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# Improved limits on 𝜈̄_𝑒 emission from 𝜇⁺ decay

## I Introduction

In the Standard Model (SM), the main decay mode of positive muons is the decay into a positron and two neutrinos $`\mu ^+e^++\nu +\nu ^{}`$. Assuming conservation of the additive lepton family or flavor (LF) numbers $`L_e`$ and $`L_\mu `$, the neutrino flavors are fixed to be $`\nu =\nu _e`$ and $`\nu ^{}=\overline{\nu }_\mu `$. The neutrinos are massless with the $`\nu _e`$ being a left-handed neutrino, the $`\overline{\nu }_\mu `$ a right-handed anti-neutrino. The structure of the muon decay can be described by the V–A theory of weak interactions. Therefore $`\mu `$ decay as a purely leptonic process has been used to study with high precision the SM of weak interactions. The Lorentzian V–A structure of the $`\mu ^+`$ decay can be tested by measuring the massive leptons, i.e. the initial $`\mu ^+`$ and the final e+ fetscher  or by investigating the neutrino energy spectrum karmen\_om . However, to test conservation of the LF numbers $`L_e`$ and $`L_\mu `$ in $`\mu `$ decay it is essential to observe the final neutrino states langacker . All tests so far show no deviations from the SM.

However, the LF number violating decay mode $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`\nu _\mu `$ is allowed in many extensions of the SM, e.g. left–right (LR) symmetric models moh75 ; her92 ; her92b ; moh93 , GUT models with dileptonic gauge bosons fujii , extensions involving additional scalar multiplets Pakv02  or supersymmetric models with R parity violation halprin , together with the LF number violating decay $`\mu ^+`$ $``$ e+ \+ $`\gamma `$ carlos . Although the energy scale of LR symmetry of weak interactions or the appearance of supersymmetric particles is expected to be in the range of 0.1–1 TeV, precision measurements at intermediate energies can provide essential restraints on the parameters used in various models. Therefore, the detailed investigation of the $`\mu ^+`$ decay plays a major role in determining the structure of weak interactions and the precision of lepton number conservation.

On the other hand, there are clear evidences for neutrino oscillations from experiments on atmospheric, solar and reactor neutrinos Fogli02 . Since $`\nu `$ oscillations violate the conservation of the lepton family numbers, such results enhance the interest of searching for direct LF number violation. In addition, there is a positive $`\overline{\nu }_e`$ signal from the accelerator experiment LSND LSNDfinal  which could be explained a priori as an indication for $`\overline{\nu }_\mu `$$``$$`\overline{\nu }_e`$ oscillations of $`\overline{\nu }_\mu `$ from $`\mu ^+`$ $``$ e+ \+ $`\nu _e`$ \+ $`\overline{\nu }_\mu `$ or directly for the decay mode $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$. Due to limited statistics and energy resolution, this ambiguity is not resolved by the LSND experiment itself.

The spallation source ISIS at the Rutherford Laboratory, UK, is a unique source of $`\mu ^+`$ to study such decays. The KArlsruhe Rutherford Medium Energy Neutrino experiment investigated the neutrinos produced at ISIS through the decays of $`\pi ^+`$ and $`\mu ^+`$ at rest. One purpose of the KARMEN experiment was the investigation of $`\nu `$–nucleus interactions on 12C karmen\_nc2 . The good agreement of the measurements with theoretical predictions allowed a sensitive search for processes forbidden in the SM such as $`\nu `$–oscillations, $`\nu _\mu `$$``$$`\nu _e`$ and $`\overline{\nu }_\mu `$$``$$`\overline{\nu }_e`$ in the appearance mode karmen\_final  and $`\nu _e`$$``$$`\nu _x`$ in the disappearance mode karmen\_dis  or non–SM decay modes of $`\pi ^+`$ and $`\mu ^+`$.

In this letter we report the results of the search for $`\overline{\nu }_e`$ from $`\mu ^+`$ decay at rest (DAR). Note that $`\overline{\nu }_e`$ from non SM interactions can be produced by either $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$ in the ISIS target or by oscillations $`\overline{\nu }_\mu `$$``$$`\overline{\nu }_e`$ of $`\overline{\nu }_\mu `$ on their way to the detector with $`\overline{\nu }_\mu `$ being produced at ISIS in SM $`\mu ^+`$ decays. While the $`\overline{\nu }_e`$ energy spectrum is fixed in the DAR $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$ with a spatial flux according to a $`r^2`$ dependence, the energy and spatial distributions of $`\overline{\nu }_e`$ from oscillations strongly depend on the oscillation parameters, i.e. the mass difference $`\mathrm{\Delta }m_{ij}^2=|m_i^2m_j^2|`$. With its excellent energy resolution of $`\sigma _E/E=11\%/\sqrt{E[\mathrm{MeV}]}`$, the KARMEN detector is able to separate different scenarios for potential $`\overline{\nu }_e`$ occurrence. Although the search for oscillations $`\overline{\nu }_\mu `$$``$$`\overline{\nu }_e`$ and for the decay $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$ use the same detection reaction p ( $`\overline{\nu }_e`$ , e+ ) n  for $`\overline{\nu }_e`$, the different physics and consequently the different e+ spectral distributions result in two separate analyses.

## II $`\overline{\nu }_e`$ from LF violating $`\mu ^+`$ decays

In the SM, applying the V–A theory, the energy spectra of massless neutrinos from $`\mu ^+`$ decay $`\mu ^+`$ $``$ e+ \+ $`\nu _e`$ \+ $`\overline{\nu }_\mu `$ can be calculated neglecting radiative corrections as mich

$$\mathrm{N}(ϵ)\mathrm{d}ϵϵ^2[\mathrm{\hspace{0.17em}3}(1ϵ)+\frac{2}{3}\rho (4ϵ3)]\mathrm{d}ϵ$$
(1)
with the relative energy $`ϵ=\mathrm{E}_\nu /\mathrm{E}_{\mathrm{max}}`$, $`\mathrm{E}_{\mathrm{max}}=52.83`$ MeV for the decay at rest, and the Michel parameter $`\rho =0(0.75)`$ for $`\nu _e`$($`\overline{\nu }_\mu `$), respectively.

Looking for physics beyond the SM, $`\overline{\nu }_e`$’s from $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$ in general have non-zero mass and contributions of left- or right-handed chirality eigenstates. As only the $`\overline{\nu }_e`$ in the decay $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$ is identified in the experiment, the second emitted (anti)neutrino $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$ is not determined. Since our experimental result sets upper limits on $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$, these limits also apply for the specific case $`{}_{}{}^{(}\overline{\nu }_{}^{)}=\nu _\mu `$, which is the dominant one for certain model assumptions her98.

Taking the actual direct mass limits for $`\overline{\nu }_e`$, $`m(\overline{\nu }_e)<2.2`$ eV Mainz  (and hence for $`\nu _\mu `$ and $`\nu _\tau `$ masses through the mixing manifested in the experiments on neutrino oscillations), the $`\nu `$ masses are very small compared to the mass of the charged leptons or the energy scale of the neutrinos from $`\mu ^+`$ decays at rest. Assuming Majorana type neutrinos, the $`\nu _e`$ of left-handed chirality emitted in the SM decay $`\mu ^+`$ $``$ e+ \+ $`\nu _e`$ \+ $`\overline{\nu }_\mu `$ could be detected via the reaction p ( $`\overline{\nu }_e`$ , e+ ) n  since there is no distinction between $`\nu _e`$ and $`\overline{\nu }_e`$ . However, the detection of $`\overline{\nu }_e`$’s emitted in muon decays with left-handed helicity would be strongly helicity–suppressed ($`1\beta o(10^{14})`$ for a neutrino of 10 MeV energy and a rest mass of 2 eV/c2) since only right-handed anti-neutrinos are absorbed via p ( $`\overline{\nu }_e`$ , e+ ) n . In the case of Dirac type neutrinos, the above argument applies for left-handed chirality states of the $`\overline{\nu }_e`$ emitted. Therefore, KARMEN as any detector up to date is sensitive only to right-handed $`\overline{\nu }_e`$’s.

With the rest masses much smaller than the energy of all neutrinos emitted in $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$, an analytical description of the neutrino spectra similar to the one in equ. (1) can be applied, with the spectral parameter $`\stackrel{~}{\rho }`$ to be specified, replacing the SM Michel parameter $`\rho `$. In some SM extensions with $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`\nu _\mu `$, the $`\overline{\nu }_e`$ and $`\nu _\mu `$ take the places of the SM $`\overline{\nu }_\mu `$ and $`\nu _e`$, respectively, with $`\stackrel{~}{\rho }(\overline{\nu }_e)=0.75`$ her92 . In others, $`\stackrel{~}{\rho }=0`$ for the emitted $`\overline{\nu }_e`$ Pakv02 . In our analysis, we therefore investigate the $`\overline{\nu }_e`$ emission for a variety of $`\stackrel{~}{\rho }`$ parameters.

## III Experimental Configuration and Data evaluation

The experiment was performed at the neutrino source of the ISIS synchrotron which accelerates protons to an energy of 800 MeV before striking a massive beam stop target. On average, $`4.5910^2`$ $`\pi ^+`$ per incident proton are produced which are stopped within the target and decay at rest. Neutrinos emerge isotropically from the consecutive decays at rest (DAR) $`\pi ^+`$$``$ $`\mu ^+`$\+ $`\nu _\mu `$ and $`\mu ^+`$ $``$ e+ \+ $`\nu _e`$ \+ $`\overline{\nu }_\mu `$ bob  assuming the $`\nu `$–flavors of the SM decay channels. Neutrinos from $`\mu ^+`$ DAR have a continuous energy spectrum according to equ. (1). Due to the narrow time structure of 525 ns of the proton pulses muons are produced in a short time window compared to their lifetime of 2.2 $`\mu `$s.

The neutrinos are detected in a 56 t scintillation calorimeter karmen\_det  at a mean distance of 17.6 m from the ISIS target. The calorimeter is a mineral oil based scintillator segmented into 512 independent modules. Gadolinium within the module walls allows effective neutron detection via Gd ( n,$`\gamma `$ ) in addition to the capture on the hydrogen of the scintillator via p ( n,$`\gamma `$ ). The scintillation detector provides an almost pure target of 12C and 1H for $`\nu `$-interactions. Three veto layers ensure a search for LF violating $`\mu ^+`$ decays almost free of cosmic background.

$`\overline{\nu }_e`$’s from $`\mu ^+`$ decay can be detected via the $`(\text{e}\text{+},n)`$ sequence from charged current reactions p ( $`\overline{\nu }_e`$ , e+ ) n  and 12C ( $`\overline{\nu }_e`$ , e+ n ) 11B. Hence, the signature is a prompt e+ and a delayed, spatially correlated $`\gamma `$ signal from the capture of the thermalized neutron by p ( n,$`\gamma `$ ) with $`E_\gamma =2.2`$ MeV or Gd ( n,$`\gamma `$ ) with $`E_\gamma =8`$ MeV. The flux averaged (taking equ. (1) with $`\rho =0.75`$) cross section of p ( $`\overline{\nu }_e`$ , e+ ) n  is $`\sigma =93.510^{42}`$ cm2 beacom . The 12C ( $`\overline{\nu }_e`$ , e+ n ) 11B contribution to $`(\text{e}\text{+},n)`$ sequences has a cross section of $`\sigma =8.5210^{42}`$ cm2 kolbe  which is further reduced relative to p ( $`\overline{\nu }_e`$ , e+ ) n  by the abundance ratio H/C=1.767 within the scintillator.

A positron candidate is accepted only if there is no activity in the central detector or in the veto system up to 24 $`\mu `$s beforehand. The prompt event is searched for in an interval of 0.6 $`\mu `$s to 10.6 $`\mu `$s after beam-on-target. The time structure of the prompt e+ event relative to the proton pulses has to follow the $`\mu ^+`$ decay time constant of 2.2 $`\mu `$s. The expected visible e+ energy has been simulated in detail based on $`\overline{\nu }_e`$ spectra with different values of the parameter $`\stackrel{~}{\rho }`$ including both detection reactions p ( $`\overline{\nu }_e`$ , e+ ) n  and 12C ( $`\overline{\nu }_e`$ , e+ n ) 11B. As a result, the prompt energy is required to be within 16 MeV $``$ E(prompt) $``$ 50 MeV (see Fig. 1).

The time difference between the e+ and the capture $`\gamma `$ is given by the thermalization and capture of neutrons and can be approximated by an exponential with a time constant of $`\tau _n120`$$`\mu `$s. Therefore, the delayed event has to appear within 1.3 m3 around the prompt event position, correlated in time (5 $`\mu `$s $`\mathrm{\Delta }t300`$$`\mu `$s) with a visible energy E(delayed)$`8`$ MeV. For further details of the data reduction of sequential event signatures and of the neutron detection in KARMEN see also karmen\_final .

The raw data investigated in this search were recorded in the measuring period of February 1997 to March 2001 and represent the entire KARMEN 2 data set which corresponds to 9425 C protons on target with $`2.710^{21}`$ $`\mu ^+`$ decays in the ISIS target. Applying all evaluation cuts, 15 candidate sequences remain with prompt energies as shown in Figure 1. The expected background amounts to $`15.8\pm 0.5`$ events. This number comprises 3.9$`\pm `$0.2 events from cosmic induced sequences as well as $`\nu `$ induced reactions such as intrinsic source contamination of $`\overline{\nu }_e`$ (2.0$`\pm `$0.2), $`\nu _e`$ induced random coincidences (4.8$`\pm `$0.3) and (e-,e+) sequences from 12C ( $`\nu _e`$ , e- ) 12Ng.s. with subsequent 12N decay (5.1$`\pm `$0.2). Except for the intrinsic $`\overline{\nu }_e`$ contamination, which has been deduced from detailed MC simulations, all the background components have been measured in different time and energy regimes with the KARMEN detector and extrapolated into the evaluation cuts applied for this $`\overline{\nu }_e`$ search.

## IV Results and Discussion

The expected number of $`\overline{\nu }_e`$ induced events from $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$ is determined by the detection efficiencies of the prompt positron and the delayed neutron. The overall detection efficiency for positrons is given in Table 1 for a set of different spectral parameters $`\stackrel{~}{\rho }`$ including the contribution from 12C ( $`\overline{\nu }_e`$ , e+ n ) 11B, which effectively amounts to less than 5% of the p ( $`\overline{\nu }_e`$ , e+ ) n  signal in the energy interval of 16–50 MeV.

Based on the Poisson statistics of the numbers of candidate events and expected background, one can extract an energy-independent upper limit for an additional signal pdg2002  of N($`\overline{\nu }_e`$)$`<7.4`$ excess events. However, there is additional spectral information, as can be seen from Figure 1. To use this, we applied a maximum likelihood analysis varying the strength of a $`\overline{\nu }_e`$ signal with the energy distribution according to a set of different $`\stackrel{~}{\rho }`$ parameters. Table 1 shows the signal strength N($`\overline{\nu }_e`$)bestfit from the likelihood method. To extract 90% C.L. intervals for N($`\overline{\nu }_e`$), we performed large samples of MC simulations reproducing experiment-like spectra under different signal hypotheses. Our experimental result is consistent with no $`\overline{\nu }_e`$ emission from $`\mu ^+`$ decay with upper limits given in Table 1, extracted within a unified frequentist analysis near the physical boundary N($`\overline{\nu }_e`$)=0 following feldcous .

With a potential signal strength of N($`\overline{\nu }_e`$)$`=5828\pm 538`$ for a branching ratio $`BR=1`$ for LF number violating decays and $`\stackrel{~}{\rho }(\overline{\nu }_e)=0.75`$, we set an upper limit of the branching ratio of

$`BR`$ $`=`$ $`{\displaystyle \frac{\mathrm{\Gamma }(\mu ^+\text{ }\text{ }\text{e}\text{+}\text{ + }\overline{\nu }_e\text{ + }{}_{}{}^{(}\overline{\nu }_{}^{)};\stackrel{~}{\rho }(\overline{\nu }_e)=0.75)}{\mathrm{\Gamma }(\mu ^+\text{ }\text{ }\text{e}\text{+}\text{ + }\nu _e\text{ + }\overline{\nu }_\mu )}}<910^4`$
with 90% C.L. as well as the upper limits given in Table 1 for other values of $`\stackrel{~}{\rho }(\overline{\nu }_e)`$. Figure 1 shows the visible e+ energies from $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$ for two different $`\stackrel{~}{\rho }`$ parameters with total strength excluded at 90% C.L..

The above limits on the branching ratio $`BR`$ on $`\mu ^+`$ decays emitting $`\overline{\nu }_e`$ improve by more than an order of magnitude the most sensitive limit so far of $`BR(\mu ^+\text{ }\text{ }\text{e}\text{+}\text{ + }\overline{\nu }_e\text{ + }\nu _\mu )<0.012`$ obtained by the E645 experiment at LAMPF pdg2002 ; E645 .

In models extending the SM, the LF violating muon decay $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`\nu _\mu `$ is often related to other LF violating processes, e.g. $`\mu 3e`$, $`\tau \mu ee`$ or muonium–antimuonium ($`M\overline{M}`$) conversion. Therefore, limits such as the limit on the probability for spontaneous conversion $`P(M\overline{M})<8.210^{11}`$ (90% C.L.) will  set also stringent limits on the coupling constants responsible for the decay $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`\nu _\mu `$ her98; Berg .

The most conservative upper limit of $`BR<1.710^3`$ for any parameter $`\stackrel{~}{\rho }`$ derived here is in direct experimental disagreement with the possibility that the beam excess of $`\overline{\nu }_e`$ seen in the LSND experiment with a branching ratio or probability of $`P=(2.64\pm 0.67\pm 0.45)10^3`$ LSNDfinal  is due to $`\mu ^+`$ decays with $`\overline{\nu }_e`$ emission. In the LSND maximum likelihood analysis of the data, the best fit to the data is found to be an oscillation contribution with the parameters $`\mathrm{\Delta }m^2=1.2`$ eV2 and $`\mathrm{sin}^2(2\mathrm{\Theta })=0.003`$ LSNDfinal . In this analysis, oscillation events arise from p ( $`\overline{\nu }_e`$ , e+ ) n  with $`\overline{\nu }_e`$ via $`\overline{\nu }_\mu `$$``$$`\overline{\nu }_e`$ from $`\mu ^+`$ DAR as well as from 12C ( $`\nu _e`$ , e- ) 12N with $`\nu _e`$ via $`\nu _\mu `$$``$$`\nu _e`$ from $`\pi ^+`$ decays in flight (DIF). For large $`\mathrm{\Delta }m^2`$, about 30 % of the oscillation signal is due to $`\nu _\mu `$$``$$`\nu _e`$ from DIF, leading to a complex superposition of energy distributions for the prompt events distorted by two different $`L/E`$ combinations, with $`L`$ being the distance source–detector and $`E`$ the neutrino energy.

To be able to compare our result quantitatively with the LSND evidence, we follow the detailed statistical analysis of the LSND data described in Joint . In this analysis, a special cut had been applied to select $`\overline{\nu }_e`$ via $`\overline{\nu }_\mu `$$``$$`\overline{\nu }_e`$ from $`\mu ^+`$ DAR only with almost no oscillation events from $`\nu _\mu `$$``$$`\nu _e`$ from $`\pi ^+`$ DIF. For large differences of the squared mass eigenvalues $`\mathrm{\Delta }m^2=100`$ eV2, the extracted interval of the mixing amplitude from the parameter region of 90% C.L. was $`3.810^3<\mathrm{sin}^2(2\mathrm{\Theta })<8.010^3`$, with the best fit at $`\mathrm{sin}^2(2\mathrm{\Theta })=5.810^3`$ corresponding to 65.8(1.3) $`\overline{\nu }_e`$($`\nu _e`$) from $`\overline{\nu }_\mu `$$``$$`\overline{\nu }_e`$($`\nu _\mu `$$``$$`\nu _e`$), respectively. For such large values of $`\mathrm{\Delta }m^2`$, the energy spectrum of $`\overline{\nu }_e`$ is in good approximation the one given in equ. (1) with $`\stackrel{~}{\rho }=0.75`$ 111For a quantitative comparison of the results for other values of $`\stackrel{~}{\rho }`$, one would need a specific re-analysis of the LSND data.. Assuming 100 % decay probability with a spectral parameter $`\stackrel{~}{\rho }=0.75`$, one would expect 22692 $`\overline{\nu }_e`$ events seen in the LSND detector. Taking the $`65.8`$ $`\overline{\nu }_e`$ events deduced by the maximum likelihood analysis as emitted in the decay $`\mu ^+`$ $``$ e+ \+ $`\overline{\nu }_e`$ \+ $`{}_{}{}^{(}\overline{\nu }_{}^{)}`$ , we extract a branching ratio of $`BR_{\mathrm{LSND}}(\stackrel{~}{\rho }=0.75)=2.910^3`$ with an approximated 90% C.L. interval of $`1.910^3<BR_{\mathrm{LSND}}<4.010^3`$. Our derived 90% C.L. limit of $`BR<0.910^3`$ clearly excludes the LSND interval of same confidence and underlines the incompatibility of the two experimental results interpretated in terms of LF violating $`\mu ^+`$ decays.

###### Acknowledgements.

We acknowledge financial support from the German Bundesministerium für Bildung und Forschung, the Particle Physics and Astronomy Research Council and the Council for the Central Laboratory of the Research Councils. We thank the Rutherford Appleton Laboratory and the ISIS neutron facility for their hospitality.


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# Dynamics of a single vortex line in a condensate

## 1 Introduction

The rotation of a macroscopic quantum object is a source of spectacular behaviors. A fascinating phenomenon is the nucleation of vortices under rotation. In superfluid liquid helium contained in a cylindrical bucket rotating around its axis $`z`$, one observes the nucleation of quantized vortices for a sufficiently large rotation frequency $`\mathrm{\Omega }`$ . A similar phenomenon occurs in Bose-Einstein condensates confined in a rotating harmonic trap . These quantized vortices in superfluids are analogous to the quantized flux lines in superconductors . Among the remaining problems, is the shape of a vortex/flux line and the study of its time evolution. The observation of inclined flux lines in superconductors was only possible due to recent advances in electron microscopy . In gaseous condensates, one has comparably easy access to the vortex line because the density of the atom cloud is low. A few disordered vortex lines have been observed by taking tomographic images perpendicular to the long axis of a cigar shaped condensate . An array of more than 30 vortex lines in a pancake shaped condensate has been observed by transverse imaging of the whole atom cloud .

In this article we report the full length observation of a single vortex line in a cigar shaped condensate. We find that as a result of spontaneous symmetry breaking the line is generally bent . Our experimental results confirm recent predictions, in which the shape of the vortex line minimizing the energy of the gas was derived for a given rotation frequency .

We also present measurements of the angular momentum of the rotating condensate, based upon surface wave spectroscopy. We develop the theoretical framework to account for the excitation of the quadrupole surface modes of the condensate. We then relate the measured angular momentum of the gas to the bending of the vortex line and its deviation from the center.

## 2 Preparation of a single vortex

### 2.1 Experimental setup

Our 87Rb condensate is formed by radio-frequency (rf) evaporation of $`10^9`$ magnetically trapped atoms in the $`F=m_F=2`$ state. The longitudinal and transverse frequencies of the trap are respectively $`\omega _z/2\pi =11.8`$ Hz and $`(\omega _x+\omega _y)/4\pi =\omega _{}/2\pi 100`$ Hz (the $`x`$ axis is vertical). Because gravity slightly displaces the center of the trap with respect to the magnetic field minimum, the potential in the $`xy`$ plane is not perfectly isotropic and we measure a 1% relative difference between $`\omega _x`$ and $`\omega _y`$.

The condensation threshold is reached at $`T_\mathrm{c}300`$ nK, with $`N_\mathrm{c}2\times 10^6`$ atoms. We cool to typically $`T90`$ nK which corresponds to a condensate with $`N_05\times 10^5`$ atoms and a chemical potential $`\mu 70`$ nK. It is obtained using $`\nu _\mathrm{f}=\nu _0+10`$ kHz as the final rf, where $`\nu _0`$ is the frequency at which the trap is emptied. During the rest of the experimental cycle, we maintain the evaporation rf at an adjustable level, typically $`\nu =\nu _0+12`$ kHz, to control the temperature.

### 2.2 Vortex nucleation

Once the condensate is formed, we use an off-resonant laser beam to impose on the trapping potential an elliptic anisotropy in the $`xy`$ plane . The wavelength of the beam is 852 nm, its power 0.1 mW and its waist $`20\mu `$m. Acousto-optic modulators deflect the position of the beam in the $`xy`$ plane, thereby rotating the potential anisotropy at a frequency of $`\mathrm{\Omega }/2\pi =70`$ Hz. The potential created by the stirrer can be written :

$$U(𝐫)=\frac{ϵ}{2}M\omega _{}^2\left(X^2Y^2\right),$$
(1)
where the axes $`X,Y`$ are deduced from the fixed $`x,y`$ axes by a rotation by an angle $`\mathrm{\Omega }t`$. $`M`$ is the atomic mass and the coefficient $`ϵ`$ measures the relative strength of the stirring and the magnetic potential. We use typically $`ϵ4\%`$.

We apply this “laser stirrer” for 300 ms, during which $``$ 7 vortices are nucleated . The condensate then evolves freely in the magnetic trap for an adjustable time $`\tau `$. The atom distribution at $`\tau `$ is probed destructively by switching off the magnetic trap, letting the cloud expand during $`t_{\mathrm{TOF}}=25`$ ms and performing absorption imaging.

The preparation of a single vortex line takes advantage of the slight static anisotropy of our magnetic trap, so that the angular momentum is not exactly a constant of motion. In a time $`\tau 1`$$`2`$ s, we observe a transition from a multi-vortex condensate to a condensate with a single vortex (see Fig. 1). This relatively long time levels the fluctuations that may occur during the nucleation process. Thereby we are able to reproduce a condensate with a single vortex on every experimental cycle. This vortex line can then be studied for a time $`\tau 10`$ s.

In order to obtain an image of the full vortex line, we send two imaging beams aligned along the $`y`$ and $`z`$ directions, which probe the atom cloud simultaneously (Fig. 2a). The beams are combined onto a camera with the same magnification. During the expansion, the transverse dimensions $`x`$ and $`y`$ of the condensate are magnified by $`\omega _{}t_{\mathrm{TOF}}15`$, while the longitudinal dimension is nearly unchanged . It has been shown theoretically that the presence of a single vortex line does not alter this expansion and that the coordinates of the line are scaled by the same factors .

The transverse images in Fig. 2b,c respectively obtained for $`\tau =7.5`$ s and $`\tau =5`$ s show the vortex line as a line of lower atomic density. Clearly this vortex line is not straight. It rather has the shape of a wide “U” or an unfolded “N”. The fraction of N vs. U shaped vortices depends on temperature. Mostly U’s are observed at the lowest temperature ($`T=75`$ nK), while $``$ half of the vortices are N-shaped for $`T100`$ nK. Fig. 2d has been obtained with a 7-vortex lattice (one vortex at the center and the six other ones at the summits of an hexagon, such as in Fig. 1c). We have selected an image for which the lattice planes are parallel with the transverse imaging beam. The dark trace passing through the center of the condensate is the sum of 3 vortex lines. At the top and bottom, 2 lines lie on top of each other.

### 2.3 Evolution of a single vortex

In order to give a quantitative analysis of the time evolution of a condensate with a single vortex, we measure the distance along the $`z`$ direction between the two points where the vortex line leaves the condensate (Fig. 3a). Note that the ends of the vortex line in the transverse image are nearly always well visible with good contrast ($`30\%`$), even if the contrast of the line at the center of the condensate is poor (below $`20\%`$). Therefore this measurement can be performed on most images. Normalization by the length of the condensate along $`z`$ leads to the quantity $`d_z`$.

In Fig. 3b, we plot $`d_z`$ as a function of $`\tau `$. Each point in the plot corresponds to a single image. The normalized length of the vortex line $`d_z`$ decreases quasi-linearly with time. The graph shows that after $`\tau =7`$ s the vortex is still present (in 7 s the number of atoms is divided by a factor 2.5). This long lifetime is reminiscent of the MIT result , where a vortex array with more than 100 vortices was produced at $`\tau =0`$. The number of vortices was divided by $`4`$ in $`5`$ s; however a single vortex could still be detected after $`\tau =40`$ s. In both experiments, it is clear that the decay time of the last vortex is much longer than the one of the initial array.

We have repeated this experiment for different temperatures $`T`$ during the free evolution time $`\tau `$. Fig. 3c displays the measured slopes as a function of temperature. We observe a quasi-linear decrease of $`d_z`$ for all temperatures. Our results can be compared to the one reported in , where the decay rate of an array of $`\mathrm{\hspace{0.17em}100}`$ vortices as a function of temperature was measured. In , a 60% increase in temperature leads to an increase by a factor 17 in the decay rate. This variation is more dramatic than ours, indicating different decay mechanisms for a single vortex and for a large vortex array. In the latter case, the friction between the vortices and the thermal cloud makes the two components of the system stick together . In the case of a single vortex, the most probable scenario is that the rotation of the thermal component rapidly stops due the residual static trap anisotropy . The vortex line is then dragged to the edge of the condensate due to the friction between the two components .

## 3 Angular momentum of a condensate with a single vortex

An important parameter for the characterization of a rotating condensate is the average angular momentum per particle $`L_z`$. This quantity is related to the transverse quadrupole frequencies of the condensate $`\omega _\pm `$ by the formula :

$$L_z=\frac{1}{2}Mr_{}^2\left(\omega _+\omega _{}\right),$$
(2)
where $`r_{}^2`$ stands for the average value of $`x^2+y^2`$ for the condensate. The physical basis of (2) is clear. In absence of angular momentum along the $`z`$ axis, the system is rotationally invariant and the two transverse quadrupole modes $`m=+2`$ and $`m=2`$ have the same frequencies $`\omega _+=\omega _{}`$ (and also the same damping rates $`\gamma _+=\gamma _{}`$). In presence of a vortex the symmetry between the modes $`m=\pm 2`$ is broken and (2) relates the corresponding lift of degeneracy $`\omega _+\omega _{}`$ to $`L_z`$.

The result (2) was established in  for a rotating condensate with an arbitrary number of vortices in the Thomas Fermi limit. For a condensate with a well centered vortex it had been obtained in . In this section we discuss the measurement of $`\omega _\pm `$ based on a percussional excitation of the condensate and we present the relation between the results of our measurements of $`L_z`$ and the shape of the vortex line.

### 3.1 Measurement of $`\omega _\pm `$ from the precession of the condensate axes

We first prepare the condensate with a single vortex as described above. We then excite it by applying the laser potential with fixed axes ($`X,Y=x,y`$ in Eq. (1)) for a short duration $`t_0=0.5`$ ms $`\omega _{}^1`$. Thereby, the wave function $`\psi _0`$ of the condensate is transformed into

$$\psi (𝐫)=\psi _0(𝐫)+\delta \psi (𝐫)\text{with}\delta \psi (𝐫)=\frac{it_0}{2\mathrm{}}ϵM\omega _{}^2(x^2y^2).$$
(3)
This excites a superposition of $`m=+2`$ and $`m=2`$ modes with equal amplitudes. More precisely, $`\delta \psi `$ can be written in terms of the usual $`u_\pm `$ and $`v_\pm `$ functions characterizing the quadrupole modes $`m=\pm 2`$ in a Bogoliubov analysis (see e.g. ) :

$$\delta \psi (𝐫)=iϵ^{}\left(u_+(𝐫)+v_+^{}(𝐫)\right)+iϵ^{}\left(u_{}(𝐫)+v_{}^{}(𝐫)\right),$$
(4)
where $`ϵ^{}`$ is a dimensionless coefficient proportional to the strength $`ϵ`$ and to the duration $`t_0`$ of the excitation.

We then let the cloud evolve freely in the magnetic trap for a variable time $`t`$. The condensate wave function becomes:

$`\psi (𝐫,t)=e^{i\mu t/\mathrm{}}\{\psi _0(𝐫)`$ $`+`$ $`iϵ^{}e^{\gamma _+t}\left(e^{i\omega _+t}u_+(𝐫)+e^{i\omega _+t}v_+^{}(𝐫)\right)`$ (5)
$`+`$ $`iϵ^{}e^{\gamma _{}t}(e^{i\omega _{}t}u_{}(𝐫)+e^{i\omega _{}t}v_{}^{}(𝐫))\},`$
where $`\mu `$ is the chemical potential of the condensate. In (5) we added a phenomenological damping term for each mode. We then perform the time of flight analysis and measure the size $`R_\mathrm{l}`$ and the polar angle $`\theta `$ of the long axis, the size $`R_\mathrm{s}`$ of the short axis, and calculate the cloud ellipticity $`\zeta =R_\mathrm{l}/R_\mathrm{s}`$. After some manipulation, we find that the predicted values for these quantities can be written in the following form:

$$\mathrm{cos}2\theta =\frac{F(t)}{\sqrt{F^2(t)+G^2(t)}}\mathrm{sin}2\theta =\frac{G(t)}{\sqrt{F^2(t)+G^2(t)}}$$
(6)
and

$$\zeta 1\sqrt{F^2(t)+G^2(t)},$$
(7)
where the functions $`F`$ and $`G`$ are defined by

$`F(t)`$ $`=`$ $`e^{\gamma _{}t}\mathrm{sin}(\omega _{}t)+e^{\gamma _+t}\mathrm{sin}(\omega _+t),`$ (8)
$`G(t)`$ $`=`$ $`e^{\gamma _{}t}\mathrm{cos}(\omega _{}t)e^{\gamma _+t}\mathrm{cos}(\omega _+t).`$ (9)
### 3.2 Various time domains for the condensate precession

We now discuss the behavior of the precessing condensate expected from Eqs. (6-7), assuming that the damping rates $`\gamma _\pm `$ of the quadrupole modes are much smaller than the frequencies $`\omega _\pm `$.

#### 3.2.1 Short time behavior.

For times short compared to $`\gamma _\pm ^1`$, the exponential decay of the functions $`F`$ and $`G`$ can be neglected and we obtain simply:

$`\theta ={\displaystyle \frac{\left(\omega _+\omega _{}\right)t}{4}}\text{modulo }{\displaystyle \frac{\pi }{2}},`$ (10)
$`\zeta 1\left|\mathrm{sin}\left((\omega _++\omega _{})t/2\right)\right|.`$ (11)
In this case, the lift of degeneracy $`\omega _+\omega _{}`$ is simply obtained from the measurement of the precession angle $`\theta `$. The oscillation of the ellipticity is a function of the average frequency $`(\omega _++\omega _{})/2`$.

We note that combining (2) and (10), we obtain the result

$$\theta =\frac{L_zt}{2Mr_{}^2}.$$
(12)
For very short times (i.e. $`\omega _\pm t1`$) this result is actually quite general, as we show below. It applies to any fluid confined in a harmonic potential with binary interactions, provided the fluid is initially in a stationary state with rotational invariance, described by a density operator $`\rho _0`$:

$`x^2_0=y^2_0=r_{}^2/2xy_0=0p_xp_y_0=0`$
$`xp_x+p_xx_0=yp_y+p_yy_0=0xp_y+yp_x_0=0`$
Note that the system can have some angular momentum ($`L_z=xp_yp_yx_00`$). After the percussional excitation by the laser potential varying as $`x^2y^2`$, the new density operator of the system is at first order in the perturbation:

$$\rho =\rho _0i\frac{\eta }{2}[\underset{i=1}{\overset{N}{}}x_i^2y_i^2,\rho _0],$$
(13)
where the sum runs over the $`N`$ particles of the fluid. $`x_i`$ and $`y_i`$ denote the position operators of the $`i`$-th particle in the $`xy`$ plane. The real coefficient $`\eta `$ is a measure of the strength of the percussional excitation. We now calculate the time evolution of $`x^2_t`$, $`y^2_t`$ and $`xy_t`$. Using Ehrenfest theorem we obtain:

$$\frac{d}{dt}x^2=\frac{i}{N\mathrm{}}\underset{i=1}{\overset{N}{}}[H,x_i^2]=\frac{1}{m}p_xx+xp_x.$$

The average on the right hand side is calculated in the state (13) and we get for short times :

$$x^2_t=\frac{r_{}^2}{2}\frac{\mathrm{}\eta t}{M}r_{}^2,y^2_t=\frac{r_{}^2}{2}+\frac{\mathrm{}\eta t}{M}r_{}^2.$$
(14)
The calculation of $`xy`$ is slightly more involved. It requires the value of $`xp_y+yp_x`$ to first order in time and in $`\eta `$. We use the fact that in equilibrium $`xF_y+yF_x_0=0`$, where $`𝐅(𝐫)`$ is the force created on a given particle located in $`𝐫`$ by the $`N1`$ remaining particles. We then obtain

$$xp_y+yp_x_t=\frac{2\eta \mathrm{}L_zt}{M},xy_t=\frac{\eta \mathrm{}L_zt^2}{M^2}.$$
(15)
Quite remarkably the results (14-15) are independent of the binary interaction potential between the particles. The polar angle $`\theta `$ characterizing the long axis of the condensate is obtained from

$$\mathrm{tan}2\theta =\frac{2xy_t}{x^2_ty^2_t},$$
(16)
which is indeed equivalent to (12). The present proof, valid for any fluid confined in a harmonic potential with binary interactions, holds only for $`t\omega _{}^1`$. As stated above, (10) holds also for much longer times ($`\omega _{}^1t\gamma _\pm ^1`$) for a pure BEC in the Thomas-Fermi limit .

#### 3.2.2 Long time behavior.

At longer times, the exponential decays of the amplitudes of the modes cannot be neglected anymore. If the two quadrupole modes decay with the same rate ($`\gamma _+=\gamma _{}`$), the result (10) is valid at any time. Simply the amplitude $`\zeta `$ of the quadrupole oscillation becomes weaker and weaker, which makes it harder to detect. On the contrary, if the two rates $`\gamma _+`$ and $`\gamma _{}`$ are different, say e.g. $`\gamma _+<\gamma _{}`$, one reaches at long time a regime where the mode $`m=+2`$ has an amplitude is much larger than $`m=2`$. In this case one simply gets $`\theta =\omega _+t/2`$ and $`\zeta 1e^{\gamma _+t}`$.

### 3.3 Experimental results

Typical evolutions of the quantities $`\theta `$ and $`\zeta `$ are plotted in Fig. 4a. They have been obtained for a transverse frequency $`\omega _{}/2\pi =98.5`$ Hz and a nearly straight vortex ($`\tau =2`$ s). We observe the two successive regimes anticipated above. For short times, one observes the quadrupole oscillation with precessing axes. For $`t>5`$ ms, the precession rate increases and the jumps of $`\pi /2`$ in $`\theta `$ become more and more rounded. This behavior indicates that the mode $`m=2`$ decays faster than $`m=+2`$, as discussed above. The fit using (6)-(7) gives: $`\omega _+/2\pi =159.5\pm 1.0`$Hz, $`\omega _{}/2\pi =116.8\pm 1.0`$Hz, $`\gamma _+=19.1\pm 2.0`$s-1 and $`\gamma _{}=35.7\pm 4.0`$s-1. We note that the two measured frequencies satisfy the sum rule $`\omega _+^2+\omega _{}^2=4\omega _{}^2`$  with a good accuracy. From the difference $`\omega _+\omega _{}`$ and the measured size of the condensate, we infer that the angular momentum per particle is $`L_z\mathrm{}`$ (to within 10%) . The study of the difference between $`\gamma _+`$ and $`\gamma _{}`$ is outside the scope of this paper and it will be discussed elsewhere .

### 3.4 Relationship between $`L_z`$ and the shape of the vortex line

If we are interested only in $`L_z`$, we do not have to repeat the full experimental sequence leading to Fig. 4a. It is sufficient to perform only three experimental runs, which all start by preparing a condensate with a single vortex as described before. For the first two runs, we excite the two quadrupole surface modes $`m=\pm 2`$ and we probe the quadrupole oscillation at the two first maxima of the ellipticity $`\zeta `$ after the flash. From the precession of the condensate axes, we infer the frequency difference between the quadrupole modes, hence $`L_z`$ . For the third run, we repeat the experiment without the laser flash and analyze the shape of the vortex line. As above we extract the normalized length $`d_z`$ of the vortex line along the $`z`$ axis. We also measure the displacement $`d_{}`$ of the axial part of the vortex line (bottom of the U) from the center of the condensate, and normalize it by the radius of the condensate in the $`xy`$ plane (Fig. 3a). Since we have access only to the projection of the decentering on the $`xz`$ plane, we actually measure $`d_{}|\mathrm{cos}\alpha |`$, where $`\alpha `$ is the azimuthal angle of the axial part of the line. We account for this geometrical factor by dividing the measured displacement by $`|\mathrm{cos}\alpha |=2/\pi `$.

Fig. 4b shows $`d_z`$ and $`d_{}`$ as functions of $`L_z/\mathrm{}`$. For clarity we group all points into bins of $`L_z=0.1\mathrm{}`$ and average over $`d_z`$ and $`d_{}`$. The error bars give the statistical variation. The data corresponding to $`L_z0.2\mathrm{}`$ are not reproducible enough and are omitted. A straight ($`d_z1`$) and well centered ($`d_{}1`$) vortex line corresponds to $`L_z\mathrm{}`$. The graph shows that $`d_zL_z/\mathrm{}`$. When $`L_z`$ decreases, we measure a decentering $`d_{}0.15`$ as long as $`L_z>0.5\mathrm{}`$. Below $`L_z=0.5\mathrm{}`$, $`d_{}`$ rises to 0.3.

### 3.5 Comparison with previous theoretical works

We now compare our experimental results with recent predictions for the shape of a vortex line in an inhomogeneous cigar shaped condensate . These theoretical studies consist in looking for the ground state of the condensate in a frame rotating at an angular frequency $`\mathrm{\Omega }`$. The general conclusion is that above a critical frequency $`\mathrm{\Omega }_\mathrm{c}`$ the ground state of the system has one or several vortices. The central vortex is generally bent if the trap aspect ratio $`\omega _{}/\omega _z`$ is large compared to 1, which is the case in our experiment. A precursor of this bending effect can also been found in  in which a stability analysis of a straight vortex in an elongated condensate showed that some bending modes have negative energy, and are thus unstable.

Our experimental procedure is somewhat different from the one considered in these theoretical studies. $`L_z`$ and $`\mathrm{\Omega }`$ play the role of a couple of conjugate extensive/intensive variables just like for instance volume and pressure. In our case no rotating anisotropy is imposed onto the condensate during the relevant evolution. The stirring laser has been switched on for a short time only at the beginning of the procedure in order to set a non-zero angular momentum in the system. We observe the evolution of the condensate in our static trap, as the angular momentum of the gas slowly decays. At first sight, neither $`L_z`$ seems to be conserved nor $`\mathrm{\Omega }`$ imposed by the experimental environment. However, the long lifetimes observed for the vortex (up to 8 s) suggest that during an interval of a fraction of a second (a typical thermalization time), $`L_z`$ is almost constant. Therefore the description of our rotating condensate at time $`\tau `$ should rather correspond to a system with a fixed $`L_z`$ than to a system rotating with a fixed $`\mathrm{\Omega }`$. The states of minimal energy may differ between the two descriptions . More precisely states with an angular momentum $`L_z`$ notably below $`\mathrm{}`$ are found as saddle points of the energy functional calculated in the rotating frame (fixed $`\mathrm{\Omega }`$), while they appear as energy minimum when one considers a condensate as ours, with a fixed angular momentum $`L_z`$ and where the $`\mathrm{\Omega }`$ parameter is in principle not relevant .

## 4 Conclusion

We have reported the complete observation of a single quantized vortex line. The U-shaped vortex line that we observe is remarkably similar to those predicted and plotted in . As pointed out in , the bending of the vortex line is a symmetry breaking effect which does not depend on the presence of a rotating anisotropy and which happens even in a completely symmetric setup. We have given a detailed theoretical account of the relation between measured condensate deformations and the quadrupole mode characteristics (frequency and damping rate). The quadrupole oscillations of the rotating condensate were used to measure the angular momentum. The shape of the vortex line (bending and deviation from the center) were then related to the angular momentum of the system. Our results should help modelling the dissipative evolution of a rotating Bose-Einstein condensate.

We thank Y. Castin, F. Chevy, and G. Shlyapnikov for useful discussions. P. R. acknowledges support the Alexander-von-Humboldt Stiftung and by the EU (contract number HPMF CT 2000 00830). This work was partially supported by CNRS, Collège de France, Région Ile de France, DGA, DRED and EC (TMR network ERB FMRX-CT96-0002).


text:
# Nonnegative curvature, symmetry and fundamental group 2000 Mathematics Subject classification. Primary 53C21, 57S15. Key words: nonnegative curvature, isometry group, splitting, equivariant connected sum.

## 1 Introduction

J. Cheeger and D. Gromoll \[CG71\] showed, as an application of their Splitting Theorem, that if $`M`$ is a compact manifold with $`\mathrm{Ric}0`$ and infinite $`\pi _1(M)`$, then $`M`$ has a structure of a flat (orbifold) bundle whose generic fiber is a simply-connected manifold $`C`$ with $`\mathrm{Ric}0`$, the base is a flat orbifold, and the holonomy group lies in $`\text{Iso}(C)`$. In particular, $`M`$ has a finite cover diffeomorphic to the Riemannian product of a flat torus $`T`$ and a simply-connected manifold $`C`$ with $`\mathrm{Ric}0`$. The cover $`C\times TM`$ is Riemannian (i.e. a local isometry) precisely when the holonomy group of the flat bundle is finite. For example, if $`M`$ is Ricci flat, the cover is Riemannian, because in this case $`C`$ is Ricci flat and so $`\text{Iso}(C)`$ is finite by Bochner’s theorem. Now if the cover $`C\times TM`$ is Riemannian, then one can understand the group $`\text{Iso}(M)`$ by relating it to $`\text{Iso}(C\times T)\text{Iso}(C)\times \text{Iso}(T)`$; this turns out to be true even for non-Riemannian covers, as follows.

###### Theorem 1.1.

Let $`(M,g)`$ be a compact Riemannian manifold of $`\mathrm{Ric}0`$ with $`\pi _1(M)`$ infinite, and let $`H`$ be a compact subgroup of $`\text{Iso}(M,g)`$. Then there exists a smooth deformation of metrics $`g_t`$ on $`M`$ such that $`g_0=g`$, $`H\text{Iso}(M,g_t)`$, the universal Riemannian covers of $`(M,g_t)`$ are all isometric, and a finitely-sheeted Riemannian cover of $`(M,g_1)`$ is isometric to the Riemannian product of a flat torus $`T`$ and a simply-connected manifold $`C`$ of $`\mathrm{Ric}0`$.

Theorem 1.1 generalizes a result of B. Wilking \[Wil00\] who proved it for trivial $`H`$. Theorem 1.1 follows from a general result on equivariant deformations of flat bundles (see Section 2 for details). Essentially, we show that any flat bundle of this kind can be equivariantly deformed, through flat bundles, to a flat bundle with finite holonomy. This also gives a version of Theorem 1.1 for isometric actions on complete manifolds of $`\mathrm{sec}0`$. Since the isometries of $`T`$ are well-understood, Theorem 1.1 roughly means that studying the isometries $`M`$ of can be reduced to studying the isometries of $`C`$. We now list some sample corollaries of Theorem 1.1.

* If $`H`$ is connected and simply-connected, then the $`H`$-action on $`(M,g_1)`$ lifts uniquely to an isometric $`H`$-action on $`C\times T`$ such that the $`H`$-action on the $`T`$-factor is trivial.
* If $`H`$ has a fixed point $`x`$ and the induced $`H`$-action on $`\pi _1(M,x)`$ is trivial, then the $`H`$-action on $`M`$ lifts to an isometric $`H`$-action on $`C\times T`$ such that the $`H`$-action on the $`T`$-factor is trivial.
* If $`H`$ is connected, then the $`H`$-action on $`M`$ lifts to an isometric action of a finite cover $`\overline{H}`$ of $`H`$ on $`C\times T`$. In this case the $`\overline{H}`$-action on the $`T`$-factor is also well-understood (see Appendix B).

Given a compact Lie group $`G`$ acting smoothly and effectively on a closed manifold $`M`$, it is natural to ask whether $`M`$ admits a $`G`$-invariant metric satisfying $`\mathrm{Ric}0`$ or $`\mathrm{Ric}>0`$. It is well-known that if $`G`$ acts transitively, then it preserves a metric of $`\mathrm{Ric}0`$, which has $`\mathrm{Ric}>0`$ if and only if $`\pi _1(M)`$ is finite. It was shown in \[GZ02\] that the same is true for cohomogeneity one actions. By \[GPT98\], $`M`$ admits a $`G`$-invariant metric of $`\mathrm{Ric}>0`$ if the action is free, $`G`$ is connected, $`M/G`$ admits a metric of $`\mathrm{Ric}>0`$, and $`\pi _1(M)`$ is finite. However, for general actions little is known. Theorem 1.1 gives rise to many examples of group actions on compact manifolds that are not isometric in any metric of $`\mathrm{Ric}0`$. For instance, we prove the following.

###### Theorem 1.2.

Let $`M`$ be a compact Riemannian manifold with $`\pi _1(M)`$ infinite, and let $`H`$ be a closed subgroup of $`\text{Iso}(M)`$. Suppose the set of the fixed points of $`H`$ has a component $`F`$ of dimension $`3`$ and for some $`xF`$, the $`H`$-action on $`\pi _1(M,x)`$ is trivial. Then there are infinitely many smooth $`H`$-actions on $`M`$ that are non-isometric in any metric of $`\mathrm{Ric}0`$, and such that if $`\mathrm{scal}(M)>0`$ and $`dim(F)5`$, then the actions are isometric in some metrics of $`\mathrm{scal}>0`$.

To date, there seem to be no examples of smooth $`G`$-action on a compact manifold $`M`$ with finite $`\pi _1(M)`$ such that the $`G`$-action preserves a metric of $`\mathrm{scal}0`$ and preserves no metric of $`\mathrm{Ric}0`$. This problem is well-known for trivial $`G`$, and one wonders whether it could become easier for nontrivial $`G`$. If the assumption $`\mathrm{Ric}0`$ is replaced by $`\mathrm{sec}0`$, we construct such examples as follows.

###### Theorem 1.3.

Let $`M`$ be a complete Riemannian manifold and let $`H`$ be a compact subgroup of $`\text{Iso}(M)`$. Suppose the set of the fixed points of $`H`$ has a component $`F`$ of dimension $`3`$, and for some $`xF`$, the $`H`$-action on $`\pi _1(M,x)`$ is trivial. Then there are infinitely many smooth $`H`$-actions on $`M`$ that are non-isometric in any complete metric of $`\mathrm{sec}0`$, and such that if $`\mathrm{scal}(M)>0`$ and $`dim(F)5`$, then the actions are isometric in some complete metrics of $`\mathrm{scal}>0`$.

Note that the question whether a given $`G`$-action on $`M`$ preserves a metric of $`\mathrm{scal}>0`$ is also wide open, except for the case of free actions: by O’Neill’s formula, if $`G`$ acts freely, and either $`M/G`$ admits a metric of $`\mathrm{scal}>0`$, or $`G`$ has a biinvariant metric of $`\mathrm{scal}>0`$, then $`M`$ has a $`G`$-invariant metric of $`\mathrm{scal}>0`$. See also \[Lot00\] for obstructions in the case of semifree circle actions.

The $`H`$-actions constructed in Theorems 1.21.3 are obtained from the original action by taking an equivariant connected sum at a fixed point with certain $`H`$-actions on the standard sphere. There are other ways to produce $`H`$-actions with the same properties as in Theorems 1.21.3, but for the sake of brevity we do not consider them here, and leave it to the interested reader to pursue.

This paper grew out of the author’s joint work \[BK01\] with Vitali Kapovitch. I am grateful to Slawomir Kwasik for Remark 2.11, and to Reinhard Schultz for the idea of using equivariant connected sums in Theorems 1.21.3.

## 2 Equivariant splitting in a finite cover

Cheeger and Gromoll proved \[CG71\] that a closed Riemannian manifold $`(M,g)`$ of $`\mathrm{Ric}0`$ has a finite cover diffeomorphic to the product of flat torus and a simply-connected manifold of $`\mathrm{Ric}0`$. In general, the pullback of $`g`$ to the finite cover is not a product metric, e.g. the metric on $`S^2\times S^1`$ obtained by pushing down the standard product metric on $`S^2\times `$ to $`(S^2\times )/`$ with the $``$-action given by $`n(v,t)=(e^{in}v,t+n)`$ has $`\mathrm{sec}0`$ and is not a product metric in any finite cover, as was noted in \[CG72\].

However, Wilking showed in \[Wil00\] the metric $`g`$ can be deformed, through metrics of $`\mathrm{Ric}0`$, to a metric $`g_1`$ such that a finitely-sheeted Riemannian cover of $`(M,g_1)`$ is isometric to the Riemannian product of a flat torus and a simply-connected manifold with $`\mathrm{Ric}0`$. A similar conclusion holds in some other situations e.g. when $`M`$ is a complete manifolds of $`\mathrm{sec}0`$ \[Wil00, BK01\].

In this section we show, by a modification of Wilking’s argument, that one can choose the deformation from $`g`$ to $`g_1`$ to be equivariant with respect to the isometry group of $`(M,g)`$. Our exposition is self-contained yet for the reader’s convenience we mostly follow Wilking’s notations. Like in \[Wil00\], we actually prove a much more general result with no curvature assumptions, stated in the following definition.

###### Definition 2.1.

If $`M`$ be a complete Riemannian manifold and $`H`$ is a compact subgroup of the isometry group of $`M`$, then the pair $`(M,H)`$ is said to satisfy $`()`$ if there exists a regular Riemannian covering $`\stackrel{~}{M}M`$ with the infinite group of covering transformation $`\mathrm{\Pi }`$ such that
(i) any element of $`H`$ lifts to an isometry of $`\stackrel{~}{M}`$, and
(ii) if $`N\times ^n`$ is the de Rham decomposition of $`\stackrel{~}{M}`$ \[EH98\], where $`N`$ is the product of the non-Euclidean factors, then the $`\mathrm{\Pi }`$-action on $`N`$, which is the composition of the deck-transformation action $`\rho :\mathrm{\Pi }\text{Iso}(\stackrel{~}{M})\text{Iso}(N)\times \text{Iso}(^n)`$ with the projection onto the $`\text{Iso}(N)`$-factor, has a precompact image.

If $`(M,H)`$ satisfies $`()`$, we use the following notations. We denote the metrics on $`M`$, $`\stackrel{~}{M}`$ by $`g`$, $`\stackrel{~}{g}`$, respectively. We write the isomorphism $`\text{Iso}(N\times ^n)\text{Iso}(N)\times \text{Iso}(^n)`$ as $`k(k_n,k_r)`$ for $`k\text{Iso}(N\times ^n)`$, and given a subgroup $`K`$ of $`\text{Iso}(N\times ^n)`$, we denote by $`K_n`$, $`K_r`$ the projections of $`K`$ into $`\text{Iso}(N)`$, $`\text{Iso}(^n)`$, respectively. Thus, condition (ii) of Definition 2.1 means that $`\rho (\mathrm{\Pi })_n`$ is precompact in $`\text{Iso}(N)`$. Let $`\stackrel{~}{H}`$ be the set of all the lifts of elements of $`H`$. By \[Bre72, I.Theorem 9.3\], $`\stackrel{~}{H}`$ is a Lie subgroup of $`\text{Iso}(\stackrel{~}{M})`$ and the map $`\stackrel{~}{H}H`$ sending $`\stackrel{~}{h}`$ to $`h`$, where $`\stackrel{~}{h}`$ is a lift of $`h`$, is a surjection of Lie groups with kernel $`\mathrm{\Pi }`$.

###### Remark 2.2.

Since $`\mathrm{\Pi }`$ is infinite and discrete, (ii) implies that $`n>0`$. Also (i) is a purely topological condition on the $`H`$-action on $`M`$, which for example is true automatically if $`\stackrel{~}{M}`$ is the universal cover of $`M`$.

###### Example 2.3.

$`(M,H)`$ satisfies $`()`$ if $`\stackrel{~}{M}`$ is the universal cover of $`M`$, $`\pi _1(M)`$ is infinite, $`H`$ is a compact subgroup of $`\text{Iso}(M)`$, and $`M`$ satisfies one of the conditions below.
(1) $`M`$ is a compact of $`\mathrm{Ric}0`$. Here $`\rho (\mathrm{\Pi })_n`$ is precompact since $`N`$ is compact \[CG71\];
(2) $`M`$ is a complete of $`sec0`$. Here $`\rho (\mathrm{\Pi })_n`$ is precompact since $`\text{Iso}(N)`$ is compact \[CG72\];
(3) $`M`$ is complete of $`\mathrm{Ric}0`$ and $`M`$ is the normal bundle of a compact submanifold $`S`$ such that either $`S`$ is totally convex, or there exists a distance nonincreasing retraction $`NS`$. Here $`\text{Iso}(N)`$ may be noncompact, yet $`\rho (\mathrm{\Pi })_n`$ is precompact as is shown in \[BK01, Proposition 2.2\], where a more general result is proved.

###### Remark 2.4.

By \[CG72, Per94\], if $`M`$ satisfies 2.3(2), then it satisfies 2.3(3).

###### Remark 2.5.

Topologically, if $`(M,H)`$ satisfies $`()`$, then $`M`$ is a flat (orbifold) bundle with holonomy group $`\rho (\mathrm{\Pi })_n`$, the generic fiber $`N`$, and the base $`^n/\rho (\mathrm{\Pi })_r`$. The $`H`$-action on $`M`$ takes fibers to fibers. Theorem 2.10, the main result of this section, gives an $`H`$-equivariant deformation of such flat bundles that starts with the given bundle and ends in a bundle with a finite holonomy group.

###### Remark 2.6.

The main difference between the proof in \[Wil00\] and the arguments of this section is that Wilking deforms the deck-transformation group $`\mathrm{\Pi }`$ in $`\text{Iso}(\stackrel{~}{M})`$, while we deform the whole group $`\stackrel{~}{H}`$, which surjects onto $`H`$ with kernel $`\mathrm{\Pi }`$. The compactness of $`H`$ comes into the proof on several occasions.

###### Lemma 2.7.

If $`(M,H)`$ satisfies $`()`$, then there is an $`d`$-dimensional affine subspace $`V^d^n`$ with $`d[1,n]`$, such that $`\stackrel{~}{H}_r`$ stabilizes $`V^d`$ and $`\mathrm{\Pi }`$ acts on $`V^d`$ with finite kernel and the image is a discrete cocompact subgroup of $`\text{Iso}(V^d)\text{Iso}(^d)`$. In particular, $`\mathrm{\Pi }`$ has a finite index normal subgroup isomorphic to $`^d`$.

###### Proof.

Since $`\rho (\mathrm{\Pi })_n`$ is precompact in $`\text{Iso}(N)`$, the homomorphism $`\mathrm{\Pi }\rho (\mathrm{\Pi })_r`$, which is the composition of $`\rho `$ with the projection to $`\text{Iso}(^n)`$, has finite kernel and $`\rho (\mathrm{\Pi })_r`$ is a discrete subgroup of $`\text{Iso}(^n)`$. In particular, $`\mathrm{\Pi }`$ has a normal finite index subgroup $`\mathrm{\Pi }_1`$ isomorphic to $`^d`$ for some $`d[1,n]`$, and furthermore, we arrange the subgroup to be invariant under conjugation in $`\stackrel{~}{H}`$. (The conjugation by elements of $`\stackrel{~}{H}`$ defines a homomorphism $`\stackrel{~}{H}\mathrm{Aut}(\mathrm{\Pi })`$, and since $`\mathrm{\Pi }`$ is finitely generated, any finite index subgroup of $`\mathrm{\Pi }`$ contains a finite index subgroup that is invariant under all the endomorphisms of $`\mathrm{\Pi }`$ \[KM79, Exercise 15.2.3\]).

The group $`\mathrm{\Pi }_1`$ acts on $`^n`$ by freely, hence by the Soul Theorem, which in this case can be found in \[Wol84, Theorem 3.3.3\], $`\mathrm{\Pi }_1`$ acts cocompactly on an affine $`d`$-dimensional subspace $`W^d^n`$. Since $`\mathrm{\Pi }_1\stackrel{~}{H}`$, for each $`\gamma \mathrm{\Pi }_1`$ and $`\stackrel{~}{h}\stackrel{~}{H}`$, the transformation $`\gamma _r`$ stabilizes $`\stackrel{~}{h}_r(W^d)`$. Hence $`\stackrel{~}{h}_r(W^d)`$ is an affine subspace parallel to $`W^d`$. Therefore, the $`\stackrel{~}{H}`$-action on $`^n`$ descends to an isometric $`\stackrel{~}{H}`$-action on $`^n/W^d`$, which is isometric to $`^{nd}`$, and $`\mathrm{\Pi }_1`$ lies in the kernel of the action. Now $`\stackrel{~}{H}/\mathrm{\Pi }_1`$ is compact and any isometric action of a compact Lie group on a Euclidean space has a fixed point. Thus, $`\stackrel{~}{H}`$ stabilizes an affine subspace $`V^d`$ of $`^n`$ parallel to $`W^d`$. Note that $`\mathrm{\Pi }`$ acts on $`V^d`$ with finite kernel and the image is a discrete cocompact subgroup of $`\text{Iso}(V^d)\text{Iso}(^d)`$. ∎

The stabilizer of $`V^d`$ in $`\text{Iso}(^n)`$ can be identified to $`O(nd)\times \text{Iso}(^d)`$, so by Lemma 2.7, we can view $`\stackrel{~}{H}_r`$ as a subgroup of $`O(nd)\times \text{Iso}(^d)`$. Since $`H`$ is compact and $`\rho (\mathrm{\Pi })_n`$ is precompact, $`\stackrel{~}{H}_n`$ is also precompact. Then the closure of $`\stackrel{~}{H}_n\times O(nd)`$ in $`\text{Iso}(\stackrel{~}{N})\times O(nd)`$ is a compact Lie subgroup, which we denote by $`G`$. Thus, $`\stackrel{~}{H}`$ can be viewed as a subgroup of $`G\times \text{Iso}(^d)`$, and we denote the inclusion by $`(\psi ,ϵ):\stackrel{~}{H}G\times \text{Iso}(^d)`$.

###### Theorem 2.8.

If $`(M,H)`$ satisfies $`()`$, then there exists a smooth proper map $`\stackrel{~}{H}\times [0,1]G\times \text{Iso}(^d)`$, given by $`(\stackrel{~}{h},t)(\psi _t(\stackrel{~}{h}),ϵ(\stackrel{~}{h}))`$, such that
(i) $`(\psi _0,ϵ)=(\psi ,ϵ)`$,
(ii) $`\psi _t:\stackrel{~}{H}G`$ is a Lie group homomorphism, for each $`t[0,1]`$,
(iii) $`\psi _1(\mathrm{\Pi })`$ is finite,
(iv) $`(\psi _t,ϵ)(\mathrm{\Pi })`$ is a discrete subgroup of $`G\times \text{Iso}(^d)`$ that acts freely on $`\stackrel{~}{M}`$,
(v) $`(\psi _t,ϵ)(\mathrm{\Pi })`$ is injective for each $`t[0,1]`$.

###### Proof.

We first construct $`\psi _t:\stackrel{~}{H}G`$. Since $`\mathrm{\Pi }_1`$ is free abelian, the closure of $`\psi (\mathrm{\Pi }_1)`$ is a compact abelian group, which is normalized by $`\psi (\stackrel{~}{H})`$ because $`\mathrm{\Pi }_1\stackrel{~}{H}`$. Let $`T`$ be the identity component of the compact abelian group and let $`t`$ be the Lie algebra of $`T`$. Also $`\psi (\stackrel{~}{H})`$ normalizes $`T`$ so $`\mathrm{\Pi }_2=\mathrm{\Pi }_1\psi ^1(T)`$ is a normal subgroup of $`\stackrel{~}{H}`$.

Let $`\stackrel{~}{H}_Z`$ be the centralizer of $`\mathrm{\Pi }_2`$ in $`\stackrel{~}{H}`$. Since $`\mathrm{\Pi }_2\stackrel{~}{H}`$, we deduce that $`\stackrel{~}{H}_Z\stackrel{~}{H}`$. Furthermore, $`\stackrel{~}{H}/\stackrel{~}{H}_Z`$ is finite. Indeed, $`\stackrel{~}{H}_Z`$ is the kernel of the $`\stackrel{~}{H}`$-action on $`\mathrm{\Pi }_2`$ be conjugation. Since $`\mathrm{\Pi }_2\stackrel{~}{H}_Z`$ and $`\mathrm{\Pi }_2`$ is abelian, the $`\stackrel{~}{H}`$-action on $`\mathrm{\Pi }_2`$ be conjugation descends to a Lie group homomorphism $`\stackrel{~}{H}/\mathrm{\Pi }_2\mathrm{Aut}(\mathrm{\Pi }_2)`$, where the domain is compact and the target is discrete, so that the homomorphism has finite image.

Let $`k=|\stackrel{~}{H}/\stackrel{~}{H}_Z|`$. Let $`A=\{\gamma ^k:\gamma \mathrm{\Pi }_2\}`$; this is a normal subgroup of $`\stackrel{~}{H}`$. Choose a homomorphism $`f:\mathrm{\Pi }_2t`$ with $`\mathrm{exp}f=\psi _{|\mathrm{\Pi }_2}`$, and define the map $`\varphi :At`$ by

$$\varphi (\gamma ^k)=\underset{\stackrel{~}{h}\stackrel{~}{H}/\stackrel{~}{H}_Z}{}\mathrm{Ad}_{\psi (\stackrel{~}{h})}(f(\stackrel{~}{h}^1\gamma \stackrel{~}{h})).$$

It is straightforward to check that $`\varphi `$ is a homomorphism satisfying $`\mathrm{exp}\varphi =\psi _{|\mathrm{\Pi }_2}`$ and $`\varphi (\stackrel{~}{h}a\stackrel{~}{h}^1)=\mathrm{Ad}_{\psi (\stackrel{~}{h})}\varphi (a)`$ for $`aA`$. Fix an identification of $`A`$ with the standard lattice $`^d^d`$, and use the $`\stackrel{~}{H}`$-action on $`A`$ by conjugation to define the $`\stackrel{~}{H}`$-action on $`^d`$ via

$$\alpha :\stackrel{~}{H}\mathrm{Aut}(\mathrm{\Pi })\mathrm{GL}_d()\mathrm{GL}_d().$$

Form the semidirect product $`^d_\alpha \stackrel{~}{H}`$ with multiplication $`(v,g)(w,h)=(v+\alpha (g)w,gh)`$ where $`g,h\stackrel{~}{H}`$ and $`v,w^d`$. We identify $`\stackrel{~}{H}`$ with the subgroup $`\{(0,h)\}`$ of $`^d_\alpha \stackrel{~}{H}`$. Define a map $`\mathrm{\Psi }:^d_\alpha \stackrel{~}{H}G`$ by

$$\mathrm{\Psi }(\underset{i}{}\lambda _ie_i,\stackrel{~}{h})=\mathrm{exp}\left(\underset{i}{}\lambda _i\varphi (e_i)\right)\psi (\stackrel{~}{h}),$$

where $`\{e_i\}`$ is the standard basis in $`^d^d`$, thought of as sitting in $`A`$, $`\lambda _i`$, and $`\stackrel{~}{h}\stackrel{~}{H}`$. Using that $`\varphi `$ is a homomorphism and $`\varphi (\stackrel{~}{h}a\stackrel{~}{h}^1)=\mathrm{Ad}_{\psi (\stackrel{~}{h})}\varphi (a)`$ one checks that $`\mathrm{\Psi }`$ is Lie group homomorphism. Also $`\mathrm{\Psi }_{|\stackrel{~}{H}}=\psi `$.

Note that $`N=\{(a,a)^d_\alpha \stackrel{~}{H}:aA\}`$ is normal subgroup of $`^d_\alpha \stackrel{~}{H}`$, and $`N\mathrm{ker}(\mathrm{\Psi })`$. Hence $`\mathrm{\Psi }`$ descends to a Lie group homomorphism $`(^d_\alpha \stackrel{~}{H})/NG`$ Since the subgroups $`^d`$, $`\stackrel{~}{H}`$ have trivial intersections with $`N`$, they projects isomorphically into $`(^d_\alpha \stackrel{~}{H})/N`$. Furthermore, $`^d`$ projects to a normal subgroup whose quotient is isomorphic to the compact Lie group $`\stackrel{~}{H}/A`$. Thus, we get an extension of Lie groups

$$1^d(^d_\alpha \stackrel{~}{H})/N\stackrel{~}{H}/A1.$$

By \[Seg70, Proposition 4.3\] such extensions, with the fixed $`\stackrel{~}{H}/A`$-action on $`^d`$, are classified by the continuous cohomology group $`H_c^2(\stackrel{~}{H}/A,^d)`$. Since $`\stackrel{~}{H}/A`$ is compact, the cohomology group vanishes \[Gui80, section III.2.1\], hence there is exactly one such an extension for each $`\stackrel{~}{H}/A`$-action on $`^d`$. Thus the extension coincides with $`^d_{\overline{\alpha }}\stackrel{~}{H}/A`$, where $`\overline{\alpha }:\stackrel{~}{H}/A\mathrm{GL}_d()`$ is the drop of $`\alpha `$. In particular, the composition

$$I_0:\stackrel{~}{H}^d_\alpha \stackrel{~}{H}(^d_\alpha \stackrel{~}{H})/N^d_{\overline{\alpha }}\stackrel{~}{H}/A$$

is an injective Lie group homomorphism.

We write elements of $`^d_{\overline{\alpha }}\stackrel{~}{H}/A`$ as $`(v(\stackrel{~}{h}),\stackrel{~}{h}A)`$, where $`v(\stackrel{~}{h})^d`$ and $`\stackrel{~}{h}A\stackrel{~}{H}/A`$. Define $`I_t:\stackrel{~}{H}^d_{\overline{\alpha }}\stackrel{~}{H}/A`$ by $`I_t(\stackrel{~}{h})=((1t)v(\stackrel{~}{h}),\stackrel{~}{h}A)`$. This is the deformation of $`I_0`$ to the homomorphism $`I_1:\stackrel{~}{h}(0,\stackrel{~}{h}A)`$, whose image is isomorphic to the compact group $`\stackrel{~}{H}/A`$. Note that $`I_1(\mathrm{\Pi })=\mathrm{\Pi }/A`$ is a finite group.

Then $`\psi _t(\stackrel{~}{h})=\mathrm{\Psi }I_t`$ satisfies (i)–(iii). To prove (iv) and (v) note that discreteness of $`\mathrm{\Pi }_t:=(\psi _t,ϵ)(\mathrm{\Pi })`$ follows from that fact that $`\mathrm{\Pi }`$ is discrete in $`\stackrel{~}{H}`$ and $`(\psi _t,ϵ)`$ is a proper map. Also $`\mathrm{\Pi }_t`$ acts isometrically, and hence properly, on $`\stackrel{~}{M}`$. So no infinite order elements of $`\mathrm{\Pi }_t`$ can fix a point. If $`(\psi _t,ϵ)(\gamma )`$ has finite order for $`\gamma \mathrm{\Pi }`$, then $`(\psi _t,ϵ)(\gamma )`$ is conjugate to $`(\psi _0,ϵ)(\gamma )`$ in $`G\times \text{Iso}(^d)`$ (see e.g. \[Wil00, Lemma 6.7\] or \[CF64, Lemma 38.1\]), so since $`\mathrm{\Pi }_0`$ acts freely, so does $`\mathrm{\Pi }_t`$. Since $`\mathrm{\Pi }_t`$ acts freely, $`(\psi _t,ϵ)`$ is injective. ∎

###### Remark 2.9.

Similarly to \[Wil00\], one can get an explicit bound on $`|\mathrm{\Pi }:A|`$. We leave it to the interested reader to work out. Note that our choice of $`T`$ does not allow to control $`|\mathrm{\Pi }_1:\mathrm{\Pi }_2|`$, however this can be done by a more delicate choice of $`T`$ as in \[Wil00\].

###### Theorem 2.10.

If $`(M,H)`$ satisfies $`()`$, then there exists a smooth family $`q_t`$ of complete Riemannian metrics on $`M`$ such that
(i) $`g_0=g`$
(ii) $`H\text{Iso}(M,g_t)`$ for each $`t`$,
(iii) there is a smooth family of Riemannian covering maps $`p_t:(\stackrel{~}{M},\stackrel{~}{g})(M,g_t)`$,
(iv) there exists a finite index normal subgroup $`A`$ of the group of deck-transformations of $`p_1`$, such that the Riemannian covering space $`(\stackrel{~}{M}/A,\stackrel{~}{g}_1)`$ of $`(M,g_1)`$ is isometric to the Riemannian product of $`N`$, $`^{nd}`$, and a flat $`d`$-torus, for some $`1dn`$.

###### Proof.

Since $`\mathrm{\Pi }_t\stackrel{~}{H}_t`$, every element $`\stackrel{~}{h}_t:=\mathrm{\Psi }(I_t((\stackrel{~}{h}))`$ of $`\stackrel{~}{H}_t`$ is an $`\mathrm{\Pi }_t`$-equivariant self-diffeomorphism of $`\stackrel{~}{M}`$, hence it descends to a self-diffeomorphism $`h_t`$ of $`\stackrel{~}{M}/\mathrm{\Pi }_t`$. If $`\stackrel{~}{h}_t\mathrm{\Pi }_t`$, then $`h_t=\mathrm{id}`$, so the smooth $`\stackrel{~}{H}`$-action on $`\stackrel{~}{M}/\mathrm{\Pi }_t`$ given by $`\stackrel{~}{h}h_t`$ factors through the surjection $`\stackrel{~}{H}\stackrel{~}{H}/\mathrm{\Pi }=H`$, and hence descends to an $`H`$-action on $`\stackrel{~}{M}/\mathrm{\Pi }_t`$.

We now look at the $`\stackrel{~}{H}`$-action on $`\stackrel{~}{M}\times [0,1]`$ given by $`\stackrel{~}{h}(\stackrel{~}{m},t)=(\stackrel{~}{h}_t(\stackrel{~}{m}),t)`$ and the corresponding covering map $`\stackrel{~}{M}\times [0,1](\stackrel{~}{M}\times [0,1])/\mathrm{\Pi }`$. The projection $`\stackrel{~}{M}\times [0,1][0,1]`$ onto the second factor descends to the submersion $`(\stackrel{~}{M}\times [0,1])/\mathrm{\Pi }[0,1]`$. By Morse theory, $`(\stackrel{~}{M}\times [0,1])/\mathrm{\Pi }[0,1]`$ is a trivial $`M`$-bundle over $`[0,1]`$. By the argument in the previous paragraph, the $`\stackrel{~}{H}`$-action on $`\stackrel{~}{M}\times [0,1]`$ descends to an $`H`$-action on the bundle $`(\stackrel{~}{M}\times [0,1])/\mathrm{\Pi }`$ by fiber preserving diffeomorphisms. Since $`H`$ is compact, the equivariant covering homotopy theorem \[Bie73\] implies that the bundle $`(\stackrel{~}{M}\times [0,1])/\mathrm{\Pi }[0,1]`$ is $`H`$-equivariantly smoothly isomorphic to the trivial $`M`$-bundle over $`[0,1]`$, where $`H`$ acts on $`M`$ as in $`()`$, and acts trivially on $`[0,1]`$. In particular, for every $`t`$, the $`\stackrel{~}{H}`$-action on $`\stackrel{~}{M}/\mathrm{\Pi }_t`$ given by $`\stackrel{~}{h}h_t`$ is smoothly equivalent to the $`\stackrel{~}{H}`$-action on $`\stackrel{~}{M}/\mathrm{\Pi }_0`$ given by the surjection $`\stackrel{~}{H}H`$ with kernel $`\mathrm{\Pi }`$.

The composition $`\stackrel{~}{M}\times [0,1](\stackrel{~}{M}\times [0,1])/\mathrm{\Pi }M\times [0,1]`$ is a covering map, which we write as $`(\stackrel{~}{m},t)(p_t(m),t)`$. Then $`p_t:\stackrel{~}{M}M`$ is a covering map with $`\mathrm{\Pi }_t`$ as the group of covering transformations. The map $`p_t`$ is equivariant under the surjection $`\stackrel{~}{H}H`$ given by $`\stackrel{~}{h}\stackrel{~}{h}_th_th_0`$, which is simply the surjection with kernel $`\mathrm{\Pi }`$.

Since $`\mathrm{\Pi }_t`$ acts isometrically on $`\stackrel{~}{M}`$, there is a unique Riemannian metric $`g_t`$ on $`M`$ that makes $`p_t`$ a Riemannian covering. Thus $`p_t`$ is a smooth family of Riemannian coverings and $`g_t`$ is a smooth family of Riemannian metrics. Also $`H\text{Iso}(M,g_t)`$, and since the group $`\psi _1(A)`$ is trivial, $`(M,q_1)`$ has a finite Riemannian cover isometric to $`\stackrel{~}{M}/A`$, which is the Riemannian product of $`N`$, $`^{nd}`$, and a flat $`d`$-torus. ∎

###### Remark 2.11.

Let $`M`$ be a compact manifold with infinite fundamental group that admits a metric of $`\mathrm{Ric}0`$, so that $`\pi _1(M)`$ is virtually-$`^n`$ and the universal cover of $`M`$ is isometric to $`C\times ^n`$ \[CG71\] with $`\mathrm{Ric}(C)0`$. The choice of a metric of $`\mathrm{Ric}0`$ on $`M`$ uniquely specifies the isometry type of $`C`$, and hence the diffeomorphism type of $`C`$. It is natural to ask whether $`M`$ could admit a different metric, with the universal cover of $`M`$ isometric to $`C^{}\times ^n`$, for which $`C^{}`$ and $`C`$ are non-diffeomorphic.

It turns out that the $`s`$-cobordism theorem rules out this possibility if $`dim(C)5`$. Namely, a finite cover of $`M`$ has to be diffeomorphic to $`C\times T^n`$ as well as to $`C^{}\times T^n`$. The diffeomorphism $`\varphi :C\times T^nC^{}\times T^n`$, defines an automorphism of $`\pi _1(T^n)`$, and hence a self-homotopy equivalence of $`T^n`$. Since any self-homotopy equivalence of $`T^n`$ is homotopic to a diffeomorphism, we can precompose $`\varphi `$ by this diffeomorphism, so that we can assume that $`\varphi `$ induces the trivial homomorphism of the fundamental groups. If $`n=1`$, then the lift of $`\varphi `$ to the universal covers defines an $`h`$-cobordism between $`C`$ and $`C^{}`$, so they are diffeomorphic. If $`n>1`$, we can proceed by induction splitting off one circle at a time, and getting an $`h`$-cobordism between $`C\times T^k`$ and $`C^{}\times T^k`$, which is trivial because $`^k`$ has trivial Whitehead torsion. After splitting all the circle factors, we again conclude that $`C`$ and $`C^{}`$ are diffeomorphic.

Note that there do exist simply-connected $`4`$-manifolds $`C`$, $`C^{}`$ that become diffeomorphic after taking products with $`S^1`$. For example, by Seiberg-Witten theory, the $`K3`$-surface has infinitely many smooth structures, but each compact manifold of dimension $`5`$ has only finitely many smooth structures. It it unclear however if such examples can admit $`\mathrm{Ric}0`$.

## 3 Equivariant connected sum and positive scalar curvature

Let $`M`$, $`N`$ be manifolds of the same dimension each equipped with a smooth action of a compact Lie group $`G`$ that has a nonempty set of the fixed points. Assume that at some fixed points $`mM`$, $`nN`$ the isotropy representations of $`G`$ are equivalent. If the $`G`$-actions are isometric in some Riemannian metrics on $`M`$, $`N`$, then there are small balls around $`m`$, $`n`$ which are $`G`$-equivariantly diffeomorphic. The equivariant connected sum of $`M`$ and $`N`$ at the points $`m`$, $`n`$ is a $`G`$-manifold obtained by removing the above balls and gluing their complements by a $`G`$-equivariant diffeomorphism of the boundary spheres. For the purposes of this paper we ignore the issue of orientability for $`M\mathrm{\#}N`$, so we need not put any restrictions on the diffeomorphism of the boundary spheres.

It follows easily from \[GL80\] that positivity of scalar curvature is preserved under equivariant connected sums. Namely, let $`(M,g)`$ be a complete manifold of $`\mathrm{scal}>0`$ of dimension $`m3`$, and let $`G`$ be a compact subgroup of $`\text{Iso}(M)`$ that fixes a point $`xM`$. It was shown in \[GL80\] that $`M\{x\}`$ has a metric $`g^{}`$ of positive scalar curvature for which there exist small $`R>r>0`$ such that outside the ball $`B_g(x,R)`$ we have $`g^{}=g`$, and on $`B_g(x,r)\{x\}`$ the metric $`g^{}`$ is the product $`\times S^{m1}`$, where $`S^{m1}`$ is round sphere of a small fixed radius. Furthermore, the metric $`g^{}`$ on $`B_g(x,R)\{x\}`$ is rotationally symmetric, in particular, the $`G`$-action on $`M\{x\}`$ is isometric with respect to $`g^{}`$. Thus, one can keep the scalar curvature positive while taking equivariant connected sums.

In our applications we take equivariant connected sums of a fixed $`G`$-action on $`M`$ and a certain $`G`$-action on the standard sphere $`S^m`$, whose set of the fixed points is a homology sphere $`S`$. Thus, the equivariant connected sum $`M\mathrm{\#}S^m`$ is diffeomorphic to $`M`$, while the $`G`$-action changes considerably. Namely, if $`F`$ is the component of the fixed point set of the original $`G`$-action on $`M`$ that contains the point at which we take the equivariant connected sum, then the corresponding component of the fixed point set of the $`G`$-action on $`M\mathrm{\#}S^m`$ is diffeomorphic to $`F\mathrm{\#}S`$.

First, we need background on homology spheres that bound (smooth) contractible manifolds. In each dimension $`n3`$ there are non-simply-connected homology $`n`$-spheres that bound contractible manifolds. In fact if $`n5`$, then after changing a smooth structure any homology sphere bounds a contractible manifold \[Ker69\]. Also any homology $`4`$-sphere bounds a contractible manifold \[Ker69\]. Some homology $`3`$-spheres bound contractible manifolds \[Gla67, Gor75\] while some do not \[Ker69\]. (Note that any homology $`3`$-sphere bounds a topological contractible manifold \[Fre82\], but we need to work in smooth category). In our application, $`(D^k\times C)`$ must be diffeomorphic to $`S^{k+n}`$, where $`D^k`$ denotes the closed $`k`$-disk with $`k>0`$. It is easy to see that $`(D^k\times C)`$ is simply-connected, so if $`dim(D^k\times C)6`$ then by the $`s`$-cobordism theorem applied to $`D^k\times C`$ with a small open ball in $`\mathrm{Int}(D^k\times C)`$ removed, $`(D^k\times C)`$ is diffeomorphic to $`S^{k+n}`$. If $`D^k\times C`$ is a $`5`$-manifold, so that $`k=1`$, $`dim(C)=4`$, the above argument does not work, because the smooth Poincaré conjecture is still open. So we have to restrict ourselves only to those $`C`$’s for which $`(D^k\times C)`$ is diffeomorphic to $`S^4`$. This is true in examples of \[Gla67\] (note that $`(D^k\times C)`$ is the double of $`C`$).

Now fix a homology $`n`$-sphere $`S`$ that bounds a (smooth) contractible manifold $`C`$, and if $`n=3`$ we assume that the double of $`C`$ is diffeomorphic to $`S^4`$. Let $`G`$ be a compact Lie group acting on $`^k`$ via an embedding $`\rho :GO(k)`$, and suppose that the only fixed point of $`\rho (G)`$ is the origin. Consider the closed unit ball $`D^k`$ in $`^k`$ centered at the origin with the induced $`G`$-action. Also assume that $`G`$ acts trivially on $`C`$. Given the data, we next construct a $`G`$-action on $`S^m`$, with $`m=n+k`$, such that the fixed point set is $`S`$ and the isotropy representation at any fixed point is equivalent to the direct sum of $`\rho `$ and the trivial $`n`$-dimensional representation.

Look at the product of the $`G`$-actions on on $`D^k\times C`$. By equivariantly smoothing the corners we get a smooth $`G`$-action on the manifold $`(D^k\times C)=(D^k\times S)(D^k\times C)`$ which is diffeomorphic to $`S^m`$. Since the origin is the only fixed point of $`\rho (G)`$, the set of the fixed points for the $`G`$-action on $`(D^k\times C)`$ is the homology sphere $`\{0\}\times S`$, and the isotropy representation at any fixed point is equivalent to the direct sum of $`\rho `$ and the trivial $`n`$-dimensional representation.

By taking equivariant connected sums of $`q`$ copies of the $`G`$-action on $`S^m`$, we get the $`G`$-action on $`S^m`$ with the same isotropy representation at a fixed point and such that the set of the fixed points is the connected sum $`\mathrm{\#}_qS`$ of $`q`$ copies of $`S`$. These actions are topologically inequivalent for $`\mathrm{\#}_qS`$ and $`\mathrm{\#}_pS`$ are not homeomorphic if $`qp`$, because by Grushko’s theorem \[Sta71\] the rank (i.e. the minimum number of generators) of $`\pi _1(\mathrm{\#}_qS)_q\pi _1(S)`$ is $`q\mathrm{rk}(\pi _1(S))`$.

Finally, we show that if $`n5`$, then these actions on $`S^m`$ can be arranged to preserve some metrics of $`\mathrm{scal}>0`$. By Lemmas below we can assume that $`C`$ has a metric of $`\mathrm{scal}>0`$ that is the product metric near the boundary. Equip $`D^k`$ with an $`O(k)`$-invariant metric of $`\mathrm{scal}0`$ which is the product metric near the boundary. Then the product metric on $`D^k\times C`$ has $`\mathrm{scal}>0`$ away from the boundary. By smoothing the metric at the corners as in \[Gaj87\], we can assume that $`(D^k\times C)`$ has a $`G`$-invariant metric of $`\mathrm{scal}>0`$.

###### Lemma 3.1.

Let $`\pi `$ be a finitely presented group with $`H_1(\pi )=0=H_2(\pi )`$ and let $`n5`$ be an integer. Then there exists a homology $`n`$-sphere with fundamental group $`\pi `$ and of $`\mathrm{scal}>0`$.

###### Proof.

By \[Ker69, p.68\] the desired homology $`n`$-sphere can be constructed from a connected sum of several copies of $`S^1\times S^{n1}`$ by surgeries on circles and $`2`$-spheres. Thus the surgeries have codimension $`3`$ and the homology sphere have $`\mathrm{scal}>0`$ by \[SY79, GL80\]. ∎

###### Lemma 3.2.

If $`n5`$, then after possibly changing a smooth structure, each homology $`n`$-sphere $`M`$ of $`\mathrm{scal}(M)>0`$ bounds a contractible manifold with $`\mathrm{scal}>0`$ so that the metric is a product near the boundary.

###### Proof.

We argue as in \[Ker69, pp.70–71\]. First by doing surgery on circles and $`2`$-spheres we turn $`M`$ into a homotopy sphere $`\mathrm{\Sigma }`$ of $`\mathrm{scal}>0`$. By \[Gaj87\] the trace of this surgery (a cobordism $`W`$ between $`M`$ and $`\mathrm{\Sigma }`$) also has $`\mathrm{scal}>0`$ so that the metric is the product near the boundary. We think of $`W`$ as $`M\times I`$ with some handles attached to $`M\times \{1\}`$, where $`I=[0,1]`$. For some $`mM`$, the interval $`m\times I`$ touches none of the previous surgeries and meets orthogonally each copy of $`W\times \{t\}`$ near the boundary, where the product in $`W\times \{t\}`$ refers to the product metric. Let $`N(m\times I)`$ be a small open tubular neighborhood of $`m\times I`$. Then following \[Gaj87\], one can smooth the metric at the corners of $`W^{}=WN(m\times I)`$ to a metric that has $`\mathrm{scal}>0`$ and is a product near the boundary. As in \[Ker69, p.71\], $`W^{}`$ is a contractible manifold with boundary $`M\mathrm{\#}\mathrm{\Sigma }`$. ∎

## 4 Constrains on isometric actions

Part (iv) of Theorem 2.10 yields a nontrivial restriction on the topology $`M`$, namely, a finite cover of $`M`$ splits off a torus factor. This idea was explored in \[BK01, BK03\], to show, for example, that many vector bundles admit no complete metric of $`\mathrm{sec}0`$.

The purpose of this section is to show that Theorem 2.10 also gives a lot of information information on compact subgroups of $`\text{Iso}(M)`$. This leads, in particular, to numerous examples of group actions on compact manifolds that are non-isometric in any metric of $`\mathrm{Ric}0`$, as well as examples of group actions on manifolds that are non-isometric in any complete metric of $`\mathrm{sec}0`$.

Our first goal is to lift the the isometric $`H`$-action on $`(M,g_1)`$, constructed in Theorem 2.10, to the covering $`\stackrel{~}{M}/AM`$. This is generally impossible, e.g. the circle action on itself by left translations does not lift to any cover. However, by the standard results on lifting groups actions to covering spaces, which are reviewed in Appendix A, the $`H`$-action on $`M`$ always lifts to an $`\stackrel{~}{H}/A`$-action on $`\stackrel{~}{M}/A`$, and furthermore, the following is true.

1. If $`H`$ fixes a point $`xM`$, then the $`H`$-action on $`M`$ lifts to an $`H`$-action on $`\stackrel{~}{M}/A`$.
2. If $`H`$ is connected, the $`H`$-action on $`M`$ lifts to an $`\overline{H}`$-action on $`\stackrel{~}{M}/A`$, where $`\overline{H}`$ is a connected Lie group that surjects onto $`H`$ and the kernel of the surjection is a subgroup of $`\mathrm{\Pi }/A`$, which is a finite group.
3. If $`H`$ is connected and simply-connected, then any $`H`$-action on $`M`$ lifts to an $`H`$-action on $`\stackrel{~}{M}/A`$.

Since $`(\stackrel{~}{M}/A,\stackrel{~}{g}_1)`$ is isometric to $`N\times ^{nd}\times T^d`$, where $`T^d`$ is a flat torus, in the cases (1), (3), $`H`$ acts on $`\stackrel{~}{M}/A`$ via an embedding into $`\text{Iso}(N)\times \text{Iso}(^{nd})\times \text{Iso}(T^d)`$. In particular, the $`H`$-action preserves the decomposition of $`\stackrel{~}{M}/A`$ into the product of $`N`$, $`^{nd}`$, and $`T^d`$. Of course, isometric actions of compact Lie groups on $`^{nd}`$ and $`T^d`$ are well-understood. Using the results on actions on tori, stated in Section B, we see that in the cases (1), (3), the $`H`$-action on the $`T^d`$-factor is as follows.

* Assume $`H`$ fixes a point $`xM`$, so the lifted $`H`$-action on $`\stackrel{~}{M}/A`$ also fixes a point, and let $`t`$ be the fixed point of the $`H`$-action on the $`T^d`$-factor. Then if $`hH`$ acts nontrivially on the $`T^d`$-factor, then the induced action of $`h`$ on $`\pi _1(T^d,t)`$ is nontrivial. In particular, if $`H`$ acts trivially on $`\pi _1(M,x)`$, then the $`H`$-action on the $`T^d`$-factor is trivial.
* If $`H`$ is connected and simply-connected, then the $`H`$-action on the $`T^d`$-factor is trivial.

###### Remark 4.1.

The fact that $`H`$ acts trivially on the $`T^d`$-factor implies in particular that each component of the fixed points set has a direct $`T^d`$-factor. This is the key point in Theorem 4.2 below.

###### Theorem 4.2.

Let $`H`$ be a compact Lie group acting smoothly and effectively on a manifold $`M`$. Suppose the set of the fixed points of $`H`$ has a component $`F`$ of dimension $`s3`$ such that for some $`xF`$, the $`H`$-action on $`\pi _1(M,x)`$ is trivial. Then there are infinitely many smooth $`H`$-actions on $`M`$ for which $`(M,H)`$ does not satisfy $`()`$.

###### Proof.

Following Section 3, we construct a smooth $`H`$-action on the standard sphere $`S^m`$, where $`m=dim(M)`$, such that the fixed point set is a non-simply-connected integral homology $`s`$-dimensional sphere $`S`$, and the isotropy actions at $`xM`$ and at some fixed point of $`S^m`$ are equivalent. By replacing $`(S^m,H)`$ with the equivariant connected sum at $`x`$ of the two copies of $`(S^m,H)`$, we can assume that $`S`$ is a connected sum of two non-simply-connected homology spheres. In particular, $`\pi _1(S)`$ has infinitely many ends \[Sta71, 4.A.6.6\]. Then the equivariant connected sum of $`M`$ and $`S^m`$ at the fixed points is a smooth $`H`$-action on $`M`$ such that one of the components $`F^{}`$ of the fixed point set is diffeomorphic $`F\mathrm{\#}S`$. Also the induced $`H`$-action on $`\pi _1(M,y)`$ is trivial for $`yF^{}`$.

Arguing by contradiction, assume the new $`H`$-action on $`M`$ satisfies $`()`$, for some $`\stackrel{~}{M}`$, $`\mathrm{\Pi }`$, etc. Now apply Theorem 2.8 to find $`A`$ and $`g_t`$, and let $`q:\stackrel{~}{M}/AM`$ be the corresponding covering. Pick $`\stackrel{~}{x}\stackrel{~}{M}/A`$ with $`q(\stackrel{~}{x})=x`$, and let $`\overline{F}`$ be the component of $`q^1(F^{})`$ that contains $`\overline{x}`$. The $`H`$-action on $`M`$ lifts uniquely to an $`H`$-action on $`\stackrel{~}{M}/A`$ that fixes $`\overline{x}`$. Then the set of the fixed points of the $`H`$-action on $`\stackrel{~}{M}/A`$ has $`\overline{F}`$ as a component. Note that $`q_{|\overline{F}}:\overline{F}F^{}`$ is a finitely-sheeted covering. By $`(3)^{}`$ above, $`\overline{F}`$ is the product of $`T^d`$ and a submanifold of $`N`$, and therefore, $`\pi _1(\overline{F})`$ has a direct $`^d`$-factor.

Hence the group $`\pi _1(F^{})`$ has $`1`$ or $`2`$ ends \[Sta71, 4.A.6.1, 4.A.6.3\], where $`\pi _1(F^{})`$ has $`2`$ ends precisely when $`d=1`$ and $`\pi _1(\stackrel{~}{F})/^d`$ is finite. On the other hand, $`\pi _1(F^{})=\pi _1(F)\pi _1(S)`$ so $`\pi _1(F^{})`$ has infinitely many ends \[Sta71, 4.A.6.6\].

To get infinitely many examples of such $`H`$-actions we proceed as follows. Fix a homology $`s`$-sphere $`S`$ that bounds a contractible manifold, whose double is $`S^4`$ if $`s=3`$. For each $`s`$-dimensional connected component $`F`$ of the fixed point set of $`(M,H)`$, we build an $`H`$-action on $`S^m`$ with fixed point set $`S`$ and the isotropy representation at a fixed point equivalent to the isotropy representation at a point $`f`$ of $`F`$. For every positive integer $`q`$ and every $`F`$, we take the equivariant connected sum of $`M`$ at $`f`$ with $`q`$ copies of $`(S^m,H)`$, so that for this new $`H`$-action $`\rho _q`$ on $`M`$, each $`F`$ turns into $`F_q:=F\mathrm{\#}qS`$. By Grushko’s theorem \[Sta71\], the rank (i.e. the minimum number of generators) of $`\pi _1(F_q)`$ is $`\mathrm{rk}(\pi _1(F))+q\mathrm{rk}(\pi _1(S))`$. Let $`r_q`$ be the minimum of the numbers $`\mathrm{rk}(\pi _1(F_q))`$ over all $`s`$-dimensional components of the fixed point set of $`\rho _q`$. The minimum is of course realized on some component, so if $`qp`$, then $`r_qr_p`$, therefore, $`\rho _q`$ and $`\rho _p`$ are topologically inequivalent. ∎

###### Proof of Theorem 1.2.

We construct the $`H`$-actions on $`M`$ as in the proof of Theorem 4.2, in particular, the actions preserve no metrics of $`Ric0`$. If $`\mathrm{scal}(M)>0`$ and $`dim(F)5`$, then by Section 3, the $`H`$-action obtained by the equivariant connected sum as above preserves a metric of $`\mathrm{scal}>0`$. ∎

###### Proof of Theorem 1.3.

The argument here is very similar to the proof of Theorem 4.2, in fact we only need to replace the second paragraph in that proof. Namely, we need another argument explaining that some finite index subgroup of $`\pi _1(F^{})`$ has a $`^d`$-factor for $`d1`$.

Since $`S`$ is a nontrivial connected sum, $`\pi _1(S)`$ is infinite which ensures that $`\pi _1(F^{})\pi _1(F)\pi _1(S)`$ is infinite. Arguing by contradiction assume that the new $`H`$-action preserves a complete metric of $`\mathrm{sec}0`$. Then $`F^{}`$ is a totally geodesic submanifold, and hence $`\mathrm{sec}(F^{})0`$. Therefore, a finite index subgroup of $`\pi _1(F^{})`$ has a $`^d`$-factor for $`d1`$.

If $`\mathrm{scal}(M)>0`$ and $`dim(F)5`$, then by Section 3, the $`H`$-action obtained by the equivariant connected sum as above preserves a metric of $`\mathrm{scal}>0`$. ∎

###### Remark 4.3.

Theorem 1.3 can be extended to complete manifolds of nonnegative $`k`$-Ricci curvature (see \[Wu87\] for a definition), provided $`dim(F)k+1`$, because these assumptions force $`F`$ to have nonnegative Ricci curvature, so that $`\pi _1(F)`$ is virtually free abelian. The only $`k`$-Ricci curvature for which the extension is void is the Ricci curvature itself, i.e. the $`k`$-Ricci curvature with $`k=dim(M)1`$; indeed, $`k=dim(M)1`$ implies $`M=F`$. In general, little is known about the totally geodesic submanifolds in manifolds of $`\mathrm{Ric}0`$, which is one of the obstacles to understanding simply-connected manifolds with $`\mathrm{Ric}0`$.

## Appendix A Lifting group actions to covering spaces.

If $`p:\overline{X}X`$ is a covering and $`\pi :\overline{G}G`$ is a surjection of Lie groups, then the $`\overline{G}`$-action $`\overline{\theta }:\overline{G}\times \overline{X}\overline{X}`$ on $`\overline{X}`$ is said to cover the $`G`$-action $`\theta :G\times XX`$ on $`X`$ if $`p\overline{\theta }=\theta (\pi \times p)`$. We also say that $`\theta `$ lifts to $`\overline{\theta }`$.

It is shown in \[Bre72, section I.9\] that if $`p:\stackrel{~}{X}X`$ is a regular covering with deck transformation group $`\mathrm{\Delta }`$, and if the Lie group $`G`$ acts effectively on $`X`$, then the set of all lifts of elements of $`G`$ to self-homeomorphisms of $`\stackrel{~}{X}`$ is a Lie group $`\stackrel{~}{G}`$ that surjects onto $`G`$ with kernel $`\mathrm{\Delta }`$, so that the $`\stackrel{~}{G}`$-action on $`\stackrel{~}{X}`$ covers the $`G`$-action on $`X`$. In fact, in many cases one can find a much smaller Lie subgroup $`\overline{G}`$ of $`\stackrel{~}{G}`$ such that the $`\overline{G}`$-action on $`\stackrel{~}{X}`$ still covers the $`G`$-action on $`X`$. The kernel of the surjection $`\overline{G}G`$ is a subgroup of $`\mathrm{\Delta }`$.

For example, if $`G`$ fixes a point $`xX`$ and the induced $`G`$-action on $`\pi _1(X,x)`$ preserves the subgroup $`p_{}(\pi _1(\stackrel{~}{X},\stackrel{~}{x}))`$ for $`\stackrel{~}{x}p^1(x)`$, then we can take $`\overline{G}=G`$, because then, any $`gG`$ lifts uniquely to $`\stackrel{~}{g}\stackrel{~}{G}`$ with $`\stackrel{~}{g}(\stackrel{~}{x})=\stackrel{~}{x}`$ \[Bre72, section I.9\].

If $`G`$ is connected, then one can choose $`\overline{G}`$ to be connected \[Bre72, section I.9\], so that $`\overline{G}`$ is a covering space of $`G`$. In particular, if $`G`$ is also simply-connected, then we can take $`\overline{G}=G`$, in other words, any action of a connected simply-connected Lie group $`G`$ lifts to a $`G`$ action on $`\stackrel{~}{X}`$. Also if $`G`$ is torus and $`p:\stackrel{~}{X}X`$ is a finite cover, then $`\overline{G}`$ is also a torus and the surjection $`\overline{G}G`$ is a finite cover.

## Appendix B Actions on tori.

If a connected compact Lie group $`K`$ acts effectively on a torus $`T^m`$, then $`K`$ is a torus, the action is free, and in fact $`T^m`$ is a trivial principal $`K`$-bundle \[Bre72, section IV.9\]. It seems the base $`T^m/K`$ of the bundle must also be diffeomorphic to a torus, but I do know how to prove it. The result is clear if the $`K`$-action preserves a flat metric, because in this case, $`T^m/K`$ carries a Riemannian submersion metric of $`\mathrm{sec}0`$, and by the homotopy sequence of the fibration $`T^m/K`$ has contractible universal cover and by above $`\pi _1(T^m/K)`$ is free abelian, so the metric on $`T^m/K`$ is flat \[CG72\], and hence $`T^m/K`$ is a torus \[Wol84\].

If a compact Lie group $`K`$ acting effectively on a torus $`T^m`$ fixes a point $`t`$, then the induced $`K`$-action on $`\pi _1(T^m,t)`$ is effective \[Bre72, section IV.9\]. Here is an example of an involution on $`T^m`$ that is not isometric in any metric of $`\mathrm{scal}0`$. Consider an isometric involution of $`T^m`$ whose fixed-point-set has a component $`F`$ of dimension $`3`$. Then by taking an equivariant connected sum at a point of $`F`$ as in Section 3, we get an involution on $`T^m`$ such that a component of the fixed point set is diffeomorphic to $`F\mathrm{\#}S`$ for a homology sphere $`S`$. Now if the action is isometric in a flat metric, then $`F\mathrm{\#}S`$ is totally geodesic, hence flat, so $`\pi _1(F\mathrm{\#}S)`$ is virtually abelian, but $`\pi _1(F\mathrm{\#}S)\pi _1(F)\pi _1(S)`$ is not virtually abelian unless $`S`$ is simply-connected. Since any metric of $`\mathrm{scal}0`$ on a torus is flat \[LM89\], we have constructed an involution on a torus that is not isometric in any metric of $`\mathrm{scal}0`$.

DEPARTMENT OF MATHEMATICS, 253-37, CALIFORNIA INSTITUTE OF TECHNOLOGY, PASADENA, CA 91125, USA

email: ibeleg@its.caltech.edu