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# Field-induced charge transport at the surface of pentacene single crystals: a method to study charge dynamics of 2D electron systems in organic crystals

## Abstract

A method has been developed to inject mobile charges at the surface of organic molecular crystals, and the DC transport of field-induced holes has been measured at the surface of pentacene single crystals. To minimize damage to the soft and fragile surface, the crystals are attached to a pre-fabricated substrate which incorporates a gate dielectric (SiO2) and four probe pads. The surface mobility of the pentacene crystals ranges from 0.1 to 0.5 cm2/Vs and is nearly temperature-independent above $`150`$ K, while it becomes thermally activated at lower temperatures when the induced charges become localized. Ruling out the influence of electric contacts and crystal grain boundaries, the results contribute to the microscopic understanding of trapping and detrapping mechanisms in organic molecular crystals.

field-effect device, organic molecular crystals, pentacene, charge mobility, hole mobility, temperature dependence, measurement method

Transport of field-induced charge in crystals of aromatic molecules is of interest in both technological and academic contexts. On one hand, organic field-effect transistors (OFETs) provide key components in “plastic electronics” such as active matrix flexible displays, where OFETs are used as pixel control devices Dimitrakopoulos and Malenfant (2002). On the other hand, though a wide variety of organic materials have been studied, relatively little is known about the details of microscopic intermolecular-transport dynamics, especially trapping and detrapping mechanisms, even for simple molecules such as polyacenes Pope and Swenberg (1999). For example, a frequently addressed question is how the field-effect mobility of OTFTs relates to molecular order Gundlach et al. (1997); Dodabalpur et al. (1995). An experimental difficulty has been that intrinsic transport properties are masked by structural imperfections and the device performance is limited by inefficient carrier injection because most of the devices reported on to date involve polycrystalline thin films. Therefore, it is desirable to measure field-induced transport in single crystals, applying a method which avoids disturbing the crystal surface as much as possible. Of further scientific interest is a possible electronic phase transition to intriguing states in such van-der-Waals crystals with moderate orbital overlaps between adjacent molecules, when the carrier density is high enough; ordered electronic ground states have been demonstrated in the form of superconductivity in doped fullerenes and complex charge-ordered states in charge-transfer compounds Dresselhaus et al. (1996); Ishiguro et al. (1997).

Using the metal-oxide-semiconductor (MOS) structure, one can continuously tune the amount of charge confined to a two-dimensional layer near the surface, so that the evolution of the field-induced charge transport can be systematically studied. However, the main difficulty lies in preventing the injected charge from being trapped by interface states. Although the surface of van-der-Waals crystals is free from dangling bonds and can be highly ordered, the surface can be damaged when depositing a gate oxide film. In this report, we present a general method of fabricating molecular single crystal MOS structures which avoids this problem: a set of probing electrodes is defined on top of a thermally oxidized silicon wafer which provides a gate insulator and gate electrodes. A separately grown pentacene crystal is then attached on the substrate, minimizing the damage to the crystal surface. In such devices, the electrically induced charge is mobile due to the good interface quality. A crossover from thermally activated transport to temperature-independent conduction is observed in four-terminal measurements, excluding parasitic effects from the source and drain contacts.

Figure 1(a) schematically shows the fabrication process of the crystal-based MOS structure. We use a heavily doped n-type silicon wafer ($`p0.016`$ $`\mathrm{\Omega }`$ cm @ RT) as a substrate. The wafer is cleaned in a solution of sulfuric acid and hydrogen peroxide @ 80 C, then oxidized in dry O2 @ 1150 C to grow a high-quality gate insulator. The surface roughness (as measured by AFM) over the typical size of the device ($`0.1`$ mm) is less than 1 nm, and the oxide has a thickness of 0.5-1 $`\mu `$m. Probing electrodes (1 nm Cr for adhesion and 9 nm Au) for four-terminal measurements are defined by electron-beam lithography. The distance between the two voltage-probing pads is approx. 5 $`\mu `$m. This small separation reduces the likelihood of having macroscopic defects such as molecular steps in the channel of the device.

Next, the SiO2 is coated with a self-assembled monolayer of octadecyltrichlorosilane (OTS) with a thickness of $``$ 3 nm. It is found that the monolayer reduces trapped charges at the interface Gundlach et al. (2001). To improve the electrical contact between the gold pads and the molecular crystal, the substrate is treated in a solution of 10 mM nitrobenzenethiol in ethanol. The thiol bonds to the gold surface, and the nitro group dopes holes into the surface of the crystal because of its large electron affinity. The treatment significantly reduces the contact resistance (approx. by a factor of 10 at room temperature and much more at low $`T`$), which is crucial for the low-temperature four-terminal measurement. After the surface treatments, the conductivity between the probe electrodes remains immeasurably small when a gate voltage is applied, indicating that the OTS monolayer is highly insulating.

Pentacene single crystals are grown separately by the physical vapor transport technique Kloc et al. (1997). Starting from commercial powders of the same material (Fluka), the growth is repeated three times to purify the crystals. For a good adhesion to the substrate, it is preferable to choose a thin transparent crystal, with typical thickness of 2-5 $`\mu `$m. Since the probing electrodes are visible through the crystal, the crystal can be located so that the most homogeneous part is placed between the electrodes. Electrostatic force ensures a strong adhesion of the crystal to the substrate. Alternatively, adhesion can be imposed by applying a gate voltage. A picture of a typical sample is shown in Fig. 1(b), where no grain boundary is visible in the channel.

On these devices, four-terminal measurements have been performed using four Keithley 6517A electrometers/high-impedance meters. Figure 1(c) shows the corresponding circuit diagram. One of the electrometers applies the voltage $`V_{GD}`$ and monitors the leakage current $`I_G`$ through the dielectric, another applies the source-drain voltage and measures the current $`I_S`$ in the sample, and the others measure the difference in potential between the two intermediate electrodes and the drain electrode ($`V_1`$ and $`V_2`$). The sheet conductivity $`\sigma _{\mathrm{}}`$ of the channel is given by $`I_S/(V_2V_1)l/w`$, regardless of the voltage drops across the source and drain contacts ($`l`$ and $`w`$ are the distance between the two intermediate electrodes and the width of the channel, respectively). The drain electrode is set common for the $`V_{GD}`$ and $`V_{SD}`$ application (in contrary to the standard connection of MOS transistors). Since only the “linear regime” of the channel $`IV`$ characteristics is of interest for the four-terminal method, the polarity of $`V_{SD}`$ is chosen opposite to the polarity of $`V_{GD}`$ to avoid the “pinch-off” saturation in $`I_S`$. For convenience, we additionally define $`V_GV_{GD}(V_1+V_2)/2`$, which represents an effective gate voltage with respect to the central part of the channel where the sheet conductivity is measured.

The distance between the two current-injecting electrodes is approximately 10-15 times longer than the width of these electrodes, so that the most of the current flows through the field-accumulated channel between them. In order to estimate the influence of the current flowing via the voltage electrodes, we also performed measurement using the circuitry illustrated in Figure 1(d); using a guarding function with a high input impedance (a voltage follower) of the Keithley 6517A, a set of two voltage pads (no. 1 and 3 in the figure) is held at the same potential level, so that no current flows between these pads. The channel conductivity in the guarded circuit was measured to be $`6`$% smaller than in the unguarded circuit.

A drawback of the guarded measurement is its slower response, as it is necessary to minimize the redistribution of trap centers at the interface in response to high electric fields applied over a long time. As reported by Schoonveld et al. for pentacene thin-film devices on SiO2 Schoonveld et al. (1998), localized charges randomly distributed in pentacene and/or the SiO2 can slowly move towards the interface in response to a relatively high gate voltage. Therefore, the distribution of the hole-trapping centers changes and the measured values of the field-induced current are not exactly reproduced after prolonged influence of $`V_G`$. The redistribution is faster at higher temperatures and at higher gate voltages. In order to minimize the effect of this charge relaxation, we swept $`V_{GD}`$ at a fixed $`V_{SD}`$ as quickly as $`30`$ s per sweep, using the unguarded circuitry, minimizing hysteresis effects. Moreover, $`I_{SD}`$ thus measured is reproduced after a set of measurements at different temperatures, ensuring that the relaxation effect is negligible in the measurements.

In Fig. 2(a) and (b), $`I_S`$ at fixed values of $`V_{SD}`$ is plotted for two temperatures as a function of $`V_G`$. The source current in the pentacene single crystal substantially increases due to hole injection by the negative $`V_G`$. On the other hand, no enhancement of $`I_S`$ is detected with positive gate voltage. The influence of leakage current through the dielectric $`I_G`$ is negligibly small (less than 0.1% of $`I_S`$). In Fig. 2(c), $`\sigma _{\mathrm{}}`$ is plotted against $`V_G`$, where 6% is subtracted from the result of the unguarded measurement. The curves for different values of $`V_{SD}`$ are close to each other, indicating a nearly ohmic current-voltage relationship for the field-induced conductivity at the surface non (a). The observed curvature resembles that of typical organic field-effect transistors (FETs) and is consistent with a standard model: the injected charge is trapped until $`V_G`$ reaches a threshold voltage $`V_{th}`$, and the amount of trap-free charge is given by $`p_{free}e=ϵϵ_0(V_GV_{th})/d`$. In reality, the crossover is usually gradual Horovitz et al. (2000); Horovitz (1998). As the surface mobility $`\mu `$ equals to $`\sigma _{\mathrm{}}/(p_{free}e)`$, where $`e`$ is the charge of an electron, $`\mu `$ for this sample can be estimated from the slope to be $``$ 0.1 cm2/Vs with an uncertainty of 15-20%.

Figure 3(a) presents the $`\sigma _{\mathrm{}}`$-$`V_G`$ curves at different temperatures from 160 K to 260 K. While the temperature dependence is obvious in the low $`V_G`$ region, the maximum slope at high $`V_G`$ does not differ much as a function of temperature. For each temperature, the mobility is estimated from this maximum slope and is plotted in Fig. 3(b). The results for two more crystals are also shown. The mobility values range from 0.1 to 0.5 cm2/Vs, with no apparent temperature dependence. These mobilities are comparable to typical room temperature bulk values measured in naphthalene by the time-of-flight method Schein and McGie (1979), though an ultraclean crystal can show a rapid increase in $`\mu (T)`$ upon cooling Warta et al. (1985); Karl (2001). The mobility values of our devices are also comparable to those of high-quality pentacene thin-film FETs, though somewhat smaller than the best MOS device (1.5 cm2/Vs) Nelson et al. (1998). (More recently, a mobility of 3 cm2/Vs was reported for pentacene OTFTs with a polymeric dielectric Klauk et al. (2002).) The absence of a temperature dependence is reported for the high-mobility devices of Ref. Nelson et al., 1998 as well; however, possible contributions from grain boundaries and electric contacts limited further discussion of the origin of the $`T`$ independence. Since it is not likely that such extrinsic mechanisms dominate $`\mu (T)`$ in our four-terminal measurements of single crystals, the nearly temperature independent $`\mu (T)`$ (at least from $``$ 150 K to near room temperature) appears to be an intrinsic property of the surface of the pentacene single crystals in this study, motivating us to investigate the fundamental inter-molecular charge dynamics more quantitatively.

The nearly $`T`$-independent feature is inconsistent with usual hopping models which predict strong $`T`$ dependence as $`T^mexp(\mathrm{\Delta }/k_BT)`$. A difficulty arises in the band picture as well because a naive estimation of the mean free path $`\mathrm{}`$ results in a value shorter than the distance between adjacent molecules $`a5`$ Å; assuming the free-electron approximation $`\mu =e\tau /m^{}=e\mathrm{}/m^{}\overline{v}`$ ($`\tau `$ and $`m^{}`$ are the relaxation time and the effective mass, respectively) and the 2D Boltzmann distribution of the average velocity $`\overline{v}=\sqrt{2k_BT/m^{}}`$, $`\mathrm{}/a`$ is evaluated as $``$ 0.1, even if $`\mu 0.5`$ cm2/Vs, $`T=300`$ K, and $`m^{}`$ is 1.5-5 times the free-electron mass Cornil et al. (2001) (the Fermi temperature is as low as $`40`$ K even at $`V_G=100`$ V). Allowing for polaron formation, which is common in dilute-charge systems, the nearly $`T`$-independent feature is deduced for naphthalene Kenkre et al. (1989); however, since the calculation is based on a balance between electronic parameters (such as band width) and phononic parameters, the applicability to the case of pentacene crystals would need to be further explored. The combination of a short $`\mathrm{}`$ and an almost $`T`$-independent conductivity is reminiscent of an almost $`T`$ independent inter-layer charge transport near room temperature in a high-$`T_c`$ cuprate. There, metallic planes are stacked in a sub-nanometer distance. It is argued that direct tunneling between the adjacent planes dominates the inter-layer transport in such systems Cooper and Grey (1994).

In order to gain more insight into the transport mechanism of the field-induced charges, we extended the measurements on Sample C to lower temperatures, where the influence of the traps remains visible even at the highest applied gate voltage. The field-induced conductivity at fixed gate voltages $`\sigma _{\mathrm{}}^{FET}(V_G)`$ ($`\sigma _{\mathrm{}}(V_G)\sigma _{\mathrm{}}(0)`$) is plotted in Fig. 4 as a function of temperature. The amount of induced charge $`p`$ shown in the figure is calculated from $`V_G`$. The conductivity is nearly temperature independent above $`150`$ K reflecting $`\mu (T)`$ shown in Fig. 3(b), and rapidly diminishes with an activation-like temperature dependence upon further cooling. The “activation energy” $`\mathrm{\Delta }`$, estimated from the slope of the $`\mathrm{log}\sigma _{\mathrm{}}^{FET}1/T`$ plot, is comparable to or less than room temperature and slightly decreases with increasing $`V_G`$ (inset Fig. 4). The observation on the low-$`T`$ side is similar to recent results by Schoonveld et al. on a large-grain thin-film FET Schoonveld et al. (2000), where the channel is restricted to a single domain and the influence of the contacts is analytically subtracted. The value of $`\mathrm{\Delta }`$ in ref. Schoonveld et al., 2000 is similar to the ones we report here, and smaller at higher $`V_G`$, though the room temperature conductivity (and mobility) is more than one order smaller than that of Sample C. Therefore, the observed temperature and $`V_G`$ dependence may reflect the generic behavior of the the conductivity at the surface of organic crystals influenced by shallow trap potentials. The dependence of $`\mathrm{\Delta }`$ on $`V_G`$ can be rationalized assuming a distribution of the trap levels as in amorphous semiconductors Vissenberg and Matters (1998), because an increasing number of injected holes lowers the energy necessary to activate localized holes up to the “mobility edge”. However, one would question the reason of such qualitative similarity between the transport in single crystals and in amorphous systems, taking into consideration the extreme difference in the extent of the molecular order. In this sense, the microscopic mechanism causing the localization still remains to be elucidated in organic field-effect transistors.

An intriguing mechanism is proposed in ref. Schoonveld et al., 2000 for the charge localization; random charges located at defects near the interface induce “offset charges” in the molecules, so that the field-induced holes must hop from molecule to molecule feeling a random potential via the charging energy due to the Coulomb interaction. A noteworthy prediction is that a $`T`$-independent tunneling probability governs the inter-molecular charge transport when the above localization mechanism becomes less significant because of either high temperature or high average hopping rate between the molecules. This may provide an interpretation of an almost $`T`$-independent $`\mu `$ as intrinsic to high-mobility pentacene field-effect devices. Measurements on single-crystal devices of various molecular compounds may help to elucidate the microscopic mechanism limiting the field-induced charge transport. Very recently, single-crystal measurements have indeed been successful Podzorov et al. (2003); Butko et al. (2003); Hasegawa et al. (2003); Morpurgo (2003).

In summary, we have studied the transport of field-induced charge in pentacene single crystals by means of a new four-terminal method in which extrinsic contributions from grain boundaries and electric contacts are minimized. The hole mobility is comparable to the one in high-quality pentacene OTFTs. The induced sheet carrier densities are of the order from $`10^{11}`$ to $`10^{12}`$ cm-2 and lead to a temperature independent conductivity above $``$ 150 K which correlates well with a high mobility of $``$ 0.5 cm2/Vs. At lower temperatures, a crossover to thermally activated transport governed by shallow traps is observed. The presented method is well suited to investigate transport in other organic crystals and to study fundamental charge transport mechanisms in the 2D electronic systems in molecular crystals.

The authors acknowledge helpful discussions with D. Gundlach, T. Hasegawa, Ch. Bergemann, K. Ensslin, Ch. Helm, S. Wehrli, M. Sigrist and R. Kleiner. We also thank K. Mattenberger, H.-P. Staub, M. Moessle, V. Oehmichen, H. Scherrer, N. Boos, S. Kicin, A. Fuhrer, and Ch. Ellenberger for technical support. This study was supported by the Swiss National Science Foundation.


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# Untitled Document

A bound for the number of automorphisms of an arithmetic Riemann surface

BY MIKHAIL BELOLIPETSKY

Sobolev Institute of Mathematics, Novosibirsk, 630090, Russia

e-mail: mbel@math.nsc.ru

AND GARETH A. JONES

Faculty of Mathematical Studies, University of Southampton,

Southampton, SO17 1BJ

e-mail: gaj@maths.soton.ac.uk

Abstract

We show that for every $`g2`$ there is a compact arithmetic Riemann surface of genus $`g`$ with at least $`4(g1)`$ automorphisms, and that this lower bound is attained by infinitely many genera, the smallest being $`24`$.

1. Introduction

Schwarz  proved that the automorphism group of a compact Riemann surface of genus $`g2`$ is finite, and Hurwitz  showed that its order is at most $`84(g1)`$. This bound is sharp, by which we mean that it is attained for infinitely many $`g`$, and the least genus of such an extremal surface is $`3`$. However, it is also well known that there are infinitely many genera for which the bound $`84(g1)`$ is not attained. It therefore makes sense to consider the maximal order $`N(g)`$ of the group of automorphisms of any Riemann surface of genus $`g`$. Accola  and Maclachlan  independently proved that $`N(g)8(g+1)`$. This bound is also sharp, and according to p. 93 of , Paul Hewitt has shown that the least genus attaining it is $`23`$. Thus we have the following sharp bounds for $`N(g)`$ with $`g2`$:

$$8(g+1)N(g)84(g1).$$

We now consider these bounds from an arithmetic point of view, defining arithmetic Riemann surfaces to be those which are uniformized by arithmetic Fuchsian groups. The motivation for this approach can be found in the works of Borel, Margulis and various others on arithmetic groups. Concerning Riemann surfaces with large groups of automorphisms, the surprising fact, which can easily be seen, is that all the extremal surfaces for Hurwitz’s upper bound are arithmetic, whereas all the extremal surfaces for the Accola-Maclachlan lower bound are non-arithmetic. This raises the natural question: “What can be said about the other two bounds?”

The non-arithmetic analog of Hurwitz’s upper bound, obtained by the first author in , is $`156(g1)/7`$; this bound is sharp, and the least genus attaining it is $`50`$. The aim of the current paper is to obtain an arithmetic analog of the Accola-Maclachlan lower bound, namely that for each $`g2`$ there is an arithmetic surface of genus $`g`$ with $`4(g1)`$ automorphisms, and that this bound is attained for infinitely many $`g`$, starting with $`24`$.

We now collect these results together: defining $`N_{\mathrm{ar}}(g)`$ and $`N_{\mathrm{na}}(g)`$ to be the maximal orders of the automorphisms groups of the arithmetic and non-arithmetic surfaces of genus $`g`$ respectively, for all sufficiently large $`g`$ we have a system of sharp bounds

$$4(g1)N_{\mathrm{ar}}(g)84(g1),$$

$$8(g+1)N_{\mathrm{na}}(g)\frac{156}{7}(g1).$$

In Section 2 we recall the basic facts about Riemann surfaces and arithmetic groups. Section 3 contains the proof of the $`4(g1)`$ lower bound, with a number of additional remarks. Finally, in Section 4 we use our proof of the $`4(g1)`$ bound to describe an infinite set of genera for which the bound is attained, and to prove that the least genus attaining the bound is $`24`$.

The authors would like to thank A. D. Mednykh for suggesting this problem, and C. Maclachlan for some very helpful discussions.

2. Basic facts

In this section we recall some definitions and basic properties of Riemann surfaces and arithmetic groups. For more information about Riemann surfaces and Fuchsian groups see . The basic references for quaternion algebras and arithmetic groups are .

Definition 2.1. A Riemann surface is a connected one-dimensional complex analytic manifold. An automorphism of a Riemann surface is an analytic mapping of the surface onto itself.

In this paper we shall consider only compact Riemann surfaces of genus $`g2`$. By the uniformization theorem \[7, Ch. IV\] each such surface $`𝒮`$ can be represented as the quotient space $`/\mathrm{\Gamma }_𝒮`$, where $``$ is the hyperbolic plane and $`\mathrm{\Gamma }_𝒮`$ is a cocompact torsion-free discrete subgroup of the group $`\mathrm{Isom}^+()=PSL(2,𝐑)`$ of orientation-preserving isometries of $``$. This group $`\mathrm{\Gamma }_𝒮`$, called the surface group corresponding to $`𝒮`$, is unique up to conjugacy in $`PSL(2,𝐑)`$ and is finitely generated.

Discrete subgroups of $`PSL(2,𝐑)`$ are called Fuchsian groups. Each cocompact Fuchsian group $`\mathrm{\Gamma }`$ has a signature $`\sigma =(g;m_1,\mathrm{},m_k)`$, where $`g`$ is a non-negative integer, equal to the genus of $`/\mathrm{\Gamma }`$, and each $`m_j`$ is an integer greater than $`1`$, indicating a cone-point of order $`m_j`$ in $`/\mathrm{\Gamma }`$. This signature corresponds to the canonical presentation for $`\mathrm{\Gamma }`$:

$$\mathrm{\Gamma }(g;m_1,\mathrm{},m_k)=\alpha _1,\beta _1,\mathrm{},\alpha _g,\beta _g,\gamma _1,\mathrm{},\gamma _k\underset{i=1}{\overset{g}{}}[\alpha _i,\beta _i]\underset{j=1}{\overset{k}{}}\gamma _j=1,\gamma _j^{m_j}=1.$$

If $`g=0`$ we shall omit $`g`$ from $`\sigma `$, and write $`(m_1,\mathrm{},m_k)`$.

We define $`\mu (\mathrm{\Gamma })`$ to be the hyperbolic measure of $`/\mathrm{\Gamma }`$, it can be expressed in terms of the signature:

$$\mu (\mathrm{\Gamma })=\mu (g;m_1,\mathrm{},m_k)=2\pi \left(2g2+\underset{j=1}{\overset{k}{}}\left(1\frac{1}{m_j}\right)\right).$$
$`(1)`$
By the Riemann-Hurwitz formula if $`\mathrm{\Gamma }^{}`$ is a subgroup of index $`n`$ in $`\mathrm{\Gamma }`$ we have:

$$\mu (\mathrm{\Gamma }^{})=n\mu (\mathrm{\Gamma }).$$

The automorphisms of a Riemann surface $`𝒮`$ lift to the isometries of $``$ normalizing the surface group $`\mathrm{\Gamma }_𝒮`$, so $`𝒮`$ has automorphism group

$$\mathrm{Aut}(𝒮)N(\mathrm{\Gamma }_𝒮)/\mathrm{\Gamma }_𝒮$$

where $`N(\mathrm{\Gamma }_𝒮)`$ is the normalizer of $`\mathrm{\Gamma }_𝒮`$ in $`PSL(2,𝐑)`$.

In our investigations we often need to construct a Riemann surface $`𝒮`$ with a given Fuchsian group $`\mathrm{\Gamma }`$ normalizing its surface group $`\mathrm{\Gamma }_𝒮`$. In order to do this one has to find a torsion-free normal subgroup of finite index in $`\mathrm{\Gamma }`$, or equivalently to find an epimorphism from $`\mathrm{\Gamma }`$ onto some finite group $`G`$ with a torsion-free kernel. We call such an epimorphism a surface-kernel epimorphism, or SKE for short. In these circumstances $`\mathrm{Aut}(𝒮)`$ has a subgroup isomorphic to $`G`$. It is known that in any Fuchsian group all elements of finite order are conjugate to powers of the elliptic generators in a canonical presentation of the group. Hence, in order to verify that a given epimorphism is a SKE, one has only to check that the orders of these generators are preserved.

Now we introduce a special class of Riemann surfaces, which we call arithmetic surfaces.

Definition 2.2. (See .) Let $`A=(\frac{a,b}{k})`$ be a quaternion algebra over a totally real number field $`k`$, such that there is an isomorphism $`\rho `$ from $`(\frac{a,b}{𝐑})`$ to the matrix algebra $`M_2(𝐑)`$ and such that $`(\frac{\sigma (a),\sigma (b)}{𝐑})𝐇`$ (Hamilton’s quaternions) for every non-identity Galois monomorphism $`\sigma :k𝐑`$. Let $`𝒪`$ be an order in $`A`$, and let $`𝒪^1`$ be the group of elements of norm $`1`$ in $`𝒪`$. Then any subgroup of $`PSL(2,𝐑)`$ which is commensurable with the image in $`PSL(2,𝐑)`$ of some such $`\rho (𝒪^1)`$ is called an arithmetic Fuchsian group.

Arithmeticity is invariant under conjugation in $`PSL(2,𝐑)`$, so the following definition is valid:

Definition 2.3. A Riemann surface is arithmetic if it is uniformized by an arithmetic Fuchsian group. All other Riemann surfaces are nonarithmetic.

We finish this section with some examples of arithmetic Fuchsian groups and Riemann surfaces.

Example 2.1. Triangle groups are Fuchsian groups which have signatures of the form $`(m_1,m_2,m_3)`$. Triangle groups with a given signature are conjugate in $`PSL(2,𝐑)`$ (this fails for most other signatures), so either all of them or none of them are arithmetic. Takeuchi first proved that there are only finitely many signatures of arithmetic triangle groups, and gave the complete list of them in ; particularly important examples for us are the signatures $`(2,3,7)`$ and $`(2,4,5)`$. In order to obtain this result Takeuchi used an arithmeticity test which he introduced in the same paper.

Example 2.2. The orientation-preserving subgroup of the group generated by reflections in the sides of a right-angled hyperbolic pentagon $`\mathrm{\Pi }`$ is a Fuchsian group $`\mathrm{\Gamma }`$ of signature $`(2,2,2,2,2)`$. If $`\mathrm{\Pi }`$ can be subdivided into $`n`$ congruent triangles, so that whenever two triangles have a common side they are symmetric with respect to that side, then $`\mathrm{\Gamma }`$ is a subgroup of index $`n`$ in the corresponding triangle group. In particular, if this triangle group is arithmetic then so is $`\mathrm{\Gamma }`$. For instance, one can barycentrically subdivide an equilateral right-angled pentagon into $`10`$ triangles with angles $`\pi /2`$, $`\pi /4`$ and $`\pi /5`$, and so obtain a $`(2,2,2,2,2)`$-subgroup of index $`10`$ in the arithmetic $`(2,4,5)`$-group. However, it is worth noting that among the arithmetic groups of a given signature there may also be maximal Fuchsian groups, and these can not be obtained as subgroups of arithmetic triangle groups.

Example 2.3. All surfaces of genus $`g`$ with $`84(g1)`$ automorphisms (such as Klein’s quartic) are arithmetic, since they are uniformized by finite index subgroups of the $`(2,3,7)`$ triangle group, which is arithmetic.

3. The main results

LEMMA 3.1. Let $`\{𝒮_g\}_{g𝒢}`$ be an infinite sequence of arithmetic surfaces of different genera $`g`$, such that for each $`g𝒢`$ the group of automorphisms of $`𝒮_g`$ has order $`a(g+b)`$ for some fixed $`a`$ and $`b`$. Then $`b=1`$.

Proof. Let $`𝒮`$ be a surface from the given sequence. Since $`\mathrm{Aut}(𝒮)N(\mathrm{\Gamma }_𝒮)/\mathrm{\Gamma }_𝒮`$, the Riemann-Hurwitz formula gives

$$\mu (N(\mathrm{\Gamma }_𝒮))=\frac{\mu (\mathrm{\Gamma }_𝒮)}{|\mathrm{Aut}(𝒮)|}=\frac{2\pi (2g2)}{a(g+b)},$$

so $`\mu (N(\mathrm{\Gamma }_𝒮))4\pi /a`$ as $`g\mathrm{}`$.

Since $`\mathrm{\Gamma }_𝒮`$ is an arithmetic Fuchsian group, $`N(\mathrm{\Gamma }_𝒮)`$ is also arithmetic. Borel  showed that the measures of arithmetic groups form a discrete subset of $`𝐑`$, so for all but finitely many $`g𝒢`$ we have

$$\frac{2\pi (2g2)}{a(g+b)}=\frac{4\pi }{a},$$

and from this it follows that $`b=1`$.

As an immediate consequence of Lemma 3.1 we deduce that the Accola-Maclachlan lower bound for $`N(g)`$ cannot be attained by infinitely many arithmetic surfaces. In fact, since the extremal surfaces for this bound are uniformized by surface subgroups of $`(2,4,2(g+1))`$-groups with $`g24`$ , and these are not arithmetic by , it is never attained by arithmetic surfaces.

It also follows from Lemma 3.1 that the infinite sequences of Riemann surfaces with automorphism groups of order $`8(g+1)`$, $`8(g+3)`$, etc., as studied by Accola , Conder and Kulkarni , Maclachlan , and others, can be constructed only in non-arithmetic situations.

We now come to the central question of this paper, which is to find a sharp lower bound for $`N_{\mathrm{ar}}(g)`$.

LEMMA 3.2. $`N_{\mathrm{ar}}(g)4(g1)`$ for all $`g2`$.

Proof. Let $`\mathrm{\Gamma }=\gamma _1,\mathrm{},\gamma _5\gamma _j^2=\gamma _1\mathrm{}\gamma _5=1`$ be an arithmetic group with signature $`(2,2,2,2,2)`$ (see Example 2.2). Consider the homomorphism $`\theta `$ from $`\mathrm{\Gamma }`$ to the dihedral group $`G=D_{2(g1)}=a,ba^{2(g1)}=b^2=(ab)^2=1`$ of order $`4(g1)`$ defined by $`\gamma _jab,b,a^{g2}b,b,a^{g1}`$ for $`j=1,\mathrm{},5`$. It is easy to verify that $`\theta `$ is a SKE. The kernel $`K=\mathrm{ker}(\theta )`$ is therefore a surface group, and the surface $`𝒮=/K`$ is arithmetic since $`K`$ is a finite index subgroup of the arithmetic group $`\mathrm{\Gamma }`$. Since $`\mu (\mathrm{\Gamma })=\pi `$ and $`|G|=4(g1)`$, the Riemann-Hurwitz formula gives $`\mu (K)=\mu (\mathrm{\Gamma })|G|=2\pi (2g2)`$ and so $`𝒮`$ has genus $`g`$. Since $`\mathrm{Aut}(𝒮)\mathrm{\Gamma }/KG`$ it follows that $`N_{\mathrm{ar}}(g)|G|=4(g1)`$.

THEOREM 3.1. $`N_{\mathrm{ar}}(g)4(g1)`$ for all $`g2`$, and this bound is attained for infinitely many values of $`g`$.

Proof. The inequality in the statement of the theorem was proved in the previous lemma, so it remains to show that the bound is sharp. Suppose that $`G:=\mathrm{Aut}(𝒮)`$ has order $`|G|>4(g1)`$ for some compact arithmetic surface $`𝒮`$ of genus $`g2`$. We will successively impose a set of conditions on $`g`$ which lead to a contradiction, and then show that infinitely many values of $`g`$ satisfy these conditions.

By our hypothesis, $`G\mathrm{\Gamma }/K`$ for some cocompact arithmetic group $`\mathrm{\Gamma }`$ and normal surface subgroup $`K=\mathrm{\Gamma }_𝒮`$ of $`\mathrm{\Gamma }`$, with

$$4\pi (g1)=\mu (K)=|G|\mu (\mathrm{\Gamma })>4(g1)\mu (\mathrm{\Gamma }),$$
$`(2)`$
so $`\mu (\mathrm{\Gamma })<\pi `$. Borel’s discreteness theorem  implies that there are only finitely many measures of cocompact arithmetic groups $`\mu (\mathrm{\Gamma })<\pi `$, and then formula (1) for $`\mu (\mathrm{\Gamma })`$ shows that these correspond to a finite set $`\mathrm{\Sigma }`$ of signatures, all of genus $`0`$ and with either three or four elliptic periods.

For each $`\sigma \mathrm{\Sigma }`$, the number $`q=\mu (\mathrm{\Gamma })/4\pi `$ is rational and depends only on the signature $`\sigma `$ of $`\mathrm{\Gamma }`$, so write $`q=r/s=r_\sigma /s_\sigma `$ in reduced form, and let $`R=\mathrm{lcm}\{r_\sigma \sigma \mathrm{\Sigma }\}`$. By $`(2)`$ we have $`|G|=(g1)/q=(g1)s/r`$ for some such $`q`$. Since $`|G|`$ is an integer, if we choose $`g`$ so that $`g1`$ is coprime to $`R`$ then for surfaces of genus $`g`$ we have $`r=1`$ and $`|G|=(g1)s`$.

Suppose that $`g1`$ is a prime $`p>S`$, where $`S=\mathrm{max}\{s_\sigma \sigma \mathrm{\Sigma },r_\sigma =1\}`$. Then $`|G|=ps`$ with $`s`$ coprime to $`p`$ and less than $`p+1`$, so Sylow’s Theorems imply that $`G`$ has a normal Sylow $`p`$-subgroup $`PC_p`$. Let $`\mathrm{\Delta }`$ denote the inverse image of $`P`$ in $`\mathrm{\Gamma }`$, a normal subgroup of $`\mathrm{\Gamma }`$ with $`\mathrm{\Gamma }/\mathrm{\Delta }Q:=G/P`$ of order $`s`$. Let $`\mathrm{\Pi }`$ denote the finite set of primes which divide an elliptic period $`m_j`$ of some signature $`\sigma \mathrm{\Sigma }`$ with $`r_\sigma =1`$. If we take $`p\mathrm{\Pi }`$, then the natural epimorphism $`GQ`$ preserves the orders of the images of all elliptic generators of $`\mathrm{\Gamma }`$; the inclusion $`K\mathrm{\Delta }`$ therefore induces a smooth $`p`$-sheeted covering $`𝒮𝒯=/\mathrm{\Delta }`$ of surfaces, so $`\mathrm{\Delta }`$ is a surface group of genus $`1+(g1)/p=2`$. Thus $`Q`$ is a group of automorphisms of a Riemann surface $`𝒯`$ of genus $`2`$, so $`Q`$ is one of a known finite list of groups (for instance, $`|Q|48`$). Let $`E`$ denote the least common multiple of the exponents of all the groups of automorphisms of Riemann surfaces of genus $`2`$. (All we need here is the fact that $`E`$ is finite and even.)

Since $`\mathrm{\Delta }/KPC_p`$ it follows that $`K`$ contains the subgroup $`\mathrm{\Delta }^{}\mathrm{\Delta }^p`$ generated by the commutators and $`p`$-th powers in $`\mathrm{\Delta }`$, so $`P`$ is isomorphic (as a $`𝐙_pQ`$-module) to a 1-dimensional quotient of the $`𝐙_pQ`$-module $`\mathrm{\Delta }/\mathrm{\Delta }^{}\mathrm{\Delta }^p`$, where the action of $`Q`$ is induced by conjugation in $`\mathrm{\Gamma }`$. Now $`\mathrm{\Delta }`$ is isomorphic to the fundamental group $`\pi _1(𝒯)`$ of $`𝒯`$, so $`\mathrm{\Delta }/\mathrm{\Delta }^{}`$ is isomorphic (as a $`𝐙Q`$-module) to its first integer homology group $`H_1(𝒯,𝐙)\pi _1(𝒯)^{\mathrm{ab}}`$, and hence $`\mathrm{\Delta }/\mathrm{\Delta }^{}\mathrm{\Delta }^p`$ is isomorphic (as a $`𝐙_pQ`$-module) to $`H_1(𝒯,𝐙_p)H_1(𝒯,𝐙)𝐙_p`$; since $`𝒯`$ has genus $`\gamma =2`$, this has dimension $`2\gamma =4`$ as a vector space over $`𝐙_p`$. Since $`p`$ does not divide $`s=|Q|`$, Maschke’s Theorem \[8, I.17.7\] implies that $`H_1(𝒯,𝐙_p)`$ is a direct sum of irreducible submodules. Now $`H_1(𝒯,𝐂)=H_1(𝒯,𝐙)𝐂`$ is a direct sum of two $`Q`$-invariant subspaces, corresponding under duality to the holomorphic and antiholomorphic differentials in $`H^1(𝒯,𝐂)`$, and these afford complex conjugate representations of $`Q`$ . It follows that there are just three possibilities for $`H_1(𝒯,𝐙_p)`$: it may be irreducible, a direct sum of two irreducible 2-dimensional submodules, or a direct sum of four irreducible 1-dimensional submodules. Since $`H_1(𝒯,𝐙_p)`$ has a $`1`$-dimensional quotient, only the last of these three cases can arise. We have $`p>2`$ (since $`p>S2`$), so a theorem of Serre \[7, V.3.4\] implies that $`Q`$ is faithfully represented on $`H_1(𝒯,𝐙_p)`$; thus $`QGL_1(p)^4(C_{p1})^4`$, so $`Q`$ has exponent $`e`$ dividing $`p1`$. Since $`e`$ also divides $`E`$, if we choose $`p`$ so that $`\mathrm{gcd}(p1,E)=2`$ then $`e`$ must divide $`2`$. Since $`\mathrm{\Delta }`$ is a surface group, the natural epimorphism $`\mathrm{\Gamma }\mathrm{\Gamma }/\mathrm{\Delta }Q`$ is a SKE, so each elliptic period of $`\mathrm{\Gamma }`$ is equal to $`2`$. However, as noted earlier, $`\mathrm{\Gamma }`$ is a cocompact Fuchsian group of genus $`0`$ with at most four elliptic periods, so this contradicts the fact that $`\mu (\mathrm{\Gamma })>0`$.

It remains to check that there are infinitely many values of $`g`$ satisfying the above conditions, namely that $`g1`$ is a prime $`p`$ where $`p>S`$, $`p\mathrm{\Pi }`$, $`p`$ is coprime to $`R`$, and $`\mathrm{gcd}(p1,E)=2`$. Dirichlet’s Theorem implies that there are infinitely many primes $`p`$ satisfying the last condition (for instance, primes $`p1`$ mod $`(E)`$), and all but finitely many satisfy the other three conditions (since $`\mathrm{\Pi }`$ is finite), so the proof is complete.

Remark 3.1. In this proof arithmeticity is used only to show that there are just finitely many signatures $`\sigma `$ that can occur. It follows that there are similar results for other classes of groups with this finiteness property.

Remark 3.2. For our chosen values of $`g`$, the bound $`4(g1)`$ is attained only by dihedral quotients of $`\mathrm{\Gamma }=\mathrm{\Gamma }(2,2,2,2,2)`$, as in Lemma 3.2. To see this, repeat the proof of Theorem 3.1, but starting with $`|\mathrm{Aut}(𝒮)|4(g1)`$ instead of strict inequality. We eventually find that $`\mathrm{\Gamma }=\mathrm{\Gamma }(2,2,2,2,2)`$ or $`\mathrm{\Gamma }=\mathrm{\Gamma }(1;2)=\alpha ,\beta ,\gamma \gamma ^2=[\alpha ,\beta ]\gamma =1`$; since $`Q`$ is abelian (having exponent $`2`$), all commutators in $`G`$ lie in $`P`$ and hence there is no SKE from $`\mathrm{\Gamma }(1;2)`$ onto $`Q`$. Thus $`\mathrm{\Gamma }=\mathrm{\Gamma }(2,2,2,2,2)`$. The Riemann-Hurwitz formula gives $`|Q|=\mu (\mathrm{\Delta })/\mu (\mathrm{\Gamma })=4\pi /\pi =4`$, so $`QV_4`$ (a Klein four-group). Since $`\mathrm{Aut}(C_p)C_{p1}`$ the only extensions of $`C_p`$ by $`V_4`$ are $`C_p\times V_4`$ and $`D_p\times C_2D_{2p}`$; there is no epimorphism $`\mathrm{\Gamma }(2,2,2,2,2)C_p`$, so we must have $`GD_{2p}=D_{2(g1)}`$.

Remark 3.3. Theorem 3.1 has another more elementary proof. Let us start with the sequence of genera in  which attain the Accola-Maclachlan bound. These have the form $`g=89p+1`$, with the prime $`p`$ satisfying five additional conditions. As mentioned earlier, the extremal surfaces of these genera are uniformized by surface subgroups of the $`(2,4,2(g+1))`$ triangle groups, which are non-arithmetic, so for such $`g`$ we have $`4(g1)N_{\mathrm{ar}}(g)<N(g)=8(g+1)`$. There are only finitely many signatures $`\sigma `$ with $`\mu (2,4,2(g+1))<\mu (\sigma )<\mu (2,2,2,2,2)`$ which can correspond to arithmetic groups, and so may be considered as candidates for giving a better lower bound for $`N_{\mathrm{ar}}(g)`$. Using the Riemann-Hurwitz formula one can apply divisibility arguments to exclude those signatures which do not have surface subgroups of genus $`89p+1`$. Together with known information about arithmetic groups of signature $`(2,2,2,n)`$  and arithmetic triangle groups , this gives the following list of candidates: $`(2,5,20)`$, $`(2,6,12)`$, $`(2,8,8)`$, $`(3,4,6)`$, $`(4,4,4)`$, $`(2,2,2,4)`$, $`(2,7,14)`$, $`(2,9,18)`$, $`(2,12,12)`$, $`(3,4,12)`$, $`(3,6,6)`$, $`(4,4,6)`$, $`(2,2,2,6)`$, $`(2,2,3,3)`$, $`(2,15,30)`$, $`(5,5,5)`$, $`(2,2,2,10)`$. Using a case-by-case argument, one can show if $`p`$ is a sufficiently large prime then no group $`\mathrm{\Gamma }`$ of such a signature can have a normal surface subgroup of genus $`g=89p+1`$. If we also impose the conditions on $`p`$ given in  then we obtain a sequence of genera $`g`$ for which the arithmetic bound $`4(g1)`$ is sharp.

In this approach one needs only Sylow’s Theorems and some other basic facts about finite groups, but the proof is rather routine and not very straightforward: it is easy to handle the signatures with large elliptic periods, but it becomes more complicated when the periods are small. The most challenging case is when $`\sigma =(2,2,2,4)`$. The other reason why we prefer our initial proof of Theorem 3.1 will be clear after the next section, where we find the minimal genus for which our bound is attained.

4. Extremal surfaces

In this section we shall first use the proof of Theorem 3.1 to produce a specific set of genera $`g`$ attaining our lower bound for $`N_{\mathrm{ar}}(g)`$. We shall then strengthen the arguments in order to consider smaller $`g`$, and finally determine the least genus for which $`N_{\mathrm{ar}}(g)=4(g1)`$.

To begin with, let us see which signatures actually form the set $`\mathrm{\Sigma }`$ corresponding to the cocompact arithmetic groups $`\mathrm{\Gamma }`$ with $`\mu (\mathrm{\Gamma })<\pi `$. Firstly, almost all of the cocompact arithmetic triangle groups in Takeuchi’s list  are contained in $`\mathrm{\Sigma }`$. Simple calculations show that the other possible signatures are $`(2,2,2,n)`$ for $`n3`$, $`(2,2,3,3)`$, $`(2,2,3,4)`$ and $`(2,2,3,5)`$. The arithmetic groups of signature $`(2,2,2,n)`$ with odd $`n`$ were determined by Maclachlan and Rosenberger . For even $`n`$, groups of signature $`(2,2,2,n)`$ have a subgroup of index $`2`$ isomorphic to a $`(1;n/2)`$-group, and the list of arithmetic groups of signature $`(1;n/2)`$ was obtained by Takeuchi . Combining these results we find that only $`12`$ signatures of the form $`(2,2,2,n)`$ yield arithmetic groups. It is a matter of direct verification whether or not there are arithmetic groups of the remaining three signatures, but since this does not affect our arguments we shall ignore this point and include them in the table of signatures $`\sigma \mathrm{\Sigma }`$ given at the end of the paper.

Now inspecting this list $`\mathrm{\Sigma }`$ of possible signatures, one can use the proof of Theorem 3.1 to produce specific values of $`g`$ attaining the lower bound $`N_{\mathrm{ar}}(g)4(g1)`$. For instance, we see that $`R=2^2357`$, so a prime $`p`$ is coprime to $`R`$ provided $`p>7`$. Inspection also shows that $`\mathrm{\Pi }=\{2,3,5,7\}`$, so $`p\mathrm{\Pi }`$ if and only if $`p>7`$. We also have $`S=84`$, so we need $`p>84`$ for the proof of the Theorem to work (though it can be adapted to apply to certain smaller primes, as we shall see). A standard result \[7, V.1.11\] states that a Riemann surface of genus $`\gamma 2`$ has no automorphisms of prime order greater than $`2\gamma +1`$, so taking $`\gamma =2`$ we see that $`E`$ is divisible only by the primes $`2,3`$ and $`5`$; hence the condition $`\mathrm{gcd}(p1,E)=2`$ is satisfied by all odd $`p`$ such that $`p1`$ is not divisible by $`3,4`$ or $`5`$, that is, $`p23,47`$ or $`59`$ mod $`(60)`$. It follows that for all such primes $`p>84`$, our bound is attained by $`g=p+1`$. The smallest prime in this sequence is $`p=107`$, giving $`g=108`$.

If we inspect $`\mathrm{\Sigma }`$ more closely, and use other group-theoretic techniques in addition to Sylow’s Theorems, we can find smaller values of $`g`$ attaining our bound. The basic idea is that, in order to show that $`G`$ has a normal Sylow $`p`$-subgroup of order $`p`$, we replace the rather crude sufficient condition $`p>S`$ with a more careful analysis of the possibilities for a group of order $`ps`$. We use the fact that (according to the Table) the largest possible values of $`s`$ (for $`r=1`$) are $`s=84,\mathrm{\hspace{0.17em}48},\mathrm{\hspace{0.17em}40},\mathrm{\hspace{0.17em}36},\mathrm{\hspace{0.17em}30}`$, corresponding to the arithmetic groups of signatures $`(2,3,7),(2,3,8),(2,4,5),(2,3,9),(2,3,10)`$ respectively, followed by $`s=24`$ corresponding to $`(2,3,12)`$ and $`(2,4,6)`$, and then $`s=21`$ corresponding to $`(2,3,14)`$.

Example 4.1. Let $`p=59`$, so $`g=60`$. We follow the proof of Theorem 3.1, amending it where necessary for this particular prime $`p`$. Since $`p>7`$, $`p`$ is coprime to $`R`$ and hence $`|G|=(g1)s=59s`$. No possible value of $`s`$ is divisible by $`59`$ (see the Table), so a Sylow $`59`$-subgroup $`P`$ of $`G`$ has order $`59`$. The number of Sylow $`59`$-subgroups divides $`s`$ and is congruent to $`1`$ mod $`(59)`$; this immediately implies that there is only one such subgroup, so $`P`$ is normal in $`G`$. For the rest of the proof, it is sufficient to note that $`p=59`$ satisfies $`p\mathrm{\Pi }`$ and $`\mathrm{gcd}(p1,E)=2`$, so $`g=60`$ attains the lower bound.

Example 4.2. Let $`p=47`$. Once again $`p>7`$, $`p`$ is coprime to $`R`$, and $`|G|=(g1)s=47s`$. A Sylow $`47`$-subgroup $`P`$ of $`G`$ has order $`47`$ since there is no value of $`s`$ divisible by $`47`$. We need to show that $`P`$ is normal in $`G`$, so suppose not. The number $`n_{47}`$ of Sylow $`47`$-subgroups divides $`s`$ and is congruent to $`1`$ mod $`(47)`$, so (by inspection) $`n_{47}=s=48`$. This means that $`P=N_G(P)`$, so $`G`$ permutes its $`48`$ Sylow $`47`$-subgroups by conjugation as a Frobenius group. A theorem of Frobenius \[8, V.7.6, V.8.2\] implies that $`G`$ has a normal subgroup $`N`$ of order $`48`$ (the Frobenius kernel), so $`\mathrm{\Gamma }`$ has an epimorphism onto $`G/NC_{47}`$. However, $`s=48`$ implies that $`\mathrm{\Gamma }`$ is the triangle group $`\mathrm{\Gamma }(2,3,8)`$, so no such epimorphism exists, and hence $`P`$ is normal in $`G`$. The rest of the proof is the same, so the lower bound is attained for $`g=48`$. This method also deals with $`g=84`$, using $`p=83`$ and $`\mathrm{\Gamma }=\mathrm{\Gamma }(2,3,7)`$.

Example 4.3. Let $`p=23`$. As with $`p=47`$, the only place where the proof of Theorem 3.1 fails is that Sylow’s Theorems are not strong enough to prove that a Sylow $`23`$-subgroup $`P`$ of $`G`$ is normal and has order $`23`$. By inspection of $`\mathrm{\Sigma }`$, no possible value of $`s`$ is divisible by $`23`$, so $`|P|=23`$. Similarly, if $`P`$ is not normal, then there must be $`n_{23}=24`$ Sylow $`23`$-subgroups, with $`s=24`$ or $`48`$, so $`|G|=2423`$ or $`4823`$. In either case, $`G`$ permutes its Sylow $`23`$-subgroups by conjugation as a transitive permutation group $`\stackrel{~}{G}`$ of degree $`24`$. In fact, $`\stackrel{~}{G}`$ is doubly transitive, since $`P`$ must have a single orbit of length $`23`$ on the remaining Sylow $`23`$-subgroups: if it normalized a Sylow $`p`$-subgroup $`P^{}P`$, then $`PP^{}`$ would be a subgroup of $`G`$ of order $`23^2`$. Thus $`|\stackrel{~}{G}|`$ is divisible by $`2423`$, and it divides $`|G|`$, so $`|\stackrel{~}{G}|=2423`$ or $`4823`$. In the first case, $`\stackrel{~}{G}`$ is sharply $`2`$-transitive, which is impossible since such groups all have prime-power degree \[9, XII.9.1\]. In the second case, since a point-stabilizer must act as $`D_{23}`$, $`\stackrel{~}{G}`$ is a Zassenhaus group with two-point stabilizers of even order ($`=2`$); Zassenhaus showed that such groups of degree $`n`$ have two-point stabilizers of order at least $`(n2)/2`$ \[9, XI.1.10\], so this case is also impossible. (Alternatively, the classification of finite simple groups implies that the doubly transitive finite groups are all known : those of degree $`24`$ are the symmetric group $`S_{24}`$, the alternating group $`A_{24}`$, the Mathieu group $`M_{24}`$, the projective general linear group $`PGL(2,23)`$, and the projective special linear group $`PSL(2,23)`$, all of which have order greater than $`4823`$.) Thus $`P`$ is normal in $`G`$, as required, so our lower bound is attained for $`g=24`$. We will now show that this is the least genus for which the bound is attained.

In , Kazaz classified the elementary abelian coverings of the regular hypermaps of genus $`2`$. In terms of Fuchsian groups and Riemann surfaces, his results include the following consequences. Suppose that $`\mathrm{\Gamma }\mathrm{\Delta }K`$ where $`\mathrm{\Gamma }`$ is a triangle group, $`\mathrm{\Delta }`$ is a normal surface subgroup of genus $`2`$, and $`K`$ is a normal subgroup of $`\mathrm{\Gamma }`$ of prime index $`p`$ in $`\mathrm{\Delta }`$ (so $`K`$ is a surface group of genus $`g=p+1`$, and $`G=\mathrm{\Gamma }/K\mathrm{Aut}(/K)`$). Then we have the following possibilities for $`\mathrm{\Gamma },Q=\mathrm{\Gamma }/\mathrm{\Delta },s=|Q|`$ and $`p`$ (all of which occur):

a) $`\mathrm{\Gamma }=\mathrm{\Gamma }(2,8,8),Q=C_8,s=8,p1`$ mod $`(8)`$ or $`p=2`$;

b) $`\mathrm{\Gamma }=\mathrm{\Gamma }(4,4,4),Q=Q_8,s=8,p=2`$;

c) $`\mathrm{\Gamma }=\mathrm{\Gamma }(2,4,8),Q=SD_8,s=16,p=2`$;

d) $`\mathrm{\Gamma }=\mathrm{\Gamma }(5,5,5),Q=C_5,s=5,p1`$ mod $`(5)`$ or $`p=5`$;

e) $`\mathrm{\Gamma }=\mathrm{\Gamma }(2,5,10),Q=C_{10},s=10,p1`$ mod $`(5)`$ or $`p=5`$;

f) $`\mathrm{\Gamma }=\mathrm{\Gamma }(3,6,6),Q=C_6,s=6,p1`$ mod $`(6)`$ or $`p=3`$;

g) $`\mathrm{\Gamma }=\mathrm{\Gamma }(2,6,6),Q=C_6\times C_2,s=12,p1`$ mod $`(6)`$ or $`p=3`$. (Here $`Q_8`$ is the quaternion group $`a,ba^4=1,a^2=b^2,ba=a^1b`$ of order $`8`$, and $`SD_8`$ is the semidihedral group $`a,ba^8=b^2=1,ba=a^3b`$ of order $`16`$.)

These triangle groups $`\mathrm{\Gamma }`$ are all arithmetic, so if $`g=p+1`$ for any of the above primes $`p`$ then $`N_{\mathrm{ar}}(g)sp>4(g1)`$. Among the genera $`g<24`$, those covered by this result are $`g=3,\mathrm{\hspace{0.17em}4},\mathrm{\hspace{0.17em}6},\mathrm{\hspace{0.17em}8},\mathrm{\hspace{0.17em}12},\mathrm{\hspace{0.17em}14},\mathrm{\hspace{0.17em}18}`$ and $`20`$. To show that each odd $`g=2m+1`$ satisfies $`N_{\mathrm{ar}}(g)6(g1)`$, we can use a SKE from $`\mathrm{\Gamma }=\mathrm{\Gamma }(2,2,2,6)`$ onto $`S_3\times D_m`$. This leaves $`g=2,\mathrm{\hspace{0.17em}10},\mathrm{\hspace{0.17em}16}`$ and $`22`$ among the genera $`g<24`$. A SKE $`\mathrm{\Gamma }(2,3,8)GL(2,3)`$ shows that $`N_{\mathrm{ar}}(2)48`$ (in fact, $`N_{\mathrm{ar}}(2)=N(2)=48`$). For $`g=10`$ we can use a SKE from $`\mathrm{\Gamma }(2,2,2,4)`$ onto a split extension of $`C_3\times C_3`$ by $`D_4`$, giving $`N_{\mathrm{ar}}(10)72=8(g1)`$. We see in case (g) that if $`\mathrm{\Gamma }=\mathrm{\Gamma }(2,6,6)`$ then $`\mathrm{\Delta }`$ contains normal surface subgroups $`K_3`$ and $`K_7`$ of $`\mathrm{\Gamma }`$, of index $`3`$ and $`7`$ in $`\mathrm{\Delta }`$; then $`K=K_3K_7`$ is a normal surface subgroup of $`\mathrm{\Gamma }`$ of index $`21`$ in $`\mathrm{\Delta }`$, so $`N_{\mathrm{ar}}(22)252=12(g1)`$. Finally, for $`g=16`$ we have a SKE from $`\mathrm{\Gamma }(3,3,4)`$ onto the alternating group $`A_6`$, which gives $`N_{\mathrm{ar}}(16)24(161)`$.

We summarize the results of this section in the following statement:

THEOREM 4.1. For all primes $`p23,47`$ or $`59`$ mod $`(60)`$ we have

$$N_{\mathrm{ar}}(g)=4(g1),$$

where $`g=p+1`$. The least genus $`g`$ for which $`N_{\mathrm{ar}}(g)=4(g1)`$ is $`g=24`$.

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 M. KAZAZ. Finite Groups and Surface Coverings. Ph.D. thesis. University of Southampton (1997).

 C. MACLACHLAN. A bound for the number of automorphisms of a compact Riemann surface. J. London Math. Soc. 44 (1968), 265–272.

 C. MACLACHLAN and G. ROSENBERGER. Two-generator arithmetic Fuchsian groups, II. Math. Proc. Camb. Phil. Soc. 111 (1992), 7–24.

 C.-H. SAH. Groups related to compact Riemann surfaces. Acta Math. 123 (1969), 13–42.

 H. A. SCHWARZ. Ueber diejenigen algebraischen Gleichungen zwischen zwei ver-änderlichen Grössen, welche eine Schaar rationaler, eindeutig umkehrbarer Transformationen in sich selbst zulassen. J. reine angew. Math. 87, 139–145; Ges. Math. Abh. II, pp. 285–291 (1890, reprinted Chelsea, 1972).

 K. TAKEUCHI. Arithmetic triangle groups. J. Math. Soc. Japan 29 (1977), 91–106.

 K. TAKEUCHI. Arithmetic Fuchsian groups with signature $`(1;e)`$. J. Math. Soc. Japan 35 (1983), 381–407.

 M.-F. VIGNÉRAS. Arithmétique des Algèbres de Quaternions. Lecture Notes in Math. 800 (Springer-Verlag, 1980).

Table: Signatures $`\sigma \mathrm{\Sigma }`$

$`\sigma `$ $`\mu (\mathrm{\Gamma })`$ $`s/r`$  (2,3,7) $`\pi /21`$ 84  (2,3,8) $`\pi /12`$ 48  (2,3,9) $`\pi /9`$ 36  (2,3,10) $`2\pi /15`$ 30  (2,3,11) $`5\pi /33`$ 132/5  (2,3,12) $`\pi /6`$ 24  (2,3,14) $`4\pi /21`$ 21  (2,3,16) $`5\pi /24`$ 96/5  (2,3,18) $`2\pi /9`$ 18  (2,3,24) $`\pi /4`$ 16  (2,3,30) $`4\pi /15`$ 15  (2,4,5) $`\pi /10`$ 40  (2,4,6) $`\pi /6`$ 24  (2,4,7) $`3\pi /14`$ 56/3  (2,4,8) $`\pi /4`$ 16  (2,4,10) $`3\pi /10`$ 40/3  (2,4,12) $`\pi /3`$ 12  (2,4,18) $`7\pi /18`$ 72/7  (2,5,5) $`\pi /5`$ 20  (2,5,6) $`4\pi /15`$ 15  (2,5,8) $`7\pi /20`$ 80/7  (2,5,10) $`2\pi /5`$ 10  (2,5,20) $`\pi /2`$ 8  (2,5,30) $`8\pi /15`$ 15/2  (2,6,6) $`\pi /3`$ 12  (2,6,8) $`5\pi /12`$ 48/5  (2,6,12) $`\pi /2`$ 8  (2,7,7) $`3\pi /7`$ 28/3  (2,7,14) $`4\pi /7`$ 7  (2,8,8) $`\pi /2`$ 8  (2,8,16) $`5\pi /8`$ 32/5  (2,9,18) $`2\pi /3`$ 6  (2,10,10) $`3\pi /5`$ 20/3  (2,12,12) $`2\pi /3`$ 6  (2,12,24) $`3\pi /4`$ 16/3  (2,15,30) $`4\pi /5`$ 5  (2,18,18) $`7\pi /9`$ 36/7   $`\sigma `$ $`\mu (\mathrm{\Gamma })`$ $`s/r`$  (3,3,4) $`\pi /6`$ 24  (3,3,5) $`4\pi /15`$ 15  (3,3,6) $`\pi /3`$ 12  (3,3,7) $`8\pi /21`$ 21/2  (3,3,8) $`5\pi /12`$ 48/5  (3,3,9) $`4\pi /9`$ 9  (3,3,12) $`\pi /2`$ 8  (3,3,15) $`8\pi /15`$ 15/2  (3,4,4) $`\pi /3`$ 12  (3,4,6) $`\pi /2`$ 8  (3,4,12) $`2\pi /3`$ 6  (3,5,5) $`8\pi /15`$ 15/2  (3,6,6) $`2\pi /3`$ 6  (3,6,18) $`8\pi /9`$ 9/2  (3,8,8) $`5\pi /6`$ 24/5  (4,4,4) $`\pi /2`$ 8  (4,4,5) $`3\pi /5`$ 20/3  (4,4,6) $`2\pi /3`$ 6  (4,4,9) $`7\pi /9`$ 36/7  (4,5,5) $`7\pi /10`$ 40/7  (4,6,6) $`5\pi /6`$ 24/5  (5,5,5) $`4\pi /5`$ 5  (2,2,2,3) $`\pi /3`$ 12  (2,2,2,4) $`\pi /2`$ 8  (2,2,2,5) $`3\pi /5`$ 20/3  (2,2,2,6) $`2\pi /3`$ 6  (2,2,2,7) $`5\pi /7`$ 28/5  (2,2,2,8) $`3\pi /4`$ 16/3  (2,2,2,9) $`7\pi /9`$ 36/7  (2,2,2,10) $`4\pi /5`$ 5  (2,2,2,12) $`5\pi /6`$ 24/5  (2,2,2,14) $`6\pi /7`$ 14/3  (2,2,2,18) $`8\pi /9`$ 9/2  (2,2,2,22) $`10\pi /11`$ 22/5  (2,2,3,3) $`2\pi /3`$ 6  (2,2,3,4) $`5\pi /6`$ 24/5  (2,2,3,5) $`14\pi /15`$ 30/7


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# Physics Analysis Expert PAX: First Applications

## I Motivation

Working directly on the output of detector reconstruction programs when performing data analyses is an established habit amongst particle physicists. Nevertheless, at the experiments of HERA and LEP it turned out to be an advantage to have uniform access to calorimeter energy depositions, tracks, electrons, muons etc. which requires a new level of abstraction on top of the reconstruction layer. Examples of physics analysis packages providing this level are H1PHAN111H1 Collaboration, internal software manual for H1PHAN and ALPHA222ALEPH Collaboration, “ALPHA” internal note 99-087 SOFTWR 99-001 of the H1 and ALEPH experiments. Noticed effects were, amongst others, that
a) users could relatively quickly answer physics questions,
b) the physics analysis code was protected against changes in the detector reconstruction layer,
c) and finally the management liked the fact, that the relevant reconstruction output had been used in the analysis.

While previous programs were designed to provide a rather complete view of the event originating from a single $`e^+e^{}`$ or $`ep`$ scattering, a next generation package is challenged by hadron collisions with $`O(20)`$ simultaneous events. This implies a large number of possible interpretations of the triggered events and sometimes requires the analysis of dedicated regions of interest. The “Physics Analysis Expert” toolkit (PAX) is a data analysis utility designed to assist physicists in these tasks in the phase between detector reconstruction and physics interpretation of an event (Fig.1). The alpha-version of PAX was presented at the HCP2002 conference alfa . In this contribution we introduce the beta-version.

## II Guidelines for the PAX Design

The design of the next generation physics analysis utility PAX has been developed according to the guidelines listed below:

1. The package is a utility tool box in a sense that the user has full control of every step in the program execution.
2. The programming interface should be as simple and intuitive as possible. This minimizes the need to access the manual and thereby increases the acceptance in the community. Furthermore, simplicity enables also physicists with limited time budget or limited knowledge of object oriented programming to carry out complex physics analyses.
3. The package supports modular physics analysis structures and thus facilitates team work. The complexity of todays and future analyses makes team work of many physicists mandatory.
4. Existing physics analysis utilities can be connected. Examples are tools for fourvector gymnastics which are available in general form (e.g. in the CLHEP library333CLHEP, A Class Library for High Energy Physics, http://proj-clhep.web.cern.ch/proj-clhep/ ), other examples are histograms, fitting routines etc.
5. The physics analysis package can be used consistently among different high energy physics experiments.
6. Many use cases are to be taken care of. The following list is certainly not complete:

1. Access to the original data of the experiment is possible at each stage of the physics analysis. This enables detailed control of all analysis steps, and access to experiment-dependent information and related methods.
    2. When studying events of a Monte Carlo generator, relations between generated and reconstructed observables are accessible at any stage of the analysis. This allows the quality of the detector reconstruction to be studied in detail.
    3. Without significant code changes, a complete analysis chain can be tested with different input objects such as reconstructed tracks, generated particles, fast simulated particles etc.
    4. Relations between reconstructed physics objects (tracks, muons, etc.) and vertices are available, as well as hooks for separating multiple interactions.
    5. The decay chains with secondary, tertiary etc. vertices can be handled in events with multiple interactions.
    6. Information of different objects can be combined, e.g., tracks and calorimeter information.
    7. A common challenge in data analysis are reconstruction ambiguities which need to be handled. Administration of these ambiguities is supported.
    8. The user finds assistance in developing analysis factories with multiple physics data analyses carried out simultaneously.

To cope with these challenges, the advantage of using an object oriented language is obvious. For the convenience of connecting to other packages, C++ was the language of choice for the realisation of PAX.

## III PAX Class Structure Implementation

### III.1 Event Interpretation

The basic unit in PAX is a view of the event which we call “event interpretation”. The event interpretation is a container used to store the relevant information about the event in terms of collisions, vertices, fourvectors, their relations, and additional values needed in the user’s analysis. The corresponding class is denoted PaxEventInterpret (Fig.2). The user books, fills, draws, copies, advances the event interpretation, and has the ultimate responsibility for deleting it. When the user finally deletes an instance of PaxEventInterpret, instances of objects which have been registered with this event interpretation – collisions, vertices, fourvectors, etc. – are also removed from memory.

A copy of an event interpretation is a physical copy in memory. It is generated preserving all values of the original event interpretation, and with all relations between collisions, vertices, and fourvectors corrected to remain within the copied event interpretation. In addition, the histories of the individual collisions, vertices, and fourvectors are recorded. The copy functionality simplifies producing several similar event interpretations. This is advantageous typically in the case of many possible views of the event that differ in a few aspects only. Although the event interpretations do not know of each others existence, recording the analysis history of collisions, vertices and fourvectors requires intermediate event interpretations to exist. Therefore, we recommend to delete all event interpretations together after an event has been analysed.

Besides the features mentioned, the PaxEventInterpret also defines an interface to algorithms such as jet algorithms, missing transverse energy calculations etc. This eases the exchange of algorithms within, or between analysis teams.

### III.2 Physics Quantities

PAX supports three physics quantities: collisions, vertices, and fourvectors. Three classes have been defined correspondingly. The class PaxCollision provides the hooks to handle multi-collision events (Fig.2). Vertices and fourvectors are defined through the classes PaxVertex, and PaxFourVector. Since the user may need to impose vector operations on them, both PAX classes inherit from the CLHEP classes Hep3Vector, and HepLorentzVector, respectively. Their functionalities are available to the user. The PaxVertex and PaxFourVector classes contain additional functionality which mainly result from features proven to be useful in the previously mentioned H1PHAN package.

For all physics quantities the user can store additional values (data type double) needed by the analysis via the class PaxUserRecord. These values are registered together with a key (data type string functioning as a name), which must be given by the user.

### III.3 Relation Management for the Physics Quantities

Relations between collisions, vertices, and fourvectors are handled by a separate class called PaxRelationManager (Fig.3). Here we followed the design pattern Mediator designpatterns . Examples for relations to be handled between physics quantities are fourvectors which originate from the primary vertex, an incoming fourvector to a secondary vertex, or connections between multiple collisions and their vertices etc.

When physics quantities are copied, the copied instance carries a pointer to the previous instance. An example would be a fourvector which is copied together with an event interpretation. In this way, the full history of the fourvector is kept throughout the analysis.

The relation manager also allows parts of the event to be excluded from the analysis. An example would be a lepton which needs to be preserved while applying a jet algorithm. This locking mechanism is build in the form of a tree structure which enables sophisticated exclusion of unwanted event parts. For example, locking a collision excludes the vertices and fourvectors connected to this collision (Fig.4). In the case of locking a secondary vertex, PAX will lock the decay tree starting at this vertex.

Note that when locking a fourvector $`f`$, all fourvectors related to $`f`$ through its history record are locked as well. The same functionality applies to collisions and vertices. Unlocking the fourvector $`f`$ removes the lock flag of all physics quantities related to $`f`$ through the decay tree, or the history record at the time the unlock command is executed.

For some applications, the user may want to inquire additional information on a physics quantity which is only contained in an experiment specific class. An example is a PaxFourVector instance originating from a track of which the user wants to check the $`\chi ^2`$ probability of the track fit. The relation manager allows to register instances of experiment specific classes which led to a PaxCollision, PaxVertex, or PaxFourVector instance. To enable such relations, a template class PaxExperiment$`<>`$ has been defined which allows registration of arbitrary class instances. Applying the C++ dynamic$`\mathrm{\_}`$cast operator, the user can recover the original instance, and access all member functions of the experiment specific class.

### III.4 Container and Iterator

PAX uses the template class map$`<>`$ from the Standard Template Library (STL) STL  to manage pairs of keys and items in a container. The user record in Fig.2 is an example of such a container for pairs of data type string and double. For accessing a certain item, optimized STL algorithms search the map for the corresponding key and provide access to the item.

All PaxCollision, PaxVertex, and PaxFourVector instances carry a unique identifier of type PaxId which is used as the key in the PaxCollisionMap, PaxVertexMap, and PaxFourVectorMap of an event interpretation (Fig.2). Pointers to the collision, vertex, and fourvector instances are the corresponding items. In this way, fast and uniform access to the individual physics quantities is guaranteed.

For users not familiar with STL iterators, we provide the PaxIterator class which gives a simple and unified command syntax for accessing all containers in PAX.

### III.5 Documentation

The PAX user guide is available on the web webnavigator . In addition to a paper version of the manual, we provide a fast navigator web page which can be used as a reference guide.

## IV Application within Physics Analysis of the CDF Experiment

The PAX package is explored by the Karlsruhe CDF group in top quark analyses. Example Feynman diagrams of signal and background processes relevant to top analysis in the so-called electron plus jet channel are shown in Fig.5.

### IV.1 Combining Results of the Detector Reconstruction Program

The CDF detector reconstruction program provides already excellent reconstruction algorithms for the calorimeter, track finding, electron identification etc. To further advance these results we fill them into instances of the PaxEventInterpret class (Fig.2). Examples are the calorimeter energy measurements, the tracking output, jet searches, and electron, muon, and photon identification. For the graphical representation of the different event interpretations in Fig.6 we use the ROOT package root . The lines indicate the direction of the fourvectors, and the lengths correspond to their energies. In order to optimize the energy measurements and take into account the advanced particle identification algorithms of the reconstruction software, we combine different results into a single event interpretation.

While combining the calorimeter output with the electrons is relatively straight forward, an algorithm to combine the calorimeter and track information needs to treat the energy which is measured in both sub-detectors in order to avoid double counting of energy. In Fig.6 the quality of our combined energy measurement is tested. Using $`t\overline{t}`$ events of the Herwig Monte Carlo generator herwig , the histograms vertical axis shows the reconstructed transverse energy sum as a function of the true transverse energy sum. The latter was determined from the generated hadrons and leptons, excluding neutrinos. The algorithm provides a good measurement of the event total transverse energy.

### IV.2 Top Quark Analysis Factory

To optimize separation of signal from background processes, we set up an “analysis factory” based on the PAX event interpretation concept. In the top quark factory, every event is examined with respect to different processes which include electroweak and strong production of top quarks, as well as W- and Z-production (Fig.5). We attempt a complete reconstruction of the partonic scattering process.

Some aspects of the event analysis of a $`t\overline{t}`$ event are demonstrated in Fig.7. The first picture shows the situation after applying a jet finding algorithm to the combined reconstruction information shown in Fig.6. The electron candidate has been preserved using the locking mechanism. The lines indicate the fourvectors of the 4 jets, the electron, and one fourvector which includes all remaining unclustered energy depositions.

In the second row, a W-boson decaying into an electron and a neutrino is reconstructed. From the W-mass constraint two possible solutions can be deduced for the longitudinal neutrino momentum which correspond to two W event interpretations. Combining the W with one of the jets leads to top quark solutions, two of which are shown in the bottom row of Fig.7. The reconstructed top quark candidates point into different directions. In this four jet event, 24 $`t\overline{t}`$ solutions can be constructed. Although the number of remaining fourvectors is relatively small, the full information of the original O(1000) calorimeter energy depositions, tracks etc. can still be accessed from each of the event interpretations.

We select the most likely $`t\overline{t}`$ event interpretation by first demanding a non-zero bottom quark probability for one of the jets of the top candidate. Fig.8a shows that the number of remaining event interpretations is still relatively large. We select one of these solutions by using a simple $`\chi ^2`$ test on the reconstructed W-boson and top quark masses. In Fig.8b, the reconstructed mass of the top quark in the electron plus jet decay channel is shown for all events (histogram). The symbols indicate the number of events in which the correct top quark candidate was found.

## V Application within Physics Analysis of the CMS Experiment

The Karlsruhe CMS group uses PAX within Higgs search studies. The applications shown here are benchmark tests where the Higgs boson decays into ZZ with subsequent decays into four muons (Fig.9). We simulated this process with the Monte Carlo generator PYTHIA pythia , assuming a hypothetical Higgs mass of $`m_H=130`$ GeV. As background process we considered Z$`b\overline{b}`$ production, which we generated using COMPHEP comphep  followed by the LUND string fragmentation model within PYTHIA.

Whereas in the Z$`b\overline{b}`$ process the muons result from the Z boson and two bottom quark jets, in Higgs events the four muons are the decay products of the Z and Z. Thus, to reconstruct the Higgs, all muons of a generated event are filled into an event interpretation and, with the help of a likelihood method, a Z and a Z are reconstructed. Combining of Z and Z then results in the Higgs mass spectrum, shown in Fig.10a.

The same analysis has been used in a full simulation study, where the detector response was simulated with CMSIM444CMSIM – CMS Simulation and Reconstruction Package, http://cmsdoc.cern.ch/cmsim/cmsim.html  and the muons reconstructed with the CMS reconstruction software ORCA555 ORCA – Object-oriented Reconstruction for CMS Analysis, http://cmsdoc.cern.ch/orca/ . As shown in Fig.10b, the quality of the reconstructed Higgs mass spectrum is still satisfactory. Please note that both results – based on generated and reconstructed muons – were obtained by using the identical analysis code. This is easily possible due to the new level of abstraction which is provided by the PAX toolkit.

## VI Conclusion

The experiences gained at HERA and LEP show the advantages of performing physics analyses not directly on the output of detector reconstruction software, but using a new level of abstraction with uniform access to reconstructed objects. This level is provided by the presented data analysis toolkit PAX (Physics Analysis Expert). The design of PAX was guided by the experience of earlier experiments together with the demands arising in data analyses at future hadron colliders. Implemented in the C++ programming language, PAX provides a simple and intuitive programming interface to work within experiment specific C++ frameworks, but also on Monte Carlo generators. Event interpretation containers hold the relevant information about the event in terms of collisions, vertices, fourvectors, their relations, and additional values needed in the analysis. This enables the user to keep different interpretations of one event simultaneously and advance these in various directions. As PAX supports modular analysis and even the buildup of analysis factories, it facilitates team work of many physicists. PAX is suited for expert teams, physicists with limited time budget for data analyses, as well as newcomers. Groups within the experiments CDF and CMS are using PAX successfully for their analyses.

###### Acknowledgements.

We wish to thank the German Bundesministerium für Bildung und Forschung BMBF for financial support. One of us, M.E., wishes to thank the organizers for a very interesting and pleasant conference.


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# Universality in the distribution of caustics in the expanding Universe

## 1 INTRODUCTION

The evolution of large–scale structure in an expanding universe model is one of the most important and interesting problems in cosmology. It is generally believed that these structures have formed owing to gravitational instability. After structure has formed, the combined action of multi–stream forces and gravity is responsible for their stability in time (Buchert & Domínguez 1998), eventually leading to ‘virialized’ structures on certain spatial scales such as galaxies and clusters of galaxies. Such equilibrium states, if they persist in time, are not necessarily in thermodynamical equilibrium, but are the consequence of a process that was termed by Gurevich & Zybin (see their review 1995 and refs. therein) non–dissipative gravitational turbulence, emphasizing the role of multi–stream forces that counteract the gravitational action and so eventually lead to equilibrium structures, supported by velocity dispersion in collisionless systems.

Here we consider collisionless particles as candidates for cold dark matter, and focus our interest on universal behavior in the gravitational collapse process. The hope is to discover some rules that govern the multi–streaming hierarchy in a self–gravitating system. In this research note we shall concentrate on the simplest model of a plane–symmetric ‘single–wave’ perturbation on an expanding universe model; the discovery of universality laws needs a detailed study at high–spatial resolution. An advantage of plane symmetry is the existence of exact solutions that we shall incorporate in our numerical scheme. Other aspects of multi–streaming have already been studied in three spatial dimensions (see, e.g., Kofman et al. 1994), and there is a plethora of works on powerlaw, fractal, or self–similar scaling properties of the density field, which are all indirectly related to the understanding of multi–stream systems. Also numerical simulations of self–gravitating systems practically evolve a multi–stream flow on smaller spatial scales.

Recently, Yano & Gouda (1998) have studied the time evolution of density perturbations in the plane–symmetric system. They showed that the power spectrum of the evolved perturbations can be roughly separated into five regimes, having initially power–law shape and a cutoff scale as shown in Figure 1.

According to these results, we can first separate the power spectrum roughly into three regimes on the scales larger than the cutoff scale: one is the linear regime ($`k<k_{nl}`$: Regime 1). The value of the power index in this regime remains the initial power index, $`n`$. The second regime is the single–caustic regime ($`k_{nl}<k<k_{snl}`$: Regime 2). In this regime, the power index becomes $`1`$ and is independent of the initial conditions. This result is caused by the appearance of caustics at this scale, and these caustics determine the power index of the power spectrum in this regime. The third regime is the multi–caustics regime ($`k_{snl}<k<k_{cut}`$: Regime 3). In this regime, caustics on various scales of waves determine the power spectrum. Therefore, on these scales, the power spectral index $`\mu `$ can be traced back to initial conditions.

On the scales smaller than the cutoff scale the problem is more involved. Nevertheless, we can roughly separate the power spectrum into two more regimes: after the appearance of the first caustic, the power index in the regime of the scale smaller than the cutoff scale becomes $`1`$. This value is, as mentioned above, caused by the appearance of caustics. However, thereafter, more and more caustics appear and so the separation of caustics becomes smaller and smaller. Even after the appearance of many caustics, on scales smaller than the characteristic separation of the caustics ($`k>k_{cs}`$: Regime 5), the power index of the power spectrum can be obtained by the density profile around the singular point: the power index on these scales also becomes $`1`$, a result that can be derived from catastrophe theory (or the Lagrange–singularity theory, respectively), see, e.g., Arnol’d et al. 1982, Kotok & Shandarin (1988), Gouda & Nakamura (1988, 1989), Yano & Gouda (1998). On the other hand, on the scales larger than the characteristic separation of the caustics, in the fully developed ‘virialized’ regime ($`k_{cut}<k<k_{cs}`$: Regime 4), the distribution of the singular points determines the power index on these scales instead of the density profile around one singularity: we may say that the smoothed density profile with the smoothing scale ($`k_{cut}<k<k_{cs}`$) determines the power index. For a comprehensive description of the above discussion, see Yano & Gouda (1998).

In this paper we focus on the fully developed ‘virialized’ multi–stream regime ($`k_{cut}<k<k_{cs}`$) to clarify the physical process of the appearances of the caustics, and we are going to estimate a value for the power index of the power spectrum in this regime. For this purpose we study the time–intervals of the appearances of the caustics as well as the spatial distribution of the caustics at subsequent times. The initial condition is chosen as ‘single–wave’ perturbation defined by $`v=v_0\mathrm{sin}x`$, where $`v`$ is the velocity, $`x`$ is the position of a sheet, and $`v_0`$ is an arbitrary constant. The evolution of such a perturbation determines the power spectral index in the ‘virialized’ regime, essentially Region 4 in Figure 1. Accordingly we succeed to find some universal rules about the time when each caustic appears, the spatial distribution of the caustics at subsequent times, and the distribution of mass for each caustic.

Our paper is organized as follows. In $`\mathrm{\S }2`$, we will briefly explain the numerical method to calculate the time evolution of density perturbations in the expanding universe model. In $`\mathrm{\S }3`$ we show the numerical results providing some rules for the time–appearances of caustics, the spatial distribution of caustics at subsequent times, and the mass distribution for each caustic. Here, we also evaluate the power index of the power spectrum in the ‘virialized’ regime. The final section is devoted to a summary and a brief outlook.

## 2 MODEL AND NUMERICAL METHOD

We investigate the time evolution of a plane–symmetric density perturbation in an Einstein–de Sitter universe model by using a semi–numerical method. In the one–dimensional system many plane–parallel sheets move only in perpendicular direction to the surface of these sheets. When two sheets cross, they are allowed to pass through eachother freely. In this sheet system, there is an exact solution until two sheets cross over as follows (Zel’dovich 1970, Sunyaev & Zel’dovich 1972, Doroshkevich et.al. 1973, Zentsova & Chernin 1980, Buchert 1989, Yano & Gouda 1998):

$`x`$ $`=`$ $`q+B_1(t)S_1(q)+B_2(t)S_2(q),`$
$`v`$ $`=`$ $`\dot{B_1}(t)S_1(q)+\dot{B_2}(t)S_2(q),`$ (1)
where $`q`$ and $`x`$ are the Lagrangian and the (comoving) Eulerian coordinates, respectively. Here, $`S_1(q)`$, and $`S_2(q)`$ are arbitrary functions of $`q`$. $`B_1(t)`$, and $`B_2(t)`$ are the growing mode and the decaying mode of linear perturbation solutions, respectively. We are considering the Einstein–de Sitter background universe model, i.e., $`B_1(t)=a`$ and $`B_2(t)=a^{\frac{3}{2}}`$, where $`a`$ is the scale factor. The velocity $`v`$ is the peculiar–velocity normalized by the scale–factor. We can compute the crossing time of all neighboring pairs of sheets. We use the shortest of these crossing times as a time step. Then, we can compute the new positions and velocities for all sheets at this crossing time. After two sheets cross, we exchange the velocities of two sheets that just crossed. Then we obtain again $`S_1(q),S_2(q)`$, and therefore exact solutions as follows:

$`S_1(q)={\displaystyle \frac{3}{5}}a^1(xq)+{\displaystyle \frac{2}{5}}\dot{a}^1v,`$
$`S_2(q)={\displaystyle \frac{2}{5}}a^{\frac{3}{2}}(xq){\displaystyle \frac{2}{5}}\dot{a}^1a^{\frac{5}{2}}v.`$ (2)
These new exact solutions can be used until again two sheets cross. In this way we obtain the exact loci of the sheets by coupling these solutions. This semi–numerical method has good accuracy, because we connect exact solutions.

In our calculation we are going to use $`2^{12}`$ sheets. Periodic boundary conditions are fixed at a length of $`2\pi `$. Then we consider the evolution of the ‘single–wave’ perturbation whose wave number is $`1`$.

## 3 RESULTS

In this section we calculate the time–intervals for the appearances of caustics, the spatial distribution of caustics at subsequent times, and the mass distribution for each caustic. Accordingly we find some rules for the evolution of the caustic distribution. Using these rules, we are going to estimate the power index of the power spectrum in the ‘virialized’ regime.

### 3.1 Universality rules and constants for the occurence of caustics

We examine the time evolution of the ‘single–wave’ perturbation setting $`S_1(q)=\mathrm{sin}q`$ and $`S_2(q)=0`$ in Equations (1). Then, comoving positions $`x`$ and scaled peculiar–velocities $`v`$ of each sheet are simplified to:

$`x`$ $`=`$ $`q+B_1(t)\mathrm{sin}(q),`$
$`v`$ $`=`$ $`\dot{B_1}(t)\mathrm{sin}(q),`$ (3)
see Figure 2-a. Hereafter we call this case the single–wave case.

The first caustic has just appeared at the center of the x–axis ($`x=0`$) in Figure 2-b. After the first appearance of a caustic, more caustics appear at the center (phase mixing starts in phase space) (Figures 2-c – 2-d) (Doroshkevich et. al. 1980; Melott 1983; Gouda & Nakamura 1989; Yano & Gouda 1998). According to this cascade of appearing caustics, the density distribution evolves as in Figures (3-a – 3-d). Figures 2-a, 2-b, 2-c, and 2-d correspond to Figures 3-a, 3-b, 3-c, and 3-d, respectively. As we see from Figures 3-a, 3-b, 3-c, and 3-d, a hierarchy of nested density peaks appears in the course of time.

In order to discover rules for the distribution of the caustics at an arbitrary time, we sort the time–intervals in the appearances of the caustics, the spatial distribution of the caustics, and the mass distribution for each caustic at a certain time as follows.

First, we examine the time–intervals related to the appearances of the caustics. The solid line in Figure 4 shows the time when caustics appear at the center of the x–axis (a so–called A3–type singularity). The dashed line shows the time–intervals for the appearances of caustics. As we can see from Figure 4, these time–intervals are almost constant. In order to clarify this point, we introduce the ratio of those intervals defined by $`T_i(t_{i+2}t_{i+1})/(t_{i+1}t_i)`$, where $`t_i`$ is the time when the i–th caustics appears. Then, the relation between $`T_i`$ and the time when the $`i`$–th caustic appears is plotted in Figure 5. We see a loss of accuracy after around the 10th caustic appeared. Nevertheless, independent of the number of sheets, we see that the value $`T_i`$ quickly converges to $`1`$. We can understand why the ratio becomes 1 as follows: according to the time evolution of the density distribution, more and more caustics appear at the center of the x–axis and these caustics may be viewed as forming a bound cluster. After the evolution of this cluster decouples from the expansion of the universe model, sheets around the center of the cluster behave like a harmonic oscillator due to the fact that an enhanced gravitational potential forces particles with velocities less than the escape velocity from the cluster to rebound. The periods of the oscillation of the sheets finally becomes independent of the amplitude. Therefore, it is reasonable that the time–intervals of the appearances of caustics becomes constant, i.e., the value of $`T_i`$ becomes 1.

Second, we consider the spatial distribution of caustics. In Figure 6 we plot the spatial positions of caustics when the N–th caustic appears at the center of the x–axis. Here we note that the number of appearances of caustics can be used instead of time, because we have already shown that the intervals may be considered practically constant. We define the position of a caustic, $`X(i,j)`$, as the $`i`$–th position of a caustic at the time when the $`j`$–th caustic appears. Then, for example, $`X(i,i)`$ represents the position of the $`i`$–th caustic that has just appeared as A3–type at the center of the x–axis. Now, we examine the spatial positions of caustics at a certain time ($`N=N_0`$). We adopt $`N_0=10`$ in our analysis because the accuracy of the positions of caustics decreases for $`N_0>10`$ as shown in Figure 5. The solid and dashed lines in Figure 7 denote the spatial position of the $`N`$–th caustic, $`X(N,10)`$, and the spatial interval between the (N-1)–th and the N–th caustics, $`X(N1,10)X(N,10)`$, respectively. Furthermore we depict the corresponding ratios: the solid and dashed lines in Figure 8 depict the ratio of spatial positions $`X(N,10)/X(N1,10)`$ and the ratio of spatial intervals $`(X(N1,10)X(N,10))/(X(N2,10)X(N1,10))`$, respectively. In Figure 8 we see no constant in the spatial positions or spatial intervals of caustics at first glance.

However, we see a constant when we plot positions of the nearest caustic from the center, $`X(N1,N)`$, or the ratio $`X(N1,N)/X(N2,N1)`$. In Figure 9, the relation between the position $`X(N1,N)`$ and the time when the N–th caustic appears is plotted. The ratio of positions $`X(N1,N)/X(N2,N1)`$ is plotted in Figure 10. In Figure 10, $`R_1`$ represents the ratio between the position of the nearest caustic from the center and that of the second nearest caustic from the center $`X(N1,N)/X(N2,N)`$. $`R_2`$ represents the ratio between the nearest caustic from the center at the (N-1)th appearance of a caustic and that at the Nth appearance of a caustic $`X(N1,N)/X(N2,N1)`$. Both ratios feature constants: the ratio $`R_1`$ and $`R_2`$ have values of around $`0.15`$ and $`0.3`$, respectively.

If we plot positions of caustics by using a logarithmic scale of spatial positions and a linear scale of time, we can see some “lattice” as shown in Figure 11. This apparent regularity is the result of the existence of constants in the ratios. Here we note that calculated positions are not exact for smaller than about $`10^6`$ because of finite sheet resolution. Therefore, the “lattice” is destroyed after around the 10–th appearance of caustics.

Third, we investigate the mass distribution for each caustic at a certain time $`(N=N_0)`$. Here, we define the mass, $`M(i,N)`$, as proportional to the number of sheets which are located inbetween $`X(i,N)`$ and $`X(i+1,N)`$ at the time, when the Nth caustic appears. The schematic picture of $`M`$ is shown in Figure 12.

Then, we obtain the mass distribution for each caustic at $`N_0=10`$, which is shown in Table 1 and Figure 13. We deduce the following relation between $`i`$ and $`M`$ for large values of $`i`$:

$$M(i,N)R_M^i,\mathrm{where}R_M0.5.$$
(4)
Since we know the spatial distribution of the caustics and the mass distribution for the caustics, we can construct the smoothed density profile to calculate the power index of the power spectrum in the ‘virialized’ regime.

### 3.2 Evaluation of the power spectrum in the ‘virialized’ regime

In this subsection we estimate the index of the power spectrum in the ‘virialized’ regime, using the rules which we have found in the previous subsection. Assuming that the spatial distribution of caustics obeys the law of a geometric series,

$$X(i,N_0)=a_0a(N_0)^i,$$
(5)
that is,

$$i=\frac{\mathrm{ln}X(i,N_0)\mathrm{ln}a_0}{\mathrm{ln}a},$$
(6)
and also that the mass distribution for each caustic obeys the law of another geometric series,

$$M(i,N_0)=b_0b(N_0)^i,$$
(7)
we find the density profile as:

$`\varrho (X)`$ $`=`$ $`{\displaystyle \frac{M(i,N_0)}{X(i,N_0)X(i+1,N_0)}}={\displaystyle \frac{b_0}{(1a)a_0}}\left({\displaystyle \frac{b}{a}}\right)^{\mathrm{ln}a_0/\mathrm{ln}a}X^{\frac{\mathrm{ln}(b/a)}{\mathrm{ln}a}}.`$ (8)
Its Fourier transform gives

$`\delta _k`$ $``$ $`{\displaystyle \varrho (X)e^{ikX}𝑑X}`$ (9)
$``$ $`{\displaystyle X^{\frac{\mathrm{ln}(b/a)}{\mathrm{ln}a}}e^{ikX}𝑑X}`$
$``$ $`k^{1\frac{\mathrm{ln}(b/a)}{\mathrm{ln}a}}.`$
Finally we obtain the power spectrum as:

$`P(k)|\delta _k|^2`$ $``$ $`k^{22\frac{\mathrm{ln}(b/a)}{\mathrm{ln}a}}.`$ (10)
In fact, we have found $`a=R_1=0.15`$ and $`b=R_M=0.5`$ from the previous subsection, so that we obtain the power spectrum in the explicit form:

$`P(k)k^\nu ,\mathrm{where}\nu =0.73.`$ (11)
On scales smaller than the characteristic scale $`k>k_{cs}`$ (Regime 5 in Figure 1), the power index of the power spectrum becomes $`1`$. This is because the density profile around one singular point determines the power spectrum on this scale.

On scales larger than the characteristic scale $`k<k_{cs}`$, on the other hand, the density profile in the spatial interval, where the singular points lie closer than the scale of this interval, is smoothed, and the power index of the power spectrum deviates from $`1`$. The larger scales we consider, the more the density profile is smoothed. The power index in the ‘virialized’ regime $`k_{cut}<k<k_{cs}`$, accordingly, is determined by the smoothed density profile (8), and therefore the result for the power index of the power spectrum under the smoothed density profile is given by (11).

Our result shows that the power index in the ‘virialized’ regime $`k_{cut}<k<k_{cs}`$ may be approximated by the index value $`\nu =0.73`$. In addition, let us note that the wavenumbers $`k_{cs}`$, which represent the characteristic separations of caustics, becomes larger and larger as time increases, since the characteristic separation of caustics becomes shorter and shorter.

## 4 SUMMARY AND OUTLOOK

We have investigated the evolution of density perturbations after the first appearance of a caustic, exemplified for a plane–symmetric ‘single–wave’ perturbation in an expanding universe model. Following Yano & Gouda (1998), who showed that the power spectrum can be roughly separated into five regimes with different power–law index, we have explored the fourth regime. The detailed analysis of a many–sheet system is needed in this regime in order to determine the time–evolution and the asymptotics of the power spectral index.

We have argued that the system of caustics displays some universality, after some time, with respect to regularity of time–intervals in the appearances of caustics, and the spatial distribution of caustics at subsequent times.

First, we have noticed the existence of a rule for the time–intervals of the appearances of caustics: the ratio of intervals quickly approaches $`1`$, a fact that we have made plausible. Second, we have found some rules hidden in the spatial distribution of caustics: the ratio between a position of the nearest caustic from the center and that of the second nearest caustic from the center $`R_1=X(N1,N)/X(N2,N)`$ approaches a value of around $`0.15`$. Furthermore, the ratio between the nearest caustic from the center at the (N-1)th appearance of a caustic and that at the Nth appearance of a caustic $`R_2=X(N1,N)/X(N2,N1)`$ attains a value of around $`0.3`$.

Third, we have found a rule for the mass distribution for each caustic, that is, we have derived the density distribution of a cluster. The mass distribution for each caustic can be fit to a line with the geometric progression of ratio $`0.5`$.

Furthermore, using the above constants, we have found the smoothed density profile, and finally have evaluated the power index of the power spectrum in the ‘virialized’ regime to be $`0.73`$. This value is different from $`1`$ that is determined by the density profile around one singular point. In other words, the power spectum in the region below the cutoff scale can be divided into two clearly distinct regions, the ‘single–caustic’ regime and the ‘virialized’ regime. These results are consistent with the numerical results by Yano & Gouda (1998).

The discovery presented in this research note, namely that there exist remarkable rules for the distribution of caustics, points towards several interesting theoretical implications for long–term properties of self–gravitating systems. As in studies of dynamical systems we here deal with a hierarchy of bifurcations. A fruitful way to explore universality properties further is to use renormalization group techniques similar to those developed for the Feigenbaum scenario of pitchfork bifurcations (see: Feigenbaum 1978, 1979; Derrida et al. 1979; Collet & Eckmann 1980). With this note we have just provided a hint to the existence of universal constants. A detailed renormalization group and fixpoint analysis is needed to support these findings. In this context an interesting question has to remain open: the existence of chaotic regimes.

Besides this theoretical interest we think that our results may be useful to check the accuracy of numerical simulations concerning their stability under long–time integration.

In this paper we have focused on one non–trivial regime, the ‘virialized’ regime (Regime 4 in Figure 1), and have succeeded to evaluate the power index of the power spectrum in this regime semi–numerically. In order to complete the understanding of the evolution of the power spectra of density fluctuations, we have also to understand the behavior of the power index in the multi–wavenumbers regime (Regime 3 in Figure 1).

Furthermore, we could employ the systematic framework of the velocity moment hierarchy to eventually derive analytically universal behavior of the density profile; also, nonlinear statistical methods beyond the power spectrum would give more refined information.

This work was supported in part by a Grant–in–Aid for Scientific Reserach (B) (No. 15340066). TB acknowledges support by the National Observatory Tokyo where this work was started, as well as hospitality at the University of Tokyo with support by the Research Center for the Early Universe (RESCEU, Tokyo), during which discussions on this work were continued. Also, partial support by the Deutsche Forschungsgemeinschaft (within SFB 375) is acknowledged.