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# A number-phase Wigner function

## .1 Coherent state

The phase-number Wigner function for a coherent state

$$|\alpha =e^{|\alpha |^2/2}\underset{m=0}{\overset{\mathrm{}}{}}\frac{\alpha ^m}{\sqrt{m!}}|m$$
(13)
is given by

$$W(n,\varphi )=\frac{e^{|\alpha |^2}\alpha ^n}{2\pi \sqrt{n!}}\underset{k=0}{\overset{\mathrm{}}{}}\frac{\alpha ^k\mathrm{cos}[(nk)\varphi ]}{\sqrt{k!}}.$$
(14)
In Fig. (3) it is plotted the phase-number Wigner function for an amplitude $`\alpha =4`$ and $`\varphi =0.5`$. Besides being always positive, it may be noted a smooth behavior.

## .2 Phase-number Wigner function for a Schrödinger cat

A Schrödinger cat, or a superposition of two coherent states may be given by the state

$$|\psi _\alpha =\frac{1}{N_\alpha }(|\alpha +|\alpha ),$$
(15)
with $`N_\alpha `$ is the normalization constant. By writing $`|\psi _\alpha `$ in a number states basis, one finds the phase-number Wigner function as

$$W(n,\varphi )=\frac{e^{|\alpha |^2}\alpha ^n(1+(1)^n)}{2\pi \sqrt{n!}N_\alpha }\underset{k=0}{\overset{\mathrm{}}{}}\frac{\alpha ^k(1+(1)^k)\mathrm{cos}[(nk)\varphi ]}{\sqrt{k!}}.$$
(16)
In Fig. (3) Eq. (15) is plotted. The oscillatory behavior in the photon number and the negativity , both proper of a Schrödinger cat may be clearly observed. Also the two peaks of the coherent states.

## .3 A special superposition of number states

Let us consider the state

$$|\varphi _M=\frac{1}{\sqrt{M+1}}\underset{m=0}{\overset{M}{}}e^{im\varphi _0}|m.$$
(17)
This state tends to have a completely well defined phase as $`M`$ tends to infinity. For this state the phase-number Wigner function reads

$$W(n,\varphi )=\frac{1}{2(M+1)\pi }\underset{k=0}{\overset{M}{}}\mathrm{cos}[(nk)(\varphi \varphi _0)],$$
(18)
that may be put in the form Grad

$$W(n,\varphi )=\frac{1}{2(M+1)\pi }\mathrm{cos}\left[\left(\frac{M}{2}n\right)(\varphi \varphi _0)\right]\mathrm{sin}\left[\frac{M+1}{2}(\varphi \varphi _0)\right]\mathrm{csc}\left(\frac{\varphi \varphi _0}{2}\right)$$
(19)
In Fig. (3) it is plotted (19) for $`M=20`$ and $`\varphi _0=0.7`$. It shows a well defined phase. It is also seen that as $`\varphi `$ approaches the value $`\varphi _0`$ the maximum value for the phase-number Wigner function for the state (17) is obtained. From (19) it may be shown that this value is $`1/2\pi `$. By adding over $`n`$ equation (19) the phase distribution is obtained

$$P(\varphi )=\frac{1}{2(M+1)\pi }\mathrm{sin}^2\left[\frac{M+1}{2}(\varphi \varphi _0)\right]\mathrm{csc}^2\left(\frac{\varphi \varphi _0}{2}\right)$$
(20)
that corresponds to the phase distribution for the state (17).

In conclusion we have constructed a phase-number Wigner function that gives the correct marginal probabilities if added over the photon number or integrated over phase. It was constructed as an analogy to the definition of the position-momentum Wigner function given in (1).

This work was partially supported by CONACYT (Consejo Nacional de Ciencia y Tecnología, Mexico).


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# Spectral Correlation in Incommensurate Multi-Walled Carbon Nanotubes

## Abstract

We investigate the energy spectra of clean incommensurate double-walled carbon nanotubes, and find that the overall spectral properties are described by the critical statistics similar to that known in the Anderson metal-insulator transition. In the energy spectra, there exist three different regimes characterized by Wigner-Dyson, Poisson, and semi-Poisson distributions. This feature implies that the electron transport in incommensurate multi-walled nanotubes can be either diffusive, ballistic, or intermediate between them, depending on the position of the Fermi energy.

Carbon nanotubes have attracted great attention due to their remarkable electrical and mechanical properties saito2 . Many theoretical and experimental studies have demonstrated that single-walled nanotubes (SWNTs) exhibit ballistic electron conduction tans1 ; bockrath , and single-molecule devices utilizing semiconducting SWNTs have been realized tans2 . On the other hand, despite useful applications of multi-walled nanotubes (MWNTs) tsukagoshi , the transport properties of MWNTs are not well understood and even controversial; conductance measurements using scanning probe microscope showed ballistic behavior frank , while magnetoresistances measured for MWNTs on top of metallic gate indicated diffusive conduction langer ; bachtold .

In general, MWNTs have very complex electronic structure, so that a direct use of their transport properties is severely hindered. If concentric carbon shells are especially incommensurate, the Bloch theorem is no longer valid, and the Landauer formula for conductance is not applicable because it is difficult to count the number of conducting channels datta . In fact, several experiments on MWNTs indicated that carbon shells have often different periodicities iijima ; ge . However, electronic structure calculations have been mostly focused for commensurate multi-walled nanotubes so far. Here, instead of directly calculating conductances, we investigate the spectral properties of energy levels in incommensurate MWNTs.

The spectral analysis of energy levels has proven to be a useful tool to probe the nature of eigenstates in disordered conductors montambaux . In the diffusive metallic regime, the statistics of spectral fluctuations is described by the Gaussian orthogonal ensemble (GOE) of random-matrix theory mehta . In this regime, the distribution $`P(s)`$ of energy spacings between nearest levels is well fitted by the Wigner-Dyson surmise $`P_{\mathrm{GOE}}(s)=\frac{\pi }{2}s\mathrm{exp}(\frac{\pi }{4}s^2)`$, where $`s`$ is in units of mean level spacing $`\mathrm{\Delta }`$. In the insulating regime, where the energy levels are uncorrelated, $`P(s)`$ is given by the Poisson distribution, $`P_P(s)=\mathrm{exp}(s)`$. At the Anderson transition point, a critical statistics was found shklovskii . The short-range level correlation has been later described by semi-Poisson distribution montambaux , which has now been an important issue in quantum chaos hernandez ; bogomolny ; bogomolny2 .

In this Letter we make a spectral analysis of the energy levels of clean incommensurate MWNTs, and find that the level statistics is similar to that of the Anderson metal-insulator transition. The energy spectra exhibit both the Wigner-Dyson and Poisson distributions depending on the position of the Fermi level. In addition, we demonstrate that incommensurate MWNTs have an intermediate regime, which satisfies the semi-Poisson statistics.

To investigate the spectral correlation, we consider double-walled carbon nanotubes (DWNTs), because the electrical conduction in MWNTs is believed to be governed by the outermost shells bachtold ; collins . We use a tight-binding model with one $`\pi `$-orbital per carbon atom, which successfully describes the electronic structure of DWNTs saito ; roche . The tight-binding Hamiltonian is given by

$`H=\gamma _0{\displaystyle \underset{i,j}{}}c_j^{}c_iW{\displaystyle \underset{i^{},j^{}}{}}\mathrm{cos}(\theta _{i^{}j^{}})e^{(ad_{i^{}j^{}})/\delta }c_j^{}^{}c_i^{},`$ (1)
where $`\gamma _0`$ (= -2.75 eV) is the hopping parameter between intra-layer nearest neighbor sites, $`i`$ and $`j`$, and $`W`$ (= $`\gamma _0`$/8) is the strength of inter-wall interactions between inter-layer sites, $`i^{}`$ and $`j^{}`$, with the distance of $`d_{i^{}j^{}}`$ and the cut-off for $`d_{i^{}j^{}}>3.9`$ Å. Here $`\theta _{ij}`$ is the angle between two $`\pi `$ orbitals, $`c_i^{}`$ is the annihilation operator of an electron on site $`i^{}`$, $`a`$ (= 3.34 Å) is the distance between two carbon walls, and $`\delta `$ = 0.45 Å.

To extract the fluctuations from the level sequence, it is customary to map the real energy spectra $`\{ϵ_i\}`$ onto the unfolded spectra $`\{E_i\}`$ through $`E_i=\overline{N}(ϵ_i)`$, where $`N(ϵ_i)`$ is the number of levels up to $`ϵ_i`$ and the overline denotes its broadened value haake . Here we use the Gaussian broadening scheme for averaging the energies GMRR . After unfolding, we obtain the distribution $`P(s)`$ as a function of nearest energy spacing, $`s_i=E_iE_{i1}`$ (the mean level spacing of the unfolded spectra equals 1), and the number variance $`\mathrm{\Sigma }(L)=<(n(L,E)L)^2>`$, which represents the variance of the number of levels in the interval $`(EL/2,E+L/2)`$, i.e., $`n(L,E)=N(E+L/2)N(EL/2)`$. The bracket $`<\mathrm{}>`$ denotes the average around the energy $`E`$ on an energy window much larger than the mean level spacing but much smaller than $`E`$.

The two shells of DWNTs are incommensurate if the ratio of the unit cell lengths along the tube axis is irrational. We test many incommensurate DWNTs, where both the shells are metallic or semiconducting, a semiconducting shell is inside a metallic tube, and vice versa. The diameters of the inner and outer tubes are 1.5 and 2.2 nm, respectively, and the nanotube length is set to be about 53 nm. We find the spectral properties are similar for all the incommensurate DWNTs with different helicities. (See the $`P(s)`$ in Figure 1). Since the spectral properties are similar for all the tubes considered here, from here on, we only present the spectral properties of the (16,5)/(23,8) DWNT where the semiconducting (16,5) single-walled tube is aligned inside the metallic (23,8) tube. In the inset of Figure 1, $`\mathrm{\Sigma }(L)`$ is also shown for the (16,5)/(23,8) nanotube. We find that $`P(s)`$ and $`\mathrm{\Sigma }(L)`$ cannot be described by the Poisson distribution or GOE, but, they are well described by the semi-Poisson (SP) distribution hernandez ; bogomolny ; bogomolny2 ;

$`P_{SP}(s)`$ $`=`$ $`4s\mathrm{exp}(2s)`$ (2)
$`\mathrm{\Sigma }_{SP}(L)`$ $`=`$ $`{\displaystyle \frac{L}{2}}+{\displaystyle \frac{1}{8}}(1e^{4L}).`$ (3)
The SP distribution is defined by removing every other level from an ordered Poisson sequence and turned out to be a reference point for the critical statistics of several disordered systems like the Anderson model at mobility edge shklovskii ; braun , and also of other systems without disorder such as pseudo-integrable quantum billiards bogomolny ; bogomolny2 ; wiersig .

While $`P(s)`$ carries information on short-range correlation in the energy spectra, $`\mathrm{\Sigma }(L)`$ contains rather long-range correlation. Usually $`\mathrm{\Sigma }(L)`$ indicates a deviation from the universal value for large $`L`$, thus, the particle dynamics becomes nonuniversal at short time scale. For large $`L`$, the spectral correlation is not universally semi-Poisson but depends on the helicity of nanotubes. The deviation from the SP distribution gives useful information; the linear behavior for large $`L`$, i.e., $`\mathrm{\Sigma }(L)/L\chi `$, represents the level compressibility, and for disordered metals $`\chi `$ was shown to be chalker1

$`\chi ={\displaystyle \frac{1}{2}}\left(1{\displaystyle \frac{D_2}{d}}\right),`$ (4)
where $`D_2`$ is the multifractal exponent of the inverse participation ratio and $`d`$ is the spatial dimension. Here $`D_2/d`$ is related to the ’probability of return’ chalker2 ,

$`p(t)t^{D_2/d}.`$ (5)
Our incommensurate DWNT behave as a two-dimensional systems ($`d=2`$) with off-diagonal disorder, which has a mixed boundary between periodic and hard-wall conditions. From the inset in Fig. 1, we estimate $`D_2/d`$ to be about 0.32 for the DWNT considered here. While $`p(t)t^{d/2}`$ in normal diffusion, our system exhibits anomalous diffusion, which was also found by previous wavepacket spreading calculations roche .

The SP distribution in Fig. 1 is mostly contributed from the region of large $`|E|`$, where the density of states (DOS) is high, while the energy statistics is usually not independent of the energy regime. Since real electron conductions occur near the Fermi level, it is instructive to examine the energy-level statistics on various energy windows. Although we discuss the level statistics when the Fermi level increases, we find similar statistics for the downward shift of the Fermi level, which usually occurs in hole-doped tubes.

In the level statistics, we remove the states lying between 0 and 0.08 eV, which are associated with the localized states near the sample boundary due to the finite size of the system. In Fig. 2(a), $`P(s)`$ is drawn for low energy states from 0.08 to 1.3 eV, and exhibits the Poisson distribution, indicating that the energy levels are uncorrelated. Single-wall nanotubes, which are constituents of the DWNT, are approximately described in terms of $`P_P(s)`$ and $`\delta (s)`$. In this case, the delta-function peak results from the doubly degenerate states due to inversion symmetry. If inter-wall interactions are absent in the DWNT, a superposition of two independent spectra of the nanotube constituents is also described by the Poisson and delta functions.

When inter-wall interactions break the degeneracy, smearing out the delta-function peak, $`P(s)`$ is still Poisson-like, as shown in Fig. 2(a), implying that the energy mixing between the two carbon shells is insignificant for low energies. In the low energy regime, it is useful to use the Landauer formula,

$`G={\displaystyle \frac{2e^2}{h}}{\displaystyle \underset{i}{}}T_i(E_F),`$ (6)
where $`T_i(E_F)`$ is the transmission probability of the channel $`i`$ obtained from the band structure calculations at the Fermi energy $`E_F`$ datta . Our results infer that quantized conductances observed in MWNTs frank  may be due to the fact that the Fermi level is close to the charge neutrality point, $`E_F0`$. However, it is usually very difficult to find experimentally the location of the Fermi level.

As the Fermi level is shifted further, since the mean level spacing becomes smaller and the inter-wall interaction matrix elements become more significant, the inter-wall interactions induce a more significant mixing of the energy levels between the carbon shells. For higher energy states, we find that $`P(s)`$ follows the SP distribution, as shown in Figs. 2(b) and (d). The quantum conductance in this regime still remains a challenging problem. In particular, it is a nontrivial but important task to find the tube length dependence of quantum conductance in this regime. Recent calculations yoon  showed negligible inter-wall tunneling currents for the tube length of 1 $`\mu `$m, but it is questionable whether one can use the Bardeen’s formalism for DWNTs where the coherent back-tunneling between carbon shells is non-negligible. According to the weak localization formula, $`\delta \sigma 𝑑tp(t)`$, with Eq. (5), conductances may depend on the tube length. However, the weak localization formula considers only the interference of the pair of time-reversal paths, which is not guaranteed in the critical regime.

In Fig. 2(c), one can see that the critical statistics evolves to the GOE as going to the higher energy region, where $`P(s)`$ is quite close to the Wigner-Dyson surmise. We also find the GOE-like statistics for both $`P(s)`$ and $`\mathrm{\Sigma }(L)`$ in all the incommensurate DWNTs tested here. The appearance of the GOE-like behavior indicates that all the symmetries except for time-reversal symmetry are effectively broken, and the corresponding electron motion is ergodic. In this regime, the conductivity of MWNTs may be described by the weak localization theory. One should also note that the weak localization theory is applicable for energies higher than those in the first critical regime, because the sequence of statistics with increasing energy is $`\text{Poisson}\text{SP}\text{GOE}\text{SP}`$ .

In MWNTs on top of metallic gates, the details of contacts, local excessive charges, and depletion of charge carriers may change the position of the Fermi level xue . Based on our results, we guess that in conductance measurements tans1 ; tans2 ; bachtold , the Fermi level is shifted to the GOE regime or to the critical regime (close to the GOE) where conductivity is properly described by the weak localization formula.

The calculated variances over every 1000 consecutive levels are compared with the densities of states for two different DWNTs in Fig. 3. The size of fluctuations of the level spacing is dictated by the spectral statistics;

$`<(s<s>)^2>={\displaystyle _0^{\mathrm{}}}𝑑s(s1)^2P(s)`$
$`=`$ $`1,{\displaystyle \frac{1}{2}},{\displaystyle \frac{4}{\pi }}1(\mathrm{Poisson},\mathrm{SP},\mathrm{GOE}).`$
It is expected that the effect of inter-wall interactions on the level spacing is most significant when the mean level spacing $`\mathrm{\Delta }`$ is minimum near $`E=\pm \gamma _0=\pm 2.75eV`$, where the maximum DOS occurs on a graphene sheet. One can see $`<(s<s>)^2>=\frac{4}{\pi }10.27`$ near $`E=\pm \gamma _0=\pm 2.75eV`$, which is a signature of GOE distribution. The variances larger than 1 near $`E=0`$ are due to the fact that $`P(s)`$ is not completely Poisson-like because the degenerate levels of each nanotube layer are not completely lifted up.

We find that a transition from the Poisson-like to SP-like statistics occurs at lower energies as the diameter of nanotubes increases. One of the reasons for this trend seems that the DOS is enhanced for nanotubes with larger diameters. The transition energy is close to 1 eV in the (43,8)/(51,9) DWNT with the outer and inner diameters of 4.4 and 3.7 nm, respectively, while it is higher than 1 eV for the (16,5)/(23,8) tube with the diameters of 2.2 and 1.5 nm, as shown in Fig. 3. Since experimentally measured diameters of MWNTs are often in the range of 10 nm, we expect that the crossover of spectral statistics occurs at energies lower than 1 eV.

Very recently, Kociak and his co-workerskociak  measured the conductance of a DWNT whose two tubes have a gap and showed linear conductance near the Fermi level. The linear conductance or a finite DOS near the Fermi level indicates that the Fermi level indeed can be shifted far from the charge neutral point.

Finally, we point out that the spectral statistics might be probed through conductance measurements in the Coulomb blockade regimebuitelaar ; woodside . The temperature should be low enough to ensure that $`k_BT<U,\mathrm{\Delta }`$, where $`U`$ is the charging energy of nanotube dot. In the resonant tunneling regime, where electron tunnels through one quantum level, if electron-electron interactions are not too strong ahn , the conductance peak spacing with varying the gate voltage provides information on the single-particle energy spacing.

In conclusion, we have shown that the spectral statistics of incommensurate double-walled nanotubes follows the Poisson, GOE, or SP distribution, depending on the energy window, while the overall states are well described by the SP distribution. This results indicate that the nature of electron transport in multi-walled nanotubes can be either ballistic, diffusive, or critical, depending on the position of the Fermi level. It is questioned whether the usual weak localization correction is relevant to existing experiments. The Coulomb blockade oscillation in nanotube dots is suggested to investigate the spectral statistics in this work.

###### Acknowledgements.

The authors acknowledge J. Ihm, J. Yu, B. L. Altshuler, G. Montambaux, K. Richter, S. Evangelou, H.-S. Sim, G. Cuniberti, and H.-W. Lee for useful discussions. This work was supported by QSRC and Brain Korea 21 project.


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# 1 Introduction

## 1 Introduction

Let $`X`$ be an irreducible smooth projective curve of genus $`g`$ over an algebraically closed field $`k`$ of characteristic $`p>0`$, and $`F:XX`$ the absolute Frobenius morphism on $`X`$. It is known that pulling back a stable vector bundle on $`X`$ by $`F`$ may destroy stability. One may measure the failure of (semi-)stability by the Harder-Narasimhan polygons of vector bundles.

In more formal language, let $`n2`$ be an integer, $``$ the coarse moduli space of stable vector bundles of rank $`n`$ and a fixed degree on $`X`$. Applying a theorem of Shatz to the pull-back by $`F`$ of the universal bundle (assuming the existence) on $``$, we see that $``$ has a canonical stratification by Harder-Narasimhan polygons (). We call this the Frobenius stratification. This interesting extra structure on $``$ is a feature of characteristic $`p>0`$. However, very little is known about the strata of the Frobenius stratification. Scattered constructions of points outside of the largest (semi-stable) stratum can be found in , , . Complete classification of such points is only known when $`p=2`$, $`n=2`$, and $`g=2`$ by  and .

Our main result here settles the problem for the case of $`p=2`$ and $`n=2`$. On any curve $`X`$ of genus $`2`$, we provide a complete classification of rank-$`2`$ semi-stable vector bundles $`V`$ with $`F^{}V`$ not semi-stable. This also shows that the bound in \[20, Theorem 3.1\] is sharp. We also obtain fairly good information about the locus destabilized by Frobenius in the moduli space, including the irreducibility and the dimension of each non-empty Frobenius stratum. In particular we show that the locus of Frobenius destabilized bundles has dimension $`3g4`$ in the moduli space of semi-stable bundles of rank two. An interesting consequence of our classification is that high instability of $`F^{}V`$ implies high stability of $`V`$.

In addition, we show that the Gunning bundle descends when $`g`$ is even. If $`g`$ is odd, then the Gunning bundle twisted by any odd degree line bundle also descends.

We also construct stable bundles that are destabilized by Frobenius in the following situations: (1) $`p=2`$ and $`n=4`$, (2) $`p=n=3`$, (3) $`p=n=5`$ and $`g3`$.

The problem studied here can be cast in the generality of principal $`G`$-bundles over $`X`$, where $`G`$ is a connected reductive group over $`k`$. More precisely, consider the pull-back by $`F`$ of the universal object on the moduli stack of semi-stable principal $`G`$-bundles on $`X`$. Atiyah-Bott’s generalization of the Harder-Narasimhan filtration should then give a canonical stratification of the moduli stack (, see also ).

There is a connection between Frobenius destabilized bundles and (pre)-opers. The investigation of this connection is largely inspired by . The new phenomena we observe here is that, in characteristic $`p>0`$, pre-opers exist and they need not be opers (indeed all the examples of pre-opers provided here are not opers). When $`p=0`$, all pre-opers are opers.

The results of this paper were discovered independently by the first two authors and the last two authors. When it was realized that there was a considerable overlap in the techniques and the results, we decided to write it jointly. The last two named authors thank C.-L. Chai for discussions and also wish to thank the hospitality of the National Center for Theoretical Sciences, Hsinchu, Taiwan.

## 2 Generalities

### 2.1

notations The following notations are in force throughout this paper unless otherwise specified. Let $`X`$ be a smooth, projective curve of genus $`g2`$ over an algebraically closed field $`k`$ of characteristic $`p>0`$. Let $`\mathrm{\Omega }_X^1`$ be the sheaf of 1-forms on $`X`$ and $`T_X`$ the tangent bundle of $`X`$.

Let $`V`$ be a vector bundle on $`X`$ and denote by $`F^{}(V)`$ the pull-back of $`V`$ by $`F`$. If $`V=L`$ is a line bundle, then $`F^{}(L)=L^p`$. We write $`V^{}=Hom_{𝒪_X}(V,𝒪_X)`$ for the dual bundle of $`V`$. Denote by $`\chi (V)`$ the Euler characteristic of $`V`$. By Riemann-Roch,

$$\chi (E)=\mathrm{deg}(V)+rank(V)(1g).$$

Denote by $`\mu (V)=\mathrm{deg}(V)/rank(V)`$, the slope of $`V`$.

### 2.2

stablity A vector bundle $`V`$ is stable (resp. semi-stable) if for any non-zero sub-bundle $`WV`$, $`\mu (W)<\mu (V)`$ (resp. $`\mu (W)\mu (V)`$). A non-zero sub-bundle $`WV`$ with $`\mu (W)\mu (V)`$ will be called a destabilizing sub-bundle.

### 2.3

harder-narasimhan Let $`V`$ be a vector bundle on $`X`$. Then there exists a unique filtration (see \[15, 5.4\]), called the Harder-Narasimhan filtration, by sub-bundles

$$0=V_0V_1\mathrm{}V_{h1}V_h=V$$

such that $`V_i/V_{i1}`$ is semi-stable of slope $`\mu _i`$ and

$$\mu _1>\mu _2>\mathrm{}>\mu _h.$$

The data of $`(dim(V_i/V_{i1}),\mu _i)`$ can be encoded into a polygon, called the Harder-Narasimhan polygon (see \[15, 11.1\]). The Harder-Narasimhan polygon can be regarded as a measure of instability.

### 2.4

A measure of stability Following , for a rank-$`2`$ vector bundle $`V`$, we put

$$s(V)=\mathrm{deg}(V)2\mathrm{max}\{\mathrm{deg}(L):LV\},$$

where the maximum is taken over all rank-$`1`$ sub-bundle of $`V`$. By definition, $`s(V)>0`$ (resp. $`s(V)0`$) if and only if $`V`$ is stable (resp. semi-stable). When $`s(V)0`$, the information of $`(s(V),\mathrm{deg}(V))`$ is the same as that of the Harder-Narasimhan polygon of $`V`$. Therefore, one may regard $`s`$ as a measure of stability extrapolating the Harder-Narasimhan polygons, though it is only for the rank-$`2`$ case (for possible variants for the higher rank case, see ; for general reductive group, see ).

### 2.5

For any vector bundle with a connection $`(V,)`$, there exists a $`p`$-linear morphism of $`𝒪_X`$-modules, called the $`p`$-curvature of $``$,

$$\psi :T_XEnd(V)$$

which measures the obstruction to the Lie algebra homomorphism $`:T_XEnd(V)`$ being a homomorphism of $`p`$-Lie algebras. A connection is $`p`$-flat if $`\psi `$ is zero. A vector bundle is $`p`$-flat if it admits a $`p`$-flat connection.

By a theorem of Cartier (\[11, Theorem 5.1, page 190\]), there exists a vector bundle $`W`$ on $`X`$ such that $`F^{}(W)V`$ if and only if $`V`$ carries a $`p`$-flat connection

$$:V\mathrm{\Omega }_X^1V$$

such that the natural map

$$F^{}(V^{=0})V,$$

(where $`V^{=0}`$ is the module of flat sections considered as an $`𝒪_X`$-module), is an isomorphism.

### 2.6

Suppose $`(V,)`$ is a vector bundle with a connection and $`WV`$ a sub-bundle. Then there is a natural map (the second fundamental form)

$$T_XHom(W,V/W),$$

which is zero if and only if $``$ preserves $`W`$. By Cartier’s theorem, if $`(V,)`$ is $`p`$-flat and $`WV`$ is a sub-bundle preserved by $``$, then $``$ restricts to a $`p`$-flat connection on $`W`$.

### 2.7

Let $`B_1`$ be the vector bundle defined by the exact sequence

$$0𝒪_XF_{}(𝒪_X)B_10$$

The bundle $`B_1`$ is semi-stable of slope $`g1`$ (and degree $`(p1)(g1)`$); moreover, for $`p>2`$, $`F^{}(B_1)`$ is not semi-stable . For $`p=2`$, $`B_1`$ is a theta characteristic, i.e. $`B_1^2=\mathrm{\Omega }_X^1`$ . By \[18, Proposition 1.1\], $`B_1`$ is stable when $`p=3`$ and $`g2`$.

###### Lemma 2.8

Let $`L`$ be a line bundle on $`X`$. Then

$$det(F_{}L)=det(B_1)L.$$

Proof. See \[8, Chapter 4, Exercise 2.6\].

### 2.9

Let $`V`$ be a vector bundle on $`X`$. Then

$$\mathrm{deg}(F_{}V)=\mathrm{deg}(V)+rank(V)\mathrm{deg}(B_1).$$

This follows from Riemann-Roch and the fact that $`\chi (F_{}V)=\chi (V)`$ or by 2.8. In particular

$$\mu (F_{}V)=\frac{1}{p}\mu (V)+(1\frac{1}{p})(g1).$$

### 2.10

duality Let $`V`$ be a vector bundle on $`X`$. Following \[17, section 1.16, page 70\], we have

$$F_{}(V)^{}F_{}\left(V^{}(\mathrm{\Omega }_X^1)^{(1p)}\right).$$

Thus the dual of $`F_{}(V)`$ is of the form $`F_{}(V^{})`$. We will often make use of this fact together with the following simple lemma.

###### Lemma 2.10.0.0.1

Let $`V`$ be a vector bundle of rank $`n`$ on $`X`$, $`m`$ an integer such that $`0<m<n`$. The following are equivalent:

* for all sub-bundle $`W`$ of $`V`$ of rank $`m`$, we have $`\mu (W)<\mu (V)`$ (resp. $`\mu (W)\mu (V)`$);
* for all sub-bundle $`W^{}`$ of $`V^{}`$ of rank $`nm`$, we have $`\mu (W^{})<\mu (V^{})`$ (resp. $`\mu (W^{})\mu (V^{})`$).

## 3 A general construction

###### Proposition 3.1

Let $`V`$ be a vector bundle on $`X`$. Then the adjunction map $`F^{}(F_{}(V))V`$ is surjective and $`\mu (F^{}(F_{}(V)))=\mu (V)+(p1)(g1)>\mu (V)`$.

Proof. The surjectivity of the adjunction map is easily check by a local calculation. The formula for slope follows from 2.9. Hence $`\mu (F^{}(F_{}(V)))>\mu (V)`$.

###### Remark 3.1.0.0.1

In LABEL:canonical-filtration, we prove a stronger assertion: $`F^{}(F_{}(V))`$ is highly unstable whenever $`V`$ is semi-stable.

###### Proposition 3.2

Let $`V`$ be a semi-stable bundle on $`X`$.

* For any rank-$`1`$ sub-bundle $`L`$ of $`F_{}V`$, we have

$$\mu (L)\mu (F_{}V)\frac{(p1)(g1)}{p}.$$
* For any rank-$`2`$ sub-bundle $`E`$ of $`F_{}V`$, we have

$$\mu (E)\mu (F_{}V)\frac{1}{p}\left(\frac{pg}{2}pg+1\right).$$

Proof. If $`LF_{}V`$ is a line sub-bundle, then by adjunction, there is a non-zero morphism $`F^{}LV`$. Therefore, $`\mu (F^{}L)\mu (V)`$; i.e., $`p\mu (L)\mu (V)=p\mu (F_{}V)(p1)(g1)`$. Here we have made use of the formulas in 2.9. This proves (i).

Let $`EF_{}V`$ be a sub-bundle of rank $`2`$. Then by a theorem of Nagata , there is a line sub-bundle $`LE`$ such that $`\mu (L)\mu (E)g/2`$. Thus we have $`\mu (E)\mu (L)+g/2\mu (F_{}V)(p1)(g1)/p+g/2`$. This proves (ii).

###### Theorem 3.3

(i) Let $`p=2`$ and $`V`$ a stable bundle of rank two and even degree on $`X`$. Then $`F_{}(V)`$ is a semi-stable bundle of rank 4 and $`F^{}(F_{}(V))`$ is not semi-stable. (ii) Suppose $`p=3`$ (resp. $`g3`$ and $`p=5`$). Let $`V`$ be a line bundle on $`X`$. Then the bundle $`F_{}(V)`$ is a stable bundle of rank 3 (resp. 5) and $`F^{}(F_{}(V))`$ is not semi-stable.

Proof. (i) By LABEL:duality and 3.1, it suffices to show that for any sub-bundle $`E`$ of $`F_{}V`$ of rank $`2`$, we have $`\mu (E)\mu (F_{}V)`$. This is clear when $`rankE=1`$ by 3.2 (i). Suppose that $`rankE=2`$ and $`\mu (E)>\mu (F_{}V)`$. The proof of 3.2 (ii) gives a line bundle $`LE`$ such that $`\mu (E)\mu (L)+g/2\mu (F_{}V)+1/2`$.

The assumption that $`\mathrm{deg}V`$ is even implies that $`\mu (F_{}V)\frac{1}{2}`$. Thus we must have $`\mu (E)=\mu (L)+g/2=\mu (F_{}V)+1/2`$. This gives $`\mu (L)=\frac{1}{2}\mu (V)`$ and $`\mu (F^{}L)=\mu (V)`$, contradicting the stability of $`V`$ as there is a non-zero morphism $`F^{}LV`$ by adjunction.

(ii) By LABEL:duality and 3.1, it suffices to check that $`F_{}V`$ does not have a destabilizing sub-bundle of rank $`1`$ (resp. $`2`$). This is immediate from 3.2.

## 4 A detailed study of the case of rank $`2`$ and characteristic $`2`$

Throughout this section, $`p=2`$. We present our main results on the classification of rank-$`2`$ vector bundles destabilized by Frobenius, as well as the geometry of the Frobenius stratification.

### 4.1 W

e begin with an interesting observation about Gunning extensions, though this result is not needed in the sequel. Recall that $`B_1`$ is a theta-characteristic \[19, §4\]. The unique non-trivial extension $`0B_1WB_1^10`$ is called the Gunning extension and the bundle $`W`$ is called the Gunning bundle.

###### Proposition 4.1.0.0.1

Let $`\xi `$ be a line bundle and $`V=F_{}(\xi B_1^1)`$. The extension

(\*)
$$0\xi B_1F^{}V\xi B_1^10$$

defines a class in $`Ext^1(\xi B_1^1,\xi B_1)H^1(X,B_1^2)k`$. This class is trivial precisely when $`\mathrm{deg}(\xi B_1^1)`$ is even.

Proof. Suppose that $`\mathrm{deg}(\xi B_1^1)`$ is even. Then we can write $`L=\xi B_1^1=M^2`$. By \[10, §2\], there is an exact sequence $`0MVMB_10`$. Pulling back by $`F`$, we get $`0LF^{}VLB_1^20`$. This shows that $`()`$ is split.

Suppose that $`L=\xi B_1^1`$ has odd degree $`2n+1`$. By a theorem of Nagata (, Cf. Remark LABEL:moduli), there is an exact sequence $`0M_1VM_20`$, where $`M_1,M_2`$ are line bundles with degrees $`n`$ and $`n+g`$ respectively. From the exact sequence $`0M_1^2F^{}VM_2^20`$, we deduce that $`dimHom(L,F^{}V)dimHom(L,M_1^2)+dimHom(L,M_2^2)=0+g=g`$ by the Riemann-Roch formula. Since $`Hom(L,\xi B_1)=H^0(X,B_1^2)`$ has dimension $`g`$, any morphism $`LF^{}V`$ factors through the sub-module $`\xi B_1`$ in $`()`$. Therefore, $`()`$ is not split.

###### Corollary 4.1.0.0.2

Let $`W`$ be the Gunning bundle and $`\xi `$ a line bundle of degree $`g(mod2)`$. Then there exists a stable bundle $`V`$ such that $`F^{}VW\xi `$. In particular, if $`g`$ is even, then the Gunning bundle $`W`$ is the Frobenius pull-back of a stable bundle.

###### Remark 4.1.0.0.3

This corollary is implicit in  in the case of an ordinary curve with $`g=2,p=2`$. In , Gieseker proved (by different methods) an analogous result in any characteristic when $`X`$ is a Mumford curve.

### 4.2

cons Henceforth, fix an integer $`d`$. For an injection $`V^{}V^{\prime \prime }`$ of vector bundles of the same rank, define the co-length $`l`$ of $`V^{}`$ in $`V^{\prime \prime }`$ to be the length of the torsion $`𝒪_X`$-module $`V^{\prime \prime }/V^{}`$. Clearly, $`s(V^{})s(V^{\prime \prime })l`$.

We now give a basic construction of stable vector bundles $`V`$ of rank $`2`$ with $`F^{}V`$ not semi-stable. Let $`lg2`$ be a non-negative integer, $`L`$ a line bundle of degree $`d1(g2l)`$, and $`V`$ a sub-module of $`F_{}L`$ of co-length $`l`$, then $`\mathrm{deg}V=d`$ and $`s(V)(g1)l>0`$ by 3.2. Therefore, $`V`$ is stable.

On the other hand, by adjunction, there is a morphism $`F^{}VL`$, and the kernel is a line bundle of degree $`d+1+(g2l)>d=\mathrm{deg}(F^{}V)/2`$. Therefore, $`F^{}V`$ is not semi-stable.

### 4.3

exh Suppose that $`V`$ is semi-stable of rank $`2`$ and $`F^{}V`$ is not semi-stable.

Let $`\xi =det(V)`$ and $`d=\mathrm{deg}\xi =\mathrm{deg}V`$. Since $`F^{}V`$ is not semi-stable and of degree $`2d`$, there are line bundles $`L,L^{}`$ and an exact sequence $`0L^{}F^{}VL0`$ with $`\mathrm{deg}L^{}d+1`$, $`\mathrm{deg}Ld1`$. By adjunction, this provides a non-zero morphism $`VF_{}L`$. If the image is a line bundle $`M`$, we have $`\mathrm{deg}Md/2`$ by semi-stability of $`V`$, and $`\mathrm{deg}M(d1+g1)/2(g1)/2=(d1)/2`$ by 3.2. This is a contradiction.

Thus the image is of rank $`2`$. Since $`\mathrm{deg}V=d`$ and $`\mathrm{deg}(F_{}L)d+(g2)`$, $`V`$ is a sub-module of $`F_{}L`$ of co-length $`lg2`$, and $`\mathrm{deg}L=d1(g2l)`$.

Thus the basic construction yields all semi-stable vector bundles $`V`$ of rank $`2`$, with $`F^{}V`$ not semi-stable.

###### Corollary 4.3.1

If $`V`$ is semi-stable of rank $`2`$ with $`F^{}V`$ not semi-stable, then $`V`$ is actually stable.

###### Corollary 4.3.2

The basic construction with $`l=g2`$ already yields all semi-stable vector bundles $`V`$ of rank $`2`$, with $`F^{}V`$ not semi-stable.

Proof. In fact, if $`l<l^{}g2`$ and $`L^{}=L𝒪(D)`$ for some effective divisor $`D`$ of degree $`l^{}l`$ on $`X`$, then $`VF_{}LF_{}L^{}`$. Hence $`V`$ is also a sub-module of $`F_{}L^{}`$ of co-length $`l^{}`$. Thus $`V`$ arises from the basic construction with $`(l^{},L^{})`$ playing the role of $`(l,L)`$.

### 4.4

cls Let $`L`$ be a line bundle and let $`Q=Q_l=Q_{l,L}=Quot_l(F_{}L/X/k)`$ be the scheme classifying sub-modules of $`F_{}L`$ of co-length $`l`$ (\[7, 3.2\]). Let

$$𝒱𝒪_QF_{}L=(id\times F)_{}(𝒪_QL)$$

(sheaves on $`Q\times X`$) be the universal object on $`Q`$. By adjunction, we have a morphism $`(1\times F)^{}𝒱𝒪_QL`$. Let $``$ be the cokernel. Then $`pr_{}`$ is a coherent sheaf on $`Q`$, where $`pr:Q\times XQ`$ is the projection (\[8, II.5.20\]). By \[8, III.12.7.2\], the subset

$$\{qQ:dim_{\kappa (q)}((pr_{})\kappa (q)>0\}$$

is closed. Its complement is an open sub-scheme, denoted by $`Q^{}=Q_l^{}=Q_{l,L}^{}`$, of $`Q`$. Then $`Q^{}`$ parameterizes those $`V`$’s with surjective $`F^{}VL`$.

Let $`\overline{}`$ be the coarse moduli space of rank-$`2`$ semi-stable vector bundles of degree $`d`$ on $`X`$. Let $``$ be the open sub-scheme parameterizing stable vector bundles and and $`_1(k)\overline{}(k)`$ the subset of those $`V`$’s such that $`F^{}V`$ is not semi-stable. By 4.3.1, $`_1(k)(k)`$.

###### Proposition 4.4.0.0.1

The basic construction gives a bijection

$$\underset{\genfrac{}{}{0.0pt}{}{0lg2}{\mathrm{deg}L=d1(g2l)}}{}Q_{l,L}^{}(k)_1(k),$$

where the disjoint union is taken over all $`l[0,g2]`$ and a set of representatives of all isomorphism classes of line bundles $`L`$ of degree $`d1(g2l)`$.

Proof. By LABEL:exh, the map is a surjection. Now suppose that $`(l,L,VF_{}L)`$ and $`(l^{},L^{},V^{}F_{}L^{})`$ give the same point in $`_1(k)`$, i.e. $`VV^{}`$. Since the unstable bundle $`F^{}V`$ has a unique quotient line bundle of degree $`<\mathrm{deg}(V)/2`$ (i.e. the second graded piece of the Harder-Narasimhan filtration), which is isomorphic to $`L`$, we must have $`L=L^{}`$. Consider the diagram

where the vertical arrow is induced from an isomorphism $`V\stackrel{}{\text{}}V^{}`$ and the horizontal arrows are the unique quotient maps. This diagram is commutative up to a multiplicative scalar in $`k^{}`$. By adjunction, $`VF_{}L`$ and $`V^{}F_{}L`$ have the same image. In other words, $`V=V^{}`$ as sub-modules of $`F_{}L`$. This proves the injectivity of the map.

### 4.5

moduli To ease the notation, let $`d_l=d1(g2l)`$. Let $`Pic^{d_l}X`$ be the moduli space of line bundles of degree $`d_l`$ on $`X`$, and $`Pic^{d_l}(X)\times X`$ the universal line bundle.

By \[7, 3.2\], there is a scheme $`𝒬=𝒬_l=Quot_l\left((id\times F)_{}/(Pic^{d_l}(X)\times X)/Pic^{d_l}X\right)\stackrel{\pi }{\text{}}Pic^{d_l}X`$ such that $`𝒬_x`$ (the fiber at $`x`$) is $`Q__x`$ for all $`x(Pic^{d_l}X)(k)`$. By the same argument as before, there is an open sub-scheme $`𝒬^{}𝒬`$ such that $`𝒬_x^{}=Q__x^{}`$ for all $`xPic^{d_l}(X)(k)`$. The scheme $`𝒬`$ is projective over $`Pic^{d_l}(X)`$ (\[7, 3.2\]), hence is proper over $`k`$. By checking the condition of formal smoothness (cf. \[15, 8.2.1\]), it can be shown that $`𝒬`$ is smooth over $`Pic^{d_l}(X)`$, hence is smooth over $`k`$.

The Frobenius stratification on the coarse moduli scheme $``$ is defined canonically using Harder-Narasimhan polygons of Frobenius pull-backs . Concretely, for $`j0`$, let $`P_j`$ be the polygon from $`(0,0)`$ to $`(1,d+j)`$ to $`(0,2d)`$. Let $`_0=\overline{}`$, and for $`j1`$, let $`_j(k)`$ be the subset of $`\overline{}(k)`$ parameterizing those $`V`$’s such that the Harder-Narasimhan polygons (\[15, 11.1\]) of $`F^{}V`$ lie above or are equal to $`P_j`$. Notice that $`_1(k)`$ agrees with the one defined in LABEL:cls.

As mentioned in the introduction, the existence of a universal bundle on $``$ would imply that each $`_j(k)`$ is Zariski closed by Shatz’s theorem \[15, 11.1, last remark\]. In general, one can show that $`_j(k)`$ is closed by examining the GIT (geometric invariant theory) construction of $`\overline{}`$. This fact also follows from our basic construction:

###### Theorem 4.5.0.0.1

The subset $`_j(k)`$ is Zariski closed in $`\overline{}(k)`$, hence underlies a reduced closed sub-scheme $`_j`$ of $`\overline{}`$. The scheme $`_j`$ is proper. The Frobenius stratum $`_j_{j+1}`$ is non-empty precisely when $`0jg1`$. For $`1jg1`$, write $`l=g1j`$. Then there is a canonical morphism

$$𝒬_l\overline{}$$

which has scheme-theoretic image $`_j`$ and induces a bijection from $`𝒬_l^{}(k)`$ to $`_j(k)_{j+1}(k)`$.

Proof. Suppose $`0lg2`$ and $`j+l=g1`$. The universal object $`𝒱𝒬_l\times X`$ is a family of stable vector bundles on $`X`$. This induces a canonical morphism $`𝒬_l\overline{}`$. The image of $`𝒬_l(k)`$ is precisely $`_j(k)`$ by (the proof of) 4.3.2. Since $`𝒬_l`$ is proper, $`_j`$ is proper and closed in $`\overline{}`$. The rest of the proposition follows from LABEL:cls and LABEL:exh, and the fact that $`𝒬_l^{}(k)`$ is non-empty for $`0lg2`$ (see 4.6.3).

###### Remark 4.5.0.0.2

By a theorem of Nagata (, ), $`s(V)g`$ for all $`V`$. Therefore, $`s(V)g`$ if $`\mathrm{deg}Vg(mod2)`$, and $`s(V)g1`$ if $`\mathrm{deg}Vg(mod2)`$. By 3.2, $`V=F_{}L`$ achieves the maximum value of $`s`$ among rank-$`2`$ vector bundles of the same degree.

By the preceding theorem, vector bundles of the form $`V=F_{}L`$ are precisely members of the smallest non-empty Harder-Narasimhan stratum $`_{g1}`$. Therefore, in a sense $`V`$ is most stable yet $`F^{}V`$ is most unstable. More generally, for $`1jg1`$, we have (from LABEL:cons)

$$s(_j(k))\{\begin{array}{cc}j\hfill & \text{if }dj(mod2)\text{,}\hfill \\ j+1\hfill & \text{if }dj(mod2)\text{.}\hfill \end{array}$$

Therefore, high instability of $`F^{}V`$ implies high stability of $`V`$.

### 4.6

irr We will make use of the following simple lemma.

###### Lemma 4.6.1

Let $`Y`$ be a proper scheme over $`k`$, $`S`$ an irreducible scheme of finite type over $`k`$ of dimension $`s`$, $`r`$ an integer $`0`$, and $`f:YS`$ a surjective morphism. Suppose that all fibers of $`f`$ are irreducible of dimension $`r`$. Then $`Y`$ is irreducible of dimension $`s+r`$.

###### Lemma 4.6.2

The scheme $`𝒬=𝒬_l`$ is irreducible of dimension $`2l+g`$.

Proof. There is a surjective morphism (\[7, §6\])

$$\delta :𝒬Div^l(X)=Sym^l(X),q\underset{PX(k)}{}length_{𝒪_P}((F_{}_{\pi (q)})/𝒱_q)P.$$

The morphism $`𝒬Div^l(X)\times Pic^{d_l}(X)`$ is again a surjection. The fibers are irreducible schemes of dimension $`l`$ according to the last lemma of . Since $`𝒬`$ is proper, the result follows from 4.6.1.

###### Lemma 4.6.3

$`𝒬^{}`$ is open and dense in $`𝒬`$.

Proof. By the construction in LABEL:cls and LABEL:moduli, $`𝒬^{}`$ is open in $`𝒬`$. Since $`𝒬`$ is irreducible of dimension $`2l+g`$, it suffices to show that $`𝒬^{}`$ is non-empty. We will do more by exhibiting an open subset of $`𝒬^{}`$ of dimension $`2l+g`$.

Indeed, let $`B(X,l)Div^l(X)`$ be the open sub-scheme parameterizing multiplicity-free divisors of degree $`l`$, also known as the configuration space of unordered $`l`$ points in $`X`$. Let $`U`$ be the inverse image of $`B(X,l)\times Pic^{d_l}(X)`$ under $`𝒬^{}Div^l(X)\times Pic^{d_l}(X)`$. A quick calculation shows that each fiber of $`UB(X,l)\times Pic^{d_l}(X)`$ is isomorphic to $`𝔸^l`$. Therefore, $`U`$ is an open subset of $`𝒬^{}`$ of dimension $`2l+g`$.

###### Theorem 4.6.4

For $`1jg1`$, $`_j`$ is proper, irreducible, and of dimension $`g+2(g1j)`$. In particular, $`_1`$ is irreducible and of dimension $`3g4`$.

### 4.7 F

ix a line bundle $`\xi `$ of degree $`d`$. Let $`\overline{}(\xi )\overline{}`$ be the closed sub-scheme of $`\overline{}`$ parameterizing those $`V`$’s with $`det(V)=\xi `$. Let $`_j(\xi )=\overline{}(\xi )_j`$ for $`j0`$.

###### Remark 4.7.0.0.1

For $`1jg1`$, $`dim_j(\xi )=2(g1j)`$. In particular, $`dim_1(\xi )=2(g2)`$.

Proof. Since $`_j(\xi )`$ is nothing but the fiber of the surjective morphism $`det:_jPic^d(X)`$, it has dimension $`2(g1j)`$ for a dense open set of $`\xi Pic^d(X)(k)`$. However, $`_j(\xi _1)`$ is isomorphic to $`_j(\xi _2)`$ for all $`\xi _1,\xi _2Pic^d(X)(k)`$, via $`VVL`$, where $`L^2\xi _2\xi _1^1`$. Thus the remark is clear.

A slight variation of the above argument shows that $`_j(\xi )`$ is irreducible. Alternatively, assume $`1jg1`$. Let $`l=g1j`$ and let $`𝒬(\xi )=𝒬_l(\xi )`$ be the inverse image of $`\xi `$ under $`𝒬Pic^d(X)`$, $`qdet(𝒱_q)`$. Since $`det(𝒱_q)=B_1_{\pi (q)}𝒪(\delta (q))`$, the morphism $`det:𝒬Pic^d(X)`$ factors as

$$𝒬Div^l(X)\times Pic^{d_l}(X)\stackrel{\psi }{\text{}}Pic^d(X),$$

where $`\psi `$ is $`(D,L)B_1L𝒪(D)`$. It is clear that $`\psi ^1(\xi )`$ is isomorphic to $`Div^l(X)`$, and hence is an irreducible variety.

The fibers of $`𝒬(\xi )\psi ^1(\xi )`$ are just some fibers of $`𝒬Div^l(X)\times Pic^{d_l}(X)`$; hence they are irreducible of dimension $`l`$ as in the proof of 4.6.2. Being a closed sub-scheme of $`𝒬`$, $`𝒬(\xi )`$ is proper, thus, irreducible by 4.6.1. Now it is easy to deduce

###### Theorem 4.7.0.0.2

There is a canonical (Frobenius) stratification by Harder-Narasimhan polygons

$$\mathrm{}=_g(\xi )_{g1}(\xi )\mathrm{}_0(\xi )=\overline{}(\xi ),$$

with $`_j(\xi )`$ non-empty, proper, irreducible, and of dimension $`2(g1j)`$ for $`1jg1`$.

### 4.8 L

et $`^{}(k)`$ be the subset of $`\overline{}(k)`$ consisting of those $`V`$ such that $`F^{}V`$ is not stable. Clearly, $`^{}(k)_1(k)`$.

By 4.3.1, the closed subset $`^{\mathrm{ns}}(k)=\overline{}(k)(k)`$ is contained in $`^{}(k)_1(k)`$. On the other hand, if $`V^{}(k)^{\mathrm{ns}}(k)`$, the argument of LABEL:exh shows that there is a line bundle $`L`$ of degree $`d`$ such that $`VF_{}L`$ is a sub-module of co-length $`g1`$. Conversely, the argument of LABEL:cons shows that if $`V`$ is of co-length $`g1`$ in $`F_{}L`$ for some $`L`$ of degree $`d`$, then $`V^{}(k)`$.

Thus we conclude that $`^{}(k)`$ is the union of $`^{\mathrm{ns}}(k)`$ and the image $`_0^{}(k)`$ of $`𝒬_{g1}(k)`$ for a suitable morphism $`𝒬_{g1}\overline{}`$, where $`𝒬_{g1}`$ is defined in LABEL:moduli. It follows that $`_0^{}(k)`$ and $`^{}(k)`$ are Zariski closed in $`\overline{}(k)`$, hence are sets of $`k`$-points of reduced closed sub-scheme $`_0^{}`$ and $`^{}`$ of $`\overline{}`$.

###### Theorem 4.8.0.0.1

The scheme $`_0^{}`$ is irreducible of dimension $`3g2`$. It contains two disjoint closed subsets: $`_0^{}^{\mathrm{ns}}`$, which is irreducible of dimension $`2g1`$ when $`d`$ is even and empty when $`d`$ is odd, and $`_1`$, which is irreducible of dimension $`3g4`$.

###### Remark 4.8.0.0.2

$`^{}_1`$ is the first stratum in the $`s`$-stratification () which is not a Harder-Narasimhan stratum. The other $`s`$-strata are more complicated and not pursued here.

Proof. Since $`𝒬_{g1}`$ is irreducible, $`_0^{}`$ is irreducible. We now analyze $`_0^{}^{\mathrm{ns}}`$. Suppose that $`V_0^{}(k)^{\mathrm{ns}}(k)`$. Then $`d=\mathrm{deg}V`$ is even and there exists $`L`$ of degree $`d`$ such that $`V`$ is a sub-module of $`F_{}L`$ of co-length $`g1`$. By assumption, there is a sub-bundle $`M`$ of $`V`$ of degree $`d/2`$. Adjunction applied to the composition $`MVF_{}L`$ provides a non-zero morphism $`F^{}(M)=M^2L`$. This implies that $`M^2L`$. We may assume that $`L=M^2`$. Since there is only one (modulo $`k^{}`$) non-zero morphism $`M^2L`$, there is only one non-zero morphism $`MF_{}(F^{}M)`$. By \[10, §2\], this morphism is part of an exact sequence $`0MF_{}(F^{}M)MB_10`$. Thus to have $`V`$ is to have a sub-module of $`MB_1`$ of co-length $`g1`$. Conversely, starting with a sub-module of $`MB_1`$ of co-length $`g1`$, we obtain a vector bundle $`V_0^{}(k)^{\mathrm{ns}}(k)`$ as the inverse image of that sub-module in $`F_{}(F^{}M)`$.

The sub-modules of $`MB_1`$ of co-length $`g1`$ are of the form $`MB_1𝒪(D)`$ for $`DDiv^{g1}(X)(k)`$. Thus there is a morphism $`\pi ^{}:𝒬^{}=Div^{g1}(X)\times Pic^{d/2}(X)\overline{}`$ inducing a surjection $`𝒬^{}(k)_0^{}(k)^{\mathrm{ns}}(k)`$. We claim that this morphism is generically finite of separable degree at most $`2`$. This claim implies that $`_0^{}^{\mathrm{ns}}`$ is irreducible of dimension $`2g1`$.

Indeed, there is an open subset $`U`$ of $`Div^{g1}(X)(k)`$ such that if $`D,D^{}U`$ are distinct, then $`D\sim ̸D^{}`$. We now show that $`\pi ^{}|(U\times Pic^{d/2}(X)(k))`$ is at most 2-to-1. Suppose that $`DU`$, $`MPic^{d/2}(X)(k)`$, and $`\pi ^{}(D,M)=V`$. Then $`V`$ has at most two isomorphism classes of rank-$`1`$ sub-bundles of degree $`d/2`$, and $`M`$ is one of them. After obtaining $`M`$, one can determine $`D`$ uniquely by the condition $`det(V)M^2B_1𝒪(D)`$. This proves the claim.

Next, we consider the morphism $`𝒬_{g1}_0^{}`$. It induces a surjection $`𝒬_{g1}^{}(k)_0^{}(k)_1(k)`$. Again the claim is that the morphism is generically finite of separable degree at most $`2`$. This claim implies that $`_0^{}`$ is irreducible of dimension $`3g2`$.

Indeed, let $`U`$ be the open subset of $`𝒬_{g1}^{}(k)`$ consisting of those $`q`$’s such that $`𝒪(2\delta (q))\simeq ̸\mathrm{\Omega }_{X/k}`$. Now assume that $`qU`$ gives rise to $`V_0^{}(k)`$. Then there is an exact sequence $`0LB_1^2𝒪(2\delta (q))F^{}VL0`$, where $`L=_{\pi (q)}`$. The assumption on $`q`$ implies that $`F^{}V`$ has at most $`2`$ quotient line bundles of degree $`d`$, say $`F^{}VL_1`$ and $`F^{}VL_2`$. Then $`q`$ must be one of the two data $`VF_{}L_1`$ or $`VF_{}L_2`$ provided by adjunction. This proves the claim.

### 4.9 W

hen $`g=2`$, $`_1(\xi )`$ is a single point, corresponding to the vector bundle $`F_{}(\xi B_1^1)`$.

When $`\xi =B_1`$, this refines a result of \[10, 1.1\], which says that $`_1(\xi )`$ is a single $`Pic(X)[2]`$-orbit.

When $`\xi =𝒪_X`$, this extends a theorem of Mehta \[10, 3.2\], which states that there are only finitely many rank-$`2`$ semi-stable vector bundles $`V`$’s on $`X`$ with $`det(V)=𝒪_X`$ and $`F^{}V`$ not semi-stable when $`p3,g=2`$. We now have this result for $`p=2,g=2`$ with the stronger conclusion of uniqueness.

## 5 Pre-opers and opers

This section is largely inspired by the work Beilinson and Drinfel’d . We show that pre-opers with connections of $`p`$-curvature zero provide, under additional assumptions, examples of Frobenius destabilized bundles. In small characteristics we describe the lowest Frobenius stratum in terms of pre-opers.

### 5.1

pre-opers Let $`V`$ be a vector bundle on $`X`$ with a flat connection $``$. Suppose that $`\{V_i\}_{0il}V`$ is an increasing filtration by sub-bundles such that

1. $`V_0=0`$, $`V_l=V`$,
2. $`(V_i)V_{i+1}\mathrm{\Omega }_X^1`$ for $`0il1`$,
3. $`V_i/V_{i1}\stackrel{}{\text{}}(V_{i+1}/V_i)\mathrm{\Omega }_X^1`$ is an isomorphism for $`1il1`$.

Then $`(V,,\{V_i\})`$ is said to be a pre-oper. A pre-oper is $`p`$-flat if $``$ has $`p`$-curvature zero.

###### Remark 5.1.0.0.1

Let $`(V,,\{V_i\}_{0il})`$ be a pre-oper. If $`g2`$ and $`V_1/V_0`$ is semi-stable, then the filtration $`\{V_i\}_{0il}`$ is nothing but the Harder-Narasimhan filtration of $`V`$.

### 5.2

opers Let $`𝒟_X=Diff(𝒪_X,𝒪_X)`$ be the ring of differential operators on $`X`$. An oper $`(V,,\{V_i\}_{0il})`$ is a pre-oper such that the connection $``$ on $`V`$ extends to a structure of $`𝒟_X`$-module on $`V`$.

###### Remark 5.2.0.0.1

(i) By a Theorem of Katz (see \[6, Theorem 1.3, page 4\]), $`V`$ is $`𝒟_X`$-module if and only if there exists a sequence of vector bundles $`V^i`$ such that $`F^{}(V^1)=V`$ and $`F^{}(V^{i+1})=V^i`$. In particular, if $`(V,)`$ is a vector bundle such that $``$ extends to a $`𝒟_X`$-module structure on $`V`$ then $``$ has $`p`$-curvature zero, so any oper is automatically $`p`$-flat.

(ii) When $`l=rankV`$, what we called an oper here is the same as an $`GL_l`$-oper as defined in .

### 5.3

canonical-filtration Let $`W`$ be a vector bundle on $`X`$. We define a canonical increasing filtration on $`V=F^{}(F_{}W)`$ by abelian sub-sheaves $`\{V_i\}_{0ip}`$, as follows:

$`V_p`$ $`=V,`$
$`V_{p1}`$ $`=ker(V_p=F^{}(F_{}W)W),`$
$`V_i`$ $`=ker\left(V_{i+1}\stackrel{^{\mathrm{Cartier}}}{\text{}}V\mathrm{\Omega }_X^1(V/V_{i+1})\mathrm{\Omega }_X^1\right),0ip2.`$
It is elementary to check by induction that each $`V_i`$ is actually an $`𝒪_X`$-sub-module of $`V`$.

###### Theorem 5.3.0.0.1

* $`V_p/V_{p1}`$ is isomorphic to $`W`$.
* $`(V,^{\mathrm{Cartier}},\{V_i\}_{0ip})`$ is a pre-oper.
* If $`g2`$ and $`W`$ is semi-stable, $`\{V_i\}_{0ip}`$ is simply the Harder-Narasimhan filtration on $`V`$.

Proof. It is clear that (i) and (ii) imply (iii). To prove (i) and (ii), we notice that the definition of pre-opers and the formation of the filtration $`\{V_i\}_{0ip}`$ can be made on any smooth $`1`$-dimensional noetherian scheme over $`k`$, and statements (i) and (ii) make sense in this context. In fact, the statements being local, we are reduced to the case of a free $`𝒪_X`$-module $`W`$. Moreover, all the relevant formations commute with direct sums, hence we are reduced to the case of $`W=𝒪_X`$.

We can even reduce to the case $`X=Speck[[t]]`$ and use an explicit calculation to complete the proof. Alternatively, one can check that the construction of \[19, Remarkques 4.1.2 (2)\] gives the same filtration and proves the theorem.

###### Remark 5.3.0.0.2

If $`L`$ is a line bundle such that $`V=F_{}L`$ is stable, then the above result shows that $`F^{}V`$ is highly unstable, and it is likely that $`V`$ is in a minimal Frobenius stratum (this is indeed the case in characteristic two). At least, the bound in \[20, Theorem 3.1, page 51\] is reached by $`V`$ when the rank is $`p`$.

We refer to Theorem 3.3 (ii) for conditions ensuring stability of $`F_{}L`$. The following is a partial converse to the above theorem.

###### Proposition 5.3.0.0.3

Assume that $`F_{}L`$ is stable for any line bundle $`L`$. Let $`(V,,\{V_i\}_{0ip})`$ be a $`p`$-flat pre-oper with $`rank(V)=p`$ and $`V^{=0}`$ stable. Then $`V^{=0}F_{}(L)`$ for a suitable line bundle $`L`$ on $`X`$.

Proof. As $`0V_1\mathrm{}V_{p1}V_p=V`$ is a pre-oper of rank $`p`$, $`V/V_{p1}=L`$ is a line bundle. The morphism $`F^{}(V^{=0})=VV/V_{p1}=L`$ gives by adjunction a non-zero morphism $`V^{=0}F_{}(L)`$. Since these bundles are stable and of the same degree, the map $`V^{=0}F_{}(L)`$ is an isomorphism.

### 5.4

The underlying bundle of a pre-oper is typically unstable. In some circumstances, the Frobenius descent of a $`p`$-flat pre-oper is (semi)-stable. This provides a way of constructing Frobenius destabilized bundles in terms of pre-opers.

###### Proposition 5.4.0.0.1

Let $`(V,,\{V_i\}_{0il})`$ be a $`p`$-flat pre-oper with $`V_1`$ semi-stable of rank $`r_1`$.

* Suppose $`p>l^2(l1)(g1)r_1.`$ Then $`V^{=0}`$ is semi-stable.
* Suppose $`r_1=1`$ and $`p>l^2(l1)(g1)`$. Then $`V^{=0}`$ is stable.

Proof. (i) A direct computation shows that $`\mu (V_1)=\mu (V)+(l1)(g1)/r_1`$. Since $`V_1`$ is semi-stable, $`\{V_i\}_{0il}`$ is the Harder-Narasimhan filtration of $`V`$. In particular, if $`WV`$, then $`\mu (W)\mu (V_1)`$.

Let $`V^{}=V^{=0}`$. Then $`F^{}(V^{})=V`$. Suppose that $`V^{}`$ is not semi-stable, and $`W^{}V^{}`$ is such that $`\mu (W^{})>\mu (V^{})`$. Then $`W=F^{}(W^{})`$ satisfies $`\mu (W)\mu (V_1)`$, and

$$\frac{\mu (V)}{p}=\mu (V^{})<\mu (W^{})=\frac{\mu (W)}{p}\frac{\mu (V_1)}{p}=\frac{\mu (V)}{p}+\frac{(l1)(g1)}{pr_1}.$$

However, $`\mu (W^{})`$ and $`\mu (V^{})`$ are fractions of the form $`a/b`$, with $`a,b`$, $`0<blr_1`$. Therefore, $`\mu (W^{})\mu (V^{})(lr_1)^2`$. This contradicts the assumption on $`p`$.

(ii) Let $`V^{}=V^{=0}`$ and $`0=W_0^{}\mathrm{}W_s^{}=V^{}`$ be a Jordon-Hölder series for $`V^{}`$. Then each $`W_i^{}/W_{i1}^{}`$ is stable of slope $`\mu /p`$, where $`\mu =\mu (V)`$. Let $`W_i=F^{}(W_i^{}/W_{i1}^{})`$, $`\mu _{\mathrm{max}}(W_i)`$ be the largest possible slope of sub-bundles of $`W_i`$ and $`\mu _{\mathrm{min}}(W_i)`$ be the smallest possible slope of quotient-bundles of $`W_i`$. By definition, $`\mu _{\mathrm{min}}(W_i)\mu \mu _{\mathrm{max}}(W_i)`$.

Let $`i_0`$ be the smallest integer such that $`F^{}(W_{i_0}^{})V_l/V_{l1}`$ is non-zero. Then $`\mu _{\mathrm{min}}(W_{i_0})\mu (V_l/V_{l1})=\mu (l1)(g1)`$. Similarly, there exists an index $`i_1`$ such that $`\mu _{\mathrm{max}}(W_{i_1})\mu (V_1)=\mu +(l1)(g1)`$.

A theorem of Sun \[20, Theorem 3.1\] asserts that

$$\mu _{\mathrm{max}}(W_i)\mu _{\mathrm{min}}(W_i)(rank(W_i)1)(2g2).$$

This implies that $`rank(W_{i_0})(l+1)/2`$ and $`rank(W_{i_1})(l+1)/2`$. Thus $`i_0=i_1`$ and

$$(l1)(2g2)\mu _{\mathrm{max}}(W_{i_0})\mu _{\mathrm{min}}(W_{i_0})(rank(W_{i_0})1)(2g2)$$

by Sun’s theorem again. Therefore, $`rankW_{i_0}l`$ and this forces $`W_{i_0}^{}`$ to be the only Jordan-Hölder factor of $`V^{}`$.

###### Remark 5.4.0.0.2

The bound on $`p`$ can often be improved for particular $`(l,g,r_1,\mathrm{deg}(V_1))`$. This is clear from the proof.

| Kirti Joshi | S. Ramanan |
| --- | --- |
| Department of Mathematics | School of Mathematics |
| University of Arizona | Tata Institute of Fundamental Research |
| Tucson | Homi Bhabha Road |
| AZ 85721 | Mumbai 400 005 |
| USA | India |
| Email: kirti@math.arizona.edu | Email: ramanan@math.tifr.res.in |

| Eugene Z. Xia | Jiu-Kang Yu |
| --- | --- |
| National Center for Theoretical Sciences | National Center for Theoretical Sciences |
| National Tsing Hua University | National Tsing Hua University |
| No. 101, Sec 2, Kuang Fu Road, | No. 101, Sec 2, Kuang Fu Road, |
| Hsinchu, Taiwan 30043, Taiwan R.O.C. | Hsinchu, Taiwan 30043, Taiwan R.O.C. |
| Email: xia@math.umass.edu | Email: yu@math.umd.edu |


text:
# Ultralight particle creation during Fresh inflation

## I Introduction

Recently a new model of inflation called fresh inflation was introduced. In this model initially the universe there is not thermalized \[$`\rho _r(t=t_0)=0`$\], and begins from an unstable primordial matter field perturbation with energy density nearly $`M_p^4`$ and chaotic initial conditions. Later, it describes a second order phase transition, and the inflaton rolls down towards its minimum energetic configuration. Particles production and heating occur together during the rapid expansion of the universe, so that the radiation energy density grows during fresh inflation ($`\dot{\rho }_r>0`$). The Yukawa interaction between the inflaton field and other scalar fields in a thermal bath ($`\delta =\mathrm{\Gamma }(\theta )\dot{\varphi }^2`$), lead to dissipation which is responsible for the slow rolling of the inflaton field. So, the slow-roll conditions are physically justified and there are not a requirement of a nearly flat potential in fresh inflation. As the viscosity is large enough at the end of fresh inflation, the inflaton will reach a slow-roll regime due to its dynamics becomes overdamped ($`\mathrm{\Gamma }H`$). This fact also provides thermal equilibrium in the last phase of fresh inflation.

In this work I discuss creation of ultralight scalar fields which underwent in the fresh inflationary scenario. Ultralight scalars have been previously discussed in the context of pseudo-Nambu-Goldstone bosons. The basic idea is that as the inflaton relaxes toward its minimum energy configuration, it will decay into lighter fields, generating an effective viscosity. That this indeed happens in warm inflation , and also has been demonstrated in detail in Refs. .

I consider a spatially globally flat Friedmann - Robertson - Walker (FRW) metric

$$ds^2=dt^2+a^2(t)dx^2.$$
(1)
Here, $`a`$ is the scale factor of the universe. Furthermore, $`H=\dot{a}/a`$ is the Hubble parameter. The Lagrangian for a $`\varphi `$-scalar field minimally coupled to gravity, which also interacts with another $`\psi `$-scalar field by means of a Yukawa interaction,

$$=\sqrt{g}\left[\frac{R}{16\pi G}+\frac{1}{2}g^{\mu \nu }\varphi _{,\mu }\varphi _{,\nu }+V(\varphi )+_{int}\right],$$
(2)
where $`g^{\mu \nu }`$ is the metric tensor, $`g`$ is its determinant and $`R`$ is the scalar curvature. The interaction Lagrangian is given by $`_{int}\mathrm{g}^2\varphi ^2\psi ^2`$, where $`\psi `$ is a scalar field in the thermal bath. Furthermore, the indices $`\mu ,\nu `$ take the values $`0,..,3`$ and the gravitational constant is $`G=M_p^2`$ (where $`M_p=1.2\times 10^{19}GeV`$ is the Planckian mass).

The dynamics for the spatially homogeneous inflaton field is given by

$$\ddot{\varphi }+\left(3H+\mathrm{\Gamma }\right)\dot{\varphi }+V^{}(\varphi )=0,$$
(3)
where $`V^{}(\varphi )\frac{dV}{d\varphi }`$, $`V(\varphi )=[^2(0)/2]\varphi ^2+[\lambda ^2/4]\varphi ^4`$ (where $`^2(0)>0`$ is the squared mass at zero temperature) and $`H(\varphi )=4\sqrt{\pi G/[3(43F)]}(0)\varphi `$. For this model (the reader can see a detailed development of fresh inflation in Ref. ), the scale factor of the universe evolves as $`at^{2/(3F)}`$, where $`F=2\dot{H}/(3H^2)`$ is considered as constant. The term $`\mathrm{\Gamma }\dot{\varphi }`$ is added in the scalar field equation of motion (3) to describe the continuous energy transfered from $`\varphi `$ to the radiation field, where $`\mathrm{\Gamma }(\theta )=g_{eff}^4/(192\pi )\theta `$ ($`\theta `$ is the temperature) and $`\theta (t)`$ evolves as

$$\theta (t)=\frac{192\pi }{g_{eff}^4\lambda ^2}\left\{^2(0)\lambda ^2t+t^1\left[\lambda ^2\frac{(9F^218F+8)}{(43F)^2}+^2(0)\pi G\frac{(192F^272F^396)}{(43F)^2}\right]\right\},$$
(4)
being $`g_{eff}100`$ the effective number of degrees of freedom of the created particles. The persistent thermal contact during warm inflation is so finely adjusted that the scalar field evolves always in a damped regime.

## II Ultralight particle creation

The fluctuations of the inflaton field $`\delta \varphi (\stackrel{}{x},t)`$ are given by the equation of motion

$$\ddot{\delta }\varphi \frac{1}{a^2}^2\delta \varphi +\left(3H+\mathrm{\Gamma }\right)\dot{\delta }\varphi +V^{\prime \prime }(\varphi )\delta \varphi =0.$$
(5)
Here, the additional second term appears because the fluctuations $`\delta \varphi `$ are spatially inhomogeneous. Since $`(a/a_0)=\left(t/t_0\right)^p`$, the equation for the modes of $`\delta \varphi =a^{3/2}e^{\frac{1}{2}{\scriptscriptstyle \mathrm{\Gamma }𝑑t}}\chi `$, with $`p=2/(3F)`$, can be written as a Klein - Gordon equation with a time dependent parameter of mass $`\mu ^2(t)=\frac{k_0^2}{a^2}`$, such that

$$k_0^2=a^2\left[\frac{9}{4}\left(H+\mathrm{\Gamma }/3\right)^2+3\left(\dot{H}+\dot{\mathrm{\Gamma }}/3\right)V^{\prime \prime }[\varphi (t)]\right].$$
(6)
The time-dependent wave number $`k_0(t)`$ separates the infrared (IR) and ultraviolet (UV) sectors. The redefined field fluctuations can be written as a Fourier expansion

$$\chi (\stackrel{}{x},t)=\frac{1}{(2\pi )^{3/2}}d^3k\left[a_k\chi _k(\stackrel{}{x},t)+a_k^{}\chi _k^{}(\stackrel{}{x},t)\right],$$
(7)
where $`\chi _k(\stackrel{}{x},t)=\xi _k(t)e^{i\stackrel{}{k}.\stackrel{}{x}}`$, $`\chi _k^{}(\stackrel{}{x},t)=e^{i\stackrel{}{k}.\stackrel{}{x}}\xi _k^{}(t)`$, and ($`a_k`$, $`a_k^{}`$) are respectively the annihilation and creation operators. The equation of motion for $`\xi _k(t)`$ is

$$\ddot{\xi }_k+\left[\frac{k^2}{a^2}\frac{k_0^2}{a^2}\right]\xi _k=0,$$
(8)
where $`k_0^2`$ is given by eq. (6). When inflation starts $`\mathrm{\Gamma }(t=t_0)0`$. Furthermore the time derivative of the width decay $`\dot{\mathrm{\Gamma }}`$ is nearly constant ($`\dot{\mathrm{\Gamma }}(t)^2(0)`$), so that the equation (8) can be approximated to

$$\ddot{\xi }_k^{(0)}+\left[\frac{k^2t^{2p}}{a_0^2t_0^{2p}}\left(\frac{9}{4}p^23p3\right)t^2\right]\xi _k^{(0)}=0.$$
(9)
The general solution (for $`\nu 0,1,2,\mathrm{}`$) for this equation is

$$\xi _k^{(0)}(t)=C_1\sqrt{\frac{t}{t_0}}𝒥_\nu \left[\frac{kt^{1p}}{a_0t_0^p(p1)}\right]+C_2\sqrt{\frac{t}{t_0}}𝒥_\nu \left[\frac{kt^{1p}}{a_0t_0^p(p1)}\right],$$
(10)
where $`\nu =\frac{\sqrt{9p^212p11}}{2(p1)}`$, which tends to $`3/2`$ as $`p\mathrm{}`$ (i.e., $`\nu 3/2`$ for $`p1`$), and $`(𝒥_\nu ,𝒥_\nu )`$ are the linearly independent Bessel functions. For large values of $`p`$ the Bessel functions are $`𝒥_{3/2}[x]\sqrt{\frac{2}{\pi x}}\left(\frac{\mathrm{sin}[x]}{x}\mathrm{cos}[x]\right)`$ and $`𝒥_{3/2}[x]\sqrt{\frac{2}{\pi x}}\left(\frac{\mathrm{cos}[x]}{x}+\mathrm{sin}[x]\right)`$. We can take the Bunch-Davis vacuum such that $`C_1=\sqrt{\pi /2}`$ and $`C_2=\sqrt{\pi /2}`$. The general solution of eq. (8) can be written as $`\xi _k(t)=e^{{\scriptscriptstyle g(t)𝑑t}}\xi _k^{(0)}`$, where $`g(t=t_0)=0`$. Notice that $`\xi _k^{(0)}`$ is the solution for the modes when the interaction is negligible ($`\mathrm{\Gamma }\theta 0`$). The dependence of the Yukawa interaction is in the function $`g(t)`$, which only takes into account the thermal effects. Replacing $`\xi _k(t)=e^{{\scriptscriptstyle g𝑑t}}\xi _k^{(0)}`$ in eq. (8), and taking into account eq. (9), one obtains the differential equation for $`g`$

$$g^2+\dot{g}=\frac{3}{2}H\mathrm{\Gamma }+\frac{\mathrm{\Gamma }^2}{4},$$
(11)
which has the solution (for $`g\frac{\dot{\xi }_k^{(0)}}{\xi _k^{(0)}}`$ )

$`g(t)`$ (13)
$`{\displaystyle \frac{[\frac{3p}{16},\frac{1}{4},\frac{^2(0)}{2}t^2]\left[\frac{^6(0)}{8}\left(^2(0)t^2+(3p1)\right)\right]+[\frac{1}{2}\left(2\frac{3p}{2}\right),\frac{1}{4},\frac{^2(0)}{2}t^2]\left[\frac{3}{8}^6(0)\left(1p\right)\right]}{2\left[\frac{^6(0)}{8}t\left[c_1𝒲[\frac{3p}{16},\frac{1}{4},\frac{^2(0)}{2}t^2]+[\frac{3p}{16},\frac{1}{4},\frac{^2(0)}{2}t^2]\right]\right]}}`$
$`+`$ $`{\displaystyle \frac{c_1𝒲[\frac{3p}{16},\frac{1}{4},\frac{^2(0)}{2}t^2]\left[\frac{^6(0)}{8}\left(^2(0)t^2+(3p1)\right)\right]c_1𝒲[\frac{1}{2}\left(2\frac{3}{2}p\right),\frac{1}{4},\frac{^2(0)}{2}t^2]\left[\frac{^6(0)}{2}\right]}{2\left[\frac{^6(0)}{8}t\left[c_1𝒲[\frac{3p}{16},\frac{1}{4},\frac{^2(0)}{2}t^2]+[\frac{3p}{16},\frac{1}{4},\frac{^2(0)}{2}t^2]\right]\right]}},`$ (14)
where $`c_1`$ is such that $`g(t=t_0)=0`$, due to initially the thermal effects are neglibible. Hence, the number density of ultralight created particles $`n_u`$ when inflation ends is

$$n_u=\frac{a^3e^{^2(0)t^2}}{2\pi ^2}_{k_p}^{k_0}𝑑kk^2\beta _k^2,$$
(15)
where $`k_p`$ is the Planckian wave number and $`\beta _k`$ is given by

$$\beta _k^2(t)=\frac{\xi _k^2}{(\xi _k^{(0)})^2}e^{2{\scriptscriptstyle g(t)𝑑t}},$$
(16)
so that $`n_u`$ can be written as

$$n_ua^3F^2[\theta (t)]_{k_p}^{k_0}𝑑kk^2,$$
(17)
where $`F[\theta (t)]=e^{\frac{^2(0)}{2}t^2}e^{{\scriptscriptstyle g(t)𝑑t}}`$. Notice that the spectral density $`\delta _k^{(n_u)}k^{3/2}`$ of the created particles is scale invariant in the range $`k_p<k<k_0`$. This range defines the infrared sector during inflation.

Fig.1: Temporal evolution of the function $`F`$ for $`p=2`$.

Fig.2: Temporal evolution of the function $`F`$ for $`p=20`$.

Figure 1 shows the function $`F[\theta (t)]`$ as a function of the time in Planckian unities for $`p=2`$, $`g(t_0)=0`$ and $`^2(0)=10^{12}\mathrm{G}^1`$. Can be seen that after $`t10^7\mathrm{G}^{1/2}`$ the thermal effects are unimportant and $`F`$ tends to zero. However, for $`t<10^7\mathrm{G}^{1/2}`$ the thermal effects are very important for ultralight particle creation. This period agrees with nonequilibrium thermal effects during the first stage of fresh inflation, which also could be responsible for baryogenesis in fresh inflation. Figure 2 shows the function $`F[\theta (t)]`$ for $`p=20`$. Notice that the peak is very much larger. This implies that the number density of the created particles grows when the rate of expansion of the universe increses.

## III Final Comments

Recently, the cosmological constant ($`\mathrm{\Lambda }`$) has come back into vogue. Dynamical estimates of the mass density from galaxy clusters suggest that $`\mathrm{\Omega }_m=0.2\pm 0.1`$ for the matter that clusters gravitationaly. However, the inflationary scenario suggests that $`\mathrm{\Omega }_{tot}=1`$. A cosmological constant is one way to resolve the discrepancy between $`\mathrm{\Omega }_m`$ and $`\mathrm{\Omega }_{tot}`$. In this work I studied the consequences of an ultralight boson field created during fresh inflation scenario, which is relaxing to its vacuum stated and dominating the energy density of the Universe. With this hypothesis, the effective vacuum energy at any epoch will be dominated by the heaviest fields that have not yet relaxed to their vacuum state. So, at late times, such fields must be very light. I deal with a potential without symmetry breaking. I find that the number density of ultralight created particles is important in the first stages of fresh inflation, when the nonequilibrium thermal effects are important. However, at the end of fresh inflation the number density of such created particles goes to zero because the thermal equilibrium is restored ($`\mathrm{\Gamma }H`$). Hence, a low density universe could exist without a $`\mathrm{\Omega }`$ problem making fresh inflation compatible with observations indicating a low value of $`\mathrm{\Omega }_m`$. So, ultralight boson fields created during fresh inflation could be an alternative mechanism to cosmological constant to explain the discrepancy between the observed value $`\mathrm{\Omega }_m0.2`$ and $`\mathrm{\Omega }_{tot}1`$, predicted by inflationary models of the universe.

ACKNOWLEDGMENTS

I would like to acknowledge CONACYT (México) and CIC of Universidad Michoacana for financial support in the form of a research grant.


text:
# 1 Introduction

## 1 Introduction

Log-periodicity is a signature of discrete scale invariance (DSI) . DSI is a symmetry weaker than (continuous) scale invariance. This latter symmetry manifests itself as the invariance of a correlator $`𝒪(x)`$ as a function of the control parameter $`x`$, under the scaling $`xe^\mu x`$ for arbitrary $`\mu `$. This means, there exists a number $`f(\mu )`$ such that

$$𝒪(x)=f(\mu )𝒪(e^\mu x).$$
(1)
The solution to (1) is simply a power law $`𝒪(x)=x^\alpha `$, with $`\alpha =(\mathrm{log}f)/\mu `$, which can be directly verified. In a system having DSI, correlators obey scale invariance, only for discrete values of the magnification factor $`\mu =n\mu _1`$, where $`n`$ is integer and $`\mu _1`$ is fixed. $`\mu _1`$ is the period of the resulting log-periodicity . This property can be qualitatively seen to encode a lacunarity of the fractal structure. The most general solution to (1) with $`\mu =n\mu _1`$ is

$$𝒪(x)=x^\alpha P\left(\frac{\mathrm{ln}x}{\mu _1}\right),$$
(2)
where $`P(y)`$ is an arbitrary periodic function of period $`1`$, hence the name log-periodicity. Expanding it in Fourier series $`_{n=\mathrm{}}^{\mathrm{}}c_n\mathrm{exp}[(2n\pi i(\mathrm{ln}x)/\mu _1])`$, we see that $`𝒪(x)`$ becomes a sum of power laws with the exponents $`\alpha _n=\alpha +(2n\pi i/\mu _1)`$, where $`n`$ is an arbitrary integer. So there is an infinite set of discrete complex exponents. Specifically, it has been established that for financial bubbles prior to large crashes, a first order representation of (2),

$$I(t)=A+B(t_ct)^\beta +C(t_ct)^\beta \mathrm{cos}(\omega \mathrm{ln}(t_ct)\varphi ),$$
(3)
captures well the behaviour of the market price $`I(t)`$ prior to a crash or large correction at a time $`t_c`$ .

There are many mechanisms known to generate log-periodicity . Let us stress that various dynamical mechanisms generate log-periodicity, without relying on a pre-existing discrete hierarchical structure. Thus, DSI may be produced dynamically (see in particular the recent nonlinear dynamical model introduced in ) and does not need to be pre-determined by, e.g., a geometrical network. This is because there are many ways to break a symmetry, the subtlety here being to break it only partially. Thus, log-periodicity per se is not a signature of a critical point. Only within a well-defined model and mechanism can it be used as a potential signature.

Scale-invariance is a subgroup of a larger transformation group, the conformal group. In any conformal field theory, the system shows invariance under translation, rotation, dilatation, and special conformal transformation . Conformal invariance is sufficient to determine the general form of simple correlation functions. It is known that generally the correlation functions in ordinary conformal field theories are in the form of scaling functions. In the logarithmic conformal field theories (LCFT), there exist at least one partner for a primary field. The general form of one-, two-, and three-point functions in LCFT’s have been obtained in \[6-10\].

Recently, systems with discrete scale invariance have absorbed some interest. There does not exist, however, a complete study of general properties of such systems. In this paper we want to study the general form of correlation functions of systems with discrete scale invariance. In section 2, subgroups of the conformal transformations are investigated, which contain discrete (not full) scale transformations. In section 3, the general form of the correlators of systems possessing discrete scale invariance are obtained. In section 4 and 5, the same is done for the systems possessing discrete scale invariance plus translation- or special conformal transformation-invariance, respectively. Both ordinary and logarithmic cases are studied.

## 2 Subgroups of the conformal group

Consider the transformations

$`T_\alpha :z`$ $`z+\alpha ,\text{translation}`$
$`S_\mu :z`$ $`e^\mu z,\text{scaling-rotation}`$
$`C_a:z`$ $`{\displaystyle \frac{z}{1az}}\text{special conformal transformation}`$ (4)
in the complex plane. The group of transformations constructed by the above transformations, is that subgroup of the conformal group, the central extension of which is trivial. It is well-known that this group is isomorphic to SL2($``$). Let us call this group SCT. Throughout this section, we consider only those subgroups of SCT, which are complete, by which it is meant that if a convergent sequence of group-elements of SCT are in the subgroup, the limit of that sequence is also in the subgroup.

First consider subgroups of translations. Any subgroup of translations, consists of translations $`T_\alpha `$, with

$$\alpha =x\beta +y\beta ^{},$$
(5)
where $`\beta `$ and $`\beta ^{}`$ are two fixed nonzero complex numbers, and $`\beta /\beta ^{}`$ is not real. $`x`$ and $`y`$, each may take only real values, only integer values, or only zero.

A similar argument holds for the subgroups of special conformal transformations, as these transformations are in fact translations of $`1/z`$.

For the subgroups of scaling-rotations too, a similar argument holds. However, as a rotation by $`2\pi `$ ($`S_\mu `$ with $`\mu =2\pi i`$) is equal to identity and hence should be in the subgroup, one concludes that any subgroup of scaling-rotations consists of the transformations $`S_\mu `$, with

$$\mu =x\nu +y\nu ^{},$$
(6)
where $`\nu `$ is pure imaginary, $`\nu ^{}`$ is not pure imaginary, $`\nu `$ and $`\nu ^{}`$ are fixed. The values $`x`$ and $`y`$ can take, are as in the subgroups of translations, except that $`x`$ takes integer values only if $`\nu `$ is rational multiple of $`2\pi i`$. In this case, if $`\nu =(2\pi i)n/m`$, where $`n`$ and $`m`$ are integers prime with respect to each other and $`m`$ is positive, then those values of $`x`$ which result in distinct group-elements are integers from $`0`$ up to $`m1`$. In this case, in fact one can use $`\stackrel{~}{\nu }:=2\pi i/m`$ instead of $`\nu `$. This means that subgroups of scaling-rotations always contain subgroups of pure rotations, which may be trivial, discrete, or the full rotation group.

Next consider subgroups consisting of products of two of the above subgroups. These products are not direct products, since translations, scaling-rotations, and special conformal transformations do not commute with each other. Consider first a subgroup of SCT, consisting of transformations which are a scaling-rotation followed by a translation, where the translations are a subgroup of translations, and the scaling-rotations are a subgroup of scaling rotations:

$$ze^\mu z+\alpha ,$$
(7)
where $`\alpha `$ takes value on a lattice, (5), and $`\mu `$ takes value on another lattice, (6). (Each of these lattices may be degenerate, that is, a collection of lines, the whole plane, just one point, etc.) This set of transformations is a subgroup, if and only if the lattice of the possible values of $`\alpha `$ is invariant under the action of scaling-rotations which are in the set. The only possible ways (apart the trivial cases that the scaling-rotations or translations consist of only the identity element) are the following.

* a rectangular lattice of translations, with scaling-rotations only rotations by integer multiples of $`\pi /2`$.
* a triangular lattice of translations, with scaling-rotations only rotations by integer multiples of $`\pi /3`$ or $`2\pi /3`$.
* Any lattice of translations, with scaling-rotations only rotations by integer multiples of $`\pi `$.
* a degenerate lattice of translations, consisting of one continuous line, with scaling-rotations only a subgroup (any subgroup) of scalings, or the product of a subgroup of scalings and rotations by integers multiples of $`\pi `$.
* the full translations with any subgroup of scaling-rotations.

Again, a similar argument holds for subgroups of SCT, consisting of transformations which are a scaling-rotation followed by a special conformal transformation, where the special conformal translations are a subgroup of special conformal transformations, and the scaling-rotations are a subgroup of scaling rotations:

$$z^1e^\mu z^1a.$$
(8)
A set of transformations consisting of a translation followed by a special conformal transformation, where the special conformal translations are a subgroup of special conformal transformations, and the translations are a subgroup of translations, cannot be a subgroup, unless the only translation is identity, or the only special conformal transformation is the identity. To show this, one notices that the product $`T_\alpha S_a`$, can be equal to $`C_a^{}T_\alpha ^{}`$ for some $`\alpha ^{}`$ and $`a^{}`$, only if $`a\alpha =0`$ or $`a\alpha =2`$. But this criterion is necessary for the above-mentioned set to be a subgroup (the multiplication be closed). If $`a\alpha =0`$ for all translations and special conformal translations in the set, then at least on of these subgroups must contain no element apart from the identity. If $`a\alpha =2`$ for some $`a`$ and $`\alpha `$, one notes that if the above-mentioned set contains $`T_\alpha `$, it should also contain $`T_{2\alpha }`$, and obviously $`2a\alpha 2`$.

Finally, let us consider a subgroup G of SCT, containing nonidentity translations, scaling-rotations, and special conformal transformation. First, assume also that $`G`$ contains a scaling-rotation which is not a pure-rotation, that is, some $`S_\mu `$, with $`\mu `$ not pure imaginary. The above arguments show that G must contain a subgroup of continuous translations at least in one direction, and a subgroup of continuous special conformal translations at least in one dimension. The generators of these two one-parameter transformations are

$$g_1=^{i\theta }L_1+e^{i\theta }\overline{L}_1,$$
(9)
and

$$g_2=e^{i\zeta }L_1+e^{i\zeta }\overline{L}_1,$$
(10)
for some $`\theta `$ and $`\zeta `$. Using the commutation relation of the generators, it is seen that G contains another one-parameter continuous subgroup, with the generator

$$g_3=e^{i(\theta +\zeta )}L_0+e^{i(\theta +\zeta )}\overline{L}_0.$$
(11)
So G contains a continuous subgroup of scaling-rotations. Combining this with the above arguments, it is seen that either

* G consists of If transformations generated by $`g_1`$, $`g_2`$, and $`L_0+\overline{L}_0`$, where $`\alpha +\zeta `$ is an integer multiple of $`\pi `$, or,
* G is equal to SCT.

Second, assume that the only scaling-rotations contained in G are pure rotations. It can be shown that G cannot contain both nontrivial translations and nontrivial special conformal transformations. The argument is similar to that used to prove that a set containing translations followed by special conformal transformations cannot be a subgroup of SCT. The difference is that now, For any $`T_\alpha `$ and $`S_a`$ in G, there should be some $`T_\alpha ^{}`$ and $`S_a^{}`$ in G, so that $`T_\alpha ^{}S_a^{}T_\alpha S_a`$ be a pure rotation.

The above arguments can be stated for the conformal group in one dimension as well. In one dimension, SCT is still constructed by the transformations $`T_\alpha `$, $`S_\mu `$, and $`C_a`$. But now the parameters $`\alpha `$, $`\mu `$, and $`a`$ are real, the scaling-rotations are in fact only scalings, and SCT is isomorphic to SL2($``$). Arguments similar to the above, then show that there are subgroups of SCT consisting of

* all translations, or discrete translations
* all special conformal transformations, or discrete special conformal transformations
* all scalings, or discrete scalings
* all translations, and all scalings or discrete scalings
* all special conformal translations, and all scalings or discrete scalings

## 3 Systems with discrete scale invariance

Consider a one-dimensional system with discrete scale invariance. A quasi-primary field transforms under the scaling as:

$$\varphi (x)e^{\mathrm{\Delta }\mu _1}\varphi (e^{\mu _1}x).$$
(12)
Invariance under discrete scaling gives

$$\varphi (x)=e^{\mathrm{\Delta }\mu _1}\varphi (e^{\mu _1}x).$$
(13)
Defining

$$g(x):=x^\mathrm{\Delta }\varphi (x),$$
(14)
one arrives at

$$g(e^{\mu _1}x)=g(x).$$
(15)
This shows that $`g`$ is periodic with respect to $`\mathrm{log}x`$, with the period $`\mu _1`$. Hence it has a Fourier series:

$$g(x)=\underset{n=\mathrm{}}{\overset{\mathrm{}}{}}C_n\mathrm{exp}\left(\frac{2\pi ni\mathrm{ln}x}{\mu _1}\right),$$
(16)
from which one can obtain the one-point function $`\varphi (x)`$. The expectation value of the field $`\varphi `$ is real, iff $`C_n=\overline{C}_n`$. In this case, one arrives at

$$\varphi (x)=x^\mathrm{\Delta }\underset{n=0}{\overset{\mathrm{}}{}}r_n\mathrm{cos}\left(\frac{2\pi n\mathrm{ln}x}{\mu _1}+\theta _n\right),$$
(17)
where $`r_n`$ and $`\theta _n`$ are defined through $`C_n=:r_n\mathrm{exp}(i\theta _n)`$.

The two-point function of two quasi-primary fields can be obtained similarly. Defining

$$g(x_1,x_2):=x_1^{\mathrm{\Delta }_1}x_2^{\mathrm{\Delta }_2}\varphi _1(x_1)\varphi _2(x_2),$$
(18)
and exploiting the discrete scale invariance, it is seen that

$$g(e^{\mu _1}x_1,e^{\mu _1}x_2)=g(x_1,x_2),$$
(19)
from which one arrives at

$$g(x_1,x_2)=h\left(\frac{x_2}{x_1}\right)P\left(\frac{\mathrm{ln}x_1}{\mu _1}\right),$$
(20)
where $`h`$ is an arbitrary function, and $`P`$ is a periodic function with period one. One can then expand this function as a Fourier series, and obtain the two-point function as

$$\varphi _1(x_1)\varphi _2(x_2)=x_1^{\mathrm{\Delta }_1}x_2^{\mathrm{\Delta }_2}h\left(\frac{x_2}{x_1}\right)\underset{n=\mathrm{}}{\overset{\mathrm{}}{}}C_n\mathrm{exp}\left(\frac{2\pi ni\mathrm{ln}x_1}{\mu _1}\right),$$
(21)
where the constants $`C_n`$’s and the function $`h`$ are arbitrary.

This argument can be extended to more-point functions of quasi-primary fields, and one arrives at

$$\varphi _1(x_1)\mathrm{}\varphi _k(x_k)=x_1^{\mathrm{\Delta }_1}\mathrm{}x_k^{\mathrm{\Delta }_k}h(\frac{x_2}{x_1},\mathrm{},\frac{x_k}{x_{k1}})\underset{n=\mathrm{}}{\overset{\mathrm{}}{}}C_n\mathrm{exp}\left(\frac{2\pi ni\mathrm{ln}x_1}{\mu _1}\right).$$
(22)
Now let us assume a logarithmic partner $`\psi `$ for the quasi-primary field $`\varphi `$. This means that under discrete scale transformation, $`\psi `$ transforms like

$$\psi (x)e^{\mathrm{\Delta }\mu _1}[\psi (e^{\mu _1}x)+\mu _1\varphi (e^{\mu _1}x)].$$
(23)
This is nothing by the formal derivative of (12) with respect to $`\mathrm{\Delta }`$, if one considers $`\psi `$ as the formal derivative of $`\varphi `$ with respect to $`\mathrm{\Delta }`$. So, in light of , it is not surprising that the expectation of $`\psi `$ is just the formal derivative of that of $`\varphi `$:

$$\psi (x)=x^\mathrm{\Delta }\underset{n=\mathrm{}}{\overset{\mathrm{}}{}}(C_n^{}C_n\mathrm{ln}x)\mathrm{exp}\left(\frac{2\pi ni\mathrm{ln}x}{\mu _1}\right),$$
(24)
where $`C_n^{}`$ is the formal derivative of $`C_n`$ with respect to $`\mathrm{\Delta }`$. This can be readily extended to more-point functions: Changing any quasi-primary field in the left-hand side of (22), into its logarithmic partner, one has to differentiate formally the right-hand side with respect to the weight of that field, treating arbitrary constants and functions as entities depending on that weight.

Finally, the above arguments for obtaining the correlators of a one-dimensional system with discrete scale invariance, can be easily extended to two-dimensional system with rotational invariance and discrete scale invariance. Here, a quasi-primary field $`\varphi `$ transforms as

$`\varphi (z)`$ $`e^{i(\mathrm{\Delta }\overline{\mathrm{\Delta }})\theta }\varphi (e^{i\theta }z),ze^{i\theta }z,`$
$`\varphi (z)`$ $`e^{(\mathrm{\Delta }+\overline{\mathrm{\Delta }})\mu _1}\varphi (e^{\mu _1}z),ze^{\mu _1}z.`$ (25)
(It is not assumed that $`\varphi `$ is holomorphic. Its dependence on $`z`$ is a short-hand notation for its dependence on the real-part and the imaginary-part of $`z`$, or its dependence on $`z`$ and $`\overline{z}`$.) Now, let us find the expectation of $`\varphi `$. Defining

$$g(z):=z^\mathrm{\Delta }\overline{z}^{\overline{\mathrm{\Delta }}}\varphi (z),$$
(26)
it is seen that $`g`$ depends on only $`|z|`$, and that $`g`$ is periodic with respect to $`\mathrm{ln}|z|`$, with the period $`\mu _1`$. So,

$$\varphi (z)=z^\mathrm{\Delta }\overline{z}^{\overline{\mathrm{\Delta }}}\underset{n=\mathrm{}}{\overset{\mathrm{}}{}}C_n\mathrm{exp}\left(\frac{2\pi ni\mathrm{ln}|z|}{\mu _1}\right).$$
(27)
A similar reasoning leads to

$`\varphi _1(z_1)\mathrm{}\varphi _k(z_k)=`$ $`z_1^{\mathrm{\Delta }_1}\mathrm{}z_k^{\mathrm{\Delta }_k}\overline{z}_1^{\overline{\mathrm{\Delta }}_1}\mathrm{}\overline{z}_k^{\overline{\mathrm{\Delta }}_k}h({\displaystyle \frac{z_2}{z_1}},\mathrm{},{\displaystyle \frac{z_k}{z_{k1}}})`$
$`\times {\displaystyle \underset{n=\mathrm{}}{\overset{\mathrm{}}{}}}C_n\mathrm{exp}\left({\displaystyle \frac{2\pi ni\mathrm{ln}|z_1|}{\mu _1}}\right),`$ (28)
for the $`k`$-point function of $`k`$ quasi-primary fields. Differentiating this formally, with respect to appropriate weights, one arrives at the correlators containing logarithmic partners as well.

## 4 Discrete scale invariance plus translation invariance

First consider a one-dimensional system with discrete scale invariance as well as translation invariance. A quasi-primary field $`\varphi `$, is transformed under discrete scale transformation like (12), and is transformed under translation $`xx+\alpha `$ as

$$\varphi (x)\varphi (x+\alpha ).$$
(29)
Translation invariance results in

$$\varphi (x+a)=\varphi (x),$$
(30)
or

$$\varphi (x)=C,$$
(31)
where $`C`$ is a constant. Discrete scale invariance, then gives

$$(e^{\mathrm{\Delta }\mu _1}1)C=0.$$
(32)
This means that the one-point function is nonzero, only if for fields with the weights

$$\mathrm{\Delta }=\frac{2\pi ki}{\mu _1},$$
(33)
where $`k`$ is an integer. If there exists a logarithmic partner for $`\varphi `$, then translational invariance gives

$`\varphi (x)`$ $`=C_1,`$
$`\psi (x)`$ $`=C_2.`$ (34)
Here $`\psi `$ is the logarithmic partner of $`\psi `$, being transformed under discrete scale invariance like (23), and behaving under translation like (29), with $`\varphi `$ substituted with $`\psi `$. Imposing discrete scale invariance, it is seen that the one-point functions are zero, unless $`e^{\mathrm{\Delta }\mu _1}=1`$, and in this case $`C_1`$ is zero. The constraint on the weight is the same as (33). So,

$`\varphi (x)`$ $`=0,`$
$`\psi (x)`$ $`=C_2,`$
$`e^{\mathrm{\Delta }\mu _1}`$ $`=1.`$ (35)
The more-point functions of quasi-primary fields, can be obtained similarly. Translation invariance makes the $`k`$-point function a function of $`(k1)`$ independent differences of the $`k`$ coordinates. Defining

$`g(x_2x_1,\mathrm{},x_kx_{k1}):=`$ $`(x_1x_k)^{\mathrm{\Delta }_1}(x_2x_1)^{\mathrm{\Delta }_2}\mathrm{}(x_kx_{k1})^{\mathrm{\Delta }_k}`$
$`\times \varphi (x_1)\mathrm{}\varphi _k(x_k),`$ (36)
it is seen that

$$g(x_2x_1,\mathrm{},x_kx_{k1})=h(\frac{x_3x_2}{x_2x_1},\mathrm{},\frac{x_kx_{k_1}}{x_{k1}x_{k2}})P\left[\frac{\mathrm{ln}(x_2x_1)}{\mu _1}\right],$$
(37)
where $`h`$ is an arbitrary function and $`P`$ is periodic with the period one. From this, the $`k`$-point function is obtained as

$`\varphi (x_1)\mathrm{}\varphi _k(x_k)=`$ $`(x_1x_k)^{\mathrm{\Delta }_1}(x_2x_1)^{\mathrm{\Delta }_2}\mathrm{}(x_kx_{k1})^{\mathrm{\Delta }_k}`$
$`\times h({\displaystyle \frac{x_3x_2}{x_2x_1}},\mathrm{},{\displaystyle \frac{x_kx_{k_1}}{x_{k1}x_{k2}}})`$
$`\times {\displaystyle \underset{n=\mathrm{}}{\overset{\mathrm{}}{}}}C_n\mathrm{exp}\left[{\displaystyle \frac{2\pi ni\mathrm{ln}(x_2x_1)}{\mu _1}}\right].`$ (38)
Correlators containing logarithmic parts, can be obtained by formal differentiation with respect to appropriate weights. The one-point function is exceptional, as it is zero unless the weight is one of the members of a discrete set, eq. (33). This case was discussed previously.

Finally, for a two-dimensional system, a quasi-primary field $`\varphi `$ is transformed under rotation and discrete scaling like (3), and under translation like the obvious generalization of (29). Again, translation invariance makes the one-point function of the quasi-primary field $`\varphi `$ independent of $`z`$:

$$\varphi (z)=C.$$
(39)
Rotation invariance and discrete scale invarinace, then result in

$`e^{i(\mathrm{\Delta }\overline{\mathrm{\Delta }})\theta }C`$ $`=C,`$
$`e^{(\mathrm{\Delta }+\overline{\mathrm{\Delta }})\mu _1}C`$ $`=C,`$ (40)
respectively. From the first equation, $`C`$ may be nonzero only if $`\mathrm{\Delta }=\overline{\mathrm{\Delta }}`$. Then the second equation shows that $`C`$ may be nonzero only if

$$\mathrm{\Delta }=\overline{\mathrm{\Delta }}=\frac{\pi ki}{\mu _1},$$
(41)
where $`k`$ is an integer. If $`\varphi `$ has a logarithmic partner $`\psi `$, then there may be nonzero one-point functions only as

$`\varphi (z)`$ $`=0,`$
$`\psi (z)`$ $`=C_2,`$
$`e^{(\mathrm{\Delta }+\overline{\mathrm{\Delta }})\mu _1}`$ $`=1.`$ (42)
$`k`$-point functions of $`k`$ quasi-primary fields are also similarly obtained:

$`\varphi (z_1)\mathrm{}\varphi _k(z_k)=`$ $`(z_1z_k)^{\mathrm{\Delta }_1}(z_2z_1)^{\mathrm{\Delta }_2}\mathrm{}(z_kz_{k1})^{\mathrm{\Delta }_k}`$
$`\times (\overline{z}_1\overline{z}_k)^{\overline{\mathrm{\Delta }}_1}(\overline{z}_2\overline{z}_1)^{\overline{\mathrm{\Delta }}_2}\mathrm{}(\overline{z}_k\overline{z}_{k1})^{\overline{\mathrm{\Delta }}_k}`$
$`\times h({\displaystyle \frac{z_3z_2}{z_2z_1}},\mathrm{},{\displaystyle \frac{z_kz_{k_1}}{z_{k1}z_{k2}}})`$
$`\times {\displaystyle \underset{n=\mathrm{}}{\overset{\mathrm{}}{}}}C_n\mathrm{exp}\left[{\displaystyle \frac{2\pi ni\mathrm{ln}|z_2z_1|}{\mu _1}}\right].`$ (43)
More-than-one-point functions containing logarithmic partners, are also obtained by formal differentiation of the above, with respect to appropriate weights.

## 5 Discrete scale invariance plus special conformal transformation invariance

Now, let’s consider the systems invariant under discrete scale transformation together with continous special conformal transformation. First consider one-dimensional systems. A quasi-primary field $`\varphi `$, is transformed under special conformal transformation like

$$\varphi (x)\frac{1}{(1ax)^{2\mathrm{\Delta }}}\varphi \left(\frac{x}{1ax}\right).$$
(44)
Defining a field $`\stackrel{~}{\varphi }`$ through

$$\stackrel{~}{\varphi }(x):=x^{2\mathrm{\Delta }}\varphi \left(\frac{1}{x}\right),$$
(45)
it is seen that under $`C_a`$, this field is transformed like

$$\stackrel{~}{\varphi }(x)\stackrel{~}{\varphi }(xa).$$
(46)
It is also seen that under discrete scaling, $`\stackrel{~}{\varphi }`$ is transformed as

$$\stackrel{~}{\varphi }(x)e^{\mathrm{\Delta }\mu _1}\stackrel{~}{\varphi }(e^{\mu _1}x).$$
(47)
These show that corresponding to the quasi-primary field $`\varphi `$, there exists another field $`\stackrel{~}{\varphi }`$ such that the actions of special conformal transformation and discrete scaling on which are like translation and discrete scaling, respectively. So correlators containing these new fields are like those obtained in the previous section. From these, it is easy to obtain correlators containing the quasi-primary fields. If $`\varphi `$ has a logarithmic partner $`\psi `$, then define the field $`\stackrel{~}{\psi }`$ through

$$\stackrel{~}{\psi }(x):=x^{2\mathrm{\Delta }}\left[\psi \left(\frac{1}{x}\right)2\mathrm{\Delta }\mathrm{ln}x\varphi \left(\frac{1}{x}\right)\right].$$
(48)
This is in fact the formal derivative of $`\stackrel{~}{\varphi }`$ with respect to $`\mathrm{\Delta }`$. Correlators containing $`\stackrel{~}{\varphi }`$ and $`\stackrel{~}{\psi }`$ are of the general forms obtained in the previous section. From these, it is easy to obtain correlators containing $`\varphi `$ and $`\psi `$, or several fields like them.

For two-dimensional systems, one defines $`\stackrel{~}{\varphi }`$ corresponding to a quasi-primary field $`\varphi `$ like

$$\stackrel{~}{\varphi }(z):=z^{2\mathrm{\Delta }}\overline{z}^{2\overline{\mathrm{\Delta }}}\varphi \left(\frac{1}{z}\right).$$
(49)
So correlators containing $`\stackrel{~}{\varphi }`$’s are of the general form obtained in the previous section. Correlators containing logarithmic partners can be obtained through differentiation with respect to appropriate weights.