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# Every function is the representation function of an additive basis for the integers11footnote 12000 Mathematics Subject Classification: 11B13, 11B34, 11B05. Key words and phrases. Additive bases, sumsets, representation functions, density, Erdős-Turán conjecture, Sidon set.

## 1 Additive bases and the Erdős-Turán conjecture

Let $`𝐍,𝐍_0`$, and $`𝐙`$ denote the positive integers, nonnegative integers, and integers, respectively. Let $`A`$ be a set of integers. For every positive integer $`h`$, we define the sumset

$$hA=\{a_1+\mathrm{}+a_h:a_iA\text{ for all }i=1,\mathrm{},h\}.$$

We denote by $`r_{A,h}(n)`$ the number of representations of $`n`$ in the form $`n=a_1+a_2+\mathrm{}+a_h,`$ where $`a_1,a_2,\mathrm{},a_hA`$ and $`a_1a_2\mathrm{}a_h.`$ The function $`r_{A,h}`$ is called the representation function of order $`h`$ of the set $`A`$.

We denote the cardinality of the set $`A`$ by $`\mathrm{card}(A)`$. If $`A`$ is a finite set of integers, we denote the maximum element of $`A`$ by $`\mathrm{max}(A).`$ For any integer $`t`$ and set $`A𝐙`$, we define the translate

$$t+A=\{t+a:aA\}.$$

In this paper we consider additive bases for the set of all integers. The set $`A`$ of integers is called a basis of order $`h`$ for $`𝐙`$ if every integer can be represented as the sum of $`h`$ not necessarily distinct elements of $`A`$. The set $`A`$ of integers is called an asymptotic basis of order $`h`$ for $`𝐙`$ if every integer with at most a finite number of exceptions can be represented as the sum of $`h`$ not necessarily distinct elements of $`A`$. Equivalently, the set $`A`$ is an asymptotic basis of order $`h`$ if the representation function $`r_{A,h}:𝐙𝐍_0\{\mathrm{}\}`$ satisfies the condition

$$\mathrm{card}\left(r_{A,h}^1(0)\right)<\mathrm{}.$$

For any set $`X`$, let $`_0(X)`$ denote the set of all functions

$$f:X𝐍_0\{\mathrm{}\}$$

such that

$$\mathrm{card}\left(f^1(0)\right)<\mathrm{}.$$

We ask: Which functions in $`_0(𝐙)`$ are representation functions of asymptotic bases for the integers? This question has a remarkably simple and surprising answer. In the case $`h=1`$ we observe that $`f_0(𝐙)`$ is a representation function if and only if $`f(n)=1`$ for all integers $`nf^1(0).`$ For $`h2`$ we shall prove that every function in $`_0(𝐙)`$ is a representation function. Indeed, if $`f_0(𝐙)`$ and $`h2,`$ then there exist infinitely many sets $`A`$ such that $`f(n)=r_{A,h}(n)`$ for every $`n𝐙`$. Moreover, we shall prove that we can construct arbitrarily sparse asymptotic bases $`A`$ with this property. Nathanson  previously proved this theorem for $`h=2`$ and the function $`f(n)=1`$ for all $`n𝐙.`$

This result about asymptotic bases for the integers contrasts sharply with the case of the nonnegative integers. The set $`A`$ of nonnegative integers is called an asymptotic basis of order $`h`$ for $`𝐍_0`$ if every sufficiently large integer can be represented as the sum of $`h`$ not necessarily distinct elements of $`A`$. Very little is known about the class of representation functions of asymptotic bases for $`𝐍_0`$. However, if $`f_0(𝐍_0),`$ then Nathanson  proved that there exists at most one set $`A`$ such that $`r_{A,h}(n)=f(n).`$

Many of the results that have been proved about asymptotic bases for $`𝐍_0`$ are negative. For example, Dirac  showed that the representation function of an asymptotic basis of order 2 cannot be eventually constant. Erdős and Fuchs  proved that the average value of a representation function of order 2 cannot even be approximately constant, in the sense that, for every infinite set $`A`$ of nonnegative integers and every real number $`c>0`$,

$$\underset{nN}{}r_{A,2}(n)cN+o\left(N^{1/4}\mathrm{log}^{1/2}N\right).$$

Erdős and Turán  conjectured that if $`A`$ is an asymptotic basis of order $`h`$ for the nonnegative integers, then the representation function $`r_{A,h}(n)`$ must be unbounded, that is,

$$\underset{n\mathrm{}}{lim\; sup}r_{A,h}(n)=\mathrm{}.$$

This famous unsolved problem in additive number theory is only a special case of the general problem of classifying the representation functions of asymptotic bases of finite order for the nonnegative integers.

## 2 Two lemmas

We use the following notation. For sets $`A`$ and $`B`$ of integers and for any integer $`t`$, we define the sumset

$$A+B=\{a+b:aA,bB\},$$

the translation

$$A+t=\{a+t:aA\},$$

and the difference set

$$AB=\{ab:aA,bB\}.$$

For every nonnegative integer $`h`$ we define the $`h`$-fold sumset $`hA`$ by induction:

$`0A`$ $`=\{0\},`$
$`hA`$ $`=A+(h1)A=\{a_1+a_2+\mathrm{}+a_h:a_1,a_2,\mathrm{},a_hA\}.`$
The counting function for the set $`A`$ is

$$A(y,x)=\mathrm{card}\left(\{aA:yax\}\right).$$

In particular, $`A(x,x)`$ counts the number of integers $`aA`$ with $`|a|x.`$

Let $`[x]`$ denote the integer part of the real number $`x`$.

###### Lemma 1

Let $`f:𝐙𝐍_0\{\mathrm{}\}`$ be a function such that $`f^1(0)`$ is finite. Let $`\mathrm{\Delta }`$ denote the cardinality of the set $`f^1(0).`$ Then there exists a sequence $`U=\{u_k\}_{k=1}^{\mathrm{}}`$ of integers such that, for every $`n𝐙`$ and $`k𝐍`$,

$$f(n)=\mathrm{card}\left(\{k1:u_k=n\}\right)$$

and

$$|u_k|\left[\frac{k+\mathrm{\Delta }}{2}\right].$$

Proof. Every positive integer $`m`$ can be written uniquely in the form

$$m=s^2+s+1+r,$$

where $`s`$ is a nonnegative integer and $`|r|s.`$ We construct the sequence

$`V`$ $`=\{0,1,0,1,2,1,0,1,2,3,2,1,0,1,2,3,\mathrm{}\}`$
$`=\{v_m\}_{m=1}^{\mathrm{}},`$
where

$$v_{s^2+s+1+r}=r\text{for }|r|s.$$

For every nonnegative integer $`k`$, the first occurrence of $`k`$ in this sequence is $`v_{k^2+1}=k,`$ and the first occurrence of $`k`$ in this sequence is $`v_{(k+1)^2}=k.`$

The sequence $`U`$ will be the unique subsequence of $`V`$ constructed as follows. Let $`n𝐙.`$ If $`f(n)=\mathrm{},`$ then $`U`$ will contain the terms $`v_{s^2+s+1+n}`$ for every $`s|n|`$. If $`f(n)=\mathrm{}<\mathrm{},`$ then $`U`$ will contain the $`\mathrm{}`$ terms $`v_{s^2+s+1+n}`$ for $`s=|n|,|n|+1,\mathrm{},|n|+\mathrm{}1`$ in the subsequence $`U`$, but not the terms $`v_{s^2+s+1+n}`$ for $`s|n|+\mathrm{}.`$ Let $`m_1<m_2<m_3<\mathrm{}`$ be the strictly increasing sequence of positive integers such that $`\{v_{m_k}\}_{k=1}^{\mathrm{}}`$ is the resulting subsequence of $`V`$. Let $`U=\{u_k\}_{k=1}^{\mathrm{}}`$, where $`u_k=v_{m_k}.`$ Then

$$f(n)=\mathrm{card}\left(\{k1:u_k=n\}\right).$$

Let $`\mathrm{card}\left(f^1(0)\right)=\mathrm{\Delta }.`$ The sequence $`U`$ also has the following property: If $`|u_k|=n,`$ then for every integer $`mf^1(0)`$ with $`|m|<n`$ there is a positive integer $`j<k`$ with $`u_j=m`$. It follows that

$$\{0,1,1,2,2,\mathrm{},n1,(n1)\}f^1(0)\{u_1,u_2,\mathrm{},u_{k1}\},$$

and so

$$k12(n1)+1\mathrm{\Delta }.$$

This implies that

$$|u_k|=n\frac{k+\mathrm{\Delta }}{2}.$$

Since $`u_k`$ is an integer, we have

$$|u_k|\left[\frac{k+\mathrm{\Delta }}{2}\right].$$

This completes the proof. $`\mathrm{}`$

Lemma 1 is best possible in the sense that for every nonnegative integer $`\mathrm{\Delta }`$ there is a function $`f:𝐙𝐍_0\{\mathrm{}\}`$ with $`\mathrm{card}\left(f^1(0)\right)=\mathrm{\Delta }`$ and a sequence $`U=\{u_k\}_{k=1}^{\mathrm{}}`$ of integers such that

$$|u_k|=\left[\frac{k+\mathrm{\Delta }}{2}\right]\text{for all }k1.$$
(1)
For example, if $`\mathrm{\Delta }=2\delta +1`$ is odd, define the function $`f`$ by

$$f(n)=\{\begin{array}{cc}0\hfill & \text{if }|n|\delta \hfill \\ 1\hfill & \text{if }|n|\delta +1\hfill \end{array}$$

and the sequence $`U`$ by

$`u_{2i1}`$ $`=\delta +i,`$
$`u_{2i}`$ $`=(\delta +i)`$
for all $`i1.`$

If $`\mathrm{\Delta }=2\delta `$ is even, define $`f`$ by

$$f(n)=\{\begin{array}{cc}0\hfill & \text{if }\delta n\delta 1\hfill \\ 1\hfill & \text{if }n\delta \text{ or }n\delta 1\hfill \end{array}$$

and the sequence $`U`$ by $`u_1=\delta `$ and

$`u_{2i}`$ $`=\delta +i,`$
$`u_{2i+1}`$ $`=(\delta +i)`$
for all $`i1.`$ In both cases the sequence $`U`$ satisfies (1).

The set $`A`$ is called a Sidon set of order $`h`$ if $`r_{A,h}(n)=0\text{ or }1`$ for every integer $`n`$. If $`A`$ is a Sidon set of order $`h`$, then $`A`$ is a Sidon set of order $`j`$ for all $`j=1,2,\mathrm{},h.`$

###### Lemma 2

Let $`A`$ be a finite Sidon set of order $`h`$ and $`d=\mathrm{max}(\{|a|:aA\}).`$ If $`|c|>(2h1)d,`$ then $`A\{c\}`$ is also a Sidon set of order $`h`$.

Proof. Let $`nh\left(A\{c\}\right).`$ Suppose that

$$n=a_1+\mathrm{}+a_j+(hj)c=a_1^{}+\mathrm{}+a_{\mathrm{}}^{}+(h\mathrm{})c,$$

where

$$0j\mathrm{}h,$$

$$a_1,\mathrm{},a_j,a_1^{},\mathrm{},a_{\mathrm{}}^{}A,$$

and

$$a_1\mathrm{}a_j\text{and}a_1^{}\mathrm{}a_{\mathrm{}}^{}.$$

If $`j<\mathrm{},`$ then

$`|c|`$ $`|(\mathrm{}j)c|`$
$`=\left|a_1^{}+\mathrm{}+a_{\mathrm{}}^{}(a_1+\mathrm{}+a_j)\right|`$
$`(\mathrm{}+j)d`$
$`(2h1)d`$
$`<|c|,`$
which is absurd. Therefore, $`j=\mathrm{}`$ and $`a_1+\mathrm{}+a_j=a_1^{}+\mathrm{}+a_j^{}`$. Since $`A`$ is a Sidon set of order $`j`$, it follows that $`a_i=a_i^{}`$ for all $`i=1,\mathrm{},j.`$ Consequently, $`A\{c\}`$ is a Sidon set of order $`h`$. $`\mathrm{}`$

## 3 Construction of asymptotic bases

We can now construct asymptotic bases of order $`h`$ for the integers with arbitrary representation functions.

###### Theorem 1

Let $`f:𝐙𝐍_0\{\mathrm{}\}`$ be a function such that the set $`f^1(0)`$ is finite. Let $`\phi :𝐍_0𝐑`$ be a nonnegative function such that $`lim_x\mathrm{}\phi (x)=\mathrm{}.`$ For every $`h2`$ there exist infinitely many asymptotic bases $`A`$ of order $`h`$ for the integers such that

$$r_{A,h}(n)=f(n)\text{for all }n𝐙\text{,}$$

and

$$A(x,x)\phi (x)$$

for all $`x0`$.

Proof. By Lemma 1, there is a sequence $`U=\{u_k\}_{k=1}^{\mathrm{}}`$ of integers such that

$$f(n)=\mathrm{card}\left(\{k1:u_k=n\}\right)$$

for every integer $`n`$.

Let $`h2.`$ We shall construct an ascending sequence of finite sets $`A_1A_2A_3\mathrm{}`$ such that, for all positive integers $`k`$ and for all integers $`n,`$

1. $$r_{A_k,h}(n)f(n),$$
2. $$r_{A_k,h}(n)\mathrm{card}\left(\{i:1ik\text{ and }u_i=n\}\right),$$
3. $$\mathrm{card}(A_k)2k,$$
4. $`A_k`$ is a Sidon set of order $`h1`$.

Conditions (i) and (ii) imply that the infinite set

$$A=\underset{k=1}{\overset{\mathrm{}}{}}A_k$$

is an asymptotic basis of order $`h`$ for the integers such that $`r_{A,h}(n)=f(n)`$ for all $`n𝐙`$.

We construct the sets $`A_k`$ by induction. Since the set $`f^1(0)`$ is finite, there exists an integer $`d_0`$ such that $`f(n)1`$ for all integers $`n`$ with $`|n|d_0.`$ If $`u_10,`$ choose a positive integer $`c_1>2hd_0`$. If $`u_1<0,`$ choose a negative integer $`c_1<2hd_0`$. Then

$$|c_1|>2hd_0.$$

Let

$$A_1=\{c_1,(h1)c_1+u_1\}.$$

The sumset $`hA_1`$ is the finite arithmetic progression

$`hA_1`$ $`=\{hc_1+(hc_1+u_1)i:i=0,1,\mathrm{},h\}`$
$`=\{hc_1,u_1,hc_1+2u_1,2hc_1+3u_1,\mathrm{},(h1)hc_1+hu_1\}.`$
Then $`|n|hc_1>d_0`$ for all $`nhA_1\{u_1\},`$ and so

$$r_{A_1,h}(n)=1f(n)$$

for all $`nhA_1`$. It follows that $`r_{A_1,h}(n)f(n)`$ for all $`n𝐙`$. The set $`A_1`$ is a Sidon set of order $`h`$, hence also a Sidon set of order $`h1.`$ Thus, the set $`A_1`$ satisfies conditions (i)–(iv).

We assume that for some integer $`k2`$ we have constructed a set $`A_{k1}`$ satisfying conditions (i) – (iv). If

$$r_{A_{k1}}(n)\mathrm{card}\left(\{i:1ik\text{ and }u_i=n\}\right)$$

for all $`n𝐙,`$ then the set $`A_k=A_{k1}`$ satisfies conditions (i) – (iv). Otherwise,

$$r_{A_{k1}}(u_k)=\mathrm{card}\left(\{i:1ik\text{ and }u_i=u_k\}\right)1<f(u_k).$$

We shall construct a Sidon set $`A_k`$ of order $`h1`$ such that

$$\mathrm{card}(A_k)=\mathrm{card}(A_{k1})+2$$

and

$$r_{A_k,h}(n)=\{\begin{array}{cc}r_{A_{k1},h}(n)+1\hfill & \text{if }n=u_k\hfill \\ r_{A_{k1},h}(n)\hfill & \text{if }nhA_{k1}\{u_k\}\hfill \\ 1\hfill & \text{if }nhA_k\left(hA_{k1}\{u_k\}\right).\hfill \end{array}$$
(2)
Define the integer

$$d_{k1}=\mathrm{max}\left(\{|a|:aA_{k1}\{u_k\}\}\right).$$
(3)
Then

$$A_{k1}[d_{k1},d_{k1}].$$

If $`u_k0,`$ choose a positive integer $`c_k`$ such that $`c_k>2hd_{k1}.`$ If $`u_k<0,`$ choose a negative integer $`c_k`$ such that $`c_k<2hd_{k1}.`$ Then

$$|c_k|>2hd_{k1}.$$
(4)
Let

$$A_k=A_{k1}\{c_k,(h1)c_k+u_k\}.$$

Then

$$\mathrm{card}(A_k)=\mathrm{card}(A_{k1})+22k.$$

We shall assume that $`u_k0`$, hence $`c_k>0.`$ (The argument in the case $`u_k<0`$ is similar.) We decompose the sumset $`hA_k`$ as follows:

$$hA_k=\underset{\begin{array}{c}r+i+j=h\\ r,i,j0\end{array}}{}\left(r(h1)c_k+ru_kic_k+jA_{k1}\right)=\underset{r=0}{\overset{h}{}}B_r,$$

where

$$B_r=r(h1)c_k+ru_k+\underset{i=0}{\overset{hr}{}}\left(ic_k+(hri)A_{k1}\right).$$

If $`nB_r`$, then there exist integers $`i\{0,1,\mathrm{},hr\}`$ and $`y(hri)A_{k1}`$ such that

$$n=r(h1)c_k+ru_kic_k+y.$$

Since

$$|y|(hri)d_{k1},$$

it follows that

$$nr(h1)c_k+ru_kic_k(hri)d_{k1}$$
(5)
and

$$nr(h1)c_k+ru_kic_k+(hri)d_{k1}.$$

Let $`mB_{r1}`$ and $`nB_r`$ for some $`r\{1,\mathrm{},h\}.`$ There exist nonnegative integers $`ihr`$ and $`jhr+1`$ such that

$`nm`$ $`\left(r(h1)c_k+ru_kic_k(hri)d_{k1}\right)`$
$`\left((r1)(h1)c_k+(r1)u_kjc_k+(hr+1j)d_{k1}\right)`$
$`=(h1+ji)c_k+u_k(2h2rij+1)d_{k1}`$
$`(h1i)c_k2hd_{k1}.`$
If $`r2,`$ then $`ih2`$ and inequality (4) implies that

$$nmc_k2hd_{k1}>0.$$

Therefore, if $`mB_{r1}`$ and $`nB_r`$ for some $`r\{2,\mathrm{},h\},`$ then $`m<n`$.

In the case $`r=1`$ we have $`mB_0`$ and $`nB_1`$. If $`ih2`$, then (4) implies that

$$nm(h1i)c_k2hd_{k1}c_k2hd_{k1}>0$$

and (5) implies that

$$n(h1i)c_k+u_k(h1i)d_{k1}>c_khd_{k1}>d_0.$$

If $`r=1`$ and $`i=h1`$, then $`n=u_k`$. Therefore, if $`mB_0`$ and $`nB_1`$, then $`m<n`$ unless $`m=n=u_k.`$ It follows that the sets $`B_0,B_1\{u_k\},B_2,\mathrm{},B_h`$ are pairwise disjoint.

Let $`nB_r`$ for some $`r1`$. Suppose that $`0ijhr,`$ and that

$$n=r(h1)c_k+ru_kic_k+y\text{for some }y(hri)A_{k1}$$

and

$$n=r(h1)c_k+ru_kjc_k+z\text{for some }z(hrj)A_{k1}\text{.}$$

Subtracting these equations, we obtain

$$zy=(ji)c_k.$$

Recall that $`|a|d_{k1}`$ for all $`aA_{k1}.`$ If $`i<j,`$ then

$`c_k`$ $`(ji)c_k=zy`$
$`|y|+|z|(2h2rij)d_{k1}`$
$`<2hd_{k1}<c_k,`$
which is impossible. Therefore, $`i=j`$ and $`y=z`$. Since $`0hrih1`$ and $`A_{k1}`$ is a Sidon set of order $`h1`$, it follows that

$$r_{A_{k1},hri}(y)=1$$

and so

$$r_{A_k,h}(n)=1f(n)\text{for all }n\left(B_1\{u_k\}\right)\underset{r=2}{\overset{h}{}}B_r.$$

Next we consider the set

$$B_0=hA_{k1}\underset{i=1}{\overset{h}{}}\left(ic_k+(hi)A_{k1}\right).$$

For $`i=1,\mathrm{},h`$, we have

$$c_k>2hd_{k1}(2h2i+1)d_{k1}$$

and so

$`\mathrm{max}\left(ic_k+(hi)A_{k1}\right)`$ $`ic_k+(hi)d_{k1}`$
$`<(i1)c_k(hi+1)d_{k1}`$
$`\mathrm{min}\left((i1)c_k+(hi+1)A_{k1}\right).`$
Therefore, the sets $`ic_k+(hi)A_{k1}`$ are pairwise disjoint for $`i=0,1,\mathrm{},h.`$ In particular, if $`nB_0hA_{k1},`$ then

$$n\mathrm{max}\left(c_k+(h1)A_{k1}\right)c_k+(h1)d_{k1}<d_{k1}d_0$$

and $`f(n)1.`$ Since $`A_{k1}`$ is a Sidon set of order $`h1`$, it follows that

$$r_{A_k,h}(n)=1f(n)\text{for all }n\underset{i=1}{\overset{h}{}}\left(ic_k+(hi)A_k\right)=B_0hA_{k1}.$$

It follows from (3) that for any $`nB_0hA_{k1}`$ we have

$$n<d_{k1}u_k,$$

and so $`u_kB_0hA_{k1}.`$ Therefore,

$$r_{A_k,h}(u_k)=r_{A_{k1},h}(u_k)+1,$$

and the representation function $`r_{A_k,h}`$ satisfies the three requirements of (2).

We shall prove that

$$A_k=A_{k1}\{c_k,(h1)c_k+u_k\}.$$

is a Sidon set of order $`h1`$. Since $`A_{k1}`$ is a Sidon set of order $`h1`$ with $`d_{k1}\mathrm{max}\{|a|:aA_{k1}\}`$, and since

$$c_k>2hd_{k1}>(2(h1)1)d_{k1},$$

Lemma 2 implies that $`A_{k1}\{c_k\}`$ is a Sidon set of order $`h1`$.

Let $`n(h1)A_k.`$ Suppose that

$`n`$ $`=r(h1)c_k+ru_kic_k+x`$
$`=s(h1)c_k+su_kjc_k+y,`$
where

$$0rsh1,$$

$$0ih1r,$$

$$0jh1s,$$

$$x(h1ri)A_{k1},$$

and

$$y(h1sj)A_{k1}.$$

Then

$$|x|(h1ri)d_{k1}$$

and

$$|y|(h1sj)d_{k1}.$$

If $`r<s,`$ then $`jh2`$ and

$`(h1)c_k`$ $`(sr)(h1)c_k+(sr)u_k`$
$`=(ji)c_k+xy`$
$`(ji)c_k+(2h2rsij)d_{k1}`$
$`(h2)c_k+2hd_{k1}`$
$`<(h1)c_k,`$
which is absurd. Therefore, $`r=s`$ and

$$ic_k+x=jc_k+y(h1r)\left(A_k\{c_k\}\right).$$

Since $`A_k\{c_k\}`$ is a Sidon set of order $`h1`$, it follows that $`i=j`$ and that $`x`$ has a unique representation as the sum of $`h1ri`$ elements of $`A_k.`$ Thus, $`A_k`$ is a Sidon set of order $`h1`$.

The set $`A_k`$ satisfies conditions (i) – (iv). It follows by induction that there exists an infinite increasing sequence $`A_1A_2\mathrm{}`$ of finite sets with these properties, and that $`A=_{k=1}^{\mathrm{}}A_k`$ is an asymptotic basis of order $`h`$ with representation function $`r_{A,h}(n)=f(n)`$ for all $`n𝐙.`$

Let $`A_0=\mathrm{},`$ and let $`K`$ be the set of all positive integers $`k`$ such that $`A_kA_{k1}.`$ Then

$$A=_{kK}A_k=_{kK}\{c_k,(h1)c_k\}.$$

For $`kK,`$ the only constraints on the choice of the number $`c_k`$ in the construction of the set $`A_k`$ were the sign of $`c_k`$ and the growth condition

$$|c_k|>2hd_{k1}\text{for all integers }kK\text{.}$$

We shall prove that we can construct the asymptotic basis $`A`$ with counting function $`A(x,x)\phi (x)`$ for all $`x0.`$ Since $`\phi (x)\mathrm{}`$ as $`x\mathrm{}`$, for every integer $`k0`$ there exists an integer $`w_k`$ such that

$$\phi (x)2k\text{for all }xw_k.$$

We now impose the following additional constraint: Choose $`c_k`$ such that

$$|c_k|w_k\text{for all integers }kK\text{.}$$

Then

$$A_1(x,x)=0\phi (x)\text{for }0x<|c_1|$$

and

$$A_1(x,x)2\phi (x)\text{for }x|c_1|w_1.$$

Suppose that $`k2`$ and the set $`A_{k1}`$ satisfies $`A_{k1}(x,x)\phi (x)`$ for all $`x0.`$ Since

$$A_k(|c_k|,|c_k|)=A_{k1}(|c_k|,|c_k|),$$

it follows that

$$A_k(x,x)=A_{k1}(x,x)\phi (x)\text{for }0x<|c_k|$$

and

$$A_k(x,x)2k\phi (x)\text{for }x|c_k|w_k.$$

This proves by induction that $`A_k(x,x)\phi (x)`$ for all $`k`$ and $`x`$. Since $`lim_k\mathrm{}|c_k|=\mathrm{},`$ it follows that for any nonnegative integer $`x`$ we can choose $`c_k`$ so that $`|c_k|>x`$ and

$$A(x,x)=A_k(x,x)\phi (x).$$

For every integer $`kK`$ we had infinitely many choices for the integer $`c_k`$ to use in the construction of the set $`A_k,`$ and so there are infinitely many asymptotic bases $`A`$ with the property that $`r_A(n)=f(n)`$ for all $`n𝐙.`$ This completes the proof. $`\mathrm{}`$

## 4 Sums of pairwise distinct integers

Let $`A`$ be a set of integers and $`h`$ a positive integer. We define the sumset $`hA`$ as the set consisting of all sums of $`h`$ pairwise distinct elements of $`A`$, and the restricted representation function

$$\widehat{r}_{A,h}:𝐙𝐍_0\{\mathrm{}\}$$

by

$$\widehat{r}_{A,h}(n)=\mathrm{card}\left(\{\{a_1,\mathrm{},a_h\}A:a_1+\mathrm{}+a_h=n\text{ and }a_1<\mathrm{}<a_h\}\right).$$

The set $`A`$ of integers is called a restricted asymptotic basis of order $`h`$ if $`hA`$ contains all but finitely many integers, or, equivalently, if $`\widehat{r}_{A,h}^1(0)`$ is a finite subset of $`𝐙`$.

The following theorem can also be proved by the method used to prove Theorem 1.

###### Theorem 2

Let $`f:𝐙𝐍_0\{\mathrm{}\}`$ be a function such that $`f^1(0)`$ is a finite set of integers. Let $`\phi :𝐍_0𝐑`$ be a nonnegative function such that $`lim_x\mathrm{}\phi (x)=\mathrm{}.`$ For every $`h2`$ there exist infinitely many sets $`A`$ of integers such that

$$\widehat{r}_{A,h}(n)=f(n)\text{for all }n𝐙$$

and

$$A(x,x)\phi (x)$$

for all $`x0`$.

## 5 Open problems

Let $`X`$ be an abelian semigroup, written additively, and let $`A`$ be a subset of $`X`$. We define the $`h`$-fold sumset $`hA`$ as the set consisting of all sums of $`h`$ not necessarily distinct elements of $`A`$. The set $`A`$ is called an asymptotic basis of order $`h`$ for $`X`$  if the sumset $`hA`$ consists of all but at most finitely many elements of $`X`$. We also define the $`h`$-fold restricted sumset $`hA`$ as the set consisting of all sums of $`h`$ pairwise distinct elements of $`A`$. The set $`A`$ is called a restricted asymptotic basis of order $`h`$ for $`X`$  if the restricted sumset $`hA`$ consists of all but at most finitely many elements of $`X`$. The classical problems of additive number theory concern the semigroups $`𝐍_0`$ and $`𝐙`$.

There are four different representation functions that we can associate to every subset $`A`$ of $`X`$ and every positive integer $`h`$. Let $`(a_1,\mathrm{},a_h)`$ and $`(a_1^{},\mathrm{},a_h^{})`$ be $`h`$-tuples of elements of $`X`$. We call these $`h`$-tuples equivalent if there is a permutation $`\sigma `$ of the set $`\{1,\mathrm{},h\}`$ such that $`a_{\sigma (i)}^{}=a_i`$ for all $`i=1,\mathrm{},h.`$ For every $`xX,`$ let $`r_{A,h}(x)`$ denote the number of equivalence classes of $`h`$-tuples $`(a_1,\mathrm{},a_h)`$ of elements of $`A`$ such that $`a_1+\mathrm{}+a_h=x.`$ The function $`r_{A,h}`$ is called the unordered representation function of $`A`$. This is the function that we studied in this paper. The set $`A`$ is an asymptotic basis of order $`h`$ if $`r_{A,h}^1(0)`$ is a finite subset of $`X`$.

Let $`R_{A,h}(x)`$ denote the number of $`h`$-tuples $`(a_1,\mathrm{},a_h)`$ of elements of $`A`$ such that $`a_1+\mathrm{}+a_h=x.`$ The function $`R_{A,h}`$ is called the ordered representation function of $`A`$.

Let $`\widehat{r}_{A,h}(x)`$ denote the number of equivalence classes of $`h`$-tuples $`(a_1,\mathrm{},a_h)`$ of pairwise distinct elements of $`A`$ such that $`a_1+\mathrm{}+a_h=x`$, and let $`\widehat{R}_{A,h}(x)`$ denote the number of $`h`$-tuples $`(a_1,\mathrm{},a_h)`$ of pairwise distinct elements of $`A`$ such that $`a_1+\mathrm{}+a_h=x.`$ These functions are called the unordered restricted representation function of $`A`$ and the ordered restricted representation function of $`A`$, respectively. The two restricted representation functions are essentially identical, since $`\widehat{R}_{A,h}(x)=h!\widehat{r}_{A,h}(x)`$ for all $`xX.`$

In the discussion below, we use only the unordered representation function $`r_{A,h},`$ but each of the problems can be reformulated in terms of the other representation functions.

For every countable abelian semigroup $`X`$, let $`(X)`$ denote the set of all functions $`f:X𝐍_0\{\mathrm{}\}`$, and let $`_0(X)`$ denote the set of all functions $`f:X𝐍_0\{\mathrm{}\}`$ such that $`f^1(0)`$ is a finite subset of $`X`$. Let $`_c(X)`$ denote the set of all functions $`f:X𝐍_0\{\mathrm{}\}`$ such that $`f^1(0)`$ is a cofinite subset of $`X`$, that is, $`f(x)0`$ for only finitely many $`xX,`$ or, equivalently,

$$\mathrm{card}\left(f^1(𝐍\{\mathrm{}\})\right)<\mathrm{}.$$

Let $`(X,h)`$ denote the set of all $`h`$-fold representation functions of subsets $`A`$ of $`X`$. If $`r_{A,h}`$ is the representation function of an asymptotic basis $`A`$ of order $`h`$ for $`X`$, then $`r_{A,h}^1(0)`$ is a finite subset of $`X`$, and so $`r_{A,h}_0(X)`$. Let $`_0(X,h)`$ denote the set of all $`h`$-fold representation functions of asymptotic bases $`A`$ of order $`h`$ for $`X`$. Let $`_c(X,h)`$ denote the set of all $`h`$-fold representation functions of finite subsets of $`X`$. We have

$$(X,h)(X),$$

$$_0(X,h)_0(X),$$

and

$$_c(X,h)_c(X),$$

In the case $`h=1,`$ we have, for every set $`AX`$,

$$r_{A,1}(x)=\{\begin{array}{cc}1\hfill & \text{if }xA\text{,}\hfill \\ 0\hfill & \text{if }xA\text{,}\hfill \end{array}$$

and so

$$(X,1)=\{f:X\{0,1\}\},$$

$$_0(X,1)=\{f:X\{0,1\}:\mathrm{card}\left(f^1(0)\right)<\mathrm{}\},$$

and

$$_c(X,1)=\{f:X\{0,1\}:\mathrm{card}\left(f^1(𝐍\{\mathrm{}\})\right)<\mathrm{}\}.$$

In this paper we proved that

$$_0(𝐙,h)=_0(𝐙)\text{for all }h2.$$

Nathanson  has extended this result to certain countably infinite groups and semigroups. Let $`G`$ be any countably infinite abelian group such that $`\{2g:gG\}`$ is infinite. For the unordered restricted representation function $`\widehat{r}_{A,2},`$ we have

$$_0(G,2)=_0(G).$$

More generally, let $`S`$ is any countable abelian semigroup such that for every $`sS`$ there exist $`s^{},s^{\prime \prime }S`$ with $`s=s^{}+s^{\prime \prime }.`$ In the abelian semigroup $`X=SG,`$ we have

$$_0(X,2)=_0(X).$$

If $`\{12g:gG\}`$ is infinite, then $`_0(X,2)=_0(X)`$ for the unordered representation function $`r_{A,2}.`$

The following problems are open for all $`h2`$:

1. Determine $`_0(𝐍_0,h).`$ Equivalently, describe the representation functions of additive bases for the nonnegative integers. This is a major unsolved problem in additive number theory, of which the Erdős-Turán conjecture is only a special case.
2. Determine $`(𝐙,h).`$ In this paper we computed $`_0(𝐙,h),`$ the set of representation functions of additive bases for the integers, but it is not known under what conditions a function $`f:𝐙𝐍_0\{\mathrm{}\}`$ with $`f^1(0)`$ infinite is the representation function of a subset $`A`$ of $`X`$. It can be proved that if $`f^1(0)`$ is infinite but sufficiently sparse, then $`f(𝐙,h).`$
3. Determine $`(𝐍_0,h).`$ Is there a simple list of necessary and sufficient conditions for a function $`f:𝐍_0𝐍_0`$ to be the representation function of some set of nonnegative integers?
4. Determine $`_c(𝐙,h).`$ Describe the representation functions of finite sets of integers. If $`A`$ is a finite set of integers and $`t`$ is an integer, then for the translated set $`t+A`$ we have

$$r_{t+A,h}(n)=r_{A,h}(nht)$$

for all integers $`n`$. This implies that if $`f(n)_c(𝐙,h),`$ then $`f(nht)_c(𝐙,h)`$ for every integer $`b`$, so it suffices to consider only finite sets $`A`$ of nonnegative integers with $`0A,`$ and functions $`f_c(𝐍_0,h)`$ with $`f(0)=1.`$
5. Determine $`_0(G,2)`$, $`(G,2)`$, and $`_c(G,2)`$ for the infinite abelian group $`G=_{i=1}^{\mathrm{}}𝐙/2𝐙.`$ Note that $`\{2g:gG\}=\{0\}`$ for this group.
6. Determine $`_0(G,h)`$ and $`(G,h)`$, where $`G`$ is an arbitrary countably infinite abelian group and $`h2.`$
7. There is a class of problems of the following type. Do there exist integers $`h`$ and $`k`$ with $`2h<k`$ such that

$$(𝐙,h)(𝐙,k)\mathrm{?}$$

We can easily find sets of integers to show that that $`_0(𝐍_0,h)_0(𝐍_0,k).`$ For example, let $`A=𝐍`$ be the set of all positive integers, and let $`h1`$. Then $`r_{𝐍,h}(0)=0`$ and $`r_{𝐍,h}(h)=1.`$ If $`B`$ is any set of nonnegative integers and $`k>h`$, then either $`r_{B,k}(0)=1`$ or $`r_{B,k}(h)=0`$, and so $`r_{𝐍,h}_0(𝐍_0,k).`$ Is it true that

$$_0(𝐍_0,h)_0(𝐍_0,k)=\mathrm{}$$

for all $`hk`$?
8. By Theorem 1, for every $`h2`$ and every function $`f_0(𝐙)`$, there exist arbitrarily sparse sets $`A`$ of integers such that $`r_{A,h}(n)=f(n)`$ for all $`n.`$ It is an open problem to determine how dense the sets $`A`$ can be. For example, in the special case $`h=2`$ and $`f(n)=1,`$ Nathanson  proved that there exists a set $`A`$ such that $`r_{A,2}(n)=1`$ for all $`n,`$ and $`\mathrm{log}xA(x,x)\mathrm{log}x`$. For an arbitrary representation function $`f_0(𝐙)`$, Nathanson  constructed an asymptotic basis of order $`h`$ with $`A(x,x)x^{1/(2h1)}.`$ In the case $`h=2,`$ Cilleruelo and Nathanson  improved this to $`A(x,x)x^{\sqrt{2}1}`$.


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# Fermi surface and heavy masses for UPd2Al3

## Abstract

We calculate the Fermi surface and the anisotropic heavy masses of UPd2Al3 by keeping two of the 5$`f`$ electrons as localized. Good agreement with experiments is found. The theory contains essentially no adjustable parameter except for a small shift of the position of the Fermi energy of the order of a few meV. A discussion is given why localization of two $`f`$ electrons is justified.

There has been experimental evidence since a number of years that in UPd2Al3 the 5$`f`$ electrons have a dual character. The large observed magnetic moment of 0.85 $`\mu _B`$  suggests localization of the $`f`$ electrons. On the other hand, the large jump in the specific heat at the superconducting transition temperature Tc=2K implies a large Sommerfeld specific heat coefficient $`\gamma `$ and moderately heavy fermion behavior . This requires delocalized 5$`f`$ electrons. The dual character is also found in a number of other physical properties such as photoemission, inelastic neutron scattering and muon spin rotation . It is also observed in other metallic U compounds . Moreover, the assumption is supported by quantum-chemical calculations on U(C8H8)2  which exhibit a number of low-lying excitations caused by intra-atomic rearrangements of the 5$`f`$ electrons. There are speculations that similar 5$`f`$ excitations might even be responsible for the formation of Cooper pairs in superconductors . In that case the dual model should allow for a natural description of heavy-fermion superconductivity coexisting with magnetism produced by 5$`f`$ electrons.

We have previously applied the dual model in order to explain the mass enhancement of the quasiparticle excitations and the de Haas-van Alphen frequencies in UPt3, the model system of heavy-fermion behavior in U compounds . Our theory conjectured that the delocalized 5$`f`$ states hybridize with the conduction electron states and form energy bands while the localized ones form multiplets in order to reduce the local mutual Coulomb repulsions. The interaction of the two subsystems, i.e., the delocalized with the localized one leads to a mass enhancement of the former. The situation resembles that of Pr metal where a mass enhancement of the conduction electrons by a factor of 5 results from virtual crystal-field excitations of the localized 4$`f`$ electrons . The same mechanism leads to the heavy quasiparticles in the recently discovered heavy-fermion superconductor PrOs4Sb12 . The role of the incompletely filled 4$`f`$ shell is taken by an incompletely filled subshell of 5$`f`$ electrons when U ions are considered instead.

The coexistence of itinerant and localized 5$`f`$ states is referred to as partial localization. It plays an important role in many intermetallic actinide compounds. Partial localization arises from an interplay between the hybridization of the 5$`f`$ states with the environment and on-site Coulomb correlations. This is discussed below in more detail. The underlying microscopic origin is an area of active current research . The associated physical picture is therefore quite different from the one suggested in Ref. , where two disjunct subsystems in $`𝐤`$-space were postulated.

The dual model should be contrasted with density functional based calculations which use the local density approximation. These have been successful in explaining the measured de Haas-van Alphen frequencies of systems like UPd2Al3 or UPt3 , but they fail to explain the observed heavy quasiparticle masses. For UPt3 the observed masses are by a factor of 20 larger than the calculated ones and for UPd2Al3 the difference is roughly a factor of 4. When using the self-interaction corrected local spin-density approximation (SIC-LSDA)  a ground state is found with coexisting localized (f2) and delocalized 5$`f`$ electrons of U. But the calculated density of states is too small by a factor of approximately 10 to account for the observed linear specific heat.

While the calculated energy bands are too broad for explaining the effective masses, they are too small in order to fit the observed photoemission data of UPt3, UPd2Al3 or UBe13 . The latter shows a broad peak just below the Fermi energy EF and is quite different from the data of heavy quasiparticle systems which involve Ce3+ instead of U ions. Here a broad peak is found approximately 2eV below EF  while at the Fermi energy a small Kondo resonance is detected. We add that even for UPd3 which has localized 5$`f`$ electrons and does not show heavy-fermion behavior, the photoemission data resemble that of the previously mentioned U compounds, except that there is no $`f`$ weight at EF. This indicates that despite the afore mentioned successes the strong correlations in those materials are not properly treated by the presently used computational methods. Instead we find that a more microscopic understanding of heavy-fermion behavior is highly desirable.

The aim of the present investigation is to show that the de Haas-van Alphen frequencies for the heavy-quasiparticle portion of the Fermi surface and the large effective masses (including their anisotropies), can be explained very well by treating two of the 5$`f`$ electrons as being localized. We put the localized electrons into 5$`f`$ j=$`\frac{5}{2}`$ orbitals with j$`{}_{z}{}^{}=\pm \frac{5}{2}`$ and $`\pm \frac{1}{2}`$. The j$`{}_{z}{}^{}=\pm \frac{3}{2}`$ states are treated as itinerant electrons. The reason for this choice is explained below, but it is worth pointing out here that the j$`{}_{z}{}^{}=\pm \frac{3}{2}`$ states hybridize strongest among the different ones in a conventional LDA calculation.

The calculations of the heavy bands proceed in three steps. First, the bandstructure is determined by solving the Dirac equation for the self-consistent LDA potentials, thereby excluding the U 5$`f`$ states with j=$`\frac{5}{2}`$, j$`{}_{z}{}^{}=\pm \frac{5}{2}`$ and j$`{}_{z}{}^{}=\pm \frac{1}{2}`$ from forming bands. Two 5$`f`$ electrons in localized orbitals are accounted for in the self-consistent density and, concomitantly, in the potential seen by the conduction electrons. The intrinsic bandwidth of the itinerant U 5$`f`$ j=$`\frac{5}{2}`$, j$`{}_{z}{}^{}=\pm \frac{3}{2}`$ electrons is taken from the LDA calculation while the position of the corresponding band center C is chosen such that the density distribution of the conduction electrons remains the same as within the LDA. The $`f`$ electron count per U atom for the delocalized 5$`f`$ electrons amount to n$`{}_{\mathrm{f}}{}^{}\frac{2}{3}`$, i.e., the system is of a mixed valence type. The calculated de Haas-van Alphen frequencies are shown in Fig. 1 which also contains the experimental results.

One notices that the agreement for the heavy quasiparticle branches is very good. The frequencies referring to the light parts of the Fermi surface are less well reproduced, but that is of no surprise. One cannot expect that die LDA reproduces well the relative shifts of the centers of the light bands which strongly effect the shape of the corresponding parts of the Fermi surface. The Fermi surface of the heavy quasiparticles in the antiferromagnetic phase consists of three sheets two of which are displayed in Figure 2.

We assign the orbit $`\alpha `$ to the first sheet (K-centered ellipsoid) not shown in Fig. 2. The third sheet is the most important one and consists of a corrugated cylinder and a H-centered ellipsoid (see Fig. 2a) to which we assign the orbits $`\gamma `$ and $`\beta `$ and $`ϵ_2,ϵ_3`$, respectively. The branch $`\zeta `$ is assigned to the second sheet whose shape depends sensitively on the position of the Fermi energy (see Fig. 2b). For example a shift of the latter by 40 K changes that sheet from the one shown in Fig. 2b to that of Fig. 2c. But the corresponding changes in the effective mass remain small.

In the second step we calculate the multiplet structure of the localized $`f^2`$ states. This is done within the jj-coupling scheme, because the spin-orbit splitting is rather large. Thus a 6 x 6 Coulomb matrix has to be diagonalized for the two-particle states built from $`|j=\frac{5}{2},j_z=\pm \frac{5}{2}`$ and $`|j=\frac{5}{2},j_z=\pm \frac{1}{2}`$ for the $`f^2`$ subshell. The Coulomb matrix elements are calculated following Condon and Shortley. Inputs are the Slater-Condon parameters FK (Coulomb integrals) and GK (exchange integrals). The latter are evaluated with the radial function R$`{}_{f,\frac{5}{2}}{}^{}{}_{}{}^{U}`$(r) for U as obtained from a self-consistent bandstructure potential. Thereby the chosen energy is that of the center of gravity of the 5$`f`$ bands. The required integrations are done within the atomic sphere surrounding the U ion. We note that we use the same Coulomb matrix as for UPt3  where also two 5 $`f`$ electrons with $`j_z=\pm \frac{5}{2},\pm \frac{1}{2}`$ are considered. This is reasonable in view of the fact that in the nonrelativistic case the matrix elements agree up to two decimals with the ones computed in  for U(C8H8)2, indicating that they are insensitive to the chemical environment of U. The resulting eigenstates of the Coulomb matrix are no longer eigenstates of the total angular momentum J, but remain eigenstates of Jz.

We find a doubly degenerate ground state with Jz=$`\pm `$3. It must be an eigenstate to J=4 since the Pauli principle requires an even value of J and J=0,2 are excluded. The states $`|j=\frac{5}{2},j=\frac{5}{2},J=4,J_z=\pm 3`$ have an overlap of 0.865 with the state $`{}_{}{}^{3}H_{4}^{}`$. The latter follows from Hund’s rule when the LS coupling scheme is applied. The two-fold degeneracy of the ground state is lifted by the crystalline electric field (CEF) which is acting on the 5$`f`$ subshell with the localized electrons. From experiments a $`\mathrm{\Gamma }_4`$ ground state has been suggested  so that the ground- and first excited state are

$$\mathrm{\Gamma }_{3,4}=\frac{1}{\sqrt{2}}(J=4;J_z=3\pm J=4;J_z=3).$$
(1)
For the splitting energy $`\stackrel{~}{\delta }`$ between the two states a value of 20meV has been previously suggested  while a more recent value is 7meV . The latter value will be used in the following. We want to point out that the next higher doublet of the Coulomb matrix is one with J$`{}_{z}{}^{}=\pm `$2 with an excitation energy of approximately 0.4 eV. Therefore we may neglect all higher excited states and consider the two singlets $`|\mathrm{\Gamma }_4`$ and $`|\mathrm{\Gamma }_3`$ only.

In a third and final step we determine the effective masses which result from the interaction of the delocalized 5$`f`$ electrons with the localized one. The renormalization of the band mass mb is given by

$$\frac{m^{}}{m_b}=1\frac{\mathrm{\Sigma }}{\omega }|_{\omega =0}$$
(2)
where $`\mathrm{\Sigma }(\omega )`$ denotes the local selfenergy of the delocalized 5$`f`$ states. The latter is obtained by analytic continuation from the Matsubara frequencies $`ϵ_\mathrm{n}=\pi `$T(2n+1) at the temperature T where it is given by

$$\mathrm{\Sigma }(iϵ_n)=a^2M^2T\underset{n^{}}{}\chi (iϵ_niϵ_n^{})g(iϵ_n^{})$$
(3)
in terms of the local susceptibility

$$\chi (iϵ_niϵ_n^{})=tanh\frac{\stackrel{~}{\delta }}{2T}\frac{2\stackrel{~}{\delta }}{(iϵ_niϵ_n^{})^2\stackrel{~}{\delta }^2}$$
(4)
and the local propagator

$$g(iϵ_n)=𝑑E\frac{N(E)}{iϵ_nE\mathrm{\Sigma }(iϵ_n)}.$$
(5)
Here 2N(E) is the total density of states at the energy E as obtained from the bandstructure, when two 5$`f`$ electrons are kept localized. The prefactor $`a`$ denotes the 5$`f`$ weight per spin and U atom of the conduction electron states near EF. The matrix element M describes the transition between the localized states $`|\mathrm{\Gamma }_4`$ and $`|\mathrm{\Gamma }_3`$ due to the Coulomb interaction UCoul with the delocalized 5$`f`$ electrons. It is given by

$$M=f^1;\frac{5}{2},\frac{3}{2}|\mathrm{\Gamma }_4|U_{\mathrm{Coul}}|\mathrm{\Gamma }_3|f^1;\frac{5}{2},\frac{3}{2}$$
(6)
and is directly obtained from the expection values of the Coulomb interaction in the 5$`f^3`$ states. The difference $`f^1;\frac{5}{2},\frac{3}{2}|f^2;4,3|U_{\mathrm{Coul}}|f^2;4,3|f^1;\frac{5}{2},\frac{3}{2}f^1;\frac{5}{2},\frac{3}{2}|f^2;4,3|U_{\mathrm{Coul}}|f^2;4,3|f^1;\frac{5}{2},\frac{3}{2}`$

is -0.38eV. From this we obtain M=-0.19eV. When we want to write M in form of an exchange coupling between the delocalized and localized 5$`f`$ states we need to know the Landé factor g. We find geff=0.63 and with this value an exchange integral of size I$``$1eV. This is of the correct size for 5$`f`$ electrons.

In order to evaluate Eq. (2) we need to know N(E) and $`a`$. We extract the quantities from LDA calculations with two 5$`f`$ electrons being localized. For simplicity, we model N(E) by a Lorentzian. The actual value at the Fermi level N(0)=2.76 states /(eV cell spin) corresponds to the one found by . A value of a2=0.44 is obtained and the value $`\stackrel{~}{\delta }`$=7meV is used.

The selfconsistent calculation yields a mass enhancement of 9.6. The resulting calculated quasiparticle masses are in excellent agreement with experiment (see Table I).

What remains to be discussed is the justification for treating two of the 5$`f`$ electrons in orbitals $`j_z=\frac{5}{2}`$ and $`\frac{1}{2}`$ as localized. As pointed our before the hybridization of the $`j_z=\pm \frac{3}{2}`$ orbital with the neighboring atomic orbitals is larger than the one for the orbitals with $`j_z=\pm \frac{5}{2}`$ and $`\pm \frac{1}{2}`$. So why are we allowed the neglect the hybridization of the latter orbitals altogether? The answer is found when the effects of intraatomic correlations are taken into account, i.e., those resulting from the on-site Coulomb and exchange effects. For a demonstration a two-site model was treated in Ref.  with anisotropic hybridization between the two U sites. An intermediate valency of 2.5 was used for the two atoms. Let $`|\psi _0`$ denote the ground state of that system and $`t_\alpha `$ the hopping parameters for the different orbitals. It was found in Ref.  that whenever one hopping parameter $`t_\alpha `$ dominates the others, i.e., $`t_\alpha t_\alpha ^{},t_{\alpha ^{\prime \prime }}`$, the corresponding ground state expectation values is

$$T_\alpha ^{}=\frac{\psi _0t_\alpha ^{}c_\alpha ^{}^+(1)c_\alpha ^{}(2)\psi _0}{\psi _0\underset{\alpha }{}t_\alpha c_\alpha ^+(1)c_\alpha (2)\psi _0}\frac{t_\alpha ^{}}{\underset{\alpha }{}t_\alpha },$$
(7)
i.e., the effective hybridization anisotropies are strongly exhanced by intra-atomic interaction. The operators $`c_\alpha ^+(i)(c_\alpha (i))`$ create (destroy) an $`f`$ electron on site $`i`$ in orbital $`j_z=\alpha `$. The smaller hopping matrix elements are therefore suppressed.


text:
# 1 Abstract

## 1 Abstract

Most powerful jets are observed to emanate from accreting black hole systems. Recent quasi-stationary radiative MHD calculations reveal that jet-launching start in the innermost region of a transition layer (-TL), which is located between the disk and the corona. The plasma in the TL is dominated by virial-hot protons, advective, highly magnetic-diffusive and rotates super-Keplerian. The amplified toroidal magnetic field (TMF) in the TL reach values beyond equipartition with respect to the electron thermal energy, thereby considerably enhancing the Poynting energy flux and yielding gravitationally unbound electron-proton outflows with a positive Bernoulli number.

We speculate that beaming jets in GRBs may possess similar properties, provided that the GRB-progenitors have rotational energy sufficient for forming a nearly Keplerian and massive disk.

## 2 Introduction

Several observational signatures have been discovered in the last years suggesting that the central nucleus might be directly involved in the initiation and acceleration of the powerful jets observed in AGNs and BHXBs . In particular, Kerr black holes surrounded by magnetized accretion disks are considered to be central engines that power the observed superluminal jets (e.g., M87 and GRS 1915+105, see , ). Those spinning black holes accreting at extremely low rates are expected to power electron-positron jets, whilst electron-proton jets emerge from BHs accreting at higher accretion rates. In the case of accretion at super-Eddington rates, the associated energies is likely to be trapped in the accreted matter, and subsequently affect the mass-growth of the central engine directly. The later case is less studied, and therefore it is not clear what and how the back reaction of the BH would be.

On the other hand, recent observations reveals that GRBs might be located in star-forming regions, whilst their long time duration rises the possibility that they are violent ends of massive star evolution , . Recent hydrodynamical studies of star formation, however, reveal that the first stars in the universe must have been massive, slowly rotating and weakly magnetized see , . Such population of massive stars, the so called population III, are considered to be unstable, and they undergo dynamical collapse to form massive black holes , . Here the iron core of the massive star collapses to form a black hole surrounded by an accretion disk. Magnetic fields and neutrinos in this model are essential components for extracting rotational and gravitational energies to power relativistic jets along the polar axis .

In the present paper, we address the possibility that, prior to GRB-events, the configuration is similar to that of a BH surrounded by a massive disk, and accreting at extremely large super-Eddington rates.

## 3 The role of magnetic fields

In the outermost regions of a disk, we anticipate the magnetic fields to be below equipartition. Let $`r_{\mathrm{tr}}`$ be a transition radius (see Fig. 1), such that for $`r>r_{\mathrm{tr}}`$, we have the usual standard disk , where the ratio of magnetic to gas pressure $`\beta =P_{\mathrm{mag}}/P_{\mathrm{gas}}1`$. $`rr_{\mathrm{tr}}`$ is the region where magnetic fields (-MFs) are in equipartiation with thermal energy of the plasma, or even stronger. In the region $`r>r_{\mathrm{tr}}`$, the Balbus-Hawley instability  operates on the dynamical time scale: it rapidly amplifies the MF within this time scale and forces $`\beta `$ to approach, but remains below, unity . Thus, when the matter at the outer region has completed one revolution around the central BH, MFs should have reached equipartition almost everywhere in the disk. These strong MFs will eventually suppress the generation of turbulence, and so terminating angular momentum transport through any sort of friction.

As the rotational energy in classical Keplerian disks exceeds the thermal energy by at least two orders of magnitude, the generated magnetic energy via shear (mainly toroidal) can easily become beyond equipartition with respect to the internal energy.
How does accretion proceed under $`\beta =1`$ conditions?
In general, accretion via strongly magnetized disks proceeds if the MFs can extract angular momentum. The efficiency of extraction depends strongly on the MF-topology. For example, large scale or dipolar MF-topologies are considered to be appropriate for extracting rotational energy from the disk or even from the hole itself and powers the jets.

We may use the equations of mass and magnetic flux conservation to estimate the radial variation of the MFs in the vicinity of the BH. The equation of mass conservation in 1D reads:

$$\frac{\mathrm{\Sigma }}{t}+\frac{1}{r}\frac{}{r}r\mathrm{\Sigma }U=0,$$
(1)
where $`\mathrm{\Sigma }`$ is the surface density. In the steady state case, this is equivalent to:

$$r<\mathrm{\Sigma }U^{}>r<\mathrm{\Sigma }U^+>r<\mathrm{\Sigma }U^{}>=const.,$$
(2)
where the superscripts $`,+`$ resemble the mean value of the in- and out-flowing plasmas, respectively. The flux $`r<\mathrm{\Sigma }U^+>`$ can be safely neglected, as most observed jets are expected to carry a negligibly small fraction of the matter in the disk. In this case, the surface density $`\mathrm{\Sigma }`$ may adopt one of the following profiles:

$$\mathrm{\Sigma }\{\begin{array}{cc}r^{3/4}\hfill & \mathrm{standard}\mathrm{disks}\hfill \\ r^{2/3}\hfill & \mathrm{advective}\mathrm{disks}\hfill \\ r^{1/2}\hfill & \mathrm{ADAF}\mathrm{disks}\hfill \end{array}$$
(3)
11footnotetext:  These solutions correspond to disk-models in which $`UV_\mathrm{A}V_\mathrm{s}r^{1/3}`$ and $`\mathrm{\Omega }`$ is roughly Keplerian . $`V_\mathrm{s}`$ here is the sound speed.22footnotetext: See . In writing $`r^{1/2}`$ we have taken into account that the vertical length scale height scales linearly with radius

Taking into account the global conservation of the magnetic flux normal to the disk, i.e., $`\mathrm{\Phi }=2\pi r^2B_\mathrm{p}2\pi r^2B_\theta =const.`$, one can easily verify that:

$$B_\mathrm{p}\{\begin{array}{cc}\mathrm{\Sigma }^{8/3}\hfill & \mathrm{standard}\mathrm{disks}\hfill \\ \mathrm{\Sigma }^3\hfill & \mathrm{advective}\mathrm{disks}\hfill \\ \mathrm{\Sigma }^4\hfill & \mathrm{ADAF}\mathrm{disks}.\hfill \end{array}$$
(4)
Consequently, if the disk extends down to the last stable orbit, magnetic fields will increase rapidly inwards, diminishing turbulence-generation and making torsional $`\mathrm{Alfv}\stackrel{´}{\mathrm{e}}\mathrm{n}`$ waves as the unigue carrier of angular momentum in the vicinity of the BH.

Therefore, unless the imposed boundary conditions limit the amplification of TMF, there is no reason, why $`\beta `$ should remain smaller than unity.

Another conclusion which can be drawn from the strong dependence of $`B_\mathrm{p}`$ on $`\mathrm{\Sigma }`$, irrespective of the underlying model, is that the disk must truncate near the last stable orbit and become a TDAT-disk , otherwise a magnetic barrier will be formed that terminate accretion.

To clarify the action of magnetic braking, we write the conservation equation of angular momentum $`\mathrm{}(\rho r^2\mathrm{cos}\theta \mathrm{\Omega })`$ as follows:

$$\frac{\mathrm{}}{t}+\stackrel{\mathrm{T0}}{\stackrel{}{V\mathrm{}}}=\stackrel{\mathrm{T1}}{\stackrel{}{B_\mathrm{r}\frac{B_\mathrm{T}}{\mathrm{r}}}}+\stackrel{\mathrm{T2}}{\stackrel{}{B_\theta \frac{B_T}{\theta }}}+\stackrel{\mathrm{T3}}{\stackrel{}{\frac{1}{r^2}\frac{}{r}r^4\rho \nu \frac{\mathrm{\Omega }}{r}}}+\stackrel{\mathrm{T4}}{\stackrel{}{\frac{1}{\mathrm{cos}\theta }\frac{}{\theta }\mathrm{cos}\theta \rho \nu \frac{\mathrm{\Omega }}{\theta }}}.$$
(5)
T0 denotes angular momentum transport via advection, T1 and T2 are for magnetic extraction, and T3 and T4 are for viscous (microscopic or hydrodynamical turbulent) re-distribution of the angular momentum. In classical accretion disks, we have the equality T0=T3, whilst all other terms are neglected, traditionally. In general, the term T1 can be safely neglected in the equatorial near-plane if the MFs have a large or dipolar topology. Although it is more reasonable to consider T1 as the dominant term on the RHS of Eq. 5 than T3, non of the above terms will be neglected in the present study.

Combining Eq.5 with the equation corresponding to the time-evolution of the TMF, and assuming the flow to be nearly incompressible, we obtain the torsional wave equation which has the approximate form:

$$\frac{^2B_\mathrm{T}}{^2t}=V_\mathrm{A}^2\mathrm{\Delta }B_\mathrm{T}.$$
(6)
$`\mathrm{\Delta }`$ denotes the two-dimensional Poisson operator in spherical geometry, and $`V_\mathrm{A}`$ ($`B_\mathrm{p}/\sqrt{\rho }`$) is the $`\mathrm{Alfv}\stackrel{´}{\mathrm{e}}\mathrm{n}`$ speed. The action of these waves is to magnetically brake the disk through transporting angular momentum from the equatorial near-plane to higher latitudes. Note that $`B_\mathrm{p}`$ uniquely determines the speed of propagation, hence the dependence of the efficiency of angular momentum transport on the $`B_\mathrm{p}`$topology. For a nearly Keplerian-rotating medium, the removal time scale of angular momentum is:

$$\tau _{\mathrm{rem}}\rho V_\mathrm{T}H/B_\mathrm{P}B_\mathrm{T}r^{3/2}.$$
(7)
This implies, for example, that the rate at which angular momentum is removed at the last stable orbit ($`R_{\mathrm{LSO}}`$) is one thousand times faster than at $`r=100R_{\mathrm{LSO}}`$. To avoid the innermost region of the disk from running out of angular momentum, we require the disk to be dynamically stable. Equivalently, the rate at which angular momentum is removed at any radius must be equal to the rate at which it is advected inwards from the outer layers, i.e., $`\tau _{\mathrm{adv}}=\tau _{\mathrm{rem}}`$. This implies that the radial velocity $`U`$ in the disk is of the order of the Alfven speed, which is also of the order of the sound speed $`V_\mathrm{S}`$, hence the terminology advection-dominated disk.

## 4 Accelerating the magnetized plasma into jets

When an isolated Keplerian-rotating particle in the equatorial near-plane is shifted to higher latitudes while conserving its angular momentum, its rotation becomes super-Keplerian locally, and therefore it starts to move outwards. Moreover, noting that $`\tau _{\mathrm{rem}}`$ and $`H_{\mathrm{disk}}`$ decrease with decreasing radius, more particles in the innermost region of the disk are expected to be shifted to higher latitudes than in the outer regions, provided that $`\beta 1`$ and $`T_\mathrm{i}T_{\mathrm{virial}}`$. This is because particles prefer to move along MF-lines than across them. As a consequence, a transition layer between the disk and the hot tenuous corona starts to evolve, where the matter is enforced to rotate super-Keplerian, and start to accelerate outwards. This configuration places an important role for the central engine as a source for powering jets. Based on a previous calculations , it was found that that 1) the angular velocity in the transition layer (TL) adopts approximately the super-Keplerian profile $`\mathrm{\Omega }r^{5/4}`$. 2) Energy dissipation is injected primarily into the ions or protons that cool predominantly through fast outflows. 3) The amplification of the generated toroidal magnetic field is terminated by the magnetic diffusion (reconnection) and fast outflows. The width of the TL is pre-dominantly determined through the transverse variation of the ion-pressure across the jet, i.e., $`H_\mathrm{W}=P_\mathrm{i}/P_\mathrm{i}0.2r`$, and so strongly dependent on whether the flow is a one- or two-temperature plasma. In the steady-state case, this implies:

$$\rho r^{7/4},T_\mathrm{i}r^{1/2},U_\mathrm{r}r^{1/4},B_\mathrm{P}/B_\mathrm{T}\mathrm{const}.$$
(8)
We note that $`U_\mathrm{r}`$ adopts a profile and attains values similar to those in the innermost part of the disk. Provided that energy exchange between the matter in the disk and in the TL is efficient, the incoming matter can easily be re-directed into outwards-oriented motions. This implies that the Bernoulli number (Be) can change sign in dissipative flows. As Fig. 4 shows, Be is everywhere negative save the TL, where it attains large positive values, so that the ion-plasma can start its kpc-journey. We note that the outflow is sufficiently strong to shift the PMF lines outwards, whilst the large magnetic diffusivity prevents the formation of large electric currents along the equator. In the corona however, MFs are too weak to halt the diffusive plasma in the dynamically unstable corona against gravity, and instead, they drift with the infalling gas inwards. In the case of very weak MFs ($`\beta 0.1`$), our calculations indicate a considerably weak outflow. This is a consequence of the tendency of the MFs to establish a monopole like-topology, i.e, a one-dimensional MF-topology in which $`\mathrm{B}_\theta 0`$. In this case, the magnetic tension becomes inefficient in feeding the matter in the TL with the angular momentum required for launching jets, indicating herewith that cold accretion disks alone are in-appropriate for initiating winds (see ).

Comparing the flux of matter in the wind to that in the disk, it has been found that $`\dot{}_\mathrm{W}/\dot{}_\mathrm{d}=\mathrm{const}.1/20`$. The angular momentum flux associated with the wind is $`\dot{𝒥}_\mathrm{W}/\dot{𝒥}_\mathrm{d}=\mathrm{a}(\dot{}_\mathrm{W}/\dot{}_\mathrm{d})r^{1/4},`$ where $`\mathrm{a}`$ is a constant of order unity. Consequently, at 500 gravitational radii almost $`25\%`$ of the total accreted angular momentum in the disk re-appears in the wind.

To clarify why the TL is geometrically thin, we note that in stratified dissipative flows the density scale height is much smaller than the scale height of the angular velocity (see ). Since the flow in TL is highly dissipative and rotates super-Keplerian, the time scale for torsional Alfven waves to cross the layer vertically is longer than the dynamical time scale at which angular momentum is advected outwards.

On the other hand, unless there is a significant energy flux that heats up the plasma from below, as in the case of stars, heat conduction will always force the BH-coronae to collapse dynamically. To elaborate this point, let us compare the conduction time scale with the dynamical time scale along $`\mathrm{B}_\mathrm{P}`$-field at the last stable orbit of a SMBH:

$$\frac{\tau _{\mathrm{cond}}}{\tau _{\mathrm{dyn}}}=\frac{r\rho U_\mathrm{r}}{\kappa _0T_\mathrm{i}^{5/2}}=4.78\times 10^4\rho _{10}T_{\mathrm{i},10}^{5/2}_8,$$

where $`\rho _{10}`$, $`\mathrm{T}_{\mathrm{i},10}`$ and $`_8`$ are respectively in $`10^{10}\mathrm{g}\mathrm{cm}^3`$, $`10^{10}`$K and in $`10^8_{}`$ units. This is much less than unity for most reasonable values of density and temperature typical for AGN-environments. In writing Eq. 4 we have taken optimistically the upper limit $`c/\sqrt{3}`$ for the velocity, and set $`\kappa _0=3.2\times 10^8`$ for the ion-conduction coefficient. When modifying the conduction operator to respect causality, we obtain $`\tau _{\mathrm{cond}}/\tau _{\mathrm{dyn}}U_\mathrm{r}/c`$, which is again smaller than unity.
This agrees with our numerical calculations which rule out the possibility of outflows along the rotation axis, and in particular not from the highly unstable polar region of the BH, as ADAF-solutions predict.

## 5 Formation of electron-proton jets: summary

There are at least three ingredients that appears to be necessary for initiating jets from black hole accreting systems:

1. large scale equipartition magnetic fields that are capable of extracting angular momentum from the disk efficiently, and deposit it in the viscous TL on the dynamical time scale,
2. an underlying advection-dominated accretion disk for stably supplying the plasma in the TL with angular momentum,
3. strong shear that is capable of generating $`B_\mathrm{T}`$ beyond-equipartition with respect to the thermal energy of the electrons on the dynamical time scale. The runaway amplification of $`B_\mathrm{T}`$ is terminated then by rapid reconnection in the magnetic-diffusive TL, thereby heating the proton-plasma up to the virial temperature.

This scenario appears to apply at least for the jet in the elliptical galaxy M87 (see Biretta et al. 2002), where the central engine is believed to be a $`3\times 10^9_{}`$ supermassive black hole (Fig. 5). We note that since the flow in the TL is highly dissipative, we may expect the flow in the TL to be causally connected with the central nucleus. This coupling may further strengthen the role of the central BH in powering jet, therefore pronouncing possible observational differences between Kerr or Schwarzschild BHs..

## 6 Formating beaming jets in GRBs

Whether GRB-progenitors are dynamically unstable massive stars or mergers of black holes with low mass compact stars (e.g., white dwarfs or neutron stars), the end-product is, most likely, a BH surrounded by a massive accretion disk \[Shibata\], . Unlike in AGNs and BHXBs, the accretion here proceeds on the dynamical time scale and largely exceed the corresponding Eddington rates. Therefore, almost all the energies associated will be trapped in the accreted matter and disappear in the hole. The shear in the disk excite torsional $`\mathrm{Alfv}\stackrel{´}{\mathrm{e}}\mathrm{n}`$ waves that carry angular momentum to higher latitudes, and whose speed of propagation is $`V_\mathrm{A}=B_\mathrm{p}/\sqrt{\rho }`$ (see Eq. 6). The shear in the disk amplifies $`B_\mathrm{T}`$ in the first place, and subsequently $`B_\mathrm{p}`$ via the BH-instability. During the amplification time $`\tau _{\mathrm{ampl}.}`$ ($`=H_\mathrm{d}/V_\mathrm{A}`$), both $`B_\mathrm{p}`$ and $`B_\mathrm{T}`$ depend weakly on the density. This implies that

$$\tau _{\mathrm{rem}}\tau _{\mathrm{ampl}.}\rho \dot{}.$$
(9)
Consequently, the time scale for forming the TL where the jet-plasma rotate super-Keplerian, increases with increasing the accretion rate.
On the other hand, since the time scale of angular momentum removal near the last stable orbit is of the same order as the dynamical time scale, a non-negligible amount of angular momentum will find its way still into the transition layer, thereby forming a centrifugal barrier. The accumulated matter in this region, which becomes extremely dense and optically thick even to neutrino emission, heats up via adiabatic compression, shocks, and magnetic reconnection and forms a fermi torus in which the effective temperatures of the electrons, protons, photons and neutrinos are of the same order of the virial temperature333This applies also when the hole is a Kerr with maximum rotation., i.e.,

$$T_\mathrm{e}T_\mathrm{p}T_{\mathrm{rad}}T_\nu T_{\mathrm{virial}}.$$
(10)
The main cooling process here is though the loss of highly condensed matter that is being swallowed from below by the rapidly growing apparent horizon of the BH (see Fig. 6). In the case of a collapsar, the accretion rate prior to the burst might be as large as $`10^{14}\dot{}_{\mathrm{Eddington}}`$ .

Once the growth rate of the apparent horizon becomes comparable to, or longer than the centrifugal acceleration rate, the accumulated super-Keplerian fermi layer starts its runaway beamed explosion.

Discussion

Shibata: How did you treat the corona? If the coronal density is low enough, the coronal MHD wind/jet would result.

Hujeirat: Yes. The corona is hot, tenuous and without rotational support. I would like to stress here that obtaining coronal MHD wind, requires strong magnetic fields with an appropriate topology, and diffusive-free plasma. In our case, however, the plasma in TL is highly diffusive, inducing a rapid reconnection of the TMF, and heating thereby the plasma up to the virial temperature. It is because of the high magnetic diffusivity in the TL, torsional $`\mathrm{Alfv}\stackrel{´}{\mathrm{e}}\mathrm{n}`$ waves are not able to transfer angular momentum into the dynamically-unstable corona on the dynamical time scale.

Fendt: You said that you obtain a jet from your calculations. But they do not look like that as they only show an uncollimated wind flow along the disk surface. Please comment on that!

Hujeirat: Jets are not jet-born, and collimation is a process that occurs on later times and on different length scales. What interests us here is not the jet-propagation and collimation, but the physical mechamisms underlying their formion and acceleration. What I have shown in this talk is that in the very early phases, jet-plasmas are outwards-accelerated via centrifugal forces. The TL appears to be the region where optimal acceleration is reached: torsional Alfven waves need to propagate a small length scale in the vertical direction to deposit the angular momentum in the TL and accelerate the virial-hot protons outwards. This can be safely done on the dynamical time scale. Having the accelerated low-cooling protons crossed a critical radius, beyond which the magnetic diffusivity becomes negligibly small, the TMF will take care then to re-direct and collimate the flow into jets. It should be noted here that the ion-dominated and super-Keplerian rotating plasma in the TL has a large positive energy, hence gravitationally unbound and potentially could expand to infinity.


text:
# Charge Density Distributions in Doped Antiferromagnetic Insulators

## Abstract

We consider the form of the charge density nano-scale configurations in underdoped states of planar antiferromagnetic insulators in the framework of a soft variant of Faddeev-Niemi model. It is shown that there is such a level of doping and the temperature range, where charge density distributions in the form of closed quasi-one-dimensional structures are more preferable.

PACS: 74.25.-q, 74.80.-g, 71.10.Hf, 71.10.-w

Low-dimensional inhomogeneities in the distribution of charge  and spin  degrees of freedom at a moderate level of doping of planar antiferromagnetic insulators are the subject of active experimental and theoretical study nowadays. One of the reasons of increased attention to coherent quasi-one-dimensional charge structures is their existence in the state, which precedes the high-temperature superconducting phase. Keeping in mind this key property , for describing the mentioned phases we should choose such a model, which will contain them as limiting cases. In the framework of the mean field theory, the two-component Ginzburg-Landau model, defined on the complex projective space $`CP^1`$, satisfies the searched requirements. It was shown recently  that there is its exact mapping to the following extended variant of the $`𝐧`$-field model:

$`F={\displaystyle d^3x\left[\frac{1}{4}\rho ^2\left(_k𝐧\right)^2+\left(_k\rho \right)^2+\frac{1}{16}\rho ^2𝐜^2+\left(F_{ik}H_{ik}\right)^2+V(\rho ,n_3)\right]}.`$ (1)
The free energy in Eq.(1) is defined by the density $`\rho ^2`$, as well as by the unit vector $`𝐧`$ and the momentum $`𝐜=𝐉/\rho ^2=2(𝐣4𝐀)`$. They characterize the spatial distributions of spin degrees of freedom with current $`𝐉`$ or without it. The total current contains the paramagnetic part $`𝐣=i[\chi _1\chi _1^{}c.c.+(12)]`$ and the diamagnetic term $`4𝐀`$. The following notations were used in Eq.(3): $`F_{ik}=_ic_k_kc_i`$ and $`H_{ik}=𝐧[_i𝐧\times _k𝐧]_ia_k_ka_i`$. The vector $`a_i`$ has the sense of the gauge potential which parametrizes the strength of the internal magnetic field. Provided the electron spin and charge are transferred from one of the four sites of some plackets to the dopant reservoir, the terms with $`H_{ik}`$ in Eq. (1) characterize (in the infrared limit) the mean degree of non-collinearity $`<0|𝐒_1\left[𝐒_2\times 𝐒_3\right]|0>`$ in the orientation of three spins remaining in the sites of a quadratic lattice placket. Therewith the deficit of the charge density $`\rho _h^2`$ relates to the density $`\rho ^2`$, which describes the distributions of the exchange integral in (1), as $`\rho ^2+\rho _h^2=const`$. From the long-wavelength point of view the distribution of the spin density $`\rho ^2`$ in the limited region with the exponential law of decrease at its boundary (for example, at the distribution in the circle of the radius $`r_0`$ with the exponential decrease at the length $`Rr_0`$) will be accompanied by the quasi-one-dimensional distribution of the charge density $`\rho _h^2`$ along the boundary of this region, i.e. along the ring with thickness $`R`$ and radius $`r_0`$. It is seen from here that studying spatial configurations of the density field $`\rho ^2`$ in planar systems allows us to find the form of one-dimensional distributions of the electric charge density with the aid of the above-mentioned holographic projection.

The multipliers of the first term in the soft variant of the $`𝐧`$-field model (1) describe the distributions of conjugeted variables – the spin stiffness $`\rho ^2`$ and the square of the inverse length $`(_k𝐧)^2`$ of the density screening. It follows from this particular example already, that the competition of the order parameters $`\rho `$, $`𝐧`$ and $`𝐜`$ may be the origin of the existence of phase states with various ordering of strongly correlated charge and spin degrees of freedom. We enumerate the main limiting cases of model (1) in inhomogeneous ($`𝐧const`$) phase states as follows: (i) $`𝐜=0`$, $`\rho =const`$; (ii) $`𝐜=0`$, $`\rho const`$; (iii) $`𝐜0`$, $`\rho =const`$; (iv) $`𝐜0`$, $`\rho const`$. In the case of $`𝐧=const`$ and $`𝐜0`$, $`\rho const`$ the functional (1) is equivalent to the one-component Ginzburg-Landau model.

The model for studying inhomogeneous distributions of spin degrees of freedom in the form of knots for case (i) was proposed in paper . In this rigid phase $`F32\pi ^2|Q|^{3/4}`$ , where $`Q=1/(16\pi ^2)d^3x\epsilon _{ikl}a_i_ka_l`$ is Hopf invariant. The inhomogeneous superconducting state (iii) with finite momentum of pairs and universal character of correlations was recently considered in . In this phase the gain of the free energy $`F32\pi ^2|Q|^{3/4}(1|L|/|Q|)^2`$ depends on the index $`L=1/(16\pi ^2)d^3x\epsilon _{ikl}c_i_ka_l`$ of mutual linking degree of one-dimensional configurations, for which the fields $`𝐜`$ and $`𝐚`$ are defined.

The aim of this paper is to study the properties of states outside the superconducting phase from the second line (ii) of the list of limiting cases, to which the model (1) leads. In this soft version of the Faddeev-Niemi model  the functional (1) has the following form

$$F=d^3x\left[\frac{1}{4}\rho ^2\left(_k𝐧\right)^2+H_{ik}^2+\left(_k\rho \right)^2b\rho ^2+\frac{d}{2}\rho ^4\right].$$
(2)
The state with the broken antiferromagnetic order has a lower energy than the "soft" state in which we are interested now. The last one may be metastable . We will consider just such states and compare their contribution to the Ginzburg-Landau energy without studying the problems of their relaxation, the critical sizes of nuclei of different phases and etc., which are of separate interest.

It has been known for a long time (see, for example, ) that in such a phase state the distributions of the charge density $`\rho _h^2`$ have the form of stripes222We suppose that the stripe characteristic sizes are essentially greater than the lattice scale. In this case, the use of phenomenological approach of the Ginzburg-Landau mean field theory is justified.. It is seen from Eq.(2) that the loss in the free energy due to inhomogeneity may be reduced by developing inhomogeneous configurations of the field $`\rho `$ with one-dimensional distribution of the gradient $`_k\rho `$. From this point of view it is almost obvious that the quasi-one-dimensional field configurations $`\rho `$ in the form of rings give the smallest contribution to the energy. Whether these spin structures will be two-dimensional with sharp boundaries or one-dimensional and open, forming stripes, or closed almost one-dimensional structures in the form of rings, depends also on the parameters of the potential $`V(\rho ,n_3)`$. In the phase $`n_3=const`$ with neutral spin currents the answer will depend on the sign of the coefficient $`b`$ in the potential $`V(\rho ,n_3)`$. The positive constant $`b`$ corresponds to the phase with the broken antiferromagnetic order in (2). In this case the form of quasi-one-dimensional structures will depend on the result of the competition between the first and the fourth terms in Eq. (2) (see also ). We will show that in this phase, far from $`T_c`$ charge structures with the open ends are preferable, while in the case $`TT_c`$ we should prefer rings. The first experimental indication of the existence of charge structures in the form of rings in the underdoped phase of planar systems is in the recent paper . In a certain sense, the tunnel microscope in this experiment  collects data from a two-dimensional slice of knots .

Let us find the contribution to the free energy (2) from quasi-one-dimensional distributions of the density $`\rho ^2`$ in the form of a ring and a stripe and compare the results of the calculations with the experimental data. We choose the following trial functions for the configurations of the field $`\rho `$ in the form of a ring and a stripe:

$$\rho =\rho _0e^{(rr_0)^2/2R^2},$$
(3)
$$\rho =\rho _0exp\left[x^2/2L_x^2\right]\times \{\begin{array}{cc}1,& |y|L_y,\\ exp\left[(|y|L_y)^2/2L_x^2\right],& |y|>L_y.\end{array}$$
(4)
Here $`\rho _0=\sqrt{b/d}`$, $`r_0`$ is the ring radius, $`R`$ is its width, $`2L_y=2\pi r_0`$ is the stripe length, $`L_x=R`$ is its width. Since configurations (3) and (4) do not depend on the third coordinate, we shall assume that along this coordinate the size is limited by the length $`L_z`$, and also that $`R<r_0`$. The calculation of the energy (2) with the aid of (3) and (4) yields the following result for the contribution to the free energy from the spin degrees of freedom distributed over the ring $`F_r`$ and the stripe $`F_{xy}`$:

$$F_r=\pi \rho _0^2L_z\frac{\overline{r}_0}{R}\left(1+\frac{R^2}{\xi ^2}\right),$$
(5)
$$F_{xy}=\pi \rho _0^2L_z\frac{\overline{r}_0}{R}\left(1+\frac{R^2}{\xi ^2}+\frac{R}{\overline{r}_0}+\left(n_0\frac{3}{4}b\right)\frac{R^3}{\overline{r}_0}\right).$$
(6)
Here $`\overline{r}_0=\sqrt{\pi }r_0`$, $`1/\xi ^2=2\left[n_0(11/\sqrt{8})b\right]`$, $`n_0`$ is a certain characteristic value of the "multiplier" $`(_k𝐧)^2`$ in (2), which is of the order $`c_1R^2`$, whereas $`b=c_2R^2\delta T`$, where $`c_i1`$, $`\delta T=(T_cT)/T_c`$. In these equations we omitted the term $`H_{ik}^2`$ from Eq. (2) since we consider that it is the same for the both types of distributions.

At $`Rr_0`$ the optimal width of the charge structures $`R=\xi `$ and the difference of free energies $`\mathrm{\Delta }F=F_{xy}F_r`$ in units $`\pi \rho _0^2L_z`$ equals $`\mathrm{\Delta }F=1+c_1(3/4)c_2\delta T`$. It follows from this equation that in the case of $`4(1+c_1)/3c_2<1`$ in the temperature range $`\left[14(1+c_1)/3c_2\right]T_c<T<T_c`$, which is contigious with the critical temperature $`T_c`$ of the transition to the state of the spin pseudo-gap, the contribution to the free energy from the rings is smaller than from the stripes (see Fig. 1).

In the range of temperatures $`T<T_c\left[14(1+c_1)/3c_2\right]`$ the stripes are the main configurations. As is known, one may reach $`T_c`$, keeping the temperature constant, by increasing the level of doping. Under these experimental conditions studied in the recent paper , it was reported for the first time that ring-shaped charge structures in underdoped phase states were observed.

Let us make some remarks concerning the distribution of the spin density $`\rho ^2`$ in the disk, surrounded by the ring charge distribution. All result were obtained under the assumptiom that the spin disorder arose only in the region directly adjacent to the disk edge. Therefore, there was the antiferromagnetic phase inside it. If the antiferromagnetic order is broken everywhere in the disk, it is necessary to consider the corresponding distribution of the density $`\rho ^2`$ in the form of a disk with further comparison of its contribution with $`F_r`$. When considering the contribution of the density distributions $`\rho ^2`$ to the free energy in the form of a disk, we get a double gain due to the existence only one edge and have a loss due to the area. The calculation shows that at small $`R/r_0`$ the distributions in the form of rings appear to be more preferable.

Let us consider the dependence of the critical temperature $`T_c`$ on the level of doping. With this aim, we use the relation of $`F_r`$ to $`F_{xy}`$ in the following form:

$$\frac{F_r}{F_{xy}}=\frac{1}{1+BR/\overline{r_0}},$$
(7)
where

$$B=\frac{1}{2}\left[1+\frac{1}{2}\frac{n_03/4b}{n_01/\sqrt{8}b}\right]=\frac{3}{4}\frac{n_00.68b}{n_00.65b}.$$

One can see that configurations in the form of stripes are more preferable in the range $`0.65<n_0/b<\mathrm{\hspace{0.17em}0.68}`$ where $`F_{xy}<F_r`$. Normalizing the density $`\rho _0^2`$ to the particle number $`N`$ by the condition $`N=2\pi \rho _0^2\xi L_zr_0m`$, we get the relation between the parameters $`n_0`$ and $`b`$ in the form $`x=b/\sqrt{n_0\alpha b}`$. Here $`x=Nd/\sqrt{2}m\pi L_zr_0`$ and $`\alpha =0.65`$. Thus, for the bounds of the above-considered range where $`n_0b`$, we have $`T(x)=T_c(1Ax^2)`$ with a certain constant $`A`$. Therefore, inside the region belonging to the phase state with the broken antiferromagnetic order, there exists a narrower region, located between the parabolas $`T(x)`$, where the charge structures have the form of stripes.

The analysis of the inhomogeneous superconducting state $`F_{ik}0,\rho const`$ is an open problem at present. Since $`(_k\rho )^20`$, the additional contribution decreases the gain in the free energy  in the superconducting phase. The superconducting state from this point of view will be studied more thoroughly in a separate paper. Here we mention only that the superconducting current with the amplitude $`𝐜_0`$, flowing along the rings (3), yields the term of the order $`𝐜_0^2R^2`$ in the multiplier $`(1+R^2/\xi ^2)`$ of Eq. (5). This explains in particular why the superconducting region on the phase diagram "temperature - doping level" is shifted to the line $`\delta T(x)=0`$ of the transition to the state with the spin pseudo-gap. Indeed, in this case $`V_{eff}(\rho ,n_3)=b_{eff}\rho ^2+(d/2)\rho ^4`$ with $`b_{eff}=b(n_0+𝐜_0^2)=(const/R^2)\delta T`$. We see that the finite value of the momentum $`𝐜`$ of superconducting pairs decreases $`\delta T`$.

In conclusion, we have compared the contributions to the free energy from the charge density distributions with open and closed ends and found the regions of the existence of both types of configurations. The obtained results support the conjecture of the paper  and explains the results of the experiment described in .

We are grateful to S. Davis, L.D. Faddeev, S.M. Girvin, E.A. Kuznetsov, B. Lake, A.I. Larkin, A.G. Litvak, C. Renner, H. Takagi, V.A. Verbus, G.E. Volovik, Y.-S. Wu for advices and useful discussions. This paper was supported in part by the grant of the Russian Foundation for Basic Research No. 01-02-17225.