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# On the compactification of hyperconcave ends and the theorems of Siu -Yau and Nadel

## 1. Introduction

We will be concerned with the following class of manifolds.

###### Definition 1.1.

A complex manifold $`X`$ with $`dimX2`$ is said to be a strongly pseudoconcave end if there exist $`a\{+\mathrm{}\}`$ and $`c\{\mathrm{}\}`$ and a proper, smooth function $`\phi :X(c,a)`$, which is strictly plurisubharmonic on a set of the form $`\{\phi <b\}`$, for some $`ba`$. If $`c=\mathrm{}`$, $`X`$ is called a hyperconcave end. For $`e<d<a`$ we set $`X_d=\{\phi <d\}`$ and $`X_e^d=\{e<\phi <d\}`$. We call $`\phi `$ exhaustion function.

We say that a strongly pseudoconcave end can be compactified or filled in if there exists a complex space $`\widehat{X}`$ such that $`X`$ is (biholomorphic to) an open set in $`\widehat{X}`$ and for any $`d<a`$, $`(\widehat{X}X)\{\phi d\}`$ is a compact set. We will call $`\widehat{X}`$ the completion of $`X`$.

By a theorem of Rossi \[29, Th. 3, p. 245\] and Andreotti-Siu \[2, Prop. 3.2\] any strongly pseudoconcave end $`X`$ can be compactified, provided $`dimX3`$. This is no longer true if $`dimX=2`$, as shown in a counterexample of Grauert, Andreotti-Siu and Rossi .

Our goal is to compactify the hyperconcave ends also in dimension two. Let us mention some examples. The regular part of a variety with isolated singularities is a hyperconcave end. The same is true for the complement of a compact completely pluripolar set (the set where a strongly plurisubharmonic function equals $`\mathrm{}`$) in a complex manifold. The first step in the proof of the Siu-Yau compactification theorem  is to show that a complete Kähler manifold $`X`$ of finite volume and sectional curvature pinched between two negative constants has hyperconcave ends. One can also check that the examples of Grauert, Andreotti-Siu and Rossi are not hyperconcave ends.

###### Theorem 1.2.

Any hyperconcave end $`X`$ can be compactified. Moreover, if $`\phi `$ is strictly plurisubharmonic on the whole $`X`$, the completion $`\widehat{X}`$ can be chosen a normal Stein space with at worst isolated singularities.

The motivation for the study of the compactification of hyperconcave ends comes from the theory of complex-analytic compactification of quotients $`X=𝔹^n/\mathrm{\Gamma }`$ of the unit ball in $`^n`$, $`n2`$ by arithmetic groups $`\mathrm{\Gamma }`$. The Satake-Baily-Borel compactification $`\widehat{X}`$ of $`X=𝔹^n/\mathrm{\Gamma }`$ is obtained by adding a finite set of points which are isolated singularities. The Siu-Yau theorem gives a differential geometric proof of this fact, first by proving that $`X`$ has hyperconcave ends and then showing it can be compactified by adding finitely many points. In this context, our next goal is to find necessary conditions for a manifold with hyperconcave ends to be analytically compactified by adding one point at each end. This also yields a complex analytic proof of the second step of Siu-Yau’s theorem (see Corollary 5.1). For more results on the compactification of complete Kähler-Einstein manifolds of finite volume and bounded curvature we refer to Mok  and the references therein.

###### Theorem 1.3.

Let $`X`$ be a hyperconcave end and let $`\widehat{X}`$ be a smooth completion of $`X`$. Assume that $`X`$ can be covered by Zariski-open sets which are uniformized by Stein manifolds. Then $`\widehat{X}X`$ is the union of a finite set $`D^{}`$ and an exceptional analytic set which can be blown down to a finite set $`D`$. Each connected component of $`X_c`$, for sufficiently small $`c`$, can be analytically compactified by one point from $`D^{}D`$. If $`X`$ itself has a Stein cover, $`D^{}=\mathrm{}`$ and $`D`$ consists of the singular set of the Remmert reduction of $`\widehat{X}`$.

Let us note that the result is natural, in the light of a recent result of Colţoiu-Tibăr , asserting that the universal cover of a small punctured neighbourhood of an isolated singularity of dimension two is Stein, whenever the fundamental group of the link is infinite.

Theorem 1.3 affords the extension to dimension two of Nadel’s theorems . If in Definition 1.1 we may take $`a=+\mathrm{}`$ and $`\phi `$ bounded from above, the manifold $`X`$ is said to be hyper $`1`$\- concave . In this case $`\{\phi c\}`$ is compact for every $`c`$. Hyper $`1`$\- concave manifolds are particular cases of strongly 1-concave manifolds in the sense of Andreotti-Grauert .

###### Corollary 1.4.

Let $`X`$ be a connected manifold of dimension $`n2`$. The following conditions are necessary and sufficient for $`X`$ to be a quasiprojective manifold which can be compactified to a Moishezon space by adding finitely many points: (i ) $`X`$ is hyper $`1`$-concave, (ii ) $`X`$ admits a line bundle $`E`$ such that the ring $`_{k>0}H^0(X,E^k)`$ separates points and gives local coordinates, and (iii ) $`X`$ can be covered by Zariski-open sets which can be uniformized by Stein manifolds. If $`X`$ has a Stein cover, one adds only singular points.

Corollary 1.4 yields, in dimension two, a version of Nadel-Tsuji theorem  together with a completely complex-analytic proof of the compactification of arithmetic quotients. It answers also \[23, Prob. 1\] for the case $`q=0`$.

In  we apply the results of this paper to ball quotients of dimension two having a strongly pseudoconvex boundary, extending results of Burns and Napier-Ramachandran . Another application of the above theorems is the embedding of Sasakian manifolds .

The organization of the paper is as follows. In §2 we construct holomorphic functions on a hyperconcave end and then we prove Theorem 1.2 in §3. The proof of Theorem 1.3 occupies §4 and in §5 we extend Nadel’s and Andreotti-Siu theorems to dimension two.

## 2. Existence of holomorphic functions

The idea of proof is to analytically embed small strips $`X_e^e^{}`$, for $`e<e^{}`$ in a neighbourhood of minus infinity, into the difference of two concentric polydiscs in the euclidian space. Then we apply the Hartogs extension theorem to extend the image to an analytic set which will provide the compactification. To obtain the embedding we follow the strategy of Grauert and Kohn for the solution of the Levi problem. Namely, we solve the $`L^2`$ $`\overline{}`$-Neumann for $`(0,1)`$-forms on domains $`X_d`$ with strongly pseudoconvex boundary $`\{\phi =d\}`$ endowed with a complete metric at minus infinity. This entails the finiteness of the $`L^2`$ Dolbeault cohomology $`H_{(2)}^{0,1}(X_d)`$ which in turn implies the existence of peak holomorphic functions at each point of the boundary $`\{\phi =d\}`$. Note that, as a consequence of the Andreotti-Grauert theory , in dimension two, the sheaf cohomology group $`H^1(X_e^d,)`$ of a strip $`X_e^d`$, where $`e<d<b`$, is infinite dimensional for any coherent analytic sheaf $``$. This makes possible the counterexamples of Grauert-Andreotti-Rossi. On the other hand, the finiteness of this group in dimension greater than three implies the Rossi and Andreotti-Siu theorems .

We shall suppose henceforth without loss of generality that $`b>0`$. The function $`\chi =\mathrm{log}(\phi )`$ is smooth and strictly plurisubharmonic on $`X_0`$. We set

(2.1)
$$\omega =\sqrt{1}\overline{}\chi =\sqrt{1}\overline{}\mathrm{log}(\phi ).$$

Note that $`\overline{}\chi =\overline{}\phi /(\phi )+(\phi \overline{}\phi )/\phi ^2`$ and $`(\phi \overline{}\phi )/\phi ^2=\chi \overline{}\chi `$ . Since $`\sqrt{1}\overline{}\phi /(\phi )`$ represents a metric on $`X_0`$, we get the Donnelly-Fefferman condition:

(2.2)
$$|\chi |_\omega 1.$$

Since $`\chi :X_0`$ is proper, (2.2) also ensures that $`\omega `$ is complete. Indeed, (2.2) entails that $`\chi `$ is Lipschitz with respect to the geodesic distance induced by $`\omega `$, so any geodesic ball must be relatively compact.

We fix in the sequel a regular value $`d(1,0)`$ of $`\phi `$. The metric $`\omega `$ is complete at the pseudoconcave end of $`X_d`$ and extends smoothly over the boundary $`bX_d`$.

We wish to derive the Poincaré inequality for $`(0,1)`$-forms on $`X_d`$. For this goal we look first at the minus infinity end and use the Berndtsson-Siu trick . Roughly speaking, it uses the negativity of the trivial line bundle, thus avoiding the problems raised by the control of the Ricci curvature of $`\omega `$ at $`\mathrm{}`$. Let us denote by $`𝒞_0^{\mathrm{\hspace{0.17em}0},q}(X_d)`$ the space of smooth $`(0,q)`$-forms with compact support in $`X_d`$. Let $`\vartheta =`$ be the formal adjoint of $`\overline{}`$ with respect to the scalar product $`(u,v)=_{X_d}u,v𝑑V_\omega `$, where $`u,v=u,v_\omega `$ and $`dV_\omega =\omega ^n/n!`$ .

###### Lemma 2.1.

For any $`v𝒞_0^{\mathrm{\hspace{0.17em}0},1}(X_d)`$ we have $`v^28\left(\overline{}v^2+\vartheta v^2\right)`$.

###### Proof.

On the trivial bundle $`E=X_d\times `$ we introduce the auxiliary hermitian metric $`e^{\chi /2}`$. The curvature of $`E`$ is then $`\mathrm{\Theta }(E)=\overline{}(\chi /2)`$. Let $`\vartheta _\chi `$ be the formal adjoint of $`\overline{}`$ with respect to the scalar product $`(u,v)_\chi =_{X_d}u,ve^{\chi /2}𝑑V_\omega `$ . Then $`\vartheta _\chi =e^{\chi /2}\vartheta e^{\chi /2}`$. We apply the Bochner-Kodaira-Nakano formula for $`u𝒞_0^{\mathrm{\hspace{0.17em}0},1}(X_d)`$:

(2.3)
$$_{X_d}[\sqrt{1}\overline{}(\chi /2),\mathrm{\Lambda }_\omega ]u,ue^{\chi /2}𝑑V_\omega _{X_d}\left(|\overline{}u|^2+|\vartheta _\chi u|^2\right)e^{\chi /2}𝑑V_\omega ,$$

where $`\mathrm{\Lambda }_\omega `$ represents the contraction with $`\omega `$ and $`[A,B]=AB(1)^{\mathrm{deg}A\mathrm{deg}B}BA`$ is the graded commutator of the operators $`A,B`$. The idea is to substitute $`v=ue^{\chi /4}`$. It is readily seen that

(2.4)
$$|\overline{}u|^2e^{\chi /2}\mathrm{\hspace{0.17em}2}|\overline{}v|^2+\frac{1}{8}|\overline{}\chi |^2|v|^2,|\vartheta _\chi u|^2e^{\chi /2}\mathrm{\hspace{0.17em}2}|\vartheta v|^2+\frac{1}{8}|\chi |^2|v|^2.$$

Moreover $`[\sqrt{1}\overline{}(\chi /2),\mathrm{\Lambda }_\omega ]u,ue^{\chi /2}=[\sqrt{1}\overline{}(\chi /2),\mathrm{\Lambda }_\omega ]v,v.`$ In general, for a $`(p,q)`$–form $`\alpha `$ we have the identity $`[\omega ,\mathrm{\Lambda }_\omega ]\alpha ,\alpha =(p+qn)|\alpha |^2`$, where $`n=dimX`$. Taking into account that $`\omega =\sqrt{1}\overline{}\chi `$ and that $`v`$ is a $`(0,1)`$–form, we obtain

(2.5)
$$[\sqrt{1}\overline{}(\chi /2),\mathrm{\Lambda }_\omega ]u,ue^{\chi /2}=\frac{n1}{2}|v|^2\frac{1}{2}|v|^2.$$

By (2.3), (2.4), (2.2),

(2.6)
$$\frac{1}{2}_{X_d}|v|^2𝑑V_\omega \mathrm{\hspace{0.17em}2}_{X_d}\left(|\overline{}v|^2+|\vartheta v|^2\right)𝑑V_\omega +\frac{1}{4}_{X_d}|v|^2𝑑V_\omega .$$

This immediately implies Lemma 2.1 for elements $`v𝒞_0^{\mathrm{\hspace{0.17em}0},1}(X_d)`$. ∎

Let $`\eta :(\mathrm{},0)`$ be a smooth function such that $`\eta (t)=0`$ on $`(\mathrm{},2]`$, $`\eta ^{}(t)>0`$, $`\eta ^{\prime \prime }(t)>0`$ on $`(2,0)`$. Let us introduce the scalar product

(2.7)
$$(u,v)_{\eta (\phi )}=_{X_d}u,ve^{\eta (\phi )}𝑑V_\omega ,$$

the corresponding norm $`_{\eta (\phi )}`$ and $`L^2`$ spaces, denoted $`L_2^{0,q}(X_d,\eta (\phi ))`$. Let $`𝒞_0^{\mathrm{\hspace{0.17em}0},q}(\overline{X}_d)`$ be the space of smooth $`(0,q)`$-forms with compact support in $`\overline{X}_d`$.

Consider the maximal closed extension of $`\overline{}`$ to $`L_2^{0,q}(X_d,\eta (\phi ))`$ and let $`\overline{}_{\eta (\phi )}^{}`$ and $`\vartheta _{\eta (\phi )}`$ be its Hilbert-space and formal adjoints, respectively. Then $`\vartheta _{\eta (\phi )}=\vartheta +i\left(\eta (\phi )\right)`$, where $`i()`$ represents the interior product.

We denote by $`\sigma (P,df)`$ the symbol of a differential operator of order one, calculated on the cotangent vector $`df`$. Then $`\sigma (\vartheta ,df)=f`$ and it is clear that $`\sigma (\vartheta _{\eta (\phi )},df)=\sigma (\vartheta ,df)`$ does not depend on $`\eta `$. Set $`B^{\mathrm{\hspace{0.17em}0},q}=\{\alpha 𝒞_0^{\mathrm{\hspace{0.17em}0},q}(\overline{X}_d):\sigma (\vartheta ,d\phi )\alpha =0\text{on}bX_d\}`$. Integration by parts \[14, Prop. 1.3.1–2\] yields $`\mathrm{Dom}\overline{}_{\eta (\phi )}^{}𝒞_0^{\mathrm{\hspace{0.17em}0},q}(\overline{X}_d)=B^{\mathrm{\hspace{0.17em}0},q}`$, $`\overline{}_{\eta (\phi )}^{}=\vartheta _{\eta (\phi )}`$ on $`B^{\mathrm{\hspace{0.17em}0},q}`$.

###### Lemma 2.2.

The space $`B^{\mathrm{\hspace{0.17em}0},q}`$ is dense in $`\mathrm{Dom}\overline{}\mathrm{Dom}\overline{}_{\eta (\phi )}^{}`$ in the graph norm

$$u\left(u_{\eta (\phi )}^2+\overline{}u_{\eta (\phi )}^2+\overline{}_{\eta (\phi )}^{}u_{\eta (\phi )}^2\right)^{1/2}.$$

###### Proof.

We use first the idea from \[4, Lemma 4, p. 92–3\] in order to reduce the proof to the case of a compactly supported form $`u𝒞_0^{\mathrm{\hspace{0.17em}0},q}(\overline{X}_d)`$. But then the approximation in the graph norm follows from the Friedrichs theorem on the identity of weak and strong derivatives, cf. \[21, Prop. 1.2.4\]. ∎

We confine next our attention to the fundamental estimate on $`X_d`$.

###### Lemma 2.3.

If $`\eta `$ grows sufficiently fast, there exists a constant $`C>0`$ such that

(2.8)
$$u_{\eta (\phi )}^2C\left(\overline{}u_{\eta (\phi )}^2+\overline{}_{\eta (\phi )}^{}u_{\eta (\phi )}^2+_K|u|^2e^{\eta (\phi )}𝑑V_\omega \right),$$

for any $`u\mathrm{Dom}\overline{}\mathrm{Dom}\overline{}_{\eta (\phi )}^{}L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(X_d,\eta (\phi ))`$, where $`K=\{3\phi 3/2\}`$.

###### Proof.

The Morrey-Kohn-Hörmander estimate \[21, Th. 3.3.5\], \[18, p. 429, (7.14)\], for $`(0,1)`$-forms shows that there exists $`R>0`$ such that for sufficiently growing $`\eta `$ the following estimate holds:

(2.9)
$$u_{\eta (\phi )}^2R\left(\overline{}u_{\eta (\phi )}^2+\overline{}_{\eta (\phi )}^{}u_{\eta (\phi )}^2+_{\{3\phi 3/2\}}|u|^2e^{\eta (\phi )}𝑑V_\omega \right),$$

for $`u\mathrm{Dom}\overline{}\mathrm{Dom}\overline{}_{\eta (\phi )}^{}L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(X_d,\eta (\phi ))`$, $`\mathrm{supp}u\{3\phi \}`$ . Let $`u\mathrm{Dom}\overline{}\mathrm{Dom}\overline{}_{\eta (\phi )}^{}L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(X_d,\eta (\phi ))`$. The density Lemma 2.2 shows that to prove (2.8) it suffices to consider smooth elements $`u`$ compactly supported in $`\overline{X}_d`$. We choose a cut-off function $`\rho _1𝒞^{\mathrm{}}(\overline{X}_d)`$ such that $`\mathrm{supp}\rho _1=\{3\phi \}`$, $`\rho _1=1`$ on $`\{2\phi \}`$. Set $`\rho _2=1\rho _1`$. On $`\mathrm{supp}\rho _2`$, $`\eta (\phi )`$ vanishes, therefore $`\overline{}_{\eta (\phi )}^{}(\rho _2u)=\vartheta (\rho _2u)`$. Upon applying Lemma 2.1 for $`\rho _2u`$ we get $`\rho _2u_{\eta (\phi )}^28\left(\overline{}(\rho _2u)_{\eta (\phi )}^2+\overline{}_{\eta (\phi )}^{}(\rho _2u)_{\eta (\phi )}^2\right)`$. The latter estimate and estimate (2.9) for $`\rho _1u`$ together with standard inequalities deliver (2.8). ∎

In the sequel we fix a function $`\eta `$ as in Lemma 2.3. Then the fundamental estimate (2.8) implies the solution of the $`L^2`$ $`\overline{}`$-Neumann problem. Consider the complex of closed, densely defined operators

$$\begin{array}{ccccc}L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}0}}(X_d,\eta (\phi ))& \stackrel{T=\overline{}}{}& L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(X_d,\eta (\phi ))& \stackrel{S=\overline{}}{}& L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}2}}(X_d,\eta (\phi )),\end{array}$$

and the closed, densely defined operator

$$\mathrm{Dom}\mathrm{\Delta }^{\prime \prime }=\{u\mathrm{Dom}S\mathrm{Dom}T^{}:Su\mathrm{Dom}S^{},T^{}u\mathrm{Dom}T\},$$

$$\mathrm{\Delta }^{\prime \prime }u=S^{}Su+TT^{}u\text{for}u\mathrm{Dom}\mathrm{\Delta }^{\prime \prime }.$$

We know from a theorem of Gaffney \[14, Prop. 1.3.8\], that $`\mathrm{\Delta }^{\prime \prime }`$ is self-adjoint. We denote in the sequel $`^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}=\mathrm{Ker}S\mathrm{Ker}T^{}`$.

###### Theorem 2.4.

The following assertions hold true :

1. The operators $`T`$ and $`\mathrm{\Delta }^{\prime \prime }`$ have closed range, $`^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}`$ is finite dimensional, and we have the strong Hodge decomposition

$$L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(X_d,\eta (\phi ))=\mathrm{Range}(TT^{})\mathrm{Range}(S^{}S)^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}.$$
2. There exists a bounded operator $`N`$ on $`L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(X_d,\eta (\phi ))`$ such that $`\mathrm{\Delta }^{\prime \prime }N=N\mathrm{\Delta }^{\prime \prime }=\mathrm{Id}P_h`$, $`P_hN=NP_h=0`$, where $`P_h`$ is the orthogonal projection on $`^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}`$.
3. If $`f\mathrm{Range}T`$, the unique solution $`u\mathrm{Ker}T`$ of the equation $`Tu=f`$ is given by $`u=T^{}Nf`$.
4. The operator $`N`$ maps $`L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(X_d,\eta (\phi ))𝒞^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(X_d)`$ into itself.

###### Proof.

The fundamental estimate (2.8) implies as in \[27, Prop. 1.2\] that for any bounded sequence $`u_k\mathrm{Dom}\overline{}\mathrm{Dom}\overline{}_{\eta (\phi )}^{}L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(X_d,\eta (\phi ))`$ with $`\overline{}u_k_{\eta (\phi )}0`$, $`\overline{}^{}u_k_{\eta (\phi )}0`$ one can select a strongly convergent subsequence. From this follow assertions (i)-(iii) (see e.g. \[21, Prop. 1.1.3\]). Since $`\mathrm{\Delta }^{\prime \prime }`$ is an extension of $`\overline{}\vartheta _{\eta (\phi )}+\vartheta _{\eta (\phi )}\overline{}`$, assertion (iv) follows from the interior regularity for elliptic operators (see e.g. \[14, Th. 2.2.9\]). ∎

###### Remark 2.5.

By using the estimates in local Sobolev norms near the boundary points, we can prove as in Folland-Kohn  that $`N`$ maps $`L_2^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(X_d,\eta (\phi ))𝒞^{\mathrm{\hspace{0.17em}0},\mathrm{\hspace{0.17em}1}}(\overline{X}_d)`$ into itself. We could repeat then the solution of the Levi problem as given in \[14, Th. 4.2.1\], in order to find holomorphic peak functions, for each boundary point. However, we propose in Corollary 2.6, a simpler proof for the existence of peak functions, which doesn’t involve the regularity up to the boundary of the $`\overline{}`$-Neumann problem.

###### Corollary 2.6.

Let $`pbX_d`$ and $`f`$ be a holomorphic function on a neigbourhood of $`p`$ such that $`\{f=0\}\overline{X}_d=\{p\}`$. Then for every $`m`$ big enough, there is a function $`g𝒪(X_d)𝒞^{\mathrm{}}(\overline{X}_d\{p\})`$, a smooth function $`\mathrm{\Phi }`$ on a neigbourhood $`V`$ of $`p`$ and constants $`a_1,\mathrm{},a_{m1}`$ such that $`g=f^m(1+a_{m1}f+\mathrm{}+a_1f^{m1})+\mathrm{\Phi }`$ on $`VX_d`$. In particular, we have $`lim_{zp}|g(z)|=\mathrm{}`$.

###### Proof.

Let $`U`$ be a small neighbourhood of $`p`$ where $`f`$ is defined. Pick $`\psi 𝒞_0^{\mathrm{}}(U)`$ such that $`\psi =1`$ on a neighbourhood $`V^{}`$ of $`p`$. Set $`h_m=\psi /f^m`$ on $`U`$, $`h_m=0`$ on $`X\mathrm{supp}\psi `$, and $`v_m=\overline{}h_m`$ on $`X`$. Observe that $`v_m`$ belongs to $`𝒞_0^{\mathrm{\hspace{0.17em}0},1}(\overline{X}_{d+\delta })`$ for $`\delta >0`$ small enough and $`v_m=0`$ on $`V^{}`$. Moreover, we have $`\overline{}v_m=0`$ on $`X_{d+\delta }`$. Fix such a $`\delta `$ and apply Theorem 2.4 for $`X_{d+\delta }`$. By this theorem, the codimension of $`\mathrm{Range}T`$ in $`\mathrm{Ker}S`$ is finite. For every $`m`$ big enough, there are constants $`a_1,\mathrm{},a_{m1}`$ such that $`v=v_m+a_{m1}v_{m1}+\mathrm{}+a_1v_1`$ belongs to $`\mathrm{Range}T`$. Then there is $`\mathrm{\Phi }𝒞^{\mathrm{\hspace{0.17em}0},0}(X_{d+\delta })`$ such that $`\overline{}\mathrm{\Phi }=v`$. Set $`h=h_m+a_{m1}h_{m1}+\mathrm{}+a_1h_1`$ and $`g=h+\mathrm{\Phi }`$. We have $`\overline{}g=0`$ on $`X_{d+\delta }\{f=0\}`$. Then $`g𝒪(X_d)𝒞^{\mathrm{}}(\overline{X}_d\{p\})`$. The function $`\mathrm{\Phi }`$ in the corollary is equal to $`\mathrm{\Phi }`$ on $`V^{}`$. Thus it is smooth on $`V:=V^{}X_{d+\delta }`$. The proof is completed. ∎

## 3. The compactification

In this section we prove Theorem 1.2, using the results of Section 2 and the method of .

###### Proposition 3.1.

Let $`d`$ be a regular value of $`\phi `$. Then for $`\delta >0`$ small enough we have:

1. the holomorphic functions on $`X_d`$ separate points on $`X_{d\delta }^d`$,
2. the holomorphic functions on $`X_d`$ give local coordinates on $`X_{d\delta }^d`$, and
3. for any $`e(d\delta ,d)`$ there exists $`e^{}(e,d)`$, such that the holomorphically convex hull of $`X_e`$, with respect to the algebra of holomorphic functions on $`X_d`$, is contained in $`X_e^{}`$.

Proposition 3.1 will be the consequence of the following two lemmas. We can assume that $`bX_{d\epsilon }`$ is smooth for $`\epsilon >0`$ small enough. Choose a projection $`\pi `$ from a neighbourhood of $`bX_d`$ into $`bX_d`$. We will denote by $`(x,\epsilon )`$ the point of $`bX_{d\epsilon }`$ whose projection is $`xbX_d`$.

###### Lemma 3.2.

Let $`x_1`$, $`x_2`$ be two different points in $`bX_d`$. Then there are two neighbourhoods $`V_1`$, $`V_2`$ of $`x_1`$, $`x_2`$ in $`bX_d`$ and $`\nu =\nu (x_1,x_2)>0`$ such that the holomorphic functions of $`X_d`$ separate $`V_1\times (0,\nu ]`$ and $`V_2\times (0,\nu ]`$.

###### Proof.

This is a direct corollary from the existence of a function holomorphic in $`X_d`$ , and $`𝒞^{\mathrm{}}`$ in $`\overline{X}_d\{x_1\}`$ which tends to $`\mathrm{}`$ at $`x_1`$. ∎

###### Lemma 3.3.

Let $`x`$ be a point of $`bX_d`$. Then there are a neighbourhood $`V`$ of $`x`$ in $`bX_d`$ and $`\tau =\tau (x)>0`$ such that the holomorphic functions in $`X_d`$ give local coordinates for $`V\times (0,\tau ]`$.

###### Proof.

Without loss of generality and in order to simplify the notations, we consider the case $`n=2`$. Choose a local coordinates system such that $`x=0`$ and locally $`X_d\{|z_11/2|^2+|z_2|^2<1/4\}`$. We now apply Corollary 2.6 for functions $`f_1(z)=z_1`$ and $`f_2(z)=z_1(1z_2)`$. Denote by $`g_1`$, $`g_2`$ the holomorphic functions constructed by this corollary for a number $`m`$ big enough. We can also construct the analogue functions if we replace $`m`$ by $`m+1`$. Denote by $`g_1^{}`$ and $`g_2^{}`$ these new functions.

Let $`G:X_d^4`$ given by $`G=(g_1,g_2,g_1^{},g_2^{})`$. We will prove that $`G`$ gives local coordinates. Set $`I(z)=(z_1z_3^1,1z_2z_3z_1^1z_4^1)`$. Let $`W`$ be a small neigbourhood of $`0`$. By Corollary 2.6, the map $`IG`$ is defined on $`WX_d`$ and can be extended to a smooth function on $`W`$. Moreover, on $`W`$ we have $`IG(z)=(z_1+O(z_1^2),z_2+O(z_1))`$. Then $`IG`$ gives an immersion of $`WX_d`$ in $`^2`$, whenever $`W`$ is small enough. In consequence, $`G`$ gives coordinates on $`WX_d`$. ∎

###### Proof of Proposition 3.1.

We cover $`bX_d\times bX_d`$ by a finite family of open sets of the form $`V_1\times V_2`$ (from Lemma 3.2) and the form $`V\times V`$ (from Lemma 3.3). We have a finite family of $`\nu `$’s and $`\tau `$’s. Then properties (a) and (b) hold for every $`\delta `$ smaller than these $`\tau `$’s and $`\nu `$’s. Property (c) is an immediate consequence of Corollary 2.6. ∎

###### Proof of Theorem 1.2.

First let us remark that the first assertion is a consequence of the second, so we shall prove only the latter. We assume therefore that the function $`\phi :X(\mathrm{},a)`$ is strictly plurisubharmonic everywhere and $`a,b>0`$. The proof of the compactification statement for $`dimX3`$ in \[2, Prop. 3.2\] uses only the assertions (a), (b) and (c) of Proposition 3.1, so we just have to follow it. Namely, let $`d`$, $`\delta `$, $`e`$ and $`e^{}`$ as in Proposition 3.1 and denote $`P_\epsilon =\{z^N:|z_i|<\epsilon \}`$. Proposition 3.1 implies as in \[2, Prop. 3.2\] the existence of a holomorphic map $`\alpha :X_d^N`$ which is an embedding of $`X_e^e^{}`$ and $`\alpha (X_e)P_{1/2}`$, $`\alpha (\{\phi =e^{}\})P_1=\mathrm{}`$. Set $`H=\alpha ^1(P_1\overline{P}_{1/2})X_e^e^{}`$. Since $`\alpha (H)`$ is a complex submanifold of $`P_1\overline{P}_{1/2}`$ of dimension at least two, it follows from the Hartogs phenomenon \[20, Th. VII, D.6\] that we can find an $`\epsilon [1/2,1]`$, such that $`\alpha (H)(P_1\overline{P}_\epsilon )`$ can be extended to an analytic subset $`V`$ of $`P_1`$. We can glue the topological spaces $`X_d\alpha ^1(\overline{P}_\epsilon )`$ and $`V`$ along $`H\alpha ^1(\overline{P}_\epsilon )`$ using the identification given by the holomorphic map $`\alpha `$. Hence, we obtain a complex space $`\widehat{X}_d`$ , such that $`X_d\alpha ^1(\overline{P}_\epsilon )`$ and $`V`$ are open subsets of $`\widehat{X}_d`$ . This turns out to be a Stein space since we can construct a strictly plurisubharmonic exhaustion function, using the function $`\phi `$ and the coordinate functions in $`^N`$. The uniqueness of the Stein completion \[2, Cor. 3.2\] entails that $`\widehat{X}_d`$ does not depend on $`d`$, so letting $`d\mathrm{}`$ we obtain the desired completion $`\widehat{X}`$ of $`X`$. ∎

###### Remark 3.4.

Our method was to embed small strips $`X_e^e^{}`$ in $`^N`$ using holomorphic functions and apply the Hartogs phenomenon. One can produce easily holomorphic $`(n,0)`$-forms on $`X_0`$ and an embedding $`\mathrm{\Psi }:X_e^e^{}^N`$, using the standard $`L^2`$ estimates for $`\overline{}`$ (cf. ). However, it seems that the global Hartogs phenomenon in $`^N`$ is an open question \[11, Prob. 1\]. Note that by pulling back $`\mathrm{\Psi }(X_e^e^{})`$ to $`^{N+1}\{0\}`$ we obtain a noncompact manifold, so we cannot apply the known results from the euclidian space (see also  where some difficulties of the passing from the local to global Hartogs theorem are exhibited). But we can partly use the projective embedding to show Theorem 1.2. Namely, the existence of a non-constant holomorphic function on $`\mathrm{\Psi }(X_e^e^{})^N`$ and the arguments from Sarkis \[31, Cor. 4.13\] show that we can fill in $`X_e^e^{}`$.

###### Remark 3.5 (Generalization of Theorem 1.2).

Theorem 1.2 holds also for normal complex spaces with isolated singularities (which are the only allowed normal singularities in dimension two). Indeed, let $`X`$ be a hyperconcave end with isolated normal singularities (Definition 1.1 makes sense also for complex spaces). Let $`\{a_i\}`$ denote the singular points and choose functions $`\phi _i`$ with pairwise disjoint compact supports, such that $`\phi _i`$ is strictly plurisubharmonic in a neighbourhood of $`a_i`$ and $`lim_{za_i}\phi _i(z)=\mathrm{}`$. Using the function $`\widehat{\phi }=\phi +\epsilon _i\phi _i`$, with $`\epsilon _i`$ small enough, we see that $`\mathrm{Reg}X`$ is a hyperconcave end. By Theorem 1.2 we get a normal Stein completion $`Y`$ of $`\mathrm{Reg}X`$. Take $`\{V_i\}`$ pairwise disjoint Stein neighbourhoods of $`\{a_i\}`$. Then $`V_i\{a_i\}\mathrm{Reg}X`$ and a normal Stein completion of $`V_i\{a_i\}`$ is $`V_i`$. Using the uniqueness of a normal Stein completion \[2, Cor. 3.2\] we infer that the $`V_i`$ are disjointly embedded in $`Y`$. Therefore, $`Y`$ is also a completion of $`X`$. In particular, the singular set of a hyperconcave end with only isolated singularities must be finite.

###### Corollary 3.6.

Let $`V`$ be a Stein manifold, $`dimV2`$. Let $`K`$ be a compact completely pluripolar set, $`K=\phi ^1(\mathrm{})`$ where $`\phi `$ is a strictly plurisubharmonic function defined on a neighbourhood $`U`$ of $`K`$, smooth on $`UK`$. Then any finite non-ramified covering of $`VK`$ can be compactified to a strongly pseudoconvex space.

This follows immediately from Theorem 1.2, since $`VK`$ is a hyperconcave end and any finite non-ramified covering of a hyperconcave end is also a hyperconcave end. Corollary 3.6 is in stark contrast to the examples of non-compactifiable pseudoconcave ends from . They are obtained as finite non-ramified coverings of small neighbourhoods of the boundaries of some Stein manifolds of dimension two. They have ‘big’ holes which cannot be filled, whereas ‘small’, i.e. completely pluripolar holes can always be filled.

###### Remark 3.7 (Complex cobordism).

We can recast Theorem 1.2 in the light of the cobordism result of Epstein and Henkin . Namely, if $`Y`$ is a compact strongly pseudoconvex CR manifold of real dimension three, strictly complex cobordant to $`\mathrm{}`$, then $`Y`$ bounds a strongly pseudoconvex compact manifold. In particular, $`Y`$ is embeddable in $`^N`$, for some $`N`$. Note that, if $`dim_{}Y>3`$ this is automatic by a theorem of Boutet de Monvel \[8, p. 5\]. On the other side, the examples of Grauert, Andreotti-Siu, Rossi and also Burns  exhibit compact strongly pseudoconvex CR manifolds of dimension three which do not bound a complex manifold and are not embeddable in $`^N`$.

## 4. Compactification by adding finitely many points

The present section is devoted to proving sufficient conditions for the set $`\widehat{X}X`$ to be analytic. In order to prove Theorem 1.3 we consider first the particular case when the completion $`\widehat{X}`$ is a Stein space.

We begin with some preparations. Let $`V`$ be a complex manifold. We say that $`V`$ satisfies the Kontinuitätssatz if for any smooth family of closed holomorphic discs $`\overline{\mathrm{\Delta }}_t`$ in $`V`$ indexed by $`t[0,1)`$ such that $`b\mathrm{\Delta }_t`$ lies on a compact subset of $`V`$, then $`\overline{\mathrm{\Delta }}_t`$ lies on a compact subset of $`V`$. It is clear that every Stein manifold satisfies the Kontinuitätssatz, using the strictly plurisubharmonic exhaustion function and the maximum principle. Moreover, if the universal cover of $`V`$ is Stein then $`V`$ satisfies Kontinuitätssatz since we can lift the family of discs to the universal cover.

Let $`F`$ be a closed subset of $`V`$. We say that $`F`$ is pseudoconcave if $`VF`$ satisfies the local Kontinuitätssatz in $`V`$, i.e. for every $`xF`$ there is a neigbourhood $`W`$ of $`x`$ such that $`WF`$ satisfies the Kontinuitätssatz. Observe that the finite union of pseudoconcave subsets is pseudoconcave and every complex hypersurface is pseudoconcave.

We have the following proposition which implies the Theorem 1.3.

###### Proposition 4.1.

Let $`\widehat{\mathrm{\Omega }}`$ be a Stein space with isolated singularities $`S`$ and $`K`$ a completely pluripolar compact subset of $`\widehat{\mathrm{\Omega }}`$ which contains $`S`$. Assume that $`\mathrm{\Omega }=\widehat{\mathrm{\Omega }}K`$ can be covered by Zariski-open sets which satisfy the local Kontinuitätssatz in $`\widehat{\mathrm{\Omega }}S`$. Then $`K`$ is a finite set. Moreover, if $`\mathrm{\Omega }`$ itself satisfies the local Kontinuitätssatz in $`\widehat{\mathrm{\Omega }}S`$, we have $`K=S`$.

###### Proof.

We can suppose that $`\widehat{\mathrm{\Omega }}`$ is a subvariety of a complex space $`^N`$. Let $`B`$ be a ball containing $`K`$ such that $`bB\widehat{\mathrm{\Omega }}`$ is transversal. By hypothesis, we can choose a finite family of Zariski-open sets $`V_1`$, $`\mathrm{}`$, $`V_k`$ which satisfies the local Kontinuitätssatz in $`\widehat{\mathrm{\Omega }}S`$ and $`F_i`$ is empty near $`bB`$, where $`F_i=\mathrm{\Omega }V_i`$ . Observe that $`F_i`$ is an analytic subset of $`\mathrm{\Omega }`$, $`\overline{F}_iF_iK`$. Since $`F_i(KS)`$ is pseudoconcave in $`\widehat{\mathrm{\Omega }}S`$, $`F_i`$ has no component of codimension $`2`$. By Hartogs theorem, if $`n=dimX>2`$, there is a complex subvariety $`\widehat{F}_i`$ of $`\widehat{\mathrm{\Omega }}`$ which contains $`F_i`$. We will prove this property for the case $`n=2`$. Set $`F=F_i`$.

Observe that $`\mathrm{\Gamma }=FbB`$ is an analytic real curve. The classical Wermer theorem  says that $`\mathrm{hull}(\mathrm{\Gamma })\mathrm{\Gamma }`$ is a (possibly void) analytic subset of pure dimension $`1`$ of $`^N\mathrm{\Gamma }`$, where $`\mathrm{hull}(\mathrm{\Gamma })`$ is the polynomial hull of $`\mathrm{\Gamma }`$. By the uniqueness theorem, $`\mathrm{hull}(\mathrm{\Gamma })\widehat{\mathrm{\Omega }}`$. Since $`S`$ is finite, we have $`\mathrm{hull}(\mathrm{\Gamma }S)=\mathrm{hull}(\mathrm{\Gamma })S`$. Set $`F^{}=(FK)\overline{B}`$ and $`F^{\prime \prime }=\mathrm{hull}(\mathrm{\Gamma })S`$.

###### Lemma 4.2 (In the case $`n=2`$).

We have $`F^{}F^{\prime \prime }`$.

###### Proof.

Assume that $`F^{}F^{\prime \prime }`$. Then there are a point $`pF^{}`$ and a polynomial $`h`$ such that $`sup_{F^{\prime \prime }}|h|<sup_F^{}|h|=|h(p)|`$. Set $`r=h(p)`$. By the maximum principle, we have $`h^1(r)F^{}KS`$. In particular, $`pKS`$. Recall that $`F^{}S`$ is pseudoconcave in $`\widehat{\mathrm{\Omega }}^{}=\widehat{\mathrm{\Omega }}BS`$. We will construct a smooth family of discs which does not satisfy the Kontinuitätssatz. This gives a contradiction. The construction is trivial if $`p`$ is isolated in $`F^{}`$. We assume that $`p`$ is not isolated. By using a small perturbation of $`h`$, we can suppose that $`h(p)`$ is not isolated in $`h(F^{})`$.

Set $`\mathrm{\Sigma }^{}=h(F^{})`$ and $`\mathrm{\Sigma }^{\prime \prime }=h(F^{\prime \prime })`$. Then $`\mathrm{\Sigma }^{}`$ (resp. $`\mathrm{\Sigma }^{\prime \prime }`$) is included in the closed disk (resp. open disk) of center $`0`$ and of radius $`|r|`$. The holomorphic curves $`\{h=\mathrm{const}\}`$ define a holomorphic foliation, possibly singular, of $`\widehat{\mathrm{\Omega }}^{}`$. The difficulty is that the fiber $`\{h=r\}`$ can be singular at $`p`$. Denote by $`T`$ the set of points $`s`$ such that $`h`$ is not a submersion on a neighbourhood of $`h^1(s)`$ on $`\widehat{\mathrm{\Omega }}`$. Then $`T`$ is finite.

Denote also $`\mathrm{\Xi }`$ the unbounded component of $`(\mathrm{\Sigma }^{\prime \prime }T)`$. It is clear that $`\mathrm{\Sigma }^{}`$ meets $`\mathrm{\Xi }`$. This property is stable for every small perturbation of the polynomial $`h`$. Since $`K`$ is a pluripolar compact set, $`Kh^1(a)`$ is a polar subset of $`h^1(a)`$ for every $`a`$.

Choose a point $`b\mathrm{\Xi }`$ such that $`0<\mathrm{dist}(b,\mathrm{\Sigma }^{})<\mathrm{dist}(b,\mathrm{\Sigma }^{\prime \prime }T)`$ and $`a\mathrm{\Sigma }^{}`$ such that $`\mathrm{dist}(a,b)=\mathrm{dist}(b,\mathrm{\Sigma }^{})`$. We have $`a\mathrm{\Sigma }^{\prime \prime }T`$. Replacing $`b`$ by a point of the interval $`(a,b)`$ we can suppose that $`\mathrm{dist}(a,b)<\mathrm{dist}(a^{},b)`$ for every $`a^{}\mathrm{\Sigma }^{}\{a\}`$. Fix a point $`qF^{}`$ such that $`h(q)=a`$. Set $`\delta _1=|ab|`$. Since $`aT`$, we can choose a local coordinates system $`(z_1,z_2)`$ of an open neigbourhood $`W`$ of $`q`$ in $`\widehat{\mathrm{\Omega }}^{}`$ such that $`z_1=h(z)b`$, $`q=(ab,0)`$ and $`\{(z_1,z_2),|z_1|<\delta _1+\delta _2,|z_2|<2\}W`$ with $`\delta _2>0`$ small enough. We can choose a $`W`$ which does not meet $`F^{\prime \prime }`$ and is as small as we want.

Let $`L`$ be the complex line $`\{z_1=ab\}`$. By the maximum principle, $`K^{}=F^{}L`$ is equal to $`KL`$. Then $`K^{}`$ is a polar subset of $`L`$. This implies that the length of $`K^{}`$ is equal to $`0`$. Thus, for almost every $`s(0,2)`$ the circle $`\{|z_2|=s\}L`$ does not meet $`K^{}`$. Without lost of generality, we can suppose that $`K^{}`$ does not meet $`\{|z_2|=1\}L`$. Now we define the disk $`\overline{\mathrm{\Delta }}_t`$ by $`\overline{\mathrm{\Delta }}_t=\{z_1=(ab)t,|z_2|1\}`$ for $`t[0,1)`$. This smooth familly of discs does not verify the local Kontinuitätssatz in $`WF^{}`$. ∎

Now, denote by $`\widehat{F}_i`$ the smallest hypersuface of $`\widehat{\mathrm{\Omega }}`$ which contains $`F_i`$. Set $`\widehat{F}=\widehat{F}_i`$. If $`n=2`$ we have $`FK\widehat{F}`$. This is also true for $`n>2`$. It is sufficient to apply the last lemma for linear slices of $`\widehat{\mathrm{\Omega }}`$.

###### Lemma 4.3.

Let $`L`$ be a pseudoconcave subset of a complex manifold $`V`$. If $`L`$ is included in a hypersurface $`L^{}`$ of $`V`$ then $`L`$ is itself a hypersurface of $`V`$.

###### Proof.

Observe that $`L`$ is not included in a subvariety of codimension $`2`$ of $`V`$. Assume that $`L`$ is not a hypersurface of $`V`$. Then there is a point $`p`$ in $`\mathrm{Reg}L^{}`$ which belongs to the boundary of $`L`$ in $`L^{}`$. Choose a local coordinates system $`(z_1,\mathrm{},z_n)`$ of a neigbourhood $`W`$ of $`p`$ such that $`W`$ contains the unit polydisk $`\mathrm{\Delta }^n`$, $`p\mathrm{\Delta }^n`$ and $`L^{}W=\{z_1=0\}W`$. We can suppose that $`0L`$ and we can choose $`W`$ small as we want.

Let $`\pi :\mathrm{\Delta }^n\mathrm{\Delta }^{n1}`$ be the projection on the last $`n1`$ coordinates. Let $`qL^{}=\pi (L\mathrm{\Delta }^n)`$ such that $`\mathrm{dist}(0,L^{})=\mathrm{dist}(0,q)`$. Consider the smooth family of discs given by $`\overline{\mathrm{\Delta }}_t=\{z=(z_1,z^{\prime \prime }):|z_1|<1/2,z^{\prime \prime }=tq\}`$. This family does not verify the local Kontinuitätssatz in $`WL`$. ∎

End of the proof of Proposition 4.1. We know that $`(F_iK)S`$ is pseudoconcave in $`\widehat{\mathrm{\Omega }}S`$ and $`F_iK\widehat{F}`$. By Lemma 4.3, $`(F_iK)S`$ is a hypersurface of $`\widehat{\mathrm{\Omega }}S`$. By Remmert-Stein theorem, any analytic set can be extended through a point, so $`F_iK`$ is a hypersurface of $`\widehat{\mathrm{\Omega }}`$. We deduce that $`K`$ is included in the analytic set $`\widehat{F}_i`$ of $`^N`$ which does not intersect $`bB`$. Therefore $`K`$ must be a finite set.

If $`\mathrm{\Omega }`$ itself satisfies the local Kontinuitätssatz in $`\widehat{\mathrm{\Omega }}S`$, we have only one Zariski-open set and the Kontinuitätssatz shows directly that $`K=S`$. ∎

###### Remark 4.4.

The Proposition 4.1 holds for $`K`$ not pluripolar. For this case, the proof is more complicated. Using another submersion of $`\widehat{\mathrm{\Omega }}`$ in Lemma 4.2, given by the map $`z(h(z),h(z)+\epsilon z_1,\mathrm{},h(z)+\epsilon z_N)`$, we can suppose that $`R=\mathrm{max}_{KS}|z|>\mathrm{max}_{F^{\prime \prime }}|z|`$. Let $`qbB_R(KS)`$ where $`B_R`$ is the ball of center $`0`$ and radius $`R`$. Using a small affine change of coordinates, we can suppose that $`bB_R\widehat{\mathrm{\Omega }}`$ is transversal at $`q`$. We then construct easily a family of discs close to $`T_q(bB_R)\widehat{\mathrm{\Omega }}`$, which does not satisfy the Kontinuitätssatz, where $`T_q(bB_R)`$ is the complex tangent space of $`bB_R`$ at $`q`$.

###### Proof of Theorem 1.3.

Let $`X`$ be a hyperconcave end such that the exhaustion function $`\phi `$ is overall strictly plurisubharmonic. Let $`\widehat{X}`$ be a smooth completion of $`X`$. Then $`\widehat{X}X`$ has a strictly pseudoconvex neighbourhood $`V`$. Based on Remmert’s reduction theory, Grauert \[16, Satz 3, p. 338\] showed that there exists a maximal compact analytic set $`A`$ of $`V`$. (Note that, by definition, a maximal analytic set has dimension greater than one at each point.) Moreover, by \[16, Satz 5, p. 340\] there exist a normal Stein space $`V^{}`$ with at worst isolated singularities, a discrete set $`DV^{}`$ and a proper holomorphic map $`\pi :VV^{}`$, biholomorphic between $`VA`$ and with $`V^{}D`$ and $`\pi (A)=D`$. That is, $`A`$ can be blown down to the finite set $`D`$. Of course, $`\mathrm{Sing}(V^{})D`$.

The maximum principle for $`\phi `$ implies $`A\widehat{X}X`$. Let $`\psi :V^{}[\mathrm{},\mathrm{})`$ be given by $`\psi =\phi \pi ^1`$ on $`V^{}D`$ and $`\psi =\mathrm{}`$ on $`\pi (\widehat{X}X)`$. Then $`\psi `$ is a strictly plurisubharmonic function on $`V^{}`$ and $`\pi (\widehat{X}X)`$ is its pluripolar set. By Proposition 4.1, $`\pi (\widehat{X}X)`$ is a finite set. Therefore $`\widehat{X}X`$ consists of $`A`$ and possibly a finite set $`D^{}`$. If $`X`$ has a Stein cover, it follows from the Kontinuitätssatz that $`\pi (\widehat{X}X)=\mathrm{Sing}(V^{})`$. Therefore $`D^{}=\mathrm{}`$ and $`D=\mathrm{Sing}(V^{})`$. ∎

###### Remark 4.5.

If in Theorem 1.3 we suppose only that $`X`$ admits a Zariski-open dense set which is uniformized by a Stein manifold, we can prove in the same way, that $`\widehat{X}X`$ is included in a hypersurface of $`\widehat{X}`$, i.e. $`X`$ contains a Zariski-open dense set of $`\widehat{X}`$.

## 5. Extension of Nadel’s theorems

Our goal is to extend to dimension two Nadel’s theorems . The arithmetic quotients are, with a few exceptions, pseudoconcave manifolds carrying a positive line bundle. In this respect, Nadel  considered the realization as a quasiprojective manifold of a class of manifolds $`X`$ with hyperconcave ends and of dimension greater than three. The method of Nadel is to compactify the manifold by the theorem of Rossi, and then to apply differential geometric methods, like the existence of Kähler-Einstein metric and the Schwarz-Pick lemma of Yau and Mok-Yau. Corollary 1.4 is a generalization of \[24, Th. 0.2\].

###### Proof of Corollary 1.4.

The necessity of conditions (i) and (ii) is obvious, while the necessity of (iii) follows from a theorem of Griffiths \[19, Th. I\].

For the sufficiency, we need the embedding theorem of Andreotti-Tomassini \[3, Th. 2, p. 97\], \[25, Lemma 2.1\] (see also \[2, Th. 4.1\]). This theorem shows that condition (ii) implies the embedding of $`X`$ as an open set in a smooth projective manifold $`\widehat{X}`$. We conclude by Theorem 1.3. ∎

Our result pertains to the work of Nadel and Tsuji  which generalizes the compactification of arithmetic quotients of any rank, by showing that certain pseudoconcave manifolds are quasi-projective. In dimension two their condition coincides with hyperconcavity. Corollary 1.4 yields an extension of their theorem in dimension two, together with a completely complex-analytic proof of the compactification of arithmetic quotients.

As a consequence of Corollary 1.4 we also get a slightly stronger form of \[34, Main Theorem\] (also noted by Nadel in dimension grater than three):

###### Corollary 5.1.

Let $`X`$ be a complete Kähler manifold of finite volume and bounded negative sectional curvature. If $`dimX2`$, $`X`$ is biholomorphic to a quasiprojective manifold which can be compactified to a Moishezon space by adding finitely many singular points.

###### Proof.

Indeed, the same argument as in  or \[25, §3\] shows, with the help of the Busemann function, that $`X`$ is hyper $`1`$-concave. Moreover, the negativity of the curvature implies that the canonical bundle $`K_X`$ is positive and the universal cover of $`X`$ is Stein.

We show that the positivity of $`K_X`$ implies the ring $`_{k>0}H^0(X,K_X^k)`$ separates points and gives local coordinates everywhere on $`X`$. If $`\phi `$ denotes the exhaustion function of $`X`$, $`\sqrt{1}\left(A\mathrm{\Theta }(K_X)+\overline{}(\mathrm{log}(\phi ))\right)`$, $`A1`$, is a complete Kähler metric on $`X`$, where $`\mathrm{\Theta }(K_X)`$ is the curvature of $`K_X`$. By the $`L^2`$ estimates with singular weights for positive line bundles (see e.g. Demailly ) our contention follows. We can thus apply Corollary 1.4. ∎

In the same vein as in Corollary 1.4, we can show that Nadel’s main result \[24, Th. 0.1\] holds in dimension two. Namely, let $`X`$ be a connected Moishezon, hyper 1-concave manifold of dimension $`n2`$, which can be covered by Zariski-open sets uniformized by Stein manifolds. Then $`X`$ can be compactified by adding finitely many points to a compact Moishezon space.

We close the section with one more result about embedding of hyper $`1`$-concave manifolds. Generalizing the Andreotti-Tomassini theorem, Andreotti-Siu \[2, Th. 7.1\] show that a strongly $`1`$\- concave manifold $`X`$ of $`dimX3`$ can be embedded in the projective space, if it admits a line bundle $`E`$ such that $`_{k>0}H^0(X,E^k)`$ gives local coordinates on a sufficiently large compact of $`X`$. The proof is based on techniques of extending analytic sheaves. Moreover, they show through an example \[2, p. 267–70\] that the result breaks down in dimension two. We prove now however, that if we impose the condition of hyperconcavity, the result occurs also in dimension two. Here $`\phi `$ and $`b`$ have the same meaning as in Definition 1.1.

###### Proposition 5.2.

Let $`X`$ be a hyper $`1`$-concave manifold of dimension $`n2`$. Let $`c`$ be a real number such that $`c<b`$. Assume there is a line bundle $`E`$ over $`X^{}=\{\phi >c\}`$ such that the ring $`_{k>0}H^0(X^{},E^k)`$ gives local coordinates on $`X^{}`$. Then $`X`$ is biholomorphic to an open subset of a projective manifold.

###### Proof.

By Theorem 1.2, $`X`$ is an open subset of a variety $`\widehat{X}`$ with isolated singularities. Moreover $`\widehat{X}X^{}`$ is a Stein space. Replacing $`c`$ by a $`c^{}`$ such that $`c<c^{}<b`$ we can suppose that there are holomorphic sections $`s_0`$, $`\mathrm{}`$, $`s_m`$ of $`H^0(X^{},E^k)`$ which give local coordinates of $`X^{}`$ where $`k`$ is big enough. We can define a holomorphic map $`\pi :X^{}^m`$ by $`\pi (z)=[s_0(z):\mathrm{}:s_m(z)]`$. Then $`\pi `$ gives a local immersion of $`X^{}`$ in $`^m`$. Since $`\widehat{X}X^{}`$ is embeddable in an euclidian space, a theorem of Dolbeault-Henkin-Sarkis  implies that $`\pi `$ can be extended to a meromorphic map from $`\widehat{X}`$ into $`^m`$.

Denote by $`Z`$ the set consisting of the singular points of $`\widehat{X}`$, the points of indeterminacy of $`\pi `$ and the critical points of $`\pi `$. Then $`Z`$ is a compact analytic subset of $`\widehat{X}X^{}`$. Since $`\widehat{X}X^{}`$ is Stein space, $`Z`$ is a finite set. The map $`\pi `$ gives local immersion of $`\widehat{X}Z`$ in $`^m`$. Let $`H`$ be the hyperplane line bundle of $`^m`$ and set $`L=\pi ^{}(H)`$. Then $`L`$ is a positive line bundle of $`\widehat{X}Z`$. In particular $`L`$ is positive on $`XZ`$ and by a theorem of Shiffman  extends to a positive line bundle on $`X`$. By the argument in the proof of Corollary 5.1, we show that $`_{k>0}H^0(X,L^kK_X)`$ separates points and gives local coordinates on $`X`$. By \[25, Lemma 2.1\] $`X`$ is biholomorphic to an open subset of a projective manifold. ∎

### Acknowledgements

We thank Professors Mihnea Colţoiu and Bo Berndtsson for discussions and constant encouragement and Professor Jürgen Leiterer for hospitality during the preparation of this paper. We are grateful the referee for helpful suggestions.


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text:
# Short Range Interaction Effects on the Density of States of Disordered Two Dimensional Crystals with a half–filled band

\[

## Abstract

The Density of electronic States (DoS) of a two–dimensional square lattice with substitutional impurities is calculated in the presence of short–range electron–electron interactions. In the middle of the energy band, the Bragg reflections off the Brillouin zone boundary are shown to lead to additional quantum corrections to the DoS, the sign of which is opposite to the sign of the Altshuler–Aronov’s logarithmic correction. The resulting quantum correction to the DoS at half–filling is positive, i.e. the DoS increases logarithmically as the Fermi energy is approached. However, far from the commensurate points where the Bragg reflections are suppressed, the negative logarithmic corrections to the DoS survive.

\]

The competition of the effects of interaction and randomness in one–dimensional ($`1D`$) and two–dimensional ($`2D`$) electronic systems is one of the most intriguing problems in low temperature physics. Impurities of arbitrary concentration in a $`1D`$ metal off half–filling have been shown to localise all electronic states of a non–interacting electron gas, . However, the Bragg reflections appearing at half–filling delocalise the states and enhance the density of states (DoS) in the middle of the band, an effect known as ’Dyson singularity’, . A $`1D`$ correlated electron gas without disorder is described by the Luttinger liquid theory, . In a half–filled band, charge excitations with gap (Mott insulator) may be relevant in $`1D`$ systems as a consequence of commensurability, , whereas the localization length for coherent propagation of two interacting particles in a $`1D`$ random electronic system has been shown  to be larger than the one–particle localization length, i.e., interaction leads to a significant delocalization of the pair.

The problem of the interplay of interaction and disorder in $`2D`$ systems is as complicated as it is in $`1D`$ systems. Indeed, all states of a $`2D`$ electron gas have been proved to be localized irrespective of how small the impurity concentration is, . Weak Coulomb interactions between electrons moving diffusively in a $`2D`$ disordered metal away from half–filling have been shown to increase the localization effect,. The ground state of a clean $`2D`$ lattice with nested Fermi surface becomes unstable with respect to formation of antiferromagnetic spin gap under an arbitrarily small Coulomb interaction , and developes a Mott gap at strong interactions. Our recent studies of the DoS and of conductivity of a $`2D`$ electron gas on a lattice with substitutional impurities  have shown that the commensurability effects at half–filling for the noninteracting case are opposite to those obtained for $`1D`$ systems,, so that the impurity scatterings with coherent Bragg reflections have been found to lower the electronic density of states around the Fermi level. Interaction effects in commensurate weakly disordered $`2D`$ electronic systems have not yet been studied properly. Notice that, the recently observed metal–insulator transition (MIT) in $`2D`$ electronic systems,which occurs at low temperatures ($`T2K`$),, cannot be explained in the framework of the ’conventional’ localization theory and still is one of the puzzling issues of central importance in the physics of disordered systems. Measurements of resistivity in high–mobility Si–MOSFET’s show that the insulator behavior at low particle densities, $`n<n_c`$, crosses over to the metallic one as the particle density $`n`$ reaches the critical value $`n_c=9,02\times 10^{10}cm^2`$ ( for $`n>n_c`$). The observation of the MIT in $`GaAs/AlGaAs`$, , where e-e interactions are estimated to be weak, shows that the effect of correlations, although crucial, is not the only factor leading to MIT.

In this Letter we study the effect of short–range repulsive interactions on the one–particle DoS of a 2D square lattice with substitutional impurities for half–filled energy band. We will show that a class of quantum corrections to the DoS, negative far from half–filling, changes its sign as the center of the band is approached. Such a behavior of the DoS is similar to that observed for the conductivity $`\sigma (T)`$ . A recent computation of the conductivity in the half–filled Hubbard model with disorder also displays a change in the sign of $`d\sigma /dT`$ as the system acquires particle–hole symmetry,.

The Hamiltonian of interacting electrons in the random field of substitutional impurities can be written in the Bloch–state representation in the following form,

$`\widehat{𝐇}`$ $`=`$ $`{\displaystyle \underset{𝐩,\sigma }{}}ϵ(𝐩)c_{𝐩,\sigma }^+c_{𝐩,\sigma }+`$ (1)
$`+`$ $`{\displaystyle \underset{𝐩,𝐪,𝐆,\sigma }{}}\rho _{imp}(𝐪)V_{imp}(𝐪+𝐆)c_{𝐩,\sigma }^+c_{𝐩+𝐪+𝐆,\sigma }+`$ (2)
$`+`$ $`{\displaystyle \underset{𝐤,𝐤^{},𝐪,𝐆,\sigma ,\sigma ^{}}{}}U(𝐪+𝐆)c_{𝐤,\sigma }^+c_{𝐤^{},\sigma ^{}}^+c_{𝐤^{}𝐪,\sigma ^{}}c_{𝐤+𝐪+𝐆,\sigma },`$ (3)
where

$$ϵ(𝐩)=t[2\mathrm{cos}(p_xa)\mathrm{cos}(p_ya)],$$
(4)
with $`t`$ and $`a`$ being the tunnelling integral for nearest–neighbor sites and the lattice spacing, respectively. $`V_{imp}(𝐪)`$ and $`U(𝐪)`$ in Eq.(3) are the Fourier–transforms of a single impurity potential and of the short–range e-e interaction potential respectively; $`𝐆`$ is a reciprocal lattice- vector. $`\rho _{imp}(𝐪)=L^2_\alpha exp(i\mathrm{𝐪𝐑}_\alpha )`$, where $`L`$ is a linear dimension of the system, and $`𝐑_\alpha `$ is the coordinate of an impurity, randomly located on a lattice site. The impurity concentration is assumed to be small, and scatterings on the $`\delta `$–correlated impurity potential can be estimated in the framework of the Born approximation,. For a metallic system $`p_Fl1`$ and crossed impurity lines of higher order in $`(p_Fl)^1`$ are ignored; $`p_F`$ and $`l`$ are the Fermi momentum and mean free path, respectively.

By varying the band filling, Bragg reflections of the electronic wave off the Brillouin zone boundary are intensified for commensurate values of the electron wavelength,$`\lambda `$, and the lattice constant,$`a`$. We will study the effects of Bragg reflections at half–filling, since they become essential as the middle of the band is approached. The Fermi surface for the energy dispersion given by Eq.(4) is flat at half–filling, and its whole section is nested, with vectors $`𝐐=\{\pm \frac{\pi }{a},\frac{\pi }{a}\}`$. The perfect nesting of the Fermi surface gives rise to the following electron- hole symmetry relation for the electron dispersion with respect to $`𝐐`$:

$$ϵ(𝐩+𝐐)ϵ_F=[ϵ(𝐩)ϵ_F],$$
(5)
where $`ϵ_F`$ is the Fermi energy and $`ϵ_F=2t`$ for the half–filling case. Notice that introducing the next–nearest–neighbor hopping term with amplitude $`t^{}`$ destroys the perfect nesting of the Fermi surface. However, an optimal nesting takes place with $`𝐐^{}=0.91𝐐`$ for $`t^{}/t=0.165`$, .

For a small band filling and far from the rational points, the Fermi surface of the model we are studying looks like a sphere, so that the effects of periodicity can be incorporated into the electronic effective mass. This situation does not differ from that of an electron gas moving in the random field of impurities. The quantum corrections to the DoS for this model have been calculated in . The lowest order quantum correction to the DoS resulting from the interactions in the diffusion channel can be expressed in the following form,:

$`\delta \rho _N^{(D)}(ϵ,T)`$ $`=`$ $`\rho _o^{(2d)}{\displaystyle \frac{[U(0,0)2\overline{U(𝐩𝐩^{},0)}]}{4\pi ^2\mathrm{}D}}`$ (7)
$`\times \mathrm{ln}{\displaystyle \frac{1}{\tau _omax\{ϵ,T\}}},`$
where $`D`$ is the diffusion coefficient, $`D=\frac{v_{F}^{}{}_{}{}^{2}\tau _o}{2}`$, with $`v_F`$ and $`\tau _o`$ being the Fermi velocity and the impurity relaxation time for Normal scattering, respectively, and $`\rho _0^{(2d)}=\frac{2}{(\pi a)^2t}\mathrm{ln}(ϵ_Fmin\{\tau _o,\frac{1}{|ϵ|}\})`$ . The bar over the interaction potential $`U`$ denotes the average over the Fermi surface, and the additional prefactor $`2`$ in the Hartree correction term comes from the spin degeneracy. Interactions in the Cooper channel give the following contribution to the DoS far from half–filling,

$$\delta \rho _N^{(C)}(ϵ,T)=\frac{1}{2\pi ^2\mathrm{}D}\mathrm{ln}\frac{\mathrm{ln}T_c\tau _o/\mathrm{}}{\mathrm{ln}T_c/max\{ϵ,T\}},$$
(8)
where $`T_c=ϵ_F\mathrm{exp}(1/\lambda )`$ and $`\lambda =\rho _o^{(2d)}U`$ is the dimensionless interaction constant. Notice that the dynamical screening of a short–range interaction in the diffusion channel far from half–filling does not change the bare interaction potential considerably, whereas a short range potential is strongly renormalized in the Cooper channel,  as seen performing the summation of a ladder series in the bare interaction, which replaces the logarithmic energy or temperature dependence of the quantum correction by the rather weak double logarithmic dependence given by Eq.(8).

A new kind of quantum corrections to the DoS takes place in the correlated disordered system due to the Bragg reflection, which enhances the number of electronic states at half–filling.

As it is well known, the quantum interference corrections to the thermodynamic and kinetic coefficients come from the singular impurity ladder series referred to as the *diffuson* and the *Cooperon* blocks,.The diffuson (Cooperon) block has the diffusion pole when the difference $`𝐪`$ of the momenta of the electron and the hole (total sum $`𝐤`$ of the momenta of the electrons) and their energies difference $`|\omega _m|`$ are small, i.e. the block acquires the pole in the diffusion regime when $`ql1`$ ($`kl1`$) and $`|\omega _m|\tau _o1`$.

New singular impurity blocks take place at half–filling with particle–hole symmetry, which are referred to as $`\pi `$–Diffuson and $`\pi `$–Cooperon, . The $`\pi `$–Diffuson ($`\pi `$–Cooperon) has a diffusion pole at large $`𝐐`$ momenta differences (total momenta) and small total energies of the electron and the hole (of two electrons). The diagram equations for the $`\pi `$–Cooperon, $`C_\pi (𝐪,i\omega _m)`$, and for the $`\pi `$–Diffuson, $`D_\pi (𝐪,i\omega _m)`$, are given in Fig.1e,f. The bare Green’s function $`G_0`$ is indicated in the diagrams by a straight line, and $`G_0(𝐩,iϵ_n)=\frac{1}{iϵ_n(ϵ(𝐩)ϵ_F)+\frac{i}{2\tau _o}signϵ_n}`$ . The Green’s function of an electron with large momentum is represented by a dashed line. Notice that the dashing of the line has a physical meaning only for an impurity vertex or an interaction one when a large momentum transfer ($`𝐐`$ due to the Bragg reflection) is involved in the scattering process,. Therefore, the new selection of diagrams to be included in the summation is performed according to the rule that a straight line in each impurity or interaction point joins a dashed line and vice versa. This rule is consistent with the fact that each scattering with large momentum transfer implies also coherent Bragg reflection of the scattered electron on the boundary of the Brillouin zone. It is easy to see that the momentum conservation for impurity vertices with large momentum transfer is violated, so that they correspond to Umklapp scattering. As far as scatterings on point– like impurities are considered, these vertices are also characterised by $`\tau _o`$. By summing the ladder series in Fig.1f, treating the $`\pi `$–scattering of an electron on impurities perturbatively, the following expression for the $`\pi `$–Cooperon $`C_\pi (𝐪,i\omega _m)`$ is obtained:

$`C_\pi (𝐪,i\omega _m)`$ $`=`$ $`{\displaystyle \frac{1}{2\pi \tau _o\rho _o^{2d}}}\{\theta (ϵ_n(\omega _mϵ_n))+`$ (9)
$`+`$ $`{\displaystyle \frac{\theta (ϵ_n(\omega _mϵ_n))}{(1+|\omega _m|\tau _o)^2+(ql)^21}}\}`$ (10)
The expression for the $`\pi `$–Diffuson $`D_\pi (𝐪,i\omega _m)`$ is also given by Eq.(10) with the exception that $`𝐪`$ in the equation for $`D_\pi (𝐪,i\omega _m)`$ denotes the differences of the momenta of a particle-hole pair.

The additional contributions to the DoS in the middle of the band come from the diagrams shown in Fig.1a-d’. The correction to the DoS, $`\delta \rho (ϵ,T)`$, due to the e-e interactions is given by the following expression,

$$\delta \rho (ϵ,T)=\frac{2}{\pi }\left\{Im\frac{d^2p}{(2\pi )^2}G_o^2(𝐩,iϵ_n)\mathrm{\Sigma }_{ee}(𝐩,iϵ_n)\right\}_{iϵ_nϵ}$$
(11)
where $`\mathrm{\Sigma }_{ee}`$ is the self–energy for first order quantum corrections to the DoS given by Figs.1($`a`$)-($`d^{}`$). The expression corresponding to the diagram Fig.1a can be reduced to the following form after simple calculations,

$`\delta \rho _a(ϵ,T)`$ $`=`$ $`2\tau _o^2\rho _o^{2d}Im{\displaystyle \frac{d^2q}{(2\pi )^2}_0^{\mathrm{}}\frac{d\omega }{2\pi }U(𝐪2𝐐,2ϵ\omega )}`$ (13)
$`\times {\displaystyle \frac{\mathrm{tanh}\frac{\omega +ϵ}{2T}+\mathrm{tanh}\frac{\omega ϵ}{2T}}{\left[(1i\omega \tau _o)^2+(ql)^21\right]^2}}.`$
The bare DoS $`\rho _o^{(2d)}`$ which is involved in the new correction (8) at half–filling is again given by $`\rho _o^{(2d)}=\frac{2}{(\pi a)^2t}\mathrm{ln}(ϵ_Fmin\{\tau _o,1/|ϵ|\})`$, where the van Hove singularity is cut–off due to the $`i/2\tau _o`$ term in the bare Green’s function, . Calculations of other diagrams in Fig.1 are similar to the calculation of $`\delta \rho _a(ϵ,T)`$. Also, the contributions from the diagrams $`a^{})`$, $`b^{})`$, $`c^{})`$ and $`d^{})`$ in Fig.1 are equal to those coming from $`a)`$, $`b)`$, $`c)`$ and $`d)`$, respectively. Screening of the potential $`U`$ in the diffusion and cooperon channels is realized according to the diagrammatic equations given in Fig.2.

In the middle of the band, it can be shown that the screening of a short–range interaction arises in the diffusion channel, instead of the screening of the potential in the Cooper channel which takes place in the electron gas model,. It follows that a dynamical screening of the interaction in the diagrams $`(c)(d^{})`$ of Fig.1 does not essentially change the value of the bare potential, and the contribution to the DoS from these diagrams is calculated according to Eq.(8),

$`\delta \rho _\pi ^{(C)}(ϵ,T)`$ $`=`$ $`\rho _o^{(2d)}{\displaystyle \frac{[U(2𝐐,0)+2\overline{U(𝐩𝐩^{}+2𝐐,0)}]}{4\pi ^2\mathrm{}D}}`$ (15)
$`\times \mathrm{ln}\left({\displaystyle \frac{1}{\tau _omax\{ϵ,T\}}}\right)`$
The screening of the interaction in the diffusion channel is realized according to the diagrammatic equation in Fig.2,

$$U(𝐪\mathrm{𝟐}𝐐,\omega _m)=\frac{2}{\rho _o^{(2d)}\left[\mathrm{ln}\frac{T_c}{T}\psi (\frac{|\omega _m|+Dq^2}{4\pi T}+\frac{1}{2})+\psi (\frac{1}{2})\right]}$$
(16)
The correction to the DoS from the diagrams in Fig.1($`a,a^{}`$) is calculated by putting Eq.(16) into Eq.(13). The contribution from these diagrams is given by the corresponding expression for $`\delta \rho _N^{(C)}(ϵ,T)`$, expressed by Eq.(8). The potential of the other diagrams in the diffusion channel, given by Fig.1($`b,b^{}`$), carries zero energy and large momentum $`𝐩^{}𝐩^{\prime \prime }+\mathrm{𝟐}𝐐`$. Therefore screening is not effective and these diagrams give logarithmic contribution to the DoS. Therefore, the total quantum correction to the DoS in the diffusion channel can be presented as:

$`\delta \rho _\pi ^{(D)}(ϵ,T)={\displaystyle \frac{1}{2\pi ^2\mathrm{}D}}\mathrm{ln}{\displaystyle \frac{\mathrm{ln}T_c\tau _o/\mathrm{}}{\mathrm{ln}T_c/max\{ϵ,T\}}}+`$ (17)
$`+`$ $`\rho _o^{(2d)}{\displaystyle \frac{\overline{U(𝐩𝐩^{}+2𝐐,0)}}{2\pi ^2\mathrm{}D}}\mathrm{ln}\left({\displaystyle \frac{1}{\tau _omax\{ϵ,T\}}}\right)`$ (18)
It is seen from Eqs.(15) and (18) that the Bragg reflection contribution to the DoS $`\delta \rho _\pi =\delta \rho _\pi ^{(C)}+\delta \rho _\pi ^{(D)}`$ increases as $`ϵ`$ approaches the Fermi level.

The total quantum correction to the DoS $`\delta \rho (ϵ,T)`$ in the middle of the band can be expressed as $`\delta \rho (ϵ,T)=\delta \rho _N(ϵ,T)+\delta \rho _\pi (ϵ,T)`$. Both contributions to the DoS have the same energy or temperature dependences. However, they differ in sign and by the values of the interaction potentials $`U(0,0)`$ and $`U(2𝐐,0)`$ . Since the short–range interaction is a screened Coulomb interaction, the potentials $`U(0,0)`$ and $`U(2𝐐,0)`$ being included in Eq.(7) and Eq.(15) respectively cannot differ strongly from each other if the Thomas–Fermi screening number is of the order of the reciprocal lattice vector $`2𝐐`$. As a result, the total quantum corrections to the DoS become positive at half–filling. Far from half–filling the Bragg reflections are destroyed and the dominant contribution to the DoS is the logarithmically decreasing Altshuler–Aronov contribution  given by Eq.(7). Notice that an anomaly in the one–particle DoS is experimentally observable by measuring the tunneling conductivity in a contact as a function of the bias voltage. This dependence completely reflects an energy dependence of the DoS.

In conclusion, we showed that the DoS of a $`2D`$ disordered lattice with flat Fermi surface is enhanced close to half–filling due to quantum corrections mediated by Bragg reflections. Since similar quantum corrections exist for all commensurate points, the DoS seems to show oscillating behavior with maximum amplitude at half–filling. It is appropriate to emphasize that, although the Bragg reflection results in the decreasing the DoS of a non–interacting system, , it gives rise to an increase of the DoS in the presence of $`ee`$ correlations.

The work was partially supported by ONR under Grant N00014-01-1-0427.


text:
# DESY 02-170 Topics in Meson Spectroscopy This work was partially funded by the Natural Sciences and Engineering Research Council of Canada.

## 1 INTRODUCTION

Meson spectroscopy is an extremely broad subject, covering $`\pi \pi `$ scattering with $`\sqrt{s}<1`$ GeV to the heaviest $`b\overline{b}`$ states with masses greater than 10 GeV . The goal at both ends of the energy scale is to understand QCD in the nonperturbative regime. It is impossible to do justice to such a large body of work in a short talk so I restrict myself to a few selected topics. Many other aspects of meson spectroscopy are covered in other contributions where the interested reader can obtain a more balanced view of recent developments.

In a very short period of time, the subject of heavy quarkonium has come to the forefront. This is the result of two recent developments; the CLEO collaboration is taking data at the $`\mathrm{{\rm Y}}(3S)`$ and $`\mathrm{{\rm Y}}(2S)`$ which will exceed the world’s existing data by a large factor and the B-factories have observed a number of charmonium states in B-decay  culminating in the discovery of the $`\eta _c^{}`$ in $`B\eta _c^{}K`$ by the Belle collaboration . These measurements have led to the hope that some of the missing charmonium states may also be observed in B decay. Simultaneously, there has been great progress in Lattice QCD  so that we have progress on both the experimental and theoretical fronts.

On a second front there continues to be vigorous discussion about the structure seen in $`\pi \pi `$ S-wave scattering below 1 GeV. My impression is that a consensus is emerging among workers in the field with respect to general features. However, there continues to be considerable debate about the details. Low energy S-wave scattering is discussed in Section 3.

Finally, one of the most important topics in meson spectroscopy is the issue of gluonic excitations. To highlight this topic I briefly describe a proposal that should make a definitive statement about the existence of these objects and map out their properties.

## 2 HEAVY QUARKONIUM

The discovery of a D-wave $`b\overline{b}`$ state by the CLEO collaboration  and the discovery of the $`\eta _c^{}`$ in B-decay by the BELLE collaboration  represent important advances in heavy quarkonium physics. With continued running by CESR on the $`\mathrm{{\rm Y}}(2S)`$ and $`\mathrm{{\rm Y}}(3S)`$, large samples of B-mesons being collected by the B-factories, and future measurements at CLEO-c/CESR-c, I anticipate further discoveries in the near future. At the same time, advances in Lattice QCD calculations of the heavy quarkonium spectra are leading to quantitative predictions which need to be tested against experiment . Taken together we should expect a much better understanding of heavy quarkonium from first principles QCD.

Numerous $`b\overline{b}`$ states are expected to exist below the $`B\overline{B}`$ decay threshold. However, only spin triplet states have been observed in the $`b\overline{b}`$ system and only 2 spin-singlet states have been observed in $`c\overline{c}`$. Given that there is a wide variation of the spin dependent splittings predicted by various calculations, the observation of additional quarkonium states, including the missing spin-singlet states, would pose an important test of the calculations (comparisons are given in Ref. ). Similarly, various calculations predict different values for the mass of $`b\overline{b}`$ D-wave cog (the spin weighted mass of the triplet states). Observation of these states would be a powerful discriminator of the various calculations.

CESR/CLEO has just completed a high statistics data taking run at the $`\mathrm{{\rm Y}}(3S)`$ and will soon be running at the $`\mathrm{{\rm Y}}(2S)`$. We expect that analysis of the data will yield a rich spectroscopy. To give direction to searches we use the quark model to estimate radiative widths and branching ratios.

### 2.1 D-Wave States

There are several strategies to search for D-wave mesons . The first is via direct scans in $`e^+e^{}`$ collisions to produce the $`{}_{}{}^{3}D_{1}^{}`$. However, given the small coupling of the $`{}_{}{}^{3}D_{1}^{}(b\overline{b})`$ to the photon and the effects of line smearing this approach would require substantial statistics. A second approach is via the electromagnetic cascades $`\mathrm{{\rm Y}}(3S)\gamma \chi _b^{}\gamma \gamma ^3D_J`$. Using quark model estimates of both E1 dipole transitions and decays to final state hadrons  we estimate the number of events for $`4\gamma `$ cascades that proceed via various intermediate states . These are given in Table 1. We expect $`38`$ events per $`10^6`$ $`\mathrm{{\rm Y}}(3S)`$’s to be produced via $`{}_{}{}^{3}D_{J}^{}`$ states. Backgrounds can be reduced using the $`\mathrm{{\rm Y}}e^+e^{}+\mu ^+\mu ^{}`$ final states as event tags. A substantial background will be $`4\gamma `$ cascades proceeding via the $`2^3S_1`$ state which will also produce $`38`$ events per $`10^6`$ $`\mathrm{{\rm Y}}(3S)`$’s. These events can be separated from the $`1^3D_J`$ intermediate state using the fact that the energies of the intermediate photons are different. The CLEO collaboration successfully employed this strategy for the first observation of a triplet $`\mathrm{{\rm Y}}(1D)`$ state which was announced at this conference .

### 2.2 $`\eta _b(nS)`$ States

$`\eta _b(nS)`$ can be produced via magnetic dipole (M1) transitions $`\mathrm{{\rm Y}}(nS)\eta _b(n^{}S)+\gamma `$ . The rates for magnetic dipole transitions in quarkonium ($`Q\overline{Q}`$) bound states are given in the nonrelativistic approximation by

$$\mathrm{\Gamma }(^3S_1^1S_0+\gamma )=\frac{4}{3}\alpha \frac{e_Q^2}{m_Q^2}|f|j_0(kr/2)|i|^2\omega ^3$$
(1)
where $`\alpha `$ is the fine-structure constant, $`e_Q`$ is the quark charge in units of $`|e|`$ ($`1/3`$ for $`Q=b`$), $`m_Q`$ is the quark mass (which we take equal to 4.8 GeV/$`c^2`$) and $`k(\omega )`$ is the emitted photon’s momentum (energy). The available phase space for allowed transitions (the principal quantum number is unchanged) is small leading to a small partial width. In contrast, the hindered transitions (the principal quantum number changes) have large available phase space. In the nonrelativistic limit the overlap integral for hindered transitions is zero due to the orthogonality of the initial and final wavefunctions. However, relativistic corrections from the hyperfine interaction leads to differences in the $`{}_{}{}^{3}S_{1}^{}`$ and $`{}_{}{}^{1}S_{0}^{}`$ wavefunctions resulting in a non-zero overlap. The branching ratios for $`\mathrm{{\rm Y}}(nS)\eta _b(n^{}S)\gamma `$ are given in Table 2. Note that the radiative widths are quite sensitive to model dependent details. From these predictions we expect $`\eta _b`$’s to be produced at a substantial rate. Another possible production channel for $`\eta _b`$’s is the process $`\mathrm{{\rm Y}}(3S)h_b(^1P_1)\pi \pi \eta _b+\gamma +\pi \pi `$ . The BR for $`\mathrm{{\rm Y}}(3S)h_b(^1P_1)\pi \pi `$ is expected to be 0.1-1 % while the BR for $`h_b(^1P_1)\eta _b+\gamma `$ is estimated to be $`50\%`$.

### 2.3 Production of $`{}_{}{}^{1}P_{1}^{}`$ States

We consider two types of cascades to produce the $`{}_{}{}^{1}P_{1}^{}`$ $`c\overline{c}`$ and $`b\overline{b}`$ states . The first starts with an $`\mathrm{{\rm Y}}(3S)`$ or $`\psi (2S)`$ produced in $`e^+e^{}`$ annihilation which then underdoes an M1 transition to the $`\eta (2S)`$ state followed by an E1 transition to the $`h(^1P_1)`$ state and a final E1 transition to the $`\eta (1S)`$ state:

$$\mathrm{{\rm Y}}(3S)\eta _b(2S)+\gamma h_b+\gamma \gamma \eta _b+\gamma \gamma \gamma $$
(2)
$$\psi (2S)\eta _c(2S)+\gamma h_c+\gamma \gamma \eta _c+\gamma \gamma \gamma $$
(3)
The second cascade consists of the single pion emission transition from the initial $`{}_{}{}^{3}S_{1}^{}`$ state followed by an E1 transition to the $`\eta (1S)`$:

$$\mathrm{{\rm Y}}(3S)h_b+\pi \eta _b+\gamma +\pi $$
(4)
$$\psi (2S)h_c+\pi \eta _c+\gamma +\pi $$
(5)
To determine if either of these cascades is promising we need the appropriate branching ratios and hence the partial widths. In the quark model they are given by:

$$\mathrm{\Gamma }(^1S_0^1P_1+\gamma )=\frac{4}{3}\alpha e_Q^2\omega ^3|^1P_1|r|^1S_0|^2$$
(6)
so that $`\mathrm{\Gamma }[\eta _b(2S)h_b(1P)+\gamma ]=2.3`$ keV. In addition we need the hadronic widths for the $`\eta _b(2S)`$. There are considerable theoretical uncertainties which to a large extent can be reduced by relating ratios of theoretical expressions to observed hadronic widths. For the $`\eta _b(2^1S_0)`$ we take

$$\mathrm{\Gamma }[^1S_0gg]=\frac{27\pi }{5(\pi ^29)\alpha _s}\times \mathrm{\Gamma }[^3S_1ggg]$$
(7)
where 1st order QCD corrections are included in our numerical results but are not explicitly shown. This gives $`\mathrm{\Gamma }[\eta _b(2^1S_0)gg]=4.1\pm 0.7`$ MeV. Combining the resulting branching ratios for $``$$`[\mathrm{{\rm Y}}(3S)\eta _b^{}+\gamma ]`$ and $``$$`[\eta _b^{}h_b+\gamma ]`$ gives $``$$`[\mathrm{{\rm Y}}(3S)\eta _b^{}\gamma h_b\gamma \gamma ]=2.6\times 10^7`$. This would result in only 0.3 events per $`10^6\mathrm{{\rm Y}}(3S)`$’s. A similar exercise yields B$`[\psi (2S)\eta _c^{}\gamma h_c\gamma \gamma ]=10^6`$ or 1 event per $`10^6\psi ^{}`$’s.

A more promising approach utilizes the hadronic decay $`\mathrm{{\rm Y}}(3S)\pi 1^1P_1`$ which is estimated to have a BR of around 0.1% . Again we need to estimate the radiative and hadronic widths of the $`{}_{}{}^{1}P_{1}^{}`$ states:

$$\mathrm{\Gamma }[^1P_1^1S_0+\gamma ]=\frac{4}{9}\alpha e_Q^2\omega ^3|^1S_0|r|^1P_1|^2$$
(8)
giving $`\mathrm{\Gamma }[h_b(1P)\eta _b(1S)+\gamma ]=37`$ keV and

$$\mathrm{\Gamma }[^1P_1ggg]=\frac{5}{2n_f}\times \mathrm{\Gamma }[^3P_1q\overline{q}g]$$
(9)
giving $`\mathrm{\Gamma }[h_b(1P)ggg]=50.8`$ keV. Combining the branching ratios in this decay chain yields

$$[\mathrm{{\rm Y}}(3S)1^1P_1+\pi 1^1S_0+\gamma \pi ]=4\times 10^4$$
(10)
which would yield 400 events per $`10^6`$ $`\mathrm{{\rm Y}}(3S)`$’s. Similarly one obtains

$$[\psi (2S)1^1P_1+\pi 1^1S_0+\gamma \pi ]=3.8\times 10^4$$
(11)
In both cases it appears that the $`1^1P_1`$ should be produced in sufficient numbers to be observed.

There is also the possibility that charmonium states can be observed in $`B`$ decay. This was recently highlighted by the Belle observation of the $`\eta _c(2S)`$ in $`B\eta _c(2S)KKK_sK^{}\pi ^+`$ . Belle had previously reported the observation of the $`\chi _{c0}`$, $`\chi _{c2}`$  and the $`\chi _{c1}`$ had been observed by both the BaBar and Belle collaborations. It had long been proposed that the $`h_c`$ could be seen in $`B`$ decays  and the recent Belle result has led to a renewal of interest in this process .

## 3 S-WAVES BELOW 1 GEV

The subject of the S-waves below 1 GeV garners some of the most vigorous discussion in hadron spectroscopy . Thus, the discussion below reflects my impression of this subject which may not be held by all workers in this field. Despite this note of caution I believe that there is a growing consensus on the general features of S-wave scattering in this kinematic region, if not on all specific details.

The phenomenology of the $`0^{++}`$ sector reflects the many different components of the Fock space: conventional $`q\overline{q}`$ mesons, $`q\overline{q}q\overline{q}`$ states, glueballs, meson-meson molecules, and threshold effects. It is clearly a challenge to understand this sector. One starts by analyzing the raw data to produce phase shift plots and then one attempts to intrepret these results in terms of underlying models.

Much of the information on low energy S-wave $`\pi \pi `$ scattering comes from measuring $`\pi ^{}p\pi ^+\pi ^{}n`$ at CERN  and $`\pi ^{}p\pi ^0\pi ^0n`$ at BNL . Unfortunately the experiments provide fewer observables than are needed to unambiguously describe the partial waves. One must therefore make assumptions in the PWA. In particular the role of nucleon spin is ignored and the role of the $`a_1`$ exchange amplitude is generally neglected assuming the dominance of pion exchange. These assumptions result in ambiguities in the extraction of phase shifts from the PWA.

Kaminski, Lesniak, and Rybicki studied this problem  constraining the allowed solutions by imposing unitarity and using the non-observation of inelastic scattering below the $`f_0(980)`$. They further related the $`\pi ^+\pi ^{}`$ to the $`\pi ^0\pi ^0`$ amplitudes to obtain $`\pi \pi `$ phase shifts. Including these ingredients they presented what they believe to be a unique physical solution.

Furthermore, by separating the pseudoscalar from the pseudovector exchange amplitudes they obtain the cross sections shown in Fig. 1. The conclusion is that the $`a_1`$ contributions are significantly different from zero. This is an important point which should be kept in mind in future experiments. High statistics enables the differentiation between different t-channel exchange particles which results in different couplings to final states. It is a very useful bit of information in understanding the properties of the produced excited mesons.

Given this information the next question is how to describe these phase shifts in terms of true resonances and from the dynamics between $`K\overline{K}`$, $`K\pi `$ and $`\pi \pi `$. This was discussed in contributions by Van Beveren and Rupp  and by Furman and Lesniak . It is clear that one must look at the meson-meson scattering and extract the phase shifts not the resonance positions. To do this requires a multichannel approach which includes resonances (from constituent $`q\overline{q}`$ channels) and meson-meson interactions. An interesting and important consequence is that the pole parameters are dependent on the coupling strengths.

As a concrete example of this approach I show results for the coupled channel calculation of Furman and Lesniak . They constructed a coupled channel of two $`a_0`$ resonances decaying into the $`\pi \eta `$ and $`K\overline{K}`$ mesons using the coupled channel Lippman-Schwinger equation:

$`p|T|q`$ $`=p|V|q`$ (12)
$`+{\displaystyle \frac{d^3s}{(2\pi )^3}p|V|ss|G|ss|T|q}`$
where $`T`$, $`V`$, and $`G`$ are $`2\times 2`$ matrices with $`G`$ the matrix of propagators. The resulting Argand diagrams are shown in Fig. 2. These plots show significantly different widths in the two channels which agrees with E852 and Crystal Barrel observations. The $`I=0`$ sector was also studied in this approach.

What these multichannel approaches by Van Beveren and Rupp  and by Furman and Lesniak  and by others show is that one can obtain a good description of the low S-wave spectrum in this approach. My impression is that workers in this field have come to a consensus on the general description of S-wave scattering although there continues to be considerable debate on the details and interpretation of what these results mean.

## 4 EXOTIC HYBRID MESONS

The most important qualitative question in “soft QCD” is if and how glue manifests itself in the hadron spectrum. Lattice QCD and hadron models predict glueballs, objects with no constituent quark content, and hybrids, hadrons with quark content and an explicit gluon degree of freedom. It is expected that the most definitive evidence for a non $`q\overline{q}`$ state is to discover a state with $`J^{PC}`$ quantum numbers inconsistent with the quark model, so called exotics. Because the lowest lying exotic glueballs are quite massive this directs the search to exotic hybrid mesons.

The emerging picture of hybrid mesons is that of transverse excitations of the flux tube. For the light quarks this leads to the lowest mass hybrids of mass $`1.9`$ GeV with doubly degenerate quantum numbers. In particular, states are predicted with $`J^{PC}=0^+`$, $`1^+`$, and $`2^+`$ which are inconsistent with the quark model and would therefore provide the smoking gun for new hadronic physics. There have been a number of sightings of such states . For example the Brookhaven E852 experiment has seen evidence for the $`\widehat{\rho }(1^+)`$ exotic in the reaction $`\pi ^{}p\pi ^+\pi ^{}\pi ^{}p`$ .

Here I briefly mention an ambitious proposal to search for and map out exotic gluonic excitations at the Jefferson Laboratory in Virginia. The proposal takes advantage of the fact that exotic hybrid mesons have their quark spins aligned in an $`S=1`$ state. In standard hadroproduction the incoming beam consists of $`\pi `$ mesons whose quark spins are in an $`S=0`$ state. Since exotic hybrids have quark spins in an $`S=1`$ state it is believed that hadroproduction of exotic hybrids is suppressed. In contrast, via vector meson dominance, a photon beam consists of quarks in an $`S=1`$ state so it is believed that exotic hybrids are more readily produced in diffractive photoproduction by “plucking” the gluon flux tube. To this end there is a proposal to upgrade CEBAF to 12 GeV and produce photons via coherent bremsstrahlung with a spectrum that peaks at 9 GeV. This project would add considerably to our knowledge of hybrid mesons and our understanding of confinement.

## 5 SUMMARY

Over the last while, there have been significant developments in heavy quarkonium physics. We expect this progress to continue with a high likelihood that the CESR collaboration should find evidence for the $`2^1S_0`$ $`1^1S_0`$, $`1^1P_1`$ $`b\overline{b}`$ states. It is also possible that they will find evidence for the $`3^1S_0`$, $`1^3D_1`$ and $`1^3D_3`$ states. At the same time we expect that in the near future the various B-factories will discover some of the missing charmonium states in B-decay. Beyond this, the CLEO-c/CESR-c project would provide an additional avenue to study the charmonium system. Taken together, this would represent the largest advances in heavy quarkonium spectroscopy in two decades. These results would provide an important benchmark against which to measure the results of lattice QCD and the various models in the literature.

The situation with S-wave scattering at low energies is converging to a consensus on the overall details. Good agreement between theory and experiment is achieved by describing low energy scattering in the framework of a multichannel quark model. Nevertheless, there is still vigorous debate about the details and the interpretation.

Finally, we mention hybrid meson production as an important tool in understanding QCD in the low $`Q^2`$ regime and the nature of confinement. In the near future we look forward to results from, for example, the COMPASS experiment at CERN and photoproduction results at HERA. In the longer term we expect that the GlueX experiment at Jefferson Lab will provide a major leap forward in our understanding of gluon dynamics in the regime of Soft QCD.