fact that the superfluid density is governed, even at low $`T`$ by its ultimate vanishing at $`T_c`$, as follows from the dependence on the order parameter in Eq.(15). Here bosons are responsible for introducing the energy scale $`T_c`$ in $`\rho _s(T)`$.

To examine the universality in the off-set plot of the data we may write

$`[\rho _s(T)\rho _s(0)]^{intrinsic}`$ $`=`$ $`[A+B(T)]T[\rho _s(0,x)/T_c(x)]`$ (20)
$``$ $`[A+B(T)]T/\nu `$ (21)
which shows that the off-set plots for $`\rho _s(T)`$ will be essentially $`x`$-independent only if the Uemura relation is then imposed. This will be consistent providing $`t`$ is taken to be $`x`$-dependent, which, clearly, represents an over-simplified description of Mott insulating effects. Thus, within this mean field approach, Eq.( 17) (which does not make any assumptions about $`t(x)`$), is a stronger and more general result than Eq.( 21).

We turn now to detailed numerical studies of $`\rho _s(T,x)`$ in both extrinsic and intrinsic limits . The resulting curves for $`\rho _s(x,T)`$ (which can be anticipated from low $`T`$ expansions in Eqs. (13), (14), (17) and (21)) are plotted in Figures 7 and 8 for the rescaled and offset plots respectively. We can see from both Figures that for the extrinsic scenario the general temperature dependence is progressively more convex with underdoping, as reflects the $`\sqrt{T}`$ dependence discussed above. This, in turn, is a consequence of the position of $`\mathrm{\Delta }_{pg}`$ in the extrinsic dispersion. On the other hand, the intrinsic, or strong pairing attraction theory prediction leads to concave curves, which reflect both the general concavity of the strict BCS limit and the additional $`T^{3/2}`$ dependence found in Eq.(10). For the extrinsic case, the effects of the divergent low $`T`$ behavior discussed above and also noted elsewhere are not particularly apparent in the rescaled plot of Figure 7. This may reflect that fact that for the parameters chosen here we were unable to satisfy the Uemura relation.

For the off-set plots in the right hand panels the extrinsic theory calculations illustrate the slope divergences and consequent lack of universality, anticipated by our analytic discussions. As can be seen, the intrinsic theory leads to quite universal curves, although here (in contrast to Figure 7) $`t(x)`$ was fitted to yield the experimental $`\rho _s(0,x)`$.

Because of the slope divergence and convex curvature at low $`x`$ in the extrinsic approach, at this stage the comparison between theory and experiment (in Figures 7 and 8) favors an intrinsic origin for the pseudogap, as implemented either by the non-Fermi liquid mean field theory or by Fermi liquid based calculations with properly fitted Landau parameters. Indeed, at the level of generalized boson-fermion microscopic models for Fermi liquid approaches, these two schemes may ultimately turn out to contain rather similar physics.

## D Conclusions

The experiments and theories addressed in this paper are at the heart of high $`T_c`$ superconductivity, for they seek to unravel the nature of the excitations within the superconducting phase. To what extent are these excitations fermionic, bosonic or a mix of the two? We focus on $`\rho _s(T)`$, a uniquely superconducting quantity, because the experimental results are reasonably well established,  and the predictions of the two schools of theory differ significantly in their predictions for the evolution of the T-dependence of $`\rho _s`$ with underdoping. The data exhibit a quasi-universal behavior in the low-$`T`$ slope and curvature, that can be seen when $`\rho _s(T)`$ is plotted as $`\rho _s(T)/\rho _s(0)`$ vs $`T/T_c`$ or as $`\rho _s(T)\rho _s(0)`$ vs $`T`$. Thus, it seems that $`T_c`$ is the only important energy scale, despite the large pseudogap in the normal state.

In the literature there are three simple ways of addressing the absence of the pseudogap energy scale in $`\rho _s(T,x)`$. 1) The pseudogap has an extrinsic origin, so the energy scale for fermionic excitations below $`T_c`$ is \[see Eqs. (13) and (14)\] $`\mathrm{\Delta }_{sc}(x,T)`$, which is proportional to $`T_c`$. 2) The pseudogap is a Fermi liquid \[see Eqs. (4) and (5)\], and Landau parameters $`\gamma _{FL}`$ counter the $`x`$-dependence in the excitation gap or equivalently in $`T^{}(x)`$. Here the Uemura relationship is essential for introducing the scale $`T_c(x)`$. 3) The pseudogap is associated with a strong pair fluctuations that suppress $`T_c`$ well below its mean field value, $`T^{}`$. In this approach, bosonic (fluctuation) and fermionic single-particle excitations \[see Eqs. (17) and (21)\] contribute to the decrease of $`\rho _s(T)`$ at low $`T`$. Here the resulting expression for $`\rho _s(T)`$ involves the BCS contribution with a modified pre-factor reflecting the order parameter which necessarily vanishes at $`T_c`$: $`\rho _s(T)=[\mathrm{\Delta }_{sc}^2(T)/\mathrm{\Delta }^2(T)]\rho _s^{BCS}(T)`$.

It should be stressed that the intrinsic school pair fluctuation approach is probably the only well established or traditional route to a fermionic pseudogap associated with homogeneous superconductivity. Nevertheless, by far the most widely applied intrinsic approach to the cuprate pseudogap is based on Fermi liquid theory. Much of the quantitative analysis within this scheme incorporates changes in the $`d`$-wavefunction shape with doping. In this way it is inferred that the Landau parameters are considerably less $`x`$-dependent than would be needed to cancel the $`x`$ dependence in $`T^{}(x)`$. We have not considered this possibility in this paper since our emphasis is on qualitative issues and since the striking universality reported here for seven different $`YBa_2Cu_3O_{7\delta }`$ films makes it difficult to understand how changes in the shape of the $`d`$-wave gap could address this universality.

The essential contrast we have emphasized here is between two broad categories of pseudogap theories: intrinsic and extrinsic approaches. The Fermi liquid approach and pair-fluctuation scheme both belong to the former. These two may be more directly interconnected, particularly in the Fermi liquid-based interpretation of Ref. . Both start with an underlying fermion-boson Hamiltonian, where, in the Fermi liquid approach, the bosons are phase fluctuations phenomenologically coupled to the fermions, and to some extent the emphasis is more on Mott physics, and the associated softness of phase fluctuations. By contrast the pair-fluctuation scheme builds on the short coherence length and addresses the boson-fermion coupling at a fully microscopic level. This intrinsic mean field theory is a derivative of the traditional Gaussian fluctuation picture but with two modifications: calculations are done at the Hartree level (in order to include the fermionic pseudogap) and the attractive pairing interaction is taken to be arbitrary as is, therefore, $`T^{}/T_c`$. Here, Mott physics enters in a more phenomenological way. Nevertheless, the bosons (which are not integrated out) are responsible for the shift in energy scale from $`T^{}(x)`$ to $`T_c(x)`$.

While we have focussed on the D-Density wave model as a prototype for the extrinsic school, we believe it is reasonably generic and our conclusions are expected to apply to any CDW, stripe or alternative coexisting order parameter treated at a mean field level. For this reason our results should be of widespread interest to the community in large part because of the growing interest in quantum critical points. Because of the vanishing of $`\mathrm{\Delta }_{sc}(x)`$ as the insulator is approached, extrinsic theories are less compatible with the observed universality in $`\rho _s(T)`$. Co-existing order parameters are found to lead to a breakdown of universality, and more generally to signatures within the superconducting phase which clearly distinguish under- and over-doped cuprates. These should be most visible near the superconductor insulator boundary. If future data on even more underdoped samples do not show significant deviations from the (thus far) “universal” curves for $`\rho _s(x,T)`$, we argue that this will provide substantial support for an intrinsic origin to the pseudogap in the context either of Fermi liquid-based or non-Fermi liquid based approaches to the superconductivity. Making a further distinction between these two should be possible through theoretical and experimental studies of the ac , as well as thermal conductivity, which studies are currently underway.

The discussion in this paper has focused mostly on mean field approaches. Other, non mean field approaches can be contemplated as well, but the observation of quasi-universality in $`\rho _s(T,x)`$ suggests that theories of the superconducting state should not deviate too strongly from simple BCS theory at all $`T`$. Additional support for this observation comes from the fact that there is often a very considerable separation (by orders of magnitude) between $`T^{}`$ and $`T_c`$ which suggests that a carefully chosen mean field theory is a more appropriate starting point for understanding the pseudogap phase than is an approach based on strict BCS physics with added fluctuation effects. One may view the off-set plot of the data in Figure 2 (lower left inset) as, one of the most interesting contributions of this paper and perhaps, the strongest constraint imposed by experiment on the nature of the excitations in the superconducting state. This off-set plot suggests that the behavior of $`\rho _s(T,x)`$ at all $`T`$ is a universal function and that there are no systematic differences between under- and optimally doped samples. This, of course, is very surprising because the magnitude and temperature dependence of the excitation gap vary markedly for this range of $`x`$. Resolving this “paradox” has been a central issue of this paper.

This work was supported by NSF-MRSEC Grant No. DMR-9808595 and by NSF-DMR 0203739. We acknowledge very helpful conversations with Q. Chen, Y.-J. Kao, Q. H. Wang and H. Y. Kee.