text:
# THE PECULIARITIES OF THE INTERACTION OF PHOBOS WITH THE SOLAR WIND ARE EVIDENCE OF THE PHOBOS MAGNETIC OBSTACLE (FROM PHOBOS-2 DATA)

## INTRODUCTION

The last planetary explorations have witnessed an increase of importance of investigations of small bodies of the Solar System because their substance may carry the information on an origin and evolution of Solar system. Interplanetary spacecraft have passed near several asteroidal bodies, i.e., Gaspra (20 km, 11 km), Ida (56 km, 21 km), Braille (1 km, 2.2 km), Eros (14 km, 34 km), and Martian moons Phobos (9.5 km, 13.5 km) and Deimos (5.5 km, 7.5 km). Within the parentheses given are the shortest and longest sizes of the bodies.

Galileo data showed the existence of magnetic field rotations near asteroids Gaspra at the closest approach distance 1600 km and Ida at 2700 km which have been interpreted as signatures of the solar wind interaction with the asteroids (Kivelson et al., 1993, 1995). Blanco-Cano et al. (2002) from own simulation results led to conclusion that the perturbation near Gaspra was not generated by the interaction of the solar wind with a magnetized asteroid and the signature observed near Ida was not generated by the interaction with the asteroid.

A 1 to 2 nT increase in the magnetic field perturbation at the distance 28 km from Braille was attributed by Richter et al. (2001) to a direct measurement of Braille magnetic field.

The solar wind interaction with the asteroid 433 Eros was investigated by the use of magnetometer data from the Near-Shoemaker spacecraft having circular orbits with radii of 200 km, 100 km, 50 km, and 35 km (Anderson and Acuna, 2003). No signature of an intrinsic asteroidal magnetic field was detected for Eros. Any draping or compressional signature associated with Eros was absent. Eros and Martian moons, Phobos and Deimos, have the same order of the ratio of the ion gyroradius and the ion skin depth to the body size. The magnetic field signatures of their interaction with the solar wind plasma have to be similar if the moons can be considered as obstacles having the size of body.

However, the analysis of the magnetic field and plasma data aboard the Mars-5 spacecraft indicated that the Deimos obstacle to the solar wind is about 100 km (Bogdanov, 1977). It is much larger then the Deimos size.

The trajectory of Phobos-2 provided the collection of data in regions which are appropriate for an investigation of interaction of Phobos with the solar wind and have not been explored before. The study of the interaction of Phobos with the solar wind plasma indicated that the day-side obstacle of Phobos to the solar wind is over 150 km. A sharp rise in the regular part of the magnetic field was observed on the circular orbits near Phobos at distances of 180–250 km from its center when Phobos was in the unperturbed solar wind (Yeroshenko, 2000).

Analyzing the data acquired aboard Phobos-2, Mordovskaya et al. (2001, 2002) gave evidence that Phobos has its own magnetic field and its magnetic moment is $`M^{}10^{15}`$ A$``$m2. The magnetic moment $`M^{}`$ was estimated from pressure balance for the solar wind and the Phobos magnetic field measured at the magnetopause. The peculiarity of the rotation of the magnetized Phobos around Mars leads to the magnetic field signatures, which, especially the direction, are phase locked with Phobos rotation rate. Such magnetic field signatures were observed on circular orbit of the Phobos-2 spacecraft (Mordovskaya et al., 2002).

In the present paper, we investigate the magnetic field enhancement observed near the dayside of Phobos in order to show that it is the kinetic theory that should be used when studying the solar wind interaction with a small magnetized bodies. We consider a density and magnetic field pile up in front of Phobos to illustrate that the magnetic field signatures observed are consistent with the ratio of the proton skin depth to the actual size of the Phobos obstacle to the solar wind. The occurrence or the absence of the shock-like structures ahead of the Phobos magnetopause correlates with behaviour of this ratio. In addition, we demonstrate how the solar wind is stopped and deflected away from Phobos by a magnetic barrier, which is compressed or expands depending on the solar wind ram pressure variations.

## THE MORPHOLOGY OF THE MAGNETIC FIELD SIGNATURES NEAR PHOBOS ON CIRCULAR ORBITS FROM MARCH 22 UNTIL MARCH 26, 1989

### Data Set

Fig. 1. View of the location of the Phobos-2 and Phobos on March 22–26, 1989. Plot by line composed of small squares shows the segment of the S/C trajectory where the field enhancements were observed.

Vector measurements of the ambient magnetic field during Phobos-2 mission were acquired by two magnetometers, FGMM and MAGMA (Riedler et al., 1989). Both instruments had a dynamic range of 100 nT and data were transmitted every 1.5, 2.5, 45, and 600 s, depending on the telemetry mode of the spacecraft. From March 22, 1989, to March 26, 1989, at each orbit around Mars, both Phobos-2 spacecraft and the Mars satellite Phobos were inside the solar wind and within the Martian magnetosphere during 3.8 h. The spacecraft was located permanently in a vicinity of Phobos at this time and the distances between them were 180–400 km. A description of the spacecraft flight profile is given by Kolyuka et al. (1991). Figure 1 displays a sketch of the position of the Phobos-2 and Phobos in the projection onto the Mars ecliptic plane $`XoY`$ on March 22–26, 1989. The $`X`$-axis points to the Sun; the $`X`$-$`Y`$ plane coincides with the orbital plane of Mars; the $`Y`$-axis points in opposite direction of the Mars orbital velocity; the $`Z`$-axis is perpendicular to $`X`$ and $`Y`$. The line composed of small squares allocates the part of the spacecraft trajectory on the circular orbit around Mars where the magnetic field enhancements were observed.

The morphology of the magnetic field signatures caused by the interaction of the Phobos magnetic field with the solar wind plasma and observed during the time interval of March 22–26, 1989 are presented in Figs. 2–4. The top panels of Figs. 2–4 present the segment of the spacecraft trajectory in the projection onto the Mars ecliptic plane $`XoY`$ where these magnetic fields were acquired to demonstrate that the magnetic field enhancements in the regular part are not associated with Mars. With this aim, we indicate the location of the Mars bow shock deduced from the Phobos-2 data and marked by the solid line in Fig. 1. The distance from the dayside surface of Mars to the position of the Mars shock is less then 400–1000 km. Studying the Phobos-2 data, Schwingenschuh et al., (1992) noted that the dependence of the bow shock position in the subsolar region on the solar wind dynamic pressure is weak. Really, over up month since February over March 1989 the spacecraft crossed the Mars bow shocks at $`X0`$, $`Y=+9600`$ and $`X0`$, $`Y=9600`$ km. The position of the Mars bow shock crossing was the same during March 22-26, 1989. This location of the Mars bow shock was confirmed by a large database of bow shock crossings by the MGS spacecraft (Vignes et al., 2000; Luhmann et al., 2002). So the magnetic field enhancement in the regular part can not be really attributed to the Mars. The S/C crossed a stationary slowly moving structure, which approached to and then moved away from the S/C accordingly with the scheme of the S/C flight.

The plot of the distance Rx between Phobos and the spacecraft versus the time of the observation is represented in the bottom panels of Figs. 2–4 to illustrate that the magnetic field disturbances are really associated with Phobos. There is a clear correspondence between the disturbance of the magnetic field and the approaches of the spacecraft to Phobos. The magnetic field disturbances are associated with the solar wind interaction with Phobos. Below, the signs of the magnetic field components (Bsx, Bsy, Bsz) of the undisturbed solar wind are presented to indicate an association of the phenomenon with the directions of the interplanetary magnetic field.

The plot of the magnitude of the magnetic field (B) versus the time in the middle panels of Figs. 2–4. An absence of data for some time intervals leads to the fragmentary plot. The three components of the measured magnetic field are displayed in (Delva et al., 1994; Yeroshenko, 2000). In Figs. 2–4, the magnitude of the observed magnetic field is marked by the solar wind parameters acquired by TAUS device) (Vs–the solar wind velocity in km/sec, Ns–the solar wind density in cm-3) to illustrate that the manifestation of the phenomenon depends on the solar wind parameters. The arrows mark the time when the parameters were acquired.

Fig. 2. On the top the plot of the magnetic field signatures and the appropriate spacecraft trajectories in the projection onto the Mars ecliptic plane $`XoY`$. The lower graphs correspond to the time history of spacecraft approaches to the dayside of Phobos inside the unperturbed solar wind. a) The data from 20:15 to 22:15 on March 22, 1989. b) The data from 04:00 to 06:00 on March 23, 1989. c) The data from 11:00 to 13:45 on March 23, 1989.

Fig. 3. Simular to Figure 2, except a) The data from 19:00 to 21:00 on March 23, 1989. b) The data from 03:00 to 05:00 on March 24, 1989. c) The data from 18:00 to 20:00 on March 24, 1989.

Fig. 4. Simular to Figure 2, except a) The data from 02:00 to 04:00 on March 25, 1989. b) The data from 17:00 to 19:00 on March 25, 1989. c) The data from 01:00 to 03:00 on March 26, 1989.

## Discussion

The small characteristic size of the Phobos obstacle to the solar wind have to give specific signatures of the solar wind-asteroid interaction. The typical free path for solar wind particles is much greater than the size of Phobos and the ion gyroradius for the solar wind plasma have the same order as the Phobos size. Therefore, a magneto-hydrodynamic approximation fails and it is necessary to use a kinetic theory to study the solar interaction with Phobos and other small bodies. In addition, it is worth noting that such MHD terms as “bow shock” and “subsolar magnetosheath” are inappropriate for description of the solar wind interaction with a small magnetized asteroid.

The kinetic theory was used for description of interaction of spacecraft with magnetosphere plasma (Alpert et al., 1964). We can employ results inferred from the study. According to the kinetic theory, the density and magnetic field of the plasma pile up in front of the obstacle to the flow. The pile up becomes significant when the ion skin depth is comparable to the actual size of the obstacle. The same conclusion for the interaction of the solar wind with a magnetized asteroid was inferred by Blanco-Cano et al. (2002), which made the MHD simulation with ion kinetic effects.

Figures 2–4 give a lesson for the study of the solar wind interaction with a small, magnetized object. The magnetic field signatures observed near day-side of Phobos show the response of the solar wind to the Phobos obstacle. The draping magnetic field around Phobos appears at distances of 200–300 km from the Phobos day-side, the distance depends on the solar wind plasma parameters. The events displayed in Fig. 2 result from the interaction of the Phobos obstacle with the solar wind plasma having high density (Ns) from 3 cm-3 up 12 cm-3. Figures 3 and 4 give the examples of the interaction in the plasma with lower density, Ns is between 2 cm-3 and 0.4 cm-3. The velocity of the solar wind changes slightly during these observations. Therefore, the density of the solar wind plasma plays a significant role in formation of the size and shape of the draping and compressional region near the dayside of Phobos and around Phobos. The density and magnetic field of the solar wind plasma pile up in front of the obstacle that Phobos and its magnetic field represent to the solar wind. The pile up becomes significant when the proton skin depth is comparable with the actual size of the Phobos obstacle.

We can take the actual size of the Phobos obstacle from the paper by Mordovskaya et al. (2001) or estimate it from Figure 6 by calculating the size of region occupied by the planetary field of Phobos. This size is about 150–170 km and the relevant density is 1.8–2.3 cm-3. Formation of a shock-like structure upstream of Phobos will take place for the solar wind plasma with density larger than 1.8–2.3 cm-3. The magnetic field signatures in Fig. 2 demonstrate the shock-like structure upstream of Phobos and it is seen that in this case the draping of the field is stronger. Figures 3–4 show an absence of the shock-like structure ahead of Phobos magnetopause and the week draping of the field around the Phobos obstacle because the plasma density was low. For other plasma densities observed, the ion scale length $`l_s`$ is $`l_s`$=93 km for Ns = 6 cm-3; $`l_s=130`$ km for Ns = 3 cm-3; $`l_s=160`$ km for Ns = 2 cm-3; $`l_s=294`$ km for Ns = 0.6 cm-3. It easily seen that the nature of the interaction displayed by the magnetic field signatures in Figs. 2–4 is related to the ion scale lengths. The presence or absence of a shock-like structure ahead of the Phobos magnetopause are consistent with the ratio of the proton skin depth to the actual size of the Phobos obstacle. Depending on this ratio, some ions and magnetic field line will pile up in front of the Phobos magnetic barrier, forming fanciful patterns of the density and magnetic field signatures. The field signatures observed are various and depend on the density of the solar wind flow.

It is worth dwell upon an additional feature of behavior of the plasma density and the magnetic field (see Figs. 3b and 3c). The density value decreases by a factor of 2 in Fig. 3b and by an order of magnitude with a closest approach to Phobos, the decrease indicates to the absence and lack of plasma, at least that of the solar wind, near regions adjacent to the Phobos magnetopause.

On March 24, 1989, the dynamic pressure of the solar wind begins to decrease. The density of the solar wind decreased down to 0.5–1 cm-3 during this period. When the speed Vs of the solar wind falls down to 600 km/s, it was possible to observe a remarkable event shown in Fig. 3c. During 18:43–19:41 on March 24, 1989 the magnetic field signature has a sharp rise with a characteristic “magnetopause-like” behavior demonstrating clear encounter with an intrinsic magnetic field of Phobos. The field magnitude increased by 80% with respect to the background level, while the plasma density value was, apparently, close to the lower threshold of sensitivity of the plasma detector. In detail, we consider the observation of the planetary magnetic field of Phobos in the next section.

The performed analysis of the magnetic field signatures observed near day-side of Phobos confirms that the nature of the interaction of Phobos with the solar wind is related to ion scale lengths and highlights the importance of studying the interaction of the solar wind with a small magnetized object using the kinetic theory. The small size of Phobos is the main cause of departures from a planet-like interaction with the solar wind. In agreement with the kinetic theory, the magnetic field of the solar wind drapes around the Phobos obstacle, the effect depends on the ratio of the proton skin depth to the actual size of the Phobos obstacle. In Figs. 2-4, except for Fig. 3c, the magnetic field signatures are caused by the interaction of the solar wind with Phobos. On the other hand, Fig. 3c shows the direct measurements of the planetary magnetic field of Phobos.

## THE OBSERVATION OF THE PLANETARY MAGNETIC FIELD OF PHOBOS

The periapsis of the Phobos-2 spacecraft was far from the dayside surface of Phobos, the smallest altitude is 170–180 km. We could directly probe the regions to see pure planetary magnetic field when the dynamic pressure of the solar wind dropped. There is a unique case of the manifestation of the Phobos intrinsic magnetic field during 18:43–19:41 on March 24, 1989 (Fig. 3c). In fig. 5 the three components of the measured magnetic field, velocity V, and density N of plasma for 18:00–20:00 of March 24, 1989 are displayed.

Fig. 5. Magnetic field and plasma data illustrating the encounter with a planetary magnetic field of Phobos as delineated by the arrows. Left panels: plot of the magnetic field components ($`B_x,B_y,B_z,B`$) in nT. Right panels: plots of the plasma speed V in km/s and the plasma density N in $`cm^3`$

The data show the sharp boundary that clearly separates different plasma regions. The magnetic field enhancement (B) is an almost rectangular pulse of a symmetrical shape with a characteristic “magnetopause-like” behavior. The encounter into the region occupied by the magnetic field of Phobos is indicated by a magnetopause crossing. The velocity signature says in favour of the existence of the magnetopause. Here we say about the magnetopause as a boundary separating the regions of the planetary magnetic field of Phobos and the solar wind plasma. The plasma density value was of order of 0.1 cm-3, apparently, close to the lower threshold of sensitivity of the plasma detector. The absence of the solar wind plasma there gives a strong argument in favour of the existence of the region occupied by of the Phobos magnetic field.

The satellite seems to be in the subsolar point of the magnetosphere of Phobos near the magnetopause. The estimation of the magnetic moment of Phobos $`M^{}`$ in the dipole approximation with help of the equation of pressure balance for the solar wind and the magnetic field of Phobos at the magnetopause and the experimental data was given by Mordovskaya et al. (2001): $`2N_sm_pV_s^2=1/8\pi \left(2M^{}/D^3\right)^2`$, where $`D`$ is the distance from the center of the planet up to its subsolar point, Ns and Vs are the density and the speed of the solar wind, respectively, $`m_p`$ is the proton mass. The measured values of the concentration and the speed of the solar wind, which are used to estimate the magnetic moment $`M^{}`$, are Ns=0.17 cm-3 and Vs=617 km/s. The estimate obtained is $`M^{}10^{15}`$ A$``$m2. It is a source with such magnetic moment in Phobos that can deflect the solar wind flow at the distance over 150–170 km from the dayside of Phobos.  Fig. 6. Plot the amplitudes, the direction of vectors of the magnetic field Bx/By at 45-s intervals along the S/C trajectory in the Phobos centric coordinate system. The data are from 18:00 to 20:00 on March 24 , 1989.   To give an additional grasp of the phenomenon, we display the Phobos-2 encounter with the planetary magnetic field of Phobos with the help of magnetic field lines in Fig. 6. The amplitudes, the direction of vectors of the magnetic field Bx/By, and the S/C trajectory in the projection onto the Mars ecliptic plane $`XoY`$ are given in the Phobos centric coordinate system. The field observed along the trajectory is represented by a scaled vector projection of B originating from the position of the spacecraft at the corresponding times, the time interval between two consecutive measurements was 45 s. Analyzing the magnetic field direction near Phobos, we can determine with a great accuracy the boundary between completely open field lines of the solar wind and those with at least one end in Phobos. A dramatic change in the field line topology from 18:43 to 19:41 on March 24, 1989 indicates a transition from field lines with no connection to Phobos to field lines with at least one end in Phobos.

## CONCLUSION

In this study we have considered the solar wind interaction with Phobos using the magnetic field and plasma data from the Phobos-2 mission during the closest fly-by on March 22–26, 1989. The magnetic field disturbances observed are correlated with the approaches of the spacecraft to Phobos. In the magnetic field signatures the manifestation of the interaction depends on the plasma parameters of the solar wind and are different for low and high plasma density. The draping magnetic field around Phobos appears at distances of 200–300 km from the Phobos day-side due to the density and magnetic field pile up in front of the Phobos obstacle. The nature of the interaction and the magnetic field signatures observed are consistent with the ratio of the proton skin depth to the actual size of the Phobos obstacle to the solar wind. On the other hand, the clear observation of the planetary magnetic field of Phobos is highly controlled by the $`\mathrm{𝐁𝐬𝐳},\mathrm{𝐁𝐬𝐲}>0`$ directions of the interplanetary magnetic field.

It was shown how Phobos deflects the flow of the solar wind. The subsolar stand-off distance of the deflection is about 16–17 Phobos radii. The planetary magnetic field of Phobos was clearly observed during 18:43 to 19:41 on March 24, 1989 at 170 km from the dayside of Phobos. The plasma and magnetic field data confirm this fact. By using the equation of pressure balance for the solar wind and the magnetic field of Phobos at the magnetopause, we calculated the equivalent magnetic moment $`M^{}`$, source of which in Phobos leads to the development of such an obstacle for solar wind flow around Phobos. In the dipole approximation, the magnetic moment of Phobos is $`M^{}10^{15}`$ A$``$m2.

It is worth noting that the sizes of Phobos and an ion gyroradius of the interplanetary plasma have the same order of magnitude. This fact point out the Phobos magnetosphere to be a system having fundamental differences with that of the Earth.

The cause of density pile up is related to the actual size of the obstacle that Phobos and its magnetic field represent to the solar wind and highlights the importance of studying the interaction of the solar wind with a small magnetized object with the use of kinetic theory.

In conclusion, the magnetization of Phobos substance is 0.15 CGS. The third part of volume of Phobos should consist of a magnetic substance similar to a magnetite Fe3O4 in order to obtain the given magnetization of Phobos. Since the density of Phobos is about 2 g/cm3, we can suggest two explanations for the magnetization observed. First, Phobos is non-uniform and there exists an immense piece of a magnetic material within it. Second, Phobos consists of small pieces of a magnetic substance immersed into a non-magnetic low density material.

## ACKNOWLEDGEMENTS

We thank G. Kotova for providing some unpublished plasma data (experiment TAUS). V. Mordovskaya appreciates helpful communications and assistance of Ye. G. Yeroshenko.


format: text

text:
# Vibronic mechanism of high-𝑇_𝐶 superconductivity

## I introduction

The mechanism of the high-$`T_c`$ superconductivity (HTSC) in the cuprates  remains elusive, in spite of extensive experimental and theoretical efforts. The majority view on the mechanism is to consider magnetic interactions as the main driving force . However, the HTSC recently observed in MgB2 , graphite-sulfur composites , and the n-type infinite layer cuprate Sr0.9La0.1CuO2  cannot be explained by magnetic mechanisms, since these compounds have little spin fluctuations in strong contrast to the cuprate superconductors. There is no reason to reject, then, the possibility that the HTSC in the cuprates also shares a similar non-magnetic mechanism. In this paper we discuss a phonon mechanism of HTSC based upon the overscreening of the inter-site Coulomb interaction, in light of recent experimental results on the cuprates. In this mechanism, unlike the BCS theory, the relevant phonons are not the long wave acoustic phonons but the zone-edge optical phonons that induce inter-site charge transfer.

The HTSC cuprates are doped Mott insulators. Even though the antiferromagnetism disappears with only about 2 % of hole doping, strong antiferromagnetic spin fluctuations are observed by neutron scattering, nuclear magnetic resonance, and other methods. For this reason spin fluctuations have been considered to be the principal mechanism of the HTSC . However, the intensity of spin fluctuations does not correlate, or even anticorrelate, with $`T_c`$ as the hole concentration is changed. For instance the spin fluctuations measured by the nuclear relaxation of $`Cu`$ in Tl2Ba2CuO6-δ are the same for the sample with $`T_c`$ = 85 K and the overdoped sample with $`T_c`$ = 0 . Even when the composition is the same, the spin fluctuations of La2-xBaxCuO4 films prepared by epitaxial growth that have $`T_c`$ of 47 K were found to be smaller than those of the bulk with $`T_c`$ of 30 K .

In this paper we propose a phonon mechanism based upon the anomalous screening of the inter-site Coulomb interaction in a highly correlated electron system leading to strong pairing. This mechanism does not compete against the magnetic mechanism, and could achieve HTSC alone or with a magnetic mechanism through synergetic effect. There is a large volume of literature that show coupling of superconductivity to the lattice and phonon . In particular the in-plane $`CuO`$ bond-stretching LO phonon mode was observed by neutron inelastic scattering to show strong softening with doping near the zone boundary along the Cu-O bond direction . This mode induces charge transfer between Cu and O, and thus couples strongly to the charge . Recent neutron scattering measurements on YBa2Cu3O7-δ (YBCO) suggest that the frequencies of the LO phonons are strongly softened with doping near the zone-boundary, while the TO phonons are not . We propose that this occurs due to the phonon-induced charge transfer that results in formation of a vibronic state  and a negative electronic dielectric function as will be discussed in section II.

Doped holes in the cuprate superconductors are highly correlated due to the on-site Coulomb interaction on Cu ions and resultant spin fluctuations. Holes are strongly renormalized due to these interactions, and as a result many physical properties of the cuprate oxides in the normal state show anomalous behavior. For example, very unusual temperature dependence has been observed for the Hall  and Seebeck coefficients  and the pseude-gap excitations  have been observed above $`T_c`$. The quasi-particle band structure determined by angular resolved photoemission is very different from those calculated with the LDA due to the correlation effect .

Because of these strong correlation effects at present it is very difficult to calculate the electronic response function accurately from the first-principles. Instead, in the present paper we take a phenomenological approach based upon the information obtained from the experimental data. We start with the model electronic band structure that agrees with the angle-resolved photoemission experiments , and estimate the effective interaction using the phonon dispersion determined by the inelastic neutron scattering experiments . We then calculate the superconducting order parameter and the superconducting transition temperature on the basis of Eliashberg’s formulation . We show that the order parameter is of the $`d_{k_x^2k_y^2}`$-wave symmetry  and the superconducting transition temperature can exceed 200K. Because of the $`d`$-symmetry the present phonon-mediated pairing mechanism does not compete against the spin-fluctuation mechanism. It is possible that both mechanisms operate in the cuprate, and the weight depends upon the doping level. The issue of the in-plane anisotropy in the phonon dispersion  and the effect of the possible local spin/charge stripe fluctuation will not be included in this paper, and will be discussed in future publications.

In section II we explain the idea of overscreening in the cuprate superconductors. In section III we derive the equation with the charge kernel for the calculation of the order parameter and $`T_c`$. In section IV we determine the energy band renormalized by the correlation effect by utilizing the experimental results of the angle-resolved photoemission and the dielectric function using the results of the neutron scattering measurements. In section V we determine the kernel of the equation by using the model obtained in Section IV. We then numerically solve the equation and obtain the superconducting order parameter and estimate the value of the superconducting transition temperature. The section VI is devoted to discussions.

## II Overscreening mechanism and the effective interaction between carriers

The starting point of this research is to recognize that the electron-phonon ($`ep`$) interaction in such a strongly correlated electron system can be very different from that in the conventional metals. In particular, since the carrier density in the cuprate superconductors is relatively low and the charge dynamics is strongly correlated with the spin dynamics, the medium-range Coulomb interaction is not fully screened. For instance the optical reflectivity does not saturate as in the standard Drude model even below the nominal plasma frequency . Thus the system has strong dielectric interactions, unlike in the usual metals. In particular, since phonons modulate the covalent bonds they induce charge transfer between ions, and therefore local polarization. In this paper we suggest that this effect can be described with a negative electronic dielectric function.

Sometime ago Tachiki and Takahashi proposed an overscreening mechanism of phonon-mediated superconductivity . To explain this mechanism let us consider a static case of the overscreening effect. We write a staggered external electric field as $`D(𝐪)`$ and the induced staggered electric charge polarization as $`P_{el}(𝐪)`$, and define the electronic charge susceptibility $`\chi _{el}(𝐪,0)`$ by

$$4\pi P_{el}(𝐪)=\chi _{el}(𝐪,0)D(𝐪)$$
(1)
Then, combining an electromagnetic relation $`D(𝐪)=E(𝐪)+4\pi P_{el}(𝐪)=ϵ_{el}(𝐪,0)E(𝐪)`$ with Eq.(1), we have

$$\frac{1}{ϵ_{el}(𝐪,0)}=1\chi _{el}(𝐪,0).$$
(2)
According to the Kramers-Krönig relation, we have

$$\chi _{el}(𝐪,0)=2_0^{\mathrm{}}𝑑\omega \frac{1}{\omega }\rho _{el}(𝐪,\omega ),$$
(3)
where $`\rho _{el}(𝐪,\omega )`$ is the spectral intensity of the electronic charge fluctuation given by

$$\rho _{el}(𝐪,\omega )=\frac{1}{\pi }Im[\frac{1}{ϵ_{el}(𝐪,\omega )}]$$
(4)
The spectral intensity is always positive and therefore we have an inequality from Eqs. (2,3,4),

$$\frac{1}{ϵ_{el}(𝐪,0)}1.$$
(5)
The inequality Eq.(5) gives two regions $`ϵ_{el}(𝐪,0)1`$ and $`ϵ_{el}(𝐪,0)0`$. The former case is commonly seen for most materials, such as metals where $`ϵ(0,0)`$ diverges positively, while the latter case corresponds to overscreening. Let us consider a positive test charge density $`\rho _{test}(𝐪)`$. The test charge induces the screening charge density $`\rho _{screen}(𝐪)`$ to reduce the energy of the system. The screening charge is always negative. Using this charge density, $`1/ϵ_{el}(𝐪,0)`$ is expressed as

$$\frac{1}{ϵ_{el}(𝐪,0)}=1\frac{|\rho _{screen}(𝐪)|}{\rho _{test}(𝐪)}$$
(6)
When $`|\rho _{screen}(𝐪)|`$ is larger than $`\rho _{test}(𝐪)`$ in Eq.(6), $`1/ϵ_{el}(𝐪,0)`$ is negative. This is the static overscreening effect.

The microscopic origin of the negative dielectric function may come from the Following mechanism. The electric polarizability in covalent solids is qualitatively different from that in simple ionic crystals, since the covalency contributes to charge transfer between ions . For instance in ferroelectric oxides the polarization due to charge transfer is as large as the ionic polarization. In BaTiO3 the nominal valence of Ti is +4 and the nominal $`d`$ state configuration is $`d^0`$. But the $`d`$-orbital of Ti and the $`p`$-orbital of O are strongly hybridized. This charge transfer produces current, and thus electronic polarization, which adds to the ionic polarization, making the effective valence (Born effective charge) of Ti twice as large . In undoped cuprate the same transfer occurs from the filled $`p`$-level of O to the empty upper Hubbard band of Cu, contributory to an extra polarizability.

However, in a doped cuprate the situation is drastically different. The doped holes occupy mostly the oxygen $`p`$-levels, and they move either to the lower Hubbard band or the filled $`d_{z^2}`$ orbital of Cu. Thus holes are transferred from O to Cu, creating the larger polarization, which adds to two ionic polarization. Then, Eqs. (1,2) give a negative dielectric function if $`\chi _{el}(𝐪,0)>1`$. The more detailed discussions of the lattice softening using Born effective charge will be given elsewhere .

While the in-plane Cu-O bond-stretching LO phonon mode in the cuprates is strongly softened by doping, other phonon modes are relatively insensitive to the doping level . Thus, for the sake of simplicity, we assume that the basic lattice dynamics is not affected by doping, and the frequency of the bond-stretching mode is renormalized only by the interaction with charge fluctuations. This assumption allows to write the frequency corresponding to the maximum value of the spectral intensity of the renormalized LO phonon in terms of the electronic dielectric function as ,

$$\omega _{LO}^{}(𝐪)^2=\omega _{TO}(𝐪)^2+\frac{\omega _{LO}(𝐪)^2\omega _{TO}(𝐪)^2}{ϵ_{el}^{}(𝐪,\omega _{LO}^{}(𝐪))},$$
(7)
where $`\omega _{TO}`$ and $`\omega _{LO}`$ are respectively the bare TO and LO phonon frequencies in the insulating state, and $`ϵ_{el}^{}(𝐪,\omega _{LO}^{})`$ is the real part of the electronic dielectric function. The experimental results that the frequency $`\omega _{LO}^{}(𝐪)^2`$ of the LO mode is lower than that of the TO mode. It indicates that the real part of $`ϵ_{el}(𝐪,\omega _{LO}^{}(𝐪))`$ is negative. In YBa2Cu3O6.95 (YBCO) and La1.85Sr0.15CuO4 (LSCO) the inversion of the LO/TO frequencies is most pronounced in the region $`q_x`$ = 0.25 to 0.75 and $`q_y`$ = -0.2 to 0.2, in the units of $`2\pi /a`$, at $`\omega _{LO}^{}`$ being the measured LO frequency (approximately 55 meV for YBCO and 70 meV for LSCO) . We interpret this phenomenon as the consequence of the negative $`ϵ_{el}^{}(𝐪,\omega _{LO}^{}(𝐪))`$.

The quasi-particles are renormalized due to the on-site Coulomb interaction as mentioned in Introduction. The interaction increases the effective mass of the quasi-particles, but does not change the charge $`e`$ of the particles. Therefore, the effective potential acting between quasi-particles $`𝐤`$ and $`𝐤^{}`$ is written as

$$V_{eff}(𝐪,\omega )=\frac{V(𝐪)}{ϵ(𝐪,\omega )},$$
(8)
where $`V(𝐪)`$ is the bare Coulomb interaction and $`𝐪`$ is $`𝐤𝐤^{}`$. Therefore with the normal screening the effective potential is always smaller than the bare potential. However, in the case of overscreening $`ϵ_{el}^{}(𝐪,\omega )`$ can be negative, and thus $`ϵ_{el}^{}(𝐪,\omega )`$ contributes to the effective interaction and works to enhance the phonon mediated attractive interaction as seen in section III. Since the overscreening effect comes from various kinds of the correlation effect, $`ϵ(𝐪,\omega )`$ is a complicate function of charge, spin, and lattice. This effect is the core of the present mechanism.

Consequently the attractive interaction should exist between the quasi-particles with $`𝐤`$ and $`𝐤^{}`$ when $`𝐪=𝐤𝐤^{}`$ is in the $`𝐪`$ regions where the phonon softening occurs, as seen in Eq.(7). In addition the negative electronic dielectric function turns the repulsive electron-electron Coulomb interaction into attraction, as in the so-called negative-U mechanism, and can promote pairing.

## III  Formulation for Superconducting Pairing

In this section we derive the equation to calculate the symmetry of the superconducting order parameter and $`T_c`$, using the effective interaction Eq.(8) . In the effective interaction, the dynamical dielectric function $`ϵ(𝐪,\omega )`$ is given by the sum of the electronic dielectric function $`ϵ_{el}(𝐪,\omega )`$ and the ionic dielectric function $`ϵ_{ion}(𝐪,\omega )`$ as

$$ϵ(𝐪,\omega )=ϵ_{el}(𝐪,\omega )+ϵ_{ion}(𝐪,\omega )1$$
(9)
A minus unity in the right hand side of Eq.(9) comes from the fact that all the dielectric functions should be unity at the high frequency limit. We express the ionic dielectric function on a conventional form,

$$ϵ_{ion}(𝐪,\omega )=\frac{\omega ^2\omega _{LO}^2}{\omega ^2\omega _{TO}^2},$$
(10)
$`\omega _{LO}`$ and $`\omega _{TO}`$ being respectively the frequencies of the bare longitudinal and transverse optical phonons in the insulating state. For simplicity, we consider one optical phonon mode, which seems to be most relevant to the superconductivity, and assume that it is dispersionless in the unrenormalized state. The spectral intensity function of total charge fluctuations is expressed by using Eqs.(4),(9-10) as

$`\rho (𝐪,\omega )`$ $`=`$ $`{\displaystyle \frac{1}{\pi }}Im[{\displaystyle \frac{1}{ϵ(𝐪,\omega )}}]`$ (11)
$`=`$ $`{\displaystyle \frac{1}{\pi }}Im[{\displaystyle \frac{1}{ϵ_{el}(𝐪,\omega )}}]+{\displaystyle \frac{\omega _{LO}^2(𝐪)\omega _{TO}^2}{ϵ_{el}(𝐪,\omega _{LO}^{})^2}}\delta (\omega ^2\omega _{LO}^2),`$ (12)
where the first term in the right hand side of Eq.(11) is the electronic spectral intensity $`\rho _{el}(𝐪,\omega )`$, and $`\omega _{LO}^{}(𝐪)`$ is the LO phonon frequency renormalized by charge fluctuations and is given by Eq.(1). If we use the spectral representation for $`1/ϵ(𝐪,\omega )`$, the effective interaction Eq.(8) is written as

$$V_{eff}(𝐪,\omega )=V(𝐪)/ϵ(𝐪,\omega )=V(𝐪)[12_0^{\mathrm{}}𝑑\mathrm{\Omega }\frac{\mathrm{\Omega }\rho (𝐪,\mathrm{\Omega })}{\mathrm{\Omega }^2(\omega +i\delta )^2}],$$
(13)
Using Eq.(12) we set up the Eliashberg equation linearized with respect to the gap function $`\mathrm{\Delta }(𝐤,i\omega )`$ as

$$\mathrm{\Delta }(𝐤,i\omega _n)=T\underset{\mathrm{}}{}\underset{𝐤^{}}{}V_{eff}(𝐤𝐤^{},i\omega _ni\omega _{\mathrm{}})\frac{\mathrm{\Delta }(𝐤^{},\omega _{\mathrm{}})}{\xi _𝐤^{}^2+\omega _{\mathrm{}}^2},$$
(14)
where $`\omega (2n+1)\pi T`$ with $`n`$ being integer, and $`\xi _k`$ is the quasi-particle energy measured from the Fermi level. We use an approximation that the damping of the quasi-particles is neglected. However, the modification of the band structure due to the correlation effect is taken into account by using the model band structure determined by the experimental results of angle-resolved photoemmision. If we introduce the pair function defined by

$$F(𝐤,i\omega _n)=\mathrm{\Delta }(𝐤,i\omega _n)/(\omega _n^2+\xi _𝐤^2),$$
(15)
Eq.(13) is rewritten as

$$F(𝐤,i\omega _n)=\frac{1}{(\omega _n^2+\xi _𝐤^2)}T\underset{\mathrm{}}{}\underset{𝐤^{}}{}V_{eff}(𝐤𝐤^{},i\omega _ni\omega _{\mathrm{}})F(𝐤^{},i\omega _{\mathrm{}}).$$
(16)
We then introduce again a function $`f(k,v)`$  defined by

$$F(𝐤,i\omega _n)=2_0^{\mathrm{}}𝑑v\frac{vf(𝐤,v)}{\omega _n^2+v^2},$$
(17)
and also

$$\mathrm{\Phi }(𝐤)=2|\xi _𝐤|_0^{\mathrm{}}𝑑vf(𝐤,v).$$
(18)
Then, from Eqs.(14) and (16) we can show that $`\mathrm{\Phi }(𝐤)`$ is equal to $`Re\mathrm{\Delta }(𝐤,\xi _k)`$ to a good approximation. The equation for $`\mathrm{\Phi }(𝐤)`$ is obtained substituting Eqs.(16) and (17) for Eq.(15) as

$$\mathrm{\Phi }(𝐤)=\underset{𝐤}{}K(𝐤,𝐤^{})\frac{tanh\xi _𝐤^{}/2T}{2\xi _𝐤^{}}\mathrm{\Phi }(𝐤^{}),$$
(19)
In Eq.(18), the kernel $`K(𝐤,𝐤^{})`$ is given by

$$K(𝐤,𝐤^{})=v(𝐤𝐤^{})[12_0^{\mathrm{}}𝑑\mathrm{\Omega }\frac{\rho (𝐤𝐤^{},\mathrm{\Omega })}{\mathrm{\Omega }+|\xi _𝐤|+|\xi _𝐤^{}|}].$$
(20)
If we insert Eq.(11) for $`\rho (𝐪,\omega )`$ in Eq.(19) and use the Kramers-Kronig relation for $`Im(1/ϵ_{el}(𝐪,\omega ))`$ in $`\rho _{el}(𝐪,\omega )`$, the kernel Eq.(19) is written as

$$K(𝐤,𝐤^{})=v(𝐤𝐤^{})[\frac{1}{ϵ_{el}(𝐪,0)}+2_0^{\mathrm{}}𝑑\mathrm{\Omega }\frac{|\xi _𝐤|+|\xi _𝐤^{}|}{\mathrm{\Omega }(\mathrm{\Omega }+|\xi _𝐤|+|\xi _𝐤^{}|)}\rho _{el}(𝐪,\mathrm{\Omega })\frac{1}{ϵ_{el}(𝐪,\omega _{LO}^{}(𝐪))}\frac{\omega _{LO}^2(𝐪)\omega _{TO}^2}{\omega _{LO}^{}(𝐪)[\omega _{LO}^{}(𝐪)+|\xi _k|+|\xi _k^{}|]}].$$
(21)
Roughly speaking, in the right hand side of Eq.(20) the first two terms are the electronic contribution and the third term is the phonon contribution. However, the electronic contribution is mixed also in the third term as seen in Eq.(20). Therefore, the kernel has a vibronic nature.

The spectral intensity $`\rho (𝐪,\omega )`$ is approximately written around $`\omega `$ being $`\omega _{LO}^{}(𝐪)`$  as

$$\rho (𝐪,\omega )=\frac{1}{ϵ_{el}^{}(𝐪,\omega _{LO}^{}(𝐪))^2}\frac{\omega _{LO}^2\omega _{TO}^2}{2\pi \omega _{LO}^{}(𝐪)}\frac{\mathrm{\Delta }(𝐪)}{[\omega \omega _{LO}^{}(𝐪)]^2+\mathrm{\Delta }^2(𝐪)}$$
(22)
with

$$\mathrm{\Delta }(𝐪)=\frac{ϵ_{\mathrm{𝐞𝐥}}^{\prime \prime }(𝐪,\omega _{\mathrm{𝐋𝐎}}^{})}{ϵ_{\mathrm{𝐞𝐥}}^{}(𝐪,\omega _{\mathrm{𝐋𝐎}}^{}(𝐪))^\mathrm{𝟐}}\frac{\omega _{\mathrm{𝐋𝐎}}^\mathrm{𝟐}(𝐪)\omega _{\mathrm{𝐓𝐎}}^\mathrm{𝟐}(𝐪)}{\mathrm{𝟐}\omega _{\mathrm{𝐋𝐎}}^{}(𝐪)}$$
(23)
In Eq.(22), $`ϵ_{el}^{\prime \prime }(𝐪,\omega _{LO}^{})`$ is the imaginary part of the electronic dielectric function. $`\mathrm{\Delta }(𝐪)`$ is the half width in the frequency $`\omega _{LO}^{}`$ of the spectral function. If we use the experimental frequency values in Fig.2, $`ϵ_{el}^{}(𝐪,\omega _{LO}^{})`$ is given -0.068 from Eq. (7) for YBCO. Using this value, Eq. (22) and the neutron scattering experimental value of $`\mathrm{\Delta }(𝐪)`$ 2meV, we obtain $`ϵ_{el}^{\prime \prime }(𝐪,\omega _{LO}^{})`$ to be 0.0069. Therefore, we can approximate $`ϵ_{el}(𝐪,\omega _{LO}^{}(𝐪))`$ by $`ϵ_{el}^{}(𝐪,\omega _{LO}^{})`$, while we can see that the damping on the low frequency charge fluctuation is very weak.

In conventional systems with $`ϵ_{el}^{}(𝐪,\omega )1`$ the third term in Eq.(20) cannot be enhanced. However, when $`ϵ_{el}^{}(𝐪,\omega )<0`$ and its absolute value is small, the phonon contribution can be strongly enhanced, as seen from Eq.(20). The strong softening of $`\omega _{LO}^{}(𝐪)`$ also enhances the third term.

## IV Quasi-particle Band Structure and Electronic Dielectric Function in Cuprate Superconductors

In this section, the quasi-particle band structure and the dielectric function are determined by utilizing the experimental data of the angle-resolved photoemission and inelastic neutron scattering. The results will be used in the following section in calculating the symmetry of the superconducting order parameter and the superconducting transition temperature with the Eliashberg equation.

### A  Quasi-particle Band Structure

We assume that the layers responsible for the high $`T_c`$ superconductivity are mainly the CuO2 layers. Then, we construct the energy band of the CuO2 layer (the $`ab`$ plane) as to agree with the results of the angle-resolved photoemission spectroscopy (ARPES) . The band structure is almost universal for all the cuprate superconductors with optimum doping . The angle-resolved photoemission  and the calculation including the correlation effect  shows the energy band in the cuprate superconductors is very flat in the region of $`k_x(k_y)=0.250.75`$ in units of $`2\pi /a`$, at $`1030`$ meV below the Fermi level. Hereafter, we express the wave number in units of $`2\pi /a`$. This is the region where the superconducting gap is the largest, and the kink in dispersion, which is interpreted as an evidence of strong electron-phonon coupling , is most conspicuous. Therefore it is reasonable to expect that the charge fluctuation created by quasiparticles on the flat band is very low in energy, comparable to the optical phonon frequency. Then, the quasi-particles and phonons can be highly mixed, and this system consequently becomes vibronic. As a result the quasiparticle-phonon interaction is highly enhanced, as will be shown in sections III and V.

The band structure with the flat regions along the $`k_x`$ and $`k_y`$ axes which originate from the strong renormalization effect  is reproduced by the following function,

$$\xi _k=C_B(t_0+2t_1(cos2\pi k_x+cos2\pi k_y)+4t_2cos2\pi k_xcos2\pi k_y+2t_3(cos4\pi k_x+cos4\pi k_y))+F_B(E_f\omega _g)E_f,$$
(24)
where $`t_0`$, $`t_1`$, $`t_2`$, and $`t_3`$ are respectively $`0.0`$, $`0.2`$, $`0.0`$ and $`0.04`$, and $`E_f`$ is $`0.11`$ and $`\omega _g`$ is from 0.01 to 0.03 in units of eV. In this equation, if the second term is dropped, the equation approximately coincides with that of the usual LDA band calculation . The second term is required to reproduce the flat regions mentioned above. The function $`F_B`$ is given by

$$F_B=W_x(1+\frac{1}{2}tanh((k_xk_L)/\lambda _L)\frac{1}{2}tanh((k_x+k_L)/\lambda _L))+W_y(1+\frac{1}{2}tanh((k_yk_L)/\lambda _L)\frac{1}{2}tanh((k_y+k_L)/\lambda _L)),$$
(25)
with

$`W_x`$ $`=`$ $`{\displaystyle \frac{1}{2}}tanh((k_yk_T)/\lambda _T)+{\displaystyle \frac{1}{2}}tanh((k_y+k_T)/\lambda _T),`$ (26)
$`W_y`$ $`=`$ $`{\displaystyle \frac{1}{2}}tanh((k_yk_T)/\lambda _T)+{\displaystyle \frac{1}{2}}tanh((k_y+k_T)/\lambda _T),`$ (27)
where $`k_L`$, $`k_T`$ and $`\lambda _L=\lambda _T`$ are the parameters to control the extent of the flat regions. A function $`F_B`$ has sizable values only in certain regions near the $`k_x`$ and $`k_y`$ axes. For $`C_B`$ and $`F_B`$, a constraint $`C_B+F_B=1`$ is imposed. Fig. 1 shows the band structure calculated by using Eqs.(23-26) where $`k_L`$, $`k_T`$, and $`\lambda _L(=\lambda _T)`$ are, respectively, taken as 0.16, 0.15, and 0.2 in units of $`2\pi /a`$. The values above are chosen to reproduce the ARPES data for the optimally doped YBCO.

As seen in the inset (a) of Fig. 1 the flat regions of the energy bands are located along the $`k_x`$ axis and extends from (-0.5, 0) to (-0.25, 0) and from (0.25, 0) to (0.50, 0), and similarly along the $`k_y`$ axis. The behavior has been observed in the optimally doped YBCO and LSCO by ARPES . The energy of the flat band is from 10 meV to 30 meV below the Fermi level . In Fig. 1, $`\omega _g`$ is chosen to be 18 meV below the Fermi level. These flat regions mainly originate from the correlation effect reflecting the electron scattering due to spin fluctuations . In these regions the effective masses and the damping constants of the quasi-particles are very large. On the other hand, the energy band in the directions from the (0, 0) point to the (0.5, 0.5), (0.5, -0.5), (-0.5, 0.5), (-0.5, -0.5) points is not much affected by the correlation effects and the dispersion of the electronic energy band structure is usual as seen in the inset (b) of Fig. 1.

### B  Dielectric Function

Recent inelastic neutron scattering measurements on the optimally doped YBCO show that the frequencies of the LO and TO phonons of $`CuO`$ bond-stretching LO mode are inverted in the region of $`q_x=0.25`$ to $`0.5`$ , suggesting that $`ϵ_{el}^{}(q_x,\omega ^{})`$ in this region is negative according to Eq.(7) and the LO phonons are overscreened by charge fluctuations. It was also observed that the phonon dispersions are anisotropic along the $`a`$ and $`b`$axes. In this paper, however, we neglect this anisotropy for the sake of simplicity, and assume the tetragonal symmetry of the crystal skipping details of the dispersion. The effect of the anisotropy will be discussed elsewhere .

We then assume that the dielectric anomalies occur in the shaded regions as shown in Fig. 3. We divide the $`𝐪`$ space into two regions, Region II is the shaded area in Fig. 3, where anomalous dielectric behavior is observed, and Region I which is outside Region II with normal dielectric behavior. In Region I we assume the Thomas-Fermi type of screenings of the Coulomb interaction due to quasi-particles, since the plasma frequency is much higher than $`kT_c`$ and the frequency of the optical phonons. Then, the inverse of the dielectric function in Region I is expressed as

$$\frac{1}{ϵ_{el}(𝐪,\omega )}\frac{1}{ϵ_{el}(𝐪,0)}=\frac{q^2}{q^2+q_{TF}^2},$$
(28)
where $`q_{TF}`$ is the Thomas-Fermi wave number and its value is an order of unity in the units of the reciprocal lattice constant for the optimally doped cuprate superconductors . In this region, we note that the repulsive interaction by the spin fluctuation scattering is located at (0.5,0.5) , but in the present paper this interaction is neglected in order to concentrate on the dielectric charge channel. The repulsive interaction actually exists, but for the moment we presume that the main pairing contribution arises from the dielectric charge channel. In Region II, we assume the excitation frequency of the electronic charge fluctuations is much lower than the plasma frequency for $`𝐪`$ in the region. The existence of such a low energy charge fluctuation due to anomalous electronic structures has been suggested in . The existence of the low frequency charge excitation is a necessary condition for the appearance of the negative dielectric function. Then, in Region II, for the inverse of the dielectric function for positive low frequencies, we assume the following one pole approximation

$$\frac{1}{ϵ_{el}(𝐪,\omega )}A(\frac{1}{\omega \omega _0+i\gamma }),$$
(29)
where $`A`$, $`\omega _0`$, and $`\gamma `$ are respectively the amplitude, the frequency of the charge fluctuation density maximum, and the damping constant. From Eq.(28), A is given by

$$A=\frac{\omega \omega _0}{ϵ_{el}^{}(𝐪,\omega )}$$
(30)
Using Eq.(7) and the experimental values of the frequencies shown in Fig. 2 we estimate $`ϵ_{el}^{}(𝐪,\omega _{LO}^{})`$ to be -0.068. The value of $`\omega _0`$ is much lower than the plasma frequency $`(\mathrm{}\omega _p=0.8eV)`$ measured at small $`𝐪`$ by reflectivity. Inserting the value of $`\omega _{LO}^{}`$ for $`\omega `$ in Eq.(29), we obtain $`A`$ to be from 132 meV if $`\mathrm{}\omega _0`$ is assumed to be 64meV. The value of $`A`$ linearly increases with $`\omega _0`$. However, we note that Eq.(28) is valid only in the vicinity of the low charge excitation energy $`\mathrm{}\omega _0`$. Using the value of $`A`$ and $`ϵ_{el}^{\prime \prime }(𝐪,\omega _{LO}^{})`$ calculated from Eq.(22), we obtain $`\gamma `$ to be $``$ 1 meV.

## V Superconducting Gap Symmetry and $`T_c`$

In the previous section, we constructed the model electronic band structure and derived the dielectric function based on the recent experimental results. In this section, we determine the kernel, Eq.(20), using the experimental values given in section VI and calculate $`T_c`$ and the superconducting gap function by solving Eq.(18).

Let us first concentrate on the kernel function in Eq.(20). The first term in the bracket in Eq.(20) represents the static dielectric function. It gives the repulsive contribution in the region I in Fig. 3, while the term becomes negative causing the attractive interaction in the region II. The term in the region II is determined by extrapolating the real part of the dielectric function Eq.(27) to the zero frequency as

$$\frac{1}{ϵ_{el}^{^{}}(𝐪,0)}=A\frac{1}{\omega _0}$$
(31)
where Eq.(28) is used. At this moment we do not have exact information on the value of $`\omega _0`$. However, since strong phonon-induced charge transfer is expected, the value of $`\omega _0`$ must be close to the value of $`\omega _{LO}^{}`$, 55 meV. We thus assume the value of $`\omega _0`$ to be 64 meV. Thus, $`1/ϵ_{el}^{}(𝐪,0)`$ is given to be $``$ 2. The second term always vanishes on the Fermi surface since $`\xi _k=\xi _k^{}=0`$ on the surface, but it gives the repulsive interaction in finite energy ranges from the Fermi level. It is found from the numerical calculations that the contribution of the second term dominates over the attractive first and third term when $`\xi _k`$ and $`\xi _k^{}`$ are sufficiently far from the Fermi level . The third term gives the attractive interaction originated from the optical phonons which is renormalized by the electronic dielectric function. This term is strongly enhanced due to overscreening in the region II. Such a strong enhancement in the region II can understood by rewriting and comparing the third term for region I and II, respectively, as follows,

$$\frac{q^2}{q^2+q_{TF}^2}\frac{\omega _{LO}^{}{}_{}{}^{2}(𝐪)\omega _{TO}^2}{\omega _{LO}^{}{}_{}{}^{2}(𝐪)}\text{for the region I},$$
(32)
and

$$\frac{1}{ϵ_{el}^{}(𝐪,\omega _{LO}^{})}\frac{\omega _{LO}^{}{}_{}{}^{2}(𝐪)\omega _{TO}^2}{\omega _{LO}^{}{}_{}{}^{2}(𝐪)}\text{for the region II},$$
(33)
where both $`\xi _k`$ and $`\xi _k^{}`$ in the third term are set to be zero to compare their contributions on the Fermi surface. If $`q`$ is set to be $`0.5`$ for both equations, the reasonable value of $`q_{TF}`$ is employed and the observed values $`\omega _{LO}^{}`$ in both regions are substituted, it is found that the contribution in the region II becomes more than about 100 times larger than that in the region I. The reason is explained as follows. In the region II, the amplitude of $`1/ϵ_{el}^{}(𝐪,\omega )`$ almost diverges negatively at $`\omega _0`$. Therefore, the amplitude of $`1/ϵ_{el}^{}(𝐪,\omega )`$ at $`\omega \omega _{LO}^{}`$ still remains very large as shown in Fig. 4. The value of Eq.(32) is estimated to be 10.7. On the contrary such a anomalous structure does not exist in the vicinity of the phonon frequency in the region I and the amplitude of $`1/ϵ_{el}^{}(𝐪,\omega )`$ remains normal values as in conventional metals. These different features for the region I and II are seen in Fig. 4.

Thus, the electric overscreening effect is found to enhance the phonon contribution strongly and to give a strong attractive interaction. In fact, the comparison between the first and the third term contribution in the region II for the quasi-particles on the Fermi surface tells us that the third term contribution is 10 times larger than the first term in this case. This result indicates that the electron-phonon interaction enhanced by the overscreening could be the main pairing interaction in the cuprate superconductors.

Next, we actually calculate $`T_c`$ and the $`k`$ dependence of the gap function by solving Eq. (18). For this purpose we use the following technique. We introduce an eigenvalue equation with an eigenvalue $`\lambda (T)`$ ,

$$\lambda (T)\mathrm{\Phi }(𝐤)=\underset{𝐤^{}}{}K(𝐤,𝐤^{})\frac{tanh(\xi _𝐤^{}/2T)}{2\xi _𝐤^{}}\mathrm{\Phi }(𝐤^{}).$$
(34)
We numerically calculate $`\lambda (T)`$ as a function of temperature $`T`$. The temperature satisfying $`\lambda (T)=1`$ corresponds to the superconducting transition temperature $`T_c`$. In addition, since $`\mathrm{\Phi }(k)`$ corresponds to the superconducting gap function, the $`k`$-dependence of $`\mathrm{\Phi }(k)`$ gives the superconducting gap symmetry. However, it should be noted that the amplitude of the gap function is meaningless since the equation is a linearized equation which is valid only in the close vicinity of $`T_c`$.

A typical example of the superconducting gap function is shown in Fig. 5, where we use 13meV for $`\omega _g`$ in Eq.(23) and 64meV for $`\omega _0`$, and the other control parameters are the same as those employed to depict the band structure shown in Fig. 1 which corresponds to the optimally doped case. The calculation in this case shows that $`T_c`$ is about 180K. As seen in Fig. 5 it is found that the gap function has $`d_{k_x^2k_y^2}`$ wave symmetry. The $`d_{k_x^2k_y^2}`$ symmetry is possible under not only the spin fluctuation mediating pairing but also other anisotropic pairing interactions . We note that the gap function has nodes while it shows finite amplitudes even at the center of the flat region in the electronic structure. This means that the attraction is so strong that the gap function does not vanish even in regions except for the Fermi surface. This fact is consistent with the experimental results in ARPES for the optimally doped case showing high-$`T_c`$ . Here, let us explain why the $`d_{k_x^2k_y^2}`$ symmetry appears in this case. The gap amplitude is generally dependent on the number density of the interacting quasi-particles and the strength of attraction. Since the number density of the quasi-particles in the flat region is much larger than other regions, the gap function is expected to grow considerably in the flat region. A pair of quasi-particles on the opposite sides of the same flat regions along the $`k_x(k_y)`$ axis are attracted, while the interaction is repulsive for a pair of quasi-particles belonging to the flat regions that are rotated by $`90^{}`$ relative to each other. Thus, it is found that the gap amplitudes on the different axes should show different signs, resulting in the $`d`$-symmetry.

As seen in Fig. 6, we found that the value of $`T_c`$ is nearly inversely related to the depth of the flat region. This tendency is consistent with the experimental results of ARPES , that the depth of the flat region increases with increasing doping, and crosses the Fermi level in the overdoped range of composition. At the optimum doping, the flat region shows a minimum depth. On the other hand, the value of $`T_c`$ is dependent also on the width $`W_{II}`$ of Region II, increasing almost linearly with the width. Our calculations show that $`T_c`$ exceeds 300K when the value of $`W_{II}`$ approaches to 0.4 with fixing $`\omega _g`$ to be 13meV, corresponding to the optimum doping. It is quite encouraging that such a high value of $`T_c`$ can be achieved with the present model.

## VI Discussions and Conclusion

In this paper the mechanism of high $`T_c`$ superconductivity based upon overscreening of phonons  was developed further using the results of two recent experimental observations. One is the neutron scattering measurements showing that the frequencies of a bond stretching LO phonons in hole-doped superconducting cuprate oxides being strongly softened in the wave number regions around the Brillouin zone boundaries along the $`k_x`$ and $`k_y`$ and that the frequency of the LO phonon is much lower than that of the TO phonons in these regions . This phenomenon is explained in terms of the overscreening of the ionic polarization associated with the LO phonon by phonon-induced charge transfer that results in the negative electronic dielectric function. Another one is the angle-resolved photoemission measurement indicating that in the optimally hole-doped cuprates the flat energy band appears just below the Fermi level around the X (M) points in the Brillouin zone . Using the pair interaction derived from the neutron scattering results and the band structure mentioned above, we set up the Eliashberg equation . Solving the equation, we observed that the symmetry of the superconducting order parameter is of $`d_{k_x^2k_y^2}`$ and the transition temperature is in excess of 200K.

The most dominant contribution to the superconducting pairing in the kernel of the Eliashberg equation originates from the phonon contribution that is strongly enhanced by the overscreening effect of the Coulomb interaction. Up to now, several phonon mechanisms leading to d-wave superconducting gap function due to the anisotropy of the electronic structure have been suggested . In contrast, the present theory relies upon a mechanism of phonon overscreening resulting in the negative electronic dielectric function and strong enhancement of its attractive contribution. As the most of the phonon mechanisms, the present theory predicts that the isotope effect  appears in the cuprate superconductors with a relatively low Tc such as LSCO, but this effect may not be visible in the cuprates with a high Tc such as YBCO and Bi-2212, as observed by experiments. This result comes from the fact that as the superconducting transition temperature increases, the pure phonon contribution for the pairing diminishes and the electronic contribution increases instead. This tendency is consistent with the experimental results .

The softening of the LO phonon near the Brillouin zone boundary was observed by neutron scattering even in the superconducting Ba0.6K0.4BiO3 with negligible spin fluctuation , and non-superconducting La1.69Sr0.31NiO4  and La0.7Sr0.3MnO3 . It appears that the overscreening effect is a common nature in hole-doped transition metal oxide systems. This phenomenon may be explained in terms of the ”negative Born effective charge”, which will be further elaborated later . This concept nicely explains the phonon softening observed for the Peiels-Hubbard Hamiltonian in one dimensional Cu-O chain model .

In the cuprates the bare bandwidth, calculated for instance with the LDA, is of the order of 1 eV. Band-narrowing is brought about by spins that almost localize charges and create the extended saddle point in the electronic band structure. In the present paper this effect was considered phenomenologically by using the renormalized band structure. However, a more satisfactory theory should include the quantum effect of spins more explicitly. Using the $`pd`$ model hole doping was found to create in-gap states in the Hubbard gap just at the Fermi level, with a dominant oxygen $`p`$-character . A better model band structure with these features needs to be developed. A problem here is that we have much less information about the unoccupied states compared to the occupied states, since the photoemission experiments provide information only for the latter, while the inverse-photoemission technique, which should give the information on the former, has much less resolution.

As we mentioned above in the present mechanism LO phonons excite holes from the local oxygen $`p`$-state to the Cu $`d`$-state. The results of inelastic neutron scattering measurements on YBa2Cu3O6.95  suggest the final state of this transition could be the $`d_{z^2}`$ level of Cu, since strong mixing of the in-plane Cu-O bond-stretching mode and the apical oxygen mode (62 meV) was observed. This makes the two-band phononic model  relevant in the present context. In addition there is a possibility of the transition from an oxygen in the $`x`$-direction to another oxygen in the $`y`$-direction contributing to the $`ep`$ coupling . In the present calculation just one band was assumed for the sake of simplicity, but the reality is likely to be more complex.

Another point that has not been included in the present paper, and has to be addressed in future publications, is the question of the in-plane anisotropy and the stripe fluctuations. Both the inelastic neutron scattering measurement of the phonon dispersion and the photoemission measurement detected surprisingly strong anisotropy in the CuO2 plane . This anisotropy most likely is related to the spin-charge phase separation in the form of stripes . While static stripes apparently compete against superconductivity , it is reasonable to assume that the propensity for stripe formation remains strong even in the superconducting phase . The presence of stripes or stripe fluctuations will produce further narrowing of the band and spin-charge interference phenomena, which should enhance the superconductivity. The possibility of such enhancement by confinement, in a more general sense, was emphasized by Phillips . However, since we do not have sufficient information to formulate these phenomena into a rigorous theory, in the present paper we have not explicitly taken them into account. Further experimental as well as theoretical researches are needed to fully account for the spin-charge synergy.

In the present mechanism the role of spins is merely to bring down the energy scale of holes to the level of phonons, so that the vibronic resonance can take place. We do not, however, exclude the possibility that the magnetic mechanism also contributes to pairing, at least in some ranges of composition. Even in such a case the phonon mechanism does not compete against the magnetic mechanism because of the $`d`$-symmetry. It is most likely that the relative importance of the phononic and magnetic mechanisms depends upon charge density; magnetic mechanism could be more important in the underdoped region, while the phononic mechanism may dominate the optimum and overdoped region.

In the present paper we sacrificed some details as discussed above and greatly simplified the model. Furthermore it is well known that the calculation of $`T_c`$ in the Eliashberg theory strongly depends upon details of the parameters. The purpose of this work, therefore, is not to try to describe the superconductivity in the cuprates very accurately, but to demonstrate the possibility of the phononic mechanism of high-$`T_c`$ superconductivity based upon the overscreening phenomenon. The estimated value of $`T_c`$ is even higher than the experimental values over wide ranges of parameters. This is in part due to the fact that the calculation of Tc is essentially based on a mean field theory and does not include the superconducting fluctuation effect. Inclusion of the fluctuations should significantly decrease $`T_c`$, since the pairing force is strong and the system has a two dimensional nature. The incoherent superconducting fluctuations will be observed as the pseudo gap above $`T_c`$.

While there are a number of limitations in the present model because of the simplifications and the phenomenological nature, the result described here strongly suggests that the phononic mechanism has to be taken seriously, and careful studies are warranted. We will address some of the problems that are neglected here in future publications.

## VII Acknowledgements

We are indebted to K. A. Müller, A. A. Abrikosov, J. C. Phillips, A. Bussmann-Holder, S. Sachdev, N. Nagaosa, D. Mihailovic, V. V. Kabanov, S. Takahashi, M. R. Norman, N. Hamada, and M. Arai for illuminating discussions. We wish to thank Y. Endoh and J. M. Tranquada for sharing their unpublished experimental results. Two authors (M. T. and M. M.) were supported by CREST (JST) project. The other (T. E.) was supported by the National Science Foundation grant DMR01-02565. A part of this work was done in Argonne National Laboratory. M. T. and M. M. thank G. Crabtree for his support and M. M. especially thanks A. E. Koshelev for his support and valuable discussions. M. M. also thanks T. Imamura for offering of a numerical diagonalization program and the stuff members of CCSE in JAERI for their computational assistance.