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# Anisotropies in the redshift-space correlations of galaxy groups and clusters II: Analysis of observational cluster samples.

## 1 Introduction

Clusters of galaxies can be used as tracers of the large scale structure of the Universe. However, their identification is not free from systematics, for example the Abell catalogue is known to be afflicted by projection effects (Sutherland 1988; Sutherland & Efstathiou 1991; see also Lucey 1983), which are somewhat reduced when restricting the sample of clusters to high richness class (Miller et al. 1999).

Cluster peculiar motions produce an apparent distortion of the clustering pattern as measured by the two-point correlation function in redshift space, $`\xi (\sigma ,\pi )`$ (Croft & Efstathiou 1994; Bahcall, Cen & Gramann 1994), with $`\sigma `$ and $`\pi `$ being the separations perpendicular and parallel to the line of sight, respectively. The non-linear virialized regions induce elongations along the line of sight which make it possible to estimate the one-dimensional pairwise rms velocity dispersion, $`<w_{12}^2>^{1/2}`$ (Davis & Peebles 1983). The infall onto overdense regions in the form of bulk motions dominates at large scales resulting in a compression of the $`\xi `$ contours along the direction of the line of sight.

The presence of spurious large anisotropies along the line of sight of Abell clusters has been largely discussed (e.g., Sutherland 1988, Sutherland & Efstathiou 1991, Bahcall & Soneira 1983; Postman, Huchra & Geller 1992). Arising mainly from inhomogeneities in the detection of clusters in two dimensions (ie. prone to strong projection effects), these observed large anisotropies are extremely unlikely to exist for systems of galaxies within a hierarchical scenario of structure formation. Therefore, the clustering signal along the line of sight in the Abell catalogue could be artificially enhanced (Sutherland 1988; Sutherland & Efstathiou 1991; see also Lucey 1983) due to significant projection effects which could bias the determination of the correlation function as well as the mass function of these systems. A velocity broadening of $`2000\mathrm{k}\mathrm{m}\mathrm{s}^1`$, obtained by Bahcall, Soneira & Burgett (1986) from their analysis of the clustering of Abell clusters, was interpreted as arising from a combination of cluster peculiar motions as well as geometrical distortions of superclusters. However, van Haarlem et al. (1997) find that a third of Abell clusters of richness class $`R1`$ would not be real physically bound systems but simply projections of galaxies and groups along the line of sight. It has to be recalled that early surveys of Abell clusters contain large fractions of low richness clusters (Abell richness class $`R=0`$), which were not intended to form complete samples suitable for statistical analyses. Miller et al. (1999) analysed samples of Abell clusters with richness $`R1`$, with new accurate determinations of cluster positions using several galaxy redshifts. These authors find that the clustering signal along the line of sight is greatly reduced when compared with the Bahcall & Soneira (1983) results. The anisotropy is further reduced after the orientation of two superclusters that are elongated along the line of sight is changed. More recently, Miller et al. (2002) found that the inclusion of clusters in superclusters has a significant incidence in the anisotropies of the redshift-space correlation function. A possible interpretation of this result is that cluster identification in overdense regions is likely to be more affected by projection effects. Peacock & West (1992) also found that restricting attention to higher richness Abell clusters removed the strong radial anisotropy seen in the clustering measured from earlier surveys.

A more recent generation of cluster catalogues presumably less affected by identification biases (APM: Dalton et al. 1992, 1994, 1997; Cosmos: Lumsden et al. 1992) was drawn from machine-scanned survey plates with better calibrated photometry. With the aim of reducing biases in cluster richness determinations arising from projection effects, the search radius used to define clusters in these machine based catalogues is smaller than that used by Abell. As expected, the clustering pattern found in these more recent cluster redshift surveys does not exhibit very large enhancements along the line of sight; furthermore, the trend of increasing correlation amplitude with decreasing space density of clusters is weaker than that found for Abell clusters (Croft et al. 1997) and is similar to the trend expected in current models, where there is only a weak dependence of correlation length on cluster space density, as is obtained in other all sky X-ray surveys (eg REFLEX sample, Collins et al. 2000), and samples of Abell clusters confirmed in X-rays (X-ray Bright Abell Cluster Sample, XBACS, Ebeling et al. 1996). For these samples, systematic projection effects along the line of sight are expected to be significantly lower than in the Abell catalogue (Abadi, Lambas & Muriel 1998; Borgani et al. 1999; Collins et al. 2000). However, it is important to consider that the analysis of high richness Abell clusters, performed by Miller et al. (1999), gives results comparable to the amount of distortion of the clustering pattern found for APM clusters (see Fig 5 of Miller et al. 1999).

In this paper, we use the results of an analysis of the redshift space clustering of massive dark matter haloes in mock cluster samples (Padilla & Lambas, 2003, Paper I hereafter) extracted from the $`\tau `$CDM Hubble Volume simulation. The results from Paper I are used in the assessment of projection biases on catalogues of clusters identified in two dimensions and three dimensions. In paper I we studied statistically the redshift-space correlation function as a function of coordinates parallel and perpendicular to the line of sight, through the pairwise velocity dispersions, redshift-space correlation length and bias parameters obtained from different mock cluster samples constructed using several cluster identification algorithms, and different number of redshifts and cluster search radii. Spurious distortions in the redshift space cluster correlation function could originate in various systematics associated to these issues. For instance in several catalogues, many cluster distances are determined by a single galaxy redshift, usually the brightest cluster member and therefore are subject to projection contamination from background and foreground galaxies.

In this paper we present an analysis of the correlation function of observational cluster data, including optical and X-ray cluster samples. In section 2 we present the statistical procedures adopted and we summarise the results obtained from the study of different mock samples in Paper I that concern the present study. These mock samples are used for assessing the degree to which different problems could contribute to the anisotropies detected in observational correlation functions in Section 3. In this section we study the effects of the number of redshifts used in the determination of cluster distances, the effects arising from selecting samples with different Bautz-Morgan cluster types (Bautz & Morgan, 1970) and the different behaviour of samples with high and low x-ray luminosities. In section 4, we analyse groups of galaxies obtained from the Updated Zwicky Catalogue, hereafter UZC , which, in contrast to other sets of clusters studied in this paper, were identified from redshift space data. In section 5 we discuss our results and present the main conclusions.

## 2 Statistical procedures and results from mock catalogues

We followed the procedures described in paper I to measure the redshift-space correlation function as a function of the pair separation parallel and perpendicular to the line of sight, $`\sigma `$ and $`\pi `$ respectively. The iso-correlation contours (curves of equal amplitude of $`\xi (\sigma ,\pi )=\xi ^{fix}`$) provide a suitable measurement of the pairwise velocities of galaxies by comparing the measured and predicted contour levels. These contour levels are approximated by the functions $`r^m(\theta )`$ and $`r^p(\theta )`$ for the measured and predicted correlations respectively, where $`\theta `$ is the polar angle measured from the direction perpendicular to the line of sight (See Paper I for details).

In order to make a proper comparison between model predictions and observations, we adopt the real-space correlation function of the mass distribution in a $`\mathrm{\Lambda }`$CDM cosmology. We use a mass density parameter $`\mathrm{\Omega }_{matter}=0.3`$, vacuum energy density $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$, and a CDM shape parameter $`\mathrm{\Gamma }=0.2`$ consistent with recent CMB results (Netterfield et al. 2002). The normalisation of the power spectrum, $`\sigma _8=0.9`$, is taken from recent constraints obtained from the 2dF Galaxy Redshift Survey (Norberg et al. 2002). Given the relatively large uncertainties in the cluster correlation functions the adopted transfer function does not include baryons, however our choice of $`\mathrm{\Gamma }`$ implicitly allows for a combination of baryon fraction and an effective value of $`\mathrm{\Gamma }`$ as discussed in Eisenstein & Hu (1996). We obtain the real-space correlation function by Fourier transforming the CDM power spectrum

$$\xi ^{CDM}(r)=\frac{1}{2\pi ^2}b^2_0^{\mathrm{}}P(k)\frac{\mathrm{sin}(kr)}{kr}k^2dk,$$
(1)
and then use this to evaluate the theoretical prediction for $`\xi ^p(\sigma ,\pi )`$. We search for the optimum values of the scale independent bias parameter $`b`$ and $`w_{12}`$ by minimising the quantity $`\chi ^2`$,

$$\chi ^2=\underset{i}{}[r_l^m(\theta _i)r_l^p(\theta _i)]^2,$$
(2)
where we have chosen to compare a set of discrete levels, $`l=0.6,0.8,1.0,1.2`$ and $`1.4`$, of the redshift-space correlation function $`\xi (\sigma ,\pi )`$ amplitude instead of comparing values of the correlation function on a grid of $`\sigma `$ and $`\pi `$ distances. Our decision is based on the fact that more reliable and stable results are obtained when using the isopleth comparison technique (Padilla et al. 2001). We notice that the effect of adopting a different normalisation for the theoretical power spectrum mainly affects the bias parameter $`b`$, leaving the pairwise velocity $`w_{12}`$ mostly unchanged.

We briefly summarise the results obtained for the statistical properties of cluster samples drawn from mock catalogues presented in Paper I. These mock catalogues have been obtained from one of the mock APM galaxy catalogues extracted from the $`\tau `$CDM Hubble Volume simulation by the Durham Extragalactic Group (Evrard et al., 2002) following a procedure similar to that used in Cole et al. (1998).

In Paper I, we used three main algorithms to search for groups in the numerical simulations, and constructed four samples of clusters from the simulations. The aim was to understand the effects of cluster selection procedures on the cluster correlation functions, and in particular, to establish the origin of the large elongations along the line of sight present in the measured correlation functions. Sample 1, constructed using a friends-of-friends algorithm applied to the particles in the simulation box, has a lack of a significant number of spurious clusters. The measurements of anisotropies in the correlation function clearly show the expected infall pattern. Sample 2 allows to understand the results obtained from the identification of groups in a mock catalogue with redshift information following the lines described by Huchra & Geller (1982). In this case the results from Paper I indicate that the infall pattern is not as readily visible as in the results from Sample 1, but a small $`n_z5`$ is enough to produce it. Sample 3 was constructed following the prescription described by Lumsden et al. (1992), using an angular search radius $`r_c=1.0`$h<sup>-1</sup>Mpc. This procedure was applied to the same mock catalogue as the second algorithm, and the resulting sample was found to show severe projection effects. The results from this sample will be used to assess the degree of these effects in observational samples of cluster of galaxies identified from angular data. In Paper I we also extracted another sample combining the mock catalogues defined above, in order to mimic as closely as possible the methods used in obtaining the observational samples. From the clusters identified using angular data (sample 3), we drawn a restricted set of clusters of galaxies, whose angular positions lie within the cluster search radius from a 3D identified cluster, sample 4.

As a summary of the results of our mock samples, we recall figures 11,12, and 13, of Paper I, where the behaviour of the correlation contours is assessed by measuring the pairwise velocity dispersion $`w_{12}`$ and the correlation length $`s_0`$ as a function of $`n_z`$. We found that in the case of the identification of clusters from angular data, the values of $`s_0`$ and $`w_{12}`$ are higher as the underlying value by as much as an order of magnitude. In the case of clusters identified from 3-dimensional information (sample 2), these quantities converge rapidly to their actual values, which are obtained when a small number of galaxies, not much larger than $`5`$, is used to determine the cluster distance.

For more detailed descriptions of the characteristics of each sample, analysing the differences in elongations arising from using different $`n_z`$, and search radius $`r_c`$, we refer the reader to Paper I.

## 3 Redshift Space Distortions of Groups and Clusters of Galaxies

In this section we compute the two-point correlation function in redshift space using different cluster catalogues.

Following usual procedures we estimate $`\xi ^o(\sigma ,\pi )`$ by counting pairs in the data and in a random catalogue with the same angular limits and radial selection function than the observational sample. Data-data and random-random pairs ($`N_{dd}`$ and $`N_{rr}`$ respectively) are binned as a function of separation in the two variables $`\sigma `$ and $`\pi `$. We adopt the Davis & Peebles (1983) estimator,

$$\xi ^o(\sigma ,\pi )=\frac{N_{dd}n_R^2}{N_{rr}n_D^2}1$$
(3)
where $`n_D`$ and $`n_R`$ are the number of data and random points respectively.

Our analyses are centred on large correlation amplitude signals which are not strongly sensitive to the choice of estimator (see Hamilton 1993).

In Figure 1, we show the contours levels of $`\xi ^o(\sigma ,\pi )`$ for UZC groups (left panel). There are no signals of distortions along the line of sight direction for the groups consistent with low pairwise velocities of groups. By comparison with the results for samples of clusters identified in two-dimensional surveys shown in the other panels of this figure it is evident the existence of either large pairwise velocities or large projection biases in these samples, as also discussed by Sutherland (1988). Such elongations could originate in the systematic presence of groups along the line of sight, in the fields of clusters identified from angular data. From the theoretical point of view, strong elongations along the line of sight are not expected in a hierarchical scenario of structure formation.

This section is divided as follows: In section 3.1 we study the correlation function of APM and Abell clusters. We divide the Abell samples according to the number of redshifts used in the determination of the cluster distances in section 3.1.1, and also according to Bautz-Morgan type in section 3.1.2. Cluster samples identified in X-rays are studied in section 3.2; the results from subdividing the EBCS sample using a x-ray luminosity cut are shown in section 3.2.1; and the outcomes of sub-dividing the XBACS sample according to different Bautz-Morgan type are explained in section 3.2.2. Finally, the inferred values of relative velocities and redshift-space correlation lengths are presented in section 3.3, and the bias factors in section 3.4.

### 3.1 Clusters samples selected from angular surveys

In this section we study the iso-correlation contours obtained from cluster catalogues identified using surveys of galaxies containing only angular positions. As has already been pointed out, studies of such samples have shown large elongations along the line of sight even when, in light of the previous discussion, we would have expected infall patterns from samples of massive clusters (Padilla & Baugh, 2002).

We measured the correlation function of APM and Abell clusters in order to compare them to the results from the UZC groups, shown in the left panel of figure 1. We also show in this figure the results for APM clusters (Dalton et al., 1992; middle panel), and Abell clusters with measured redshifts (Struble & Rood 1999, right panel). The sample of Abell clusters consists only of clusters with determined Bautz-Morgan type. It can be seen that there is a marked difference in the distortion pattern between the UZC groups, which show an infall signature, and the elongated correlation functions corresponding to the other two cluster samples in this figure. This elongation is most severe in the case of Abell clusters, as it has already been pointed out in several previous works (Bahcall & Soneira 1983; Postman, Huchra & Geller 1992), and has been reconciled by considering the effects of cluster alignments in supercluster structures (Bahcall, Soneira & Burgett 1986), and the likely inclusion of spurious clusters in the sample due to projection effects (Sutherland 1988; Sutherland & Efstathiou 1991; see also Lucey 1983). APM clusters show a much milder elongation, which can be easily reproduced in numerical simulations when a redshift error bigger than $`700`$km/s is added to the mock cluster positions (Padilla & Baugh 2002) although contamination can not be totally excluded.

In an attempt to explore and quantify the origin of the problem of large elongations of the clustering signal we study the effects of errors in cluster distances by considering different number of redshifts used in the determination of cluster distances, as well as the possible projection effects. In order to do this, we use results obtained from mock catalogues where clusters of galaxies are identified from angular data (see Paper I). Such a comparison will also be useful in providing a quantitative determination of the degree of projection effects present in the Abell cluster sample.

#### 3.1.1 Effects of different number of redshifts

In order to assess to which extent the use of samples of clusters with large number of redshift measurements, $`n_z`$, reduces the distortion of the clustering pattern, we have explored samples with different values of $`n_z`$.

Figure 2 shows the results from clusters whose distances have been obtained using more than ten galaxy redshifts, $`n_z>10`$ (left panel), and results for clusters with $`n_z<10`$ (right hand side panel). The net effect of having a large $`n_z`$ is to lower the amplitude of the line of sight elongation. It can be seen that, even though this effect is not small, it is insufficient to reproduce the flattening observed in less massive groups of galaxies as seen in figure 1. The results shown in the two panels in figure 2 can be compared to figure 6, paper I, for different $`n_z`$ values. These samples were constructed in order to match as closely as possible the procedure followed to construct cluster samples obtained from angular information. By comparison, the trend of increasing anisotropies for lower number of redshift measurements used to determine cluster distances is present in both, the observational and simulated samples.

An interesting point to be noted is the clear enhancement of the correlation length in the $`\sigma `$ direction for the small $`\pi `$ bin (which we will call $`\sigma _0`$ from now on) in the observational and mock samples with low $`n_z`$, with respect to those with more redshift measurements. By inspection to figure 8 we see that this difference is also present in the redshift-space correlation length $`s_0`$. This is in agreement with more general results obtained from mock cluster catalogues identified from angular simulated data. This can be seen in figure 10 of Paper I, where a decrement in $`s_0`$ for higher values of $`n_z`$ can be easily seen. This indicates that it is likely that the difference in correlation amplitudes indicated by the value of $`s_0`$ shows the diminished effects of projection biases in the high $`n_z`$ Abell sample, rather than a difference in average cluster mass.

We will come back to this point in the following sections, where we will examine subsamples of optically and x-ray selected clusters of galaxies.

#### 3.1.2 Results from different from Bautz-Morgan type samples

We have also analysed samples of Abell clusters with different Bautz-Morgan (BM) types. The BM type is indicative of the regularity of the distribution of galaxies in a cluster; the larger the BM type, the more irregular the shape of the cluster is.

The results from studying samples of different BM type can be seen in figure 3, where the left panel shows the correlation contours for clusters with Bautz-Morgan type I, I-II, and II, corresponding to more regular clusters, and the right panel shows results from BM types II-III and III, that is the most irregular ones. The particular choice of BM type to define the samples corresponds to a rough classification of regular and irregular clusters. Even though the differences between both panels are not conclusive, there is a larger elongation in the correlation function of clusters with larger BM types (the inferred relative velocities for these cluster samples can be seen in figure 8).

The larger elongation seen in the correlation function of high BM type clusters in figure 3 indicates that they are slightly more prone to the inclusion of spurious background or foreground galaxies than low BM types, or even to be results of projection effects in the angular distribution of galaxies. These problems seem also to be present in the low BM type clusters, but to a lesser extent.

It can also be appreciated that the estimated correlation length $`\sigma _0`$ has similar values for the low and high BM type clusters (figure 3). This fact would suggest a similar real-space correlation length for both samples. However, we expect that the most massive clusters would show a more regular galaxy distribution, and therefore, be of low BM types, whereas high BM type clusters would correspond to less massive clusters, with lower galaxy richness counts, more irregular shapes, and lower correlation lengths. Since high BM clusters are likely to be subject to larger projection effects due to their irregular appearance they could have a biased large estimate of $`\sigma _0`$ as shown in paper I, clarifying the results of $`\sigma _0`$ seen in this figure.

We next measure the redshift-space correlation length, $`s_0`$, for both sub-samples. In this case, we obtain a higher correlation length for the low BM type clusters (see figure 8), in support of the presence of a correlation between mass and BM type proposed in the last paragraph.

Furthermore, as we discussed in the previous sub-section, it can be argued that both $`\sigma _0`$ and $`s_0`$ depend on the degree of projection effects present in a sample. The analyses carried out in Paper I indicate that the effects of increasing $`n_z`$ on $`s_0`$, for samples of clusters identified from angular data, is that of making $`s_0`$ ever smaller and closer to its actual value. This result implies that the fact that we obtain a larger value of $`s_0`$ for clusters with low BM type actually indicates that this sample contains more massive clusters than that with high BM type clusters.

From these results, we notice that we can reduce the degree of contamination in a sample of Abell clusters by considering subsamples of regularly shaped systems. However, it should be noticed that projection effects cannot be completely removed in the Abell catalogue by considering subsamples with low BM type nor large $`n_z`$.

### 3.2 X-ray selected clusters of galaxies

In order to provide an insight to the characteristics of cluster samples with X-ray selection criteria, we study two samples of X-ray selected clusters of galaxies, the X-ray Bright Abell Cluster Sample (XBACS, Ebeling et al. 1996) and the Extended ROSAT Brightest Cluster Sample (EBCS, Ebeling et al. 2000). The fact that these clusters have been identified from the X-ray emission of hot gas trapped in the huge potential wells of massive clusters of galaxies, makes these samples more reliable than cluster samples selected from 2D data. This is a consequence of the fact that the emission from the hot gas is proportional to the square of the density, which makes it a lot more difficult to have a spurious cluster of galaxies resulting from the alignment of small hot gas clouds along the line of sight.

Clusters of galaxies in the XBACS sample, which comprises Abell clusters whose emission in X-rays has been confirmed, would be less affected by projection effects present in the Abell sample, since only real clusters would show hot gas emission. On the other hand, in the EBCS sample, sources were identified from an X-ray survey and then galaxy redshift distributions were analysed to find the optical counterparts. These clusters should be largely free from projection effects, and should not include identification biases associated to the Abell cluster finding algorithm. However, the reliability of X-ray cluster distances obtained from correlations with redshift surveys are subject to uncertainties that could affect the results. The correlation functions measured for the EBCS and XBACS samples are shown in the left and right hand side panels of figure 4 respectively. As can be seen, the EBCS sample shows only a slight elongation along the line of sight which can be easily reconciled with the presence of distance measurement errors similar to those necessary to explain the anisotropies observed in the APM correlation function (Padilla & Baugh, 2002). On the other hand, the line of sight distortion of the XBACS correlation function shown in the right panel of this figure provides a strong indication of the presence of projection effects. Given their larger correlation amplitude, XBACS should be subject to a strong infall signal, which is not observed. The results from Paper I indicate that the projection effects seen in the correlation function of mock clusters identified from angular data (sample 3) are still present in a set of clusters with angular positions coincident with clusters identified in 3D (sample 4). The studies performed in Paper I show that the elongations in $`\xi (\sigma ,\pi )`$ found in this mock cluster catalogue are quite severe, and are mainly produced by the erroneous use of foreground and background galaxies in assigning the distances to clusters.

#### 3.2.1 Luminosity effects in x-ray selected samples

Even though the elongation of the correlation function contours along the line of sight present in the total EBCS sample can be accounted for by redshift measurement errors, we explore EBCS subsamples defined by limiting the range of intracluster gas luminosity in x-rays. We define a limit $`L_{limit}=3\times 10^{37}W`$ which divides the total sample of EBCS clusters into two subsamples with similar number of clusters. The resulting iso-correlation levels can be seen in figure 5, where the left panel shows the results for $`L_x<L_{limit}`$, and the right hand side panel, those for $`L_x>L_{limit}`$. This is a somewhat unexpected result, since high luminosity clusters show a very elongated pattern, whereas the least luminous clusters show the expected flattened pattern indicative of less significant projection effects.

A possible source for this effect could rely on contamination by foreground structures which are likely to affect more strongly clusters at greater distances. These contamination effects could bias distance estimates and the X-ray luminosity. In figure 6 we show the distribution of cluster distances for the high and the low x-ray luminosity subsamples which support this scenario.

The resulting values of relative velocities, redshift-space correlation lengths and bias factors corresponding to the EBCS subsamples defined by the luminosity cut $`L_{limit}`$ are presented in figures 8 and 9 respectively. As can be seen, low x-ray luminosity EBCS clusters present a remarkably low pairwise velocity dispersion, comparable to that resulting from the analysis of UZC groups, identified from redshift data.

#### 3.2.2 Subsamples of different BM type effects in x-ray clusters

In this subsection we analyse the redshift space clustering pattern arising in samples of x-ray clusters with different BM types. This is aimed to study the combination of projection effects which could manifest in the correlation function. Since BM types are available for Abell clusters, we restrict the analysis to the XBACS sample.

The results can be seen in figure 7, where the left panel shows the correlation contours for clusters with Bautz-Morgan type I, I-II, and II and the right panel shows results from BM types II-III and III. The choice of BM types for the different panels is the same as that used for Abell clusters, but the difference in elongations is more readily apparent. The figure shows a significantly larger elongation for the sample of clusters with larger BM types, as was the case with Abell clusters of different BM type. The larger correlation length $`\sigma _0`$ for the low BM type clusters, which can also be seen as a larger value of $`s_0`$ (see figure 8) can be appreciated once more. This supports the earlier hypothesis that the most massive clusters would be more frequently identified as low BM type clusters, and therefore show a large correlation length. This figure also supports the idea that the larger elongations in the high BM type clusters are probably produced by a larger number of background or foreground galaxies used in assigning distances to high BM type clusters.

### 3.3 Relative velocities and correlation lengths in observational cluster samples

In order to summarise the results obtained from the study of observational samples of clusters of galaxies identified from angular data, we present the values of relative velocities and redshift-space correlation lengths obtained from the correlation functions shown in previous figures.

We find the relative velocities by minimising equation 2. The real space correlation function used in this equation corresponds to a CDM power spectrum with parameters $`\mathrm{\Omega }_{matter}=0.3`$, $`\mathrm{\Omega }_\mathrm{\Lambda }=0.7`$, a CDM shape parameter $`\mathrm{\Gamma }=0.2`$, and $`\sigma _8=0.9`$.

Based on the results of the study of galaxies and groups of galaxies, and supported by simulations of the hierarchical processes thought to drive the formation of structure, we expect to find smaller relative velocities for clusters of galaxies than are found for galaxies and groups. The upper panel of figure 8 shows relative velocity on the y-axis, and observed sample on the x-axis. The errors in relative velocity result from the different estimates obtained from different correlation function levels, and show 1-$`\sigma `$ confidence levels. The ordering of the samples along the x-axis is such that relative velocities decrease to the right. If the cluster samples were free from projection effects of any kind, this ordering of samples would result in showing groups on the left and the most massive clusters on the right. However, as can be seen, every cluster sample, with the exemption of EBCS clusters with low x-ray luminosity, is located to the left of this plot, showing their large contamination due to projection effects. The lower panel shows the redshift-space correlation length with errorbars obtained from performing a power law fit to the measured redshift-space correlation functions over a range of scales dependent on the sample analysed $`r_{min}<r<r_{max}`$, where $`2.5<r_{min}/`$h<sup>-1</sup>Mpc$`<10`$, and $`28<r_{max}/`$h<sup>-1</sup>Mpc$`<80`$ (the ordering of samples in this panel is the same as in the previous one). There are signs of a weak correlation between the amplitude of the relative velocities and the correlation length for the cluster samples. According to the results from Paper I, the degree of projection effects correlates with both, the value of the relative velocities and the correlation length, so a similar trend in both parameters was expected; the deviations from this behaviour reflect the different minimum mass and X-ray flux thresholds in the different observational samples, which in the case of the mock samples with different $`n_z`$ was always the same by construction.

In a hierarchical scenario of structure formation it is expected that cluster relative velocities should not be larger than galaxy pairwise velocities ($`400km/s`$). The observations suggest apparent large pairwise velocities $`w_{12}`$, an effect which could have a large contribution from redshift measurement errors, and even more important contributions from large systematics due to projection biases present in some of the samples identified from angular data.

This is the case with Abell clusters and the XBACS sample, except when considering subsamples of clusters with low BM type. Large relative velocities are inferred for luminous EBCS clusters, giving hints for the presence of contamination due to projection effects. However, the results for EBCS of low x-ray luminosity, show significantly smaller pairwise velocities comparable to those found for the UZC groups, and consistent with the predictions of a hierarchical clustering scenario.

### 3.4 Bias factors

The comparison between the measured and predicted redshift-space correlation function can be used to obtain estimates of the bias parameter of the cluster sample under consideration, using equation 2. In figure 9 we show the different bias parameters obtained for the different samples analysed. The errors on the bias parameter come from the different results obtained from the comparison of $`5`$ levels of correlation function.

These values can be compared to what is expected from a particular CDM model, using the expression for an effective bias as presented in Padilla & Baugh (2002), which is a weighted average of the bias of a sample of clusters of mass $`M`$, derived by Sheth, Mo & Tormen (2001), and requires knowledge of the space density of the cluster sample. The results from using this equation are valid if the cluster sample is complete above a minimum mass threshold.

We have derived approximate estimates of the number density of clusters by assuming that the cluster samples are complete above a minimum cluster mass limit. This rough approximation only applies to optically selected clusters since x-ray selected samples are flux-limited with a minimum mass which strongly depends on redshift. Then we calculate the space density of optical cluster samples by simply counting the number of objects up to a distance where the redshift distribution departs from the $`r^2`$ behaviour due to the influence of a selection function. The effective CDM bias for the measured cluster number densities are then derived straightforward following Padilla & Baugh (2002). Given the uncertainties in the assumptions mentioned before, and the large scatter between cluster richness and virial mass, we just provide a suitable upper limit for the bias parameter, namely the largest value obtained, $`b=3.5`$, corresponding to the Abell sample with low BM type (this is equivalent to a mean intercluster separation $`d_c60`$h<sup>-1</sup>Mpc or a number density $`n5\times 10^6`$h<sup>3</sup>Mpc<sup>-3</sup>). This upper limit is shown as a dotted line in figure 9.

For some of the samples studied, the resulting bias parameters obtained from the $`\chi ^2`$ minimisation are well above our estimated upper limit (figure 9). However, UZC groups, APM clusters, EBCS total sample and low x-ray luminosity subsample, and Abell clusters with high $`n_z`$, show lower values of the bias parameter, compatible with our expectations.

## 4 An insight on the results from groups and clusters identified from redshift data

The UZC group sample was constructed by identifying galaxy systems from the 3D distribution of galaxies in redshift space from the Updated Zwicky catalogue. By inspection of figure 8, the great leap between the results of UZC groups relative velocities, and those obtained from samples of clusters identified from angular data, either in the optical or x-ray wavelength range, is clear. This is also apparent in figure 1, where the anisotropies present in the correlation function of the UZC groups show markedly flattened iso-correlation contours, a pattern we almost completely failed to reproduce by measuring the correlation function of other cluster samples throughout this paper with the exception of the low x-ray luminosity EBCS subsample.

In this section, we explore in more detail the relative velocities, redshift-space correlation lengths and bias parameters obtained from the correlation function of UZC groups as a function of group richness counts. We remark the difference between the number of member galaxies in a group and the values of $`n_z`$ from the previous analysis, for in this case the number of galaxies is associated to the identification process and not only to the number of redshift measurements in the field of a cluster.

We note that the number of member galaxies is correlated to some extent with the mass of the groups. This can be seen in figure 10, where we show the distribution of group virial masses for two different upper limits in number of member galaxies. The normalisation constant by which both distribution functions were multiplied, is set up so as to make the integral of the mass distribution function of groups with $`n_{member}<5`$ equal to $`1`$. It can be seen that the sample with a low upper limit for $`n_{member}`$ (dark shaded area) shows a marked relative lack of high mass groups when compared to the sample with a high upper limit in member galaxies (light shaded area). One of the effects this leads to is the intrinsic change in the clustering amplitude of the different $`n_{member}`$ subsamples. It should be noted that samples with different $`n_z`$ in mock sample 2, are not affected by this bias. This is readily apparent when recalling a result from Paper I, where it was shown that this sample is consistent with a constant redshift-space correlation length for any value of $`n_z`$.

Following the procedures given in sections 3.3 and 3.4, we calculate the relative velocities, redshift-space correlation functions, and bias corresponding to subsamples of the UZC groups with different number of member galaxies. The results can be seen in figure 11. The upper panel shows values for the relative velocities which are consistent with the published value of $`w_{12}=250\pm 110`$km/s (Padilla et al. 2001) for any value of $`n_{member}`$. There are also signs of a somewhat larger value of $`w_{12}`$ for small $`n_{member}`$, but within the size of the errorbars. The middle panel shows the values of $`s_0`$ as a function of $`n_{member}`$. As can be seen, there is a tendency for higher values of $`s_0`$ as the number of member galaxies increases. This increase is also present in the measurements of bias factors, shown in the lower panel, and is consistent with the results from figure 10, which show an increasingly larger average mass for samples with larger $`n_{member}`$. The higher the average mass of a sample, the higher its correlation amplitude and bias factor will be. The increase in $`s_0`$ and bias factor are only noticeable for $`n_{member}10`$. Most of the samples with a larger number of member galaxies show stable and constant results for the three parameters in study, $`w_{12}`$, $`s_0`$ and bias factor, in good agreement with the results obtained from mock sample 2, which also showed this behaviour. The errorbars in figure 11 shown for $`w_{12}`$ and bias factor are obtained from the different results obtained by using five correlation function amplitudes ($`\xi =0.6,0.8,1.0,1.2,`$ and $`1.4`$).

The main conclusion of this section is the remarkable stability of the results for the UZC groups. This provides a clear indication that redshift space identification of clusters is a powerful procedure to obtain samples with no significant contamination. The weak dependence of the results on a wide range of number of member galaxies reflects the reliability of the identification procedure.

## 5 Conclusions

We have explored the correlation function of clusters in redshift space for different observational samples of galaxy clusters. We have studied the consequences of different observational issues on the distortion of the clustering pattern, such as different sources of cluster identification, number of redshift measurements, cluster morphology and X-ray luminosity.

Padilla et al. (2001) showed that the results from groups of galaxies identified from 3-dimensional information available in the UZC, are consistent with the hierarchical clustering paradigm which predicts that we should be able to find objects that are still falling towards more massive structures. This can be observed in the anisotropy of the correlation function contours of the UZC groups, which shows the flattening produced by this infall motion. This is not easily detectable for galaxies since they are in a strongly non-linear regime and the pairwise peculiar velocities dominate the dynamics.

The automatic cluster finding algorithms used in the identification of APM clusters, make them a more reliable sample of clusters, which have been shown to be largely free of projection effects. Although contamination can not be totally excluded, the inclusion of an error in the APM cluster distance measurement is sufficient to account for for the elongations found in the APM clusters redshift-space correlation function (Padilla & Baugh 2002).

On the other hand, Abell clusters show clear signs of projection effects (this work, Sutherland 1988; Sutherland & Efstathiou 1991; see also Lucey 1983), which can be reduced by restricting the sample of clusters in richness class (Miller et al. 1999), for example. In this work, we found that the elongations in the correlation function isopleths can be reduced when restricting the sample to have a low BM type, which is a measure of the regularity of the galaxy distribution in a cluster. We have also shown that this could be related to an increase in the richness of the clusters considered, since our correlation function measurements show an increase in the correlation length. This makes sense, given that it is reasonable to suppose that richer clusters of galaxies have a more regular shape. In the end, the anisotropies left after the restriction of the Abell sample cannot be easily reconciled with errors in distance measurement from using a small number of galaxies. The results indicate the presence of galaxies not physically bounded to the cluster, and also a fraction of spurious clusters resulting from structures along the line of sight.

This situation is not significantly improved in the case of X-ray clusters. Even though the XBACS sample is composed of Abell clusters with confirmed emission in X-rays, they also show significant elongations along the line of sight when compared to the results from the Abell sample. We found that restricting the sample of XBACS clusters to have a low BM type produces a decrease in the elongation of the iso-correlation contours along the line of sight.

On the other hand, EBCS clusters, which are identified primarily as X-ray sources, show an interesting behaviour that deserves further attention. Low X-ray luminosity clusters, $`L_x<3\times 10^{37}`$W show little correlation function anisotropy indicating the lack of significant projection effects. Clusters of high X-ray luminosity, on the other hand, exhibit strong line of sight distortions, indicating the presence of large biases in this subsample. It can be argued that luminous clusters are more distant and therefore most strongly affected by contamination effects that could bias distance and x-ray luminosity estimates.

The results shown in figures 8 and 9, which correspond to observational datasets identified from angular data, indicate that the values of relative velocities obtained from cluster samples are usually well over the values preferred by hierarchical clustering. It is also noticeable the large variations in redshift-space correlation lengths which, as shown in Paper I, is also influenced by the level of contamination present in the sample. Those observational samples less affected by projection effects, show values of the bias parameter compatible with a suitable upper limit inferred using a number density threshold $`n=5\times 10^6`$h<sup>3</sup>Mpc<sup>-3</sup> (equivalent to a mean intercluster separation $`d_c60`$h<sup>-1</sup>Mpc), and a $`\mathrm{\Lambda }`$CDM model in combination with the Sheth, Mo & Tormen (1999) mass function.

With the advent of surveys of the next generation, the construction of new group and cluster catalogues from deep spectroscopic data based on accurate photometry, will provide more reliable and well controlled cluster samples. In the light of our results for presently available samples, we find that detailed analysis of the redshift-space correlation function anisotropies can give a deep insight on sample characteristics and invaluable information on their implications.

## Acknowledgments

This work was supported in part by CONICET, Argentina, and the PPARC rolling grant at the University of Durham. DGL acknowledges support from the John Simon Guggenheim Memorial Foundation. We thank the Referee for invaluable comments and advice which greatly improved the previous version of the paper. We have benefited from helpful discussions with Carlton Baugh. We acknowledge the Durham Extragalactic Astronomy Group and the Virgo Consortium for making the Hubble Volume simulation mock catalogues available.


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# Magnon Specific Heat of Single Crystal Borocarbides 𝑅Ni2B2C (𝑅=Tm, Er, Ho, Dy, Tb, Gd).

## I Introduction

Wide varieties of magnetic ground structures are manifested in $`R`$Ni2B2C series (see e.g. Refs.Lynn-RNi2B2C-mag-xrd ; Detlefs-GdNi2B2C-XRES  and Tab.I): members with $`R=`$Ho, Dy, Nd, Pr adopt commensurate antiferromagnetic (AF) arrangements while those with $`R=`$Tm, Er, Tb, Gd, assume squared-up spin-density wave (SDW) states. These ground structures are stabilized by a fine balance of exchange, crystalline electric field (CEF), and magnetoelastic forces. Under magnetic field or temperature variation, most of these structures undergo a cascade of phase transformations, yielding rich varieties of field-temperature ($`HT`$) phase diagrams ( see e.g. Refs.Canfield-Ho-HT-Diagram ; Budko-Er-HT-diagram-2 ; Detlefs-Ho-HT-Diagram ; Canfield-Dy-HT-diagram ). Interestingly, most of the zero-field magnetic states of $`R`$=Tm, Er, Ho, Dy coexist with superconductivity, presenting model compounds wherein the interplay between superconductivity and magnetism can be investigated. Such investigations revealed that the superconductivity, though much influenced by, has a very weak influence on the prevailing magnetic order:Amici-thesis  the energy gain due to the onset of magnetic order dominates by two order of magnitudes over that due to the onset of superconductivity.

The zero-field part of the $`HT`$ phase diagram of HoNi2B2C is particularly interesting: superconductivity sets-in at $`T_c8`$ K. Just below this point, an incommensurate spiral state, $`\stackrel{}{k_c}`$.92$`\stackrel{}{c}`$, develops (see e.g. Refs.Lynn-RNi2B2C-mag-xrd ; Canfield-Ho-HT-Diagram ; Canfield-HoNi2B2C-M-Cp ). Furthermore, at $``$6.3 K, an additional modulated state with $`\stackrel{}{k_a}`$0.55$`\stackrel{}{a}`$ emerges and around 5 K a deep minimum in $`H_{c2}`$ develops.Canfield-RNi2B2C-Hc2  At $`T_N=`$5 K, an orthorhombic lattice distortion Kreyssig-Ho-distortion  sets-in and, concomitantly, both the spiral and the a-axis modulated states are replaced by a commensurate AF structure which coexists with superconductivity down to the lowest measurable temperatures. Generalized susceptibility calculation Joo-generalized-susc  related these modulated state to maxima in the exchange coupling transform,$`J(k)`$.

Remarkably, the magnetic ground structures of the heavy and magnetic $`R`$Ni2B2C compounds (see Tab.I) are particularly simple: in spite of the manifestation of an orthorhombic distortion and a liquid-helium-temperature magnetic modulation, their ground structures are either an equal-amplitude, AF-type squared-up state (as in $`R=`$Tm, Er, Tb, Gd) or an equal-amplitude, colinear, commensurate AF state (as in $`R=`$Ho, Dy). Then, it is of interest to investigate whether the low-temperature thermodynamics of these $`R`$Ni2B2C can be described in terms of small-amplitude spin-wave excitations and, in addition, to elucidate the character and dimensionality of these excitations. These magnetic excitations can be probed by various techniques, among which is the magnetic specific heat. We carried out extensive zero-field specific heat measurements on five single crystals $`R`$Ni2B2C ($`R`$= Er, Ho, Dy, Tb, Gd) covering at least the range $`0.1`$ K$`<T<T_N.`$ These specific heats, together with that of TmNi2B2C (Ref.Movshovich-TmNi2B2C ), reveal a diversified and wide varieties of thermal evolutions. None the less, based on a phenomenological model, all of the specific heat curves can be systematized in terms of only two parameters, namely an effective exchange coupling and a magnetic anisotropy interaction.

The format of this paper is as follows: In Sec.II, we derive an approximate, but of wide applicability, expression for the magnon specific heat. Experimental techniques and procedures are described in Sec.III. Results and their analysis are described in Sec.IV and discussed in Sec.V.

## II Approximate expressions for magnon specific heat of $`R`$Ni2B2C.

The magnetic structures of $`R`$Ni2B2C ($`R`$=Tm-Gd) can be visualized as magnetic layers that are stacked along the c-axis.Lynn-RNi2B2C-mag-xrd  The most dominant interactions are the RKKY and anisotropic couplings. The former can be approximated by effective isotropic couplings while the latter (a combination of dominant CEF and weaker dipolar and anisotropic exchange forces) by an easy-axis anisotropy field $`\stackrel{}{H}_a`$:Kittel-SpinWave  this $`\stackrel{}{H}_a`$ representation is convenient for spin-wave calculation and is valid for the low-temperature orthorhombic-distorted equal-amplitude collinear AF or squared-up phases of borocarbides (see Sec.V). Considering the above mentioned magnetic arrangement and the crystal symmetry, the magnetic couplings can be conveniently divided into two classes: $`J_{ij}^A`$ that couples moments $`i`$ and $`j`$ within the same layer (denoted as $`A`$ or $`B`$) and $`J_{ij}^{AB}`$ that couples moments from different layers. Then at zero external field, the following Hamiltonian is expected to capture most of their low-temperature properties:

$$=\underset{<ij>,LA,B}{}J_{ij}^L\stackrel{}{S_i^L}.\stackrel{}{S_j^L}+\underset{<ij>A,B}{}J_{ij}^{AB}\stackrel{}{S_i^A}.\stackrel{}{S_j^B}g\mu _B\stackrel{}{H_a}\underset{jA}{}\stackrel{}{S_j^A}+g\mu _B\stackrel{}{H_a}.\underset{jB}{}\stackrel{}{S_j^B}$$
(1)
The first and second sum represent, respectively, interactions within the same layer and among different layers. The last two terms represent the anisotropic interactions. By standard spin-wave analysis, we obtained the following dispersion relation:

$$\mathrm{}\omega _k=\sqrt{\left[SJ_{}(0)SJ_{}(k)+SJ_{}(0)+g\mu _BH_a\right]^2\left[SJ_{}(k)\right]^2}$$
(2)
where $`J(k)=J_{ij}\mathrm{exp}(ik(r_ir_j)).`$ $`J_{}`$ ($`J_{}`$) represents the Fourier-transform parallel (perpendicular) to the c-axis. The energy gap, $`\mathrm{\Delta }=\mathrm{}\omega _{k=0},`$ is:

$$\mathrm{\Delta }=\sqrt{\left(g\mu _BH_a\right)^2+2J_{}(0)g\mu _BSH_a}$$
(3)
which defines an AF resonance frequency similar to the uniform mode of ordinary AFs.Kubo-SpinWave ; Eisele-Keffer-SpinWave ; Kittel-SpinWave ; Walker-SpinWave  Evidently, (i) $`\mathrm{\Delta }`$ is zero whenever there is no anisotropy and (ii) $`\mathrm{\Delta }`$ does not depend on the type nor the strength of the intralayer coupling.

For evaluating the magnon specific heat (or other thermodynamical quantities), an explicit expression of $`J(k)`$ is required. In the absence of such an expression and for low-temerpature range, it is a common practice to assume a long-wave limit. Here, we restricted the expansion of $`J(k)`$ to the nearest neighbors only, leading to:

$$\mathrm{}\omega _k\sqrt{\mathrm{\Delta }^2+C_xk_x^2+C_yk_y^2+C_zk_z^2}\text{ }$$
(4)
where $`C_x`$ ($`C_y`$ for weak orthorhombic distortion) and $`C_z`$ are functions of the exchange couplings and geometrical factors ($`a`$ and $`c`$ are unit-cell parameters):

$`C_x`$ $`=16(J_{}+J_{})J_{}S^2a^2+2J_{}S(g\mu _BH_a)a^2`$ (5)
$`C_z`$ $`=16J_{}^2S^2c^2`$
Then, the zero-field magnon specific heat is (rewritten so as to conform with the notation of Ref.Eisele-Keffer-SpinWave ):

$$C_M(T)=3^{\frac{3}{2}}R\left(\mathrm{\Delta }/\theta \right)^3\left(\mathrm{\Delta }/2T\pi ^2\right)\underset{m=1}{\overset{\mathrm{}}{}}\left[BesselK(2,m\mathrm{\Delta }/T)+BesselK(4,m\mathrm{\Delta }/T)\right]$$
(6)
where $`BesselK`$ represents the modified Bessel function and

$$\theta =z\left|J_{eff}\right|S=\sqrt[3]{3^{\frac{3}{2}}2(C_xC_yC_z)^{\frac{1}{2}}/(a^2c)}$$
(7)
is a characteristic temperature, based on which $`\left|J_{eff}\right|`$ can be defined as being an effective exchange interaction that couples the magnetic moment to its $`z`$ nearest neighbors. Notice that both Eq.6 and Eq.7 account as well for the weakly orthrohmic-distorted state.

For $`T<\mathrm{\Delta }`$, Eq.6 reduces to the exponential form:

$$C_M(T)2\frac{3^{\frac{3}{2}}R\mathrm{\Delta }^{\frac{7}{2}}}{\pi ^{\frac{3}{2}}\theta ^3T^{\frac{1}{2}}}\mathrm{exp}(\mathrm{\Delta }/T)$$
(8)
while for isotropic compounds or $`T\mathrm{\Delta }`$, it reduces to the high-temperature limit: Kubo-SpinWave ; Eisele-Keffer-SpinWave

$$C_M(T)\frac{3^{\frac{3}{2}}4\pi ^2}{15}R\left(T/\theta \right)^3$$
(9)
in this case, Eq.7 highlight the useful definition of $`\left|J_{eff}\right|`$.

A long-wave dispersion relation for an isotropic quasi-2$`d`$ case can be derived from Eq.4, if we set $`C_zC_x`$ ($`\left|J_{}\right|J_{}`$) and $`H_a=0`$:

$$\mathrm{}\omega _k8J_{}S+J_{}Sa^2(k_x^2+k_y^2)$$
(10)
Then, to lower order in $`8J_{}S/T`$, one obtains $`C_M(T)=\pi RT/12SJ_{}`$ which reproduces the leading linear-in-$`T`$ term in the expression reported by Movshovich et al Movshovich-TmNi2B2C  who (starting from a quadratic dispersion relation and including correction for the 2d and the magnon-magnon interaction) obtained for the range$`\left|J_{}\right|S<T<T_N`$:

$$C_M(T)=(\pi R/12)(T/SJ_{}6J_{}/\pi ^2J_{}+4J_{}S/3\pi ^2J_{}T)$$
(11)
It is worth remarking that Eqs.1-4,6 are of a more wide applicability than our above analysis might have suggested. Furthermore, depending on only $`\theta `$ and $`\mathrm{\Delta }`$, a variety of expressions for the magnetic specific heat can be derived; each admitting different limits for its thermal evolution depending on the relations among $`T`$ and $`\mathrm{\Delta }`$ (compare Eq.6 with the limit Eqs.8,9,11). Based on such a scheme, one is capable of rationalizing the vast varieties of the low-temperature thermal evolution of thermodynamical quantities (such as $`C_M(T)`$) encountered in these (and any series similar to) borocarbides. It is reminded that this analysis is not adequate for the description of the contribution of the modulated state since the involved ordered components do not have equal magnitudes. Finally, the above zero-field treatment is obviously not appropriate for the description of the field-induced metamagnetic phases.

## III Experimental

Single crystals of $`R`$Ni2B2C ($`R`$=Er-Gd) were grown by floating zone method.Takeya-FZ-method  Physical characterization were carried out utilizing a dc magnetometer \[$`H`$$`<`$50 kOe, 2 K $`<`$$`T`$$`<`$20 K\], a mutual-induction ac-susceptometer \[$`\nu `$=250-500 Hz, $`H_{pp}`$1 Oe, 30 mK $`<`$$`T`$$`<`$20 K\], and a dc resistivity set-up \[$`H`$$`<`$50 kOe, 2 K $`<`$$`T`$$`<`$20 K\]. Structural, magnetic and transport characterizations are in agreement with published results.

The temperature-dependent specific heat was measured on a semi-adiabatic calorimeter \[80 mK $`<`$$`T`$$`<`$25 K, precision better than 4%\]. The total specific heat curves measured above 2 K are in agreement with the reported data.Canfield-HoNi2B2C-M-Cp ; Cho-ErNi2B2C-ansitropy ; Tommy-Dy-superconductivity ; Tommy-Tb-reorientation  However, we observed some discrepancy between the absolute values of $`C_M(T)`$ of single crystal and polycrystalline samples: though both specific heats were found to be given by approximately the same functional form, the absolute values of the fit parameters ($`\theta `$ and $`\mathrm{\Delta }`$) differ by as much as 40%.

For each compound, the total specific heat, $`C_{tot}`$, was analyzed as a sum of an electronic $`C_e`$ ($`C_S`$ when superconductivity is to be emphasized), a Debye $`C_D`$ $`(=\beta T^3)`$, a nuclear $`C_N`$, and a magnetic contribution $`C_M`$ from the only magnetically active $`R`$-sublattice. At temperatures of interest, $`C_e`$ and $`C_D`$ were estimated based on our specific heat characterization Takeya-YNi2B2C  of single crystal YNi2B2C ($`\gamma =17.5`$ mJ/moleK2 and $`\beta =`$ 0.12 mJ/moleK4) which had been synthesized by the very same procedures as the one used for the other single crystals. Thus for each compound, $`\gamma `$ was taken to be the same value as that of YNi2B2C while $`\beta `$ was evaluated by normalizing the $`\beta `$ of YNi2B2C using the approximation $`\beta m^{\frac{3}{2}}`$(see Tab.II).

Within the superconducting region, $`C_S`$ was evaluated as 3$`\gamma T^3/T_c^2`$. At any rate, for all the studied compounds, $`C_M(T)`$ is much larger than the sum of $`C_e`$ and $`C_D`$. Consequently, even if $`C_e`$ and $`C_D`$ are taken as the bare values of YNi2B2C, $`C_M(T)`$ would not be noticeably modified, ensuring that our conclusions would not be influenced.

$`C_N(T)`$ of $`R`$Ni2B2C, when available, is of dominant importance only at very low temperatures and was evaluated by least-square fit using the appropriate hyperfine Hamiltonian; the obtained parameters (shown in Tab.II) compare favorably with those of the corresponding $`R`$-metal Anderson-Nclr-Nd-Sm-DY-Schottky  and $`R`$Co2B2C isomorphs.Massalami-RCo2B2C

## IV Results and Analysis

From the general feature of $`C_M(T)`$ curves (Figs.1-3,5-6), one distinguishes four temperature regions: (i) a paramagnetic region, $`T>T_N`$, wherein $`C_M(T)`$ is predominantly due to a change in the population of the CEF levels, (ii) a critical region, $`TT_N`$, wherein $`C_M(T)`$ is related to the critical phenomena, (iii) an intermediate region wherein $`C_M(T)`$ reflects the magnetic character of the spiral/modulated states, and (iv) the low-temperature AF/squared-up states, of prime interest to this work, wherein the measured $`C_M(T)`$ is to be confronted with Eqs.6,11 and therefrom $`\theta `$ and $`\mathrm{\Delta }`$ are to be extracted.

Before we discuss the features of $`C_M(T)`$ for each compound, a word of caution is in order: just as in the case of $`R`$-metals,Coqblin-book  the propagation of errors due to successive subtraction of $`C_e(T)`$, $`C_D(T)`$ and $`C_N(T)`$ would eventually influence the absolute value of $`C_M(T)`$.

### IV.1 GdNi2B2C

Below $`T_N`$, the zero-field magnetic structure Detlefs-GdNi2B2C-XRES  is a transverse sine-modulated type with $`\stackrel{}{k_a}`$ that changes from 0.551$`\stackrel{}{a}`$ at $`T_N`$ to 0.550$`\stackrel{}{a}`$ at $`T_R`$, where a spin reorientation process sets-in. Below $`T_R`$, $`\stackrel{}{k_a}`$ reverts course and increases monotonically till reaching 0.553$`\stackrel{}{a}`$ at 3.5 K.

$`C_M(T)`$ of GdNi2B2C (Fig.1) reveals the onset of the magnetic order at $`T_N=`$19.5 K and the spin reorientation process at $`T_R=`$13.5 K, in agreement with earlier studies. Canfield-GdNi2B2C ; Detlefs-GdNi2B2C-XRES ; Tomala-GdNi2B2C-MES ; Godart-GdNi2B2C-composition ; Massalami-GdNi2B2C-GdNiBC  The thermal evolution of $`C_M(T)`$ within the amplitude-modulated state is distinctly different from that within the equal-amplitude, low-temperature state (see below). As mentioned above, within the modulated region the linearized spin-wave analysis is not applicable and one should resort to the findings of Schmitt and co-workers Bouvier-Gd-AM-state-Cm-1 . In particular, these authors demonstrated that $`C_M(T_N)`$ of such a state suffers a strong reduction (almost 1/3) in comparison with the value (20.15 J/moleK) expected for an equal-amplitude AF state (our results are in excellent agreement with this statement).

On the other hand, Fig.1 shows that for temperatures below 3.5 K, $`C_M(T)`$ follows faithfully Eq.6 with $`\theta `$=12.5$`\pm `$0.2K and $`\mathrm{\Delta }`$=1.9$`\pm `$0.3 K. The numerical value of $`\theta `$ (for $`\mathrm{\Delta }`$ see Sec.V) is physically acceptable as can be seen from the following arguments. First, the substitution of this $`\theta `$ into Eq.7 yields $`J_{eff}`$= 0.58$`\pm `$0.2 K, which is in close agreement with the value reported for HoNi2B2C (Ref.Amici-thesis ,Cho-Crystal-field-2 ) and TmNi2B2C (Ref.Movshovich-TmNi2B2C ). Secondly, the substitution of $`\theta `$ into Eq.9 predicts correctly the high temperature limit, namely $`C_M(T>\mathrm{\Delta })`$ =0.058$`T^3`$ J/moleK (see Fig.1). Thirdly, the substitution of $`\theta `$ into the Molecular Field relation:Kubo-SpinWave

$$T_N=\frac{1}{3}\theta (S+1)$$
(12)
gives $`T_N`$ = 18.8$`\pm `$0.3 K which is in reasonable agreement with the experimentally determined value of $`T_N`$.

### IV.2 TbNi2B2C

A longitudinal SDW, accompanied by an orthorhombic distortion, sets-in at $`T_N`$.Dervenagas-Tb-structure-anistropy-WeakFM ; Song-Tb-dichroism-HRMXRD  The magnitude of the modulation vector decreases from 0.551$`\stackrel{}{a}`$ near $`T_N`$ to 0.545$`\stackrel{}{a}`$ at 2.3 K.Dervenagas-Tb-structure-anistropy-WeakFM  A weak ferromagnetic component develops below $`T_{WF}`$ 8 K and at lower temperature a squaring-up of the modulated state was observed.Dervenagas-Tb-structure-anistropy-WeakFM

$`C_M(T)`$ of single crystal TbNi2B2C (Fig.2) shows the magnetic ordering at $`T_N=14.5`$ K and the WF-associated anomaly that peaks around 5.5 K. These features are in agreement with those reported by Tommy et al.Tommy-Tb-reorientation  Similar to the case of GdNi2B2C, no attempt was made to analyze $`C_M(T)`$ within the amplitude modulated state spanning the range $`5`$ K$`<T<T_N`$. Below 5 K, where the orthorhombic-distorted squared-up state is expected, $`C_M(T)`$ follows convincingly the prediction of Eq.6 with $`\theta `$=$`21.5\pm `$0.2 K and $`\mathrm{\Delta }`$=7.0$`\pm `$0.5 K.

### IV.3 DyNi2B2C

This compound develops a commensurate AF structure below $`T_N`$ with moments arranged in an identical manner as that of HoNi2B2C. Lynn-RNi2B2C-mag-xrd ; Dervenagas-Dy-structure  Moreover, superconductivity coexists with this AF order below $`T_c`$6 K. In contrast to other Ni-based AF superconducting borocarbides, DyNi2B2C presents the following distinct features: (i) no zero-field incommensurate or modulated state was reported.Lynn-RNi2B2C-mag-xrd ; Dervenagas-Dy-structure  However for $`T<`$ 2 K, anomalously large hysteresis and pronounced reentrant effects were observed for the field range 1 kOe$`H`$5.3 kOe, Peng-Dy-hystresis-2K  (ii) the superconductivity emerges within a well developed AF order ($`T_c<T_N`$) and that $`T_c`$ is extremely sensitive to nonmagnetic doping.Cho-RNi2B2C-deGeness

$`C_{tot}(T)`$ (see Fig.3) reveals the onset of the AF order at $`T_N=9.5\pm 0.2`$ K. Within the accuracy of our measurement, the superconducting jump at $`T_c`$ $``$6 K is too small to be resolved. On carrying out the analysis of $`C_{tot}`$ into its components ($`C_e`$, $`C_D,C_N`$, and $`C_M`$), we observed an anomalous contribution peaking at $`1.2`$ K and having features reminiscent of a Schottky-like contribution. Accordingly, it was approximated by the standard two-level relation:

$$C_{sch}(T)=R(\frac{\delta }{T})^2\mathrm{exp}(\frac{\delta }{T})/\left[1+\mathrm{exp}(\frac{\delta }{T})\right]^2$$
(13)
where $`\delta `$ is the energy separation. It was found out (see the inset of Fig.3) that $`\delta `$ $`=2.9`$ K and that only 0.062 molar fraction was involved. Moreover, the fit was satisfactory for the high temperature tail but not so good at the lower temperature part, suggesting that a multi-level Schottky contribution might be more appropriate. However, for the present discussion, the above two-level approximation is sufficient. It is highly possible that such a contribution is due to 6% defect/impurity which is beyond the limit of detection of our X-ray structural characterization. Coincidently, anomalous hystereses effects were observed in the magnetostriction curves that were measured within the same temperature range.Peng-Dy-hystresis-2K  At any case, for $`T>\delta `$, both $`C_{sch}(T)`$ and $`C_N(T)`$ are smaller than $`C_M(T)`$ (see inset of Fig.3). Nevertheless, we considered $`C_M(T)=C_{tot}(T)C_S(T)C_D(T)C_N(T)C_{sch}(T)`$ (see Fig.3).

The thermal evolution of $`C_M(T)`$ is shown in a log-log plot in Fig.3 and as ln($`C_M(T)`$) $`versus`$ $`1/T`$ plot in Fig.4. In both figures, the comparison with Eq.6 (solid line) is also presented. Evidently over a wide range of temperatures, $`C_M(TT_c)`$ follows excellently Eq.6 with $`\theta `$=19.3$`\pm `$0.2K and $`\mathrm{\Delta }`$=8.3$`\pm `$0.3 K.

### IV.4 HoNi2B2C

$`C_{tot}(T)`$ of single crystal HoNi2B2C (shown in Fig.5) reveals a cascade of three transitions that are usually attributed to magnetic transformations.Canfield-HoNi2B2C-M-Cp ; Elhagary-HoNi2B2C-Cp  The signature of the onset of superconductivity is too weak to be observable in our present measurements. On the other hand, for $`T<`$5 K, $`C_M(T)`$ follows the description of Eq.6 with $`\theta `$=9.7$`\pm `$0.2K and $`\mathrm{\Delta }`$=8.3$`\pm `$0.3 K.

### IV.5 ErNi2B2C

Two intriguing features of the $`HT`$ phase diagram of ErNi2B2C are Lynn-RNi2B2C-mag-xrd ; Canfield-Er-HT-diagram ; Choi-ErNi2B2C-neutron ; Kawano-ErNi2B2C-neutron : the onset of the incommensurate transversely polarized SDW state with ka=0.553$`a^{}`$ at $`T_N=`$5.94 K, and the onset of weak ferromagnetism (WF) at $`T_{WF}=`$2.2 K. These two events (none is able to quench superconductivity, $`T_c=10.5`$ K) are well evident in $`C_M(T)`$ of Fig.6. $`T_{WF}`$, in particular, is evident as a change of slope that separates two distinct thermal evolutions:Massalami-Cm-ErNi2B2C  $`C_M(T)`$ within the amplitude-modulated state $`T_{WF}<T<T_N`$ and that within the squared-up state at $`T<T_{WF}`$. In the latter region, $`C_M(T<T_{WF})`$ is well described by Eq.6 with $`\theta =`$7.4$`\pm `$0.2 K and $`\mathrm{\Delta }=`$5.4$`\pm `$0.3 K.

### IV.6 TmNi2B2C

Superconductivity sets-in at 11 K and, below $`T_N=1.52\pm 0.05`$ K, coexists with a transversely polarized SDW state wherein the spins are pointing along the c-axis and the modulation vector is (0.093,0.093,0).Lynn-RNi2B2C-mag-xrd ; Movshovich-TmNi2B2C  At lower temperatures, the incommensurate SDW state squares up.Lynn-RNi2B2C-mag-xrd  The magnetic specific heat of single crystal TmNi2B2C was measured by Movshvich et al Movshovich-TmNi2B2C  and was shown to follow Eq.11 with $`J_{}`$0.8 K, $`J_{}`$0.2 K.

## V Discussion and Conclusions

On a linearized spin-wave (non interacting magnon gas) approach, one is always limited to the low-temperature region of the ordered state which in the case of the borocarbides amounts to being restricted to below the liquid Helium temperatures. Within that temperature range, the model describes very successfully the magnetic contribution of the studied compounds indicating that $`C_M`$ can be safely associated with the gapped collective excitations that propagate within the orthorhombic-distorted 3d AF (-type) structure.

The successful applicability of the model to the commensurate collinear AF ground structures of $`R=`$Ho, Dy is understandable. To justify its applicability to the cases of $`R=`$Tm, Er, Tb, Gd, it is sufficient to show that their ground structures are well squared-up and that all the moments do have equal amplitudes and orient (or bunch) along a specific direction. The state of ErNi2B2C below $`T_{WF}`$ and that of GdNi2B2C below 3.5 K provide the best illustrations of the fulfillment of this requirement. The colinear, equal-amplitude, and squared-up character of the state of ErNi2B2C below $`T_{WF}`$ was elegantly revealed in the neutron diffractions studies of Choi et alChoi-ErNi2B2C-neutron  and Kwano-Furukawa et al Kawano-ErNi2B2C-neutron . It is remarked that the presence of weak ferromagnetism (reflected as kink that separate oppositely oriented domains) would hardly modify this picture since the excitation energy of the kink is much higher than that of the magnon. Let us now discuss the character of the state of GdNi2B2C below 3.5 K. A recent magnetoelastic study Massalami-GdNi2B2C-singlecrystal-1  on single crystal GdNi2B2C demonstrated the presence of substantial magnetoelastic and anisotropic exchange interactions, in particular below $`T<T_R`$. The magnitude of the $`ϵ^\gamma `$ strain mode (which leads to symmetry lowering from four-fold tetragonal to two-fold orthorhombic) is very large and increases with decreasing temperature leading progressively to an orthorhombic-distorted magnetic state wherein the moments, due to entropy arguments, approach equal amplitudes. Based on the suggestion of Detlefs et al Detlefs-GdNi2B2C-XRES , the magnetic structure below $`T_R`$ is either a transverse modulated state with moment orientation away from the b-axis in the bc-plane or a modified spiral-like structure which, due to the low symmetry (2mm) of the  direction, is likely to suffer fanning or bunching (becoming more stronger as the temperature is decreased). Tomala et al Tomala-GdNi2B2C-MES , on exploring these two structural possibilities, argued that the 155Gd Mossbauer spectra at 4.2K $`<`$$`T<T_R`$ were better fitted with a bunched spiral-like state. In this Mossbauer analysis, the c-component was found to be almost equal ( $``$75% at 4.2 K) to the b-component, a result that does not reflect the 2mm-symmetry of the  direction. Considering these and the above observations together with entropy arguments, one concludes that the low-temperature structure is either a *squared-up*, *equal-amplitude*, and collinear state or - as supported by Mossbauer analysis- a strongly bunched, *squared-up*, and *equal-amplitude* state. As far as the magnon specific heat is concerned, the interactions in both structures can be represented by the Hamiltonian of Eq.1 (allowing for a unimportant difference in the direction of the axis of quantization).

Figs.1-6 and Tab.I demonstrated convincingly that, based on only $`\mathrm{\Delta }`$ and $`\theta ,`$ the diverse functional form of the measured $`C_M(T)`$ can be systematized: when both $`\mathrm{\Delta }`$ and $`\theta `$ are large, $`C_M(T<\mathrm{\Delta })`$ reflects a magnon contribution from an anisotropic magnetic structure as in $`R=`$Er, Ho, Dy, Tb. When $`\mathrm{\Delta }`$ is relatively small but $`\theta `$ is large, $`C_M(T>\mathrm{\Delta })`$ reflects a magnetic contribution from a quasi-isotropic magnetic structure as in GdNi2B2C. For a weak $`\mathrm{\Delta }`$ and $`J_{}`$, $`C_M(T)`$ reflects a contribution from a quasi-2$`d`$ structure as in TmNi2B2C.

The evolution of $`\mathrm{\Delta }`$ and $`\theta `$ across the studied compounds is reasonable. $`\theta `$, on the one hand, reflects predominately the evolution of the de Gennes factor (see Eqs.5,7 and Tab.I) as can be appreciated on observing that $`\theta `$ scales very well with the de Gennes factors for $`R`$=Tm, Er, Ho, Dy, Tb. That the experimentally determined $`\theta `$ of GdNi2B2C is a factor of three lower than the one expected from de Gennes scaling may be attributed to the additional dependence of $`\theta `$ on $`H_a`$ which for GdNi2B2C is the lowest.

$`\mathrm{\Delta }`$, on the other hand, reflects the combined influence of the anisotropic forces and interlayer coupling. This is expressed by Eq.3 which for the case of, say, ErNi2B2C (considering $`H_A`$ $``$15 kOe and $`\left|J_{}\right|`$0.1 K) gives a value of 4 K which is close to the experimental value. The observation that $`\mathrm{\Delta }`$ is nonzero for each of the studied compounds is in agreement with the reported anisotropic features of the magnetic and transport properties.Cho-ErNi2B2C-ansitropy  The strong anisotropy of each of $`R=`$Er, Ho, Dy, Tb is in accord with what is expected from their CEF properties. In contrast, the weak anisotropy observed in GdNi2B2C is most probably due to a combination of anisotropic exchange, dipolar, and two-ion magnetoelastic couplings.

It is interesting to discuss one particular aspect of the interaction between magnons and superconductivity in, say, $`R`$= Ho ($`T_N<T_c`$) and Dy ($`T_c<T_N`$): the magnon-mediated pairbreaking effect that manifests itself in the thermal evolution of $`H_{c2}(T<T_N,T_c)`$ \[Ref.Mag-Sup-Fischer-1990 \]. Noteworthy, the thermal evolution of $`H_{c2}(T<T_N,T_c)`$ of both HoNi2B2C and DyNi2B2C \[Ref.Canfield-RNi2B2C-Hc2 \] are very similar which, considering the above-mentioned similarity in their magnetic properties, suggests that the involved pairbreaking effects (in particular the magnon-mediated one) are similar. This, in turn, suggests that the magnon characteristic (say low-energy magnon spectra) in both compounds must be similar. This is indeed the case: the analysis of Sec.IV.C-D showed that the energy cost for magnon excitation in both compounds is practically equal ($`\mathrm{\Delta }`$ 8 K see Tab.I). Therefore doping of Ho into DyNi2B2C (up to 80% but still $`T_c<T_N`$) would not lead to a softening of $`\mathrm{\Delta }`$. Then, for this concentration range, there should be no variation in $`H_{c2}`$ and $`T_c`$ even though the deGennes factor does vary (remember that within the antiferromagnetic state, the Abrikosov-Gorkov pairbreaking mechanism is not valid). This provides an additional experimental confirmation of the hypothesis of Cho et al Cho-RNi2B2C-deGeness  that the magnon spectrum of (Dy1-xHox)Ni2B2C is hardly modified for $`x<`$0.8. In contrast, for (Dy1-xHox)Ni2B2C ($`x>`$0.8), the onset of superconductivity occurs within the paramagnetic state and consequently the Dy dopant depresses $`T_c`$ linearly as expected from the Abrikosov-Gorkov theory.

In summary, we were able to reveal the magnon specific heat contribution of the heavy members of the borocarbides and to identify the expressions that describe their thermal evolution. These expressions (given in terms of only two physically accepted parameters) were derived from the spin-wave analysis of a simple Hamiltonian that consists of effective exchange couplings and anisotropic interactions. We investigated as well an influence of the magnons on the superconductivity of these AF superconductors.

Improvements and extension of this analysis are underway. These include, on the experimental side, probing the magnon contribution in single crystals of $`R`$Ni2B2C by other (microscopic and macroscopic) techniques and, on the theoretical side, a better and more realistic approximation of $`J(k)`$, CEF effects, and magnetoelastic, and anisotropic exchange forces.

###### Acknowledgements.

Partial financial support were provided by Brazilian agencies CNPq and FAPERJ.

### V.1 Tables

TAB.I Some zero-field parameters of selected $`R`$Ni2B2C compounds. Superconducting $`T_c`$, magnetic $`T_N`$, magnetic structure, propagation wave vector, and moment direction are taken from Ref. Lynn-RNi2B2C-mag-xrd . Squaring of the modulated SDW state is taken to occur at lower temperatures. The gap, $`\mathrm{\Delta },`$ and characteristic temperature, $`\theta ,`$ were determined from the indicated equation and figure. $`\theta _{\mathrm{exp}}`$ of TmNi2B2C is calculated by substituting into Eqs.5,7 the fit values ($`J_{}`$=.8 K and $`\left|J_{}\right|`$=.2) given by Movshvich et al.Movshovich-TmNi2B2C . $`\theta _{deG}`$ is the de Gennes scaling of $`\theta `$ taking that of $`R=`$Ho as a reference.

| $`R`$ | deG | $`T_c`$ | $`T_N`$ | magnetic | wave | moment | $`\mathrm{\Delta }`$ | $`\theta _{\mathrm{exp}}`$ | $`\theta _{deG}`$ | Eq.# | Fig.# |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
|  |  | K | K | structure | vector | direction | $`\pm `$0.2 K | $`\pm `$0.2 K | K |  |  |
| Gd | 15.75 | 0 | 19.5 | SDW | \[.55,0,0\] |  | 1.9 | 12.5 | 34.0 | 6 | 1 |
| Tb | 10.5 | 0 | 15.4 | SDW | \[.555,0,0\] |  | 7 | 21.5 | 22.6 | 6 | 2 |
| Dy | 7.08 | 6 | 9.5 | 3d, AF |  |  | 8.3 | 19.3 | 15.3 | 6 | 3 |
| Ho | 4.5 | 8 | 5 | 3d, AF |  |  | 8.3 | 9.7 | 9.7 | 6 | 5 |
| Er | 2.5 | 10.5 | 5.9 | SDW | \[.553,0,0\] |  | 5.4 | 7.4 | 5.5 | 6 | 6 |
| Tm | 1.16 | 11 | 1.5 | SDW | \[.093,.093,0\] |  | 0 | 3.8 | 2.5 | 11 | 4 in Ref.Movshovich-TmNi2B2C |

TAB.II List of values of $`\gamma `$, $`\beta ,`$ and $`\theta `$ of $`R`$Ni2B2C ($`R`$=Gd,Tb, Er, Ho, Dy, Tm). Also given are the expressions used for evaluating $`C_s(T<T_c).`$ The nuclear hyperfine parameters $`\alpha `$ and $`P`$ (see Refs.Anderson-Nclr-Nd-Sm-DY-Schottky ) are also indicated: The upper (lower) values of DyNi2B2C correspond to the isotope 161Dy (163Dy). Data of TmNi2B2C were taken from Ref.Movshovich-TmNi2B2C .


text:
# Graded Lie algebras with finite polydepth

## 1 Properties of polydepth

Lemma 1: If $`M`$ is a module for some graded algebra $`A`$ of finite type and if $`\mathrm{Ext}_A^q(M,A)0`$ then $`\mathrm{Ext}_A^q(Ax,A)0`$ for some $`x`$ in a subquotient module of $`M`$.

proof: Recall that $`A^\mathrm{\#}=Hom_{lk}(A,lk)`$. Then $`\mathrm{Ext}_A^q(M,A)`$ is the dual of $`\mathrm{Tor}_q^A(M,A^\mathrm{\#})`$ and a direct limit argument shows that for some $`x_1,\mathrm{},x_nM`$,

$$\mathrm{Tor}_q^A(Ax_1+\mathrm{}+Ax_n,A^\mathrm{\#})0.$$

Now use the exact sequence associated to the inclusion $`Ax_1+\mathrm{}+Ax_{n1}`$ in $`Ax_1+\mathrm{}+Ax_n`$. $`\mathrm{}`$

Corollary: Polydepth$`A`$ is the least $`m`$ such that polygrade$`N=m`$ for some monogenic $`A`$-module $`N`$.

Remark: It follows from the Corollary that we may improve Theorem 1 to the inequality

$$\mathrm{polydepth}H_{}(\mathrm{\Omega }Y)\mathrm{polybd}(H_{}(\mathrm{\Omega }Y)\alpha )+\mathrm{cat}f,\mathrm{some}\alpha H_{}(F).$$
$`(3)`$
Proposition 1. Let $`L`$ be a graded Lie algebra.

1. Each ideal satisfies $`\mathrm{polydepth}I\mathrm{polydepth}L.`$
2. Let $`E`$ be a Lie subalgebra of $`L`$. If $`L`$ has finite polydepth and if for each $`xL/E`$ the orbit $`UEx`$ has at most polynomial growth, then $`E`$ has finite polydepth.
3. For $`n`$ sufficiently large the sub Lie algebra $`E`$ generated by $`L_n`$ satisfies $`\mathrm{polydepth}E\mathrm{polydepth}L`$.

proof: (i) This follows from the Hochschild-Serre spectral sequence, converging from $`\mathrm{Ext}_{UL/I}^p(lk,\mathrm{Ext}_{UI}^q(M,UL))`$ to $`\mathrm{Ext}_{UL}^{p+q}(M,UL)`$. (Note that since $`UL`$ is $`UI`$-free, grade$`{}_{UI}{}^{}(M)`$ is the least $`q`$ such that $`\mathrm{Ext}_{UI}^q(M,UL)0`$.)

(ii) As in Lemma 1, $`\mathrm{Ext}_{UL}^q(M,UL)`$ is dual to $`\mathrm{Tor}_q^{UL}(M,(UL)^\mathrm{\#})`$, and this is the homology of the Cartan-Eilenberg-Chevalley complex $`sLM(UL)^\mathrm{\#}`$. Write $`L=EV`$ and set $`F_p=sE^psVM(UL)^\mathrm{\#}`$. This filtration determines a convergent spectral sequence, introduced by Koszul in , and which is the Hochschild-Serre spectral sequence when $`E`$ is an ideal. The $`E^1`$-term of the spectral sequence is $`\mathrm{Tor}_q^{UE}(^psL/EM,(UL)^\mathrm{\#})`$, converging to $`\mathrm{Tor}_{p+q}^{UL}(M,(UL)^\mathrm{\#})`$.

Each element $`z^psL/EM`$ is contained in a finite sum of $`UE`$-modules of the form $`s(UEx_1)\mathrm{}s(UEx_p)M`$ and it follows that

$$\mathrm{polybd}(UEz)p\mathrm{polybd}(UEx)+\mathrm{polybd}(M)$$

for some $`xL/E`$. Choose $`M`$ so that polydepth$`L=`$ polygrade$`M`$ and apply Lemma 1 with $`p+q=`$ grade$`M`$.

(iii) If $`\mathrm{Ext}_{UL}^p(M,UL)`$ is non-zero and $`\mathrm{polybd}(M)<\mathrm{}`$ it suffices to choose $`E`$ so that the restriction $`\mathrm{Ext}_{UL}^p(M,UL)\mathrm{Ext}_{UE}^p(M,UL)`$ is non zero. $`\mathrm{}`$

Corollary 1. (of the proof of (ii)). Suppose for some $`k1`$ that $`\mathrm{polybd}(UEx)k`$, $`xL/E`$. Then $`\mathrm{polydepth}Ek\mathrm{polydepth}L`$.

Corollary 2. Let $`E`$ be a sub-Lie algebra of a graded Lie algebra $`L`$. If $`L`$ has finite polydepth and $`L/E`$ has at most polynomial growth, then $`E`$ has finite polydepth.

Example 1. Let $`𝕃(V)`$ be the free Lie algebra on a graded vector space $`V`$. Then for any graded Lie algebra $`L`$, $`L𝕃(V)`$ has depth 1. Thus the injection $`LLL(V)`$ shows that each graded Lie algebra is a sub-Lie algebra of a Lie algebra of finite polydepth. The previous corollary gives restriction on a Lie algebra $`L`$ for being a sub-Lie algebra of a Lie algebra of finite polydepth, $`K`$, when the quotient has at most polynomial growth.

Proposition 2. If $`L`$ is a finite dimensional graded Lie algebra then

$$\mathrm{polydepth}L=\mathrm{depth}L.$$

proof: As observed in the introduction, $`\mathrm{polydepth}L\mathrm{depth}L`$. On the other hand, by Lemma 1, $`\mathrm{polydepth}L=\mathrm{polygrade}M`$ for some monogenic module $`M=ULx`$. Now Theorem 3.1 in  asserts that $`\mathrm{polygrade}M=\mathrm{depth}L`$. $`\mathrm{}`$

## 2 Proof of Theorem 2

Suppose $`IL`$ is an ideal. If $`\mathrm{Ext}_{UL}^m(M,UL)0`$, then $`\mathrm{Ext}_{UL/I}^p(\mathrm{Tor}_q^{UI}(M,k),UL/I)0,`$ some $`p+q=m`$. (Same proof as in: , Lemma 4.3, for the case $`M=lk`$). By Lemma 1 there is a monogenic $`UL/I`$-module $`N`$ such that $`N`$ is a subquotient of $`\text{Tor}_q^{UI}(M,lk)`$, and grade $`Np`$.

Now suppose $`L/I`$ is finite dimensional. Then Theorem 3.1 in  asserts that

$$\mathrm{grade}N+\mathrm{polybd}N=\mathrm{dim}(L/I)_{\mathrm{even}}.$$

On the other hand, write $`(L/I)_{\mathrm{even}}=VW`$ where $`V`$ is the image of $`E(L)`$. Let $`x_iL_{even}`$, $`y_jL_{odd}`$ and $`z_kE(L)`$ represent respectively bases of $`W`$, $`(L/I)_{odd}`$ and $`V`$. Then the elements $`x_1^{k_1}\mathrm{}x_s^{k_s}y_1^{\epsilon _1}\mathrm{}y_t^{\epsilon _t}z_1^{m_1}\mathrm{}z_u^{m_u}`$, where $`\epsilon _i=0`$ or $`1`$, represent a basis for $`UL/I`$. Choose the $`z_k`$ to act locally nilpotently in $`L`$. Then this basis applied to any $`\omega ^qsI`$, shows that $`\mathrm{polybd}(UL/I)\omega \mathrm{dim}W`$. Hence if $`u^qsLM`$ represents a generator of $`N`$ then

$$\mathrm{polybd}N\mathrm{polybd}(UL/Iu)\mathrm{polybd}M+\mathrm{dim}W.$$

Substitution in the equation above gives

$$\begin{array}{cc}\mathrm{dim}(L/I)_{\mathrm{even}}\hfill & \mathrm{grade}N+\mathrm{polybd}M+\mathrm{dim}W\hfill \\ & \mathrm{grade}M+\mathrm{polybd}M+\mathrm{dim}W.\hfill \end{array}$$

Choose $`M`$ so grade$`M+\mathrm{polybd}(M)=\mathrm{polydepth}L`$ and choose $`I=L_{>2k}`$. Then $`VE(L)_{2k}`$ and we have

$$\mathrm{dim}E(L)_{2k}\mathrm{polydepth}L.$$

Since this holds for all $`k`$ the theorem is proved. $`\mathrm{}`$

## 3 Solvable Lie algebras

Lemma 2. Let $`L`$ be a Lie algebra concentrated in odd degrees. Then $`\mathrm{Ext}_{UL}(,UL)=\mathrm{Hom}_{UL}(,UL)`$. In particular

$$\mathrm{polydepth}L=\mathrm{polybd}UL.$$

proof: Since $`L=L_{\mathrm{odd}}`$ it is necessarily abelian. Now $`\mathrm{Ext}_{UL}(,UL)`$ is the dual of $`\mathrm{Tor}^{UL}(,(UL)^\mathrm{\#})`$ and this is the limit of $`\mathrm{Tor}^{UL_n}(,(UL)^\mathrm{\#})`$, which dualizes to $`\mathrm{Ext}_{UL_n}(,UL)`$. Since $`UL_n`$ is a finite dimensional exterior algebra and $`UL`$ is $`UL_n`$-free it follows that $`\mathrm{Ext}_{UL_n}^+(,UL)=0`$, and so $`\text{Ext}_{UL}^+(,UL)=0`$.

Finally, since $`\mathrm{Ext}_{UL}^0(UL,UL)`$ is non-zero, $`\mathrm{polydepth}L\mathrm{polybd}UL`$. On the other hand if $`\mathrm{polydepth}L=m<\mathrm{}`$, then for some $`M`$, we have $`\mathrm{Ext}_{UL}^p(M,UL)0`$ and $`\mathrm{polybd}M=mp`$. By the above, $`p=0`$ and so there is a non zero $`UL`$-linear map $`f:MUL`$. Any $`f(m)`$ is in some $`UL_{<n}`$ and if $`f(m)0`$ it follows that $`UL_n\stackrel{}{}UL_nm`$. This implies $`\mathrm{polybd}M\mathrm{polybd}UL`$ and $`\mathrm{polydepth}L\mathrm{polybd}UL`$. $`\mathrm{}`$

Lemma 3. Let $`L`$ be a graded Lie algebra of finite polydepth. If $`I`$ is an ideal in $`L`$ and $`\mathrm{polybd}I<\mathrm{}`$ then $`\mathrm{polydepth}L/I<\mathrm{}`$.

proof: Choose $`M`$ so that $`\mathrm{polygrade}M=\mathrm{polydepth}L`$. If $`m=\mathrm{grade}M`$ then it follows (as in , proof of Theorem 4.1 for the case $`M=lk`$) that for some $`p`$,

$$\mathrm{Ext}_{UL/I}^p(\mathrm{Tor}_{mp}^{UI}(M,lk),UL/I)0.$$

Since $`\mathrm{Tor}_{mp}^{UI}(M,lk)`$ is a subquotient of $`^{mp}sIM`$ it follows that it has polynomial growth at most equal to $`(mp)\mathrm{polybd}I`$ $`\mathrm{}`$

proof of Theorem 3:

(i) $``$ (ii). Let $`I`$ be the sum of the ideals in $`L`$ concentrated in odd degrees. Then $`I`$ is an ideal of this form, necessarily abelian, and $`L/I`$ has no ideals concentrated in odd degrees. Moreover $`\mathrm{polybd}UI=\mathrm{polydepth}I\mathrm{polydepth}L`$ (Lemma 2 and Proposition 1) and hence $`\mathrm{polydepth}L/I<\mathrm{}`$ (Lemma 3).

Next we show that every solvable ideal $`J`$ in $`L/I`$ is finite dimensional, by induction on the solvlength. Indeed, if $`J`$ is abelian then $`J_{\mathrm{even}}=E(J)`$. Since $`\mathrm{polydepth}J\mathrm{polydepth}L/I`$ (Proposition 1), Theorem 2 asserts that $`J_{\text{even}}`$ is finite dimensional. Thus for some $`r`$, $`J_r`$ is an ideal concentrated in odd degrees; i.e. $`J_r=0`$.

Now if $`J`$ has solvlength $`k`$ then its $`(k+1)`$st derived algebra is abelian and so finite dimensional. Thus for some $`r`$, $`J_r`$ has solvlength $`k1`$. By induction, $`J`$ is finite dimensional.

By hypothesis $`L/I`$ is the sum of its solvable ideals. Since these are finite dimensional, each $`x(L/I)_{\mathrm{even}}`$ acts locally nilpotently. Thus $`(L/I)_{\mathrm{even}}=E(L/I)`$, and this is finite dimensional by Theorem 2. But $`L_{\mathrm{even}}(L/I)_{\mathrm{even}}`$ since $`I`$ is concentrated in odd degrees.

Suppose $`L_{\mathrm{even}}L_{2n}`$. Since $`L_{>2n}`$ is an ideal in odd degrees of finite polydepth, $`\mathrm{polybd}UL_{>n}<\mathrm{}`$, while trivially $`\mathrm{polybd}UL/L_{>2n}<\mathrm{}`$. Hence $`\mathrm{polybd}UL<\mathrm{}`$.

(ii) $``$ (iii). Clearly $`\mathrm{polybd}UL\mathrm{dim}L_{\mathrm{even}}`$, so the latter must be finite. It is trivial from the Poincaré Birkhoff Witt theorem that if $`_{in}\mathrm{dim}L_i=d(n)`$ then

$$\underset{ind(n)}{}\mathrm{dim}(UL)_i2^{d(n)}.$$

Thus $`2^{d(n)}K[nd(n)]^r`$ for some constant $`K`$ and some integer $`r`$, $`r1`$. It follows that $`d(n)\mathrm{log}_2K+r\mathrm{log}_2n+r\mathrm{log}_2d(n)r\mathrm{log}_2n+\frac{1}{2}d(n)`$, $`n`$ sufficiently large.

(iii) $``$ (i). Choose $`N`$ so that $`I=L_N`$ is concentrated in odd degrees. Then $`UI`$ is an exterior algebra and so

$$\underset{in}{}\mathrm{dim}(UL)_i2^{_{in}\mathrm{dim}L_i}n^C$$

for some constant $`C`$. Thus, since $`L/I`$ is finite dimensional, $`\mathrm{polybd}UL`$ is finite. The identity of $`UL`$ is in $`\mathrm{Ext}_{UL}^0(UL,UL)`$ and so $`\mathrm{polydepth}L\mathrm{polybd}UL`$.

Finally, since $`I`$ is abelian and $`L/I`$ is finite dimensional, $`L`$ itself is solvable. This also proves the last assertion. $`\mathrm{}`$

proof of Theorem 4: This is immediate from Proposition 1(i) and Theorem 3. $`\mathrm{}`$

Proposition 3. Suppose $`I`$ is a solvable ideal in a Lie algebra $`L`$ of finite polydepth. Then

1. $`\mathrm{polydepth}L/I\mathrm{polydepth}L`$
2. $`\mathrm{dim}I_{\mathrm{even}}\mathrm{polydepth}I\mathrm{polybd}UI`$.

proof: (i) As noted in the proof of Lemma 3,

$$\mathrm{Ext}_{UL/I}^p(\mathrm{Tor}_{mp}^{UI}(M,lk),UL/I)0,$$

where $`m+\mathrm{polybd}M=\mathrm{polydepth}L`$. Also the Tor is a subquotient of $`^{mp}sIM`$. By Theorem 3

$$\underset{in}{}\mathrm{dim}(^{mp}sIM)_i\left(C_1\mathrm{log}_2n\right)^{mp}C_2n^{\mathrm{polybd}M}.$$

Hence $`\text{polybd}\text{Tor}_{mp}^{UI}(M,lk)\text{polybd}M+1`$, and so $`\text{polydepth}L/I\text{polydepth}M+p+1`$.

If $`p<m`$ then this gives $`\text{polydepth}L/I\text{polydepth}L`$. If $`p=m`$ then $`\text{Tor}_{mp}^{UI}(M,lk)=M_{UI}lk`$. Hence in this case $`\text{polybd}\text{Tor}_{mp}^{UI}(M,lk)\text{polybd}M`$ and again $`\text{polydepth}L/I\text{polydepth}L`$.

(ii) Since $`I_{\mathrm{even}}I_{2n}`$, some $`n`$ (Theorem 3) we may apply the first assertion to obtain

$$\begin{array}{cc}\mathrm{dim}I_{\mathrm{even}}\hfill & =\mathrm{depth}I/I_{>2n}(\mathrm{cf}.\text{[2]})\hfill \\ & =\mathrm{polydepth}I/I_{>2n}(\mathrm{Proposition}\mathrm{\hspace{0.17em}2})\hfill \\ & \mathrm{polydepth}I.\hfill \end{array}$$

The second inequality has already been observed: $`\mathrm{polybd}UI=\mathrm{polygrade}UI\mathrm{polydepth}I`$.

$`\mathrm{}`$

Example 3. Consider a Lie algebra $`L`$ concentrated in odd degrees with a basis $`\{x_ii1\}`$ satisfying the degree relations

$$\text{deg}x_i>\underset{j<i}{}\text{deg}x_j.$$

Then for each $`n`$, $`\mathrm{dim}(UL)_n1`$. The identity on $`UL`$ shows that $`\text{polydepth}L=1`$.

Example 4. Consider the graded Lie algebra $`L=𝕃(a,x_n)_{n2}/I`$, with $`\text{deg}a=2`$, $`\text{deg}x_n=2^n+1`$, and where $`I`$ is generated by the relations

$$[(\mathrm{ad}a)^kx_r,(\mathrm{ad}a)^lx_s]=0,k,l0,r,s2,\mathrm{and}\mathrm{ad}^{n+1}(a)(x_n)=0.$$

Then $`\text{polybd}UL=2`$, so that $`L`$ has finite polygrade. On the other hand, $`L`$ is solvable but not nilpotent, and is the union of the infinite sequence of the finite dimensional Lie algebras $`I_N`$ generated by $`a,x_2,\mathrm{},x_N`$.

Proposition 4. Let $`L`$ be the direct sum of non-solvable Lie algebras $`L(i)`$, $`in`$. If polydepth$`L(i)<\mathrm{}`$ for $`1in`$, then

$$n\mathrm{polydepth}L\underset{i}{}\mathrm{polydepth}L(i).$$

proof. We first prove by induction on $`n`$ that for any $`UL`$-module $`M`$ that has at most polynomial growth, we have $`\mathrm{Ext}_{UL}^{<n}(M,UL)=0`$. Consider the Hochschild-Serre spectral sequence

$$\mathrm{Ext}_{UL(1)}^p(\mathrm{Tor}_q^{U(L(2)\mathrm{}L(n))}(M,(U(L(2)\mathrm{}L(n))^\mathrm{\#}),UL(1))\mathrm{Ext}_{UL}^{p+q}(M,UL).$$
$`(4)`$
Since $`L(1)`$ commutes with the other $`L(i)`$ it follows that for each monogenic $`UL(1)`$-module $`N`$ that is a subquotient of $`\text{Tor}_q^{U(L(2)\mathrm{}L(n))}(M,U(L(2)\mathrm{}L(n))^\mathrm{\#})`$ we have $`\text{polybd}N\text{polybd}M`$.

Now since $`L(1)`$ is not solvable, $`\text{polybd}UL(1)=\mathrm{}`$ and the argument in the proof of Lemma 2 shows that $`\text{Ext}_{UL(1)}^0(N,UL(1))=0`$. Thus (Lemma 1) the left hand in (4) vanishes for $`p=0`$. By induction on $`n`$ it vanishes for $`q<n1`$ and so $`\text{Ext}_{UL}^{<n}(M,UL)=0`$. Thus $`\text{polydepth}Ln`$.

On the other hand, there are $`UL(i)`$-modules $`M(i)`$ such that $`\text{polygrade}M(i)=\text{polydepth}L(i)`$. Then $`_{i=1}^nM(i)`$ is a $`UL`$-module that has at most polynomial growth and whose polygrade is the sum of the polygrades of the $`M(i)`$. $`\mathrm{}`$

## 4 Growth of Lie algebras

Proposition 5. Let $`L`$ be a non solvable graded Lie algebra of finite polydepth. Then for each integer $`r1`$ there is a positive integer $`d(r)`$ such that

$$\underset{i=k+1}{\overset{k+d(r)}{}}\text{dim}L_ik^r,k\text{sufficiently large}.$$

proof: We distinguish two cases.

Case A:  $`L_{\text{even}}`$ contains an infinite dimensional abelian sub Lie algebra $`E`$.

Choose $`n`$ so that dim $`E_n(r+3)\text{polydepth}L`$. Then there is a finite sequence

$$L=I(0)I(1)\mathrm{}I(l)$$

in which $`I(j)`$ is an ideal in $`I(j1)`$ and $`I(l)_n=E_n`$.

By Proposition 1, polydepth$`I(q)`$ polydepth$`L`$. Thus without loss of generality we may suppose that $`L=I(l)`$; i.e. that $`L_n`$ is an abelian sub Lie algebra concentrated in even degrees and that dim $`L_n(r+3)\text{polydepth}L`$.

Let $`M`$ be a $`UL`$-module such that $`\text{grade}M+\text{polybd}M=\text{polydepth}L`$ and put $`m=\text{grade}M`$. As observed in the proof of Proposition 1(ii), $`\text{Ext}_{UL_n}^q(^psL_{>n}M,UL_n)0`$, for some $`p+q=m`$. It follows that for some $`z^psL_{>n}M`$,

$$\text{polybd}UL_nz+q\text{dim}L_n$$

(Theorem 3.1 in ). Hence for some $`xL`$,

$$p(\text{polybd}UL_nx)\text{dim}L_nq\text{polybd}M.$$

Since $`p+q+\text{polybd}M=\text{polydepth}L`$ we conclude that

$$(2+\text{polybd}UL_nx)\text{polydepth}L\text{dim}L_n(r+3)\text{polydepth}L.$$

As observed in the introduction, since dim$`L=\mathrm{}`$, polydepth$`L>0`$. It follows that

$$\text{polybd}\left(UL_nx\right)r+1.$$
$`(5)`$
On the other hand, $`UL_n`$ is the polynomial algebra $`lk[y_1,\mathrm{},y_s]`$ on a basis $`y_1,\mathrm{},y_s`$ of $`L_n`$. Because of (5) it is easy to see (induction on $`s`$) that this basis can be chosen so that for some $`wUL_nx`$, $`lk[y_1,\mathrm{},y_{r+1}]lk[y_1,\mathrm{},y_{r+1}]w`$ is injective. Put $`d=_{i=1}^{r+1}\text{deg}y_i`$ and note that

$$\underset{i=k+\text{deg}w+1}{\overset{k+\text{deg}w+d}{}}\text{dim}L_i\underset{i=k+1}{\overset{k+d}{}}\text{dim}lk[y_1,\mathrm{},y_{r+1}]_i\frac{1}{r!}k^r.$$

It follows that for any $`r`$, and $`k`$ sufficiently large,

$$\underset{i=k+1}{\overset{k+d}{}}\text{dim}L_ik^{r1}.$$

This proves Proposition 5 in case A.

Case B Every abelian sub Lie algebra of $`L_{even}`$ is finite dimensional.

Let $`I`$ be the sum of the solvable ideals in $`L`$. Then $`I_{\text{even}}`$ is finite dimensional and $`\text{polydepth}L/I`$ is finite (Theorem 3 and Proposition 3). Thus all abelian sub Lie algebras of $`L/I`$ are finite dimensional. Thus it is sufficient to prove Case B when $`L`$ has no solvable ideals.

There are now two possibilities: either $`L=L_{\text{even}}`$, or $`L`$ has elements of odd degree. In the latter case the sub Lie algebra generated by $`L_{\text{odd}}`$ is an ideal, hence non-solvable and of finite polydepth. Let $`L(s)`$ denote the sub Lie algebra generated by the first $`s`$ linearly independent elements $`x_1,\mathrm{},x_s`$ of odd degree. For $`s`$ sufficiently large, $`\text{polydepth}L(s)\text{polydepth}L`$ (Proposition 1) and $`\text{dim}L(s)_{\text{even}}>\text{polydepth}L`$ (obvious). Thus $`L(s)`$ cannot be solvable (Theorem 3). In other words, we may assume that either $`L=L_{\text{even}}`$ or else $`L`$ is generated by finitely many elements $`x_1,\mathrm{},x_s`$ of odd degree. In either case set $`E=L_{\text{even}}`$, and note that $`\text{dim}E`$ is infinite.

Define a sequence of elements $`z_i`$ and sub Lie algebras $`E(i)`$ by setting $`E(1)=E`$, $`z_i`$ is a non-zero element in $`E(i)`$ and $`E(i+1)E(i)`$ is the sub Lie algebra of elements on which ad$`z_i`$ acts nilpotently.

Since $`E`$ contains no infinite dimensional abelian Lie algebra some $`E(N+1)=0`$ and $`E(1)/E(2)\mathrm{}E(N)/E(N+1)`$ is a graded vector space isomorphic with $`E`$.

Put $`d=\text{deg}z_i`$ and $`d_i=d/\text{deg}z_i`$. Then $`(\text{ad}z_1)^{d_1}\mathrm{}(\text{ad}z_N)^{d_N}`$ is an injective transformation of $`E(1)/E(2)\mathrm{}E(N)/E(N+1)`$ of degree $`d`$. Since this space is isomorphic with $`E`$ it follows that

$$\underset{i=k+1}{\overset{k+d}{}}\text{dim}E_i\frac{d}{k+d}\underset{i=1}{\overset{k+d}{}}\text{dim}E_i,k1.$$
$`(6)`$
On the other hand, choose $`n`$ so that

$$\text{dim}E_n(r+3)\text{polydepth}L.$$

(This is possible because $`E`$ is infinite dimensional.) Set $`I=L_{>n}`$. Let $`M`$ be an $`L`$-module with $`\text{polydepth}L=\text{polygrade}M`$. As in the proof of Theorem 4.1 in , $`\text{Ext}_{UL/I}^p(\text{Tor}_q^{UI}(M,lk),UL/I)0`$ for $`p+q=\text{grade}M`$. Thus $`p,q`$ and $`\text{polybd}M`$ are all bounded above by $`\text{polydepth}L`$. Now Theorem 3.1 of  asserts that for some $`\alpha \text{Tor}_q^{UI}(M,lk)`$, $`UL/I\alpha `$ has polynomial growth at least equal to $`\text{dim}(L/I)_{\text{even}}p`$. This means that for some positive $`C`$,

$$\underset{ik}{}\text{dim}(UL/I\alpha )_iCk^{(\text{dim}(L/I)_{\text{even}})p},k\text{sufficiently large}.$$

Since $`\text{Tor}_{}^{UI}(M,lk)`$ is the homology of $`^{}sIM`$, it follows that

$$\underset{ik}{}\text{dim}\text{Tor}_q^{UI}(M,lk)_i(\underset{ik}{}\text{dim}L_i)^q\underset{ik}{}\text{dim}M_i.$$

But $`(L/I)_{\text{even}}E_n`$ and so a quick calculation gives

$$\underset{ik}{}\text{dim}L_iKk^{r+1},k\text{ sufficiently large}.$$
$`(7)`$
Finally, recall that either $`L=L_{\text{even}}`$ or else $`L`$ is generated by the elements of odd degree $`x_i`$. In the former case $`L=E`$ and the Proposition follows from (6) and (7). In the second case we have $`L_{\text{odd}}=[x_1,E]+\mathrm{}+[x_s,E]+lkx_1+\mathrm{}+lkx_s`$, and hence (7) yields

$$\underset{ik}{}E_i\frac{K}{s+1}k^{r+1}+s,k\text{ sufficiently large}.$$

Combined with (6) this formula gives the Proposition. $`\mathrm{}`$

Proof of Theorem 5: Since $`L`$ is not solvable we may choose $`n`$ so that $`\text{dim}(L_{\text{even}})_n>\text{polydepth}L`$ (Theorem 3), and so that the sub Lie algebra generated by $`L_n`$ satisfies $`\text{polydepth}E\text{polydepth}L`$ (Proposition 1). Then $`E`$ is not solvable (Proposition 3).

Let $`x_1,\mathrm{},x_s`$ generate $`E`$, and put $`d=\text{max deg}x_i`$. Letting $`UE`$ act via the adjoint representation on $`E`$ we have that

$$UE_{[0,q]}E_{[k+1,k+d]}E_{[k+1,k+q]}.$$

For any $`r1`$ choose $`q=q(r)`$ so that $`_{i=k+1}^{k+q}\text{dim}E_ik^{r+1}`$, $`k`$ sufficiently large (Proposition 5). Then

$$\underset{i=k+1}{\overset{k+d}{}}\text{dim}L_i\underset{i=k+1}{\overset{k+d}{}}\text{dim}E_i\frac{1}{\text{dim}UE_{[0,q]}}k^{r+1}k^r,k\text{ sufficiently large}.$$

Since $`d`$ is independent of $`r`$, the Theorem is proved. $`\mathrm{}`$

Institut de Mathématiques,

Université Catholique de Louvain

1348 Louvain-La-Neuve, Belgium

College of Computer, Mathematical and Physical Sciences

University of Maryland

College Park, MD 20742-3281, USA

Faculté des Sciences

Université d’Angers

Bd. Lavoisier, 49045 Angers, France