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# Reflection Equation, Twist, and Equivariant Quantization

## 1 Introduction.

Let $``$ be a quasitriangular Hopf algebra with the universal R-matrix $``$ . Let $`V`$ be the space of its finite dimensional representation and $`R`$ the image of $``$ in $`\mathrm{End}^2(V)`$. We study relations between two algebras naturally arising in this context, the Faddeev-Reshetikhin-Takhtajan (FRT) algebra $`𝒯_R`$ and the so-called reflection equation (RE) algebra $`_R`$. They are both quotients of the tensor algebra $`\mathrm{T}\left(\mathrm{End}^{}(V)\right)`$ by quadratic relations and admit certain Hopf algebra actions. So $`𝒯_R`$ is endowed with the structure of a bimodule algebra over $``$ that is naturally extended from the bimodule structure on $`\mathrm{End}^{}(V)`$. The algebra $`_R`$ is a left $``$-module algebra with the action extended from the coadjoint representation on $`\mathrm{End}^{}(V)`$.

Our first result is that the RE algebra $`_R`$ is a module algebra not only over $``$ but over the twisted tensor square $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$. The latter is the twist of the ordinary tensor product $``$ with the universal R-matrix as a twisting cocycle, $`_{23}()()`$. The action of $``$ on $`_R`$ is induced by the Hopf algebra embedding $`\genfrac{}{}{0pt}{}{}{}`$ via the coproduct.

As a corollary, we obtain that $`_R`$ is a module algebra over the coopposite dual $`^{op}`$ because there exists a Hopf homomorphism $`^{op}\genfrac{}{}{0pt}{}{}{}`$. Since the Hopf algebra homomorphisms from $``$ and $`^{op}`$ to $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$ can be extended to a Hopf algebra homomorphism from the double $`\text{D}()`$ to $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$, we obtain that $`_R`$ is a module algebra over $`\text{D}()`$.

Our second result is that $`_R`$ is a twist of $`𝒯_R`$ as a module algebra. The $``$-bimodule $`𝒯_R`$ can be considered as a left $`^{op}`$-module. The twist from $`^{op}`$ to $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$ is performed via the cocycle $`_{13}_{23}`$, where the first transformation via $`_{13}`$ converts the first tensor factor $`^{op}`$ to $``$ while the second twist via $`_{23}`$ makes the ordinary tensor square $`^2`$ the twisted one.

The algebra $`𝒯_R`$ is commutative in the category of $``$-bimodules. Using this fact, we prove that $`_R`$ is commutative in the category of $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$-modules. In general, we prove twist-equivalence between the classes of FRT- and RE-type algebras, which we define to be commutative algebras in the categories of $``$-bimodules and $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$-modules, respectively.

In particular, we introduce the RE dual algebra $`\stackrel{~}{}^{}`$ as an RE-type algebra that is twist-equivalent to the FRT-type algebra $`^{}`$ and we show that it coincides with the braided Hopf algebra of Majid.

We study coactions on $`\stackrel{~}{}^{}`$ of the Hopf algebras $`(\genfrac{}{}{0pt}{}{}{})^{}`$, $`^{}`$, and the opposite Hopf algebra $`_{op}`$. We deduce properties of the $``$-equivariant homomorphism $`\stackrel{~}{}^{}`$, $`\xi \xi ,𝒬_1𝒬_2`$, where $`𝒬=_{21}`$, using the coalgebra structure over $`_{op}`$.

We apply our construction to the deformation quantization on Lie groups and matrix spaces. In particular, we show that the algebra $`\stackrel{~}{𝒰}_h^{}(𝔤)`$, where $`𝔤`$ is a semisimple Lie algebra, is the $`𝒰_h(𝔤)`$-equivariant quantization of a special Poisson structure on the corresponding Lie group, the RE bracket. It is known that the quotient of $`𝒯_R`$ by torsion is the quantization on the cone $`\mathrm{End}^\mathrm{\Omega }(V)`$ of matrices whose tensor square commutes with the image $`\mathrm{\Omega }`$ of the split Casimir, the invariant symmetric element from $`𝔤^2`$. As an implication of the twist-equivalence between $`_R`$ and $`𝒯_R`$, we find that the quotient of $`_R`$ by torsion is the $`𝒰_h(𝔤)`$$`\genfrac{}{}{0pt}{}{}{}`$$`𝒰_h(𝔤)`$-equivariant quantization on $`\mathrm{End}^\mathrm{\Omega }(V)`$.

The setup of the paper is as follows. Section 2 contains basic facts about quasitriangular Hopf algebras, the twist transformation, and the relation between the double and twisted tensor square. Section 3 recalls what are modules and comodules over Hopf algebras. The relations between the FRT and RE algebra and their implications are studied in Section 4. Section 5 is devoted to applications to the equivariant deformation quantization on Lie groups and matrix spaces.

## 2 Quasitriangular Hopf algebras.

### 2.1 Definitions and elementary properties.

In this subsection, we recall basic definitions of the quasitriangular Hopf algebra theory, \[Dr1\]. For a detailed exposition, the reader can consult to \[Mj\]. Let $`𝕂`$ be a commutative algebra over a field of zero characteristic. Let $``$ be a Hopf algebra over $`𝕂`$, with the coproduct $`\mathrm{\Delta }:`$, counit $`\epsilon :𝕂`$, and antipode $`\gamma :`$. Throughout the paper, we adopt the standard notation with implicit summation in order to explicate factors of tensor objects, e.g., we write $`\mathrm{\Phi }=\mathrm{\Phi }_1\mathrm{}\mathrm{\Phi }_k`$ for an element $`\mathrm{\Phi }^k`$. For the coproduct, we use the symbolic Sweedler notation, $`\mathrm{\Delta }(x)=x_{(1)}x_{(2)}`$, $`x`$.

A Hopf algebra $``$ is called quasitriangular if there is an element $`^2`$, the universal R-matrix, such that

$`(\mathrm{\Delta }id)()=_{13}_{23},(id\mathrm{\Delta })()=_{13}_{12}`$ (1)
and, for any $`x`$,

$`\mathrm{\Delta }(x)=\mathrm{\Delta }^{op}(x).`$ (2)
The subscripts in (1) specify the way of embedding $`^2`$ into $`^3`$, namely, $`_{12}=_1_21`$, $`_{13}=_11_2`$, and $`_{23}=1_1_2`$. The opposite coproduct $`\mathrm{\Delta }^{op}`$ is the composition of $`\mathrm{\Delta }`$ and the flip operator $`\tau `$ on $`^2`$.

The following identities are implications of defining relations (1) and (2):

$`(\epsilon \text{id})()=11,`$ $`(\text{id}\epsilon )()=11,`$ (3)
$`(\gamma \text{id})()=^1,`$ $`(\text{id}\gamma )(^1)=.`$ (4)
Also, the Yang-Baxter equation in $`^3`$,

$`_{12}_{13}_{23}`$ $`=`$ $`_{23}_{13}_{12},`$ (5)
follows from (1) and (2).

There is an alternative quasitriangular structure222They may coincide. on $``$ with the universal R-matrix $`_{21}^1=\tau (R^1)`$. Obviously, it fulfills conditions (1) and (2).

The opposite Hopf algebra $`_{op}`$ is endowed with the opposite multiplication $`m_{op}=m\tau `$, where $`m`$ is the original one. Similarly, the coopposite Hopf algebra $`^{op}`$ has the coproduct $`\mathrm{\Delta }^{op}=\tau \mathrm{\Delta }`$. The antipode of $``$ is an isomorphism between $``$ and $`_{op}^{op}`$, being an anti-algebra and anti-coalgebra map. Important for our exposition is that we may also treat it as an isomorphism between $`_{op}`$ and $`^{op}`$.

The dual Hopf algebra $`^{}`$ is spanned by matrix coefficients of all finite dimensional representations333We assume that the supply of representations is large enough to separate elements of $``$. of $``$. There are two remarkable maps from $`^{op}`$ to $``$ defined via the universal R-matrix:

$`^\pm (\eta )=\eta ,_1^\pm _2^\pm ,\eta ^{op},\text{where}^+=\text{and }^{}=_{21}^1.`$ (6)
It follows from (1) that they are Hopf algebra homomorphisms $`^{op}`$ (as was already mentioned, the element $`_{21}^1`$ satisfies (1) as well).

The tensor product $`𝒜`$ of two Hopf algebras $`𝒜`$ and $``$ is a Hopf algebra with the multiplication

$`(a_1b_1)(a_2b_2)=a_1a_2b_1b_2,a_i𝒜,b_i,i=1,2,`$ (7)
coproduct

$`\mathrm{\Delta }(ab)=\left(a_{(1)}b_{(1)}\right)\left(a_{(2)}b_{(2)}\right),a𝒜,b,`$ (8)
counit $`\epsilon =\epsilon _𝒜\epsilon _{}`$, and antipode $`\gamma =\gamma _𝒜\gamma _{}`$. If $`𝒜`$ and $``$ are both quasitriangular, so is $`𝒜`$. Its universal R-matrix is

$`_𝒜=_𝒜_{},`$ (9)
where $`_𝒜`$ and $`_{}`$ are R-matrices of $`𝒜`$ and $``$ naturally embedded in $`(𝒜)^2`$.

###### Remark 2.1.

In the infinite dimensional case, we assume that all algebras are complete in some topology. It may be, for example, the $`h`$-adic topology in the case $`𝕂=[[h]]`$. All tensor products are assumed to be completed.

### 2.2 Twist of Hopf algebras.

In this subsection, we collect several facts and examples, which will be essential for our further exposition, concerning the twist transformation of Hopf algebras, \[Dr2\]. Let $``$ be an invertible element from $``$ satisfying the cocycle constraint

$`(\mathrm{\Delta }\text{id})()_{12}=(\text{id}\mathrm{\Delta })()_{23},`$ (10)
with the normalizing condition $`(\epsilon \text{id})()=11=(\text{id}\epsilon )()`$. There exists a new Hopf algebra structure $`\stackrel{~}{}`$ on $``$ with the same multiplication and counit but the ”twisted” coproduct

$`\stackrel{~}{\mathrm{\Delta }}(x)=^1\mathrm{\Delta }(x),x,`$ (11)
and antipode

$$\stackrel{~}{\gamma }(x)=u^1\gamma (h)u,\text{where}u=\gamma (_1)_2.$$

Condition (10) ensures the coproduct $`\stackrel{~}{\mathrm{\Delta }}`$ being coassociative. The Hopf algebra $`\stackrel{~}{}`$ is quasitriangular, provided so is $``$. Its universal R-matrix is expressed through the old one and the twisting cocycle:

$`\stackrel{~}{}=_{21}^1.`$ (12)
We call algebras $``$ and $`\stackrel{~}{}`$ twist-equivalent and use the notation $`\stackrel{~}{}\stackrel{}{}`$ or simply $`\stackrel{~}{}`$ when the exact form of $``$ is clear from the context. Obviously, $`_2\stackrel{_1}{}_1`$ and $`_3\stackrel{_2}{}_2`$ imply $`_3\stackrel{_1_2}{}_1`$. Also, if $`_2\stackrel{}{}_1`$, then $`_1\stackrel{^1}{}_2`$. Essential for us will be the following examples.

###### Example 2.2 (Coopposite Hopf algebra).

Given a quasitriangular Hopf algebra $``$ its coopposite algebra $`^{op}`$ can be obtained by twist with $`=^1`$, cf. equation (2). The cocycle condition (10) follows from the Yang-Baxter equation (5).

###### Example 2.3 (Twisted tensor product).

Let $``$ be a tensor product $`=𝒜`$ of two Hopf algebras with multiplication (7) and coproduct (8). An element $`𝒜`$ may be viewed as that from $``$ via the embedding $`(1)(𝒜1)(𝒜)(𝒜)`$. If $``$ satisfies the identities

$`(\mathrm{\Delta }_{}\text{id})()=_{13}_{23}𝒜,(\text{id}\mathrm{\Delta }_𝒜)()=_{13}_{12}𝒜𝒜,`$ (13)
it also fulfills the cocycle condition (10), \[RS\].

###### Definition 2.4.

Twisted tensor product $`𝒜`$$`\genfrac{}{}{0pt}{}{}{}`$$``$ of two Hopf algebras is the twist of $`𝒜`$ with a cocycle $``$ satisfying (13).

An immediate corollary of conditions (13) is that the evaluation maps $`\text{id}\epsilon _{}:𝒜\genfrac{}{}{0pt}{}{}{}𝒜`$ and $`\epsilon _𝒜\text{id}:𝒜\genfrac{}{}{0pt}{}{}{}`$ are Hopf ones. Note that, contrary to the ordinary tensor product, the embeddings of $`𝒜`$ and $``$ into $`𝒜`$$`\genfrac{}{}{0pt}{}{}{}`$$``$ are algebra but not coalgebra maps.

An important example of the twisted tensor product is when $`𝒜==`$ is a quasitriangular Hopf algebra and $`=`$. Condition (13) then holds because of (1). This particular case is called twisted tensor square of a quasitriangular Hopf algebra and denoted $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$. It is convenient for our exposition to take the universal R-matrix $`_{13}^{}_{24}^+`$ for the ordinary tensor product $``$, see (6) and (9). Then formula (12) gives the universal R-matrix of $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$:

$`_{41}^1_{13}^{}_{24}^+_{23}=_{41}^1_{31}^1_{24}_{23}(\genfrac{}{}{0pt}{}{}{})(\genfrac{}{}{0pt}{}{}{}).`$ (14)
### 2.3 Drinfeld’s double and twisted tensor square.

This subsection is devoted to a relation between the double $`\text{D}()`$ of a quasitriangular Hopf algebra $``$ and its twisted tensor square $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$. A particular case of the so called factorizable Hopf algebras was considered in \[RS\]. For those algebras, the double $`\text{D}()`$ is isomorphic to $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$. In general, there is a Hopf algebra homomorphism from $`\text{D}()`$ to $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$.

As a coalgebra, the double $`\text{D}()`$ coincides with the tensor product $`^{op}`$. Both of $``$ and $`^{op}`$ are embedded in $`\text{D}()`$ as Hopf subalgebras. The cross-commutation relations between elements from the two tensor factors can be written in the form

$`\eta _{(1)},x_{(1)}\eta _{(2)}x_{(2)}=\eta _{(2)},x_{(2)}x_{(1)}\eta _{(1)},`$ (15)
for any $`x`$, $`\eta ^{op}`$. In the finite dimensional case, they are equivalent to the Yang-Baxter equation on the canonical element $`_ie_ie^i`$, where $`\{e_i\}`$ and $`\{e^i\}^{op}`$ are dual bases. Then $`\text{D}()`$ is dual to the twisted tensor product $`^{}`$$`\genfrac{}{}{0pt}{}{}{}`$$`_{op}`$, where $`=_ie_ie^i`$ is considered as an element from $`_{op}^{}`$.

###### Proposition 2.5.

Let $``$ be a quasitriangular Hopf algebra. The coproduct

$``$ $`\stackrel{\mathrm{\Delta }}{}`$ $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$ (16)
and the composite map

$`^{op}\stackrel{\mathrm{\Delta }}{}`$ $`^{op}^{op}`$ $`\stackrel{^+^{}}{}\genfrac{}{}{0pt}{}{}{}`$ (17)
are Hopf algebra homomorphisms.

###### Proof.

Straightforward. ∎

Homomorphisms (16) and (17) may be extended to $`\text{D}()`$. For finite dimensional Hopf algebras, a proof of this statement can be found in \[Mj\]. Infinite dimensional Hopf algebras like quantum groups are of the primary interest for this article, and we present here a proof suitable for the general case.

###### Theorem 2.6.

Let $``$ be a quasitriangular Hopf algebra. Then, maps (16) and (17) define a Hopf homomorphism $`\text{D}()\genfrac{}{}{0pt}{}{}{}.`$

###### Proof.

As a linear space, the double coincides with the tensor product of $``$ and $`^{op}`$, which are embedded in $`\text{D}()`$ as Hopf subalgebras. Taking Proposition 2.5 into account, it suffices to show that the permutation relations between elements of $``$ and $`^{op}`$ are respected. Applying maps (16) and (17) to the both sides of identity (15), we come to the equation

$$\eta ,_1^{}_1^+x_{(1)}_2^+x_{(2)}_2^{}x_{(3)}=\eta ,x_{(3)}_1^{}_1^+x_{(1)}_2^+x_{(2)}_2^{}$$

that must hold for any $`x`$ and $`\eta ^{op}`$. It is fulfilled indeed, because both of the elements $`^\pm `$ satisfy equation (2). ∎

## 3 Modules over Hopf algebras.

### 3.1 Module algebras.

This subsection contains some facts about the modules over a Hopf algebra $``$. An associative algebra $`𝒜`$ is called a left $``$-module algebra if the multiplication $`𝒜𝒜𝒜`$ is a homomorphism of $``$-modules. Similarly, one can consider right modules over $``$. Explicitly, for any $`x`$ and $`a,b𝒜`$ the consistency conditions read

$`x(ab)=\left(x_{(1)}a\right)\left(x_{(2)}b\right),`$ $`(ab)x=\left(ax_{(1)}\right)\left(bx_{(2)}\right)`$ (18)
$`1a=a,x1_A=\epsilon (x)1_A,`$ $`a1=a,1_Ax=\epsilon (x)1_A.`$ (19)
for the left and right actions $``$ and $``$. If $`𝒜`$ is simultaneously a left and right module and the two actions commute,

$`x_1(ax_2)=(x_1a)x_2,x_1,x_2,a𝒜,`$ (20)
then it is called bimodule. $`𝒜`$ is an $``$-bimodule algebra if its bimodule and algebra structures are consistent in the sense of (1819).

###### Example 3.1 (Adjoint action).

A Hopf algebra $``$ is a left and right module algebra over itself with respect to the left and right adjoint actions

$`\mathrm{ad}(x)y=x_{(1)}y\gamma (x_{(2)}),y\mathrm{ad}(x)=\gamma (x_{(1)})yx_{(2)},`$ (21)
for $`x,y.`$

###### Example 3.2 (Dual Hopf algebra $`^{}`$).

A Hopf algebra $``$ is a bimodule over itself with respect to the regular actions by multiplication from the left and right. However, these actions do not respect the multiplication in $``$. On the contrary, the dual (coregular) actions are consistent with the multiplication in $`^{}`$, so the latter is an $``$-bimodule algebra. Explicitly, the coregular actions can be expressed via the coproduct in $`^{}`$ and the pairing $`.,.`$ between $`^{}`$ and $``$ :

$`xa=a_{(1)}a_{(2)},x,ax=a_{(1)},xa_{(2)},`$ (22)
where $`x`$ and $`a^{}`$.

###### Example 3.3.

Let $``$ be a Hopf algebra and $`𝒜`$ its bimodule algebra. Then $`𝒜`$ is a left $`_{op}`$-module algebra with the action

$`(xy)a=yax,x,y_{op},a𝒜.`$ (23)
It is is a left $`^{op}`$-module algebra with the action

$`(xy)a=ya\gamma (x),x,y^{op},a𝒜.`$ (24)
This example means that we may consider only left modules, instead of bimodules.

Twist of Hopf algebras induces a transformation of their module algebras. Let $`𝒜`$ be an $``$-module algebra with the multiplication $`m`$ and let $`\stackrel{~}{}\stackrel{}{}`$. The new associative multiplication

$`\stackrel{~}{m}(ab)=m(_1a_2b),a,b𝒜,`$ (25)
can be introduced on $`𝒜`$. We denote this algebra by $`\stackrel{~}{𝒜}`$. Since $`\stackrel{~}{}`$ as associative algebras, the action of $``$ on $`𝒜`$ can be viewed as that of $`\stackrel{~}{}`$ on $`\stackrel{~}{𝒜}`$. This action is consistent with multiplication (25) in $`\stackrel{~}{𝒜}`$ and twisted coproduct (11) in $`\stackrel{~}{}`$. We say that $`\stackrel{~}{𝒜}`$ and $`𝒜`$ are twist-equivalent and write $`\stackrel{~}{𝒜}\stackrel{}{}𝒜`$, by the analogy with the Hopf algebras. Also, we shall omit $``$ and write simply $`\stackrel{~}{𝒜}𝒜`$ if the exact form of $``$ is clear from the context.

### 3.2 Comodule algebras.

Let $``$ be a Hopf algebra and $`^{}`$ its dual. A right $`^{}`$-comodule algebra is an associative algebra $`𝒜`$ endowed with a homomorphism $`\delta :𝒜𝒜^{}`$ obeying the coassociativity constraint

$`(\text{id}\mathrm{\Delta })\delta `$ $`=`$ $`(\delta \text{id})\delta `$ (26)
and the conditions

$`\delta (1_𝒜)=1_𝒜1`$ $`(\text{id}\epsilon )\delta =\text{id},`$ (27)
where the identity map on the right-hand side assumes the isomorphism $`𝒜𝕂𝒜`$. As for the coproduct $`\mathrm{\Delta }`$, we use symbolic notation $`\delta (x)=x_{[1]}x_{(2)}`$, marking the tensor component belonging to $`𝒜`$ with the square brackets; the subscript of the $`^{}`$-component is concluded in parentheses. Every right $`^{}`$-comodule $`𝒜`$ is a left $``$-module, the action being defined through the pairing $`.,.`$ between $``$ and $`^{}`$:

$`xa`$ $`=`$ $`a_{[1]}a_{(2)},x,x,a𝒜.`$ (28)
Suppose there is a map $`\delta `$ from an $``$-module algebra $`𝒜`$ to $`𝒜^{}`$ such that for any $`x`$, $`a𝒜`$, and a linear functional $`\alpha 𝒜^{}`$

$`\alpha (xa)=\alpha (a_{[1]})a_{(2)},x,\text{where}\delta (a)=a_{[1]}a_{(2)}.`$ (29)
Then $`𝒜`$ is an $`^{}`$-comodule algebra with the coaction $`\delta `$. Note that if $``$ or $`𝒜`$ are finite dimensional, equation (29) may serve as a definition of $`\delta `$, so the notions of $``$-module and $`^{}`$-comodule are equivalent. In general, the property of being an $`^{}`$-comodule is stronger than of being an $``$-module.

Similarly to right $`^{}`$-comodule algebras, one can consider left ones. They are also right $``$-module algebras.

## 4 FRT- and RE-type algebras.

The purpose of this section is to establish a twist-equivalence between certain classes of algebras relative to a quasitriangular Hopf algebra $``$. Let $`V`$ be a right $``$-module of a finite rank over $`𝕂`$ and $`V^{}`$ its dual. We identify the space of endomorphisms $`\mathrm{End}(V)`$ with $`V^{}V`$ and assume $`V`$ to be a right $`\mathrm{End}(V)`$-module. The representation $`\rho `$ of $``$ on $`V`$ is a homomorphism $`\mathrm{End}(V)`$. The image $`(\rho \rho )()\mathrm{End}^2(V)`$ of the universal R-matrix is denoted $`R`$. Given a basis $`\{e_i\}`$ in $`V`$, the elements $`e_j^i\mathrm{End}(V)`$ stand for the matrix units acting on $`e_i`$ by the rule $`e_le_j^i=e_j\delta _i^l`$, where $`\delta _j^l`$ are the Kronecker symbols. The multiplication in $`\mathrm{End}(V)`$ is expressed according to $`e_j^ie_k^l=\delta _j^le_k^i`$.

The space $`\mathrm{End}(V)`$ is a bimodule for $``$ or a right module for $`_{op}`$:

$`A(xy)=\rho (x)A\rho (y),A\mathrm{End}(V),xy_{op}.`$ (30)
By duality, the space $`\mathrm{End}^{}(V)`$ is endowed with the structure a left $`_{op}`$-module as well.

### 4.1 FRT algebra.

Let $`\{T_k^i\}\mathrm{End}^{}(V)`$ be the basis that is dual to $`\{e_i^k\}`$. The associative algebra $`𝒯_R`$ is generated by the matrix coefficients $`\{T_k^i\}\mathrm{End}^{}(V)`$ subject to the FRT relations

$`RT_1T_2=T_2T_1R,`$ (31)
where $`T`$ is the matrix $`T=_{i,j}T_j^ie_i^j`$. The matrix elements $`T_j^i`$ may be thought of as linear functions on $``$; they define an algebra homomorphism

$`𝒯_R^{}.`$ (32)
###### Proposition 4.1.

Let $`\rho `$ be a finite dimensional representation of $``$ and $`𝒯_R`$ the FRT algebra associated with $`\rho `$. Then $`𝒯_R`$ is a $``$-bimodule algebra, with the left and right actions

$`xT=T\rho (x),Tx=\rho (x)T,x`$ (33)
extended from $`\mathrm{End}^{}(V)`$. It is a bialgebra, with the coproduct and counit being defined as

$`\mathrm{\Delta }(T_j^i)={\displaystyle \underset{l=1}{\overset{n}{}}}T_j^lT_l^i,\epsilon (T_j^i)=\delta _j^i.`$ (34)
Composition of the coproduct with the algebra homomorphism (32) applied to the (left) right tensor factor makes $`𝒯_R`$ a (left) right $`^{}`$-comodule algebra.

###### Proof.

Actions (33) are extended to the actions on the tensor algebra $`\mathrm{T}\left(\mathrm{End}^{}(V)\right)`$ leaving invariant the ideal generated by (31). Regarding the bialgebra properties of $`𝒯_R`$, the reader is referred for the proof to \[FRT\]. The comodule structure is inherited from the bialgebra one, so it is obviously coassociative. It is also an algebra homomorphism, being a composition of two homomorphisms. ∎

Remark that the FRT relations (31) arose within the quantum inverse scattering method and was used for systematic definition of the quantum group duals in \[FRT\].

### 4.2 RE algebra.

Another algebra of interest, $`_R`$, is defined as the quotient of $`\mathrm{T}\left(\mathrm{End}^{}(V)\right)`$ by the RE relations444Although $`𝒯_R`$ and $`_R`$ are both generated by $`\mathrm{End}^{}(V)`$, it is customary to use different letters, $`T`$ and $`L`$, to denote their matrices of generators.

$`R_{21}L_1RL_2=L_2R_{21}L_1R,`$ (35)
where $`L`$ is the matrix $`L=_{i,j}L_j^ie_i^j`$ whose entries form the set of generators. In terms of the operator $`S=PR`$, where $`P=_{i,j}e_j^ie_i^j`$ is the permutation on $`VV`$, relations (35) can be written as

$`SL_2SL_2=L_2SL_2S.`$ (36)
###### Proposition 4.2.

Let $`\rho `$ be a finite dimensional representation of $``$ and $`T_l^k^{}`$ its matrix coefficients. Let $`L_j^i`$ be the generators of the algebra $`_R`$ associated with $`\rho `$. Then, $`_R`$ is a left $``$-module algebra with the action extended from the coadjoint representation in $`\mathrm{End}^{}(V)`$:

$`xL=\rho \left(\gamma (x)\right)L\rho (x),x.`$ (37)
It is a right $`^{}`$-comodule algebra with respect to the coaction

$`\delta (L_j^i)={\displaystyle \underset{l,k}{}}L_k^l\gamma (T_j^k)T_l^i,`$ (38)
###### Proof.

Action (37) is naturally extended to $`\mathrm{T}\left(\mathrm{End}^{}(V)\right)`$ and preserves relations (36). The coassociativity of (38) is obvious. To prove that $`\delta `$ is an algebra homomorphism, one needs to employ commutation relations $`(\text{31})`$ and $`(\text{35})`$. For details, the reader is referred to \[KS\]. ∎

A spectral dependent version of the RE appeared first in \[Cher\]. In the form of (35), it may be found in articles \[Skl, AFS\] devoted to integrable models. The algebra $`_R`$ was studied in \[KSkl, KS\]. Its relation to the braid group of a solid handlebody was pointed out in \[K\].

### 4.3 FRT- and RE-type algebras: twist-equivalence.

###### Definition 4.3.

Let $``$ be a quasitriangular Hopf algebra with the universal R-matrix $``$ and $`𝒜`$ its left module algebra. $`𝒜`$ is called quasi-commutative if for any $`a,b𝒜`$

$`(_2b)(_1a)=ab.`$ (39)
###### Definition 4.4.

We call a quasi-commutative $`^{op}`$-module algebra an algebra of FRT-type. Similarly, a quasi-commutative $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$-module algebra is called an algebra of RE-type.

###### Example 4.5.

Let $`𝒜`$ an $``$-bimodule algebra for a quasitriangular Hopf algebra $``$ with the universal R-matrix $``$. As in Example 3.3, we can think of it as a left $`^{op}`$-module algebra. Let us take $`_{13}^1_{24}`$ for the universal R-matrix of $`^{op}`$. The algebra $`𝒜`$ is of FRT-type if and only if for any $`a,b𝒜`$

$`(a_1)(b_2)=(_2b)(_1a).`$ (40)
###### Example 4.6.

The Hopf dual $`^{}`$ viewed as an $``$-bimodule with respect to the coregular actions is an FRT-type algebra. Relation (40) is a consequence of (2).

###### Example 4.7.

The FRT algebra $`𝒯_R`$ associated with a finite dimensional representation of $``$ is of FRT-type. Indeed, it is enough to check commutation relations (39) on generators. Reduced to the matrix elements $`T_j^i`$ generating $`𝒯_R`$, condition (40) turns into (31).

###### Proposition 4.8.

Let $``$ be a quasitriangular Hopf algebra and $`\stackrel{~}{}\stackrel{}{}`$. If $`𝒜`$ is a quasi-commutative $``$-module algebra, then the twisted $`\stackrel{~}{}`$-module algebra $`\stackrel{~}{𝒜}\stackrel{}{}𝒜`$ is also quasi-commutative.

###### Proof.

Condition (39) holds for twisted multiplication (25) in $`\stackrel{~}{𝒜}`$ and R-matrix (12) of $`\stackrel{~}{}`$. ∎

###### Theorem 4.9.

An $`^{op}`$-module algebra is twist-equivalent to an $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$-module algebra.

###### Proof.

Let $`_{13}^1_{24}`$ be the universal R-matrix for $`^{op}`$. The twist from $`^{op}`$ to $``$ with the twisting cocycle $`_{13}(^{op})(^{op})`$ turns it into the R-matrix $`_{31}^1_{24}`$. Further twist with the cocycle $`_{23}()()`$ transforms $``$ into $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$ with the R-matrix $`_{41}^1_{31}^1_{24}_{23}`$, see (14). ∎

###### Corollary 4.10.

Let $`𝒜`$ be an $``$-bimodule algebra and $`\stackrel{~}{𝒜}`$ its twist-equivalent left $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$-module algebra. The algebra $`\stackrel{~}{𝒜}`$ is of RE-type if and only if $`𝒜`$ is of FRT-type. Then, for any $`a,b\stackrel{~}{𝒜}`$

$`(_1^{}a_2)(b_1_2^{})`$ $`=`$ $`(_1^{}_2b)(_1a_2^{}),`$ (41)
where the primes distinguish different copies of $``$.

###### Proof.

By Proposition 4.8, $`\stackrel{~}{𝒜}`$ is of RE-type iff $`𝒜`$ is of FRT-type; then $`𝒜`$ satisfy (40). Twist from $`^{op}`$ to $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$ converts (40) to (41). The action of $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$ on $`\stackrel{~}{𝒜}`$ is expressed through the right and left actions of $``$ on $`𝒜`$ as in (24). ∎

###### Proposition 4.11.

Let $`\rho `$ be a finite dimensional representation of $``$. The RE algebra $`_R`$ associated with $`\rho `$ is an RE-type algebra, provided the universal R-matrix is taken as in (14). It is twist-equivalent to $`𝒯_R`$.

###### Proof.

First, let us prove that $`_R`$ is an $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$-module algebra. Define the left $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$-action on $`\mathrm{End}^{}(V)`$ by the formula

$`(xy)L=\rho \left(\gamma (x)\right)L\rho (y),xy\genfrac{}{}{0pt}{}{}{},`$ (42)
where $`\{L_j^i\}\mathrm{End}^{}(V)`$ is the dual basis to $`\{e_i^j\}`$. This action is uniquely extended to $`\mathrm{T}\left(\mathrm{End}^{}(V)\right)`$ to make it an $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$-module algebra. It is easy to see that action (42) respects relations (35) thus reducing to an action on $`_R`$. Now we show that $`_R`$ is of RE-type. Abstract commutation relations (39) are specialized to (41) for quasi-commutative $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$-module algebras. Evaluated on the generators $`L_j^i`$, they turn into the reflection equation relations (35). On the other hand, as mentioned in Example 4.7, the FRT relations (31) are the reduction of (40) to the generators of $`𝒯_R`$. The twist that relates identities (40) and (41) transforms relations (31) to (35). ∎

### 4.4 RE dual $`\stackrel{~}{}^{}`$ and its properties.

Theorem 4.9 allows us to define the RE analog of the algebra $`^{}`$ for any quasitriangular Hopf algebra.

###### Definition 4.12.

Reflection equation dual $`\stackrel{~}{}^{}`$ to a quasitriangular Hopf algebra $``$ is an RE-type algebra, the twist of $`^{}`$ viewed as the coregular left $`^{op}`$-module with action (24).

Let $`m`$ be the multiplication in $`^{}`$. Formula (25) gives the multiplication in $`\stackrel{~}{}^{}`$ which is expressed through the universal R-matrix and the coregular actions of $``$ on $`^{}`$:

$`\stackrel{~}{m}(ab)=m\left(_1a_1^{}b\gamma (_2)_2^{}\right).`$ (43)
It follows that $`\stackrel{~}{}^{}`$ is isomorphic as an associative algebra to the braided Hopf algebra introduced by Majid using other arguments, \[Mj\].

###### Proposition 4.13.

$`\stackrel{~}{}^{}`$ is a left module algebra over the Hopf algebras $``$, $`^{op}`$, and the double $`\text{D}()`$.

###### Proof.

An immediate corollary of Proposition 2.5 and Theorem 2.6. ∎

Let $`(\genfrac{}{}{0pt}{}{}{})^{}`$ be the dual Hopf algebra to $``$$`\genfrac{}{}{0pt}{}{}{}`$$``$. As a coalgebra, it coincides with the tensor product $`^{}^{}`$. The multiplication in $`(\genfrac{}{}{0pt}{}{}{})^{}`$ is expressed through coregular actions (22) of the universal R-matrix of $``$:

$$(\alpha \beta )(\eta \xi )=\alpha (_2\eta _2^{}^1)(_1\beta _1^{}^1)\xi ,$$

for $`\alpha \beta `$ and $`\eta \xi (\genfrac{}{}{0pt}{}{}{})^{}`$.

###### Proposition 4.14.

$`\stackrel{~}{}^{}`$ is a right $`(\genfrac{}{}{0pt}{}{}{})^{}`$-comodule algebra with the coaction expressed through the coproduct and antipode in $`^{}`$:

$`\delta (\eta )`$ $`=`$ $`\eta _{(2)}\left(\gamma (\eta _{(1)})\eta _{(3)}\right),\eta \stackrel{~}{}^{}.`$ (44)
###### Proof.

Map (44) satisfies condition (29) with left action (24). ∎

###### Corollary 4.15.

$`\stackrel{~}{}^{}`$ is a right $`^{}`$-comodule algebra with the coaction

$`\delta (\eta )`$ $`=`$ $`\eta _{(2)}\gamma (\eta _{(1)})\eta _{(3)},\eta \stackrel{~}{}^{}.`$ (45)
$`\stackrel{~}{}^{}`$ is a right $`_{op}`$-comodule algebra, with the coaction

$`\delta (\eta )`$ $`=`$ $`\eta _{(2)}\eta _{(3)},_1^{}^1\gamma (\eta _{(1)}),_2_2^{}^1_1,\eta \stackrel{~}{}^{},`$ (46)
where $`.,.`$ is the Hopf pairing between $`^{}`$ and $``$.

###### Proof.

The Hopf embedding (16) gives rise to the reversed arrow $`(\genfrac{}{}{0pt}{}{}{})^{}^{}`$ acting by multiplying the tensor factors. It remains to apply this homomorphism to the term in (44) that is confined in parentheses, to obtain (45). Similarly, evaluating the map $`(\genfrac{}{}{0pt}{}{}{})^{}_{op}`$, which is dual to the Hopf algebra homomorphism (17), we come to (46). ∎

###### Lemma 4.16.

The counit $`\epsilon `$ of $`^{}`$ is a character of the RE dual $`\stackrel{~}{}^{}`$

###### Proof.

Evaluating $`\epsilon `$ on the twisted product (43) we find, for $`a,b\stackrel{~}{}^{}`$,

$$\epsilon \stackrel{~}{m}(ab)=\epsilon m\left(_1a_1^{}b\gamma (_2)_2^{}\right)=a,_1^{}_1b,\gamma (_2)_2^{}=\epsilon (a)\epsilon (b).$$

Here we used the identity $`_1^{}_1\gamma (_2)_2^{}=11`$ following from (4). ∎

###### Proposition 4.17.

Let $``$ be a quasitriangular Hopf algebra with the universal R-matrix $``$. Consider the element $`𝒬=_{21}^2`$. The map $`\stackrel{~}{}^{}`$ defined by the correspondence

$`\eta \eta ,𝒬_1𝒬_2,\eta \stackrel{~}{}^{},`$ (47)
where $`.,.`$ is the Hopf pairing between $`^{}`$ and $``$, is a homomorphism of the coadjoint and adjoint $``$-module algebras.

###### Proof.

According to Lemma 4.16, the counit of $`^{}`$ is a character of $`\stackrel{~}{}^{}`$. Applying the antipode to the right tensor factor of (46) we pass to a left comodule structure with respect to the Hopf algebra $`^{op}`$. Applying the counit to the left tensor factor belonging to $`\stackrel{~}{}^{}`$, we obtain an equivariant homomorphism of $``$-module algebras $`\stackrel{~}{}^{}`$. Taking composition of $`(\epsilon \gamma )`$ with coaction (46) we obtain (47):

$`(\epsilon \gamma )\delta (\eta )`$ $`=`$ $`\eta _{(2)},_1^{}^1\gamma (\eta _{(1)}),_2\gamma (_2^{}^1_1)`$ (48)
$`=`$ $`\eta ,\gamma (_2)_1^{}^1\gamma (_1)\gamma (_2^{}^1)=\eta ,_2_1^{}_1_2^{}.`$
Here we used $`(\gamma \gamma )()=`$ and $`(\text{id}\gamma )(^1)=`$, see (4). Equivariance of map (47) may be derived from the comodule structure (46). However, it is readily seen directly. Since $`\mathrm{\Delta }(x)𝒬=𝒬\mathrm{\Delta }(x)`$ for every $`x`$, one has $`\gamma (x_{(1)})𝒬_1x_{(2)}𝒬_2=𝒬_1x_{(1)}𝒬_2\gamma (x_{(2)})`$. Then,

$`x_{(2)}\eta \gamma (x_{(1)}),𝒬_1𝒬_2=\eta ,\gamma (x_{(1)})𝒬_1x_{(2)}𝒬_2=\eta ,𝒬_1x_{(1)}𝒬_2\gamma (x_{(2)}),`$ (49)
for $`x`$ and $`\eta \stackrel{~}{}^{}`$. ∎

## 5 Applications: equivariant quantization on $`G`$-spaces.

In this section, we specialize the constructions of the previous sections to the deformation quantization situation when $`=𝒰_h(𝔤)`$, a quantum group corresponding to a semisimple Lie algebra $`𝔤`$.

### 5.1 Quantization on the group space $`G`$.

Let $`G`$ be a semisimple Lie group equipped and $`𝔤`$ its Lie algebra. An element $`\xi 𝔤`$ generates left and right invariant vector fields

$$(\xi ^lf)(g)=\frac{d}{dt}f(ge^{t\xi })|_{t=0},(f\xi ^r)(g)=\frac{d}{dt}f(e^{t\xi }g)|_{t=0},$$

defining the left and right actions of the algebra $`𝒰(𝔤)`$ on functions on $`G`$. Given an element $`\psi 𝒰(𝔤)`$, by $`\psi ^r`$ and $`\psi ^l`$ we correspondingly denote its extensions by the right- and left-invariant differential operators on $`G`$. We use notation $`\xi ^{\mathrm{ad}}=\xi ^l\xi ^r`$ for the vector field generated by the element $`\xi 𝔤`$ via the adjoint action $`ag^1ag`$ of $`G`$ on itself.

Let $`r^2𝔤`$ be a classical r-matrix and $`\omega `$ the invariant symmetric element such that $`r+\omega `$ satisfies the classical Yang-Baxter-Equation, \[Dr1\]. Let $`𝒰_h(𝔤)`$ be the corresponding quantum group.

###### Proposition 5.1.

The RE dual $`\stackrel{~}{𝒰}_h^{}(𝔤)`$ to the quantum group $`𝒰_h(𝔤)`$ is a $`𝒰_h(𝔤)`$$`\genfrac{}{}{0pt}{}{}{}`$$`𝒰_h(𝔤)`$-equivariant quantization of the Poisson bracket

$`r^{r,r}+r^{l,l}r^{l,r}r^{r,l}+(\omega ^{r,l}\omega ^{l,r})`$ (50)
on the group $`G`$. It turns into a $`𝒰_h(𝔤)`$-equivariant quantization of the bracket

$`r^{\mathrm{ad},\mathrm{ad}}+(\omega ^{r,l}\omega ^{l,r})`$ (51)
via the Hopf algebra embedding $`\mathrm{\Delta }:𝒰_h(𝔤)𝒰_h(𝔤)\genfrac{}{}{0pt}{}{}{}𝒰_h(𝔤)`$.

###### Proof.

The element $`r^{}=(r)r`$ from the exterior square $`^2(𝔤𝔤)`$ generates the bivector field $`r_G^{}=r^{r,r}+r^{l,l}`$ on $`G`$ via the action of $`𝒰(𝔤)_{op}𝒰(𝔤)`$; $`r_G^{}`$ coincides with the Drinfeld-Sklyanin bracket on $`G`$. The algebra $`𝒰_h^{}(𝔤)`$ is the $`𝒰_h(𝔤)^{op}𝒰_h(𝔤)`$-equivariant quantization of $`r_G^{}`$, \[Ta\]. The twist with the cocycle $`_{13}=1+h(r_{13}+\omega _{13})+o(h)`$, converts $`𝒰_h^{}(𝔤)`$ into the $`𝒰_h(𝔤)𝒰_h(𝔤)`$-equivariant quantization of the bracket $`r^{r,r}+r^{l,l}`$. Indeed, at the infinitesimal level this procedure adds the term $`2r^{r,r}`$ to the bracket $`r_G^{}`$. Further twist with the cocycle $`_{23}=1+h(r_{23}+\omega _{23})+o(h)`$ leads to the algebra $`\stackrel{~}{𝒰}_h^{}(𝔤)`$. In terms of Poisson brackets, this operation adds the term $`(r^{l,r}+\omega ^{l,r})(r^{r,l}\omega ^{r,l})`$ to $`r^{r,r}+r^{l,l}`$ thus resulting in (50). The last statement of the proposition is straightforward. ∎

### 5.2 Quantization of polynomial functions on matrices.

Let $`V`$ be a complex vector space and $`\rho `$ a homomorphism of $`𝒰(𝔤)`$ into the matrix algebra $`=\mathrm{End}(V)`$. It induces a bimodule structure on $`^{}`$:

$$(xf)(A)=f\left(A\rho (x)\right),(fx)(A)=f\left(\rho (x)A\right),$$

for $`x𝒰(𝔤)`$, $`f^{}`$, and $`A`$. Let $`\mathrm{\Omega }^2`$ be the image of the invariant symmetric element $`\omega `$. Denote by $`^\mathrm{\Omega }`$ the cone of matrices

$$^\mathrm{\Omega }=\{A|[\mathrm{\Omega },AA]=0\}.$$

Evidently, $`^\mathrm{\Omega }`$ is an algebraic variety, it is closed under the matrix multiplication and invariant with respect to the two-sided action of the group $`G`$.

###### Remark 5.2.

We would like to stress that we do not restrict the consideration to fundamental representations of $`𝒰(𝔤)`$. The subspace $`^\mathrm{\Omega }`$ coincides with $`=\mathrm{End}(V)`$ only for $`𝔤=sl(n,)`$ and $`V=^n`$.

###### Proposition 5.3.

The quotient of the algebra $`_R`$ by the torsion is a $`𝒰_h(𝔤)`$$`\genfrac{}{}{0pt}{}{}{}`$$`𝒰_h(𝔤)`$-equivariant quantization of the Poisson bracket

$`r^{r,r}+r^{l,l}r^{l,r}r^{r,l}+(\omega ^{r,l}\omega ^{l,r})`$ (52)
###### Proof.

It is easy to see that $`^\mathrm{\Omega }`$ is the maximal subspace in $``$ where bracket (52) is Poisson. It was proven in \[DS\] that the algebra $`𝒯_R`$ is a $`𝒰_h(𝔤)_{op}𝒰_h(𝔤)`$-equivariant quantization on $`^\mathrm{\Omega }`$. Applying the RE twist, we obtain the algebra $`_R`$ as the quantization on $`^\mathrm{\Omega }`$. This twist transforms the bracket $`r^{l,l}+r^{r,r}`$ on $`^\mathrm{\Omega }`$ to bracket (52). This proves the statement. ∎

Note that bracket (52) goes over into $`r^{\mathrm{ad},\mathrm{ad}}+(\omega ^{r,l}\omega ^{l,r})`$ after restriction of $`𝔤𝔤`$ to the diagonal subalgebra. Then $`_R`$ becomes an equivariant quantization of this bracket with respect to $`𝒰_h(𝔤)𝒰_h(𝔤)\genfrac{}{}{0pt}{}{}{}𝒰_h(𝔤)`$.

e-mail: donin@macs.biu.ac.il
e-mail: mudrova@macs.biu.ac.il;


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# Morphic heights and periodic points

## 1. Introduction

Let $`\varphi :^1(\overline{})^1(\overline{})`$ be a morphism of degree $`d`$, defined over the rationals. Call, Goldstine and Silverman (see ,) have associated to $`\varphi `$ a canonical global morphic height $`\widehat{\lambda }_\varphi `$ on $`\overline{}`$, with the properties that

1. $`\widehat{\lambda }_\varphi (\varphi (q))=d\widehat{\lambda }_\varphi (q)`$ for any $`q^1(\overline{})`$;
2. $`q`$ is pre-periodic if and only if $`\widehat{\lambda }_\varphi (q)=0`$.

A point $`q`$ is called pre-periodic under $`\varphi `$ if the orbit $`\{\varphi ^{(n)}(q)\}`$ is finite (write $`f^{(n)}`$ for the $`n`$th iterate of a map $`f`$). The global height decomposes into a sum of local canonical morphic heights $`\lambda _{\varphi ,v}`$:

$$\widehat{\lambda }_\varphi (q)=\underset{v}{}n_v\lambda _{\varphi ,v}(q).$$

Here $`v`$ runs over all the valuations (both finite and infinite) of the number field generated by $`q`$ and the $`n_v`$ denote the usual normalising constants. In the special case that $`\varphi `$ takes the form $`\varphi [x,y]=[y^df(x/y),y^d]`$ for a polynomial $`f`$ of degree $`d`$, Call and Goldstine  prove that

(1)
$$\lambda _{\varphi ,v}(q)=\underset{n\mathrm{}}{lim}\frac{1}{d^n}\lambda _v(\varphi ^{(n)}(q)),$$

where $`\lambda _v`$ is the local projective height $`\lambda _v(q)=\mathrm{log}^+|q|_v`$, and that the local height $`\lambda _{\varphi ,v}(q)`$ vanishes if and only if $`|\varphi ^{(n)}(q)|_v`$ is bounded for all $`n`$, and finally, that $`q`$ is pre-periodic if and only if

(2)
$$\lambda _{\varphi ,v}(q)=0\text{ for all }v.$$

###### Example 1.1.

1. Let $`f(z)=z^d`$ with $`d>1`$. Here the canonical morphic heights and the projective heights agree. Jensen’s formula (\[13, Theorem 15.18\]) gives

$$_{𝕊^1}\mathrm{log}|yq|\text{d}m(y)=\mathrm{log}^+|q|,$$

where $`m`$ is the Haar measure on the circle $`𝕊^1`$. The circle is also the Julia set for this morphism on $``$, and it is the closure of the set of non-zero periodic points, which are all roots of unity. In the $`p`$-adic case, the Julia set is empty but it is still true that the local height is the Shnirel’man integral of the logarithmic distance from the closure of the set of periodic points. For all $`v`$, finite and infinite, the following holds:

$$\mathrm{log}^+|q|_v=\underset{n\mathrm{}}{lim}\frac{1}{d^n}\underset{\zeta q:\zeta ^{d^n1}=1}{}\mathrm{log}|\zeta q|_v$$

For finite $`v`$ this may be seen, for instance, using Section 3. Alternatively, it follows from the Diophantine estimate

$$|q^{d^n}q|_v>C(q)|n|_v$$

provided the left hand side is non-zero (cf. Remark 3.6). For $`v|\mathrm{}`$ a result from transcendence theory (in this case, Baker’s theorem) is needed.
2. Suppose $`a,b\text{}`$ with $`4a^3+27b^20`$ and let

$$f(z)=\frac{z^42az^28bz+a^2}{z^3+az+b}.$$

Then $`f`$ gives rise to a morphism of degree 4 which describes the duplication map on an elliptic curve. The global and local morphic heights coincide with the usual notions of height on the curve. For the infinite valuations, the local height is again the integral average of the logarithmic distance to points on the Julia set, which is the closure of the set of periodic points. At the singular reduction primes it is still true that the local height is the integral average of the logarithmic distance to the periodic points. Both of these assertions are proved in  where this morphism was used to construct a dynamical system which interprets these heights in dynamical terms. The proofs require elliptic transcendence theory to show that a rational point cannot approximate a periodic point too closely (cf. Proposition 3.8). This is part of a much broader analogy between heights in Diophantine geometry and entropy in algebraic dynamics (see , , , ).

In this paper, our purpose is to describe a family of examples where the local canonical morphic height can be expressed as a limiting integral over periodic points of the underlying morphism. The finite and infinite cases require different approaches. In both, we consider the special class of morphisms corresponding to affine polynomial maps and in the former case, we assume good reduction in the sense of Morton and Silverman .

There are two directions in which this work can be made more sophisticated that are not pursued here. The first is to give a more formal interpretation of the limiting process using Shnirel’man integrals (see , or  for a modern treatment); the second is to extend the arguments to other morphisms.

## 2. Complex case

Assume that $`\varphi :^1()^1()`$ is a morphism of degree $`d`$, with $`\varphi [x,y]=[y^df(x/y),y^d]`$ for a polynomial $`f`$ of degree $`d`$. For basic definitions of complex dynamics, consult . The following theorem expresses the local morphic height as an integral over the Julia set $`J(f)`$ of the polynomial $`f`$, and standard results from complex dynamics show that this is in turn a limiting integral over periodic points.

###### Theorem 2.1.

If $`f(z)=az^d+\mathrm{}+a_0`$ is a polynomial, then for any $`q`$,

(3)
$$\lambda _{\varphi ,\mathrm{}}(q)=\frac{1}{d1}\mathrm{log}|a|+_{J(f)}\mathrm{log}|xq|\text{d}m(x),$$

where $`m`$ is the maximal invariant measure for $`f`$ on $`J(f)`$.

###### Proof.

Assume first that $`q`$ is in the domain of attraction of $`\mathrm{}`$ for $`f`$. The zeros of the polynomial $`f_n(x)=f^{(n)}(x)x`$ are precisely the solutions of the equation $`f^{(n)}(x)=x`$. Note that $`d_n=\mathrm{deg}(f_n)=d^n`$, where $`d=\mathrm{deg}(f)`$. Since $`|f^{(n)}(q)|\mathrm{}`$, $`\frac{1}{d_n}\mathrm{log}|f_n(q)|`$ is approximately $`\frac{1}{d^n}\mathrm{log}|f^{(n)}(q)|`$, which converges to $`\lambda _{\varphi ,\mathrm{}}(q)`$. Since $`q`$ lies in the open Fatou set, $`\mathrm{log}|xq|`$ is continuous on $`J(f)`$. Now

(4)
$$\frac{1}{d_n}\mathrm{log}|f_n(q)|=\frac{1}{d_n}\underset{f^{(n)}(x)=x}{}\mathrm{log}|xq|+\frac{1}{d_n}\mathrm{log}|B_n|,$$

where the sum is over the $`n`$th ‘division points’ and

$$B_n=a^{1+d+d^2+\mathrm{}+d^{(n1)}}$$

is the leading coefficient of $`f^{(n)}(x)`$. Thus

(5)
$$\frac{1}{d_n}\mathrm{log}|B_n|=\frac{1}{d^n}\left(\frac{d^n1}{d1}\right)\mathrm{log}|a|\frac{1}{d1}\mathrm{log}|a|.$$

Now it is known that

$$\frac{1}{d_n}\underset{f^{(n)}(x)=x}{}\mathrm{log}|xq|_{J(f)}\mathrm{log}|xq|\text{d}m(x),$$

where $`m`$ is the maximal invariant measure for $`f`$ restricted to the Julia set (see ; ).

In the following it is convenient to assume that a=1, we can ensure this by conjugating by a linear map. Now $`|xf(q)|=_{f(t)=x}|tq|`$, so

(6) $`{\displaystyle _{J(f)}}\mathrm{log}|xf(q)|\text{d}m(x)`$ $`=`$ $`{\displaystyle _{J(f)}}{\displaystyle \underset{f(t)=x}{}}\mathrm{log}|tq|\text{d}m(x)`$
$`=`$ $`d{\displaystyle _{J(f)}}\mathrm{log}|xq|\text{d}m(x)`$
(the last equality follows from  or \[9, Theorem (d)\]).

Let now $`qJ(f)`$ have bounded orbit. Since $`J(f)`$ is closed, we can find $`ϵ>0`$ such that $`B_ϵ(q)J(f)=\mathrm{}`$. If $`|f^n(q)q|>ϵ/2`$ for almost all $`n`$, then

$$\frac{1}{d_n}\mathrm{log}|f^n(q)q|0.$$

We can argue as in the first case to get

$$_{J(f)}\mathrm{log}|xq|=0=\lambda _{\varphi ,\mathrm{}}(q).$$

Assume now $`|f^{n_j}(q)q|ϵ/2`$ for some sequence $`n_j\mathrm{}`$. Then $`|f^{n_j}(q)x|>ϵ/2`$ for $`xJ(f)`$. However, since $`J(f)`$ and $`f^{n_j}(q)`$ are bounded, we have also an upper bound

$$\mathrm{log}\frac{ϵ}{2}_{J(f)}\mathrm{log}|xf^{n_j}(q)|M.$$

Together with Equation (6) we get

$$1/d^{n_j}\mathrm{log}\frac{ϵ}{2}_{J(f)}\mathrm{log}|xq|1/d^{n_j}M$$

which concludes the proof in this case.

It remains to show that the formula holds for $`qJ(f)`$. Since $`J(f)`$ has no interior, there is a sequence $`q_nq`$ with $`q_nJ(f)`$. Then $`\mathrm{log}|xq_n|\mathrm{log}|xq|`$ for all $`xJ(f)\backslash \{q\}`$. Since $`J(f)`$ is bounded, $`\mathrm{log}|xq_n|`$ and $`\mathrm{log}|xq|`$ are uniformly bounded above by $`M`$ say for $`xJ(f)\backslash \{q\}`$. So by Fatou’s lemma

(7)
$$0=\underset{n\mathrm{}}{lim}_{J(f)}\mathrm{log}|xq_n|\text{d}m(x)_{J(f)}\mathrm{log}|xq|\text{d}m(x)M.$$

This shows that $`x\mathrm{log}|xq|`$ is in $`L^1(m)`$. If

$$_{J(f)}\mathrm{log}|xq|\text{d}m(x)>0,$$

then Equation (6) contradicts (7). ∎

## 3. The $`p`$-adic case

Let $`_p`$ denote the usual completion of the algebraic closure of the $`p`$-adic numbers $`_p`$, and use $`||`$ to denote the extension of the $`p`$-adic norm to $`_p`$. Write $`𝒪_p`$ for the ring of integral elements in $`_p`$, and $`𝒫`$ for the maximal ideal of $`𝒪_p`$. In this section we assume that $`\varphi :^1(_p)^1(_p)`$ is a morphism of degree $`d`$ corresponding to an affine polynomial $`f`$ of degree $`d`$ with coefficients in $`𝒪_p`$ and leading coefficient in $`𝒪_p^{}`$. Notice that these assumptions are, for polynomials, equivalent to the assumption that the map $`\varphi `$ has good reduction in the sense of : $`\varphi `$ induces a morphism of schemes over $`\text{Spec}(𝒪_p)`$. The Julia set is empty in this setting (see , ), so a direct analogue of (3) is not possible.

The main result expresses the local canonical morphic height as a limiting integral over periodic points for the polynomial $`f`$.

###### Theorem 3.1.

If $`\varphi `$ has good reduction and is defined by a polynomial $`f`$ of degree $`d`$, then

$$\lambda _{\varphi ,p}(q)=\mathrm{log}^+|q|=\underset{n\mathrm{}}{lim}\frac{1}{d^n}\underset{\xi q:f^{(n)}(\xi )=\xi }{}\mathrm{log}|\xi q|$$

where the sum is taken with multiplicities.

Notice first that for $`q_p\backslash 𝒪_p`$ this is clear, so from now on we assume that $`q𝒪_p`$. Despite the simple resulting value of the height, the convergence involved requires an argument. The main issue is to produce lower bounds on the size of $`|\xi \zeta |`$ for distinct periodic points $`\xi `$ and $`\zeta `$.

The least period of a periodic point $`\xi `$ is the cardinality of the orbit of $`\xi `$. The points of period $`n`$ are the solutions to the polynomial equation

(8)
$$f^{(n)}(x)x=0,$$

and are therefore all elements of $`𝒪_p`$. Following , for a periodic point $`\xi `$ define $`a_n(\xi )`$ to be the multiplicity of $`\xi `$ in (8), with the obvious convention that $`\xi `$ has multiplicity zero in an equation that it does not satisfy. Notice that $`a_n(\xi )0`$ if and only if $`n`$ is a multiple of the least period of $`\xi `$. Define $`a_n^{}(\xi )`$ by

$$a_n^{}(\xi )=\underset{d|n}{}\mu \left(\frac{n}{d}\right)a_n(\xi ),$$

where $`\mu `$ is the Möbius function. Increases in the multiplicity of the periodic point $`\xi `$ along the sequence of multiples of its least period are recorded by $`a_n^{}(\xi )`$. The periodic point $`\xi `$ is an essential $`n`$-periodic point if $`a_n^{}(\xi )>0`$.

The following proposition is a special case of \[12, Prop. 3.2\].

###### Proposition 3.2.

Let $`K`$ be an algebraically closed field of characteristic $`p0`$, and $`f`$ a polynomial over $`K`$ with degree $`d2`$. Fix a periodic point $`\zeta K`$ with least period $`m`$, and let $`r`$ denote the multiplicative order of $`(f^{(m)})^{}(\zeta )`$ in $`K^{}`$ or $`\mathrm{}`$ if $`(f^{(m)})^{}`$ is not a root of unity. Then for $`n1`$, $`a_n^{}(\zeta )1`$ if and only if one of the following conditions hold.

1. $`n=m`$;
2. $`n=mr`$;
3. $`p>0`$ and $`n=p^emr`$ for some $`e1`$.

When $`K=_p`$, this proposition will also be applied to the polynomial $`\overline{f}`$ induced by reduction mod $`𝒫`$. Notice that the sum of the multiplicities of the points of period $`n`$ under $`f`$ lying in one residue class gives the multiplicity of the image point as a point of period $`n`$ under $`\overline{f}`$.

For the proof of Theorem 3.1 the following proposition is needed; this will be proved later.

###### Proposition 3.3.

Suppose $`\xi `$ is a periodic point with least period $`n`$ for a polynomial $`f`$ of good reduction. Then for any fixed $`q𝒪_p`$, $`|q\xi |1`$ as $`n\mathrm{}`$, provided $`q\xi `$.

###### Proof.

(of Theorem 3.1) By Proposition 3.2 applied to the field $`_p`$ with characteristic zero, if $`\xi `$ is a periodic point with least period $`m`$, then the multiplicity of $`\xi `$ viewed as a periodic point of period $`m,2m,3m,\mathrm{}`$ is uniformly bounded. Fix $`q𝒪_p`$ and $`s(0,1)`$. Proposition 3.3 says that the number of periodic points in the metric ball $`D_s(q)`$ is finite. It follows that

$$\underset{n\mathrm{}}{lim\; inf}\frac{1}{d^n}\underset{\xi q:f^{(n)}(\xi )=\xi }{}\mathrm{log}|\xi q|\mathrm{log}s.$$

On the other hand, each term in the sum is non-positive, so letting $`s1`$ proves the theorem. ∎

All that remains is to prove Proposition 3.3, for which we need some lemmas.

###### Lemma 3.4.

Assume that $`f(0)=0`$, and let $`\zeta `$ be a periodic point of $`f`$. Then $`|\zeta |=|f^{(n)}(\zeta )|`$ for all $`n1`$.

###### Proof.

The spherical metric used in  coincides with the usual metric in $`𝒪_p`$, and $`f`$ has good reduction. So by \[12, Prop. 5.2\],

$$|f(x)f(y)||xy|$$

for $`x,y𝒪_p`$. The lemma follows at once. ∎

###### Lemma 3.5.

Assume that $`f(0)=0`$ and $`n>1`$ is fixed.

1. If $`|f^{}(0)|<1`$ then $`_{\xi 0}|\xi |^{a_n^{}(\xi )}=1`$.
2. If $`|f^{}(0)1|<p^1`$ then $`_{\xi 0}|\xi |^{a_n^{}(\xi )}=\{\begin{array}{cc}1/p& \text{if }n\text{ is a power of }p,\hfill \\ 1& \text{if not.}\hfill \end{array}`$

###### Proof.

In case 1., $`\overline{f}^{}(0)=0`$ in the algebraically closed field $`𝒪_p/𝒫`$, so Proposition 3.2 may be applied with $`\zeta =0+𝒫`$, $`m=1`$ and $`r=\mathrm{}`$. It follows that for $`n>1`$ $`a_n^{}(0+𝒫)=0`$, so there cannot be an essential $`n`$-periodic point $`\xi `$ for $`f`$ with $`|\xi |<1`$.

In case 2., $`m=1`$ and $`r=1`$ for the point $`\zeta =0+𝒫`$ in Proposition 3.2. It follows that only values of $`n`$ of the form $`p^k`$ are relevant. Notice that

(9)
$$\underset{\xi 0}{}|\xi |^{a_{p^k}^{}(\xi )}=\left|\left(\frac{f^{(p^k)}(x)x}{f^{(p^{k1})}(x)x}\right)_{x=0}\right|$$

If $`f^{}(0)1`$, then the right-hand side of (9) is given by

$$\left|\frac{(f^{}(0))^{p^k}1}{(f^{}(0))^{p^{k1}}1}\right|=\frac{1}{p}$$

by the binomial theorem. If $`f^{}(0)=1`$, write $`f(x)=x+x^eg(x)`$ with $`e>1`$ and $`g(0)0`$, then a simple induction argument shows that

$$f^{(k)}(x)=x+kx^eg(x)+O(x^{2e1}).$$

It follows that (9) is equal to $`p`$ again.

###### Proof.

(of Proposition 3.3) Let $`\zeta `$ be any periodic point, with least period $`\mathrm{}`$. The first step is to prove the proposition for $`q=\zeta `$. Let $`\xi `$ have least period $`n`$ under $`f`$. The multiplicity of $`\zeta +𝒫`$, which has least period $`m`$ for some $`m|\mathrm{}`$ must increase at $`\mathrm{}`$ (because $`a_{\mathrm{}}^{}(\zeta )>1`$). It follows by Proposition 3.2 that $`\mathrm{}`$ is equal to $`m`$, $`mr`$, or $`mrp^e`$ for some $`e1`$. Assume first that $`n`$ is not of one of those forms; then $`|\xi \zeta |=1`$ because the multiplicity of $`\zeta +𝒫`$ cannot increase at $`n`$ in $`𝒪_p/𝒫`$.

In the remaining cases, we may assume for large $`n`$ that $`\mathrm{}|n`$. Then $`\xi `$ is a periodic point with least period $`n/\mathrm{}`$ under $`f^{(\mathrm{})}`$. Applying the conjugation $`xx\zeta `$ means that $`0`$ is a fixed point of $`g`$, where $`g(x)=f^{(\mathrm{})}(x+\zeta )\zeta `$.

If $`|g^{}(0)|<1`$, then by Lemma 3.5 applied to $`g`$, $`|\xi \zeta |=1`$.

If $`|g^{}(0)|=1`$, let $`t`$ be the order of $`g^{}(0)+𝒫`$ in $`𝒪_p/𝒫`$. Then

$$|(g^{}(0))^t1|<1.$$

There exists a $`c1`$ such that

$$|(g^{}(0))^{tp^c}1|<1/p.$$

As before, we may assume that $`tp^c|n`$, so Lemma 3.5 may be applied to the map $`h=g^{(tp^c)}`$ to give

$$\underset{j=1,\mathrm{},n/tp^c\mathrm{}}{}|h^{(j)}(\xi \zeta )|1/p.$$

It follows by Lemma 3.4 that $`|\xi \zeta |p^{tp^c\mathrm{}/n}`$. Since $`t,c,\mathrm{}`$ depend only on $`\zeta `$, $`|\xi \zeta |1`$ as $`n\mathrm{}`$. The ultrametric inequality in $`_p`$ now gives the result for any $`q𝒪_p`$. ∎

###### Remark 3.6.

Notice that the discussion above also gives a quantitative version of Proposition 3.3. This Diophantine result may be of independent interest. If $`f`$ is a polynomial of good reduction, then

$$|f^{(n)}(q)q|>C(f,q)|n|$$

for all $`n1`$, provided the left hand side is non-zero.

###### Example 3.7.

To see the different cases that are possible in Proposition 3.3, consider the following examples.

1. Let $`f(x)=g(x^p)+ph(x)`$ be a monic polynomial with coefficients in $`𝒪_p`$. Then $`|f^{}(q)|<1`$ for any $`q𝒪_p`$, so in Lemma 3.5 only the first case is ever used. It follows that in Proposition 3.3, $`|\zeta \xi |=1`$ for any distinct periodic points $`\zeta ,\xi `$.
2. Let $`f(x)=x^2(1+a)x`$ for some small $`a`$. Then $`0`$ is a fixed point, and $`|f^{}(0)|=1`$. Now

$$f^{(2)}(x)x=x^4(2a+2)x^3+(a^2+a)x^2+(a^2+2a)x,$$

so $`(f^{(2)}(x)x)/(f(x)x)`$ has constant term $`(a^2+2a)/(a2)=a`$. Therefore there must be two non-zero points of period $`2`$ that are close to the fixed point $`0`$.

If the polynomial $`f`$ has coefficients outside $`𝒪_p`$, then in contrast to Proposition 3.3, there may be sequences of periodic points converging to a periodic point. For example, $`f(x)=x^2+\frac{1}{2}x`$ on $`_2`$ has this property. Therefore, to recover Theorem 3.1 in greater generality (for polynomials of bad reduction or rational functions) some kind of Diophantine approximation results are needed. In Example 1.1.2 these tools are provided by elliptic transcendence theory.

###### Proposition 3.8.

Let $`\zeta `$ be a periodic point with least period $`\mathrm{}`$ under $`f`$. Assume that $`|(f^{(\mathrm{})})^{}(\zeta )|>1`$. Then there are periodic points $`\xi \zeta `$ arbitrarily close to $`\zeta `$.

###### Proof.

Define $`g=f^{(\mathrm{})}`$ and $`a=(f^{(\mathrm{})})^{}(\zeta )`$. Without loss of generality we can assume that $`\zeta =0`$. Then

$$g(x)=ax+bx^e+O(x^{e+1})\text{ with }b0$$

and

$$g^{(2)}(x)=a^2x+(ab+a^eb)x^e+O(x^{e+1}).$$

Define $`b_2=(ab+a^eb)`$, then $`|b_2|=|b||a|^e`$. By induction one can see that

$$g^{(k)}(x)=a^kx+b_kx^e+O(x^{e+1})$$

with $`|b_k|=|b||a|^{ke}`$.

Therefore the Newton polygon of $`g^{(k)}(x)x`$ starts with a line with slope $`sk+c`$ for a fixed $`c`$ (depending on $`b`$ and $`e`$). So there exists a periodic point $`\xi `$ with $`|\xi |=p^sp^{k+c}`$. ∎

## 4. Tchebycheff polynomials

###### Example 4.1.

Consider the Tchebycheff polynomial of degree $`d`$, $`f(z)=T_d(z)=\mathrm{cos}(d\mathrm{arccos}(z))`$. The Julia set is the interval $`J(f)=[1,1]`$. The map $`\varphi :`$ given by $`\varphi (z)=\frac{1}{2}(z+z^1)`$ is a semi-conjugacy from $`g:zz^d`$ onto $`zf(z)`$, in other words, $`f(\varphi (z))=\varphi (z^d)`$. Write $`\psi `$ for the branch of the inverse of $`\varphi `$ defined on $`\{z|z|>1\}`$. The canonical morphic height at the infinite place is (for $`qJ(f)`$)

$`\lambda _{\varphi ,\mathrm{}}(q)`$ $`=`$ $`\underset{n\mathrm{}}{lim}{\displaystyle \frac{1}{d^n}}\mathrm{log}^+|f^{(n)}(q)|`$
$`=`$ $`\underset{n\mathrm{}}{lim}{\displaystyle \frac{1}{d^n}}\mathrm{log}^+|\varphi g^{(n)}\psi (q)|`$
$`=`$ $`\underset{n\mathrm{}}{lim}{\displaystyle \frac{1}{d^n}}\mathrm{log}^+|{\displaystyle \frac{1}{2}}\left(g^{(n)}\psi (q)+{\displaystyle \frac{1}{g^{(n)}\psi (q)}}\right)|`$
$`=`$ $`\underset{n\mathrm{}}{lim}\mathrm{max}\{0,{\displaystyle \frac{1}{d^n}}\mathrm{log}|g^{(n)}\psi (q)|\}`$
$`=`$ $`\mathrm{log}^+|\psi (q)|.`$
For $`qJ(f)`$, the same formula holds since $`\lambda _{\varphi ,\mathrm{}}(q)=0`$ there by  and $`\mathrm{log}^+|\psi (q)|=0`$ there by a direct calculation.

Now by Jensen’s formula, for any $`q`$,

$`\mathrm{log}^+|\psi (q)|`$ $`=`$ $`\mathrm{log}2+{\displaystyle _{𝕊^1}}|\varphi (y)q|\text{d}y`$
$`=`$ $`\mathrm{log}2+{\displaystyle _{J(f)}}\mathrm{log}|tq|\text{d}m(t)`$
since $`m`$ is the image under $`\varphi `$ of the maximal measure (Lebesgue) on the circle. That is,

(10)
$$\lambda _{\varphi ,\mathrm{}}(q)=\mathrm{log}2+_{J(f)}\mathrm{log}|tq|\text{d}m(t).$$

The constant $`\mathrm{log}2`$ in $`\lambda _{\mathrm{}}(q)`$ may be explained in accordance with Theorem 2.1. The leading coefficient of $`T_d`$ is $`2^{d1}`$, so $`\frac{1}{d1}\mathrm{log}|a|`$ in this case is exactly $`\mathrm{log}2`$.

A similar approach can be adopted in the case of polynomials with connected Julia sets. There the local conjugacy near $`\mathrm{}`$ extends to the whole domain of attraction of $`\mathrm{}`$, which is the complement of the filled Julia set.

###### Example 4.2.

As before, let $`f(x)=T_d(x)=\mathrm{cos}(d\mathrm{arccos}(x))`$ be the Tchebycheff polynomial of degree $`d`$ and let $`\varphi `$ be the corresponding morphism. We would like to use Theorem 3.1, but $`f`$ does not satisfy the assumptions since it is not monic.

Let $`g(x)=2f(\frac{x}{2})`$. Notice that $`f`$ is defined uniquely by the property $`f(\frac{1}{2}(z+z^1))=\frac{1}{2}(z^d+z^d)`$. It follows that $`g`$ is characterized by the property $`g(z+z^1)=(z^d+z^d)`$, which shows that $`g[x]`$ is a monic polynomial. Let $`\psi `$ be the morphism defined by $`g`$, then by Theorem 3.1 we have for $`q_p`$

(11)
$$\lambda _{\psi ,p}(q)=\mathrm{log}^+|q|=\underset{n\mathrm{}}{lim}\frac{1}{d^n}\underset{\xi q:g^{(n)}(\xi )=\xi }{}\mathrm{log}|\xi q|.$$

Since $`g(x)=2f(\frac{x}{2})`$, we have that $`\lambda _{\varphi ,p}(q)=\lambda _{\psi ,p}(2q)`$ and on the right hand side of (11) that $`f^{(n)}(\xi )=\xi `$ if and only if $`g^{(n)}(2\xi )=2\xi `$. Therefore

$$\lambda _{\varphi ,p}(q)=\mathrm{log}^+|2q|=\mathrm{log}|2|+\underset{n\mathrm{}}{lim}\frac{1}{d^n}\underset{\xi q:f^{(n)}(\xi )=\xi }{}\mathrm{log}|\xi q|,$$

which is again analogous to Equation (10) in Example 4.1.

Example 4.2 works because the Tchebycheff polynomial can be conjugated to a polynomial of good reduction; a similar approach can be adopted for any polynomial that is conjugate to one of good reduction.


text:
# New Limits on the Polarized Anisotropy of the Cosmic Microwave Background at Subdegree Angular Scales

## 1 INTRODUCTION

The current limits on cosmic microwave background (CMB) polarization restrict the amplitude of its fluctuations to less than $`10\mu `$K at 95% CL. At large angular scales, Keating et al. (2001) limit the amplitude to $`8\mu `$K. At subdegree angular scales, the constraint from Hedman et al. (2001, hereafter H01) is $`10\mu `$K, while at arcminute scales, Subrahmanyan et al. (2000) set a limit of $`10\mu `$K. Present estimates of the peak polarized fluctuation amplitude are $`6\mu `$K at an angular scale of $`0\stackrel{}{\mathrm{.}}2`$ ($`\mathrm{}950`$). These estimates are based on parameters gleaned from CMB temperature anisotropy measurements (e.g. Pryke et al. 2002; Jaffe et al. 2001; Wang, Tegmark, & Zaldarriaga 2001). While CMB polarization has yet to be detected, its characterization will complement CMB temperature anisotropy data and impact our understanding of: gravitational waves from the inflationary epoch (e.g. Turner 1997, Caldwell, Kamionkowski, & Wadley 1999); peculiar velocities at the surface of last scattering (Zaldarriaga & Harari, 1995); the nature of primordial perturbations (e.g. Spergel & Zaldarriaga 1997); primordial magnetic fields (Kosowsky & Loeb, 1996); and cosmological parity violation (Lue, Wang, & Kamionkowski 1999). Here, we report improved limits derived from new data from the 2001 observing season of the Princeton IQU Experiment (PIQUE) at 90 GHz. We combine the new data with data from the first observing season, and also present a reanalysis of those earlier data. These data pass extensive checks for systematic contamination. Future publications will report results from a 40 GHz polarimeter also deployed during the 2001 observing season, and give details of the instrument.

## 2 INSTRUMENT, OBSERVATIONS AND CALIBRATION

PIQUE has been described previously (H01). The results reported here are from PIQUE’s broadband 90 GHz correlation polarimeter, which underilluminates a 1.2 m off-axis parabola (Wollack et al., 1997), resulting in a beamsize of $`0\stackrel{}{\mathrm{.}}235`$. The 84-100 GHz bandpass is divided into three subbands called S0, S1, and S2 (H01). Observations are made of a ring of radius $`1^{}`$ around the NCP; the telescope site is Princeton, NJ.

The polarimeter observed the sky from 2000 January 19 to 2000 April 2 and from 2000 December 19 to 2001 February 28. These two observing seasons yielded 810 hrs and 660 hrs of raw data, respectively.

The scanning strategy is designed to permit null tests for checking sensitivity to systematics. During both observing seasons, the telescope alternated between two azimuth positions at fixed elevation. Data from the two positions are differenced to remove sensitivity to DC offsets. For the first season these azimuth positions were $`\pm 0\stackrel{}{\mathrm{.}}93`$, and the elevation was $`41\stackrel{}{\mathrm{.}}0`$. The telescope therefore measured $`Q`$ (as defined by the IAU) for two regions separated by six hours in right ascension (RA) on the ring of declination $`89^{}`$. For the second season the azimuth positions were $`\pm 1\stackrel{}{\mathrm{.}}31`$, with elevation $`40\stackrel{}{\mathrm{.}}3`$, so the telescope measured $`+U`$ for two regions separated by twelve hours in RA on the same ring. The azimuth chop period was 13 seconds until 2001 January 23, at which point it was doubled.

The polarimetry channels are calibrated to 10% using a nutating aluminum flat (H01, Staggs et al. 2002). Constant elevation scans of Jupiter are used to determine pointing accuracy and map the beams. For the second observing season the measured beam FWHM are $`0\stackrel{}{\mathrm{.}}235(7)`$ in co-elevation and $`0\stackrel{}{\mathrm{.}}233(7)`$ in elevation, in agreement with measurements from the first season. The absolute pointing offsets in elevation are smaller than $`0\stackrel{}{\mathrm{.}}03`$. However, early in the second observing season, the encoder suffered a misalignment so that the azimuth offset increased from $`+0\stackrel{}{\mathrm{.}}03`$ to $`+0\stackrel{}{\mathrm{.}}08`$. (No concomitant change in beamshape was observed.) Note that we are able to neglect this in the analysis because the overlap between the ideal and misaligned beams is still 85%. In fact, simulations indicate the misalignment has less than a $`2\%`$ effect on our derived limit.

## 3 DATA REDUCTION

The 1470 hours of data from the two observing seasons include: 383 hours of data taken while the telescope was slewing between the desired scan positions, 339 hours of data corrupted by known electromechanical failures, and 59 hours of data in isolated fragments less than 12 hours in length. The remaining 685 hours of data contain 186 hours of data corrupted by meteorological phenomena (clouds), which are identified using the selection criteria described below.

As discussed in H01, the correlation polarimeter suffers a small sensitivity ($`0.5`$%) to total power because signals reflected from the input of the amplifier in one arm can couple into the other arm through the orthomode transducer. Therefore, the distributions of correlation coefficients

$$𝒞_N=\frac{<S_iS_j>}{<S_i^2><S_j^2>}$$
(1)
between pairs of polarimetry channels $`(i,j)`$ display large positive tails due to periods of rapid atmospheric fluctuations. Data corrupted by clouds are removed by requiring the coefficients to be less than certain thresholds. Such selection criteria are determined based upon a data set designed to be insensitive to real astronomical polarized signals: the quadrature data (for which data from each scan position are split into halves and differenced). The $`𝒞_N`$ are generated as averages over $`N`$ chops; varying $`N`$ varies the time scale probed. For purely Gaussian noise, the shapes of the resulting distributions of $`𝒞_N`$ for the whole data set depend only on $`N`$. In order to avoid using additional cutting measures (such as the 6-hr null test used in H01), the $`𝒞_N`$-selection technique has been refined from that used for H01. Here, two time scales are used rather than one. First we calculate the average correlation coefficients for segments of the time series 40-70 minutes long (specifically, $`N=200`$). Segments with coefficients larger than a threshold of 0.20 are removed. Next, coefficients are calculated for $`N=50`$, for which the cut threshold is 0.32. These thresholds are at $`2.5\sigma `$ and $`2\sigma `$, and are chosen so that either cut alone removes $`20`$% of the data. The combined cuts remove $`27`$% of the data. Null test results are not sensitive to the exact values for the thresholds.

The 307(192) hours of data surviving the cuts detailed above from the first(second) observing season are parsed into 144 bins based on the Local Sidereal Time (LST) when the data were taken, following the same procedures outlined in H01. These data are plotted in Figure 1. Offsets on the order of a few hundred $`\mu `$K are removed from each polarimetry channel for each “deployment” (a period of $`>12`$ hours bracketed by periods when the instrument was tarped). The results are not sensitive to the exact number of offsets removed. Table 1 presents the results of the null tests described in H01, using the new selection criteria. The $`\chi ^2`$ distribution of these null tests is consistent with noise, demonstrating that the data do not suffer from residual atmospheric contamination.

## 4 DATA ANALYSIS

The likelihood of a model given a data vector $`𝐱`$ is $`\mathrm{exp}(𝐱^T𝐂^1𝐱/2)/|𝐂|^{1/2}`$, where the covariance matrix $`𝐂`$ sums both theoretical correlations from the model (signal) and correlations specific to the experiment (noise): $`𝐂=𝐒+𝐍`$. The analysis of the combined 2000-2001 data uses $`𝐱`$ with 864 elements comprising 144 spatial pixels measured in three different frequency bands over the course of two observing seasons. The noise matrix $`𝐍`$ encodes the variances for each pixel for each channel and also accounts for interchannel correlations from both atmospheric fluctuations weakly coupled into the polarimeter channels and correlated gain fluctuations in the cryogenic amplifiers. The interchannel correlation coefficients are $`8`$% on average, and smaller for the two most sensitive channels. (S2 has just $`20`$% of the total weight.) The noise matrix does not include pixel-pixel correlations, since no such correlations are observed in the time series data. An independent analysis using a 288-element data vector, for which data from the three frequency channels are combined for each spatial pixel, with errors calculated to account for the interchannel correlations, yields consistent results.

Since PIQUE measured $`Q`$ in 2000 and $`U`$ in 2001, the signal covariance matrix takes the form:

$$𝐒=\left(\begin{array}{cc}\stackrel{~}{Q}\stackrel{~}{Q}& \stackrel{~}{Q}\stackrel{~}{U}\\ \stackrel{~}{Q}\stackrel{~}{U}& \stackrel{~}{U}\stackrel{~}{U}\end{array}\right)$$
(2)
where $`\stackrel{~}{Q}_i\stackrel{~}{Q}_j`$ (or $`\stackrel{~}{U}_i\stackrel{~}{U}_j`$) represents the theoretical correlation between two spatial pixels from the 2000 (or 2001) data set, and $`\stackrel{~}{Q}_i\stackrel{~}{U}_j`$ encodes correlations between pixels from different years. Note that the $`\stackrel{~}{Q}`$ are sums of Q separated by six hours in RA and the $`\stackrel{~}{U}`$ are differences of U separated by 12 hours in RA. The expression for $`\stackrel{~}{Q}_i\stackrel{~}{Q}_j`$ is given in H01. Following Zaldarriaga (1998), the expression for $`\stackrel{~}{Q}_i\stackrel{~}{U}_j`$ is given in terms of the E- and B-mode angular power spectra $`C_{\mathrm{}}^E`$ and $`C_{\mathrm{}}^B`$ by

$$\stackrel{~}{Q}_i\stackrel{~}{U}_j=\underset{\mathrm{}m}{}\frac{(2\mathrm{}+1)}{4\pi }[C_{\mathrm{}}^E+C_{\mathrm{}}^B]W_{12,\mathrm{}}(\varphi _{ij}),$$
(3)
where $`\varphi _{ij}=\mathrm{cos}^1(\widehat{n}_i\widehat{n}_j)`$ is the lag. The window function $`W_{12,\mathrm{}}`$ has the form:

$$W_{12,\mathrm{}}=\underset{m}{}(B_{lm}^{QU})^2F_{1,\mathrm{}m}F_{2,\mathrm{}m}\mathrm{cos}(m\varphi _{ij}),$$
(4)
where the $`F_{\{1,2\},lm}`$ are given in terms of associated Legendre polynomials evaluated at the ring radius $`\theta =1^{}`$. Here, the beam function is:

$$(B_\mathrm{}m^{QU})^2=4\mathrm{sin}\left(\frac{m\pi }{2}\right)\mathrm{cos}\left(\frac{m\pi }{4}\right)\frac{\mathrm{sin}^2(m\pi /144)}{(m\pi /144)^2}e^{\mathrm{}(\mathrm{}+1)\sigma ^2},$$
(5)
where $`\sigma =0\stackrel{}{\mathrm{.}}10`$ for the PIQUE beams. Similarly, the expression for $`\stackrel{~}{U}_i\stackrel{~}{U}_j`$ is:

$$\stackrel{~}{U}_i\stackrel{~}{U}_j=\underset{\mathrm{}}{}\frac{(2\mathrm{}+1)}{4\pi }[C_{\mathrm{}}^EW_{2,\mathrm{}}(\varphi _{ij})+C_{\mathrm{}}^BW_{1,\mathrm{}}(\varphi _{ij})],$$
(6)
where the $`W_{1,\mathrm{}}`$ and $`W_{2,\mathrm{}}`$ are the associated window functions given in H01. In this case, the beam function is given by

$$(B_{lm}^{UU})^2=(B_{lm}^{QU})^2\frac{\mathrm{sin}(m\pi /2)}{\mathrm{cos}(m\pi /4)}.$$
(7)
This formalism allows for combination of the two data sets; however, separate analyses of the $`\stackrel{~}{Q}`$ data and the $`\stackrel{~}{U}`$ data are also presented. We plot the zero-lag window functions in Figure 2.

The likelihood analysis proceeds by considering flat angular spectra, such that $`\mathrm{}(\mathrm{}+1)C_{\mathrm{}}^X/2\pi =T_X^2`$, where $`X=E,B`$. Since the amplitude of $`C_{\mathrm{}}^B`$ is predicted to be much smaller than that of $`C_{\mathrm{}}^E`$, we first find the limit $`\stackrel{~}{T}_E`$ on $`T_E`$ under the assumption $`T_B`$ is identically zero111The limit $`\stackrel{~}{T}_E`$ is found by integrating $`(T_E,0)`$; the result is $`30`$% higher if $`(T_E^2,0)`$ is integrated.. This limit is compared to predictions in Figure 2. Next, joint upper limits $`(\widehat{T}_E,\widehat{T}_B)`$ are determined by finding the constant contour of $`(T_E,T_B)`$ enclosing 95% of the volume of $``$. This is repeated for each year separately and for the combination of the two years. The 95% confidence level (CL) upper limits are shown in Table 2 and the normalized likelihoods are shown in Figure 3. The null data sets are treated in an identical manner; results are tabulated in Table 2 and plotted in Figure 3. The limits in Table 2 do not include calibration errors. Note that for PIQUE’s broad window functions, the 5% beam errors only add 2% errors in quadrature with the 10% calibration errors.

## 5 DISCUSSION

The main result here is a new constraint on the amount of polarized anisotropy in the CMB at sub-degree angular scales. The result derives from combining data on Q from our first campaign with U from our second; in so doing, important information on the Q-U cross-correlation is included. We have summarized this result as a 95% CL limit of $`8.4\mu `$K on E-modes. Given PIQUE’s window functions and current theoretical predictions (Figure 3), we might expect a signal of a few $`\mu `$K. The likelihood for our CMB data (Figure 3, bottom panel) is consistent with this expectation. When we fit to an offset lognormal distribution (Bond, Jaffe, & Knox 2000), we find a central value of $`2.2\mu \text{K}^2`$, a variance of $`(16\mu \text{K}^2)^2`$ and a noise-related offset of $`18\mu \text{K}^2`$.

The results presented here have been checked with two independent likelihood analyses and supported by extensive simulations. Our new selection criteria, as described above: are better able to deal with instrumental effects on different time scales; allow us to discard the 6-hr null test criterion we previously used; and work for both data sets together. However, applying the new criteria just to year 2000 data, we find a weaker 95% CL limit on polarized CMB anisotropy than in H01: 12.6 $`\mu `$K rather than 10.3 $`\mu `$K.

We have performed a variety of simulations to address the probability of such a change. Recall that our result for the year 2000 data was essentially unchanged by relaxing the null test cut and allowing in 80 extra hours of data, for a total of 330 hours. For these simulations, we start with roughly a 330 hour data set which is pure noise, generated assuming the actual weights for each period of the data set. We then investigate how cutting the data can change the derived limit. From this we find that although a) the probability of the limit not worsening when 330 hours is reduced to 250 hours is only about 1%, b) a $`10\mu `$K error from 330 hours of data is within one standard deviation of what is expected from pure noise (given our experimental weights); and c) the expected change in the limit from removing chunks of the data to get to 300 hours of data, (our final sample for year 2000), is about $`+1.1\mu `$K with a standard deviation of about $`1.6\mu `$K. Thus our observed change is again within one standard deviation of what is expected.

We thus conclude that fluctuations alone can account for the change in the limit derived from the year 2000 data under different selection criteria. This is so even though the former cut on the null test, which we have shown is not needed, was probably too restrictive.

The expected signal, even including foregrounds, is still smaller than our new limit. Given the multipole range probed by PIQUE, this result provides the tightest constraint yet on the polariation spectrum predicted from primordial density fluctuations.

We thank Norman Jarosik, Lyman Page, and David Wilkinson for helpful discussions and Al Dietrich for mechanical contributions. We are grateful to Sami Amasha and Liam Fitzpatrick for assistance with programming. We also thank Marian Pospieszalski and the NRAO for supplying the HEMT amplifers. Data (including the correlation matrix and likelihood functions) will be made public upon publication of this Letter. This work was supported by a NIST precision measurement grant #NANB8D0061, by NSF grants #PHY96-00015, #PHY99-84440, #PHY-0114422, and by a Sloan Fellowship (to STS).


text:
# 1-Dimensional behavior and sliding Luttinger liquid phase in a frustrated spin-1/2 crossed chain model: contribution of exact diagonalizations.

## I INTRODUCTION

Among the family of frustrated two dimensional spin-1/2 antiferromagnetic (AF) models, a crossed chain model (CCM), which may also be viewed as an extension of the checkerboard antiferromagnet, has recently attracted interest in two distinct ranges of parameter. The CCM Hamiltonian reads:

$$=J_1\underset{<i,j>}{}𝐒_i.𝐒_j+J_2\underset{<<i,j>>}{}𝐒_i.𝐒_j$$
(1)
where the exchange $`J_1`$ couple nearest-neighbor pairs $`<i,j>`$ of spins on a square lattice and exchange $`J_2`$ next-nearest-neighbor pairs $`<<i,j>>`$ on a checkerboard pattern of plaquettes as shown in Fig. 1. Alternatively, $`J_2`$ may be viewed as the intra-chain exchange between spins on the diagonal chains and $`J_1`$ as the coupling constant between these crossed chains. Both $`J_1`$ and $`J_2`$ are assumed positive, describing AF couplings. This model interpolates between the AF Heisenberg model on the square lattice for $`J_2=0`$ and decoupled AF Heisenberg chains for $`J_1=0`$. When $`J_1=J_2`$, one has the checkerboard antiferromagnet which is a 2d analog of the pyrochlore antiferromagnet.

The physics of the spin-1/2 model is well established at three points. For $`J_2=0`$ it has collinear Néel long range order (LRO) with gapless $`\mathrm{\Delta }S^z=1`$ elementary excitations (magnons). At $`J_2=J_1`$ it is a valence bond crystal (VBC) with LRO in singlet plaquettes ; its elementary excitations are gapped and carry integer spins . When $`J_2/J_1=\mathrm{}`$, one has the physics of decoupled AF Heisenberg chains, their elementary excitations are gapless spin-1/2 deconfined spinons.

Recently, motivated by experimental results on
$`Cs_2CuCl_4`$  and $`Na_2Ti_2Sb_2O`$ , Starykh, Singh and Levine (SSL) have investigated the CCM in the limit $`J_2/J_11`$ where it describes ”weakly” coupled chains . They concluded that, the chains behave then as quasi-decoupled, realizing a $`SU(2)`$ ”sliding Luttinger phase” . Usually the 1d AF Heisenberg behavior is unstable to non frustrating 2d couplings giving rise to Néel LRO or VBC LRO. SSL argue that in the CCM the 1d behavior should survive for finite non negligible $`J_1/J_2`$ due to the frustrating nature of the transverse coupling. Since the pioneering works of Majumdar-Gosh and Haldane, many ladder models have been studied giving birth to various 1d behaviors. The case of the spatially anisotropic couplings of the triangular lattice typical of $`Cs_2CuCl_4`$, appears in some aspects rather exceptional with non negligible transverse couplings and nevertheless an effective 1d behavior with a continuum of gapless excitations looking very much like Fadeev spinons .

The first purpose of this paper is to investigate SSL prediction using exact diagonalizations (ED) and try to figure out the possible extension of the quasi-1d regime with decreasing $`J_2/J_1`$. The second purpose will be to study the range of stability of the VBC phase around $`J_2/J_1=1`$. We shall also address a new suggestion of Sachdev and Park  on the possible coexistence of phases with two different order parameters between the pure VBC and Néel phases.

## II Results

The ED calculations have been carried out on $`N=16,32,36`$ samples which display all the symmetries of the infinite lattice, using periodic boundary conditions as described in . Additional calculations using twisted boundary conditions were also performed on the $`N=16`$ sample ( specifically for $`J_2/J_1>1`$) which indicated that the lowest ground-state energies are obtained for periodic boundary conditions: it might be inferred from these results that incommensurate phases are unlikely in the absence of a magnetic field .

The general evolutions, as a function of $`J_2`$ ($`J_1=1`$), of the ground-state energies per spin $`E/N`$ and the spin gaps $`\mathrm{\Delta }`$ are displayed in Figs. 2, 3 and 4. As shown in Fig. 2 the point of ”maximum frustration” where $`E/N`$ has its maximum, is reached for $`J_2/J_1`$ slightly smaller than one, close to the checkerboard point. On might notice that the finite size evolutions between N=32 and N=36 are hardly visible on the scale of these figures for $`J_2/J_1<1`$ but are dramatic for $`J_2/J_1>1`$. We will show below that this last behavior is related to the quasi- 1-dimensional behavior of the model in this range of parameter.

### A  Quasi 1d behavior

ED results show a large extension of 1d behavior from $`J_2/J_1=\mathrm{}`$ down to $`J_2/J_1=1.5`$ and probably below.

First, Fig. 4 shows that $`E/N`$ is quite close to the energy values of decoupled chains of same length for $`J_2/J_11.10`$. Comparison of results for N=16 and N=32 shows that increasing the number of chains pushes the energy per spin toward the value of uncoupled chains (Note that the N=16 sample has $`2\times 2`$ chains of length 4, the N=32 sample has $`2\times 4`$ chains of length 4, whereas the N=36 sample has $`2\times 3`$ chains of length 6). Pointing to the same conclusion, the spin gap (Fig. 3) shows dramatic finite size effects between N=32 and N=36 for $`J_2/J_11.10`$.

Second, 1d behavior down to at least $`J_2/J_1=1.5`$ is supported by spin-spin correlations:

$$s(ij)=<𝐒_i.𝐒_j>$$
(2)
and dimer-dimer correlations patterns:

$$D(ij;kl)=<𝐒_i.𝐒_j𝐒_k.𝐒_l><𝐒_i.𝐒_j><𝐒_k.𝐒_l>.$$
(3)
Values of $`s(ij)`$ computed in the ground-state of the $`N=36`$ sample at $`J_2/J_1=1.5`$ are displayed in Table I.

They are largest and decrease slowly on a line of diagonal bonds and are quite small if sites $`i`$ and $`j`$ belong to different chains, even if $`i`$ and $`j`$ are first neighbors. Spins on parallel chains are less correlated than those on orthogonal chains which may be understood in a perturbative approach: coupling between orthogonal chains involves one ”$`J_1`$” term instead of two for parallel chains.

The behavior of the dimer-dimer correlations is identical ( Table II and Fig. 5). $`D(ij;kl)`$ values between the pair ($`i,j`$) on a diagonal bond and pairs $`(k,l)`$ are also largest if $`(i,j)`$ and $`(k,l)`$ are on the same chain. They decrease by an order of magnitude on nearby regions of crossed chains and by two orders of magnitude on parallel chains.

Third, the evolution of the spin-gap $`\mathrm{\Delta }`$ with increasing size, is not inconsistent with a vanishing value for $`N\mathrm{}`$, at least down to $`J_2/J_1=1.5`$. In Fig. 6 we display the values of $`\mathrm{\Delta }/J_2`$ vs $`1/L`$ for $`N=16,32`$ ($`L=4`$), $`N=36`$ ($`L=6`$) and compare them with the spin-gaps of the AF Heisenberg chain. At $`J_2/J_1=5`$ the values of $`\mathrm{\Delta }/J_2`$ (not shown) would be indistinguishable from the Heisenberg chain values and only slightly deviate from the latter down to $`J_2/J_1=1.5`$. The extrapolation for $`L\mathrm{}`$ at $`J_2/J_1=1.5`$ is problematic due to system sizes: nevertheless a linear extrapolation of the two sets of data for $`N=32`$ and $`N=36`$ points to a zero gap: looking to the sign of the deviation from the 1/L asymptotic limit (which is negative) one is indulged to conclude that the system is still gapless in the thermodynamic limit for $`J_2/J_1=1.5`$. This could even hold at $`J_2/J_1=1.25`$, but the extrapolation is then more uncertain with present sizes.

Fourth, a lengthy but straightforward calculation shows that the quantum numbers of the ground-state and first excitations of the CCM model for $`J_2/J_1=5`$ (Table III) are directly related to the quantum numbers of the ground-state and first excitations of chains of length $`L=4`$ or 6 (respectively for the $`N=32`$ and 36 samples). The effect of the transverse inter-chain coupling may be considered in a first approach as a minor quantitative effect. The lowest S=1 excitations consist of a set of 4 (N=16), 8 (N=32), respectively 6 (N=36) quasi degenerate states. Their parentage to the first excitation (labelled a in Table III) of the unique chain can be exactly traced back. Their wave vectors are vectors of the side of the square Brillouin zone (points $`k_5`$ and M of the Brillouin zone in Fig. 1 for $`N=36`$) . Appropriate superpositions of these quasi degenerate states create S=1 excitations which are essentially localized on one given chain!

The quasi degenerate states with total energy $`7778`$ in Fig. 7 are associated to the creation of excitations with 2 “a-quanta” on different chains (levels 2a in Table III). This process gives birth to states with total spin $`S=0,\mathrm{\hspace{0.17em}1},\mathrm{\hspace{0.17em}2}`$. Endly we should notice that the linear increase with S of the lowest eigen-states in each spin sector is a last proof that one can add to the system up to 3 excitations of spin 1 (Fig. 7) which are essentially identical and have extremely weak interactions.

Decreasing the ratio $`J_2/J_1`$, the spectra testify of stronger interactions between multi-spinons excitations. In particular, a new feature does appear: a splitting of the singlet 2a excitations with a downward shift in energy of some of them which reach the level of the 1a-excitations at $`J_2/J_1=1.5`$ (Table III, Fig. 8 and Fig. 9). One can see in Fig. 9b this set of singlet states with excitation energy $`\mathrm{\Delta }E0.6J_2`$ well separated from the other singlets. This is a new feature if we compare it to Fig. 9c for $`J_2/J_1=5`$, where the spectrum is merely that of uncoupled chains. But it is by no means related to the physics of the neighboring VBC phase as can be seen by comparing this spectrum with the VBC spectrum on the same sample Fig. 9a. As explained above the 1a-excitations can be described as purely ”unidimensional”, but these 2a-levels are excitations which cannot be localized on a single chain. The large energy gained with inter-chain coupling suggest some interrelation between chains. Yet the spin-spin and dimer-dimer correlations in these excitations are still strongly anisotropic as could be seen in Tables IVV and Fig. 10. Note that the 2a-excitations occur at wave vectors which can be obtained by combining wave vectors of the 1a-excitations on the sides of the Brillouin zone. In the thermodynamic limit the 2a excitations are expected to cover densely the Brillouin zone. We conjecture that the appearance of these excitations could be the precursor of a collective mode supposed to exist in a crossed sliding Luttinger liquid .

All these results (spectra, correlations, scaling of the spin gap) indicate a 1d behavior which extend down to $`J_2/J_1=1.5`$, i.e. well beyond the weak coupling limit investigated by (SSL). The 2-dimensional S=0 excitation mode singled out for $`J_2/J_1=1.5`$ on the N=36 sample may be an illustration of the collective mode of the “ crossed sliding Luttinger liquid”: it is highly anisotropic as could be expected. Its detailed properties should nevertheless be taken with some care due to the numerous constraints associated with periodic boundary conditions on these small samples.

The precise location of the lower limit of quasi 1d behavior is clearly out of reach of exact ED calculations. Nevertheless major modifications of the spectra when $`J_2/J_1`$ varies are a good qualitative indication of this transition.

At the isotropic point $`J_2/J_1=1`$ the ground-state is a VBC with LRO in 4-spin S=0 plaquettes: this phase does not break $`SU(2)`$ symmetry (it has a spin gap), but breaks the space symmetry of the lattice. This last feature manifests itself by the existence of a very low lying $`S=0`$ excited state which collapses to the ground-state in the thermodynamic limit. The absolute ground-state belong to the trivial irreducible representation of the space group (wave vector $`k=(0,0)`$, even in all operations of $`C_{4v}`$) and the first excited S=0 state, which embodies the VBC symmetry breaking is a state with wave-vector $`(\pi ,\pi )`$, odd under a $`\pi /2`$ rotation around O (These two states form the doublet called $`_{VBC}`$ in the following). When $`J_2/J_1`$ increases beyond 1, the first manifestation of the instability of the VBC phase appears in the modification of the symmetries of these low lying singlets, which is concomitant with the appearance of quasi 1-dimensional excitations in the S=1 sector: these two manifestations appear as soon as $`J_2/J_1=1.05`$ (resp 1.10) for $`N=32`$ (resp 36). The transition shift to larger $`J_2/J_1`$ values with increasing sizes. Its location in the thermodynamic limit is difficult with present sizes. At $`J_2/J_1=1.5`$, as seen above, all characteristics (spectra and correlations functions) point to a sliding Luttinger liquid. At $`J_2/J_1=1.25`$, the scaling of the spin-gap (and the spectra) also suggest this behavior. The transition might occurs just below this point.

### B Coexistence of Néel LRO and VBC order

We now turn to the investigation of the extension of the Néel and the VBC phases and the question of their possible coexistence.

As discussed in  the simplest way to monitor the extension of Néel LRO is to search for the so-called quasi degenerated joint states (QDJS) which allow to break $`SU(2)`$ and lattice space symmetry in the thermodynamic limit. This is a set of low lying states appearing in each total spin sector $`S`$ up to $`S\sqrt{N}`$, belonging to specific IRs of the space group, which collapse into a degenerate ground-state as $`1/N`$ for $`N\mathrm{}`$ and evolve as $`S(S+1)`$ with $`S`$. For collinear Néel LRO there is one QDJS for every $`S`$. Presently these states belong to the trivial IR of the space group for $`S`$ even and to the $`k=(0,0)`$ IR, even under a mirror symmetry and odd under a $`\pi /2`$ rotation representation, when S is odd. In a plot of the spectrum vs $`S(S+1)`$ the QDJS form a line well separated from the macroscopic excitations (magnons) which only collapse as $`1/\sqrt{N}`$ as shown in Fig. 11 for $`J_2=0`$. The $`1/N`$ collapse of the QDJS implies that the spin-gap $`\mathrm{\Delta }`$ also closes as $`1/N`$.

On the other hand the beginning of the plaquette phase may be estimated by the appearance of the quasi degenerate S=0 doublet ($`_{VBC}`$) sketched in the previous subsection.

The destruction of the QDJS and the appearance of $`_{VBC}`$ are not necessarily simultaneous. Both the Néel and the VBC phase may in principle co-exist in a gapless phase. In a recent paper Sachdev and Park , following earlier investigations in Ref , have suggested that the destabilization of collinear Néel LRO by 2th order transition into a VBC phase must generically occur within such a coexistence region.

Linear spin-wave calculations  predict that Néel LRO survive quantum fluctuations till $`J_2/J_10.75`$. Up to this value the characteristic features of Néel LRO are rather well observed in the spectra and in the evolution of $`\mathrm{\Delta }`$ and $`E/N`$ with $`N`$. Well below $`J_2/J_1=0.75`$, however, one may notice a slight curvature of the line of QDJS and there is small irregularity in the evolution of $`\mathrm{\Delta }`$ and $`E/N`$ with $`N`$: $`\mathrm{\Delta }`$ is slightly larger and $`E/N`$ slightly lower for $`N=36`$ than for $`N=32`$ as might be seen in Fig. 3 and Fig. 2. Nevertheless $`\mathrm{\Delta }`$ seems to extrapolate rather well to zero at $`N\mathrm{}`$ at $`J_2/J_1=0.65`$. And for $`J_2/J_1=0.75`$ the $`1/N`$ extrapolation of the $`N=16,32,36`$ values of $`\mathrm{\Delta }`$ point to a spin-gap at most very small, $`0.06`$, a value of the order of the corrections to the asymptotic regime which are expected to be large and negative as we approach the boundary of the Néel phase . So the Néel phase might persist up to this point. On the other hand, up to $`J_2/J_1=0.75`$, the separation of the two $`_{VBC}`$ states appears likely to remain finite as $`N\mathrm{}`$. Thus the VBC phase is not reached.

By contrast results at $`J_2/J_1=0.85`$ point to a finite spin gap and a degeneracy of the two states of $`_{VBC}`$ which remain separated from the other singlet states for $`N\mathrm{}`$ (Fig. 12).

These results lead to conclude to a transition between the two phases close to $`J_2/J_10.75`$ in agreement with the spin-waves result and that a coexistence region of the two phases either occurs at most in a very small range or is absent.

## III Summary

Exact diagonalization have allowed to characterize three phases of the CCM: the $`(\pi ,\pi )`$ Néel phase at small diagonal couplings, 4-spin S=0 plaquette VBC at the isotropic point, and sliding Luttinger liquid for $`J_2/J_11.25`$. The transition between the Néel phase and the VBC phase occurs at $`J_2/J_10.75`$. No evidence of a coexistence region predicted by Sachdev and Park  is found. The CCM exhibits 1d behavior for a large range of parameters ($`J_2/J_1`$ greater than $`1.25`$) where the transverse coupling between the chains is of the order of the intra-chain coupling. This 1d behavior is likely to be truly realizing the $`SU(2)`$ ”Luttinger sliding phase” with deconfined spinons predicted by Starykh, Singh and Levine .

Acknowledgments: We acknowledge fruitful discussions with B. Canals, C. Lacroix, P. Lecheminant, O. Starykh, R.R.P. Singh and A. Vishwanath. Computations were performed at The Centre de Calcul pour la Recherche de l’Université Pierre et Marie Curie and at the Institut de développement des Recherches en Informatique Scientifique du CNRS under contract 990076.