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# A note on arithmetic topology and dynamical systems Dedicated to Alexei Nikolaevich Parshin

## 1 Introduction

In the sixties Mazur and Manin pointed out intriguing analogies between prime ideals in number rings and knots in $`3`$-manifolds. Let us recall some of the relevant ideas.

In many respects the spectrum of a finite field $`𝔽_q`$ behaves like a topological circle. For example its étale cohomology with $`_l`$-coefficients for $`lq`$ is isomorphic to $`_l`$ in degrees $`0`$ and $`1`$ and it vanishes in higher degrees.

Artin and Verdier \[AV\] have defined an étale topology on $`\overline{\mathrm{spec}}=\mathrm{spec}\{\mathrm{}\}`$. In this topology $`\overline{\mathrm{spec}}`$ has cohomological dimension three, up to $`2`$-torsion.

The product formula

$$\underset{p\mathrm{}}{}|a|_p=1\text{for}a^{},$$

allows one to view $`\overline{\mathrm{spec}}`$ as a compact space: Namely in the function field case the analogue of the product formula is equivalent to the formula

$$\underset{x}{}\mathrm{ord}_xf=0$$

on a proper curve $`X_0/𝔽_q`$. Here $`x`$ runs over the closed points of $`X_0`$ and $`f𝔽_q(X_0)^{}`$.

By a theorem of Minkowski there are no non-trivial extensions of $``$ unramified at all places $`p\mathrm{}`$. Thus

$$\widehat{\pi }_1(\overline{\mathrm{spec}})=0.$$

Hence, by analogy with the Poincaré conjecture, Mazur suggested to think of $`\overline{\mathrm{spec}}`$ as an arithmetic analogue of the $`3`$-sphere $`S^3`$. Under this analogy the inclusion:

$$\mathrm{spec}𝔽_p\overline{\mathrm{spec}}$$

corresponds to an embedded circle i.e. to a knot.

The analogue of the Alexander polynomial of a knot turns out to be the Iwasawa zeta function. One can make this precise using $`p`$-adic cohomology for schemes over $`\mathrm{spec}_{(p)}`$.

More generally, for a number field $`k`$ set

$$\overline{\mathrm{spec}𝔬_k}=\mathrm{spec}𝔬_k\{𝔭|\mathrm{}\}$$

together with its Artin–Verdier étale topology. Via the inclusion

$$\mathrm{spec}𝔬_k/𝔭\mathrm{spec}𝔬_k$$

we may imagine a prime ideal $`𝔭`$ as being analogous to a knot in a compact $`3`$-manifold.

This nice analogy between number theory and three dimensional topology was further extended by Reznikov and Kapranov and baptized Arithmetic Topology. The reader may find dictionaries between the two fields in \[Re\] and \[S\]. Further analogies were contributed in \[Mo\] and \[Ra1\] for example. In particular Ramachandran had the idea that the infinite primes of a number field should correspond to the ends of a non-compact manifold – the analogue of $`\mathrm{spec}𝔬_k`$. See the appendix to section two for his argument.

There is a completely different perspective which also leads to the idea of the finite primes being knots in some $`3`$-spaces \[D5\], \[D7\]. One may compare the “explicit formulas” of analytic number theory for $`k/`$ with certain dynamical Lefschetz trace formulas for complete flows respecting one-codimensional foliations. These two types of formulas bear a striking similarity if the dimension of the foliation is two and if the finite primes $`𝔭`$ correspond to periodic orbits of length $`\mathrm{log}N𝔭`$. The infinite primes correspond to the fixed points of the flow.

In particular a phase space $`X_{\overline{\mathrm{spec}𝔬_k}}`$ corresponding to $`\overline{\mathrm{spec}𝔬_k}`$ would be three dimensional. After forgetting the parametrization the periodic orbits can thus be viewed as knots in a $`3`$-space.

Note that in earlier work we denoted the hypothetical space $`X_{\overline{\mathrm{spec}𝔬_k}}`$ by $`\text{}\overline{\mathrm{spec}𝔬_k}\text{}`$.

We now describe the first contribution of the paper. It appears that the (sheaf) cohomology of $`X_{\overline{\mathrm{spec}𝔬_k}}`$ with constant coefficients should play the role of an arithmetic as opposed to geometric cohomology theory for $`\overline{\mathrm{spec}𝔬_k}`$. In particular it would have cohomological dimension three. We wish to compare this as yet speculative theory with the $`l`$-adic cohomology of $`\overline{\mathrm{spec}𝔬_k}`$. More precisely we compare Lefschetz numbers of certain endomorphisms on these cohomologies.

In order to do this we first calculate the Lefschetz number of an automorphism $`\sigma `$ of $`k`$ on the Artin–Verdier étale cohomology of $`\overline{\mathrm{spec}𝔬_k}`$.

Next we prove a generalization of Hopf’s formula to a formula for the Lefschetz number of an endomorphism of a dynamical system on a manifold.

Assuming our formula applies to $`(X_{\overline{\mathrm{spec}𝔬_k}},\varphi ^t)`$ we then obtain an expression for the Lefschetz number of the automorphism on $`H^{}(X_{\overline{\mathrm{spec}𝔬_k}},)`$ induced by $`\sigma `$.

As it turns out, the two kinds of Lefschetz numbers agree in all cases, even when generalized to constructible sheaf coefficients. This result was prompted by a question of B. Mazur on the significance of étale Euler characteristics in our dynamical picture \[D5\].

The second goal of our note is this: We show that if there is a natural dynamical system corresponding to $`\mathrm{spec}𝔬_k`$ there should exist distinguished trajectories of the flow converging against the fixed points of the flow. This fits nicely with Ramachandran’s idea of the infinite primes corresponding to ends of a manifold.

I am grateful to Alexei Parshin for a letter introducing me to arithmetic topology some years ago. I would also like to thank B. Mazur for his interesting question and N. Ramachandran for allowing me to sketch his as yet unpublished ideas on ends and infinite places for the convenience of the reader.

## 2 Lefschetz numbers

We first recall a version of étale cohomology with compact supports of arithmetic schemes that takes into account the fibres at infinity. Using this theory we reformulate the main result of \[D1\] on $`l`$-adic Lefschetz numbers of $`l`$-adic sheaves on arithmetic schemes as a vanishing statement. This formulation was suggested by Faltings \[F\] in his review of \[D1\]. We also calculate $`l`$-adic Lefschetz numbers on arithmetically compactified schemes.

Let the scheme $`𝒰/`$ be algebraic i.e. separated and of finite type and set $`𝒰_{\mathrm{}}=𝒰_{}^{\mathrm{an}}/G_{}`$ where $`𝒰_{}=𝒰_{}`$ and the Galois group $`G_{}`$ of $``$ acts on $`𝒰_{}^{\mathrm{an}}`$ by complex conjugation. We give $`𝒰_{\mathrm{}}`$ the quotient topology of $`𝒰_{}^{\mathrm{an}}`$.

Artin and Verdier \[AV\] define the étale topology on $`\overline{𝒰}=𝒰𝒰_{\mathrm{}}`$ as follows. The category of “open sets” has objects the pairs
$`(f:𝒰^{}𝒰,D^{})`$ where $`f`$ is an étale morphism and $`D^{}𝒰_{\mathrm{}}^{}`$ is open. The map $`f_{\mathrm{}}:D^{}𝒰_{\mathrm{}}`$ induced by $`f`$ is supposed to be “unramified” in the sense that $`f_{\mathrm{}}(d^{})𝒰()`$ if and only if $`d^{}𝒰^{}()`$. Note that $`𝒰()`$ is a closed subset of $`𝒰_{\mathrm{}}`$.

A morphism

$$(f:𝒰^{}𝒰,D^{})(g:𝒰^{\prime \prime }𝒰,D^{\prime \prime })$$

is a map $`𝒰^{}𝒰^{\prime \prime }`$ commuting with the structure maps and such that the induced map $`𝒰_{\mathrm{}}^{}𝒰_{\mathrm{}}^{\prime \prime }`$ carries $`D^{}`$ into $`D^{\prime \prime }`$.

Coverings are the obvious ones.

Pullback defines morphisms of sites:

$$𝒰_{\stackrel{´}{\mathrm{e}}\mathrm{t}}\stackrel{𝑗}{}\overline{𝒰}_{\stackrel{´}{\mathrm{e}}\mathrm{t}}\stackrel{𝑖}{}𝒰_{\mathrm{}}.$$

Let $``$ denote the corresponding categories of abelian sheaves. One proves that $`\overline{𝒰}_{\stackrel{´}{\mathrm{e}}\mathrm{t}}^{}`$ is the mapping cone of the left exact functor

$$i^{}j_{}:\stackrel{~}{𝒰}_{\stackrel{´}{\mathrm{e}}\mathrm{t}}\stackrel{~}{𝒰}_{\mathrm{}}.$$

In particular we have maps $`i^!`$ and $`j_!`$ at our disposal. Let us describe the functor $`i^{}j_{}`$ explicitely. Let $`\alpha :𝒰_{}^{\mathrm{an}}𝒰_{\stackrel{´}{\mathrm{e}}\mathrm{t}}`$ be the canonical map of sites. Note that $`\alpha ^{}F`$ is a $`G_{}`$-sheaf on $`𝒰_{}^{\mathrm{an}}`$ for every sheaf $`F`$ on $`𝒰_{\stackrel{´}{\mathrm{e}}\mathrm{t}}`$. If $`\pi :𝒰_{}^{\mathrm{an}}𝒰_{\mathrm{}}`$ denotes the natural projection, define the left exact functor

$$\pi _{}^G_{}:(\text{abelian}G_{}\text{-sheaves on}𝒰_{}^{\mathrm{an}})\stackrel{~}{𝒰}_{\mathrm{}}$$

by

$$\pi _{}^G_{}(G)(V)=G(\pi ^1(V))^G_{}.$$

Then one can check that

$$i^{}j_{}=\pi _{}^G_{}\alpha ^{}.$$

In particular we see that

$$i^{}R^nj_{}=R^n\pi _{}^G_{}\alpha ^{}.$$

It follows that for $`n1`$ the sheaf $`R^nj_{}F=i_{}i^{}R^nj_{}F`$ is $`2`$-torsion with support on $`𝒰()𝒰_{\mathrm{}}`$ as stated in \[AV\]. In particular

(1)
$$H_{\stackrel{´}{\mathrm{e}}\mathrm{t}}^n(\overline{𝒰},j_{}F)H_{\stackrel{´}{\mathrm{e}}\mathrm{t}}^n(\overline{𝒰},Rj_{}F)=H_{\stackrel{´}{\mathrm{e}}\mathrm{t}}^n(𝒰,F)$$

is an isomorphism up to $`2`$-torsion for $`n1`$ (and an isomorphism for $`n=0`$).

Let us now define cohomology with compact supports. Assume first that $`𝒳/`$ is a proper scheme. We define:

$$H_c^n(𝒳,F):=H^n(\overline{𝒳},j_!F).$$

The distinguished triangle

$$j_!j^{}G^{}G^{}i_{}i^{}G^{}\mathrm{}$$

for complexes of sheaves $`G^{}`$ on $`\overline{𝒳}`$ applied to $`G^{}=Rj_{}F`$ gives the triangle

$$j_!FRj_{}Fi_{}i^{}Rj_{}F\mathrm{}$$

From this one gets an exact sequence

$$H_c^n(𝒳,F)H^n(𝒳,F)H^n(𝒳_{\mathrm{}},i^{}Rj_{}F)\mathrm{}$$

We have $`i^{}Rj_{}=R\pi _{}^G_{}\alpha ^{}`$ and

(2) $`H^n(𝒳_{\mathrm{}},i^{}Rj_{}F)`$ $`=`$ $`H^n(𝒳_{\mathrm{}},R\pi _{}^G_{}(\alpha ^{}F))`$
$`=`$ $`H^n(G_{},R\mathrm{\Gamma }(𝒳_{}^{\mathrm{an}},\alpha ^{}F))`$
$`=`$ $`H^n(𝒳_{}^{\mathrm{an}},\alpha ^{}F).`$
Here, for any $`G_{}`$-sheaf $`G`$ on a complex analytic space $`Y`$ with a real structure we set:

$$H^n(Y_{},G)=H^n(G_{},R\mathrm{\Gamma }(Y,G)).$$

In conclusion we get the long exact sequence:

$$H_c^n(𝒳,F)H^n(𝒳,F)H^n(𝒳_{}^{\mathrm{an}},\alpha ^{}F)\mathrm{}$$

We now consider the case where $`𝒰/`$ is algebraic but not necessarily proper. Choose a Nagata compactification of $`𝒰`$ i.e. a proper $``$-scheme $`𝒳`$ with an open immersion $`\kappa :𝒰𝒳`$. One sets:

$$H_c^n(𝒰,F)=H_c^n(𝒳,\kappa _!F).$$

This group and the group

$$H_{fc}^n(𝒰,F)=H^n(𝒳,\kappa _!F)$$

can be shown not to depend on the compactification $`𝒳`$. Beware that in \[D1\] the cohomology $`H_{fc}^n`$ was denoted $`H_c^n`$.

Since $`\alpha ^{}\kappa _!=\kappa _!\alpha ^{}`$ we obtain a long exact sequence:

(3)
$$H_c^n(𝒰,F)H_{fc}^n(𝒰,F)H_c^n(𝒰_{}^{\mathrm{an}},\alpha ^{}F)\mathrm{}$$

The definition of cohomology can be extended to $`_l`$-sheaves and the exact sequence (3) continues to hold. See \[D1\] § 3 in this regard. The maps in (1) induce isomorphisms

(4)
$$H^n(\overline{𝒰},j_{}F)\stackrel{}{}H^n(𝒰,F)\text{for }_l\text{-sheaves }F\text{ and}n0.$$

An endomorphism $`(\sigma ,e)`$ of the pair $`(𝒰,F)`$ is a morphism $`\sigma :𝒰𝒰`$ together with a homomorphism $`e:\sigma ^{}FF`$ of $`_l`$-sheaves. It induces pullback endomorphisms on $`H_c^n(𝒰,F)`$ and $`H^n(𝒰,F)`$ and on $`H_c^n(𝒰_{}^{\mathrm{an}},\alpha ^{}F)`$. For an endomorphism $`\phi `$ of a finite dimensional graded vector space $`H^{}`$ we will abbreviate the Lefschetz number as follows:

$$\mathrm{Tr}(\phi |H^{}):=\underset{i}{}(1)^i\mathrm{Tr}(\phi |H^i).$$

The following theorem is a reformulation of results in \[D1\]. They are based on algebraic number theory and in particular on class field theory.

###### Theorem 2.1

Let $`(\sigma ,e)`$ be an endomorphism of $`(𝒰,F)`$ as above, $`l2`$. The cohomologies $`H_c^{}(𝒰,F)`$ and $`H^{}(𝒰,F)`$ are finite dimensional and we have:

(5)
$$\mathrm{Tr}((\sigma ,e)^{}|H_c^{}(𝒰,F))=0.$$

If $`𝒰=𝒳`$ is proper over $`\mathrm{spec}`$ then:

(6)
$$\mathrm{Tr}((\sigma ,e)^{}|H^{}(\overline{𝒳},j_{}F))=\mathrm{Tr}((\sigma ,e)^{}|H^{}(𝒳_{}^{\mathrm{an}},\alpha ^{}F)).$$

If in addition $`𝒳`$ is generically smooth and the fixed points $`x`$ of $`\sigma `$ on $`𝒳_{\mathrm{}}`$ are non-degenerate in the sense that $`det(1T_x\sigma |T_x(𝒳))`$ is non-zero then we have:

(7)
$$\mathrm{Tr}((\sigma ,e)^{}|H^{}(\overline{𝒳},j_{}F))=\underset{\genfrac{}{}{0pt}{}{x𝒳_{\mathrm{}}}{\sigma x=x}}{}\mathrm{Tr}(e_x|(\alpha ^{}F)_x)\epsilon _x(\sigma ).$$

Here

$$\epsilon _x(\sigma )=\mathrm{sgn}det(1T_x\sigma |T_x(𝒳)).$$

Proof According to \[D1\] (3.10) we have for $`l2`$:

(8)
$$\mathrm{Tr}((\sigma ,e)^{}|H_{fc}^{}(𝒰,F))=\mathrm{Tr}((\sigma ,e)^{}|H_c^{}(𝒰,F)).$$

Now for a constructible $`/l^n`$-sheaf $`F_n`$ on $`𝒰_{}`$ we have

$$R\mathrm{\Gamma }_c(𝒰_{}^{\mathrm{an}},F_n)=R\mathrm{\Gamma }_c(𝒰_{},F_n)$$

by the comparison theorem between ordinary and étale cohomology. If $`F_n`$ carries a $`G_{}`$-action relative to the $`G_{}`$-action on $`𝒰_{}`$ we get:

$$H_c^\nu (𝒰_{}^{\mathrm{an}},F_n)=H^\nu (G_{},R\mathrm{\Gamma }_c(𝒰_{}^{\mathrm{an}},F_n))=H^\nu (G_{},R\mathrm{\Gamma }_c(𝒰_{},F_n))=H_c^\nu (𝒰,F_n).$$

Passage to the inverse limit shows that:

(9)
$$H_c^{}(𝒰,F)=H_c^{}(𝒰_{}^{\mathrm{an}},\alpha ^{}F).$$

This also holds for $`l=2`$.

Together with (8) and the exact sequence (3) we get the first formula (5).

The second formula follows from (4), (8) and (9).

To prove the third, note that since $`F`$ has no $`2`$-torsion:

(10) $`\mathrm{Tr}((\sigma ,e)^{}|H^{}(𝒳_{}^{\mathrm{an}},\alpha ^{}F))=\mathrm{Tr}((\sigma ,e)^{}|H^{}(𝒳^{\mathrm{an}},\alpha ^{}F)^G_{})`$
$`=|G_{}|^1{\displaystyle \underset{\tau G_{}}{}}\mathrm{Tr}((\sigma \tau ,\tau ^{}e)^{}|H^{}(𝒳^{\mathrm{an}},\alpha ^{}F)).`$
Here we have used the following elementary formula: Let $`V`$ be a finite dimensional $`K`$-vector space with an endomorphism $`\phi `$. Assume that a finite group $`G`$ of order prime to $`\mathrm{char}(K)`$ operates on $`V`$ such that $`\phi g=g\phi `$ for all $`gG`$. Then we have:

$$\mathrm{Tr}(\phi |V^G)=|G|^1\underset{gG}{}\mathrm{Tr}(\phi g|V).$$

The proof uses the projection operator $`|G|^1_{gG}g`$ from $`V`$ to $`V^G`$.
Also note that the map induced by $`\sigma `$ on $`𝒳^{\mathrm{an}}=𝒳()^{\mathrm{an}}`$ commutes with the $`G_{}`$-action on $`𝒳^{\mathrm{an}}`$ by complex conjugation and that $`\alpha \tau =\alpha `$.

Applying the Lefschetz fixed point formula to (10) we find

$`\mathrm{Tr}((\sigma ,e)^{}|H^{}(𝒳_{}^{\mathrm{an}},\alpha ^{}F))`$
$`=`$ $`|G_{}|^1{\displaystyle \underset{\tau G_{}}{}}{\displaystyle \underset{\genfrac{}{}{0pt}{}{x^{}𝒳^{\mathrm{an}}}{\sigma \tau (x^{})=x^{}}}{}}\mathrm{Tr}((\tau ^{}e)_x^{}|(\alpha ^{}F)_x^{})\mathrm{sgn}det(1T_x^{}(\sigma \tau )|T_x^{}(𝒳_{}))`$
$`=`$ $`{\displaystyle \underset{\genfrac{}{}{0pt}{}{x𝒳_{\mathrm{}}}{\sigma x=x}}{}}\mathrm{Tr}(e_x|(\alpha ^{}F)_x)\epsilon _x(\sigma ).`$
$`\mathrm{}`$

The following assertion is an immediate consequence of the theorem.

###### Corollary 2.2

I) Let $`\sigma `$ be an endomorphism of an algebraic scheme $`𝒰/`$. Then we have for any $`l2`$:

(11)
$$\mathrm{Tr}(\sigma ^{}|H_c^{}(𝒰,_l))=0.$$

If $`𝒰=𝒳`$ is proper over $`\mathrm{spec}`$ then

(12)
$$\chi (H^{}(\overline{𝒳},j_{}_l))=\chi (H^{}(𝒳_{}^{\mathrm{an}},_l)).$$

If in addition $`𝒳`$ is generically smooth and the fixed points of $`\sigma `$ on $`𝒳_{\mathrm{}}`$ are non-degenerate we have:

(13)
$$\mathrm{Tr}(\sigma ^{}|H^{}(\overline{𝒳},j_{}_l))=\underset{\genfrac{}{}{0pt}{}{x𝒳_{\mathrm{}}}{\sigma x=x}}{}\epsilon _x(\sigma ).$$

II) Let $`M`$ be a motive over $`k`$ and view its $`l`$-adic realization $`M_l`$ as a $`_l`$-sheaf on $`\mathrm{spec}k`$. Define the $`_l`$-sheaf $`F_l(M)`$ on $`\mathrm{spec}𝔬_k`$ by $`F_l(M)=j_0M_l`$ where $`j_0:\mathrm{spec}k\mathrm{spec}𝔬_k`$ is the inclusion. Let $`\sigma `$ be an automorphism of $`\mathrm{spec}𝔬_k`$. It is induced by an automorphism $`\sigma _k`$ of $`k`$. Let $`e:M^{\sigma _k}M`$ be a morphism of motives over $`k`$ and let $`e:\sigma ^{}F_l(M)F_l(M)`$ be the induced map of $`_l`$-sheaves on $`\mathrm{spec}𝔬_k`$. Then we have:

(14)
$$\mathrm{Tr}((\sigma ,e)^{}|H^{}(\overline{\mathrm{spec}𝔬_k},j_{}F_l(M)))=\underset{\genfrac{}{}{0pt}{}{𝔭|\mathrm{}}{\sigma 𝔭=𝔭}}{}\mathrm{Tr}(e_𝔭|M_𝔭).$$

Here for $`𝔭`$ with $`\sigma 𝔭=𝔭`$ we let $`e_𝔭`$ be the map induced by $`e`$ on the real Hodge realization $`M_𝔭`$ of $`M`$.

###### 2.3

We now explain analogies and an interesting difference with the case of varieties over finite fields. For a variety $`X/𝔽_q`$ with an endomorphism $`\sigma `$ of $`X`$ over $`𝔽_q`$ and a constructible $`_l`$-sheaf $`F`$ on $`X`$ with an endomorphism $`e:\sigma ^{}FF`$ we have

(15)
$$\mathrm{Tr}((\sigma ,e)^{}|H_c^{}(X,F))=0$$

and

(16)
$$\mathrm{Tr}((\sigma ,e)^{}|H^{}(X,F))=0.$$

Contrary to the number field case these assertions are easy to prove. E.g. for the first one, set $`\overline{X}=X\overline{𝔽}_q,\overline{F}=F|_{\overline{X}}`$. The Hochschild–Serre spectral sequence degenerates into short exact sequences:

$$0H^1(𝔽_q,H_c^{n1}(\overline{X},\overline{F}))H_c^n(X,F)H^0(𝔽_q,H_c^n(\overline{X},\overline{F}))0.$$

Moreover for every $`G_{𝔽_q}`$-module $`M`$ there is an exact sequence:

$$0H^0(𝔽_q,M)M\stackrel{1\phi }{}MH^1(𝔽_q,M)0$$

where $`\phi `$ is a generator of $`G_{𝔽_q}`$. This implies (15) and (16) follows similarly since all groups are known to be finite dimensional.

Now in the number field case, according to Theorem 2.1 (5) the analogue of (15) is valid. In particular, for any finite set $`S`$ of prime ideals in $`𝔬_k`$ we have

(17)
$$\chi (H_c^{}(\mathrm{spec}𝔬_{k,S},_l))=0.$$

The analogue of (16) however is not valid in general: From Theorem 2.1 (6) it follows for example that

(18)
$$\chi (H^{}(\overline{\mathrm{spec}𝔬_k},j_{}_l)=\text{number of infinite places of}k.$$

The fact, that in (17) the Euler characteristic is unchanged if we increase $`S`$ i.e. take out more finite places $`𝔭`$ follows directly from the fact that

$$\chi (H^{}(\mathrm{spec}(𝔬_k/𝔭),_l))=0.$$

The topological intuition behind this equation is that finite primes are like circles (whose Euler characteristic also vanishes). The difference between (17) and (18) comes from the different nature of the infinite places. Cohomologically the complex places behave like points and the real places behave like the “quotient of a point by $`G_{}`$”. This fits well with our dynamical considerations in the next section. For totally different reasons they suggest that a complex resp. real place gives rise to an embedded real line

$$X_{\overline{\mathrm{spec}𝔬_k}}$$

resp. to an embedded orbifold

$$/\mu _2=^0X_{\overline{\mathrm{spec}𝔬_k}}.$$

Contrast this with the idea that finite places should give rise to embeddings of circles

$$S^1X_{\overline{\mathrm{spec}𝔬_k}}.$$

###### 2.4

In this section we prove a formula for Lefschetz numbers of finite order automorphisms of dynamical systems. We also allow certain constructible sheaves as coefficients.

Let us consider a complete flow $`\varphi ^t`$ on a compact manifold $`X`$. Assume that for every fixed point $`x`$ there is some $`\delta _x>0`$ such that

$$det(1T_x\varphi ^t|T_xX)0\text{for}0<t<\delta _x.$$

This condition is weaker than non-degeneracy. Still it implies that the fixed points are isolated and hence finite in number.

We also assume that the lengths of the closed orbits are bounded below by some $`\epsilon >0`$.

Let $`\sigma `$ be an automorphism of finite order of $`X`$ which commutes with all $`\varphi ^t`$ i.e. an automorphism of $`(X,\varphi )`$. Consider a constructible sheaf of $``$ \- or $``$-vector spaces on $`X`$ together with an endomorphism $`e:\sigma ^1FF`$. We also assume that there is an action $`\psi ^t`$ over $`\varphi ^t`$ i.e. isomorphisms $`\psi ^t:(\varphi ^t)^1FF`$ for all $`t`$ satisfying the relations

$$\psi ^0=\mathrm{id}\text{and}\psi ^{t_1+t_2}=\psi ^{t_2}(\varphi ^{t_2})^1(\psi ^{t_1})\text{for all}t_1,t_2.$$

For constant $`F`$ there is a canonical action $`\psi `$.
Note that $`\sigma `$ and $`e`$ determine an endomorphism $`(\sigma ,e)^{}`$ of $`H^{}(X,F)`$.
Let us say that a point $`xX`$ is $`\varphi `$-fix if $`\varphi ^t(x)=x`$ for all $`t`$.

Then we have the following formula:

###### Theorem 2.5

$`\mathrm{Tr}((\sigma ,e)^{}|H^{}(X,F))={\displaystyle \underset{\genfrac{}{}{0pt}{}{xX,\varphi \mathrm{fix}}{\sigma x=x}}{}}\mathrm{Tr}(e_x|F_x)\epsilon _x(\sigma )`$
where

$$\epsilon _x(\sigma )=\underset{\genfrac{}{}{0pt}{}{t0}{t>0}}{lim}\mathrm{sgn}det(1T_x(\varphi ^t\sigma )|T_xX).$$

Proof Assume $`N1`$ is such that $`\sigma ^N=1`$ and fix some $`s`$ with
$`0<s<N^1\mathrm{min}_{xX,\varphi \mathrm{fix}}(\epsilon ,\delta _x)`$. If $`x`$ is any point of $`X`$ with $`(\varphi ^s\sigma )(x)=x`$, then $`(\varphi ^{Ns}\sigma ^N)(x)=x`$ and hence $`\varphi ^{Ns}(x)=x`$. If $`x`$ lay on a periodic orbit $`\gamma `$ then $`l(\gamma )Ns`$ and hence $`\epsilon Ns`$ contrary to the choice of $`s`$. Thus $`x`$ is a fixed point of $`\varphi `$. Because of $`\varphi ^s(x)=x`$ we have $`\sigma x=x`$ as well. If $`1`$ is an eigenvalue of $`T_x(\varphi ^t\sigma )`$ then $`1`$ is an eigenvalue of $`(T_x(\varphi ^t\sigma ))^N=T_x\varphi ^{Nt}`$ as well. Thus $`Nt\delta _x`$. By assumption on $`s`$ we have $`Ns<\delta _x`$ and therefore

$$det(1T_x(\varphi ^s\sigma )|T_xX)0.$$

In conclusion: the fixed points of the automorphism $`\varphi ^s\sigma `$ coincide with those fixed points of the flow $`\varphi `$ which are also kept fixed by $`\sigma `$. They are all non-degenerate.

Consider the morphisms for $`t`$

$$e_t=e\sigma ^1(\psi ^t):(\varphi ^t\sigma )^1FF.$$

The Lefschetz fixed point formula for the endomorphism $`(\varphi ^s\sigma ,e_s)`$ of $`(X,F)`$ for a fixed $`s`$ as above now gives the formula:

$$\mathrm{Tr}((\varphi ^s\sigma ,e_s)^{}|H^{}(X,F))=\underset{\genfrac{}{}{0pt}{}{xX,\varphi \mathrm{fix}}{\sigma x=x}}{}\mathrm{Tr}((e_s)_x|F_x)\mathrm{sgn}det(1T_x(\varphi ^s\sigma )|T_xX).$$

The left hand side is defined for all $`s`$ in $``$ and by homotopy invariance of cohomology it is independent of $`s`$. Passing to the limit $`s0`$ for positive $`s`$ in the formula thus gives the assertion.  $`\mathrm{}`$

###### Corollary 2.6

Let $`(X,\varphi ^t,\sigma )`$ be as in theorem 2.5 and let $`UX`$ be open, $`\varphi `$\- and $`\sigma `$-invariant. Assume that $`XU`$ is a compact submanifold of $`X`$. Consider a constructible sheaf $`F`$ of $``$\- or $``$-vector spaces on $`U`$ with an endomorphism $`e:\sigma ^1FF`$ and an action $`\psi ^t`$ over $`\varphi ^t|_U`$. Then we have:

$$\mathrm{Tr}((\sigma ,e)^{}|H_c^{}(U,F))=\underset{\genfrac{}{}{0pt}{}{xU,\varphi \mathrm{fix}}{\sigma x=x}}{}\mathrm{Tr}(e_x|F_x)\epsilon _x(\sigma ).$$

In particular

$$\mathrm{Tr}((\sigma ,e)^{}|H_c^{}(U,F))=0$$

if $`\varphi `$ has no fixed points on $`U`$.

Proof Apply 2.5 to $`(X,j_!F)`$, where $`j:UX`$ is the inclusion.  $`\mathrm{}`$

###### 2.7

We now compare arithmetic and dynamic Lefschetz numbers. This section is of a heuristic nature: we assume that a functor $`X_𝒰(X_𝒰,\varphi ^t)`$ from flat algebraic schemes over $`\mathrm{spec}`$ to dynamical systems exists, with properties as described in \[D5\] end of § 4. In that reference the space $`X_𝒰`$ was denoted by $`\text{}𝒰\text{}`$.

We consider various cases.

2.7.1 Let $`\sigma `$ be a finite order automorphism of the flat algebraic scheme $`𝒰/`$. The induced automorphism $`\sigma `$ of $`X_𝒰`$ is an automorphism of $`(X_𝒰,\varphi ^t)`$ and hence commutes with each $`\varphi ^t`$. The phase space $`X_𝒰`$ cannot be a manifold \[D7\] § 5. Still let us assume that the assertion of corollary 2.6 applies to

$$(U,\varphi ^t,\sigma ,F,e,\psi ^t)=(X_𝒰,\varphi ^t,\sigma ,,\mathrm{id},\mathrm{id}).$$

Then we find

$$\mathrm{Tr}(\sigma ^{}|H_c^{}(X_𝒰,))=0$$

in accordance with formula (11) since $`\varphi ^t`$ should have no fixed points on $`X_𝒰`$.

2.7.2 Now consider the case where in addition $`𝒰=𝒳`$ is proper over $`\mathrm{spec}`$ and generically smooth. Also the fixed points of $`\sigma `$ on $`𝒳_{\mathrm{}}`$ should be non-degenerate. Under assumptions as in 1, from corollary 2.6 applied to

$$(U,\varphi ^t,\sigma ,F,e,\psi ^t)=(X_{\overline{𝒳}},\varphi ^t,\sigma ,j_{},\mathrm{id},\mathrm{id})$$

we would get a formula corresponding to (13):

(19)
$$\mathrm{Tr}(\sigma ^{}|H^{}(X_{\overline{𝒳}},j_{}))=\underset{\genfrac{}{}{0pt}{}{x𝒳_{\mathrm{}}}{\sigma x=x}}{}\epsilon _x(\sigma ).$$

Here we have used that the fixed point set of $`\varphi ^t`$ on $`X_{\overline{𝒳}}`$ should be $`𝒳()/G_{}=𝒳_{\mathrm{}}`$: In the case of $`𝒳=\mathrm{spec}𝔬_k`$, this is the set of archimedean valuations of $`k`$. For general $`𝒳`$ we only have the following argument: The set of closed points of $`𝒳`$ over $`p`$ can be identified with the set $`𝒳(\overline{𝔽}_p)/\mathrm{Fr}_p`$ of Frobenius orbits on $`𝒳(\overline{𝔽}_p)`$. Thus the set of closed orbits of $`(X_𝒳,\varphi ^t)`$ would be in bijection with the union of all $`𝒳(\overline{𝔽}_p)/\mathrm{Fr}_p`$. Correspondingly it looks natural to assume that the set of fixed points of $`\varphi `$ would be in bijection with $`𝒳()/F_{\mathrm{}}=𝒳_{\mathrm{}}`$ where the infinite Frobenius $`F_{\mathrm{}}:𝒳()𝒳()`$ acts by complex conjugation.

Actually the comparison of formulas (13) and (19) lends further credibility to this idea.

The different definitions of $`\epsilon _x(\sigma )`$ in (13) and (19) should agree. We will discuss this aspect in the next case.

2.7.3 Let $`M`$ be a motive over the number field $`k`$. By the construction of \[D5\] § 5 it should give rise to a constructible sheaf $`F(M)`$ of $``$-vector spaces with an action $`\psi ^t`$ over $`(X_{\mathrm{spec}𝔬_k},\varphi ^t)`$. Let $`(\sigma ,e)`$ be an endomorphism of $`(\mathrm{spec}𝔬_k,M)`$ as in corollary 2.2 II. The induced endomorphism of $`((X_{\mathrm{spec}𝔬_k},\varphi ^t),F(M))`$ will also be denoted $`(\sigma ,e)`$. Note that $`\sigma `$ has finite order. Let $`j:X_{\mathrm{spec}𝔬_k}X_{\overline{\mathrm{spec}𝔬_k}}`$ denote the inclusion. Then by theorem 2.5 we expect the formula:

(20)
$$\mathrm{Tr}((\sigma ,e)^{}|H^{}(X_{\overline{\mathrm{spec}𝔬_k}},j_{}F(M))=\underset{\genfrac{}{}{0pt}{}{𝔭|\mathrm{}}{\sigma (x_𝔭)=x_𝔭}}{}\mathrm{Tr}(e_{x_𝔭}|(j_{}F(M))_{x_𝔭})\epsilon _{x_𝔭}(\sigma ).$$

Here $`x_𝔭`$ would be the fixed point of $`\varphi `$ corresponding to the infinite prime $`𝔭`$.

Comparing this with formula (13) in \[D6\], suggests that we have an isomorphism:

$$(j_{}F(M))_{x_𝔭}=\mathrm{Gr}_𝒱^{}M_𝔭.$$

Here $`𝒱`$ is a certain filtration on the real Hodge realization of $`Mk_𝔭`$. Provided that $`\epsilon _{x_𝔭}(\sigma )=1`$ for all $`𝔭`$, formula (20) thus becomes

$`\mathrm{Tr}((\sigma ,e)^{}|H^{}(X_{\overline{\mathrm{spec}𝔬_k}},j_{}F(M)))`$ $`=`$ $`{\displaystyle \underset{\genfrac{}{}{0pt}{}{𝔭|\mathrm{}}{\sigma 𝔭=𝔭}}{}}\mathrm{Tr}(e_𝔭|\mathrm{Gr}_𝒱^{}M_𝔭)`$
$`=`$ $`{\displaystyle \underset{\genfrac{}{}{0pt}{}{𝔭|\mathrm{}}{\sigma 𝔭=𝔭}}{}}\mathrm{Tr}(e_𝔭|M_𝔭)`$
in accordance with (14).

We finish this subsection with an argument for $`\epsilon _{x_𝔭}(\sigma )=1`$. Set $`X=X_{\overline{\mathrm{spec}𝔬_k}}`$ with its $`1`$-codimensional foliation $``$ for brevity and set $`x=x_𝔭`$. On $`T_xX/T_x`$ the map $`T_x\varphi ^t`$ has eigenvalue $`e^{\kappa _𝔭t}`$ where $`\kappa _𝔭=1`$ if $`𝔭`$ is complex and $`\kappa _𝔭=2`$ if $`𝔭`$ is real. According to \[D7\] 5.7 5) the map $`T_x\varphi ^t`$ has the form $`e^{t/2}O_t`$ on $`T_x`$ for some $`O_t\mathrm{SO}(T_x)`$. Hence the eigenvalues of $`T_x\varphi ^t`$ on $`T_x`$ are complex conjugate. By functoriality, $`\sigma `$ respects $``$, hence it fixes the leaf through $`x`$ if $`\sigma (x)=x`$. In this case $`T_x\sigma `$ respects $`T_x`$ and $`T_xX/T_x`$ therefore. On the $`1`$-dimensional real vector space $`T_xX/T_x`$ the map $`T_x\sigma `$ has eigenvalue $`+1`$ or $`1`$ since $`T_x\sigma `$ has finite order. Hence for any $`t>0`$ we find:

$$det(1T_x(\varphi ^t\sigma )|T_xX/T_x)=1(\pm 1)e^{\kappa _𝔭t}>0.$$

On $`T_x`$, either $`T_x\sigma `$ has complex conjugate eigenvalues in which case $`T_x(\varphi ^t\sigma )`$ has complex conjugate eigenvalues so that

$$det(1T_x(\varphi ^t\sigma )|T_xX/T_x)>0.$$

Or $`T_x\sigma `$ has two different real eigenvalues which then must be $`1`$ and $`1`$. But this case cannot occur since for small $`t>0`$ the eigenvalues $`\mu _t,\overline{\mu }_t`$ of $`T_x\varphi ^t`$ on $`T_x`$ are not real. The eigenvalues of $`T_x(\varphi ^t\sigma )`$ on $`T_x`$ would be $`\mu _t,\overline{\mu }_t`$ (or $`\mu _t,\overline{\mu }_t`$) hence non-real hence complex conjugate i.e. $`\overline{\mu }_t=\overline{\mu }_t`$, contradiction.

In conclusion we get $`\epsilon _{x_𝔭}(\sigma )=1`$ for all $`𝔭|\mathrm{}`$.

Appendix

Here we discuss ends of arithmetic varieties. The basic insight here is due to N. Ramachandran \[Ra2\]. Let $`X`$ be a connected, locally connected, locally compact Hausdorff space. The space of ends of $`X`$ is the pro-discrete topological space

$$E[X]=\underset{\underset{𝐾}{\overset{}{}}}{lim}\pi _0(XK),$$

where $`K`$ runs over the compact subsets of $`X`$.

For a commutative ring $`A`$ let $`C^{\mathrm{}}(E[X],A)`$ denote the $`A`$-module of locally constant $`A`$-valued functions on $`E[X]`$. Thus

$`C^{\mathrm{}}(E[X],A)`$ $`=`$ $`\underset{\underset{𝐾}{\overset{}{}}}{lim}\mathrm{map}(\pi _0(XK),A)`$
$`=`$ $`\underset{\underset{𝐾}{\overset{}{}}}{lim}H^0(XK,A).`$
Here as usual we use sheaf cohomology. Passing to the limit over $`K`$ in the exact sequence:

$$0H_K^0(X,A)H^0(X,A)H^0(XK,A)H_K^1(X,A)H^1(X,A),$$

we obtain the exact sequence:

$$0H_c^0(X,A)H^0(X,A)C^{\mathrm{}}(E[X],A)H_c^1(X,A)H^1(X,A).$$

On the other hand, let $`j:X\overline{X}`$ be a compactification of $`X`$ and let $`i:X_{\mathrm{}}=\overline{X}X\overline{X}`$ denote the closed immersion of the complement. The distinguished triangle on $`\overline{X}`$

$$j_!ARj_{}Ai_{}i^1Rj_{}A\mathrm{}$$

gives the exact sequence

$$0H_c^0(X,A)H^0(X,A)H^0(X_{\mathrm{}},i^1Rj_{}A)H_c^1(X,A)H^1(X,A).$$

There is a natural map from this sequence to the one above. The 5-lemma therefore gives us a canonical isomorphism

(21)
$$C^{\mathrm{}}(E[X],A)=H^0(X_{\mathrm{}},i^1Rj_{}A).$$

Now let us look at analogies in the étale topology of arithmetic varieties. Let $`𝒳`$ be a proper $``$-scheme and define $`\overline{𝒳}=𝒳𝒳_{\mathrm{}}`$ as in the beginning of § 2. Using formulas (2) and (9) we find

$`H^0(𝒳_{\mathrm{}},i^{}Rj_{}(/l^n))`$ $`=`$ $`H^0(𝒳_{}^{\mathrm{an}},\alpha ^{}(/l^n))`$
$`=`$ $`H_{\stackrel{´}{\mathrm{e}}\mathrm{t}}^0(𝒳,/l^n)`$
$`=`$ $`\mathrm{map}(\pi _0(𝒳),/l^n).`$
Comparing this with (21) suggests to view $`\pi _0(𝒳)`$ as a replacement for the space of ends of $`𝒳`$. In particular the space of ends of $`\mathrm{spec}𝔬_k`$ would be the finite set of archimedian valuations of $`k`$.

## 3 The role of the infinite primes in the conjectural dynamics

In \[D2\] we introduced a certain module $`_𝔭(M)`$ attached to a motive $`M`$ over an algebraic number field $`k`$ and a place $`𝔭`$ of $`k`$. It is important for expressing the local $`L`$-factor of $`M`$ at $`𝔭`$ as a zeta-regularized determinant. For finite primes we interpreted these modules geometrically within a certain conjectural dynamical framework, \[D4\] 3.22.

The present section is devoted to an analogous interpretation of $`_𝔭(M)`$ for the infinite places $`𝔭`$. This section is quite speculative. We assume that the reader is acquainted with the ideas of \[D5\].

In \[D5\] § 5 it was argued that a motive $`M`$ over $`k`$ should give rise to a certain sheaf of $``$-modules $`(M)`$ on $`X_{\mathrm{spec}𝔬_k}`$ with an action

$$\psi ^t:(\varphi ^t)^1(M)(M).$$

Here $``$ is the sheaf of smooth real valued functions on $`X_{\mathrm{spec}𝔬_k}`$ which are locally constant on the leaves of the one-codimensional foliation $``$ of $`X_{\mathrm{spec}𝔬_k}`$. There should even be a sheaf $`(M)`$ (or possibly a complex of sheaves) on $`X_{\overline{\mathrm{spec}𝔬_k}}`$ prolonging the sheaf $`(M)`$ on $`X_{\mathrm{spec}𝔬_k}`$. Because of the discussion in \[D3\] §§ 5, 9 we think of the prolongation as some intermediate direct image

(22)
$$(M)=j_!((M)/_{X_{\mathrm{spec}𝔬_k}}).$$

Here $`j:X_{\mathrm{spec}𝔬_k}X_{\overline{\mathrm{spec}𝔬_k}}`$ is the map induced by the inclusion $`j:\mathrm{spec}𝔬_k\overline{\mathrm{spec}𝔬_k}`$ and a theory of perverse sheaves of $``$-modules with respect to the middle perversity is required.

It appears that infinite primes $`𝔭`$ of $`k`$ give rise to stationary points $`x_𝔭`$ on $`X_{\overline{\mathrm{spec}𝔬_k}}`$ such that $`\kappa _{x_𝔭}=\kappa _𝔭`$.

Here $`\kappa _𝔭=1`$ if $`𝔭`$ is complex and $`\kappa _𝔭=2`$ if $`𝔭`$ is real.

The real number $`\kappa _{x_𝔭}`$ is defined by the formula $`T_{x_𝔭}\varphi ^t=e^{t\kappa _{x_𝔭}}`$ on the $`1`$-dimensional real vector space $`T_{x_𝔭}(X_{\overline{\mathrm{spec}𝔬_k}})/T_{x_𝔭}`$.

The “stalk” of the conjectural sheaf $`(M)`$ at an infinite place $`𝔭`$ of $`k`$ is known by the considerations of \[D2\] § 6, \[D6\] § 3. It is given by

$$_𝔭(M)=\mathrm{\Gamma }(,\xi _{}^{\mathrm{}}(M_𝔭,𝒱^{}M_𝔭))\text{if }𝔭\text{ is complex}$$

and by

$$_𝔭(M)=\mathrm{\Gamma }(^0,\xi _{}^{\mathrm{}}(M_𝔭,𝒱^{}M_𝔭,F_{\mathrm{}}))\text{if }𝔭\text{ is real}.$$

Here $`\xi ^{\mathrm{}}=\xi ^\omega _{𝒞^\omega }𝒞^{\mathrm{}}`$ where $`\xi ^\omega `$ is the Rees functor from filtered vector spaces (with involution) to locally free sheaves on the real analytic space $``$ (resp. orbifold $`^0=/\mu _2`$) introduced in \[D6\] § 2. On $``$ resp. $`^0`$ a flow $`\varphi ^t`$ is given by $`\varphi _{}^t(r)=re^t`$ resp. $`\varphi _{}^t(r)=re^{2t}`$. The sheaves $`\xi ^{\mathrm{}}`$ carry an action $`\psi ^t:(\varphi ^t)^1\xi ^{\mathrm{}}\xi ^{\mathrm{}}`$. Together we get an action on its global sections and hence on $`_𝔭(M)`$.

How to obtain $`_𝔭(M)`$ defined as above from the sheaf $`(M)`$ on $`X_{\overline{\mathrm{spec}𝔬_k}}`$? A natural idea is the following

Let $`𝔭`$ be a complex prime. Then there should exist a $`\varphi ^t`$-equivariant smooth embedding:

(23)
$$\iota _𝔭:X_{\overline{\mathrm{spec}𝔬_k}}$$

such that $`0`$ is mapped to $`x_𝔭`$. Moreover we should have a $`\psi ^t`$-equivariant isomorphism of sheaves of $``$-vector spaces:

(24)
$$\iota _𝔭^1(M)\xi _{}^{\mathrm{}}(M_𝔭,𝒱^{}M_𝔭).$$

Here $`\psi ^t`$-equivariance means that

$$\psi _\xi _{}^{\mathrm{}}^t\widehat{=}\iota _𝔭^1(\psi _{(M)}^t)$$

where the right hand map is defined as the composition:

$$(\varphi _{}^t)^1(\iota _𝔭^1(M))=\iota _𝔭^1((\varphi ^t)^1(M))\stackrel{\iota _𝔭^1(\psi ^t)}{}\iota _𝔭^1(M).$$

Formula (24) for $`M=(0)`$ says that

$$\iota _𝔭^1𝒞_{}^{\mathrm{}}.$$

Hence we are led to the conclusion that $`\iota _𝔭`$ is transversal to the leaves. In particular the inverse image under $`\iota _𝔭`$ of the leaf through the fixed point $`x_𝔭`$ should be just the point $`0`$.

Another argument for transversality is the following: If $`\iota _𝔭`$ is transversal to the leaves then it induces an isomorphism:

$$T_0\iota _𝔭:T_0\stackrel{}{}T_{x_𝔭}X/T_{x_𝔭}.$$

Under this map the action of $`T_{x_𝔭}\varphi ^t`$ on the right corresponds to the action of $`T_0\varphi _{}^t`$ on $`T_0`$. Thus $`e^{t\kappa _{x_𝔭}}=e^t`$ i.e. $`\kappa _{x_𝔭}=1=\kappa _𝔭`$ as it must be.

Let us investigate (23) further. As a dynamical system $``$ decomposes into the three orbits $`r<0,r=0`$ and $`r>0`$. Set $`x_\pm =\iota _𝔭(\pm 1)`$. Then by equivariance:

$$\begin{array}{cccc}\hfill \iota _𝔭(r)& =& \varphi ^{\mathrm{log}|r|}(x_{})\hfill & \text{for}r<0\hfill \\ \hfill \iota _𝔭(0)& =& x_𝔭\hfill & \\ \hfill \iota _𝔭(r)& =& \varphi ^{\mathrm{log}r}(x_+)\hfill & \text{for}r>0.\hfill \end{array}$$

Moreover:

$$\underset{t+\mathrm{}}{lim}\varphi ^t(x_\pm )=x_𝔭$$

since e.g.

$$\underset{t\mathrm{}}{lim}\varphi ^t(x_+)=\underset{\genfrac{}{}{0pt}{}{r0}{r>0}}{lim}\varphi ^{\mathrm{log}r}(x_+)=\underset{\genfrac{}{}{0pt}{}{r0}{r>0}}{lim}\iota _𝔭(r)=\iota _𝔭(0).$$

Because of the argument at the beginning of \[D6\] § 2 I do not think that $`\iota _𝔭`$ extends to an equivariant embedding from $``$ into $`X`$ whose pullback is $`\xi ^{\mathrm{}}`$ over $``$. This suggests that for every complex prime $`𝔭`$ there should be exactly two different trajectories $`\gamma ^+`$ and $`\gamma ^{}`$ transversal to the leaves flowing into $`x_𝔭`$ for $`t+\mathrm{}`$. All embeddings $`\iota _𝔭`$ are obtained by specifying a point on $`\gamma _+\gamma _{}`$. Note here that $`x_+`$ and $`x_{}`$ determine each other since the resulting embedding $`\iota _𝔭`$ must be differentiable at $`r=0`$.

It is easy to check that if (24) holds for $`\iota _𝔭`$ corresponding to one choice of a point on $`\gamma _+\gamma _{}`$ then it holds for the embedding $`\iota _𝔭`$ corresponding to any other point on $`\gamma _+\gamma _{}`$. We view $`x_𝔭`$ or the unordered pair $`\{\gamma _+,\gamma _{}\}`$ as the “arithmetic point” corresponding to $`𝔭`$ and the different choices of $`\iota _𝔭`$ i.e. of a point on $`\gamma _+\gamma _{}`$ as the “geometric points”. This complements the discussion on arithmetic and geometric points in $`X`$ corresponding to the finite primes in \[D4\] 3.22.

Now let $`𝔭`$ be a real prime. Then there should be a $`\varphi ^t`$-equivariant embedding:

$$\iota _𝔭:^0X\text{with}\iota _𝔭(0)=x_𝔭.$$

Here $`\varphi ^t`$ acts on $`^0`$ by $`\varphi _{}^t(r^{})=r^{}e^{2t}`$. The map $`\iota _𝔭`$ should be smooth for the orbifold structure of $`^0/\mu _2`$ given by the sheaf

$$𝒞_^0^{\mathrm{}}:=(sq_{}𝒞_{}^{\mathrm{}})^{\mu _2}.$$

Here $`sq:^0`$ is the squaring map $`sq(r)=r^2`$. This means that pullback via $`\iota _𝔭`$ maps $`\iota _𝔭^1𝒞_X^{\mathrm{}}`$ to $`𝒞_^0^{\mathrm{}}`$. In other words: Firstly, the restriction of $`\iota _𝔭`$ to $`(0,\mathrm{})^0`$ should be smooth. Secondly, for any smooth function $`F`$ in a neighbourhood of $`x_𝔭`$ the pullback function

$$f(r^{})=(\iota _𝔭^{}F)(r^{})=F(\iota _𝔭(r^{}))$$

defined in some intervall $`[0,\epsilon )`$ should have the property that $`g(r)=f(r^2)`$ is smooth in $`(\sqrt{\epsilon },\sqrt{\epsilon })`$. As above there should be a $`\psi ^t`$-equivariant isomorphism of sheaves of $``$-vector spaces:

(25)
$$\iota _𝔭^1(M)\xi _{}^{\mathrm{}}(M_𝔭,𝒱^{}M_𝔭,F_{\mathrm{}}).$$

Again $`\iota _𝔭`$ should be transversal to the leaves with the inverse image of the leaf through $`x_𝔭`$ consisting only of $`0^0`$. Transversality implies that the tangent map

$$T_0\iota _𝔭:T_0^0=(T_0)^{\mu _2}\stackrel{}{}T_{x_𝔭}X/T_{x_𝔭}$$

is an isomorphism. It transforms the action of $`T_0\varphi _{}^t`$ on $`T_0^0`$ into the action of $`T_{x_𝔭}\varphi ^t`$ on $`T_{x_𝔭}X/T_{x_𝔭}`$. Thus we find that $`e^{2t}=e^{\kappa _{x_𝔭}t}`$ i.e. $`\kappa _{x_𝔭}=2=\kappa _𝔭`$ as expected.

The system $`(^0,\varphi _{}^t)`$ has the two orbits $`r^{}>0`$ and $`r^{}=0`$. Set $`x=\iota _𝔭(1)`$. Then

$$\iota _𝔭(r^{})=\varphi ^{\frac{1}{2}\mathrm{log}r^{}}(x)\text{for}r^{}>0\text{and}\iota _𝔭(0)=x_𝔭$$

and

$$\underset{t+\mathrm{}}{lim}\varphi ^t(x)=x_𝔭.$$

By a similar argument as before, for every real prime $`𝔭`$ there should be exactly one trajectory $`\gamma `$ transversal to the leaves and flowing into $`x_𝔭`$ for $`t\mathrm{}`$. The embeddings $`\iota _𝔭`$ as above correspond to points $`x`$ on this trajectory $`\gamma `$. We view $`x_𝔭`$ or the trajectory $`\gamma `$ as the “arithmetic point” corresponding to $`𝔭`$ and the embeddings $`\iota _𝔭`$ i.e. the points on $`\gamma `$ as the corresponding “geometric points”.

The preceeding discussion on the geometric meaning of the stalks $`_𝔭(M)`$ for $`𝔭|\mathrm{}`$ complements the analogous but easier discussion for $`𝔭\mathrm{}`$ in \[D4\] 3.22. There $`_𝔭(M)`$ is isomorphic to the global sections of $`(M)`$ restricted to the periodic orbit $`\gamma _𝔭`$ corresponding to the prime ideal $`𝔭`$.

Remark. Choose an embedding

$$\iota _{\mathrm{}}:/\mu _2^0X_{\overline{\mathrm{spec}}}$$

as above corresponding to the infinite prime $`p=\mathrm{}`$ and set $`x=\iota _{\mathrm{}}(1)`$. Thus

(26)
$$\iota _{\mathrm{}}[r]=\varphi ^{\mathrm{log}r}(x).$$

The inverse image of the leaf through $`x_{\mathrm{}}`$ should consist only of $`0/\mu _2`$. The inverse image of any other leaf via $`\iota _{\mathrm{}}`$ is a countable subset of
$`(/\mu _2)\{0\}=^{}/\mu _2`$. Because of the formula

$$\iota _{\mathrm{}}[rs]=\varphi ^{\mathrm{log}r}(\iota _{\mathrm{}}(s))$$

the multiplicative structure of $`^{}/\mu _2`$ is related to the flow. In our context the only natural countable subsets of the group $`^{}/\mu _2`$ are the translates $`r^{}/\mu _2^{}/\mu _2`$. My guess is that these are exactly the inverse images of those leaves which do not pass through $`x_{\mathrm{}}`$. The space of leaves of $`X_{\overline{\mathrm{spec}}}`$ would thus be

(27)
$$^{}/^{}\{0\}=/^{},$$

with the flow acting by multiplication with $`e^t`$.

The same conclusion can be reached by the following completely different argument: Assuming that $`X_{\overline{\mathrm{spec}}}`$ is an $`F`$-system it is isomorphic to $`M\times _\mathrm{\Lambda }`$ where $`M`$ is any leaf and $`\mathrm{\Lambda }`$ is the group of periods c.f. \[D4\] 3.12. By the argument in remark b) before 4.3 of \[D4\] we must have $`\mathrm{\Lambda }=\mathrm{log}_+^{}`$. For the convenience of the reader let us recall the argument: For any $`F`$-system $`X`$ the group of periods $`\mathrm{\Lambda }`$ contains the lengths of the closed orbits \[D4\] 3.11. Hence in case of $`X=X_{\mathrm{spec}}`$ we have $`\mathrm{log}p\mathrm{\Lambda }`$ for all primes $`p`$ and therefore $`\mathrm{log}_+^{}\mathrm{\Lambda }`$.

On the other hand the canonical line bundle $`\underset{¯}{}(1)`$ on an $`F`$-system $`X`$ is given by the representation

$$\mathrm{exp}l:\pi _1(X)^{\mathrm{ab}}_+^{}$$

where

$$l:\pi _1(X)^{\mathrm{ab}}\mathrm{\Lambda }$$

is the period homomorphism. Thus $`\underset{¯}{}(1)`$ has a $``$-structure if and only if $`\mathrm{exp}l`$ takes values in $`_+^{}`$ i.e. if $`\mathrm{\Lambda }:=\mathrm{Im}l\mathrm{log}_+^{}`$. Now for $`X=X_{\mathrm{spec}}`$ the line bundle $`\underset{¯}{}(1)`$ does have a $``$-structure namely $`F_{}(M)`$ for the motive $`M=(1)`$. Hence for $`X_{\mathrm{spec}}`$ we find that $`\mathrm{\Lambda }=\mathrm{log}_+^{}`$.

Thus the space of leaves of $`X_{\mathrm{spec}}`$ is $`/\mathrm{log}_+^{}`$ with the flow acting by translation. This is isomorphic via the map $`y\mathrm{exp}(y)`$ to $`_+^{}/_+^{}`$ with the flow acting by multiplication with $`e^t`$. The leaf through $`x_{\mathrm{}}`$ is mapped into itself by the flow since the point $`x_{\mathrm{}}`$ is preserved. In the space of leaves it therefore becomes a fixed point under the flow. Thus the space of leaves of $`X_{\overline{\mathrm{spec}}}`$ is isomorphic to

$$_+^{}/_+^{}\{0\}/^{}$$

with the flow acting by $`e^t`$.

In Connes’ approach \[C\] the phase space is $`𝔸/^{}`$ with $``$ acting by multiplication by $`e^t`$ in the $`\mathrm{}`$-coordinate. If we view $`𝔸_f`$ as the typical leaf and $`𝔸_f/^{}`$ as the leaf at infinity then the space of leaves is $`^{}/^{}\{0\}=/^{}`$ as in our picture. However the discussion of fundamental groups for instance in \[D4\] § 4 shows that our generic leaves must have a much more complicated topological structure than $`𝔸_f`$.

There is the interesting possibility that for $`t\mathrm{}`$ the trajectory through $`x`$ becomes dense in $`X_{\overline{\mathrm{spec}}}`$ or at least in $`X_{\mathrm{spec}}`$. If one could guess the uniform structure induced on $`/\mu _2`$ from $`X_{\overline{\mathrm{spec}}}`$ via $`\iota _{\mathrm{}}`$ one could obtain $`X_{\overline{\mathrm{spec}}}`$ or at least $`X_{\mathrm{spec}}`$ as a uniform space by completion. This looks somewhat similar to recovering the finite idèles of $``$ by completing $`^{}`$ with respect to the uniform structure induced by the embedding $`^{}𝔸_f^{}`$.

Mathematisches Institut
Westf. Wilhelms-Universität
Einsteinstr. 62
48149 Münster
Germany
deninge@math.uni-muenster.de


text:
# Nernst coefficient and Magnetoresistance in High-𝑇_c Superconductors : the Role of Superconducting Fluctuations

## Abstract

In hole-doped high-$`T_\mathrm{c}`$ cuprates, the Nernst coefficient ($`\nu `$) as well as the magnetoresistance ($`\mathrm{\Delta }\rho /\rho `$) increase drastically below the pseudo-gap temperature, $`T^{}`$. This unexpected result attracts much attention in that it reflects the fundamental feature of the electronic state in the pseudo-gap region, which has been a central issue on high-$`T_\mathrm{c}`$ cuprates. In this letter, we study these transport phenomena in terms of the fluctuation-exchange (FLEX)+T-matrix approximation. In this present theory, the $`d`$-wave superconducting (SC) fluctuations, which are mediated by antiferromagnetic (AF) correlations, become dominant below $`T^{}`$. We focus on the role of the vertex corrections both for the charge current and the heat one, which are indispensable to keep the conservation laws. As a result, the mysterious behaviors of $`\nu `$ and $`\mathrm{\Delta }\rho /\rho `$, which are key phenomena in the pseudo-gap region, are naturally explained as the reflection of the enhancement of the SC fluctuation, without assuming thermally excited vortices. The present result suggests that the pseudo-gap region in high-$`T_c`$ cuprates is well described in terms of the Fermi liquid with AF and SC fluctuations.

PACS numbers: 74.70.-b, 74.72.-h, 72.15.Jf

In high-Tc cuprates, various transport phenomena in the normal state show striking non-Fermi liquid (NFL)-like behaviors, such as resistivity ($`\rho `$) , Hall coefficient ($`R_\mathrm{H}`$) , magnetoresistance (MR, $`\mathrm{\Delta }\rho /\rho `$) , thermoelectric power (TEP, $`S`$)  and Nernst coefficient ($`\nu `$) . Because it is impossible to understand these NFL-like phenomena in the framework of the relaxation time approximation (RTA), one may consider that the Landau-Fermi liquid picture, — concept of the quasiparticle —, is totally violated in high-Tc cuprates. However, before making a conclusion on this issue, one has to study the transport coefficients beyond the RTA, e.g., by the “conserving” approximation as Baym and Kadanoff .

In these years, we have studied $`R_\mathrm{H}`$ , $`\mathrm{\Delta }\rho /\rho `$  and $`S`$  in high-Tc cuprates above the pseudo-gap temperature ($`T^{}`$) in terms of the conserving approximation: Owing to the vertex corrections (VC’s) for currents, the total charge current with VC’s, $`\stackrel{}{J}_𝐤`$, is no more perpendicular to the Fermi surface in the presence of strong antiferromagnetic (AF) fluctuations. This important mechanism of the VC, i.e., the “back-flow” in the hydrodynamic regime, had been overlooked for years. . As a result, we succeeded to reproduce various NFL-like transport phenomena qualitatively as for $`T>T^{}`$. .

In this letter, we study transport phenomena below $`T^{}`$. In the present stage, superconducting (SC) fluctuation is one of the promising origins of the pseudo-gap phenomena . Based on this opinion, we combine the fluctuation-exchange (FLEX) approximation for describing the AF fluctuations  with the $`T`$-matrix approximation for describing the SC fluctuations (i.e., FLEX+$`T`$-matrix approximation) . Next, we study the Nernst coefficient, $`\nu S_{yx}/B=E_y/B_xT`$, which is an off-diagonal TEP under the magnetic field $`𝐁𝐳`$. According to the linear response theory,

$`\nu `$ $`=`$ $`\left[\alpha _{xy}/\sigma S\mathrm{tan}\theta _\mathrm{H}\right]/B,`$ (1)
where $`\alpha _{xy}`$ is the off-diagonal Peltier conductivity ($`J_x=\alpha _{xy}(_yT)`$), and $`\mathrm{tan}\theta _\mathrm{H}\sigma _{xy}/\sigma `$. In high-$`T_\mathrm{c}`$ cuprates, $`\nu `$ increases divergently below $`T^{}`$, which is sometimes interpreted as the evidence for the spontaneous vortex-like excitations in the pseudo-gap region . \[In the the mixed state, $`\nu `$ takes very large value in a clean 2D system, reflecting the high-mobility of a vortex.\] Contrary to such an exotic scenario, in the present work, we study $`\nu `$ due to the heat current carried by the quasiparticle motion. By considering the VC’s due to strong AF and SC fluctuations, we obtain the results which are highly consistent with experiments. Thus, the nature of the pseudo-gap region is well described as the Fermi liquid with the strong AF+SC fluctuations.

In the self-consistent FLEX+$`T`$-matrix approximation, the full Green function and the self-energy are given by

$`G_𝐤(ϵ_n)=(iϵ_n+\mu ϵ_𝐤^0\mathrm{\Sigma }_𝐤(ϵ_n))^1,`$ (2)
$`\mathrm{\Sigma }_𝐤(ϵ_n)=\mathrm{\Sigma }_𝐤^{\mathrm{FLEX}}(ϵ_n)+\mathrm{\Sigma }_𝐤^{\mathrm{SCF}}(ϵ_n),`$ (3)
where $`ϵ_𝐤^0`$ is the tight binding dispersion and $`ϵ_n`$ is a fermion Matsubara frequency. $`\mathrm{\Sigma }^{\mathrm{FLEX}}`$ is given by the diagrams for the FLEX approximation, and $`\mathrm{\Sigma }^{\mathrm{SCF}}`$ is given by the $`T`$-matrix approximation . This is a kind of the one-loop approximation with respect to the AF and SC fluctuations. In the pseudo-gap region, $`\mathrm{\Sigma }^{\mathrm{SCF}}`$ is approximately given by

$`\mathrm{\Sigma }_𝐤^{\mathrm{SCF}}(ϵ_n)`$ $`=`$ $`\mathrm{\Delta }_{\mathrm{pg}}^2\psi _𝐤^2G_𝐤(ϵ_n),`$ (4)
$`\mathrm{\Delta }_{\mathrm{pg}}^2`$ $`=`$ $`T{\displaystyle \underset{𝐪}{}^{}}t_{\mathrm{pg}}(𝐪,\omega =0),`$ (5)
where $`\psi _𝐤=\mathrm{cos}k_x\mathrm{cos}k_y`$ and $`_𝐪^{}_𝐪\theta (a|𝐪|)`$. The factor $`a1`$ is introduced not to overestimate the effect of SC fluctuations. We put $`a=0.03\pi `$ in the present calculation, which would be smaller than the inverse of the SC coherent length. The result is not sensitive to its value, and this approximation becomes reasonable as $`TT_c`$, which is favorite for the purpose of our study. $`t_{\mathrm{pg}}(𝐪,\omega )`$ is the $`T`$-matrix for $`d_{x^2\text{-}y^2}`$-wave channel, which is mediated by strong AF fluctuations.

To derive $`t_{\mathrm{pg}}`$, we solve the Eliashberg equation:

$`\lambda \varphi _𝐤(ϵ_n)=T{\displaystyle \underset{𝐤^{},ϵ_m}{}}V_{𝐤𝐤^{}}^{\mathrm{FLEX}}(ϵ_nϵ_m)|G_𝐤^{}(ϵ_m)|^2\varphi _𝐤^{}(ϵ_m),`$ (6)
where $`V_𝐤^{\mathrm{FLEX}}`$ is the effective interaction for a singlet pair within the FLEX approximation, which is given by eq.(9) of ref. using the Green function in eq.(2). $`\lambda `$ is the eigenvalue of the equation which exceeds 1 below $`T_c`$. Hereafter, the eigenfunction $`\varphi `$ is normalized as $`_{𝐤,l}\varphi _𝐤^2(ϵ_l)=1`$. By using $`\varphi `$, we can approximate that

$`V_{𝐤𝐤^{}}^{\mathrm{FLEX}}(ϵϵ^{})g\varphi _𝐤(ϵ)\varphi _𝐤^{}(ϵ^{}),`$ (7)
where $`g_{ϵ,ϵ^{}}_{𝐤,𝐤^{}}V_{𝐤𝐤^{}}^{\mathrm{FLEX}}(ϵϵ^{})\varphi _𝐤(ϵ)\varphi _𝐤^{}(ϵ^{})`$. Then, the $`T`$-matrix is given by

$`t_{\mathrm{pg}}(q,\omega _l)`$ $`=`$ $`g/(1+g\overline{\chi }_𝐪(\omega _l)),`$ (8)
$`\overline{\chi }_𝐪(\omega _l)`$ $`=`$ $`T{\displaystyle \underset{𝐤,ϵ_n}{}}G_𝐤(ϵ_n)G_{𝐪𝐤}(\omega _lϵ_n)\varphi _𝐤^2(ϵ_n),`$ (9)
where $`\omega _l`$ is a Matsubara frequency for boson. It is easy to see that $`\lambda =g\overline{\chi }_{𝐪=\mathrm{𝟎}}(0)`$ according to eq.(7). In the FLEX+$`T`$-matrix approximation, we solve eqs.(2)-(9) self-consistently. In this approximation, $`\lambda <1`$ is satisfied in 2D systems at finite temperatures because a Kosterlitz-Thouless type transition is not taken into account.

In the present numerical study for the Hubbard model, we put $`U=4.5`$ and $`(t,t^{},t^{\prime \prime })=(1,0.15,0.05)`$ for La2-xSrxCuO4 (LSCO). where $`t,t^{},t^{\prime \prime }`$ are the nearest, the next-nearest and the third-nearest neighbor hoppings, respectively. Figure 1 shows the obtained density of states (DOS); $`\rho (ϵ)=\frac{1}{\pi }_𝐤\mathrm{Im}G_𝐤(ϵi\delta )`$. We see that a large pseudo-gap emerges below $`T^{}0.03`$, because SC fluctuations grow prominently below $`T^{}`$ . In the present self-consistent calculation, $`\lambda =0.988`$ and $`\mathrm{\Delta }_{\mathrm{pg}}=0.147`$ at T=0.02.

Next, we calculate the Nernst coefficient by taking VC’s into account. Based on the linear response theory for the thermoelectric transport phenomena , we can derive the general expression for $`\alpha _{xy}`$ in correlated electron systems by referring the derivation for $`\sigma _{xy}`$ by Kohno and Yamada . The VC is uniquely given by the Ward identities associated with the local charge and energy conservation laws . The obtained expression, which is exact with respect to $`O(\gamma ^2)`$, is given by

$`\alpha _{xy}`$ $`=`$ $`B{\displaystyle \frac{e^2}{T}}{\displaystyle \underset{𝐤}{}}{\displaystyle \frac{dϵ}{2\pi }\left(\frac{f}{ϵ}\right)|\mathrm{Im}G_𝐤(ϵ)||G_𝐤(ϵ)|^2}`$ (11)
$`\times |\stackrel{}{v}_𝐤(ϵ)|\gamma _𝐤(ϵ)A_𝐤(ϵ),`$
$`A_𝐤(ϵ)`$ $`=`$ $`\left(\stackrel{}{Q}_𝐤(ϵ)\times {\displaystyle \frac{}{k_{}}}\left(\stackrel{}{J}_𝐤(ϵ)/\gamma _𝐤(ϵ)\right)\right)_z,`$ (12)
$`\stackrel{}{Q}_𝐤(ϵ)`$ $`=`$ $`\stackrel{}{q}_𝐤(ϵ)+{\displaystyle \underset{𝐤^{}}{}}{\displaystyle \frac{dϵ^{}}{4\pi i}𝒯_{\mathrm{𝐤𝐤}^{}}(ϵ,ϵ^{})|G_𝐤^{}(ϵ^{})|^2\stackrel{}{Q}_𝐤^{}(ϵ^{})},`$ (13)
$`\stackrel{}{J}_𝐤(ϵ)`$ $`=`$ $`\stackrel{}{v}_𝐤(ϵ)+{\displaystyle \underset{𝐤^{}}{}}{\displaystyle \frac{dϵ^{}}{4\pi i}𝒯_{\mathrm{𝐤𝐤}^{}}(ϵ,ϵ^{})|G_𝐤^{}(ϵ^{})|^2\stackrel{}{J}_𝐤^{}(ϵ^{})},`$ (14)
where $`k_{}`$ is the momentum along the Fermi surface, $`\stackrel{}{v}_𝐤(ϵ)\stackrel{}{}(ϵ_𝐤^0+\mathrm{Re}\mathrm{\Sigma }_𝐤(ϵ))`$ and $`\stackrel{}{q}_𝐤(ϵ)ϵ\stackrel{}{v}_𝐤(ϵ)`$. $`𝒯`$ is the irreducible VC introduced by Eliashberg as $`𝒯_{22}^{(0)}`$ .

Next, we calculate the total charge current $`\stackrel{}{J}`$ and the heat one $`\stackrel{}{Q}`$ numerically. Here, we take only the infinite series of the Maki-Thompson (MT) type VC’s due to the AF and SC fluctuations although the Ward identity gives other terms, because they are expected to be most important when the fluctuations are strong . In the present FLEX+$`T`$-matrix approximation, the Bethe-Sapleter (B-S) equation (14) is simply written as

$`\stackrel{}{J}_𝐤(ϵ)`$ $`=`$ $`(\gamma _𝐤(ϵ)/\gamma _𝐤^{\mathrm{FLEX}}(ϵ))(\stackrel{}{v}_{𝐤x}(ϵ)`$ (16)
$`+{\displaystyle \underset{𝐤^{}}{}}{\displaystyle }{\displaystyle \frac{dϵ^{}}{4\pi i}}𝒯_{𝐤,𝐤^{}}^{\mathrm{FLEX}}(ϵ,ϵ^{})|G_𝐤^{}(ϵ^{})|^2\stackrel{}{J}_𝐤^{}(ϵ^{})),`$
where $`𝒯^{\mathrm{FLEX}}`$ represents the MT-terms due to the AF fluctuations, whose functional form is given by eq.(A9) of ref. , Note that the factor $`\gamma _𝐤/\gamma _𝐤^{\mathrm{FLEX}}`$ comes from the MT-terms due to the SC fluctuations, which becomes unity if $`\mathrm{\Delta }_{\mathrm{qp}}=0`$. Performing the similar discussion in §V of ref.  and using the relation $`\gamma _𝐤^{\mathrm{FLEX}}=_𝐤^{}\frac{dϵ}{4\pi }𝒯_{𝐤,𝐤^{}}^{\mathrm{FLEX}}(0,ϵ)\mathrm{Im}G_𝐤^{}^\mathrm{A}(ϵ)`$, the following approximate relation is derived from eq.(16) :

$`\stackrel{}{J}_𝐤(\gamma _𝐤/\gamma _𝐤^{\mathrm{FLEX}})\stackrel{}{J}_𝐤^{[\mathrm{\Delta }_{\mathrm{qp}}=0]},`$ (17)
where $`\stackrel{}{J}_𝐤^{[\mathrm{\Delta }_{\mathrm{qp}}=0]}`$ is given by the FLEX approximation without $`\mathrm{\Sigma }_𝐤^{\mathrm{SCF}}`$ and $`𝒯^{\mathrm{SCF}}=𝒯𝒯^{\mathrm{FLEX}}`$, whose behavior was analysed in ref.  in detail.

Figure 1 show the numerical solution for the Bethe-Sapleter equation (16) for various $`\mathrm{\Delta }_{pg}`$ at $`T=0.02`$ . As $`\mathrm{\Delta }_{\mathrm{pq}}`$ increases, $`|\stackrel{}{J}_𝐤|`$ is prominently enhanced except for the cold spot (C), whereas $`\theta _𝐤^J=\mathrm{tan}^1(J_{𝐤x}/J_{𝐤y})`$ is affected only slightly. The result is consistent with eq.(17) because $`\gamma _𝐤/\gamma _𝐤^{\mathrm{FLEX}}1+b\psi _𝐤^2`$ ($`b>0`$). As a result, owing to the MT-terms by the $`d_{x^2y^2}`$-SC fluctuations, $`|J_𝐤|`$ is enhanced if $`\mathrm{\Delta }_{\mathrm{pq}}`$ is large, except for the cold spot where $`\psi _𝐤=0`$. A more detailed discussion will be given in a future publication . In contrast, we can show that $`\stackrel{}{Q}_𝐤(ϵ)\stackrel{}{q}_𝐤(ϵ)`$ because the effect of the VC for the heat current, which is not conserved by the electron-electron N-processes, is small in general . This means that $`\stackrel{}{Q}_𝐤`$ is no more parallel to $`\stackrel{}{J}_𝐤`$ in the presence of strong AF fluctuations. This fact is important for understanding the Nernst effect as will be explained below.

Now we calculate transport coefficients by using the self-consistent solutions of eqs.(13) and (14). Figure 2 shows the resistivity, the Hall coefficient and the TEP obtained by the FLEX+T-matrix approximation, $`\rho _{\mathrm{AF}+\mathrm{SC}}`$, $`R_\mathrm{H}^{\mathrm{AF}+\mathrm{SC}}`$ and $`S_{\mathrm{AF}+\mathrm{SC}}`$, for the filling $`n=0.92`$. For reference, $`\rho ^{\mathrm{AF}}`$, $`R_\mathrm{H}^{\mathrm{AF}}`$ and $`S_{\mathrm{AF}}`$ are given by the FLEX approximation. We see that both $`R_\mathrm{H}^{\mathrm{AF}+\mathrm{SC}}`$ and $`S_{\mathrm{AF}+\mathrm{SC}}`$ start to decrease below the pseudo-pap temperature $`T^{}0.03`$, which is consistent with experiments . Whereas $`R_\mathrm{H}^{\mathrm{AF}}`$ and $`S_{\mathrm{AF}}`$ increase monotonously as $`T`$ decreases because both quantities are enhanced due to the VC’s created by the AF fluctuations . The reason why both $`R_\mathrm{H}^{\mathrm{AF}+\mathrm{SC}}`$ and $`S_{\mathrm{AF}+\mathrm{SC}}`$ decrease below $`T^{}`$ is that the AF fluctuations are suppressed in the pseudo-gap region, which was at first discussed in refs.  and , and shown numerically in ref.  for $`R_\mathrm{H}`$.

On the contrary, the drastic enhancement of the Nernst coefficient below $`T^{}`$ is much mysterious and intriguing phenomenon in the pseudo-gap region . Here, we show that it is naturally explained as a quasiparticle transport phenomenon, without assuming thermally excited vortices. Based on the AF+SC fluctuation theory, we calculate $`\alpha _{xy}`$ given by eq.(11): Figure 3 shows the Nernst coefficient obtained by the FLEX+T-matrix method, $`\nu _{\mathrm{AF}+\mathrm{SC}}`$, with full MT-type VC’s due to AF+SC fluctuations. We see that $`\nu _{\mathrm{AF}+\mathrm{SC}}`$ starts to increase below $`T^{}`$, and its magnitude is consistent with experimental values. In contrast, $`S\mathrm{tan}\theta _\mathrm{H}`$ decreases at lower temperatures, reflecting the suppression of the AF fluctuations.

Here we discuss the reason why $`\nu `$ is enhanced in the presence of AF and $`d`$-SC fluctuations: The factor $`\gamma _𝐤A_𝐤`$ in eq.(11) is rewritten as

$`\stackrel{}{Q}_𝐤\stackrel{}{J}_𝐤{\displaystyle \frac{\theta _𝐤^J}{k_{}}}+\left(\stackrel{}{Q}_𝐤\times \stackrel{}{J}_𝐤\right)_z{\displaystyle \frac{}{k_{}}}\mathrm{log}\left(|\stackrel{}{J}_𝐤|/\gamma _k\right).`$ (18)
According to Fig. 1 (ii), the second term with the factor $`\frac{}{k_{}}|\stackrel{}{J}_𝐤|`$ should cause the enhancement of $`\nu `$ in the pseudo-gap region: It does survive because $`\stackrel{}{J}_𝐤`$ is not parallel to $`\stackrel{}{Q}_𝐤`$ due to the VC’s by strong AF fluctuations. In contrast, this term vanishes identically within the RTA because of $`\stackrel{}{v}_𝐤\stackrel{}{q}_𝐤`$.

Finally, we discuss the MR, $`\mathrm{\Delta }\rho /\rho `$, in the pseudo-gap region. Figure 4 shows the calculated $`\mathrm{\Delta }\rho /\rho `$ vs $`\mathrm{tan}^2\theta _\mathrm{H}=(\sigma _{xy}/\sigma )^2`$ for the filling $`n=0.92`$. First, in the FLEX approximation (AF only), $`\mathrm{\Delta }\rho /\rho \mathrm{tan}^m\theta _\mathrm{H}`$ and $`m1.5`$ is approximately satisfied. Note that $`m2`$ is obtained for $`n0.85`$ by the FLEX approximation , which is called the modified Kohler rule observed in high-Tc cuprates for $`T>T^{}`$ . In contrast, according to the present FLEX+T-matrix approximation where the effect of SC fluctuations is involved (AF+SC), the relation $`\mathrm{\Delta }\rho /\rho \mathrm{tan}^m\theta _\mathrm{H}`$ is prominently violated in the pseudo-gap region: As shown in fig. 4, $`\mathrm{\Delta }\rho /\rho `$ starts to increase abruptly below $`T^{}0.03`$, while the suppression of $`\mathrm{tan}\theta _\mathrm{H}`$ starts at the same time. The obtained result is very well consistent with experiments .

Now, we discuss why $`\mathrm{\Delta }\rho /\rho `$ increases drastically below $`T^{}`$: The expression for magnetoconductance ($`\mathrm{\Delta }\sigma _{xx}`$), which is given by eq.(7) of ref. , has a term proportional to $`(\frac{}{k_{}}|J_𝐤|)^2`$. As discussed before, this factor causes the drastic increase of $`\mathrm{\Delta }\rho /\rho `$ below $`T^{}`$ (see fig. 1 (ii)). As a result, we find the reason why both $`\nu `$ and $`\mathrm{\Delta }\rho /\rho `$ are enhanced in the pseudo-gap region. In the meanwhile, other quantities like $`\rho `$, $`R_\mathrm{H}`$ and $`S`$ decrease below $`T^{}`$ because of the lack of the factor $`\frac{}{k_{}}|J_𝐤|`$.

We note that the positive MR below $`T^{}`$ is frequently ascribed to the magnetic field suppression of the transport due to SC fluctuations, which is theoretically expressed as the Aslamazov-Larkin (AL) term. However, one have to assume a rather large coherent length in the under-doped region ($`\stackrel{<}{}`$40Å) to fit the observed huge MR . Instead, the present work naturally explains the increase of $`\mathrm{\Delta }\rho /\rho `$ below $`T^{}`$, as well as $`\nu `$, in terms of the quasiparticle transport phenomena, which is expressed as the infinite series of MT terms.

In summary, we studied the origin of the transport anomaly in the pseudo-gap region using the FLEX+T-matrix approximation. Below $`T^{}`$ in hole-doped compounds, the resistivity, the TEP and the Hall coefficient decrease moderately, whereas the Nernst coefficient and the MR increase drastically. In the present study, we could reproduce the characteristic behaviors of these coefficients satisfactorily. Especially, the drastic increase of $`\nu `$ and $`\mathrm{\Delta }\rho /\rho `$ below $`T^{}`$ is naturally explained as the quasiparticle origin, by taking the VC’s due to the AF and SC fluctuations correctly. Thus, unusual transport properties of high-Tc cuprates are well explained as the quasiparticle transport phenomena.

We are grateful to H. Eisaki, Y. Ando, K. Yamada, T. Saso, K.Ueda and R. Ikeda for comments and discussions.