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# Cyclic covers of rings with rational singularities

## 1. Introduction

The theory of cyclic covers has found frequent use in commutative algebra in recent years. In \[GrW\] Griffith and Weston applied this theory in their study of torsion elements in the kernel of certain divisor class group homomorphisms. More recently, there has been a substantial amount of interest in cyclic covers arising from tight closure theory and its connections with the study of singularities in characteristic zero, see \[Sm2\], in particular, § 4. While these connections have been illuminated and greatly advanced by studying the notions of F-rationality and F-regularity that arise from tight closure theory, the property of F-regularity remains something of a mystery. It is known that a Gorenstein ring is F-regular precisely if it is F-rational, and it is in the Gorenstein setting that the property of F-regularity is perhaps best understood. A frequent theme has been to extend results that are known for Gorenstein rings to the class of $``$-Gorenstein rings, and it is here that cyclic covers make their appearance. As an example, Hochster and Huneke showed that a Gorenstein integral domain of characteristic $`p>0`$ is a direct summand of every module-finite extension ring precisely if it is F-regular, \[HH4\]; the question arises whether this is true without the Gorenstein hypothesis, and the (albeit partial) answer to this now available uses cyclic covers, see \[Si1\]. In a geometric vein, Hara’s theorem that a ring of characteristic zero with log terminal singularities has F-regular type, uses a cyclic cover argument to reduce to the Gorenstein case where log terminal singularities agree with rational singularities, see \[Ha\]. It should be mentioned that rings of dimension two with rational singularities are $``$-Gorenstein by the work of Lipman, \[Li\], and so it is only natural to consider their cyclic canonical covers, which have the advantage of being Gorenstein rings.

In \[Wa3\] Watanabe showed that a cyclic cover of an F-regular ring is also F-regular and, as a consequence, that it is Cohen-Macaulay. One of the goals of this paper is to show that under the weaker hypothesis that a ring $`R`$ is F-rational (or that it has rational singularities), a cyclic cover of $`R`$ need not be a Cohen-Macaulay ring, even in the most natural setting where the cyclic cover is precisely the canonical cover of a $``$-Gorenstein ring $`R`$. Our main result is:

###### Theorem 1.1.

For all $`d3`$ there exists an $``$-graded $``$-Gorenstein ring $`R`$ of dimension $`d`$, with an isolated rational singularity at its homogeneous maximal ideal, such that the canonical cover of $`R`$ is not a Cohen-Macaulay ring.

In section 5 we provide a tight closure approach to some results from Griffith’s recent work \[Gr\]. The question under consideration is the following: let $`f:XY`$ be a finite étale morphism of smooth projective varieties over an algebraically closed field of characteristic zero. If $`Y`$ is arithmetically Cohen-Macaulay, does this property ascend to $`X`$? More precisely, if $`_{n0}H^0(Y,^n)`$ is a Cohen-Macaulay homogeneous coordinate ring for $`Y`$, where $``$ is an ample line bundle on $`Y`$, is the corresponding homogeneous coordinate ring $`_{n0}H^0(X,f^{}^n)`$ of $`X`$ also Cohen-Macaulay? Similarly, one may ask the following question: let $`(R,m)(S,n)`$ be a module-finite extension of local or $``$-graded rings which is étale on the punctured spectrum, $`SpecR\{m\}`$. If $`R`$ is Cohen-Macaulay, is the ring $`S`$ also Cohen-Macaulay? The answer is negative as established by examples of Griffith, and we show how a very general and interesting source of such examples comes from tight closure theory.

## 2. Graded rings and local cohomology

We shall follow the notation and conventions of \[GoW\]. For the convenience of the reader we record some standard facts about graded local cohomology modules and Segre products.

By an $``$-graded ring $`R`$, we will always mean a ring $`R=_{n0}R_n`$, finitely generated over a field $`R_0=K`$. We use $`m_R`$ or $`m`$ to denote the homogeneous maximal ideal $`R_+`$ of $`R`$. By a homogeneous system of parameters for $`R`$ we mean a sequence of homogeneous elements of $`R`$ whose images form a system of parameters for $`R_m`$. In specific examples involving homomorphic images of polynomial rings, lowercase letters will denote the images of the corresponding variables, the variables being denoted by uppercase letters.

For a graded $`R`$-module $`M`$, the $`i`$ th graded component of $`M`$ will be denoted by $`[M]_i`$. We use $`M(n)`$ to denoted the graded $`R`$-module with $`[M(n)]_i=[M]_{n+i}`$ for all $`i`$. For graded $`R`$-modules $`M`$ and $`N`$, we may consider the graded $`R`$-module $`\underset{¯}{\mathrm{Hom}}_R(M,N)`$ whose $`i`$ th graded component $`[\underset{¯}{\mathrm{Hom}}_R(M,N)]_i`$ is the abelian group consisting of all graded (i.e., degree preserving) R-linear homomorphisms from $`M`$ to $`N(i)`$. It is an easy verification that

$$\underset{¯}{\mathrm{Hom}}_R(M,N(n))=\underset{¯}{\mathrm{Hom}}_R(M,N)(n)=\underset{¯}{\mathrm{Hom}}_R(M(n),N).$$

Graded $`R`$-modules form an abelian category with enough injectives. For an integer $`i0`$, the functor $`\underset{¯}{\mathrm{Ext}}_R^i(M,)`$ denotes the $`i`$ th derived functor of $`\underset{¯}{\mathrm{Hom}}_R(M,)`$. If $`M`$ is a finitely generated graded $`R`$-module, then

$$\underset{¯}{\mathrm{Hom}}_R(M,N)=\mathrm{Hom}_R(M,N)\text{ and }\underset{¯}{\mathrm{Ext}}_R^i(M,N)=\mathrm{Ext}_{R}^{}{}_{}{}^{i}(M,N)$$

as underlying $`R`$-modules, where $`N`$ is any graded $`R`$-module. For a homogeneous ideal $`I`$ of $`R`$ and a graded $`R`$-module $`M`$, the graded local cohomology modules of $`M`$ with support in $`I`$ (more precisely, with support in the closed set $`V(I)SpecR`$) are defined as

$$\underset{¯}{H}_I^i(M)=\underset{}{\mathrm{lim}}_n\underset{¯}{\mathrm{Ext}}_R^i(R/I^n,M).$$

Since the modules $`R/I^n`$ are finitely generated, $`\underset{¯}{H}_I^i(M)`$ and $`H_I^i(M)`$ agree as underlying $`R`$-modules. If $`dimR=d`$ and $`x_1,\mathrm{},x_d`$ is a homogeneous system of parameters for $`R`$, the module $`\underset{¯}{H}_m^d(R)`$ may be identified with

$$\underset{}{\mathrm{lim}}_tR/(x_1^t,\mathrm{},x_d^t)R$$

where the maps are induced by multiplication by the element $`x_1\mathrm{}x_dR`$. Under the grading on $`\underset{¯}{H}_m^d(R)`$, we have

$$deg[z+(x_1^t,\mathrm{},x_d^t)]=degzt\underset{i=1}{\overset{d}{}}degx_i$$

where $`z`$ is a homogeneous element of $`R`$. Goto and Watanabe defined $`a(R)`$, the $`a`$-invariant of $`R`$, as the highest integer $`a`$ such that $`[\underset{¯}{H}_m^d(R)]_a`$ is nonzero.

The injective hull of $`K`$ in the category of graded $`R`$-modules will be denoted by $`\underset{¯}{E}_R(K)`$ and this is also the injective hull of $`K`$ as an $`R`$-module. For a graded $`R`$-module $`M`$, its graded $`K`$-dual is $`M^{}=\underset{¯}{\mathrm{Hom}}_K(M,K)`$ where

$$[M^{}]_i=\mathrm{Hom}_K(M,K(i))=\mathrm{Hom}_K(M(i),K).$$

With this notation it turns out that $`\underset{¯}{E}_R(K)=R^{}`$, and so

$$\underset{¯}{\mathrm{Hom}}_R(M,\underset{¯}{E}_R(K))\underset{¯}{\mathrm{Hom}}_K(M,K)=M^{}.$$

The graded canonical module of $`R`$ is

$$\omega _R=(\underset{¯}{H}_m^d(R))^{}\underset{¯}{\mathrm{Hom}}_R(\underset{¯}{H}_m^d(R),\underset{¯}{E}_R(K)).$$

If the ring $`R`$ is Gorenstein, it is easy to see that there is a graded isomorphism $`\omega _RR(a)`$ where $`a`$ is the $`a`$-invariant of the ring $`R`$.

### Segre products.

Let $`A`$ and $`B`$ be $``$-graded rings over a field $`A_0=B_0=K`$. The Segre product of $`A`$ and $`B`$ is the ring

$$R=A\mathrm{\#}B=_{n0}A_n_KB_n.$$

This has a natural grading in which $`R_n=A_n_KB_n`$. If $`M`$ and $`N`$ are graded modules over $`A`$ and $`B`$ respectively, then their Segre product is the graded $`R`$-module

$$M\mathrm{\#}N=_n[M]_n_K[N]_n\text{ with }[M\mathrm{\#}N]_n=[M]_n_K[N]_n.$$

We assume next that $`A`$ and $`B`$ are normal rings over an algebraically closed field $`K`$. In this case $`R=A\mathrm{\#}B`$ is also a normal ring since it is a direct summand of the normal ring $`A_KB`$. For reflexive modules $`M`$ and $`N`$ over $`A`$ and $`B`$ respectively, we have the Künneth formula for local cohomology, \[GoW, Theorem 4.1.5\]:

$`\underset{¯}{H}_{m_R}^k(M\mathrm{\#}N)`$ $`\left(M\mathrm{\#}\underset{¯}{H}_{m_B}^k(N)\right)\left(\underset{¯}{H}_{m_A}^k(M)\mathrm{\#}N\right)`$
$`{\displaystyle \underset{i+j=k+1}{}}\left(\underset{¯}{H}_{m_A}^i(M)\mathrm{\#}\underset{¯}{H}_{m_B}^j(N)\right)\text{ for all }k0.`$
If $`dimA=r1`$ and $`dimB=s1`$, the above formula shows that $`dimR=r+s1`$. Furthermore, if $`r2`$ and $`s2`$, we get

$$\underset{¯}{H}_{m_R}^{r+s1}(R)\underset{¯}{H}_{m_A}^r(A)\mathrm{\#}\underset{¯}{H}_{m_B}^s(B),$$

and applying $`\underset{¯}{\mathrm{Hom}}_K(,K)`$, this shows that $`\omega _R\omega _A\mathrm{\#}\omega _B`$.

In the paper \[Ch\], Chow established necessary and sufficient conditions under which the Segre product of two graded Cohen-Macaulay rings is Cohen-Macaulay. Let $`U^r`$ and $`V^s`$ be projective varieties with homogeneous coordinate rings $`A`$ and $`B`$ respectively. The Segre product $`A\mathrm{\#}B`$ is a homogeneous coordinate ring for the Segre embedding $`U\times V^{rs+r+s}`$, and the question whether $`U\times V^{rs+r+s}`$ is projectively Cohen-Macaulay is precisely the question whether $`A\mathrm{\#}B`$ is a Cohen-Macaulay ring. Chow’s work was motivated by a question of Dwork and Ireland that arose from studying Zeta functions of algebraic varieties. In \[HR, §14\] Hochster and Roberts showed that under mild hypotheses on $`A`$ and $`B`$, Chow’s results can be obtained by an application of the Künneth formula for sheaf cohomology. Also, Goto and Watanabe established such a result using the Künneth formula for local cohomology. Their result is:

###### Theorem 2.1.

\[GoW, Theorem 4.2.3\] Let $`A`$ and $`B`$ be $``$-graded Cohen-Macaulay rings of dimension at least two. If $`a(A)<0`$ and $`a(B)<0`$, then the Segre product $`A\mathrm{\#}B`$ is Cohen-Macaulay and $`a(A\mathrm{\#}B)<0`$. Conversely if $`A\mathrm{\#}B`$ is Cohen-Macaulay and the rings $`A`$ and $`B`$ contain nonzero homogeneous elements of all positive degrees, then $`a(A)<0`$ and $`a(B)<0`$.

### Rational coefficient Weil divisors.

We recall some notation and results from \[De, Wa1, Wa3\].

By a rational coefficient Weil divisor (or a $``$-divisor) on a normal projective variety $`X`$, we mean a $``$-linear combination of codimension one irreducible subvarieties of $`X`$. If $`D=n_iV_i`$ where $`n_i`$ and $`V_i`$ are distinct irreducible subvarieties, we set $`[D]=[n_i]V_i`$, where $`[n]`$ denotes the greatest integer less than or equal to $`n`$, and define $`𝒪_X(D)=𝒪_X([D])`$.

Let $`D=(p_i/q_i)V_i`$ where the integers $`p_i`$ and $`q_i`$ are relatively prime, $`q_i>0`$, and the subvarieties $`V_i`$ are distinct. The fractional part of $`D`$ is defined as $`D^{}=((q_i1)/q_i)V_i`$. The reason for this definition is that we then have $`[nD]=[nD+D^{}]`$ for any integer $`n`$, and this will be of use when we use Serre duality with $``$-divisors.

For an ample $``$-divisor $`D`$ (i.e., such that $`nD`$ is an ample Cartier divisor for some $`n`$), the generalized section ring corresponding to $`D`$ is

$$R=R(X,D)=_{n0}H^0(X,𝒪_X(nD)).$$

With this notation, Demazure’s result (\[De, 3.5\]) states that every $``$-graded normal ring $`R`$ is isomorphic to a generalized section ring $`R(X,D)`$ for some ample $``$-divisor $`D`$ on $`X=ProjR`$.

Let $`X`$ be a smooth projective variety of dimension $`d`$ with canonical divisor $`K_X`$, and let $`D`$ be an ample $``$-divisor on $`X`$. Let $`\omega _R`$ denotes the graded canonical module of the ring $`R=R(X,D)`$ and $`\omega _R^{(i)}`$ its $`i`$ th symbolic power. In the papers \[Wa1\] and \[Wa3\] Watanabe showed that

$`[\underset{¯}{H}_m^i(R)]_n`$ $`H^{i1}(X,𝒪_X(nD))\text{ for all }i2,`$
$`[\omega _R^{(i)}]_n`$ $`H^0(X,𝒪_X(i(K_X+D^{})+nD)),\text{ and}`$
$`[\underset{¯}{H}_m^{d+1}(\omega _R^{(i)})]_n`$ $`H^d(X,𝒪_X(i(K_X+D^{})+nD)).`$
### Rational singularities.

We shall say that a normal ring $`R`$ essentially of finite type over a field of characteristic zero has rational singularities if the affine scheme $`SpecR`$ has only rational singularities. We recall a theorem of Watanabe:

###### Theorem 2.2.

\[Wa2, Theorem 2.2\] Let $`R`$ be a normal $``$-graded ring which is finitely generated over a field $`R_0=K`$ of characteristic zero. Then $`R`$ has rational singularities if and only if the following two conditions are satisfied:

1. the open set $`SpecR\{m_R\}`$ has only rational singularities, and
2. the ring $`R`$ is Cohen-Macaulay with $`a(R)<0`$.

Note that condition $`(1)`$ above is satisfied if the ring $`R`$ has an isolated singularity at its homogeneous maximal ideal $`m_R`$. An application of this theorem, which we will have use for later, is the following:

###### Proposition 2.3.

Let $`D`$ be an effective $``$-divisor on projective space $`^d`$ over a field of characteristic zero, and consider the generalized section ring $`R=R(^d,D)`$. If $`SpecR\{m_R\}`$ has at most rational singularities, then $`R`$ has rational singularities.

###### Proof.

By construction $`R`$ is a normal ring of dimension $`d+1`$, and since

$$[\underset{¯}{H}_m^i(R)]_nH^{i1}(^d,𝒪_^d(nD))=0$$

for all $`2id`$, for all $`n`$, the ring $`R`$ must be Cohen-Macaulay. It remains only to verify that $`a(R)<0`$. Using  to denote the Serre dual,

$$[\underset{¯}{H}_m^{d+1}(R)]_nH^d(^d,𝒪_^d(nD))H^0(^d,𝒪_^d(K_^d+D^{}nD))^{}$$

which is zero for all $`n0`$ since $`D`$ is effective. ∎

## 3. Tight closure

For the theory of tight closure, developed by Hochster and Huneke, we refer the reader to the papers \[HH1, HH2, HH3\] and \[HH4\]. In our applications of this theory, we will usually be restricting ourselves to the class of $``$-graded rings, and we summarize some results which will suffice for our needs. The reader can find more general forms of several of these results in the papers mentioned above.

###### Theorem 3.1.

Let $`R`$ be an $``$-graded ring over a perfect field $`R_0=K`$ of characteristic $`p>0`$.

1. If $`R`$ is a regular ring, then it is strongly F-regular.
2. Direct summands of F-regular rings are F-regular.
3. If $`R`$ is an F-rational ring, then it is normal and Cohen-Macaulay.
4. An F-rational Gorenstein ring is F-regular.
5. The ring $`R`$ is F-regular if and only if it is strongly F-regular.

###### Proof.

For $`(1)(4)`$ see \[HH1, Theorem 3.1\] and \[HH3, Theorem 4.2\], and for $`(5)`$, see \[LS, Corollary 4.3\]. ∎

In \[HH5\] Hochster and Huneke have developed a theory of tight closure for rings essentially of finite type over fields of characteristic zero. However, notions corresponding to F-regularity and F-rationality can also be defined in characteristic zero without explicitly considering a closure operation for rings of characteristic zero. A ring $`R=K[X_1,\mathrm{},X_n]/I`$ over a field $`K`$ of characteristic zero is said to be of dense F-regular type if there exists a finitely generated $``$-algebra $`AK`$ and a finitely generated free $`A`$-algebra

$$R_A=A[X_1,\mathrm{},X_n]/I_A$$

such that $`RR_A_AK`$ and, for all maximal ideals $`\mu `$ in a Zariski dense subset of $`SpecA`$, the fiber rings $`R_A_AA/\mu `$ are F-regular rings of characteristic $`p>0`$. Similarly, $`R`$ is of dense F-rational type if for a dense subset of $`\mu `$, the fiber rings $`R_A_AA/\mu `$ are F-rational. Combining some of the results from \[Ha, HW, Sm1\] we have:

###### Theorem 3.2 (Hara-Smith-Watanabe).

Let $`R`$ be a ring finitely generated over a field of characteristic $`0`$. Then $`R`$ has rational singularities if and only if it is of dense F-rational type. If $`R`$ is $``$-Gorenstein, then it has log terminal singularities if and only if it is of dense F-regular type.

When used along with Proposition 2.3, the following result provides various examples of F-rational rings which are not F-regular:

###### Proposition 3.3.

Let $`D`$ be an ample $``$-divisor on $`^d`$, where $`^d`$ is projective space over a perfect field $`K`$ of characteristic $`p>0`$ (or of characteristic $`0`$), and consider the generalized section ring $`R=R(^d,D)`$. If $`R`$ is F-regular (respectively, of dense F-regular type), then $`deg(K_^d+D^{})<0`$.

###### Proof.

If $`K`$ is a perfect field of characteristic $`p>0`$, the ring $`R`$ is F-finite, i.e., the ring $`R^{1/p}`$ (obtained by adjoining $`p`$th roots of elements of $`R`$) is a finitely generated $`R`$-module. By \[LS\] $`R`$ is strongly F-regular and $`0_E^{}=0`$, where $`E`$ is the injective hull of the residue field $`K`$; in other words, the zero submodule of $`E`$ is tightly closed. Let $`\zeta [H_m^{d+1}(\omega _R)]_0`$ denote a socle generator of $`E`$. Since $`0_E^{}=0`$, for any nonzero element $`cR_n`$, there exists $`q=p^e`$ such that the element

$$cF^e(\zeta )[H_m^{d+1}(\omega _R^{(q)})]_n$$

is nonzero, where $`F`$ denotes the Frobenius morphism. Consequently

$$[H_m^{d+1}(\omega _R^{(q)})]_nH^d(^d,𝒪_^d(q(K_^d+D^{})+nD))0,$$

and it follows that $`deg(K_^d+D^{})<0`$. ∎

###### Example 3.4.

For an algebraically closed field $`K`$ of characteristic $`0`$ and positive integers $`r,n,`$ and $`m3`$, consider the $``$-divisor

$$D=\frac{1}{r}V(X_1^n+\mathrm{}+X_m^n)\text{ on }^{m1}=ProjK[X_1,\mathrm{},X_m].$$

Note that $`X_1^n+\mathrm{}+X_m^n`$ is irreducible since $`m3`$. Take the corresponding generalized section ring $`R=_{n0}H^0(^{m1},𝒪_{^{m1}}(nD))Z^n`$ where the term $`Z^n`$ serves to keep track of the degree of an element of $`R`$. The ring $`R`$ is generated over the field $`K`$ by $`Z`$, and elements of the form

$$\frac{\mu _n(X_1,\mathrm{},X_m)}{X_1^n+\mathrm{}+X_m^n}Z^r$$

where $`\mu _n(X_1,\mathrm{},X_m)`$ is a monomial of degree $`n`$ in the variables $`X_1,\mathrm{},X_m`$. Consequently $`R`$ may be identified with the subring of the hypersurface

$$S=K[Z,X_1,\mathrm{},X_m]/(Z^r(X_1^n+\mathrm{}+X_m^n))$$

generated by $`z`$, (i.e., the image of $`Z`$ in $`S`$) and monomials of degree $`n`$ in $`x_1,\mathrm{},x_m`$ (the images, respectively, of $`X_1,\mathrm{},X_m`$). For another description of $`R`$, let $`\zeta K`$ be a primitive $`n`$ th root of unity and consider the $`K`$-automorphism $`\sigma `$ of $`S`$ where $`\sigma (x_i)=\zeta x_i`$ for $`1im`$ and $`\sigma (z)=z`$. If $`G=(\sigma )/n`$, then the ring of invariants of this group action, $`S^G`$, is isomorphic to $`R`$. It is an easy verification that $`R`$ has an isolated singularity at its homogeneous maximal ideal $`m_R`$ since, for all $`1im`$, the localization $`R_{x_i^n}`$ is a regular ring. The $``$-divisor $`D`$ is effective, and so the ring $`R`$ has rational singularities by Proposition 2.3. If $`R`$ is of dense F-regular type then, by Proposition 3.3,

$$deg(K_{^{m1}}+D^{})=m+\left(\frac{r1}{r}\right)n<0.$$

Consequently if $`(r1)nmr0`$, then $`R`$ is a $``$-Gorenstein ring, with an isolated rational singularity, which is not of dense F-regular type.

## 4. Cyclic covers

For the general theory of cyclic covers, we refer the reader to the paper of Tomari and Watanabe, \[TW\]. The discussion below shall suffice for our needs.

Let $`R`$ be an $``$-graded or local normal domain with an ideal $`I`$ of pure height one (i.e., a divisorial ideal) which has finite order $`n`$ when regarded as an element of the divisor class group of the ring $`R`$. Let $`I^{(n)}=uR`$ where, in the graded case, we assume furthermore that $`I`$ and $`u`$ are homogeneous. By the cyclic cover of $`R`$ with respect to $`I`$, we mean the ring

$$S=R[It,I^{(2)}t^2,\mathrm{},I^{(i)}t^i,\mathrm{}]/(ut^n1).$$

This ring is finitely generated as an $`R`$-module, in particular, the generators of $`It,\mathrm{},I^{(n1)}t^{n1}`$ form a generating set for $`S`$. If the characteristic of the residue field of $`R`$ is relatively prime to $`n`$, the inclusion of $`R`$ in $`S`$ is étale in codimension one; more generally, if $`PSpecR`$ is such that $`IR_P`$ is principal, say $`IR_P=vR_P`$, then $`u=\lambda v^n`$ for a unit $`\lambda R_P`$, and so

$$S_P=R_P[vt]/(\lambda (vt)^n1),$$

which is an étale extension of $`R_P`$. Note that $`S`$ is a normal domain. We next recall a theorem of Watanabe:

###### Theorem 4.1.

\[Wa3, Theorem 2.7\] Let $`RS`$ be a finite local homomorphism of normal local rings (or a graded homomorphism of $``$-graded rings) which is étale in codimension one. If the ring $`R`$ is strongly F-regular, then the ring $`S`$ is also strongly F-regular.

In particular, if $`S`$ is the cyclic cover of a strongly F-regular ring $`R`$ with respect to a divisorial ideal of order $`n`$, then $`S`$ is strongly F-regular (and hence Cohen-Macaulay) provided the characteristic of $`R`$ does not divide $`n`$.

One of the main goals of this paper is to show that under the weaker hypothesis that the ring $`R`$ is F-rational, a cyclic cover $`S`$ need not be Cohen-Macaulay even if $`R`$ is a $``$-Gorenstein normal domain with an isolated rational singularity, and the finite extension $`S`$ is simply the canonical cover of the ring $`R`$.

We focus next on the case where $`R`$ is an $``$-graded normal domain, and $`I`$ is a homogeneous ideal of pure height one. In this setting we show that there is a natural $``$-grading on the cyclic cover $`S`$ which extends the grading on $`R`$. The main point of our result below is that this grading involves only non-negative rational numbers, and that the degree zero component of $`S`$ is the field $`[R]_0=K`$.

###### Proposition 4.2.

Let $`R`$ be an $``$-graded normal domain where $`[R]_0=K`$ is a field, and $`I`$ be a homogeneous ideal of pure height one which has order $`n`$ as an element of the divisor class group of $`R`$. Then $`I^{(n)}=uR`$ for a homogeneous element $`uR`$, and there is a unique $``$-grading on the cyclic cover

$$S=R[It,I^{(2)}t^2,\mathrm{},I^{(i)}t^i,\mathrm{}]/(ut^n1)$$

which extends the grading on $`R`$. Under this grading, homogeneous elements of $`S`$ have nonnegative weights and $`[S]_0=[R]_0=K`$.

###### Proof.

Since $`ut^n=1`$, we have $`degt=(degu)/n`$ in the fraction field of $`S`$, and this gives the unique extension of the $`R`$-grading. Let $`xt^iI^{(i)}t^i`$ be a nonzero homogeneous element of $`S`$ where $`1in1`$. Then

$$(xt^i)^nI^{(ni)}t^{ni}=u^it^{ni}R=R,()$$

and so $`deg(xt^i)0`$. If $`deg(xt^i)=0`$, then $`()`$ furthermore shows that $`(xt^i)^n=c[R]_0=K`$, and so $`x^n=cu^i`$. Since $`xI^{(i)}`$, we have

$$cu^i=xx^{n1}I^{(i)}I^{(ini)}I^{(in)}=u^iR,$$

and so $`I^{(i)}I^{(ini)}=u^iR`$. However this means that $`I^{(i)}`$ is an invertible fractional ideal, and hence a projective $`R`$-module, \[Ma, Theorem 11.3\]. Since $`R`$ and $`I^{(i)}`$ are graded, $`I^{(i)}`$ must be a free $`R`$-module, and since it has rank one, it must be principal. However this contradicts the fact that the order of $`I`$ in the divisor class group of $`R`$ is $`n`$. ∎

We usually prefer to work with this $``$-grading since it agrees with the grading on $`R`$. However we point out that since only finitely many denominators occur in this $``$-grading, one could multiply by a suitable integer to obtain an $``$-grading on $`S`$. (Specifically, multiplying all weights by the integer $`n`$ will ensure an $``$-grading.)

Our focus next is on the canonical cover of a graded $``$-Gorenstein ring $`R`$. It is well known that if an integral domain $`R`$ has a canonical module, then there is an ideal of $`R`$ which is isomorphic to that canonical module $`\omega `$. However in the graded situation it is not always possible to find an ideal of $`R`$ which is isomorphic to the graded canonical module $`\underset{¯}{\mathrm{Hom}}_K(\underset{¯}{H}_m^d(R),K)`$ in a degree preserving manner. This obstacle may be circumvented by choosing instead a fractional ideal of $`R`$ and henceforth, by a graded canonical module, we shall mean a fractional ideal $`\omega `$ of $`R`$ which is isomorphic to $`\underset{¯}{\mathrm{Hom}}_K(\underset{¯}{H}_m^d(R),K)`$ via a degree preserving isomorphism. Since $`\omega `$ is a reflexive module of rank one, its symbolic power $`\omega ^{(i)}`$ may be defined as the double dual of the tensor product of $`i`$ copies of $`\omega `$.

An $``$-graded or local normal domain $`R`$ is said to be $``$-Gorenstein if its canonical module has finite order when regarded as an element of the divisor class group of $`R`$. A generalized section ring $`R(^d,D)`$ is always $``$-Gorenstein: since $`Pic(^d)=`$, there exist integers $`m`$ and $`n`$ such that $`m(K_^d+D^{})`$ and $`nD`$ are linearly equivalent Weil divisors. By the canonical cover of a $``$-Gorenstein ring $`R`$, we mean the cyclic cover of $`R`$ with respect to its canonical module. For a $``$-Gorenstein ring $`R`$, we shall use $`\stackrel{~}{R}`$ to denote its canonical cover.

We shall say that a normal $``$-graded ring $`R`$ is quasi-Gorenstein if the module $`\underset{¯}{\mathrm{Hom}}_K(\underset{¯}{H}_m^d(R),K)`$ and the ring $`R`$ are isomorphic as underlying $`R`$-modules. In this case, it follows that

$$\omega _R=(\underset{¯}{H}_m^d(R))^{}R(a)$$

where $`a`$ is the $`a`$-invariant of the ring $`R`$. A quasi-Gorenstein Cohen-Macaulay ring is Gorenstein.

###### Proposition 4.3.

Let $`R`$ be a graded normal $``$-Gorenstein ring. If the canonical module $`\omega `$ of $`R`$ has order $`n`$ in the divisor class group of $`R`$ and $`\omega ^{(n)}=uR`$, consider the graded canonical cover

$$\stackrel{~}{R}=R[\omega t,\omega ^{(2)}t^2,\mathrm{},\omega ^{(n1)}t^{n1},\mathrm{}]/(ut^n1)$$

as above, i.e., with $`degt=(degu)/n`$. Then the ring $`\stackrel{~}{R}`$ is quasi-Gorenstein with $`a`$-invariant $`a(\stackrel{~}{R})=(degu)/n`$.

###### Proof.

If $`k=(degu)/n`$, we have a graded isomorphism

$$\stackrel{~}{R}R\omega (k)\omega ^{(2)}(2k)\mathrm{}\omega ^{(n1)}(nkk).$$

If $`d=dimR`$ and $`0in1`$, there are graded isomorphisms

$`\underset{¯}{\mathrm{Hom}}_K(\underset{¯}{H}_m^d(\omega ^{(i)}),K)`$ $`\underset{¯}{\mathrm{Hom}}_K(\underset{¯}{H}_m^d(\omega )\underset{¯}{}_R\omega ^{(i1)},K)`$
$`\underset{¯}{\mathrm{Hom}}_R(\omega ^{(i1)},\underset{¯}{\mathrm{Hom}}_K(\underset{¯}{H}_m^d(\omega ),K))`$
$`\underset{¯}{\mathrm{Hom}}_R(\omega ^{(i1)},R)\omega ^{(1i)}.`$
Consequently

$`\omega _{\stackrel{~}{R}}`$ $`\underset{¯}{\mathrm{Hom}}_K(\underset{¯}{H}_m^d(\stackrel{~}{R}),K){\displaystyle \underset{i=0}{\overset{n1}{}}}\underset{¯}{\mathrm{Hom}}(\underset{¯}{H}_m^d(\omega ^{(i)})(ik),K)`$
$`{\displaystyle \underset{i=0}{\overset{n1}{}}}\omega ^{(1i)}(ik)\stackrel{~}{R}(k),`$
and so $`\stackrel{~}{R}`$ is quasi-Gorenstein with $`a`$-invariant $`a(\stackrel{~}{R})=k=(degu)/n`$. ∎

We record an example we shall use later:

###### Example 4.4.

Let $`K`$ be an algebraically closed field of characteristic $`0`$, and take the $``$-divisor

$$D=\frac{1}{3}V(y_0)+\frac{1}{3}V(z_0)+\frac{1}{3}V(y_0+z_0)\text{ on }^1=ProjK[y_0,z_0]$$

where, for example, $`V(y_0)`$ denotes the point of $`^1`$ defined by the vanishing of $`y_0`$. Setting $`A=_{n0}H^0(^1,𝒪_^1(nD))x^n`$, the generators of $`A`$ are

$$\frac{y_0^3x^3}{y_0z_0(y_0+z_0)},\frac{y_0^2z_0x^3}{y_0z_0(y_0+z_0)},\frac{y_0z_0^2x^3}{y_0z_0(y_0+z_0)},\frac{z_0^3x^3}{y_0z_0(y_0+z_0)},\text{and}x,$$

and so we may identify $`A`$ with the subring of the hypersurface

$$H=K[X,Y,Z]/(X^3YZ(Y+Z))$$

generated by the elements $`y^3,y^2z,yz^2,z^3`$ and $`x`$. A graded canonical module for $`A`$ is

$$\omega _A=\frac{1}{x^2}(y^3,y^2z)A,$$

and its symbolic powers are

$$\omega _A^{(2)}=\frac{1}{x^4}(y^6,y^5z,y^4z^2)A\text{ and }\omega _A^{(3)}=\frac{1}{x^6}\left(y^6\right)A.$$

The isomorphism defined by

$$\frac{y^3t}{x^2}y,\frac{y^2zt}{x^2}z,\frac{y^6t^3}{x^6}1$$

may be used to identify $`\stackrel{~}{A}`$ with the hypersurface $`H`$.

We next examine when the Segre product of two graded $``$-Gorenstein rings is a $``$-Gorenstein ring.

###### Proposition 4.5.

Let $`A`$ and $`B`$ be normal $``$-graded $``$-Gorenstein rings over an algebraically closed field $`[A]_0=[B]_0=K`$. If the graded canonical modules $`\omega _A`$ and $`\omega _B`$ have orders $`m`$ and $`n`$ respectively as divisor class group elements, choose homogeneous elements $`u`$ and $`v`$ in the fraction fields of $`A`$ and $`B`$ such that $`\omega _A^{(m)}uA`$ and $`\omega _B^{(n)}vB`$ as graded fractional ideals. If $`ndegu=mdegv`$, then the Segre product $`R=A\mathrm{\#}B`$ is also a $``$-Gorenstein ring. If, furthermore, $`m`$ and $`n`$ are relatively prime integers, then the Segre product of the graded canonical covers of $`A`$ and $`B`$ is isomorphic to the canonical cover of $`R=A\mathrm{\#}B`$, i.e.,

$$\stackrel{~}{A\mathrm{\#}B}\stackrel{~}{A}\mathrm{\#}\stackrel{~}{B}.$$

###### Proof.

It is proved in \[GoW\] that the canonical module $`\omega _R`$ is the Segre product of the graded canonical modules, $`\omega _A\mathrm{\#}\omega _B`$, see also § 2. We have

$$\omega _R^{(mn)}\omega _A^{(mn)}\mathrm{\#}\omega _B^{(mn)}u^nA\mathrm{\#}v^mB$$

and this is isomorphic to $`u^nv^m(A\mathrm{\#}B)`$ whenever $`ndegu=mdegv`$.

In the case that $`m`$ and $`n`$ are relatively prime, $`\omega _R`$ has order $`mn`$ as a divisor class group element. If

$$k=(degu)/m=(degv)/n,$$

then the graded canonical cover of $`R`$ is

$$\stackrel{~}{R}\underset{r=0}{\overset{mn1}{}}\omega _R^{(r)}(kr)\underset{r=0}{\overset{mn1}{}}\omega _A^{(r)}(kr)\mathrm{\#}\omega _B^{(r)}(kr).$$

Since $`m`$ and $`n`$ are relatively prime integers, given arbitrary $`i,j`$, there exists a unique integer $`r`$ with $`0rmn1`$ such that $`rimodm`$ and $`rjmodn`$. Consequently

$$\stackrel{~}{R}\underset{i=0}{\overset{m1}{}}\underset{j=0}{\overset{n1}{}}\omega _A^{(i)}(ki)\mathrm{\#}\omega _B^{(j)}(kj)\stackrel{~}{A}\mathrm{\#}\stackrel{~}{B}.$$

By Watanabe’s result, Theorem 4.1, the canonical cover of a $``$-Gorenstein strongly F-regular ring $`R`$ is also strongly F-regular, provided the characteristic of $`R`$ does not divide the order of $`[\omega _R]Cl(R)`$. The corresponding result for log terminal singularities was proved earlier by Kawamata:

###### Theorem 4.6.

\[Ka, Proposition 1.7\] Let $`R`$ be a normal $``$-Gorenstein ring of characteristic zero with a canonical cover $`\stackrel{~}{R}`$. Then $`R`$ has log terminal singularities if and only if $`\stackrel{~}{R}`$ has log terminal singularities.

### Infinite covers

When the canonical ideal $`\omega _R`$ of a Cohen-Macaulay normal ring $`(R,m)`$ is not necessarily of finite order in the divisor class group $`Cl(R)`$, the anti-canonical cover $`S`$ may be constructed by taking an ideal $`I`$ of pure height one which is an inverse for $`\omega _R`$ in $`Cl(R)`$, and forming the symbolic Rees ring

$$S=_{i0}I^{(i)}.$$

The interest in the anti-canonical cover arises from the fact that if $`S`$ as above is Noetherian and Cohen-Macaulay, then it is Gorenstein. Symbolic Rees rings in general need not be Noetherian, but there is an interesting theorem of Watanabe that applies when the symbolic Rees ring is Noetherian:

###### Theorem 4.7.

\[Wa4, Theorem 0.1\] Let $`(R,m)`$ be a strongly F-regular ring, and $`I`$ an ideal of pure height one which is the inverse of the canonical module $`\omega _R`$ in $`Cl(R)`$. If the anti-canonical cover $`S=_{i0}I^{(i)}`$ is Noetherian, then it is strongly F-regular.

For an arbitrary divisorial ideal $`I`$ of a strongly F-regular ring $`R`$, Watanabe raised the question whether the symbolic Rees algebra $`_s(I)=_{n0}I^{(n)}`$ is Cohen-Macaulay whenever it is Noetherian. In \[Si2\] we developed the notion of multi-symbolic Rees algebras and used it to show that $`_s(I)`$ is indeed Cohen-Macaulay whenever a certain auxiliary ring is finitely generated over $`R`$. More precisely, we established:

###### Theorem 4.8.

\[Si2, Theorem 5.1\] Let $`(R,m)`$ be a strongly F-regular ring with canonical ideal $`\omega _R`$. Given a divisorial ideal $`I`$, choose a divisorial ideal $`J`$ such that $`[I]+[J]+[\omega _R]=0`$ in the divisor class group $`Cl(R)`$. If the multi-symbolic Rees algebra

$$_s(I,J)=\underset{n,m0}{}\mathrm{Hom}_R(\mathrm{Hom}_R(I^nJ^m,R),R)$$

is finitely generated over $`R`$, then $`_s(I)`$ is strongly F-Regular and, in particular, is Cohen-Macaulay.

Note that $`\mathrm{Hom}_R(\mathrm{Hom}_R(I^nJ^m,R),R)`$ above is simply the reflexive hull of $`I^nJ^m`$. The hypothesis that $`R`$ is strongly F-regular is indeed used in an essential way: Watanabe has constructed an example of an F-rational ring $`R`$ with a divisorial ideal $`I`$ such that the symbolic Rees algebra $`_s(I)`$ is not Cohen-Macaulay, \[Wa4, Example 4.4\]. Our result Theorem 6.1 may be viewed as a strengthening of this in the sense that we obtain such an example with the additional restriction that the divisorial ideal $`I`$ has finite order in $`Cl(R)`$.

## 5. Griffith’s examples from a tight closure viewpoint

Let $`f:XY`$ be a finite morphism of smooth projective varieties over an algebraically closed field $`K`$ of characteristic zero, and $``$ be an ample line bundle on $`Y`$ such that the homogeneous coordinate ring $`_{n0}H^0(Y,^n)`$ is Cohen-Macaulay. In \[Gr\] Griffith examined the issue whether the arithmetically Cohen-Macaulay property ascended to $`X`$, i.e., whether $`_{n0}H^0(X,f^{}^n)`$ is Cohen-Macaulay, under the hypothesis that the homomorphism

$$_{n0}H^0(Y,^n)_{n0}H^0(X,f^{}^n)$$

is étale away from the irrelevant ideal. Griffith constructed examples of morphisms $`f:XY`$ where the arithmetically Cohen-Macaulay property ascends but, if $`r1`$, it does not ascend for the induced morphism $`f:X\times ^rY\times ^r`$.

We recall the examples from \[Gr\], and discuss them from the point of view of log terminal singularities. For $`d4`$, let $`S`$ be the hypersurface

$$S=K[Z,X_1,\mathrm{},X_{d1}]/(Z^d(X_1^d+\mathrm{}+X_{d1}^d))$$

over an algebraically closed field $`K`$ of characteristic zero. Let $`\zeta `$ be a primitive $`d`$ th root of unity and consider the $`K`$-automorphism $`\sigma `$ of $`S`$ where $`\sigma (x_i)=\zeta x_i`$ for $`1id1`$ and $`\sigma (z)=z`$. Let $`G=(\sigma )/d`$. Then the ring of invariants of this group action $`R=S^G`$ is generated over $`K`$ by $`z`$ and the monomials of degree $`d`$ in the elements $`x_1,\mathrm{},x_{d1}`$. Let $`A=K[Y_0,\mathrm{},Y_r]`$ be a polynomial ring over $`K`$ where $`r1`$ and set $`X=ProjS`$, $`Y=ProjR`$, and $`^r=ProjA`$. In his paper, Griffith established the following results:

###### Proposition 5.1 (\[Gr\] § 4).

With the above notation,

1. The rings $`R`$ and $`S`$ are Cohen-Macaulay and the extension $`RS`$ is generically Galois, with Galois group $`/d`$. The extension of Segre products $`R\mathrm{\#}AS\mathrm{\#}A`$ is also generically Galois, with Galois group $`/d`$.
2. The graded $`K`$-algebra $`R`$ satisfies $`a(R)<0`$ whereas $`a(S)=0`$. Consequently the ring $`R\mathrm{\#}A`$ is Cohen-Macaulay, but $`S\mathrm{\#}A`$ is not. More specifically, $`S\mathrm{\#}A`$ satisfies the Serre condition $`S_{d1}`$ but not the condition $`S_d`$.
3. The extension $`RS`$ is étale away from the irrelevant maximal ideal, as is the extension $`R\mathrm{\#}AS\mathrm{\#}A`$.

###### Remark 5.2.

The ring $`R`$ above is the case of Example 3.4 with $`r=n=d`$ and $`m=d1`$, i.e., it is isomorphic to the generalized section ring of the $``$-divisor

$$D=\frac{1}{d}V(X_1^d+\mathrm{}+X_{d1}^d)\text{ on }ProjK[X_1,\mathrm{},X_{d1}].$$

As a graded canonical module for $`R`$, we may take

$$\omega _R=\frac{1}{z^{d1}}(x_1^d,x_1^{d1}x_2,\mathrm{},x_1^{d1}x_{d1})R.$$

This has order $`d`$ as an element of $`Cl(R)`$, and $`\omega _R^{(d)}=(x_1^{d(d1)}/z^{d(d1)})R`$. Furthermore, it turns out that the canonical cover of $`R`$ is isomorphic to the hypersurface $`S`$. Note that $`deg(K_{^{d2}}+D^{})=0`$ and so $`R`$ is an example of a $``$-Gorenstein ring with an isolated rational singularity, which is not a log terminal singularity. Such a ring always yields an example in which the arithmetically Cohen-Macaulay property fails to ascend, as we record in the proposition below:

###### Proposition 5.3.

Let $`R`$ be an $``$-graded $``$-Gorenstein ring of characteristic zero with an isolated rational singularity which is not a log terminal singularity. Then at least one of the following two conditions holds:

1. The canonical cover $`\stackrel{~}{R}`$ of the ring $`R`$ is not Cohen-Macaulay, in other words, the arithmetically Cohen-Macaulay property does not ascend under the morphism $`Proj\stackrel{~}{R}ProjR`$.
2. The canonical cover satisfies $`a(\stackrel{~}{R})0`$ and so, if $`r1`$, the arithmetically Cohen-Macaulay property does not ascend under the morphism

$$(Proj\stackrel{~}{R})\times ^r(ProjR)\times ^r.$$

###### Proof.

By Kawamata’s result, recorded earlier as Theorem 4.6, the canonical cover $`\stackrel{~}{R}`$ does not have log terminal singularities. But then, since $`\stackrel{~}{R}`$ is quasi-Gorenstein, it cannot have rational singularities. By our assumption $`R`$ has an isolated singularity, and therefore the canonical cover $`\stackrel{~}{R}`$ has an isolated singularity as well. By Watanabe’s result, Theorem 2.2, the failure of $`\stackrel{~}{R}`$ to have rational singularities can be attributed to one of the following two reasons:

$`(1)`$ The ring $`\stackrel{~}{R}`$ is not Cohen-Macaulay, and so the arithmetically Cohen-Macaulay property does not ascend under the morphism $`Proj\stackrel{~}{R}ProjR`$.

$`(2)`$ The ring $`\stackrel{~}{R}`$ has a nonnegative $`a`$-invariant. In this case, consider the polynomial ring $`A=K[Y_0,\mathrm{},Y_r]`$ where $`r1`$. Then $`R\mathrm{\#}A`$ is a Cohen-Macaulay ring whereas, by the Künneth formula for local cohomology, $`\stackrel{~}{R}\mathrm{\#}A`$ is not Cohen-Macaulay. Hence the arithmetically Cohen-Macaulay property does not ascend under the morphism $`(Proj\stackrel{~}{R})\times ^r(ProjR)\times ^r`$ for $`r1`$. ∎

The canonical cover $`\stackrel{~}{R}`$ of the ring $`R`$ constructed by Griffith is isomorphic to the hypersurface

$$S=K[X_1,\mathrm{},X_{d1},Z]/(Z^d(X_1^d+\mathrm{}+X_{d1}^d))$$

which, while being Cohen-Macaulay, does not have rational singularities since $`a(S)=0`$, i.e., due to reason $`(2)`$ above. The question then arises: does there exist a ring $`R`$, with an isolated rational singularity, whose canonical cover $`\stackrel{~}{R}`$ does not have rational singularities for reason $`(1)`$, i.e, because $`\stackrel{~}{R}`$ is not Cohen-Macaulay? The answer is yes, as we see next.

## 6. Non Cohen-Macaulay canonical covers of rings with rational singularities

We show that the canonical cover of a ring with rational singularities need not be Cohen-Macaulay:

###### Theorem 6.1.

For all $`d3`$, there exists a graded $``$-Gorenstein ring $`R`$ of dimension $`d`$, with an isolated rational singularity, whose canonical cover $`\stackrel{~}{R}`$ has depth $`2`$. In particular, $`\stackrel{~}{R}`$ is not a Cohen-Macaulay ring.

###### Proof.

Let $`K`$ be an algebraically closed field of characteristic $`0`$. The ring $`R`$ in the statement of the theorem will be constructed as a Segre product $`A\mathrm{\#}B`$. For the ring $`A`$, as in Example 4.4, take the subring of

$$\stackrel{~}{A}=K[X,Y,Z]/(X^3YZ(Y+Z))$$

generated by the elements $`y^3,y^2z,yz^2,z^3`$ and $`x`$.

Case $`d=3:`$ On $`^1=ProjK[v_0,w_0]`$, take the $``$-divisor

$$E=\frac{1}{2}V(v_0)+\frac{1}{2}V(w_0)+\frac{1}{2}V(v_0w_0)+\frac{1}{2}V(v_0+w_0)$$

and set $`B=_{n0}H^0(^1,𝒪_^1(nE))u^n`$. The generators of $`B`$ are

$`{\displaystyle \frac{v_0^4u^2}{v_0w_0(v_0^2w_0^2)}},{\displaystyle \frac{v_0^3w_0u^2}{v_0w_0(v_0^2w_0^2)}},{\displaystyle \frac{v_0^2w_0^2u^2}{v_0w_0(v_0^2w_0^2)}},{\displaystyle \frac{v_0w_0^3u^2}{v_0w_0(v_0^2w_0^2)}},`$
$`{\displaystyle \frac{w_0^4u^2}{v_0w_0(v_0^2w_0)}},\text{ and }u,`$
and we identify $`B`$ with the subring of the hypersurface

$$K[U,V,W]/(U^2VW(V^2W^2))$$

generated by the elements $`v^4,v^3w,v^2w^2,vw^3,w^4`$, which are assigned weight $`2`$, and $`u`$ which has weight $`1`$. A graded canonical module for $`B`$ is

$$\omega _B=\frac{1}{u}(v^4,v^3w,v^2w^2)B.$$

This has order $`2`$ as a divisor class group element, and $`\omega _B^{(2)}={\displaystyle \frac{v^4}{u^2}}B`$. The canonical cover $`\stackrel{~}{B}`$ is isomorphic to the subring of the hypersurface generated by $`v^2,vw,w^2`$ and $`u`$.

Case $`d4:`$ In the situation of Example 3.4, take $`r=2`$, $`m=d1`$, and $`n=2m`$, i.e., the $``$-divisor

$$E=\frac{1}{2}V(X_1^{2m}+\mathrm{}+X_m^{2m})\text{ on }^{m1}=ProjK[X_1,\mathrm{},X_m],$$

and the generalized section ring $`B=_{n0}H^0(^{m1},𝒪_{^{m1}}(nE))Z^n`$. Note that $`B`$ is not of dense F-regular type, since $`deg(K_{^{m1}}+E^{})=0`$. We identify $`B`$ with the subring of the hypersurface

$$K[Z,X_1,\mathrm{},X_m]/(Z^2(X_1^{2m}+\mathrm{}+X_m^{2m})),$$

generated by $`z`$ and monomials of degree $`2m`$ in $`x_1,\mathrm{},x_m`$. It is easily checked (using the corresponding $``$-divisors) that as a graded canonical module for $`B`$, we may take the fractional ideal

$$\omega _B=\frac{1}{z}(x_1^m\mu _m:\mu _m\text{ runs through degree }m\text{ monomials in }x_1,\mathrm{},x_m)B.$$

Its second symbolic power is $`\omega _B^{(2)}=(x_1^{2m}/z^2)B`$.

Note that the order of $`\omega _A`$ in $`Cl(A)`$ is $`3`$, and (in either case) that $`\omega _B`$ has order $`2`$ as an element of $`Cl(B)`$. Furthermore, $`a(\stackrel{~}{A})=a(\stackrel{~}{B})=0`$, so by Proposition 4.5, the Segre product $`R=A\mathrm{\#}B`$ is $``$-Gorenstein, and its canonical cover $`\stackrel{~}{R}`$ is isomorphic to $`\stackrel{~}{A}\mathrm{\#}\stackrel{~}{B}`$. By Proposition 2.3, $`A`$ and $`B`$ are rings with rational singularities over an algebraically closed field $`K`$, it follows that $`A_KB`$ has rational singularities. By Boutot’s Theorem, \[Bo\], its direct summand $`R=A\mathrm{\#}B`$ has rational singularities as well. The verification that $`R`$ has an isolated singularity at $`m_R`$ is rather routine, and is left to the reader.

It remains to check that the canonical cover of $`R`$, i.e., $`\stackrel{~}{R}\stackrel{~}{A}\mathrm{\#}\stackrel{~}{B}`$, has depth $`2`$. Since $`dim\stackrel{~}{A}=2`$, by the Künneth formula for local cohomology we have,

$$H_{m_{\stackrel{~}{R}}}^2(\stackrel{~}{R})\left(\stackrel{~}{A}\mathrm{\#}H_{m_{\stackrel{~}{B}}}^2(\stackrel{~}{B})\right)\left(H_{m_{\stackrel{~}{A}}}^2(\stackrel{~}{A})\mathrm{\#}\stackrel{~}{B}\right)$$

which is nonzero since $`a(\stackrel{~}{A})=0`$. ∎


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# Frequency-dependent fluctuational conductivity above Tc in anisotropic superconductors: effects of a short wavelength cutoff

## I Introduction

After many years of studies of the fluctuational effects on various properties of superconductors, the discovery of high-$`T_c`$ superconductors (HTC) has given new impulse to the study of fluctuational effects above the critical temperature $`T_c`$. In fact, high critical temperatures, short coherence lengths and strong anisotropy greatly enhance the temperature range of observation of fluctuational effects. This fact has led to the search for extensions of theoretical models, such as Ginzburg-Landau (GL) theory, to temperature ranges even well above $`T_c`$.
In general, fluctuational effects have been widely investigated in the past, both in conventional, low-$`T_c`$ (LTC) superconductors and in high-$`T_c`$ cuprates (HTC). Among the various effects affected by thermal fluctuations, the dc excess conductivity above $`T_c`$ has been experimentally studied most extensively. Theoretical investigations dates from the sixties, and development of this topic proceeded until the discovery of HTCs. With some noticeable exception, the attention was always focussed in the temperature region close to the critical temperature. In that region, it is customary to discuss the data in terms of the Aslamazov-Larkin (AL) and Maki-Thompson contributions. Alternatively, the data are often described in terms of gaussian fluctuations, which by the simpler formalism of Ginzburg-Landau theory yield the same results as the microscopic AL approach in clean superconductors.
While such treatments are in principle valid only close to $`T_c`$, in HTCs the range of observation of fluctuational effects is much wider. Thus, analysis of the data only in the strict proximity of $`T_c`$ would miss a substantial amount of information, eventually leading to incomplete conclusions. Tools for investigating a wider temperature range are then not only interesting by themselves, but necessary for the study of HTC compounds.
Hystorically, it was recognized very early  that the experimental dc excess conductivity dropped much faster than predicted by, e.g., AL theory, when temperature was raised above $`T_c`$. Early works attributed this behavior to the unphysical contribution of high momentum modes to the fluctuation conductivity: close to $`T_c`$ the uniform mode ($`q=0`$) is the most diverging one, so that the contributions of the other modes are automatically negligible, but at even slightly higher temperatures this is no longer true, and one has to manage somehow the other contributions. An essentially similar framework, both in the experimental results and theoretical arguments, applied to the fluctuation diamagnetism above $`T_c`$. In fact, the relevance of short or long wavelength modes is a rather general issue of the physics of phase transitions: it is here interesting to note that arguments similar to those developed in this paper were raised, e.g., in the treatment of the electrical resistivity in magnetic systems.
In most theoretical calculations a phenomenological approach was used: the dc excess conductivity was calculated within the time-dependent Ginzburg-Landau (TDGL) theory. Bearing in mind that within this approach slow variations of the order parameter (on the scale of $`\xi _0`$, the coherence length) are required, so that short-wavelength fluctuations are unphysical, a high-$`q`$ cutoff was imposed. A numerical approach was almost everywhere used, apart from a few analytical results in some special cases.
A second approach, grounded on microscopic calculations, was employed in early works to obtain the flluctuation diamagnetism. The calculation of fluctuational conductivity was carried out by A.Varlamov and co-workers in several papers, within the Lawrence-Doniach (LD) model for layered superconductors (that in the high temperature range reduces to a collection of two-dimensional superconducting sheets). In this case the basis was the calculation of the full energy and momentum dependence of the fluctuation propagator and of the Green functions. The dc conductivity was then calculated also for temperatures well above $`T_c`$.
Both these approaches gave as a result a strongly reduced dc excess conductivity well above $`T_c`$. A detailed comparison between the microscopic and the cutoffed, GL model for clean 2D superconductors has been given in Ref., where it was shown that, with an appropriate choice of the cutoff, the two formulations gave the same temperature dependence of $`\mathrm{\Delta }\sigma `$.
Comparisons with experiments were made on various materials: the phenomenological approach was successfully compared to data for the dc excess conductivity in amorphous alloys and YBa2Cu3O7-δ (YBCO) films and crystals within a three-dimensional model, and in Bi2Sr2CaCu2O8+x (BSCCO) crystals and tapes with a two-dimensional expression. The 2D limit of the microscopic calculation was shown to be in agreement with the data in BSCCO films. In all cases the agreement extended at least up to $`T1.25T_c`$. It is worth mentioning that a doping dependence of the cutoff number was found in BSCCO crystals, thus opening interesting issues about possible links between the phenomenological cutoff approach and microscopic properties.
In addition to the studies of the dc conductivity, a few papers appeared which dealt with the finite-frequency excess conductivity, mainly in the microwave range, together with the corresponding theoretical treatments. In general, early experimental works were found to agree reasonably well with pure gaussian models, while the data in HTC showed a possible evidence for critical behavior close to $`T_c`$. Differently from the dc case, only a very few preliminary works explored the high temperature regime. In these cases, extra conductivity lower than the gaussian expectation was experimentally found, but no simple theoretical expressions were given. It is interesting to note that none of the reported microwave studies has shown evidence for the Maki-Thompson term, neither in low-$`T_c`$ nor in high-$`T_c`$ superconductors, as opposed to some dc experiments. In addition, recent microscopic theoretical results have shown that in the ultraclean limit the fluctuationl conductivity is entirely given by the AL term, since the other contributions cancel out. We find in these facts strong motivation for the present study.
It should be mentioned that the cutoff approach is still a debated topic. However, it is a matter of fact that, to the lowest level, it gives a very good description of the data, while on fundamental grounds it is believed to be a fundamental aspect of the GL theory.
In this paper we present an explicit calculation of the finite-frequency excess conductivity based upon the TDGL theory. We phenomenologically introduce the short wavelength cutoff in the fluctuational spectrum. Differently from previous results, we obtain closed forms for the dynamic excess conductivity. Formulae are presented for thin wires (one-dimensional systems, 1D), thin films (2D) and bulk (3D) superconductors. We explicitly include the in-plane anisotropy for the 2D case, and the three-axis anisotropy for the 3D case. Our results extend previous calculations in several ways: i) to different dimensionalities, ii) including the frequency dependence, iii) giving explicit expressions for the cutoffed excess conductivity.
We discuss some of the features that can be expected in the experimental data when entering the short-wavelength regime. We expect that our calculations might be useful for the description of the frequency-dependent excess conductivity not too close to $`T_c`$.

## II Model

We use TDGL theory in order to investigate the main effects of a short-wavelength cutoff on the finite frequency conductivity. We work in absence of a dc magnetic field. We calculate the current response to a plane-wave electric field $`𝐄e^{i\omega t}`$. Throughout the paper we use Sistème International units for the ease of comparison of the results with the experiments. The GL functional is written in the general case as:

$$F=d^Dr\left[\underset{j=1,..D}{}\frac{\mathrm{}^2}{2m_j}\left|\left(\frac{}{r_j}\frac{ie^{}}{\mathrm{}}A_j\right)\psi \left(𝐫\right)\right|^2+\alpha \left|\psi \left(𝐫\right)\right|^2+\frac{1}{2}\beta \left|\psi \left(𝐫\right)\right|^4\right]$$
(1)
where the symbols have the following usual definitions:
The vector potential $`𝐀=\frac{i}{\omega }𝐄`$;
$`\alpha =aϵ`$, where $`ϵ=\mathrm{ln}(T/T_c)`$ is the reduced temperature;
$`e^{}=2e`$ is twice the electronic charge;
$`m_j`$ are the masses of the pair along the main crystallographic directions. Since we deal with the general case of anisotropic superconductors, all of them are in principle different.
The GL coherence lengths along the different axes are then defined as usual as $`\xi _j=\mathrm{}/\sqrt{2m_j\alpha }`$
We are mainly interested in the behavior not too close to $`T_c`$, so that in the following we neglect the term $`\psi ^4`$ altogether (inclusion of this terms can be relevant very close to $`T_c`$). Our aim is to calculate the longitudinal dynamical conductivity along the axis of application of the ac field, chosen to be the $`x`$ axis. In the following we will consider three distinct “dimensionalities”:
i) 1D: thin superconducting wire, which we take to lay along the $`x`$ axis. The section of the wire is assumed to be a square of side $`L`$, with $`L<\xi _y,\xi _z`$. Only $`m_x`$, $`\xi _x`$ are relevant.
ii) 2D: thin superconducting film, which is taken to lay in the $`x,y`$ plane. The thickness $`d<\xi _z`$. Both $`m_x`$ ($`\xi _x`$) and $`m_y`$ ($`\xi _y`$) are relevant.
iii) 3D: bulk anisotropic superconductor. The axes are taken along the crystallographic axes. All three masses and coherence lengths are relevant.
We do not rewrite all the preliminary calculations, that can be found elsewhere. Instead, we sketch the path that has been followed. The time evolution of the order parameter, needed in order to calculate the dynamical conductivity, is determined by the TDGL equation describing relaxational dynamic for $`\psi `$, which is taken to include a white noise term. At this stage, the characteristic relaxation rate $`\mathrm{\Gamma }_0`$ is introduced.
The response to the field $`𝐀(t)`$ is determined by the current operator averaged with respect to the noise (represented below by the brackets), and it can be expressed as a function of the correlation function of the order parameter $`C(𝐫,t;𝐫^{},t^{})=\psi (𝐫,t)\psi ^{}(𝐫^{},t^{})`$ at equal times:

$$J_x\left(t\right)=\frac{\mathrm{}e^{}}{m_x}\frac{d^Dq}{\left(2\pi \right)^D}q_xC\left[𝐤=𝐪\frac{e^{}}{\mathrm{}}𝐀\left(t\right);t,t\right]$$
(2)
where the momentum dependence has been shifted from $`𝐤`$ to the new vector $`𝐪=𝐤+\left(e^{}/\mathrm{}\right)𝐀\left(t\right)`$.
The correlator has been calculated by, e.g., A.T.Dorsey in the gaussian approximation. We limit ourselves to the treatment of the linear response (we note however that the present approach has been used to calculate the nonlinear excess conductivity close to $`T_c`$, Ref.). Within the linear response, all the quadratic terms in the vector potential can be neglected, and the equal time correlator reads:

$`C(𝐪;t,t)=2k_BT\mathrm{\Gamma }_0{\displaystyle \underset{0}{\overset{+\mathrm{}}{}}}dsexp\{[2\mathrm{\Gamma }_0\alpha s\mathrm{\Gamma }_0\mathrm{}^2s({\displaystyle \frac{q_y^2}{m_y}}+{\displaystyle \frac{q_z^2}{m_z}})]+`$ (3)
$`{\displaystyle \frac{\mathrm{\Gamma }_0\mathrm{}^2s}{m_x}}[q_x^2{\displaystyle \frac{2e^{}q_x}{\mathrm{}s}}{\displaystyle \underset{0}{\overset{s}{}}}du[A_x(tu)A_x\left(t\right)]]\}`$ (4)
The usual calculation is based on the integration of Eq.2 for all momenta. Then, inserting Eq.3 in Eq.2 and performing the integrals for the appropriate dimensionalities one gets the well known gaussian results.
As discussed in the Introduction, we wish to phenomenologically extend the applicability range of the calculation to temperatures not too close to $`T_c`$, so that we explicitly discard the short-wavelength fluctuations by inserting a high-$`q`$ cutoff in the integration of Eq.2. There are several possible choices for this task. In the calculation of the dc conductivity with the aim of the Kubo formula, Gauzzi has chosen a different cutoff for each $`q`$-component. Hopfengartner et al. have chosen, for the special case of YBCO taken as a uniaxial superconductor, the same cutoff for $`q_x`$ and $`q_y`$, and a different one on $`q_z`$. Johnson et al. used a cutoff on the modulus of $`q`$ in order to describe results on 3D, isotropic superconductors.
It is worth stressing that in the comparison with the experiments, each cutoff becomes a new fitting parameter. It is in general important to reduce the number of such parameters, and particularly in a calculation like this, where phenomenological modifications are made. To meet this requirement, it is useful to note that on physical grounds the cutoff is measured in units of the inverse temperature-independent correlation length, $`\xi _0^1`$. In homogeneous superconductors, even if anisotropic, there are no evident reasons for which a different number of $`\xi _0^1`$ should be used as a cutoff in different directions. We then introduce a single cutoff such that $`\sqrt{\underset{j=1,..D}{}[q_j\xi _j(0)]^2}<\mathrm{\Lambda }`$ in Eq.2. We mention that this choice might be questionable when explicitly dealing with layered superconductors, where there is indeed a physical difference for in-plane and out-of-plane properties. This would require the use of the Lawrence-Doniach or similar model, which is not the purpose of this work. A study limited to the dc conductivity can be found in Refs., while for a more general formulation of the extended (cutoffed) GL theory applied to layered superconductors we address the reader to a recent review.
To perform the calculations it is useful to manipulate the expression for the current using dimensionless variables:
$`k_j=q_j\xi _j`$, with $`j=x,y,z`$, and
$`w=\frac{\omega }{2\mathrm{\Gamma }_0\alpha }=\omega \tau =\frac{\omega \tau _0}{ϵ}`$
where in the latter relation the second equality defines the temperature-dependent GL characteristic time $`\tau `$, and the third equality defines $`\tau _0`$. In these units the cutoff is expressed as $`K=\mathrm{\Lambda }/\sqrt{ϵ}`$. The full expression for the current becomes:

$$J_x\left(t\right)=\frac{2e^{}k_BT}{\xi _x\xi _y\mathrm{}}\underset{0}{\overset{+\mathrm{}}{}}𝑑ue^u\frac{d^Dk}{(2\pi )^D}k_xexp\left\{uk^2+B_x\frac{Ek_x}{w^2}\left[e^{iuw}1iuw\right]\right\}$$
(5)
Where $`B_x=e^{}(2\alpha ^3m_x)^{\frac{1}{2}}/\mathrm{\Gamma }_0`$. This is the starting point for all the results presented in the following section. It is intended that in 2D we make use of $`\frac{d^Dq}{(2\pi )^D}\frac{1}{d}\frac{d^2q}{(2\pi )^2}`$, and in 1D $`\frac{d^Dq}{(2\pi )^D}\frac{1}{L^2}\frac{dq}{2\pi }`$, that is we do not allow (consistently with the rest of the present work) high-$`q`$ modes along the film thickness or wire section.
We do not explicitly report the long, but trivial procedures, for each specific case. In all cases we get, in the limit of small fields, the $`x`$-axis response written as:

$$J_x=\left[\sigma ^{}(\omega )+i\sigma ^{\prime \prime }(\omega )\right]E_xe^{i\omega t}=\sigma (\omega )E_xe^{i\omega t}$$
(6)
which defines the longitudinal complex conductivity $`\sigma =\sigma ^{}+i\sigma ^{\prime \prime }`$. We recall that with the inclusion of all the momentum contributions, in 2D and 3D it was found that the gaussian conductivity was a scaling function of the frequency:

$$\sigma _g(\omega )=\sigma _g^{}(\omega )+i\sigma _g^{\prime \prime }(\omega )=\sigma _g^{(dc)}\left[S_+\left(\omega \tau \right)+iS_{}\left(\omega \tau \right)\right]$$
(7)
where $`S_+(x)`$ and $`S_{}(x)`$ are the scaling functions as can be found in Ref. (with the subscript $`g`$ we indicate the results obtained in the gaussian approximation without a momentum cutoff), and they have the property that $`S_+(x0)=1`$ and $`S_{}(x0)=0`$. The scaling expression has found some experimental confirmation in swept-frequency measurements in YBCO, but the temperature dependence of $`\tau `$ was found to markedly depart from the GL prediction, $`\tau ϵ^1`$.

## III results

In this Section we present the resulting expressions for the finite-frequency excess conductivity for bulk superconductors, thin films and thin wires. In all cases, we find closed forms for the complex conductivity, which for compactness we leave in the form of functions of complex variable. Calculation of Eq.5 leads to the following expression for the anisotropic 3D complex conductivity:

$`\sigma _{3D}={\displaystyle \frac{e^2}{32\mathrm{}\xi _z(0)ϵ^{1/2}}}{\displaystyle \frac{\xi _x(0)}{\xi _y(0)}}{\displaystyle \frac{16}{3\pi w^2}}\{atnK(1iw)^{3/2}atn\left({\displaystyle \frac{K}{\sqrt{1iw}}}\right)+`$ (8)
$`+iw[{\displaystyle \frac{K}{2\left(1+K^2\right)}}{\displaystyle \frac{3}{2}}atnK]\}`$ (9)
In anisotropic thin films we get:

$`\sigma _{2D}={\displaystyle \frac{e^2}{16\mathrm{}dϵ}}{\displaystyle \frac{\xi _x(0)}{\xi _y(0)}}({\displaystyle \frac{2}{w^2}})\{[{\displaystyle \frac{1}{2}}ln(1+w^2)watnw]+`$ (10)
$`+i\left[w{\displaystyle \frac{w}{2}}ln\left(1+w^2\right)atn\left(w\right)\right]\left[{\displaystyle \frac{1}{2}}ln\left(1+{\displaystyle \frac{w^2}{(K^2+1)^2}}\right)watn\left({\displaystyle \frac{w}{K^2+1}}\right)\right]+`$ (11)
$`i[{\displaystyle \frac{w}{K^2+1}}{\displaystyle \frac{w}{2}}ln(1+{\displaystyle \frac{w^2}{(K^2+1)^2}})atn\left({\displaystyle \frac{w}{K^2+1}}\right)]\}`$ (12)
and finally, in thin wires one has:

$$\sigma _{1D}=\frac{\pi }{16}\frac{e^2\xi _x(0)}{\mathrm{}L^2ϵ^{3/2}}\left(\frac{16}{\pi w^2}\right)\left[\left(1\frac{iw}{2}\right)atn\left(K\right)+\frac{iw}{2}\frac{K}{1+K^2}\sqrt{1iw}atn\left(\frac{K}{\sqrt{1iw}}\right)\right]$$
(13)
Eq.s 9,11,13 are the main results of this paper.
A number of already known results can be obtained from these expressions as limiting cases: taking the limit for $`K\mathrm{}`$ and isotropic $`\xi `$’s we recover the Schmidt’s results for the corresponding dimensionalities. Since $`K=\mathrm{\Lambda }/ϵ^{\frac{1}{2}}`$, the limit $`K\mathrm{}`$ contains either the no-cutoff (usual GL calculation), or the $`TT_c`$ limits. Correctly, close to the transition temperature the usual GL expressions are recovered.
As a by-product of Eq.s 9,11,13, it is easy to obtain the dc excess conductivity for the various dimensionalities in the presence of a short-wavelength cutoff, taking the limit $`\omega 0`$. One gets:

$$\sigma _{3D}^{dc}=\frac{e^2}{32\mathrm{}\xi _z(0)ϵ^{1/2}}\frac{\xi _x(0)}{\xi _y(0)}\frac{2}{\pi }\left[atnKK\frac{\frac{5}{3}K^2+1}{\left(K^2+1\right)^2}\right]$$
(14)
$$\sigma _{2D}^{dc}=\frac{e^2}{16\mathrm{}dϵ}\frac{\xi _x(0)}{\xi _y(0)}\frac{1}{\left(1+K^2\right)^2}$$
(15)
$$\sigma _{1D}^{dc}=\frac{e^2\xi _x(0)}{8\mathrm{}L^2ϵ^{3/2}}\left[atnK\frac{K\left(1K^2\right)}{\left(K^2+1\right)^2}\right]$$
(16)
Again, a number of already known results are obtained in the appropriate limits. In all cases, for $`K\mathrm{}`$ we get the usual results for the (anisotropic) gaussian paraconductivity. The cutoffed, 3D uniaxially isotropic result by Gauzzi is recovered using $`\xi _x=\xi _y`$ in Eq.14 and setting equal cutoffs in Ref.. Similarly, we recover the known results in 2D and 1D.

## IV Discussion

There are several interesting features that emerge from the novel relations, Eqs.9,11,13 and the corresponding dc expressions. We first discuss shortly some peculiarities of the dc conductivity (Eqs.14,15,16) that seem to have been unnoticed in previous works.
A plot of the cutoff correction to the gaussian paraconductivity, $`\sigma ^{dc}(ϵ;\mathrm{\Lambda },\omega =0)/\sigma ^{dc}(ϵ;\mathrm{},\omega =0)`$, is reported in Fig.1 for $`\mathrm{\Lambda }`$=0.74. It is apparent that the correction is stronger for higher dimensionalities. It is instructive to investigate the cases $`K\mathrm{}`$ (that is, the close vicinity of $`T_c`$) and $`K<<1`$ (that is, high reduced temperatures and/or strong cutoff effects). The latter case is more an oversimplification than a physically reachable limit, but it is very convenient in order to obtain analytical expressions. As can be derived from Eqs.(14,15,16), in all the three cases one obtains the same temperature dependence, namely:

$$\sigma _{K<<1}^{dc}=\frac{e^2}{\mathrm{}}N_D\frac{1}{ϵ^3}$$
(17)
where $`N_{1D}=\frac{1}{3}\frac{\xi _x(0)}{L^2}\mathrm{\Lambda }^3`$, $`N_{2D}=\frac{1}{32}\frac{\xi _x(0)}{d\xi _y(0)}\mathrm{\Lambda }^4`$, $`N_{3D}=\frac{1}{30\pi }\frac{\xi _x(0)}{\xi _y(0)\xi _z(0)}\mathrm{\Lambda }^5`$. The effect of the cutoff does change with the dimensionality (different powers of $`\mathrm{\Lambda }`$), but only through a different prefactor, so that the determination of the dimensionality from the data at high $`ϵ`$ should be carried on with care. In particular, it is tempting to identify the dimensionality from some power law of the excess conductivity with $`ϵ`$. This is surely not possible far from $`T_c`$, where the power law appears to be the same for all the dimensionalities. This fact could be somehow expected, since the introduction of the SWL cutoff introduces an additional length in the system, relevant far from the transition. Even a quantitative comparison, in the case e.g. of HTCS, might not allow for unambiguous identification of the dimensionality: taking as an example $`\xi _x\xi _y`$ and reasonable $`\mathrm{\Lambda }1`$, one has to compare $`d`$ with $`\pi \xi _z(0)`$. In the case of BSCCO, taking $`d`$3.3$`\AA `$, the thickness of the double CuO layers, and $`\xi _z(0)`$1$`\AA `$, the two prefactors are of the very same order of magnitude. In general, only a quantitative comparison in a wide temperature dependence can give indications on the effective dimensionality.
We now turn to the discussion of the frequency dependence. We restrict this part of the discussion to the 2D and 3D cases, since we are not aware of experimental results for the dynamic conductivity in 1D systems. We discuss the temperature and frequency dependencies by means of the reduced variables $`ϵ=ln(T/T_c)`$ and $`\omega \tau _o`$. The use of $`\omega \tau _0`$ as a reduced variable does not require the exact determination of the GL relaxation time. However, for numerical estimates, assuming the BCS-derived value for $`\mathrm{\Gamma }_0`$ one has $`\omega \tau _010^3`$ for $`\omega /2\pi `$=10 GHz: $`\omega \tau _0<<1`$ even in the microwave region.
We employ the useful plots of the conductivity normalized to the gaussian (uncutoffed) results (note that by using these plots the effects of the anisotropy cancel out).
In Fig.2 we plot the real and imaginary part of the conductivity normalized to the Gaussian values, $`\sigma ^{}(\omega ,ϵ,\mathrm{\Lambda })/\sigma ^{}(\omega ,ϵ,\mathrm{})`$, and $`\sigma ^{\prime \prime }(\omega ,ϵ,\mathrm{\Lambda })/\sigma ^{\prime \prime }(\omega ,ϵ,\mathrm{})`$, in the 3D case for various values of the cutoff number, $`\mathrm{\Lambda }`$, as a function of the reduced temperature $`ϵ`$ and $`\omega \tau _0=10^3`$. As can be seen, the presence of a SWLC strongly depresses the dynamic conductivity at high $`ϵ`$. We note that the correction is much stronger on $`\sigma ^{}`$ than on $`\sigma ^{\prime \prime }`$. For cutoff number $`\mathrm{\Lambda }=1`$ and $`ϵ=10^1`$ the real part is reduced by $`50\%`$ with respect to the uncutoffed value, while the imaginary part remains at $`90\%`$ of the uncutoffed value. We also note that the effects of the cutoff are significant even at reduced $`ϵ10^2`$, that is almost in the full accessible temperature range, apart the small region very close to $`T_c`$ (where, however, additional complications arise due to the possible entering of the critical region).
The frequency dependence is best studied with the plots at fixed $`ϵ`$ and variable $`\omega \tau _0`$, as reported in Fig.3 for three reduced temperatures and $`\mathrm{\Lambda }=1`$. It is easy to notice that for all the $`ϵ`$ depicted, the effect of the cutoff does not introduce a significant frequency dependence neither in $`\sigma ^{}`$, nor in $`\sigma ^{\prime \prime }`$, up to very high frequencies (at the high edge of the microwave spectrum). The same figure shows again the larger effect of the cutoff on $`\sigma ^{}`$ than in $`\sigma ^{\prime \prime }`$.
The fact that, for reasonable cutoff numbers and frequencies, the frequency dependence of the correction is nearly flat, while the temperature dependence changes with respect to the uncutoffed value, has a rather intriguing consequence: in fact, as recalled in Sec.II, the gaussian dynamic conductivity can be cast in a scaling form: $`\sigma (\omega ,ϵ)=\sigma _{dc}(ϵ)S(\omega \tau (ϵ))`$, where $`\tau (ϵ)=\tau _0/ϵ`$ in the gaussian regime. Our present results still predict an approximate scaling, but the temperature dependence of $`\tau `$ is apparently different from the uncutoffed result. The exact scaling prediction is reinstated for infinite cutoff. It would be interesting to perform wideband measurements in an extended temperature range above $`T_c`$ in view of this novel feature of the theoretical expressions.
Essentially the same features, but with a less pronounced effect of the cutoff are exhibited by 2D systems, as shown by Fig.s 4 and 5. We then expect that in strongly layered systems the frequency dependence of the dynamic paraconductivity is essentially unaffected by the cutoff in a resonably wide temperature range (up to $`ϵ0.2`$), while effects of the cutoff should be easier to observe in measurements of the real part of the paraconductivity at fixed frequencies and variable $`ϵ`$.
We now discuss our results in comparison with experimental data for the microwave excess conductivity in high-$`T_c`$ superconductors. It should be noted that most of the microwave data, where one might observe some significant effect of the frequency, were devoted to studies well inside the superconducting state or, at most, of the critical regime very close to $`T_c`$. As a consequence, there are nearly no published data (to our knowledge) of the finite-frequency excess conductivity, in temperature ranges extended enough above $`T_c`$. In order to assess the question wether or not our cutoff approach describes the correct trend in the observations, we consider the data for the complex excess conductivity above $`T_c`$ taken in Zn-doped YBCO crystals. In this case, a Ginzburg-Landau-like analysis suggested that the compound behaves nearly as a 2D system, but the overall magnitude of the excess conductivity was about half of the theoretical prediction when the cell unit ($``$11.7Å) was taken as effective layer separation. In Fig.6 we plot the measured complex excess conductivity at 25 and 36 GHz (as digitized from Ref.), the 2D GL prediction ($`\mathrm{\Lambda }=\mathrm{}`$) at 36 GHz and the 2D, cutoffed curve at the two frequencies for $`\mathrm{\Lambda }=0.247`$ (that is, a momentum cutoff of $`(3\xi _0)^1`$). The result is encouraging: in particular, a nearly quantitative fit is obtained not too close to $`T_c`$ (we do not discuss the possible occurence of a dimensional crossover approaching $`T_c`$), without adjusting the other parameters, thus demonstrating that the proposed extension of the GL theory can correctly describe the features experimentally observed. New measurements, in extended temperature ranges above $`T_c`$, would be extremely useful to check the applicability of the momentum-cutoff scenario.

## V Conclusions

In conclusion, we have performed a Ginzburg-Landau calculation of the dynamic conductivity in anisotropic bulk, thin films and thin wires superconductors. According to the general prescriptions of the GL theory, we have introduced a short-wavelength cutoff in the spectrum of the accessible momenta. We have derived closed forms for the dynamic conductivity in the three cases abovementioned, that can be directly used for data fitting. We have predicted peculiar behaviors of the complex conductivity as the short-wavelength regime shows up. The analysis of some of the existing data for the finite-frequency conductivity finds a description in terms of the model here presented. More data are required to discuss the details of the excess conductivity at microwave frequencies.

## acknowledgements

We thank R.Raimondi and S.Sarti for useful discussions, D.Neri for stimulating our interest in this field and for many useful discussions in the early stage of this work, M.W.Coffey for sending Ref. prior to publication and for useful discussions, and T.Mishonov for stimulating correspondence and useful suggestions.

## Additional remarks: the total-energy cutoff

It is a recently debated topic wether the momentum cutoff here adopted should be or not replaced by a cutoff in the total energy of the pair. In the 3D energy cutoff scenario, the number $`\mathrm{\Lambda }`$ should be replaced by $`\sqrt{c^2ϵ}`$, with $`c`$ a new cutoff number, so that momentum-cutoff expressions can be easily rewritten in terms of energy cutoff (for a discussion, we address the reader to the review, Ref.). Measurements of the dc conductivity showed a quite good agreement with the momentum cutoff scenario in BSCCO crystals, and with the energy cutoff in YBCO crystals. Analysis of the finite-frequency conductivity at high reduced temperatures might help to resolve this issue.