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# Lorentz Transformations from Reflections: Some Applications

## 1 Introduction

The Cartan-Dieudonné theorem111See, e.g., ; Dieudonné  contains a shortcut to the proof; the shortcut presented in  seems to be mistaken., to the effect that the orthogonal groups O($`n`$,C), O($`p,q`$) are generated by hyperplane reflections—each group element being a product of at most $`n=p+q`$ of them—is usually invoked only to study the structure of those groups in general and to establish their relation to Clifford algebras. However, the possibility of generating orthogonal transformations from reflections may sometimes be of some practical value in solving simple concrete problems involving orthogonal transformations. In this note we want to illustrate this point by discussing two problems involving Lorentz boosts from a geometrical rather than matrix calculational point of view. One concerns a geometric understanding of the construction of the boost matrix that carries two given non-spacelike future-directed 4-vectors into each other. The other concerns the geometrical understanding of V. Moretti’s observation  that the usual rotation-boost decomposition (=Cartan decomposition, in the sense of the theory of symmetric spaces ) of an orthochronous Lorentz matrix (cf.  for an elementary approach) is a polar decomposition in the sense of (real) Hilbert space theory. In both cases we find that the true understanding of the elementary matrix solution comes from an analysis of boosts in terms of reflections. Another instance of the application of reflections to Lorentz transformations, using Clifford algebra in addition, is considered, e.g., in .

## 2 Preparation: hyperplane and line reflections

We work in a Lorentzian vector space V of 4-vectors, i.e., a real 4-dimensional vector space with a symmetric bilinear form $`\eta `$ of signature $`(+++)`$. Since we want to maintain a geometric language, it will be preferable to consider Lorentz transformations in their active interpretation as linear maps $`L:𝐕𝐕`$ satisfying $`\eta (Lx,Ly)=\eta (x,y)`$ for all $`x,y𝐕`$. By the Cartan-Dieudonné theorem, each such $`L`$ is a product of at most four hyperplane reflections. A hyperplane reflection (more precisely, a reflection in a hyperplane) is a Lorentz transformation $`S`$ which is involutory (i.e., $`S^2=\mathrm{id}_𝐕`$ eigenvalues $`\pm 1`$) and such that the (+)eigenspace is a 3-plane and the (orthogonal) ($``$)eigenspace is 1-dimensional and not lightlike. Thus, if $`u`$ with $`\eta (u,u)0`$ spans the ($``$)eigenspace, an arbitrary 4-vector $`x`$ decomposes as $`x=x_{}+x_{}`$, where

$$x_{}:=\frac{\eta (x,u)}{\eta (u,u)}u,$$

and the reflection $`S_u`$ in the hyperplane orthogonal to $`u`$ is given by

$$x=x_{}+x_{}S_ux:=x_{}x_{}=x2x_{}.$$

Using (abstract) index notation, we find that $`S_u`$ is given by the tensor

$$\delta _\nu ^\mu 2u^\mu u_\nu /\eta (u,u),$$

and the above-mentioned properties of $`S_u`$ are immediate from this construction. It is essential that $`S_u`$ is improper, $`detS_u=1`$.

The decomposition of a given $`L`$ as a product of hyperplane reflections is not unique; however, the parities of the numbers of reflections in timelike and in spacelike hyperplanes involved are unique and define the four components of the Lorentz group $``$ as (even, even)$`_+^{}`$, (odd, even)$`_{}^{}`$, (even, odd)$`_{}^{}`$, (odd, odd)$`_+^{}`$ in the usual Wigner notation.

For the generation of the Lorentz group in 4 dimensions, hyperplane reflections may be replaced by line reflections, which are slightly easier to visualize. The reflection in the line spanned by the non-lightlike vector $`u`$ is just given by $`S_u`$. The essential feature of $`S_u`$ to be involutory and improper is preserved in this transition because of the assumed even dimensionality of V. Using this we immediately see the following facts which we note down for future use. 1) We have $`S_ux=x`$ or $`S_ux=+x`$ for $`xu`$ or $`xu`$. 2) If $`u`$ is timelike, $`S_u`$ is antichronous and is the time reversal with respect to an observer with 4-velocity $`u`$. 3) If $`x`$ lies in the 2-plane spanned by two non-lightlike vectors $`a`$, $`b`$, then $`S_ax`$, $`S_bx`$, $`S_aS_bx`$ also lie in that plane. 4) If $`\eta (a,a)=\eta (b,b)`$ (possibly =0) and $`\eta (a+b,a+b)0`$, then $`S_{a+b}b=a`$ (reflection in the bisector of the Lorentzian angle between $`a`$ and $`b`$). (Of course, these statements can be checked by direct calculation as well.)

## 3 Boosts and space rotations from reflections

Lorentz boosts are characterized as proper orthochronous Lorentz transformations that leave invariant a timelike 2-plane as a whole and leave invariant vectorwise the orthogonal (spacelike) 2-plane. More specifically, a boost relative to an observer with 4-velocity $`u`$—or $`u`$-boost, for short—is a Lorentz transformation of this kind such that $`u`$ is contained in the invariant timelike 2-plane.

We shall now argue that all $`u`$-boosts can be written as $`S_wS_u`$, where $`w`$ is some other timelike 4-vector, determined up to proportionality and becoming unique by requiring it to be normalized and future-directed. Indeed, since $`S_u`$ and $`S_w`$ both are improper and antichronous, their product is proper and orthochronous; if $`x`$ is in the timelike 2-plane spanned by $`u`$ and $`w`$, so is $`S_wS_ux`$, and if $`x`$ is orthogonal to this plane, $`S_ux=x`$, $`S_wx=x`$, so $`x`$ is left fixed by $`S_wS_u`$: hence $`S_wS_u`$ is a $`u`$-boost. Conversely, if $`B`$ is a $`u`$-boost, carrying $`u`$ to $`u^{}:=Bu`$, we can, as noted above, take $`w`$ to be a multiple of $`u+u^{}`$: then $`S_wS_uu=S_w(u)=u^{}=Bu`$. So $`S_{u^{}+u}S_u`$ does the same job as $`B`$ and is therefore identical to $`B`$. Note that $`u^{}+u`$ is timelike and future-directed just as $`u`$, $`u^{}`$ are.

Similarly, a proper space rotation relative to an observer with 4-velocity $`u`$—or $`u`$-rotation, for short—is a Lorentz transformation leaving invariant as a whole a spacelike 2-plane and leaving invariant vectorwise the orthogonal timelike 2-plane which must contain $`u`$. The direction in the latter orthogonal to $`u`$ gives the axis of rotation relative to $`u`$. We can generate such $`u`$-rotations simply as products $`S_aS_b`$, where $`a`$, $`b`$ are orthogonal to $`u`$ and span the invariant spacelike 2-plane. If they are normalized, $`\eta (a,b)`$ will give the cosine of half the rotation angle, as is well known from elementary geometry. Improper $`u`$-rotations are similarly generated by an odd number of hyperplane reflections with normals orthogonal to $`u`$.

As a first application we mention the calculation of the Thomas angle: the product of a $`u`$-boost $`B`$ sending $`u`$ to $`u^{}`$, followed by a $`u^{}`$-boost $`B^{}`$ sending $`u^{}`$ to $`u^{\prime \prime }`$ and a $`u^{\prime \prime }`$-boost $`B^{\prime \prime }`$ sending $`u^{\prime \prime }`$ back to $`u`$ leaves $`u`$ invariant and is proper, so is a proper $`u`$-rotation; the angle of rotation involved is the Thomas angle. One can calculate it as $`S_{u+u^{\prime \prime }}S_{u^{\prime \prime }}S_{u^{\prime \prime }+u^{}}S_u^{}S_{u^{}+u}S_u`$, using Clifford multiplication for further evaluation and comparison with an expression $`S_aS_b`$ for $`u`$-rotations (see, e.g., ).

## 4 Boosts linking two given 4-vectors

In the preceding section, we constructed from reflections a $`u`$-boost that carries $`u`$ to another given 4-velocity $`u^{}`$. Here we want to find, more generally, a $`u`$-boost $`B`$ that carries a given 4-vector $`x`$ to another given 4-vector $`x^{}`$. Naturally, since $`B`$ is orthochronous, we must assume $`x`$, $`x^{}`$ not only to have the same non-positive 4-square $`\eta (x,x)=\eta (x^{},x^{})0`$ but also to have the same time orientation to make the problem well-posed.

It is, of course, just a clumsy exercise to find $`B`$ using the ordinary matrix form for boosts, i.e., to find the matrix $`\underset{¯}{B}`$ for $`B`$ in the rest frame of $`u`$, in particular to find the components v of the relative velocity involved in $`\underset{¯}{B}`$. Even more complicated is the algebra involved when the problem is related to relativistic velocity addition: a clear way of disentangling it has been developed only relatively recently (see  for exposition). However, using reflections we can give a surprisingly simple solution. Namely, as above we can write all $`u`$-boosts as $`B=S_wS_u`$, where $`w`$ is a timelike 4-vector to be determined. Requiring $`x^{}=Bx=S_wS_ux`$ we see that $`w`$ must be chosen such that $`S_w`$ carry $`S_ux`$ into $`x^{}`$. By the last remark of section 2, we see that under the assumptions made on $`x`$, $`x^{}`$ we have $`wx^{}S_ux`$, and the unique solution is

$$B=S_{x^{}S_ux}S_u$$

whenever $`x^{}S_ux`$ is not lightlike. The latter case arises only if $`x^{}`$ and $`S_ux`$ are lightlike and parallel, i.e., if $`x^{}`$ and $`x`$ are lightlike and spatially antipodal with respect to $`u`$; in this case no $`u`$-boost exists that would do what is required. Otherwise, we see from the fact that $`w`$ bisects the Lorentzian angle between $`u`$ and $`Bu=u^{}`$ that the relative velocity v involved in the matrix $`\underset{¯}{B}`$ is just the ”relativistic double” of $`𝐰/w^0`$ in the rest frame of $`u`$. Thus, writing in this frame the column matrices of components
$`\underset{¯}{x}=\left(\begin{array}{c}x^0\\ 𝐱\end{array}\right)`$, $`\underset{¯}{x^{}}=\left(\begin{array}{c}x^0\\ 𝐱^{}\end{array}\right)`$, we have $`\underset{¯}{S_ux}=\left(\begin{array}{c}x^0\\ 𝐱\end{array}\right)`$, $`\underset{¯}{w}=\left(\begin{array}{c}x^0+x^0\\ 𝐱^{}𝐱\end{array}\right)`$, whence

$$𝐯=\frac{2(x^0+x^0)(𝐱^{}𝐱)}{(x^0+x^0)^2+(𝐱^{}𝐱)^2},$$

where the speed of light has been set to $`c=1`$.

We remark that the occurrence of the exceptional case above is a symptom of the following fact which plays a role in the massless helicity representations of the Poincaré group: if $`x`$, $`x^{}`$ are lightlike and future-orientd, one cannot find Lorentz transformations carrying a fixed $`x`$ to a variable $`x^{}`$ such that the transformation depends on $`x^{}`$ in a fashion continuous on the entire future light cone (see ,  for discussion).

## 5 Symmetry and positivity for boosts

Recently, Moretti  observed that the usual polar decomposition of real matrices when applied to orthochronous Lorentz matrices gives just their rotation-boost decomposition. Indeed, as remarked in , this follows already from the uniqueness of the polar decomposition, since Lorentz matrices describing (proper or improper) spatial rotations are trivially orthogonal (in the 4-dimensional Euclidean sense!) and boost matrices $`\underset{¯}{B}`$ are symmetric and positive definite (in the same sense), the latter because of the identity

$$(t𝐱^{})\underset{¯}{B}\left(\begin{array}{c}t\\ 𝐱\end{array}\right)\gamma (t\mathrm{𝐯𝐱})^2+\frac{1}{\gamma }\frac{(\mathrm{𝐯𝐱})^2}{𝐯^2}+(𝐱\frac{\mathrm{𝐯𝐱}}{𝐯^2}𝐯)^2.$$

(For the active interpretation, the sign of the boost velocity v must be reversed.)

We here want to provide a geometrical understanding of the latter properties, which are not immediate in a Lorentzian context, because the only geometric structure around in V seems to be $`\eta `$ (and space+time orientation). What then is the geometric meaning of the ”4-dimensional Euclidean sense” here, and how does the identity above look geometrically? It turns out that again reflections are helpful in clearing this up.

The ”hidden” unit matrix defining the Hilbert space scalar product to which the terms ”symmetric” and ”positive-definite” refer in the polar decomposition context is a basis-dependent object, and the basis in V to which it refers contains the observer 4-velocity $`u`$ as one of its constituents. This remark allows an observer-dependent Hilbert space scalar product to be geometrically defined as $`U(x,y)=U_{\mu \nu }x^\mu y^\nu `$, where the tensor $`U`$ is given by

$$U_{\mu \nu }:=\eta _{\mu \nu }2u_\mu u_\nu /\eta (u,u):$$

in the rest frame of $`u`$ its components constitute the unit matrix. Then what we want to see is that every $`u`$-boost $`B`$ satisfies

$$U(x,By)=U(y,Bx)\mathrm{for}\mathrm{all}x,y𝐕$$

$$U(x,Bx)>0\mathrm{for}\mathrm{all}x0.$$

We invoke the possibility of writing $`B=S_wS_u`$ for some timelike 4-vector $`w`$ which we may also assume normalized and future-directed. Interpreting $`\eta `$, $`U`$ as maps from V to its dual and looking at the explicit form for $`S_u`$ written before we obviously have $`U=\eta S_u`$; and similarly we have that $`W:=\eta S_w`$ relates $`w`$ and $`S_w`$ to a symmetric positive-definite bilinear form $`W`$. Using $`S_u^{}\eta S_u=\eta `$, $`S_u^2=\mathrm{id}_𝐕`$ (which says that $`S_u`$ is an involutory Lorentz transformation) we now calculate

$$UB=\eta S_uS_wS_u=(S_u^{})^1\eta S_wS_u=S_u^{}WS_u,$$

implying

$$U(x,By)=W(S_ux,S_uy)$$

for all $`x`$, $`y`$. The stated properties of $`W`$ thus imply the properties in question.

For $`u`$-rotations, proper or improper, $`U`$-orthogonality follows from $`S_a^{}US_a=U`$ whenever $`\eta (a,u)=0`$; but this is less surprising.

## 6 Conclusion

We mentioned one and gave two more applications of the fact that Lorentz transformations, and boosts in particular, can be generated from reflections. There are probably many more instances where this point of view might be useful in clearing up the geometrical structure and/or replacing heavier matrix calculations. Our aim was to bring this point to fore.

## References

\] É. Cartan, The Theory of Spinors. MIT Press, Cambridge (Mass.) 1966.

\] J. Dieudonné, Sur les groupes classiques. Paris, Hermann 1948.

\] W. Greub, Multilinear Algebra, $`2^{nd}`$ edition. Springer, NewYork 1978.

\] V. Moretti, The Interplay of the Polar Decomposition Theorem and the Lorentz Group. arXiv:math-ph/0211047.

\] J. Dieudonné, Treatise on Analysis, vol. 5/6. Academic Press, NewYork 1977.

\] R.U. Sexl, H.K. Urbantke, Relativity, Groups, Particles. Special Relativity and Relativistic Symmetry in Field and Particle Physics. Springer, Wien NewYork 2001.

\] H.K. Urbantke, Physical Holonomy, Thomas Precession, and Clifford Algebra. Am. J. Phys. 58, 747 (1990); 59, 1150 (1991).

\] A.A. Ungar,Beyond the Einstein Addition Law and its Gyroscopic Thomas Precession. The Theory of Gyrogroups and Gyrovector Spaces. Kluwer, Dordrecht 2001.

\] H.K. Urbantke, The Hopf Fibration—Seven Times in Physics. J. Phys. Geom. 2001 (in print).

\] H.K. Urbantke, Elementary proof of Moretti’s polar decomposition theorem for Lorentz transformations. arXiv:math-ph/0211077.


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# Cubical abelian groups with connections are equivalent to chain complexes

## Introduction

The theorem of the title is shown to be a consequence of the equivalence between crossed complexes and cubical $`\omega `$-groupoids with connections proved by us in . We assume the definitions given in . Thus this paper is a companion to others, for example , which show that a deficit of the traditional theory of cubical sets and cubical groups has been the lack of attention paid to the “connections”, defined in . Indeed the traditional degeneracies of cubical theory identify certain opposite faces of a cube, unlike the degeneracies of simplicial theory which identify adjacent faces. The connections allow for a fuller analogy with the methods available for simplicial theory by giving forms of ‘degeneracies’ which identify adjacent faces of cubes. They are used in  and  to give a definition of a ‘commutative cube’.

Part of the interest of these results is that the family of categories equivalent to that of crossed complexes can be regarded as a foundation for a non-abelian approach to algebraic topology and the cohomology of groups. These results show that a form of abelianisation of these categories leads to well-known structures.

## Crossed complexes internal to an additive category with kernels

The basic elements of what we say next are well known, but are given for completeness.

Suppose we are given an action of a group $`P`$ on the right of a group $`M`$ such that the action $`\varphi :M\times PM`$ is a morphism of groups. Then, as is well known, the action is trivial. The proof is easy: let $`mM,pP.`$ Then $`m^p=\varphi (m,p)=\varphi (m,1)\varphi (1,p)=m^11^p=m.`$ It follows that a crossed module internal to the category of groups is just a morphism of abelian groups.

We need to consider below the more general case of crossed modules over groupoids. Internally to the category of groups, these are more complicated; but internally to the category of abelian groups they are again equivalent to morphisms of abelian groups. This result is essentially in .

Theorem Let $`𝒜`$ be an additive category with kernels. The following categories, defined internally to $`𝒜`$, are equivalent.

1. The category of chain complexes.
2. The category of crossed complexes
3. The category of cubical sets with connections.
4. The category of cubical $`\omega `$-groupoids with connections.
5. The category of globular $`\omega `$-groupoids.

###### Proof.

By working on the morphism sets, we can as usual assume that we are working in the category of abelian groups. Note that the theorem of the title follows from the equivalence $`𝔹_3𝔹_1`$.

$`𝔹_1𝔹_2:`$ By a chain complex we shall always mean a sequence of objects and morphisms $`\delta :A_nA_{n1},n1,`$ such that $`\delta \delta =0.`$ Let $`C`$ be a crossed complex internal to $`𝒜`$. The associated chain complex $`\alpha C`$ will be defined by

$`(\alpha C)_0`$ $`=C_0,`$
$`(\alpha C)_1`$ $`=\text{Ker}(\delta _0:C_1C_0),`$
$`(\alpha C)_n`$ $`=C_n(0),n2.`$
The crossed complex $`\beta A`$ associated to a chain complex $`A`$ will be defined by
$`(\beta A)_0`$ $`=A_0,`$
$`(\beta A)_1`$ $`=A_0\times A_1,`$
$`(\beta A)_n`$ $`=A_0\times A_n,n2.`$
The groupoid structure on $`\beta A`$ in dimension 1 is defined as usual by $`\delta _0=\mathrm{pr}_1,\delta _1=\mathrm{pr}_1+(\mathrm{pr}_2),`$ and with composition $`(a,b)+(a+b,c)=(a,b+c).`$ The structure on $`(\beta A)_n`$ for $`n2`$ is that the only addition is $`(a,b)+(a,c)=(a,b+c).`$ The operation of $`(\beta A)_1`$ on $`(\beta A)_n,n2,`$ is $`(a,b)^{(a,c)}=(a+c,b).`$ This gives our first equivalence, between chain complexes and crossed complexes.

$`𝔹_2𝔹_3:`$ An equivalence between crossed complexes and cubical $`\omega `$-groupoids with connections internally to the category of sets is established in . Although choices are involved in this, the end result is a natural equivalence. It follows that this can be applied internally to a category $`𝒜`$, simply by applying it to the morphism sets $`𝒜(X,A)`$ for all objects $`X`$ of $`𝒜.`$ This yields our equivalence between crossed complexes and cubical $`\omega `$-groupoids with connections internal to $`𝒜.`$

$`𝔹_2𝔹_5:`$ This follows, in a similar way, from the equivalence between crossed complexes and globular $`\omega `$-groupoids proved in . (Reference  is relevant to the equivalence $`𝔹_1𝔹_5.`$

$`𝔹_3𝔹_4:`$ Let $`K`$ be a cubical abelian group with connections, in the sense of .

Lemma If $`G`$ is an abelian group, and if $`s,t:GG`$ are endomorphism of $`G`$ such that $`st=s,ts=t,`$ then we can define a groupoid structure on $`G`$ with source and target maps $`s,t`$ by

$$gh=gtg+h,$$

for $`g,hG`$ with $`tg=sh`$, and this defines on $`G`$ the structure of groupoid internal to abelian groups.

This result comes from , and is also a special case of a non-abelian result on cat1-groups , where the condition $`[\text{Ker}s,\text{Ker}t]=1`$ is required, and is here trivially satisfied. This result can be applied to $`K_n,n1,`$ and for each $`i=1,\mathrm{},n,`$ with $`s_i=ϵ_i_i^0,t_i=ϵ_i_i^1,`$ giving $`n`$ compositions and so a cubical complex with compositions and connections in the sense of . The interchange law is easily verified, and there remains essentially only the transport law for the connections, which is again simple, showing that $`K`$ is now a cubical $`\omega `$-groupoid with connections. It is easy to see that the functor thus defined is adjoint to the forgetful functor $`𝔹_4𝔹_3`$. ∎


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# Current and future supernova constraints on decaying Λ cosmologies

## I Introduction

A large number of astronomical observations have led to a resurgence of interest in a Universe dominated by a relic cosmological constant ($`\mathrm{\Lambda }`$). The basic set of experiments includes the luminosity distance measured from type Ia supernova (SNe Ia) perlmutter ; riess , measurements of cosmic microwave background (CMB) anisotropies bern , clustering estimates calb , age estimates of globular clusters carreta  and high-redshift age estimates dunlop . It is believed that the presence of an unclustered component like the vacuum energy not only explains the observed accelerated expansion but also reconciles the inflationary flatness prediction ($`\mathrm{\Omega }_{\mathrm{Total}}=1`$) with the $`\mathrm{\Omega }_\mathrm{m}`$ measurements that point sistematically to a value between $`\mathrm{\Omega }_\mathrm{m}=0.20.4`$.

On the other hand, it is also well known that the same welcome properties that make models with a relic cosmological constant ($`\mathrm{\Lambda }`$CDM) our best description of the observed universe also result in a serious fine tuning problem wein . The basic reason is the widespread belief that the early universe evolved through a cascade of phase transitions, thereby yielding a vacuum energy density which is presently 120 orders of magnitude smaller than its value at the Planck time. Such a discrepancy between theoretical expectations and empirical observations constitutes what is usually called “the cosmological constant problem”, a fundamental question at the interface uniting astrophysics, cosmology and particle physics.

As a phenomenological attempt of alleviating such a problem, the so-called dynamical-$`\mathrm{\Lambda }`$ or decaying $`\mathrm{\Lambda }`$ cosmologies were originally proposed in ozer . Afterwards, a number of different scenarios with suggestive decaying laws for the variation of the cosmological term were investigated ozer1  (see also over  for a review). In Refs. jackson ; lima1  the authors proposed a class of deflationary cosmologies driven by a decaying vacuum energy density whose present value, $`\mathrm{\Lambda }_o`$, is a remnant of a primordial deflationary stage. Such models are analytic examples of warm inflation scenarios proposed more recently by Berera WI  in which particle production occurs during the inflationary period and, as consequence, the supercooling process, as well as the subsequent reheating are no longer necessary. The basics of the cosmological history of such models can be summarized as follows jailson : first, an unstable de Sitter configuration is supported by the largest value of the vacuum energy density. This nonsingular state evolves to a quasi-Friedmann-Roberton-Walker (FRW) vacuum-radiation phase and, subsequently, the Universe approaches continuously to the present vacuum-dust stage. The first stage harmonizes the scenario with the cosmological constant problem, while the transition to the second stage solves the horizon and other well-know problems in a similar manner as in inflation. Finally, the Universe enters in the present accelerated vacuum-dust phase as apparently suggested by the SNe Ia observations. Other specific examples of exact deflationary models and the underlying thermodynamics have been studied recently by Gunzig et al. GMN . Some scalar field motivated descriptions for this class of models were investigated in Refs. maar ; zimd ; jackson1 .

From the observational viewpoint some analyses have indicated a good agreement between these models and different classes of comological tests joao . For example, Bloomfield Torres and Waga tw  analysed gravitational lensing constraints on a scenario in which the cosmological term decreases with time as $`\mathrm{\Lambda }R(t)^m`$, where $`R(t)`$ is the scale factor and $`m`$ is a free parameter in the interval $`0m3`$. They found that for low values of $`\mathrm{\Omega }_\mathrm{m}`$ there is a wide range of values of $`m`$ for which the lensing rate is considerably smaller than in the conventional $`\mathrm{\Lambda }`$CDM models. In particular, for values of $`m1`$, these models reproduce very well the observed lens statistics in the Hubble Space Telescope Snapshot Survey. More recently, Vishwakarma vish  investigated some $`\mathrm{\Lambda }(t)`$ models in the light of SNe Ia data and measurements of the angular size of compact radio source ($`\theta (z)`$). The same $`\theta (z)`$ data together with age constraints from globular clusters and high-$`z`$ galaxies were also analysed by Cunha et al. jailson  in the context of deflationary scenarios. In all of these cases, a good agreement between theory and observations was found.

The aim of the present paper is twofold: first, to investigate the observational contraints from the current SNe Ia data on the class of deflationary cosmologies proposed in jackson ; lima1  and compare them with other recent results; second, to simulate future SNe Ia data to infer how restrictive will be the limits on the decaying rate $`\beta `$ from these high quality data. By future SNe Ia data we assume a large number of high-$`z`$ supernova that will become available from the projected Supernova/Acceleration Probe (SNAP) satelite mission snap . Such data have been explored in the recent literature by several authors aiming mainly at determining a possible time or redshift dependence of the dark energy al . A scalar field description for our dynamical-$`\mathrm{\Lambda }`$ scenarios is also discussed.

This paper is organized as follows. In the next section we present the basic field equations relevant for our analysis. In Sec. III we discuss a procedure to find scalar field counterparts for the decaying-$`\mathrm{\Lambda }`$ cosmologies studied here which share the same dynamics and temperature evolution law. The corresponding constraints for deflationary cosmologies from the current SNe Ia data are investigated in Sec. IV. In Sec. V we discuss the improvements in the parameter estimation by simulating the future SNAP data. We end this paper by summarizing the main results in the conclusion section.

## II The model: basic equations

For homogeneous and isotropic cosmologies driven by nonrelativistic matter plus a cosmological $`\mathrm{\Lambda }(t)`$-term the Einstein field equations are given by

$$8\pi G\rho +\mathrm{\Lambda }(t)=3\frac{\dot{R}^2}{R^2}+3\frac{k}{R^2},$$
(1)
$$\mathrm{\Lambda }(t)=2\frac{\ddot{R}}{R}+\frac{\dot{R}^2}{R^2}+\frac{k}{R^2},$$
(2)
where an overdot means time derivative, $`R(t)`$ and $`k=0,\pm 1`$ are, respectively, the scale factor and the curvature parameter and $`\rho `$ stands for the dust energy density.

In this kind of deflationary cosmologies, the effective $`\mathrm{\Lambda }(t)`$ term is a dynamic degree of freedom that relaxes to its present value, $`\mathrm{\Lambda }_o`$, according to the following ansatz lima1

$$\rho _v=\frac{\mathrm{\Lambda }(t)}{8\pi G}=\beta \rho _T\left(1+\frac{1\beta }{\beta }\frac{H}{H_I}\right),$$
(3)
where $`\rho _v`$ is the vacuum density, $`\rho _T=\rho _v+\rho `$ is the total energy density, $`H=\dot{R}/R`$ is the Hubble parameter, $`H_I^1`$ is the arbitrary time scale characterizing the deflationary period, and $`\beta [0,1]`$ is a dimensionless parameter of order unity. As shown in jackson ; jailson , regardless the choice for the begining of the deflationary process, the scale $`H_I`$ is unimportant during the vacuum-dust dominated phase ($`H<<H_I`$) so that, for all practical purposes at the late stages of the cosmic evolution, the vacuum energy density (Eq. 3) can be approximated by $`\rho _v=\beta \rho _T`$. It is worth mentioning that only for flat scenarios $`\beta `$ can be considered identical to the vacuum energy density $`\mathrm{\Omega }_\mathrm{\Lambda }`$. From Eqs. (1) and (3) it is possible to show that the general relation between these two parameters is given by $`\mathrm{\Omega }_\mathrm{\Lambda }=\beta [1+k/(RH)^2]`$.

By combining the above equations, we see that the deceleration parameter, usually defined as $`q_o=R\ddot{R}/\dot{R}^2|_{t_o}`$, now takes the following form

$$q_o=\frac{\mathrm{\Omega }_\mathrm{m}}{2}\frac{(13\beta )}{(1\beta )}$$
(4)
or still, in terms of the curvature parameter $`k`$,

$$q_o=\frac{13\beta }{2}\left[1+\frac{k}{(R_oH_o)^2}\right],$$
(5)
which clearly reduces to the standard relation $`q_o=\frac{\mathrm{\Omega }_\mathrm{m}}{2}`$ in the limit $`\beta 0`$. As can be seen from the above equation, for any value of $`\mathrm{\Omega }_\mathrm{m}0`$, the deceleration parameter with a decaying vacuum energy is always smaller than its corresponding in the standard context and the critical case, $`\beta =1/3`$ ($`q=0`$), describes exactly the class of “coasting cosmologies” studied in kolb .

## III Scalar Field Version

A procedure to find scalar field counterparts for flat decaying-$`\mathrm{\Lambda }`$ cosmologies sharing the same dynamics and temperature evolution law has been recently proposed jackson1 . In this Section, we extend such a procedure to write the necessary equations of a “coupled quintessence” cquint  version for the late time behavior of the arbitrary $`k`$ cosmology considered here.

Firstly, we extend the analysis of Ref. jackson1  and use Eqs. (1)-(3) in the limit $`H/H_I0`$ (our present time universe) to define the parameter

$$\gamma _{}\frac{2\dot{H}}{3H^2}=(1\beta )\left(1+\frac{k}{(RH)^2}\right).$$
(6)
The above equation is just another way of writting the field equations, so that any cosmology dynamically equivalent to the asymptotic decaying-$`\mathrm{\Lambda }`$ model considered here must have the same $`\gamma _{}`$. Perhaps this fact can be made more explicit if one considers that such a parameter is directly related to the deceleration parameter:

$$\gamma _{}=\frac{2}{3}(q+1).$$
(7)
From Eqs. (1)-(3) it can be found that

$$H^2+\frac{k}{R^2}=AR^{3(1\beta )},$$
(8)
where the integration constant $`A=(8\pi G/3)\rho _{T0}R_0^{3(1\beta )}`$. Another useful parameter necessary to simplify the notation of the scalar field equations is

$$x\frac{\dot{\varphi }^2}{\dot{\varphi }^2+\rho 2k/3(RH)^2},$$
(9)
which reduces to the $`x`$ parameter used in jackson1  for $`k=0`$. In the above equation, $`\varphi `$ is a minimally coupled scalar field and, as indicated earlier, an overdot denotes time derivative. Now, if we define the scalar field energy density and pressure:

$$\rho _\varphi =\frac{\dot{\varphi }}{2}+V(\varphi )\text{and}p_\varphi =\frac{\dot{\varphi }}{2}V(\varphi ),$$

respectively, and replace in Eqs. (1) and (2) the vacuum energy density and “pressure”

$$\rho _v=\mathrm{\Lambda }/8\pi G\rho _\varphi \text{and}p_v=\mathrm{\Lambda }/8\pi Gp_\varphi ,$$

by these scalar field counterparts, we can manipulate the resulting equations to obtain (see jackson1  for more details)

$$\rho =\frac{3H^2}{8\pi G}\gamma _{}(1x),$$
(10)
$$\dot{\varphi }^2=\frac{3H^2}{8\pi G}\gamma _{}x,$$
(11)
$$V(\varphi )=\frac{3H^2}{8\pi G}\left[1\gamma _{}\left(1\frac{x}{2}\right)\right],$$
(12)
so that, using (8) and (11) we can find (except for an integration constant)

$$\varphi =\sqrt{\frac{3(1\beta )}{8\pi G}}\frac{AR^{3(1\beta )+2}\frac{2}{3}k}{AR^{3(1\beta )+2}k}x^{\frac{1}{2}}\frac{dR}{R}.$$
(13)
For a given parameter $`x(R)`$, we can integrate the above expression and study the behavior of the scalar field potential parametrically. The explicit funtional relation for $`x`$ does not depend on the dynamics, so that for all practical purposes it does not alter the SNe analysis presented here and could be arbitrarily chosen. However, simplifying assumptions allows a direct solution for the integral. If one imposes that the scalar field version mimics exactly the particle production rate of its decaying-$`\mathrm{\Lambda }`$ counterpart, it can be shown that $`x=\mathrm{const}.`$. If, additionally, we consider the flat case, as suggested by recent CMB data, we find the simple potential (a similar reasoning was used in Ref. jackson1 )

$$V(\varphi )e^{\lambda \varphi },$$
(14)
where $`\lambda =\sqrt{3\pi G(1\beta )/2x}`$.

## IV Constraints from current SNe Ia data

The apparent magnitude $`m`$ of a supernovae at a redshift $`z`$ is given by

$$m(z)=+5\text{log}_{10}𝒟_\text{L}(\mathrm{\Omega }_\mathrm{m},\beta ,z)$$
(15)
where $`=M5\text{log}_{10}H_0+25`$ is the “zero point magnitude”, $`M`$ is the absolute magnitude of the supernovae and $`𝒟_\text{L}(\mathrm{\Omega }_\mathrm{m},\beta ,z)H_od_\text{L}(\mathrm{\Omega }_\mathrm{m},\beta ,H_o,z)`$ is the dimensionless luminosity distance written as

$`𝒟_\text{L}(\mathrm{\Omega }_\mathrm{m},\beta ,z)`$ $`=`$ $`(1+z)\times `$
$`{\displaystyle _{(1+z)^1}^1}{\displaystyle \frac{dx}{x\left[1\frac{\mathrm{\Omega }_\mathrm{m}}{1\beta }+\frac{\mathrm{\Omega }_\mathrm{m}}{1\beta }x^{(13\beta )}\right]^{1/2}}}.`$
The above expression can be integrated yielding

$`𝒟_\text{L}(\mathrm{\Omega }_\mathrm{m},\beta ,z)`$ $`=`$ $`(1+z)\times `$
$`{\displaystyle \frac{\mathrm{sin}\left[\delta \mathrm{sin}^1\mathrm{\Delta }_1\delta \mathrm{sin}^1\mathrm{\Delta }_2\right]}{\left(\frac{\mathrm{\Omega }_\mathrm{m}}{1\beta }1\right)^{\frac{1}{2}}}},`$
where $`\delta =\frac{2}{(13\beta )}`$, $`\mathrm{\Delta }_1=(1\frac{1\beta }{\mathrm{\Omega }_\mathrm{m}})^{\frac{1}{2}}`$ and $`\mathrm{\Delta }_2=\mathrm{\Delta }_1(1+z)^{(\frac{13\beta }{2})}`$. For $`\frac{\mathrm{\Omega }_\mathrm{m}}{1\beta }=1`$ or, equivalently, $`k=0`$ (flat case) the above equation reduces to

$$𝒟_\text{L}(\beta ,z)=\frac{2}{13\beta }\left[(1+z)(1+z)^{\frac{1+3\beta }{2}}\right].$$
(18)
In this analysis we consider the SNe Ia data set from the Supernova Cosmology Project (SCP) perlmutter . As noted in perlmutter , from the 60 supernova events, some are considered outliers so that we work with a total of 54 supernova (16 nearby ones and 38 at high redshifts). In order to determine the cosmological parameters $`\mathrm{\Omega }_\mathrm{m}`$ and $`\beta `$, we use a $`\chi ^2`$ minimization for a range of $`\mathrm{\Omega }_\mathrm{m}`$ and $`\beta `$ spanning the interval  in steps of 0.02

$$\chi ^2=\underset{i=1}{\overset{12}{}}\frac{\left[m(z_i,,\mathrm{\Omega }_\mathrm{m},\beta )m_{oi}\right]^2}{\sigma _i^2},$$
(19)
where $`m(z_i,,\mathrm{\Omega }_\mathrm{m},\beta )`$ is given by Eq. (6) and $`m_{oi}`$ is the observed values of the effective magnitude with errors $`\sigma _i`$ of the $`i`$th measurement in the sample. The “zero point magnitude” $``$ is considered as a “nuisance” parameter so that we marginalize over it. 68$`\%`$ and 95$`\%`$ confidence regions are defined by the conventional two-parameters $`\chi ^2`$ levels 2.30 and 6.17, respectively.

In Fig. 1 we display the Hubble diagram for 16 low-redshift SNe Ia and 36 high-redshift SNe Ia from SCPperlmutter  for $`\mathrm{\Omega }_\mathrm{m}=0.3`$ and several values of $`\beta `$. For the sake of comparion the standard open case $`\beta =0`$ is also plotted. As has been shown recently mesa , a low-density decelerated model cannot be ruled out by SNe Ia data alone, although such a model is strongly deprived in the light of the recent CMB data. Figure 2 shows contours of constant likelihood (95$`\%`$ and 68$`\%`$) in the plane $`\mathrm{\Omega }_\mathrm{m}\beta `$. Note that the allowed range for both $`\mathrm{\Omega }_\mathrm{m}`$ and $`\beta `$ is reasonably large, showing the impossibility of placing restrictive bounds on these scenarios from the current SNe Ia data without an additional constraint on the matter density parameter. The best fit model occurs for $`\mathrm{\Omega }_\mathrm{m}1.0`$ and $`\beta 0.52`$ with $`\chi ^2=62.83`$ and 52 degrees of freedom. In Fig. 3 we show confidence regions in the $`\mathrm{\Omega }_\mathrm{m}\beta `$ plane by assuming a Gaussian prior on the matter density parameter, i.e., $`\mathrm{\Omega }_\mathrm{m}=0.35\pm 0.07`$ ($`95\%`$ c.l.). Such a value is derived by combining the ratio of baryons to the total mass in clusters determined from X-ray and Sunyaev-Zeldovich measurements with the latest estimates of the baryon density $`\mathrm{\Omega }_\mathrm{b}=(0.020\pm 0.002)h^2`$ burles  and the final value of the Hubble parameter obtained by the HST key Project $`H_o=72\pm 8`$ $`\mathrm{km}.\mathrm{s}^1.\mathrm{Mpc}^1`$ free . In this case the best fit model is strongly modified when compared with the previous analysis. It occurs for $`\mathrm{\Omega }_\mathrm{m}=0.34_{0.12}^{+0.14}`$ and $`\beta =0.62_{0.24}^{+0.12}`$ (95$`\%`$ c.l.) with $`\chi ^2=63.44`$. These results agree with the limits on the decaying parameter $`\beta `$ from measurements of the angular size of high-redshift radio sources. This latter analysis indicates $`\beta 0.6`$ while the current estimates for the age of the Universe provides $`\beta 0.25`$ jailson .

## V Constraints from future SNe data

Let us now discuss the constraints on deflationary $`\mathrm{\Lambda }(t)`$ cosmologies that may be expected from future SNe Ia data. Such data may be provided by the proposed SNAP satelite, a two-meter space telescope dedicated to SNe Ia observations on a wide range of redshifts snap . In this Section we investigate the limits on the decaying rate $`\beta `$ based on one year of SNAP data. To this end, we follow Goliath et al. goli  and assume 2000 supernova in the redshift interval $`z[0,1.2]`$ and an additional of 100 supernova at higher redshifts, $`z[1.2,1.7]`$. Each interval has been binned with $`\mathrm{\Delta }z=0.05`$. The statistical error in magnitude, including the estimated measurement error of the distance modulus and the dispersion in the distance modulus due to dispersion in galaxy redshift, is assumed to be $`\mathrm{\Delta }m=0.15`$ mag. The supernova data set was generated by assuming that we live in a flat $`\mathrm{\Lambda }`$CDM universe with $`\mathrm{\Omega }_\mathrm{m}=0.28`$ and $`\mathrm{\Omega }_\mathrm{\Lambda }=0.72`$.

Figure 4 shows the corresponding confidence regions for the $`\mathrm{\Omega }_\mathrm{m}\beta `$ plane from this simulated supernova data et. In comparison with Figs. 2 and 3, we see that the allowed parameter space is strongly restricted by the SNAP data. In particular, the statistical uncertainty on the $`\beta `$ parameter reduces from $`{}_{0.24}{}^{}{}_{}{}^{+0.12}`$ (by assuming a prior knowledge on $`\mathrm{\Omega }_\mathrm{m}`$) to $`0.015`$. This result shows that future SNe Ia data will provide much tighter constraints on deflationary cosmologies or, possibly, on any kind of decaying $`\mathrm{\Lambda }(t)`$ cosmologies, than do the current observations. Naturally, only with a more general analysis, a joint investigation involving different classes of cosmological tests, it will be possible to delimit the $`\mathrm{\Omega }_\mathrm{m}\beta `$ plane more precisely, as well as to test more properly the consistency of these scenarios. Such an analysis will appear in a forthcoming communication alc .

## VI Conclusion

The results of observational cosmology in the last years have opened up an unprecented opportunity to test the veracity of a number of cosmological scenarios. The most remarkable finding among these results cames from distance meaurements of SNe Ia at intermediary redshifts that suggest that the expansion of the Universe is speeding up, not slowing down. In this work, we investigated the observational constraints on a particular class of deflationary cosmologies provided by the current and future SNe Ia data. We showed that the supernova data alone cannot place restrictive constraints on the decaying parameter $`\beta `$ unless a prior knowledge of the matter density parameter is introduced. In this case, by assuming the gaussian prior $`\mathrm{\Omega }_\mathrm{m}=0.35\pm 0.07`$ we found $`\beta =0.62_{0.24}^{+0.12}`$ at 95$`\%`$ c.l. Such a result is in agreement with recent estimates of the $`\beta `$ parameter from measurements of the angular size of high-redshift radio sources and age estimates of globular clusters jailson . By simulating one year of SNAP data we also found that very restrictive limits will be placed on such cosmologies, with error estimates on the decaying $`\beta `$ parameter of the order of $`\pm 0.02`$.

###### Acknowledgements.

The authors are grateful to Prof. C. J. Hogan and J. V. Cunha for helpful discussions. JSA is supported by the Conselho Nacional de Desenvolvimento Científico e Tecnológico (CNPq) and CNPq (62.0053/01-1-PADCT III/Milenio).


text:
# A tentative elementary model of quasars.

## 1 Introduction

The standard explanation of the properties of the quasars and the Seyfert galaxies requires debatable hypothesis about the speed and the preservation of clouds; however, some observations, such as the radio-quietness of the BAL quasars remain unexplained.

Some astrophysicists looked for an alternative of Doppler effect to explain observed redshifts of light. But they failed because either they introduced strange, unknown matter, or they considered a Raman effect which blurs the images and the spectra.

The light scattering of a wide beam without frequency change may be coherent (in refraction and Bragg scattering), or incoherent (in Rayleigh scattering), but, with a frequency change by the scattering, only the incoherent scattering (regular Raman scattering) is usually studied. The remaining ”white box” in the table of the light-matter interactions, is filled by the ”Coherent Raman Effect on time-Incoherent Light” (CREIL) (Moret-Bailly, 1998a, b, 2001) whose principle is recalled in section 2. Rather than the history of CREIL, this section sets and answers the question: how can a light-matter interaction imitate a Doppler effect? The reader may skip this section.

Section 3 recalls the properties of the CREIL

The following section sets an elementary model which mixes the properties of the quasars and the Seyfert galaxies, introducing only simple concepts deduced from observation. It gives the origin of X rays, radio noise and their correlation with the BAL.

Section 5 explains the generation of the optical spectra.

## 2 Finding ”Coherent Raman Effect on time-Incoherent Light” (CREIL) as an alternative of Doppler effect.

Suppose that a receiver observes a frequency lower than the frequency emitted by a coherent source, for instance that it observes three cycles while the source emits five. It remains two cycles more between the source and the receiver, so that the path is increased by two wavelengths: either the distance is increased, it is a Doppler (or expansion) effect, or the path is broken or curved, there is no more a good image. Thus, the incoherence of the light is necessary for an alternative of the Doppler effect which does not blur the images. Marmet (1991) wrote that the incoherence is necessary, but he did not set that, consequently, the incoherence must be a parameter of the searched effect, so that the effect does not work with coherent light. The simplest introduction of incoherence, is setting that light is made of pulses whose length is of the order of five nanoseconds.

Previous authors considered a scattering by a single molecule as in a Compton effect, while, in the optical domain, light interacts with sets of molecules, for instance in refraction and Bragg scattering.

Consider only wide beams, so that diffraction may be neglected. To deduce a new wave surface from a known one, Huyghens supposes that all points of the known wave surface are coherent sources of light which generate, after a short, given time, small wavelets whose envelope is the new wave surface. If molecules are placed on the initial wave surface, they scatter true wavelets, whose envelope gives a scattered wave surface nearly identical to a certain incident wave surface; as the number of molecules is finite, the generation of the envelope is not perfect, its flaws correspond to incoherently scattered light. If there is no frequency change, the interference of the scattered light which is late of $`\pi /2`$, decreases the phase of the incident beam, it is the refraction. The transfer of energy which produces a frequency change cancels the $`\pi /2`$ phase shift between the exciting and scattered beams at the beginning of the excitation; as this phase increases with the time, maintaining the time-coherence of the molecules to preserve the wave surfaces requires that the molecules do not restart by collisions: the scattered wave surface is identical to the incident one only if the length of the impulsions is shorter than the collisional time.

Multiple Raman scatterings blur a spectrum, because each shifted frequency is partly scattered, so that the initial frequency remains beside frequencies resulting from many scatterings. Thus, avoiding a blur of the spectrum requires an interference of the scattered beam with the incident one into a single frequency beam.

This interference is geometrically possible because the incident and scattered wave surfaces are identical. A mixture of two frequencies cannot be observed by a spectrometer if the resulting amplitude is constant enough, that is if beats cannot be observed. At the start of a Raman scattering the exciting and scattered beams have the same phase so that the modulus of the elongations may be simply added provided that it does not appear a notable phase shift: the interference requires the equality of the initial phases and a time of observation, that is a length of the pulses, much shorter than the period of the beats. This explanation is weak, but it is verified by an elementary computation which shows also that the frequency shift of the incident light is proportional to the product of the relative Raman scattered amplitude by the Raman frequency and by the frequency of the incident light. Thus the relative frequency shift $`\mathrm{\Delta }\nu /\nu `$ is almost independent on $`\nu `$.

A spectral element in a beam, a mode, has a temperature given by Planck’s law. Just as in refraction, the molecules do not perform fully transitions between the states connected by the Raman transition, they polarise. Acting as catalyst by their polarisations, the molecules transfer energy from a hot redshifted mode to a cold one which is blue-shifted; in fact at least all modes making the thermal radiation are blue-shifted, that is the thermal radiation is amplified.

## 3 Properties of the CREIL

The CREIL transfers by frequency shifts, energy from modes having the density of energy of a hot source to the thermal radiation, without a blur of the geometry of the beams.

The relative frequency shift $`\mathrm{\Delta }\nu /\nu `$ is nearly constant, it depends on the dispersion of the polarisability of the molecules which play the role of catalyst. Remark that supposing that the redshifts have a Doppler origin, some spectra of quasars appear distorted (Webb et al., 1999)111Most references describe observations illustrating effects explained in the text.. The dispersion of CREIL explains it without the hypothesis required by the standard theory: variation of the fine structure constant.

To be active in CREIL, a gas must have a collisional time longer than the length of the light pulses. The corresponding pressure depends on the gas, on the temperature, on a convenient definition of the collisions…Thus it is difficult to evaluate it; a rough order of magnitude is some Pascals. The gas must have low energy Raman transitions, in the radio-frequencies range. This is hyperfine transitions which may be between:

i) Genuine hyperfine levels if the molecule has nuclear non-zero spins. The H$`{}_{}{}^{+}{}_{2}{}^{}`$ molecule has probably convenient levels; as it self-destroys by collisions, its stability requires a very low pressure, thus working CREIL, so that its absorption lines are spread, mixed, invisible. An homogeneous density of undetectable H$`{}_{}{}^{+}{}_{2}{}^{}`$ may explain the Hubble redshift without expansion of the universe, and may be a source of 2.7K thermal radiation.

ii) Stark or Zeeman levels. Excited atomic hydrogen having a non-zero secondary $`l`$ quantum number works. The redshifting power of atomic hydrogen depends on the excitation of the atoms and on the fields. Magnetic fields are detected by Faraday rotations (Welter et al., 1984).

iii) Other levels in heavy mono- or poly-atomic molecules, uncommon in astrophysics.

## 4 A model of quasars and Seyfert galaxies: non-spectroscopic properties

In the standard theory, a quasar is surrounded by jets of mainly atomic hydrogen, and the line of sight goes through intergalactic clouds. Problems appear: conceiving the acceleration of the jets and the confinement of the clouds is difficult, requiring, for instance dark matter; the source of heating of the clouds is not clear; finally, the physico- chemical parenthood, the similar density of jets and clouds having close redshifts is strange (Tytler, 1987).

A simultaneous absorption and redshift of a line produces a wide absorption line; a modulation of the redshift which may be done by a variation of a magnetic or electric field modulates the absorption, so that the wide lines appears split into pseudo-lines. Thus, suppose that the kernel is surrounded by a halo whose density and metallicity decrease with the distance to the kernel, and in which there are variable fields.

The distance of the quasars is generally evaluated applying Hubble’s law to the most redshifted lines; if it is applied to the less redshifted ones (Petitjean et al., 1996; Shull et al., 1996), the distance decreases much, so that the kernel of the quasar may be simply a neutron star.

It is often supposed that a quasar has an accretion disk. This disk is slowed by its friction against the halo, so that it falls, feeding the star with matter and thus with energy; as a disk is not homogenous, this feeding is irregular, so that the magnitude of the star changes slowly.

Set $`\theta (0\theta \pi /2)`$ the angle between the axis of the disk and the line of sight.

The friction of the disk electrifies it, as drops of rain in a cloud, but at a higher scale, with higher potentials and charges. The electric currents which appear as local lightnings are in the plane of the disk, thus flat, so that they radiate radiowaves as a flat homogenous antenna or a diffraction hole; thus the radio noise is maximum for $`\theta =0`$.

As the pressure is low, the disk works locally as a Crookes tube, X rays are emitted in the volume of the disk; for $`\theta \pi /2`$, the X rays are partly absorbed while they propagate in the disk (Brandt et al., 1999): $`\theta \pi /2`$ appears the condition for a BAL quasar.

We follow the analogy of quasars and Seyfert galaxies which is often outlined (Weedman, 1976; Stein et al., 1976); thus, it appears natural to suppose that the quasars have satellites as the kernels of the Seyfert galaxies, so that the main differences between these objects seem the number and the size of the satellites. The existence of a lot of satellites is backed by the observation of large decreases of magnitude during times of the order of the day: it may be occultations of the kernel by the satellites. The satellites may be planets rather than stars because in despite of their number they are not really visible, and the occultation of a neutron star does not require a big object. The satellites may be slowed by the halo, then broken into the disk, compensating the absorption of the halo by the kernel.

## 5 Optical spectrum of quasars and Seyfert galaxies

The halo may be divided into layers which give different types of spectra; starting from the kernel:

Near the surface of the quasar.

The pressure of the halo forbids a CREIL, but it is low enough to produces sharp emission then absorption lines, as an ordinary star.

The broad lines region.

If a neutral atom of hydrogen has absorbed light at Lymanα frequency, it returns to its ground state by a collision with an other atom or a free electron, heating the translational energy of the gas; the process is reversible, the hot gas (temperature larger than 10 000K) being able to emit a Lyman photon. These partly coherent interactions tend to reach an equilibrium between the translational energy of the gas and the mean temperature of the modes at the resonance frequency.

The equilibrium is reached near the quasar for the strong lines, so that the intensity of light absorbed or amplified, at the strong resonance frequencies, corresponds to the temperature of the gas, not anymore to the temperature of the source. If the gas is slightly active for CREIL, the equilibrium is maintained during the frequency shift, so that a trough appears in the spectrum; small variations of the CREIL leave the light intensity constant in the trough, provided that the interaction is high enough to reach the equilibrium. The absorption does not depend on the column density and a lack of saturation does not need an explanation by a covering factor.

Leaving electric charges in the halo, the disk charges, so that its rotation induces a space-variable magnetic field close to it. This field may be increased by magnetic properties of the elements of the disk. The disk produces an electric field too. Thus, in some places close to the disk, hydrogen atoms pumped by Lyman transitions may be active for CREIL; where the field is high, a spectral element of the light resonates only along short path, so that it is not much absorbed; elsewhere the resonating spectral elements get the temperature of the gas. Thus, if $`\theta \pi /2`$, BEL and BAL appear and their correlation with the radio-quietness is clear.

Observing the quasar in radio-loud conditions ($`\theta \pi /2`$), there is no magnetic field, no CREIL, the absorption which corresponds to the BAL is confused as an excess of absorption near the emission redshift (Briggs et al., 1984; Anderson et al., 1987). The propagation does not introduces a redshift, while it does in the other case; consequently the thermal radiation issued from the kernel is less amplified, the ”dust emission” is lower than for BAL quasars (Omont et al., 1996).

The damped Lyman lines forest

At a larger distance, the space-variable magnetic field necessary to split a wide Lyman line into pseudo-lines making the forest may be produced by the satellites.

The density of radiative energy is lower than close to the disk, that is the number of exciting modes coming from the kernel becomes low; the mean temperature of the exciting modes is low, so that the population in the excited states is almost negligible and the absorption may saturate. If a magnetic field shifts the lines by CREIL the simultaneous absorption is low. The computation (Moret-Bailly, 2001, 2002) shows that the pseudo-lines may be sharp, but with strong feet, so that, by an increase of the absorption, they are damped more than a line having a collisional or Doppler profile.

The Lyman forest

In the outer part of the halo, the lines of the forest may be sharp in despite of slow variations of the field because the absorption/redshift process produces a bistability: Suppose that a high field produces in a certain region a high CREIL; the spectral element whose frequency equals the Lyman frequency is permanently renewed, so that the atoms of hydrogen are strongly pumped and able to produce CREIL. Thus CREIL remains large until the field becomes very low, then, there is a brutal disappearance of CREIL. On the contrary, if CREIL is low, energy is not renewed at Lyman frequency, there are few excited atoms, a large magnetic field is needed to start a visible CREIL.

A large fraction of the energy of the light is absorbed by the redshift and transferred to the thermal spectrum; it just happens that the most redshifted objects radiate a relatively hot thermal spectrum; is it produced by dust or by CREIL?

## 6 Conclusion

CREIL was found from a dependable theory which explains refraction and Bragg scattering; during a long time only its nonlinear version the ”Impulsive Stimulated Raman Scattering” (ISRS) was commonly observed and used in the labs, so that it could appear careful to ignore CREIL. Now CREIL itself is observed (Kandpal, 2002), stronger than expected from a too cautious application of the theory, so that it must be taken into account.

The present simple model of quasars explains qualitatively more usual observations than the standard model, for instance the radio-quietness and the X absorption of the BAL quasars, and, however, requires only elementary physics.

The model must be improved to become quantitative and adapted to all elements of the large family of quasars and Seyfert galaxies; it remains much work!


text:
# Duality and the pcf theory11footnote 12000 AMS subject classification 03E17, 03E04

## 1 Introduction

The authors of  considered the following cardinal invariant of the continuum. Let $`c:[2^\omega ]^22`$ be the partition defined by $`c(x,y)=\mathrm{\Delta }(x,y)mod2`$ where $`\mathrm{\Delta }(x,y)=\mathrm{min}\{m\omega :x(m)y(m)\}`$, and let $`J`$ be the $`\sigma `$-ideal $`\sigma `$-generated by the homogeneous sets. It is not difficult to see that $`J`$ is a proper $`\sigma `$-ideal; in fact $`c`$ is the simplest continuous partition of $`[2^\omega ]^2`$ with this property.  defined the cardinal invariant $`𝔥𝔪`$ as the covering number of the ideal $`J`$. The invariant $`𝔥𝔪`$ occurs naturaly in several contexts: it is the minimal number of Lipschitz-with-constant-1 functions from $`2^\omega `$ to itself such that their graphs and graphs of their inverses cover the whole square $`2^\omega \times 2^\omega `$. It is also the minimal number of convex subsets necessary to cover a certain closed subset of the Euclidean plane. See .

It is consistent with ZFC that $`𝔥𝔪<𝔠`$; not surprisingly , this is exactly what happens in the Sacks model . On the other hand, $`𝔥𝔪`$ is a very large cardinal invariant in that provably $`𝔥𝔪^+𝔠`$. Here we prove a duality theorem similar to the one from .

###### Theorem 1.1.

Suppose that $`I`$ is an analytic $`\sigma `$-ideal such that ZFC proves that $`\mathrm{𝚌𝚘𝚟}(I)𝔥𝔪`$. Then ZFC proves that $`\mathrm{𝚗𝚘𝚗}(I)\mathrm{}_3`$.

Here a $`\sigma `$-ideal is analytic if there is a $`\mathrm{\Sigma }_1^1`$ set in the plane such that the ideal is $`\sigma `$-generated by its vertical sections. Similarly, it is possible to define the class of projective ideals. The theorem remains true for projective ideals if the theory ZFC is replaced by ZFC+“there are $`\omega `$ many Woodin cardinals”.

The theorem remains true if the pair $`\mathrm{𝚌𝚘𝚟},\mathrm{𝚗𝚘𝚗}`$ is replaced by any other dual pair of invariants, such as $`\mathrm{𝚗𝚘𝚗},\mathrm{𝚌𝚘𝚟}`$ or $`\mathrm{𝚊𝚍𝚍},\mathrm{𝚌𝚘𝚏}`$. However, in order for the various complexity computations to come out right, in these cases we must restrict ourselves to the class of Borel ideals.

The pattern persists to some variations of $`𝔥𝔪`$. For every natural number $`n>0`$ let $`c_n:[2^\omega ]^2n`$ be the function defined by $`c_n(x,y)=\mathrm{\Delta }(x,y)modn`$ and let $`J_n`$ be the $`\sigma `$-ideal on $`2^\omega `$ $`\sigma `$-generated by the sets $`X`$ such that $`c_n^{\prime \prime }Xn`$. Define $`J_1`$ to be the ideal of countable sets. Define $`𝔥𝔪_n`$ to be the covering number of the ideal $`J_n`$. It is not difficult to show that $`𝔠=𝔥𝔪_1𝔥𝔪=𝔥𝔪_2𝔥𝔪_3𝔥𝔪_4\mathrm{}`$ and $`(𝔥𝔪_n)^{n1}𝔠`$ for every number $`n`$. Again, $`𝔥𝔪_n`$ can be rewritten as the smallest number of functions in a certain class necessary to cover the cube $`(2^\omega )^n`$ with their graphs. We have

###### Theorem 1.2.

Let $`n>0`$. Suppose that $`I`$ is an analytic $`\sigma `$-ideal such that ZFC proves that $`\mathrm{𝚌𝚘𝚟}(I)𝔥𝔪_n`$. Then ZFC proves that $`\mathrm{𝚗𝚘𝚗}(I)\mathrm{}_{n+1}`$.

In case of $`n=1`$ this improves the original duality theorem of , and the obtained bound $`\mathrm{}_2`$ is optimal. Finally,

###### Theorem 1.3.

Suppose that $`I`$ is an analytic ideal such that ZFC proves that $`\mathrm{𝚌𝚘𝚟}(I)\mathrm{min}_n𝔥𝔪_n`$. Then ZFC proves that $`\mathrm{𝚗𝚘𝚗}(I)\mathrm{}_{\omega _2+1}`$.

The remarks after Theorem 1.1 remain in force for 1.2 and 1.3.

The proofs of the above theorems integrate the effective descriptive theory, determinacy theory, forcing, and pcf theory. This paper contains only the arguments that are specific to the ideals $`J_n`$ in question. The general theory of definable proper forcing is encapsulated into several facts, stated without proof. For the detailed development of this theory, the reader is referred to the monograph .

The notation in the paper follows the set theoretic standard of . Whenever $`X`$ is a set, $`xX`$ its element and $`f:(2^\omega )^{X\{x\}}2^\omega `$ is a function, by the graph of the function $`f`$ we mean the collection $`\{\stackrel{}{r}(2^\omega )^X:\stackrel{}{r}(x)=f(\stackrel{}{r}X\{x\})\}`$. For a $`\sigma `$-ideal $`I`$ on the reals, the cardinal $`\mathrm{𝚌𝚘𝚟}(I)`$ and $`\mathrm{𝚗𝚘𝚗}(I)`$ denote the smallest size of a family of sets in the ideal covering the whole real line, and the smallest size of an $`I`$-positive set respectively. If $`B`$ is an $`I`$-positive set, then $`IB`$ is the ideal generated by $`I`$ and the complement of $`B`$.

## 2 The forcings associated with $`𝔥𝔪_n`$

The following is a basic simple observation.

###### Lemma 2.1.

Fix a number $`n>0`$.

1. The ideal $`J_n`$ is $`\sigma `$-generated by closed sets.
2. The ideal $`J_n`$ is nontrivial, i.e. $`2^\omega J_n`$.

As proved in , the partition $`c_2`$ is the minimal open partition of $`[2^\omega ]^2`$ into two pieces such that the $`\sigma `$-ideal generated by the homogeneous sets is proper, in the sense that if $`d`$ is any other such a partition then there is a Borel injection $`i:2^\omega 2^\omega `$ such that for all $`xy2^\omega `$ $`d(i(x),i(y))=c_2(x,y)`$. Similar minimality result holds true for the partitions $`c_n`$.

###### Proof.

The partitions $`c_n`$ are continuous. Therefore, if $`X2^\omega `$ is a generating set of the ideal $`J_n`$ (the image $`c_n^{\prime \prime }[X]^2`$ does not contain some number $`mn`$), then even its closure is such a generating set of the ideal $`J_n`$ (its image under $`c_n`$ still does not contain that number $`m`$). The first item immediately follows.

For the second item we will just show that the ideal $`J_n`$ is a subideal of the meager ideal, for every number $`n>0`$. Fix the number $`n`$ and let $`X2^\omega `$ be a closed generating set of the ideal $`J_n`$ so that the image $`c_n^{\prime \prime }[X]^2`$ leaves out some number $`mn`$. It will be enough to show that the set $`X`$ is nowhere dense. And indeed, if $`s2^{<\omega }`$ is a finite sequence representing some basic open set, prolong it to obtain a sequence $`ts`$ whose length is equal to $`m`$ modulo $`n`$. By the choice of the set $`X`$, for one of the sequences $`t^{}0,t^{}1`$ the set $`X`$ contains no infinite binary sequences extending it. Thus the set $`X`$ is nowhere dense as desired. ∎

Now look at the partial order $`P_n`$ of $`J_n`$-positive Borel sets ordered by inclusion. By Lemma 1.2 and 1.3 of , this poset adds a single real which falls out of all $`J_n`$-small sets and it is proper. In fact, this partial order has a natural combinatorially simple dense subset. Call a tree $`T2^{<\omega }`$ $`n`$*-fat* if it is nonempty and for every node $`sT`$ and every number $`mn`$ there is a splitnode $`ts`$ in the tree $`T`$ whose length is equal to $`m`$ modulo $`n`$.

###### Lemma 2.2.

If $`T`$ is an $`n`$-fat tree then $`[T]J_n`$. Moreover, if $`A2^\omega `$ is an analytic set, then either it contains a subset of the form $`[T]`$ for some $`n`$-fat tree, or else it belongs to the ideal $`J_n`$.

###### Proof.

The regularity property of analytic sets can be proved in several ways; we give a classical determinacy argument following the proof of the perfect set theorem. Suppose that $`A2^\omega `$ is a set. Consider the game $`G_n(A)`$ where players Adam and Eve alternate to play finite binary sequences $`s_0,s_1,\mathrm{}`$ and bits $`b_0,b_1,\mathrm{}`$ respectively such that Adam’s sequences $`s_i`$ form an extension increasing chain such that $`s_i^{}b_is_{i+1}`$ and the length of the sequence $`s_i`$ is equal to $`i`$ modulo $`n`$. Adam wins if $`_is_iA`$.

First, Adam has a winning strategy in the game $`G_n(A)`$ if and only if the set $`A`$ contains all branches of some $`n`$-fat tree. If $`\sigma `$ is a winning strategy for Adam then the downward closure of the set of all sequences that can arise in a play according to the strategy $`\sigma `$ is an $`n`$-fat tree and all of its branches belong to the set $`A`$. On the other hand, if $`[T]A`$ is an $`n`$-fat tree then Adam can easily win the game $`G_n(A)`$ by playing only splitnodes in the tree $`T`$.

Second, Eve has a winning strategy if and only if the set $`A`$ belongs to the ideal $`J_n`$. If $`A_iX_i`$ is in the ideal $`J_n`$, covered by countably many sets $`X_i`$ such that $`imodnc_n^{\prime \prime }[X_i]`$, then Eve wins by answering Adam’s sequence $`s_i`$ in the $`i`$-th round with a bit $`b_i`$ such that no element of the set $`X_i`$ begins with $`s_i^{}b_i`$. There is such a bit $`b_i`$ because no two elements of the set $`X_i`$ can first differ at the number $`imodn`$ which is the length of the sequence $`s_i`$. Of course, if Eve plays in this way she will win in the end, since the real $`_is_i`$ will fall out of all the sets $`X_i`$ and therefore out of the set $`A`$. On the other hand, if Eve has a winning strategy $`\sigma `$ then the set $`A`$ is in the ideal $`J_n`$. For every position $`p`$ consistent with the strategy $`\sigma `$ which ends after the round $`i_p`$ was completed with some finite binary sequence $`t_p`$, let $`S_p`$ be the downward closure of the set $`\{t2^{<\omega }:`$ for no finite sequence $`s`$ and no bit $`b`$ it is the case that the play $`p^{}s^{}b`$ observes all the rules and the strategy $`\sigma `$ and $`t_p^{}s^{}bt\}`$. It is not difficult to verify that the closed set $`[S_p]`$ is in the ideal $`J_n`$ since $`i_pmodnc_n^{\prime \prime }[[S_p]]^2`$. We also have that $`A_p[S_p]`$: if some infinite binary sequence $`xA`$ fell out of all the sets $`[S_p]`$, then a play of the game observing the strategy $`\sigma `$ could be constructed such that the resulting sequence is just $`x`$ and thus Adam won, contradicting the assumption that $`\sigma `$ was a winning strategy for Eve.

The previous two paragraphs together with the classical determinacy results of  show that Borel sets have the regularity property, and that $`𝚺_n^1`$ determinacy implies that $`𝚺_n^1`$ sets have the regularity property. A standard trick described for example in  can be used to reduce the assumption to $`𝚫_n^1`$ determinacy for the regularity of $`𝚺_n^1`$ sets, proving the Lemma. ∎

Thus the partial order $`P_n`$ is in forcing sense equivalent to the ordering of $`n`$-fat trees under inclusion. It is now possible to give a detailed analysis of its forcing properties, using standard combinatorial methods. However, the approach of the current paper is completely different. We shall need only the following consequence:

###### Corollary 2.3.

The ideal $`J_n`$ is homogeneous. The forcing $`P_n`$ is homogeneous.

Here,

###### Definition 2.4.

 A $`\sigma `$-ideal $`I`$ on $`2^\omega `$ is called *homogeneous* if for every $`I`$-positive Borel set $`B`$ there is a function $`f:2^\omega B`$ such that the preimages of $`I`$-small sets are $`I`$-small.

Homogeneity of an ideal $`I`$ is a convenient way of securing the equalities $`\mathrm{𝚌𝚘𝚟}(I)=\mathrm{𝚌𝚘𝚟}(IB)`$ and $`\mathrm{𝚗𝚘𝚗}(I)=\mathrm{𝚗𝚘𝚗}(IB)`$ for an arbitrary positive Borel set $`B`$. If $`X`$ is a collection of $`I`$-small sets covering the set $`B`$ then the collection of their $`I`$-small preimages covers the whole $`2^\omega `$; it has size $`|X|`$. And if $`Y2^\omega `$ is an $`I`$-positive set, then its $`f`$-image is an $`I`$-positive subset of the set $`B`$; it has size $`|Y|`$. The key property of homogeneity is that it is frequently preserved under the iterated Fubini powers of the ideal–.

###### Proof.

Suppose that $`B2^\omega `$ is a $`J_n`$-positive Borel set, and let $`i:2^\omega B`$ be a continuous injection respecting the partition $`c_n`$; such an injection exists by the previous lemma. Clearly, the preimages of $`J_n`$-small sets must be $`J_n`$-small, and therefore the ideal $`J_n`$ is homogeneous. The function $`\pi `$ defined by $`\pi (C)=\pi ^{\prime \prime }C`$ for every $`J_n`$-positive Borel set $`C2^\omega `$, is an isomorphism between the poset $`P_n`$ and $`P_n`$ below the condition $`\pi (2^\omega )B`$. Note that Borel injective images of Borel sets are Borel. ∎

###### Corollary 2.5.

The ideal $`J_n`$ is $`𝚷_\mathrm{𝟏}^\mathrm{𝟏}`$ on $`𝚺_\mathrm{𝟏}^\mathrm{𝟏}`$.

###### Proof.

Every $`\sigma `$-ideal $`K`$ such that the poset $`(2^\omega )K`$ ordered by inclusion is bounding and contains a $`𝚺_\mathrm{𝟏}^\mathrm{𝟏}`$ collection of compact sets as a dense subset, is $`𝚷_\mathrm{𝟏}^\mathrm{𝟏}`$ on $`𝚺_\mathrm{𝟏}^\mathrm{𝟏}`$–see the appendix of . A direct proof along the lines of  is also possible. ∎

Using Theorem 7.4 of  and the previous lemmas it is also possible to conclude that the countable support iteration of $`P_n`$ forcings is the optimal way to increase the invariant $`𝔥𝔪_n`$. While this is an interesting fact in itself, it plays no role in the proofs of the theorems from the introduction.

###### Corollary 2.6.

(ZFC+LC) Suppose $`n>0`$ and $`𝔵`$ is a tame invariant. If $`𝔵<𝔥𝔪_n`$ holds in some forcing extension, then it holds in the countable support iterated $`P_n`$-extension.

As an aside, let us define the cardinal invariant $`𝔥𝔪_\omega `$ in the following way. Let $`\{a_n:n\omega \}`$ be an arbitrary partition of $`\omega `$ into infinite sets, and for distinct sequences $`x,y2^\omega `$ define $`c_\omega (x,y)=n`$ if the smallest number $`m`$ such that $`x(m)y(m)`$ belongs to the set $`a_n`$. Let $`J_\omega `$ be the $`\sigma `$-ideal generated by the sets $`X2^\omega `$ such that $`c_\omega ^{\prime \prime }X\omega `$, and define $`𝔥𝔪_\omega `$ to be the covering number of this ideal. The invariant $`𝔥𝔪_\omega `$ is independent of the initial choice of the partition $`\{a_n:n\omega \}`$: if $`\{a_n^{}:n\omega \}`$ is another such a partition, $`c_\omega ^{}`$ the associated function and $`𝔥𝔪_\omega ^{}`$ the associated invariant, it is not difficult to find a continuous injection $`i:2^\omega 2^\omega `$ reducing the function $`c_\omega `$ to $`c_\omega ^{}`$ in the sense that $`c_\omega ^{}(i(x),i(y))=c_\omega (x,y)`$ for every two distinct sequences $`x,y2^\omega `$. This shows that $`𝔥𝔪_\omega 𝔥𝔪_\omega ^{}`$, and by symmetricity $`𝔥𝔪_\omega =𝔥𝔪_\omega ^{}`$. All the previous results all apply to the case of the invariant $`𝔥𝔪_\omega `$. However, it is impossible to generalize the theorems stated in the introduction to the case of $`𝔥𝔪_\omega `$, since the results of the next section will not be applicable.

## 3 The iterated Fubini powers of the ideals $`J_n`$

The theorems stated in the introduction are proved using a careful analysis of the countable support iteration of the forcings $`P_n`$. We will need to find an upper bound, in terms of the $`\mathrm{}`$ function, of the uniformities of the iterated Fubini powers of the ideals $`J_n`$. Recall:

###### Definition 3.1.

 Suppose that $`I`$ is a $`\sigma `$-ideal on the real line and $`\alpha \omega _1`$ is an ordinal. The $`\alpha `$-th iterated Fubini power of the ideal $`I`$ is the $`\sigma `$-ideal $`I^\alpha `$ on $`^\alpha `$ consisting of those sets $`A^\alpha `$ for which Adam has a winning strategy in the two person game $`G(A)`$ of length $`\alpha `$. In $`\beta `$-th round of the game $`G(A)`$ first Adam plays a set in the ideal $`I`$ and then Eve chooses a real not in the set. Eve wins if the sequence of her answers belongs to the set $`A`$.

But in fact, in order to streamline the notation, we will not deal with the ideals $`J_n`$ directly. For every $`n>0`$ let $`K_n`$ be the $`\sigma `$-ideal on $`(2^\omega )^n`$ generated by the graphs of Borel partial functions from $`(2^\omega )^{n\{k\}}`$ to $`2^\omega `$ for all $`kn`$. There is a natural relationship between the ideals $`K_n`$ and $`J_n`$: consider the bijection $`g_n`$ between $`(2^\omega )^n`$ and $`2^\omega `$ defined by $`g_n(x_0,x_1,\mathrm{}x_{n1})=y`$ where $`y(m)=x_l(k)`$ where $`k`$ is the integer part of $`m/n`$ and $`l=mmodn`$. What is the preimage of the ideal $`J_n`$? Let $`X2^\omega `$ be a closed set such that $`c_n^{\prime \prime }X`$ misses at least one value, say $`kn`$. It is not difficult to see that the preimage of the set $`X`$ under the bijection $`g`$ is a graph of a partial Borel function from $`(2^\omega )^{n\{k\}}`$ to $`2^\omega `$: if $`\stackrel{}{x}=\stackrel{}{y}`$ are two $`n`$-tuples such that $`g_n(\stackrel{}{x}),g_n(\stackrel{}{y})X`$ and $`\stackrel{}{x}(m)=\stackrel{}{y}(m)`$ for all numbers $`mn`$ different from $`k`$, then necessarily $`\stackrel{}{x}(k)=\stackrel{}{y}(k)`$ as well, since otherwise $`c_n(g_n(\stackrel{}{x}),g_n(\stackrel{}{y}))=k`$, contradicting the choice of the set $`X`$. Thus clearly $`\{g^{}1(X):XJ_n\}K_n`$, $`\mathrm{𝚗𝚘𝚗}(J_n)\mathrm{𝚗𝚘𝚗}(K_n)`$ and for each countable ordinal $`\alpha `$, $`\mathrm{𝚗𝚘𝚗}(J_n^\alpha )\mathrm{𝚗𝚘𝚗}(K_n^\alpha )`$. Thus it will be enough to find the uniformities of the ideals $`K_n^\alpha `$.

###### Lemma 3.2.

Let $`n>0`$ be a natural number and $`\alpha `$ be a countable ordinal. Then $`\mathrm{𝚗𝚘𝚗}(K_n^\alpha )\mathrm{}_{n+1}`$.

###### Proof.

The following is the key fact in the argument:

###### Fact 3.3.

(Shelah) Let $`\kappa >\omega _1`$ be a regular cardinal. For every countable limit ordinal $`\alpha \omega _1`$ there is a sequence $`\stackrel{}{C}=C_\delta :\delta \kappa `$ such that

1. $`C_\delta \delta `$ is a closed set of ordertype $`\alpha `$
2. for every ordinal $`\delta \kappa `$ and every accumulation point $`\gamma C_\delta `$, the set $`C_\gamma `$ is just $`C_\delta \gamma `$
3. for every closed unbounded set $`E\kappa `$ there is an ordinal $`\delta E`$ such that the set $`C_\delta `$ is cofinal in $`\delta `$ of ordertype $`\alpha `$ and it is a subset of $`E`$.

This Fact was announced in , page 136, remark 2.14A. The proof is in , available from the Mathematics ArXiv. Now fix a number $`n>0`$ and a countable ordinal $`\alpha \omega _1`$, without loss assuming that $`\alpha `$ is limit. For every number $`mn`$ use the Fact to choose a club guessing sequence $`\stackrel{}{C}_m=C_\delta ^m:\delta \omega _{m+2}`$ on $`\omega _{m+2}`$. We may certainly assume that $`𝔠\mathrm{}_{n+1}`$ and so we can choose a sequence $`\stackrel{}{s}=s_\delta :\delta \omega _{n+1}`$ of pairwise distinct reals–elements of $`2^\omega `$. For every $`n`$-tuple $`\stackrel{}{\delta }_{mn}\omega _{m+2}`$ such that the sets $`C_{\stackrel{}{\delta }(m)}^m`$ have ordertype $`\alpha `$, let $`\stackrel{}{\delta }(m)(\beta ):\beta \alpha `$ enumerate the nonaccumulation points of these sets in the increasing order, and let $`\stackrel{}{r}_\stackrel{}{\delta }(((2^\omega )^n)^\alpha )`$ be the $`\alpha `$-sequence whose $`\beta `$-th element is the point $`s_{\stackrel{}{\delta }(m)(\beta )}:mn`$ in the space $`(2^\omega )^n`$. It will be enough to show that the set $`\{\stackrel{}{r}_\stackrel{}{\delta }:\stackrel{}{\delta }_{mn}\omega _{m+2}\}`$ is $`J_n^\alpha `$-positive.

To prove this, for every Adam’s strategy $`\sigma `$ in the transfinite game we need to find an $`n`$-tuple $`\stackrel{}{\delta }`$ such that the sequence $`\stackrel{}{r}_\stackrel{}{\delta }`$ is a legal counterplay against the strategy $`\sigma `$. So fix the strategy $`\sigma `$ and by downward induction on $`mn`$ find

1. a continuous increasing $``$-tower $`\stackrel{}{M}_m=M_\delta ^m:\delta \omega _{m+2}`$ of elementary submodels of a large enough structure, each of them of size $`\mathrm{}_{m+1}`$ and such that $`M_\delta ^m\omega _{m+2}\omega _{m+2}`$. In particular, we require $`\stackrel{}{C}_k:kn+1,\stackrel{}{s},\sigma M_0^m`$. Let $`E_m=\{\delta \omega _{m+2}:M_\delta ^m\omega _{m+2}=\delta \}`$; this is a closed unbounded subset of $`\omega _{m+2}`$.
2. an ordinal $`\delta _m\omega _{m+2}`$ such that the set $`C_{\delta _m}^m\delta _m`$ is cofinal of ordertype $`\alpha `$ and it is a subset of the club $`E_m`$. For every two numbers $`kmn`$ we demand that $`\delta _mM_0^k`$.

Let $`\stackrel{}{\delta }=\delta _m:mn`$. We claim that the sequence $`\stackrel{}{r}_\stackrel{}{\delta }`$ is the desired legal counterplay against the strategy $`\sigma `$. So look at an arbitrary round $`\beta \alpha `$ and suppose that the sequence does constitute a legal counterplay up to this point. What happens at round $`\beta `$?

The important observation is that for every integer $`kn`$, the play up to this round is in the model $`M_{\stackrel{}{\delta }(k)(\beta )}^k`$ since it is defined from objects that belong to this model. In particular, one of the parameters in the definition is the set $`C_{\stackrel{}{\delta }(k)}^k\stackrel{}{\delta }(k)(\beta )`$ which is in the model by the coherence requirement (2) in Fact 3.3.

The strategy $`\sigma `$ now commands Adam to play partial Borel functions $`\{f_{mk}:kn,m\omega \}`$ such that $`f_{mk}`$ is a function from $`(2^\omega )^{n\{k\}}`$ to $`2^\omega `$. We must show that the point $`\stackrel{}{r}_\stackrel{}{\delta }(\beta )`$ is not contained in the graph of any of these functions. So choose integers $`m\omega `$ and $`kn`$. Consider the set $`Y=\{f_{mk}(\stackrel{}{u},\stackrel{}{v}):\stackrel{}{u}(2^\omega )^k`$ is a sequence all of whose entries are on the $`\stackrel{}{s}`$-sequence, indexed by ordinals smaller than $`\omega _{k+1}`$ and $`\stackrel{}{v}(2^\omega )^{n(k+1)}`$ is a sequence all of whose entries are on the $`\stackrel{}{s}`$-sequence, indexed by ordinals in the set $`_{k+2ln+2}C_{\stackrel{}{\delta }(l)}^l\}`$. This set is of size $`<\omega _{k+2}`$ and it belongs to the model $`M_{\stackrel{}{\delta }(k)(\beta )}^k`$. Thus $`YM_{\stackrel{}{\delta }(k)(\beta )}^k`$, in particular $`s_{\stackrel{}{\delta }(k)(\beta )}Y`$, which by the definition of the set $`Y`$ means that the point $`\stackrel{}{r}_\stackrel{}{\delta }(\beta )=s_{\stackrel{}{\delta }(l)(\beta )}:ln`$ is not on the graph of the function $`f_{mk}`$ as desired. The lemma follows. ∎

###### Corollary 3.4.

Let $`n>0`$ be a natural number and let $`\alpha `$ be a countable ordinal. $`\mathrm{𝚗𝚘𝚗}(J_n^\alpha )\mathrm{}_{n+1}`$.

In order to analyse the countable support iteration in which the forcings $`P_n`$ alternate, we need to change the approach a little bit:

###### Definition 3.5.

Suppose that $`\stackrel{}{I}`$ is an $`\omega `$-sequence of $`\sigma `$-ideals on the reals and $`\alpha `$ is a countable ordinal. The ideal $`\stackrel{}{I}^\alpha `$ on $`^{\omega \alpha }`$ consists of those sets $`A^{\omega \alpha }`$ for which Adam has a winning strategy in the transfinite two person game $`G(A)`$ of length $`\omega \alpha `$. In the $`\omega \beta +n`$-th round of this game, Adam plays a set in the ideal $`\stackrel{}{I}(n)`$ and Eve responds with a real which is not in this set. Eve wins if the sequence of her answers belongs to the set $`A`$.

Let $`\stackrel{}{K}`$ be the $`\omega `$-sequence of ideals given by $`\stackrel{}{K}(n)=K_{n+1}`$.

###### Lemma 3.6.

Let $`\alpha `$ be a countable ordinal. Then $`\mathrm{𝚗𝚘𝚗}(\stackrel{}{K}^\alpha )\mathrm{}_{\omega _2+1}`$.

###### Proof.

Let $`\alpha `$ be an arbitrary countable ordinal. First we need to fix several objects whose existence is provable in ZFC.

1. An increasing sequence $`\stackrel{}{\kappa }=\kappa _\delta :\delta \omega _2`$ of regular cardinals below $`\mathrm{}_{\omega _2}`$ such that the true cofinality of their product modulo the bounded ideal on $`\omega _2`$ is $`\omega _{\omega _2+1}`$, from , Chapter II, Theorem 1.5. This means that there is a sequence $`\stackrel{}{h}=h_\gamma :\gamma \omega _{\omega _2+1}`$ of functions in $`_\delta \kappa _\delta `$ which is increasing and cofinal in the modulo bounded ordering. Fix such a sequence.
2. A club guessing sequence $`\stackrel{}{C}=C_\gamma :\gamma \omega _{\omega _2+1}`$ from Fact 3.3. The sequence will guess closed unbounded subsets of $`\omega _{\omega _2+1}`$ by segments of length $`\omega \omega \alpha `$. For every ordinal $`\gamma \omega _{\omega _2+1}`$ let $`C(\gamma ,\beta )`$ denote the $`\beta `$-th nonaccumulation point of the set $`C_\gamma `$.
3. A club guessing sequence $`\stackrel{}{D}=D_\delta :\delta \omega _2`$ from Fact 3.3. The sequence will guess closed unbounded subsets of $`\omega _2`$ by segments of length $`\omega \omega \alpha `$ again, with similar notational convention for as in the previous item, using the symbol $`D(\delta ,\beta )`$ for the $`\beta `$-th nonaccumulation point of the set $`D_\delta `$.
4. Without harm we may assume that $`𝔠>\mathrm{}_{\omega _2}`$. So let us fix a sequence $`\stackrel{}{s}=s_\gamma :\gamma \omega _{\omega _2+1}`$ of pairwise distinct reals (elements of $`2^\omega `$).

Now suppose that $`\gamma \omega _{\omega _2+1}`$ and $`\delta \omega _2`$ are ordinals such that the ordertypes of the sets $`C_\gamma `$ and $`D_\delta `$ are both $`\omega \omega \alpha `$. Define a $`\omega \alpha `$ sequence $`\stackrel{}{r}_{\gamma \delta }`$ by setting its $`\omega \beta +n`$-th element to be the point in the space $`(2^\omega )^{n+1}`$ whose $`k`$-th coordinate for every number $`kn+1`$ is the real number on the $`s`$ sequence indexed by the ordinal $`h_{C(\gamma ,\omega (\omega \beta +n)+k)}(D(\delta ,\omega (\omega \beta +n)+nk))`$. We will show that the collection $`\{\stackrel{}{r}_{\gamma \delta }:\gamma \omega _{\omega _2+1},\delta \omega _2\}`$ is $`\stackrel{}{K}^\alpha `$-positive, proving the lemma. This means that for every Adam’s strategy $`\sigma `$ in the transfinite game we must find ordinals $`\gamma \omega _{\omega _2+1}`$ and $`\delta \omega _2`$ such that the sequence $`\stackrel{}{r}_{\gamma \delta }`$ is a legal counterplay against the strategy.

Fix a continuous increasing $``$-tower $`M_\gamma :\gamma \omega _{\omega _2+1}`$ of elementary submodels of large enough structure, each of them of size $`\mathrm{}_{\omega _2}`$ and such that $`M_\gamma \omega _{\omega _2+1}\omega _{\omega _2+1}`$. In particular, $`\stackrel{}{\kappa },\stackrel{}{h},\stackrel{}{C},\stackrel{}{D},\sigma M_0`$. Let $`E=\{\gamma \omega _{\omega _2+1}:M_\gamma \omega _{\omega _2+1}\omega _{\omega _2+1}\}`$. Since this is a closed unbounded subset of $`\omega _{\omega _2+1}`$, there must be an ordinal $`\gamma `$ such that the set $`C_\gamma \gamma `$ is cofinal of ordertype $`\omega \omega \alpha `$ and $`C_\gamma E`$.

Also, fix a continuous increasing $``$-tower $`N_\delta :\delta \omega _2`$ of elementary submodels of large enough structure, each of them of size $`\mathrm{}_1`$ and such that $`N_\delta \omega _2\omega _2`$. In particular, $`\stackrel{}{\kappa },\stackrel{}{h},\stackrel{}{C},\stackrel{}{D},E,\sigma ,\gamma N_0`$. Let $`F=\{\delta \omega _2:N_\delta \omega _2=\delta \}`$. Since this is a closed unbounded set, there must be an ordinal $`\delta \omega _2`$ such that the set $`D_\delta \delta `$ is cofinal of ordertype $`\omega \omega \alpha `$ and $`D_\delta F`$.

We claim that the sequence $`\stackrel{}{r}_{\gamma \delta }`$ is a legal counterplay against the strategy $`\sigma `$. Well, consider the situation at round $`\omega \beta +n`$ for some ordinal $`\beta \alpha `$ and number $`n\omega `$. Suppose that up to this point, the sequence constituted a legal partial play; we want to see that it will provide a legal answer even in this round. The strategy $`\sigma `$ commands Adam to play partial Borel functions $`\{f_{mk}:kn+1,m\omega \}`$ such that for each $`kn+1`$ and each $`m\omega `$ the function maps $`(2^\omega )^{n+1\{k\}}`$ to $`(2^\omega )`$. We must show that the $`n+1`$-tuple $`\stackrel{}{t}=\stackrel{}{r}_{\gamma \delta }(\omega \beta +n)(2^\omega )^{n+1}`$ is not on the graph of any of these functions, that is $`\stackrel{}{t}(k)f_{mk}(\stackrel{}{t}(n+1\{k\}))`$.

To this end, fix integers $`kn+1`$ and $`m\omega `$. Define a function $`g_\eta \kappa _\eta `$ by letting $`g(\eta )`$ to be the supremum of the set $`\{\xi \kappa _\eta :s_\xi =f_{mk}(\stackrel{}{u},\stackrel{}{v}),`$ where $`\stackrel{}{u}(2^\omega )^k`$ is a sequence all of whose entries are on the $`\stackrel{}{s}`$-sequence, and are indexed by ordinals $`<sup\{\kappa _\eta ^{}:\eta ^{}\eta \}`$, and $`\stackrel{}{v}(2^\omega )^{(n+1)(k+1)}`$ is a sequence all of whose entries are on the $`\stackrel{}{s}`$-sequence and are indexed in the ordinals in the range of the functions $`\{h_\gamma ^{}:\gamma ^{}C_\gamma C(\gamma ,\omega (\omega \beta +n)+k)\}\}`$. It is immediate that this set has size $`<\kappa _\eta `$ and so the function $`g`$ is well-defined. There are two important points.

1. $`gM_{C(\gamma ,\omega (\omega \beta +n)+k)}`$. This so happens because the function is defined from objects contained in the model, in particular from the set $`C_\gamma \gamma (\omega (\omega \beta +n)+k)`$ which belongs to the model by the coherence of the $`C`$-sequence.
2. $`gN_{D(\delta ,\omega (\omega \beta +n)+k)}`$ by the same reason as in the previous item, this time using the coherence of the $`D`$-sequence.

By the first point, the function $`g_\delta \kappa _\delta `$ is dominated by the function $`h_{C(\gamma ,\omega (\omega \beta +n)+k)}`$ from some ordinal on. By the second point, this ordinal must be smaller than $`D(\delta ,\omega (\omega \beta +n)+k)`$. By the definition of the function $`g`$ and the sequence $`\stackrel{}{t}=\stackrel{}{r}_{\gamma \delta }(\omega \beta +n)`$ then, it must be the case that $`\stackrel{}{t}(k)f_{mk}(\stackrel{}{t}(n+1\{k\}))`$ as desired. The lemma follows. ∎

So we have the following. Let $`\stackrel{}{J}`$ be the $`\omega `$-sequence of ideals given by $`\stackrel{}{J}(n)=J_{n+1}`$.

###### Corollary 3.7.

Let $`\alpha `$ be a countable ordinal. $`\mathrm{𝚗𝚘𝚗}(\stackrel{}{J}^\alpha )\mathrm{}_{\omega _2}+1`$.

Let $`K_\omega `$ be the $`\sigma `$-ideal on $`(2^\omega )^\omega `$ $`\sigma `$-generated by the graphs of partial Borel functions from $`(2^\omega )^{\omega \{n\}}`$ to $`2^\omega `$, for all numbers $`n\omega `$. The following lemma is an observation complementary to the previous results in this section. It shows that the ideal $`K_\omega `$ is different from the ideals $`K_n`$ in that its uniformity can be arbitrarily large:

###### Lemma 3.8.

$`𝔭\mathrm{𝚗𝚘𝚗}(K_\omega )`$.

###### Proof.

Suppose that $`A(2^\omega )^\omega `$ is a set of size $`<𝔭`$. We must produce partial Borel functions $`\{f_n:n\omega \}`$ such that $`f_n:(2^\omega )^{\omega \{n\}}2^\omega `$ and every point in the set $`A`$ is on the graph of one of them. First, use the Axiom of Choice to find a set $`BA`$ so that

1. for all sequences $`\stackrel{}{x},\stackrel{}{y}B`$ if $`\stackrel{}{x}(m)=\stackrel{}{y}(m)`$ for all but finitely many integers $`m`$ then $`\stackrel{}{x}=\stackrel{}{y}`$
2. $`BA`$ is a maximal set with the previous property.

For each number $`n`$ let $`g_n`$ be a partial function from $`(2^\omega )^{\omega \{n\}}`$ to $`2^\omega `$ defined by $`g_n(\stackrel{}{x})=z`$ if the sequence $`\stackrel{}{y}_0=\stackrel{}{x}\{n,z\}`$ is in the set $`A`$ and for some sequence $`\stackrel{}{y}_1`$ in the set $`B`$, $`\stackrel{}{y}_0(m)=\stackrel{}{y}_1(m)`$ for all numbers $`mn`$. By the property (1) of the set $`B`$, this formula does correctly define the functions $`g_n`$, and by the property (2), every point in the set $`A`$ is on the graph of all but finitely many of these functions. Now there is a general fact, proved for example in  Appendix B, that every partial function of size $`<𝔭`$ between Polish spaces is a subset of a Borel function. Thus for every number $`n`$ there is a Borel function $`f_n`$ such that $`g_nf_n`$; clearly every point in the set $`A`$ is on the graph of all but finitely many of the functions $`f_n`$ as desired.

To prove the abovementioned general fact, consider for simplicity a partial function $`g:2^\omega 2^\omega `$. By a standard almost disjoint coding argument find a $`\sigma `$-centered forcing adding subsets $`\dot{a}_i:i\omega `$ of $`2^{<\omega }`$ such that $`x\dot{a}_i`$ is finite if and only $`g(x)(i)=0`$ for every infinite binary sequence $`x`$ in the ground model, viewed as the set of all its initial segments and so a subset of $`2^{<\omega }`$. By the small size of the function $`g`$ and Bell’s theorem there will be sets $`a_i:i\omega `$ already in the ground model such that the Borel function $`f:2^\omega 2^\omega `$ defined by $`f(x)(i)=0`$ iff $`xa_i`$ is finite, extends the function $`g`$ as desired. ∎

## 4 The duality theorems

The proof of Theorem 1.2 follows the argument for the duality theorem in the Applications section of . Suppose that $`n>0`$ is a natural number and $`I`$ is an analytic ideal on the reals such that ZFC proves $`\mathrm{𝚌𝚘𝚟}(I)𝔥𝔪_n`$. We want to argue that $`\mathrm{𝚗𝚘𝚗}(I)\mathrm{}_{n+1}`$. For this, it is necessary to analyse the countable support iteration of the $`P_n`$ forcing. The following Facts use the terminology and arguments from . Recall:

###### Definition 4.1.

 Suppose $`K`$ is a $`\sigma `$-ideal on the reals and $`\alpha \omega _1`$ is an ordinal. A set $`B^\alpha `$ is $`K`$-perfect if the tree $`T^\alpha `$ of all initial segments of the sequences in the set $`B`$ has the following two properties. It is $`K`$-positively branching, meaning that for every node $`tT`$ the set $`\{r:t^{}rT\}`$ is not in the ideal $`K`$. And it is $`\sigma `$-closed, meaning that for every sequence $`t_0t_1\mathrm{}`$ of sequences in the tree $`T`$ we have $`_{n\omega }t_nT`$.

###### Fact 4.2.

For every countable ordinal $`\alpha \omega _1`$ and every analytic set $`A(2^\omega )^\alpha `$, either the set $`A`$ contains a Borel $`J_n`$-perfect subset, or it belongs to the ideal $`J_n^\alpha `$. Under the assumption of the existence of $`\omega `$ many Woodin cardinals, this extends to all projective sets.

This is an immediate consequence of Lemmas 2.1 and 2.2, Corollary 2.5 and the work of .

###### Fact 4.3.

For every countable ordinal $`\alpha \omega _1`$ the ideal $`J_n^\alpha `$ is homogeneous.

This happens because the ideal $`J_n`$ is homogeneous. It means in particular that for every Borel $`J_n`$-perfect set $`B(2^\omega )^\alpha `$ the invariant $`\mathrm{𝚗𝚘𝚗}(J_n^\alpha )`$ is equal to $`\mathrm{𝚗𝚘𝚗}(J_n^\alpha B)`$, the smallest size of a $`J_n^\alpha `$-positive subset of $`B`$.

###### Fact 4.4.

There is a countable ordinal $`\alpha \omega _1`$, a Borel $`J_n`$-perfect subset $`B(2^\omega )^\alpha `$ and a Borel function $`f:B`$ such that $`f`$-preimages of $`I`$-small sets are $`J_n^\alpha `$-small.

This is true because after the countable support iteration of the $`P_n`$-forcing of length $`𝔠^+`$, it is still the case that $`\mathrm{𝚌𝚘𝚟}(I)𝔥𝔪_n`$ and so there must be a name for a real which falls out of all ground model coded $`I`$-small sets. This name must be represented by a Borel set and a function as in the above Fact–.

Now fix $`\alpha ,B`$ and $`f`$ from the previous Fact. By Fact 2.3 and Corollary 3.4, there is a $`J_n^\alpha `$-positive subset $`AB`$ of size $`\mathrm{}_{n+1}`$. By the properties of the function $`f`$, the set $`f^{\prime \prime }A`$ must be an $`I`$-positive set of size $`\mathrm{}_{n+1}`$, and Theorem 1.2 follows.

The argument for Theorem 1.3 is similar, using the analysis of the countable support iteration in which the forcings $`P_n`$ alternate and Corollary 3.7. Theorem 1.1 is just a special case of Theorem 1.2.