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# Raynaud’s group-scheme and reduction of coverings

## 1. Introduction

### 1.1. Reduction of coverings of degree $`p`$

Let $`R`$ be a discrete valuation ring of mixed characteristics, $`S=\mathrm{Spec}R`$, which has generic point $`\eta `$ with fraction field $`K`$ and special point $`s`$ with residue field $`k`$ of characteristic $`p>0`$. Consider a generically smooth, stable marked curve $`YS`$ with an action of a finite group $`G`$ of order divisible by $`p`$. Denote $`X=Y/G`$. We assume that $`G`$ acts freely on the complement of the marked points in $`Y_\eta `$ (it follows that $`G`$ respects the branches of all nodes of $`Y_s`$).

In situations where the order of $`G`$ is prime to the residue characteristic, the reduced covering $`Y_sX_s`$ is an admissible $`G`$-covering, and a nice complete moduli space of admissible $`G`$-coverings exists. An extensive literature exists describing that situation. However, in our case where the residue characteristic divides the order of $`G`$, interesting phenomena occur (see e.g. \[$`\mathrm{}`$-O2\]). The situation was studied by a number of people; we will concern ourselves with results of Raynaud \[Ra\] and, in a less direct way, Henrio \[He\]. Related work of Saidi \[Sa1, Sa2, Sa3\], Wewers and Bouw \[W1, W2, W3, Bo, B-W1, B-W2\], Romagny \[Ro\] and others provides additional inspiration.

Thus, in our case where $`p||G|`$, the covering $`YX`$ is no longer generically étale on each fiber. It is natural to consider some sort of group-scheme degeneration $`𝒢X`$ of $`G`$, in such a way that $`Y`$ might be considered something like an admissible $`𝒢`$-covering. Raynaud (\[Ra\], Proposition 1.2.1) considered such a degeneration locally at the generic points of the irreducible components of $`X_s`$, in the special case where $`|G|=p`$; in our first result below we will work out its extension to the smooth locus of $`X`$ (Theorem 3.1.1), and slightly more general groups, where $`p^2|G|`$ and the $`p`$-Sylow subgroup of $`G`$ is normal. The case where $`p^2||G|`$ remains a question which I find very interesting (see example 2.1.7 for a negative result in general and remark 2.1.8 for a positive result for small ramification).

One still needs to understand the structure of $`YX`$ at the nodes of $`X_s`$ and $`Y_s`$. Henrio, working $`p`$-adic analytically, derived algebraic data along $`X_s`$, involving numerical invariants and differential forms, which in some sense classify $`Y_sX_s`$. Our second goal in this note is to present a slightly different approach to such degenerations at a node, modeled on twisted curves, i.e. curves with algebraic stack structures. The point is that, just as in \[$`\mathrm{}`$-C-V\], the introduction of twisted curves allows to replace $`YX`$ by something that is more like a principal bundle. Unlike the case of residue characteristics prime to $`|G|`$, the twisted curves will in general be Artin stacks rather than Deligne–Mumford stacks.

### 1.2. Acknowledgements

Thanks to Angelo Vistoli for help, and to F. Andreatta, A. Corti, A.J. de Jong, and N. Shepherd-Barron for patient ears and useful comments. I also heartily thank Jonathan Lubin, who pointed me in the direction of Example 2.1.7, and in particular saved me from desparate efforts to prove results when $`p^2||G|`$. Matthieu Romagny’s computations led to a big improvements in the results obtained - we hope to complete the construction of a moduli space in the near future.

## 2. Extensions of groups schemes and their actions in dimension 1 and 2

### 2.1. Raynaud’s group scheme

Raynaud (see \[Ra\], Proposition 1.2.1, see also Romagny, \[Ro\]) considers the following construction: let $`U`$ be integral and let $`V/U`$ be a finite flat $`G`$-invariant morphism of schemes, with $`G`$ finite. Assume that the action of $`G`$ on the generic fiber of $`V/U`$ is faithful. We can view this as an action of the constant group scheme $`G_U`$ on $`V`$, and we consider the schematic image $`𝒢`$ of the associated homomorphism of group schemes

$$G_U\mathrm{Aut}_UV.$$

Since, by definition, $`G_UU`$ is finite, we have that $`𝒢U`$ is finite as well. The scheme $`𝒢U`$ can also be recovered as the closure of the image of the generic fiber of $`G_U`$, which is, by the faithfulness assumption, a subscheme of $`\mathrm{Aut}_UV`$. By definition $`𝒢`$ acts faithfully on $`V`$.

###### Definition 2.1.1.

We call the scheme $`𝒢`$ the effective model of $`G`$ acting on $`V/U`$.

Note that a-priori we do not know that $`𝒢`$ is a group-scheme. It is however automatically a flat group scheme if $`U`$ is the spectrum of a Dedekind domain. (This follows because, in that case, the image of $`𝒢\times _U𝒢\mathrm{Aut}_UV`$ is also flat, and therefore must coincide with $`𝒢`$).

Also note that, if $`s`$ is a closed point of $`U`$ whose residue characteristic is prime to the order of $`G`$, then the fiber of $`𝒢`$ over $`s`$ is simply $`G`$. So this faithful model is only of interest when the residue characteristic divides $`|G|`$.

I recall and slightly extend a result of Raynaud (see \[Ra\], Proposition 1.2.1):

###### Proposition 2.1.2.

Let $`U`$ be the spectrum of a discrete valuation ring, with special point $`s`$ of residue characteristic $`p`$ and generic point $`\eta `$. Let $`VU`$ be a finite and flat morphism, and assume that the fiber $`V_s`$ of $`V`$ over $`s`$ is reduced (but not assuming geometrically reduced). Assume given a finite group $`G`$, with normal $`p`$-Sylow subgroup, such that $`p^2|G|`$, and an action of $`G`$ on $`V`$ such that $`VU`$ is $`G`$-invariant, and such that the generic fiber $`V_\eta \{\eta \}`$ is a principal homogeneous space. Let $`𝒢U`$ be the effective model of $`G`$ acting on $`V/U`$.

Then $`V/U`$ is a principal bundle under the action of $`𝒢U`$.

###### Remark 2.1.3.

An analogous result in a much wider array of cases, in particular relative to a non-finite map, is studied in Romagny’s \[Ro1\].

Proof. As in Raynaud’s argument, it suffices to show that the stabilizer of the diagonal of $`V_s\times _UV_s`$ inside the group scheme $`V_s\times _U𝒢`$ is trivial. Since $`G`$ acts transitively on the closed points $`t_i`$ of $`V_s`$ sending the stabilizer on $`t_i`$ to that over $`t_j`$, it is enough to show that one of these stabilizers, say over $`tV_s`$, is trivial. But this stabilizer $`P`$ is a group scheme over a field with $`\mathrm{deg}P|p`$, and if nontrivial it is of degree exactly $`p`$. In such a case it must coincide with the pullback of the unique $`p`$-Sylow group-subscheme of $`𝒢`$, therefore that $`p`$-sylow acts trivially, contradicting the fact that $`𝒢`$ acts effectively.∎

###### Remark 2.1.4.

In case the inertia group is not normal, Raynaud passes to an auxiliary cover, which encodes much of the behavior of $`VU`$.

###### Question 2.1.5.

What can one say on the action of $`𝒢`$ on $`V`$ in case the order of $`G`$ (and the degree of $`VU`$) is divisible by $`p^2`$, but the inertia group is still normal? Specifically, what happens if $`|G|=p^2`$?

In the latter case, consider a subgroup $`PG`$ of order $`p`$. It can be argued as in Raynaud’s proof, that the effective model $`𝒫U`$ of $`P`$ acts freely on $`V`$, and thus $`VV/P`$ is a principal $`𝒫`$-bundle. Similarly, if $`𝒬`$ is the effective model of $`G/P`$ acting on $`V/P`$, then $`V/PU`$ is a principal $`𝒬`$-bundle. At the same time, we have an action of the effective model $`𝒢`$ of $`G`$ on $`V/P`$, but it is not necessarily the case that $`𝒢/𝒫𝒬`$ is an isomorphism.

As probably the simplest example, consider an action of $`𝒢_0=(\alpha _p)^2=\mathrm{Spec}k[a,b]/(a^p,b^p)`$ on $`k(t)`$. Examples of liftings of a non-free action of the type

$$tt+a+f(t)b$$

for any residue characteristic have been written down by Romagny (personal communication) and Saidi (see \[Sa4\]). The case of

(1)
$$tt+a+t^pb$$

is particularly appealing, as it involves torsion and endomorphisms of a formal group. I therefore ask

###### Question 2.1.6.

Can one lift the action (1) to characteristic 0?

A formal positive answer in arbitrary residue characteristics is given by Jonathan Lubin in the appendix. Here I consider the case of residue characteristic 2, where this action can be obtained as a reduction of an action of $`(/2)^2`$ on a smooth curve. I concentrate on the local picture (making it global is not difficult):

###### Example 2.1.7.

Let $`R=_2[\sqrt{2}]`$. Consider the group-scheme $`Y/R`$ defined by

$$tt^{}=t+t^{}+\sqrt{2}tt^{}$$

This is an additive reduction of the multiplicative group. The reduction of the subgroup $`\mu _2`$ is given as

$$\mathrm{Spec}R[a]/\left(a(a+\sqrt{2})\right),$$

reducing to $`\alpha _2`$. It acts on $`Y`$ by translation via the addition law as above:

$$tt+a+\sqrt{2}at.$$

The reduction of the action of $`/2`$ by inversion is the same group scheme, again reducing to $`\alpha _2`$, which we write as

$$\mathrm{Spec}R[b]/\left(b(b+\sqrt{2})\right).$$

This time the action is given by

$$t\left(1+\sqrt{2}b\right)t\frac{bt^2}{1+\sqrt{2}t}.$$

Since $`2`$-torsion is fixed by inversion, these actions commute. Explicitly, the action of the product is given by

$$ta+\left(1+\sqrt{2}b\right)t\frac{bt^2}{1+\sqrt{2}t}+\sqrt{2}a\left(\left(1+\sqrt{2}b\right)t\frac{bt^2}{1+\sqrt{2}t}\right).$$

The reduction modulo $`\sqrt{2}`$ is given by

$$tt+a+t^2b,$$

as required.

###### Remark 2.1.8.

Raynaud’s arguments do work when $`p^2||G|`$ if the $`p`$-Sylow group-scheme of $`𝒢`$ has only étale and cyclotomic Jordan–Hölder factors. This is because, in that case, the are no nonconstant group subschemes in the reduction. In particular this works whenever the absolute ramification index over $`_p`$ is $`<p`$.

### 2.2. Extension from dimension 1 to dimension 2

Consider now the case where $`dimU=2`$, and $`V/U`$ finite flat and $`G`$-invariant as above. Consider the S2-saturation $`𝒢^{}𝒢`$ of the effective model $`𝒢`$ of the $`G`$ action on $`V/U`$. We have

###### Lemma 2.2.1.

If $`𝒢^{}U`$ is flat then $`𝒢^{}`$ is a group-scheme acting on $`V`$.

Proof. We claim that the rational map $`𝒢^{}\times _U𝒢^{}𝒢^{}`$ induced by multiplication in $`Aut_UV`$ is everywhere defined. Indeed the graph of this map is finite over $`𝒢^{}\times _U𝒢^{}`$ and isomorphic to it over the locus where $`𝒢^{}𝒢`$ is an isomorphism, whose complement has codimension $`2`$. The S2 property implies that the graph is isomorphic to $`𝒢^{}\times _U𝒢^{}`$, and the map is regular. The same works for the map defined by the inverse in $`Aut_UV`$. This makes $`𝒢^{}`$ a group-scheme, and the map $`𝒢^{}Aut_UV`$ into a group-homomorphism. ∎

This applies, in particular, when $`U`$ is regular:

###### Lemma 2.2.2.

If $`U`$ is regular, the S2-saturation $`𝒢^{}`$ of the effective model $`𝒢`$ is a finite flat group scheme acting on $`V`$.

Proof. Since $`𝒢^{}`$ is S2 and 2-dimensional, it is Cohen-Macaulay, and being finite over the nonsingular scheme $`U`$, it is finite and flat over $`U`$ (indeed its structure sheaf, being saturated, is locally free over the nonsingular 2-diemnsional scheme $`U`$). Pulling back to $`𝒢^{}`$ the Cohen-Macaulay flat morphism $`𝒢^{}U`$ we have that $`𝒢^{}\times _U𝒢^{}`$ is S2 and flat over $`𝒢^{}`$ and over $`U`$.

The rest follows from Lemma 2.2.1. ∎

When the action on the generic fiber is free, we have more:

###### Proposition 2.2.3.

Let $`U`$ be a Cohen-Macaulay integral scheme with $`dimU=2`$. Let $`VU`$ be a $`G`$ invariant, finite, flat and Cohen–Macaulay morphism, and assume the action of $`G`$ on the generic fiber is free. Let $`𝒢U`$ be the effective model of the action. Assume that for every codimension-1 point $`\xi `$, the action of the fiber $`𝒢_\xi `$ on $`V_\xi `$ is free.

Then

1. $`𝒢U`$ is a flat group-scheme, and
2. The action of $`𝒢`$ on $`V`$ is free.

Note that, by Raynaud’s proposition, the assumptions hold when $`U=V/G`$ is local of mixed characteristics $`(0,p)`$, the fibers $`V_\xi `$ are reduced, the $`p`$-Sylow of $`G`$ is normal and $`p^2|G|`$.

Proof. Consider the s2-saturation $`𝒢^{}`$ of $`𝒢`$. Since $`VU`$ is flat and Cohen-Macaulay, the same is true for $`V\times _UVV`$ and for $`𝒢^{}\times _UV𝒢^{}`$. Since $`𝒢^{}`$ and $`V`$ are Cohen-Macaulay, we have that $`V\times _UV`$ and $`𝒢^{}\times _UV`$ are Cohen-Macaulay, hence S2, as well. The morphism $`𝒢^{}\times _UVV\times _UV`$ induced by the action $`𝒢^{}\mathrm{Aut}_UV`$ is finite birational and isomorphism in condimension 1. By the S2 property it is an isomorphism. In particular we have that $`𝒢^{}\times _UVV`$ is flat, and since $`VU`$ is faithfully flat we have that $`𝒢^{}U`$ is flat. By Lemma 2.2.1 we have that $`𝒢^{}U`$ is a finite flat group scheme acting on $`V`$, and the isomorphism $`𝒢^{}\times _UVV\times _UV`$ shows that the action is free, in particular $`𝒢^{}𝒢`$ is an isomorphism. ∎

## 3. Curves

### 3.1. The smooth locus

The main case of interest for us is the following:

Let $`R`$ be a complete discrete valuation ring of mixed characteristic, with fraction field $`K`$ of characteristic 0, residue field $`k`$ of characteristic $`p>0`$, and spectrum $`S`$. Assume $`YS`$ is a stable curve with smooth generic fiber, $`G`$ a finite group acting on $`Y`$ over $`S`$, and denote

$$X=Y/G.$$

We assume that the closure of fixed points of $`G`$ in $`Y_K`$ are disjoint integral points of the smooth locus $`Y_{\mathrm{sm}}`$ and hence for every node $`yY`$, the stabilizer in $`G`$ of $`y`$ keeps the branches of $`Y`$ at $`y`$ invariant. We denote the complement of the closure of generic branch points in $`Y_{\mathrm{sm}}`$ by $`Y_{\mathrm{gen}}`$, and the image in $`X`$ by $`X_{\mathrm{gen}}`$ \- the so called general locus.

Note that $`Y_{\mathrm{sm}}X_{\mathrm{sm}}`$ is flat.

The propositions above give:

###### Theorem 3.1.1.

Assume $`p^2|G|`$ and the $`p`$-Sylow subgroup of $`G`$ is normal.

There exist

1. a finite flat group scheme $`𝒢_{\mathrm{sm}}X_{\mathrm{sm}}`$,
2. a homomorphism $`G_{X_{\mathrm{sm}}}𝒢_{\mathrm{sm}}`$ which is an isomorphism on $`X_K`$, and
3. an action of $`𝒢_{\mathrm{sm}}`$ on $`Y_{\mathrm{sm}}`$ through which the action of $`G`$ factors,

such that $`Y_{\mathrm{gen}}X_{\mathrm{gen}}`$ is a principal $`𝒢`$-bundle.

The formation of $`𝒢`$ commutes with any flat and quasi-finite base change $`RR^{}`$.

It would be really interesting to see what happens for other groups $`G`$.

### 3.2. The structure of $`Y`$ and $`G`$ over nodes of $`X`$

What can be done about the singular points of $`X`$ and $`Y`$? It is easy to see that even in the case of characteristic 0, the cover $`YX`$ is not a principal bundle in general (and certainly not at the closure of generic branch points). However, the behavior of $`YX`$ at the nodes is very interesting. Several authors, notably Henrio \[He\], have attached invariants to such a node which say much about the cover $`YX`$. It seems desirable to attach a local geometric structure which underlies such invariants. My suggested approach here is to follow the method of \[$`\mathrm{}`$-V2, $`\mathrm{}`$-V1, $`\mathrm{}`$-C-V\] using twisted curves.

Let us first investigate $`YX`$.

Consider a node $`pX`$ where is described locally by the equation $`xy=\pi ^m`$, with $`\pi `$ a uniformizer in $`S`$ (splitting the nodes is obtained after a quadratic base change and passing to a completion, or strict henselization, on $`X`$). Similarly take a node $`qY`$ over $`p`$ with local equation $`st=\pi ^n`$. Say the local degree of $`YX`$ at $`p`$ is $`d`$, so without loss of generality we can write $`x=s^d\mu `$ and $`y=t^d\nu `$, where $`\mu `$ and $`\nu `$ are units on $`Y`$. Comparing the Cartier divisors of $`x,y,s,t`$ and $`\pi `$ on $`Y`$ we get that $`m=dn`$, and $`\mu \nu =1`$. Note that, since $`G`$ acts transitively on the points of $`Y`$ lying over $`pX`$, the degree $`d`$ is independent of the choice of $`q`$.

###### Definition 3.2.1.

Let

$$Z=\mathrm{Spec}R[u,v]/(uv\pi ^n)$$

on which $`\mu _d`$ acts via $`(u,v)(\zeta u,\zeta ^1v)`$, and consider the $`𝝁_d`$-invariant $`ZX`$ given by $`x=u^d,y=v^d`$. Define a twisted curve $`𝒳`$, which is a tame separated Artin stack given locally over $`p`$ by

$$𝒳:=[Z/𝝁_d].$$

Clearly the coarse moduli space of $`𝒳`$ is $`X`$. It is not hard to see that $`𝒳X`$ only depends on the local ramification degree $`d`$ at each node, and not on the choice of local coordinates.

###### Lemma 3.2.2.

There is a lifting, unique up to a unique isomorphism, of $`YX`$ to a finite flat Cohen-Macaulay morphism $`Y𝒳`$.

Proof. Consider the $`𝝁_d`$-cover $`PY`$ given by

$$P=\mathrm{Spec}𝒪_Y[w]/(w^d\mu ),$$

where $`\mu _d`$ acts via $`w\zeta w`$. Define a morphism $`PZ`$ via $`u=sw`$ and $`v=t/w`$. This morphism is clearly equivariant, giving a morphism $`Y[Z/\mu _p]`$. Since $`(sw)^p=x=u^p`$ and $`(t/w)^p=y=v^p`$ this lifts the maps to $`X`$. The uniqueness statement follows from the fact that $`𝒳`$ is separated. To check that $`Y𝒳`$ is flat it suffices to show $`PZ`$ flat. This follows from the local criterion for flatness: the fiber over $`u=v=0`$ is given by $`s=t=0,w^d=c`$ where $`c`$ is the constant coefficient of $`\mu `$ at $`s=t=0`$. This is a scheme of degree $`d`$ as required. Since $`Y`$ and $`𝒳`$ (or, for that matter, $`P`$ and $`Z`$) are Cohen-Macaulay, the morphism is Cohen-Macaulay. ∎

We now have:

###### Theorem 3.2.3.

Assume $`p^2|G|`$ and the $`p`$-Sylow subgroup of $`G`$ is normal.

There exist

1. a twisted curve $`𝒳X`$,
2. a finite flat group scheme $`𝒢𝒳`$,
3. a homomorphism $`G_𝒳𝒢`$ which is an isomorphism on $`𝒳_K`$,
4. a lifting $`Y𝒳`$ of $`YX`$, and
5. an action of $`𝒢`$ on $`Y`$ through which the action of $`G`$ factors,

such that $`Y𝒳`$ is a principal $`𝒢`$-bundle.

The formation of $`𝒢`$ commutes with any flat and quasi-finite base change $`RR^{}`$.

Proof. There are two issues we need to resolve here: the construction of $`𝒢`$ at the nodes, and the construction of $`𝒳`$ and $`𝒢`$ at the markings.

First we need to extend $`𝒢`$ over nodes. We we have that $`Y𝒳`$ is flat and Cohen-Macaulay at the nodes; by Theorem 3.1.1 $`Y_{\mathrm{gen}}X_{\mathrm{gen}}`$ is a principal bundle under $`𝒢_{\mathrm{gen}}`$. By Proposition 2.2.3 the effective model $`𝒢`$ of the action is a finite flat group scheme and $`Y`$ is a principal bundle.

Next, we deal with the markings: the local picture of $`Y_KX_K`$ at a marking is $`Y=\mathrm{Spec}R[s]`$ and $`X=\mathrm{Spec}R[x]`$ where $`x=s^d`$, and the stabilizer in $`G`$ of $`s=0`$ on $`Y`$ is identified with $`𝝁_d`$, acting via $`s\zeta s`$. Locally around the marking $`s=0`$ we can define $`𝒳=[\mathrm{Spec}𝒪_X[u]/𝝁_d]`$. The discussion above shows that $`Y_K𝒳_K`$ is a principal $`G`$-bundle. Applying Proposition 2.2.3 again we obtain that $`𝒢`$ is a group scheme and $`Y`$ is a principal bundle. ∎

So, in view of \[$`\mathrm{}`$-C-V\], we might call $`𝒴\stackrel{~}{𝒳}`$ a twisted $`𝒢`$-bundle.

This suggests an approach to lifting covers from characteristic $`p`$ to characteristic 0, by breaking it in two stages: (1) lifting group-schemes over $`𝒳`$, and (2) lifting the covers. Recent work of Wewers \[W3\] seems to support such an approach.

## Appendix A Lifting a non-free action on a formal group

by Jonathan Lubin111Department of Mathematics, Brown University Box 1917, Providence, RI 02912
Email address: lubinj@math.brown.edu

### The Question

In characteristic $`p>0`$, consider the substitution $`ta+t+bt^p`$ , where $`a^p=b^p=0`$. This clearly defines a groupscheme of rank $`p^2`$, isomorphic to $`\alpha _p\times \alpha _p`$, and an action of the groupscheme on a curve, in this case the affine line. In Question 2.1.6 it was asked whether this group-scheme and this action can be lifted to characteristic zero, over a suitably ramified extension of $`_p`$.

### The Answer

Maybe, depending on what you’re willing to accept as an example. I give in this note a lifting of $`\alpha _p\times \alpha _p`$ to a ring $`𝔒`$, the integers in a well-chosen ramified extension of $`_p`$, and an action of this groupscheme on the formal affine line, namely the formal spectrum of $`𝔒[[t]]`$. But if you demand an example of an action on a genuine algebraic curve, I’m afraid that you’ll have to look to someone else.

In general, if $`R`$ is a ring and $`f`$ and $`g`$ are power series in one variable over $`R`$, then it makes no sense to compose the series, $`fg`$, unless $`g`$ has zero constant term. Yet, there are situations where $`R`$ has a suitable complete topology, when $`fg`$ can make sense even when $`g(0)0`$. Let us detail one fairly general such situation:

If $`(𝔬,𝔪)`$ is a complete local ring, then on the category of complete local $`𝔬`$-algebras $`(R,M)`$ we define a group functor denoted $`𝔅`$ or $`𝔅_𝔬`$, such that $`𝔅(R)`$ is the set of power series

$$f(t)=\underset{j0}{}c_jt^jR[[t]]$$

for which $`c_0M`$ and $`c_1M`$. Our desire is that $`𝔅_𝔬(R)`$ should be a group under composition of power series, and indeed the condition on $`c_0`$ guarantees that composition will be well-defined, while the condition on $`c_1`$ guarantees that the series will have an inverse in $`𝔅(R)`$. One sees now that if $`\kappa `$ is the characteristic-p field of definition in Question 2.1.6, and if $`R`$ is the local $`\kappa `$-algebra $`\kappa [a,b]/(a^p,b^p)`$, then the series $`a+t+bt^p`$ is an element of $`B_\kappa (R)`$. The relation

$$(a+t+bt^p)(a^{}+t+b^{}t^p)=(a+a^{})+t+(b+b^{})t^p$$

shows that the groupscheme that’s being described is finite and isomorphic to $`\alpha _p\times \alpha _p`$.

### The Method

We take a formal group $`F`$ of finite height that has a subgroup of order $`p`$ as well as a group of automorphisms of order $`p`$. Now, finite groups of automorphisms of a formal group of finite height are always étale, but by taking a slight blowup of $`F`$, we convert the automorphism subgroup to a local groupscheme, without going so far as to make the above group of torsion points of $`F`$ étale as well. Then, allowing ourselves a slight abuse of language, our desired lifting consists of all substitutions

$$ta\stackrel{~}{+}t\stackrel{~}{+}[b]_F^{}(t),$$

where $`a`$ is a torsion point of the blow-up of $`F`$, and $`1+b`$ is a $`p`$-th root of $`1`$. In the displayed formula, $`F^{}`$ is the blown-up version of $`F`$, the tilde over the plus-sign indicates addition with respect to $`F^{}`$, and as usual, $`[b]_F^{}(t)`$ is the endomorphism whose first-degree term is $`bt`$. I suppose that very confident people may be able to look at the preceding explanation and say, Of Course, No Problem, End of Story. But I’m not so confident, and the rest of this note is devoted to filling in the gaps and making sure, to my own satisfaction at least, that everything is on the up and up. To those confident readers, everything from here on may thus be unnecessary, though the summary 1-7 at the end of this note may be an aid to flagging assurance.

### A.1. Some Algebra

Let $`\zeta =\zeta _p`$ be a primitive $`p`$-th root of 1 in an algebraic extension of $`_p`$, and let $`𝔬=_p[\zeta ]`$. Let also $`\pi =\zeta 1`$, a prime element of $`𝔬`$, and let $`k`$ be the fraction field of $`𝔬`$. In the ring $`𝔬[T]/(T^p1)`$, let us call $`\mathrm{\Gamma }`$ the image of $`T`$, and let us consider $`\mathrm{\Delta }=\frac{\mathrm{\Gamma }1}{\pi }`$ . Then the minimal polynomial for $`\mathrm{\Delta }`$ is

($``$)
$$T^p+\frac{p}{\pi }T^{p1}+\frac{p(p1)}{2\pi ^2}T^{p2}+\mathrm{}+\frac{p(p1)}{2\pi ^{p2}}T^2+\frac{p}{\pi ^{p1}}T,$$

in which the coefficient of $`T`$ is a unit in $`𝔬`$. Let us call $`B`$ the ring $`𝔬[\mathrm{\Delta }]`$; we need to establish a few facts about it. I will use capital Greek letters for elements of $`B`$, lower case Greek letters for elements of $`𝔬`$.

###### Lemma A.1.1.

The ring $`B`$ is isomorphic to $`𝔬𝔬\mathrm{}𝔬`$, with $`p`$ factors. In $`B`$, every element $`\mathrm{\Theta }`$ satisfies the condition that $`\mathrm{\Theta }^p\mathrm{\Theta }\pi B`$.

Proof. Recall that $`k`$ is the fraction field of $`𝔬`$; since the ring $`B`$ is free over $`𝔬`$ of rank $`p`$, $`B_𝔬k`$ is a $`k`$-vector space of dimension $`p`$. I will identify a set $`\{\mathrm{\Lambda }_\xi \}`$ of orthogonal idempotents in $`B`$, indexed by the set of all $`p`$-th roots of 1, namely

$$\mathrm{\Lambda }_\xi =\frac{\xi }{p}\underset{i=0}{\overset{p1}{}}\xi ^i\mathrm{\Gamma }^{p1i}.$$

Since the summation factors as

$$\underset{\rho \xi }{}(\mathrm{\Gamma }\rho ),$$

where the product is over $`p`$-th roots of 1 unequal to $`\xi `$, and where each factor is the product of $`\pi `$ with an element of $`B`$, we see that $`\mathrm{\Lambda }_\xi `$ is indeed in $`B`$. That the $`\mathrm{\Lambda }`$’s are orthogonal idempotents is easily verified. As a result, the $`\mathrm{\Lambda }`$’s are $`𝔬`$-linearly independent, and therefore they form a $`k`$-basis of $`B_𝔬k`$. If we write, for any $`zB_𝔬k`$, it’s decomposition $`z=_\xi m_\xi (z)\mathrm{\Lambda }_\xi `$, then each $`m_\xi :B_𝔬kk`$ is a ring morphism, taking elements of the domain that are integral over $`𝔬`$ to elements of $`𝔬`$, since $`𝔬`$ is integrally closed. But $`B`$ itself is integral over $`𝔬`$, so that the morphisms $`m_\xi `$ map $`B`$ to $`𝔬`$. The first conclusion of the Lemma follows. Since each element $`\beta 𝔬`$ has the property that $`\beta ^p\beta \pi 𝔬`$, the corresponding fact is true for $`B`$ as well. It may be of interest to note that this is not true of the subring $`𝔬[\mathrm{\Gamma }]`$ of $`B`$.

### A.2. Endomorphisms of the fundamental formal group.

We start with the polynomial $`f(t)=\pi t+t^p𝔬[[t]]`$, which has associated to it a unique formal group $`F(x,y)𝔬[[x,y]]`$ for which $`f\mathrm{End}_𝔬(F)`$, as proved in \[LT\]. The following is hardly surprising:

###### Lemma A.2.1.

For each $`\mathrm{\Theta }B`$, there is a unique series $`[\mathrm{\Theta }]_F(t)B[[t]]`$ such that $`[\mathrm{\Theta }]_F^{}(0)=\mathrm{\Theta }`$ and $`f[\mathrm{\Theta }]_F=[\mathrm{\Theta }]_Ff`$; this series is an element of $`\mathrm{End}_B(F)`$.

This may be proved by using either of the halves of Lemma A.1.1; if one wishes to use the fact that $`\mathrm{\Theta }^p\mathrm{\Theta }`$ is always in $`\pi B`$, then the proof of the first Lemma in \[LT\] goes through word for word.

The endomorphism ring $`\mathrm{End}_B(F)`$ contains in particular the series $`[\mathrm{\Delta }]_F`$ and $`[\mathrm{\Gamma }]_F`$ ; the $`p`$-fold iterate of the latter series is the identity series $`t`$. And since $`\mathrm{\Gamma }=1+\pi \mathrm{\Delta }`$, our periodic series $`[\mathrm{\Gamma }]_F(t)`$ may also be written as

$$F(t,\left([\pi ]_F[\mathrm{\Delta }]_F\right)(t)).$$

If $`\beta `$ is an element of $`\mathrm{ker}([\pi ]_F)`$, then the series $`\tau _\beta (t)=F(t,\beta )`$ commutes with both

$$[\zeta ]_F(t)=F(t,[\pi ]_F(t))$$

and

$$[\mathrm{\Gamma }]_F(t)=F(t,\left([\mathrm{\Delta }]_F[\pi ]_F\right)(t)).$$

If only $`B=𝔬[\mathrm{\Delta }]`$ had not been an étale $`𝔬`$-algebra, we could have taken $`\mathrm{ker}([\pi ]_F)\times \mathrm{Spec}(B)`$ as our desired lifting of $`\alpha _p\times \alpha _p`$. After all, the points of $`\mathrm{ker}([\pi ]_F)`$ are the $`\beta `$’s mentioned above, and the points of $`\mathrm{Spec}(B)`$ are essentially the $`p`$-th roots of unity $`\xi `$, and the substitution

$$tF(\beta ,[\xi ]_F(t))$$

would be our lifting of the substitution mentioned in the introduction. There is the additional problem that in case $`p=2`$, $`F`$ is of height one and so $`\mathrm{ker}[\pi ]`$ is not a lifting of $`\alpha _p`$, but the étaleness of the other factor is a much bigger obstacle.

Because of the form of $`f(t)=[\pi ]_F(t)=\pi t+t^p`$, not only $`F`$ but also all the $`B`$-endomorphisms $`[\mathrm{\Theta }]_F`$ have the property that the only nonzero terms are in degrees congruent to 1 modulo $`p1`$. Any such series can be written, that is, in the form $`_{j0}H_j`$ where each $`H_j`$ is a form or monomial of degree $`1+j(p1)`$. For want of a better term, I’ll call any series with this last property $`(p1)`$-lacunary.

Now I want to let $`𝔒`$ be any complete local $`𝔬`$-algebra in which $`\pi `$ is no longer indecomposable, $`\pi =\lambda \mu `$ where both $`\lambda `$ and $`\mu `$ are nonunits. Minimally, one may take $`\lambda =\mu =\sqrt{\pi }`$ and $`𝔒=𝔬[\sqrt{\pi }]`$. Or we may let $`𝔒`$ be the ring of integers in any properly ramified algebraic extension $`K`$ of $`k`$, and $`\lambda `$ any element of $`K`$ with valuation $`0<v(\lambda )<v(\pi )=1`$. Or, generically, we can take $`𝔒=𝔬[[\lambda ,\pi /\lambda ]]`$, a ring that can be described alternatively as $`𝔬[[\lambda ,\mu ]]/(\lambda \mu \pi )`$ or as the set of all doubly infinite Laurent series $`_j\alpha _j\lambda ^j`$ in the indeterminate $`\lambda `$ and with coefficients $`\alpha _j𝔬`$ satisfying the additional condition that $`j+v(\alpha _j)0`$, where $`v`$ is the (additive) valuation on $`𝔬`$ and $`k`$ normalized so that $`v(\pi )=1`$.

If $`G`$ is a $`(p1)`$-lacunary series in one or more variables, I will call the $`\lambda `$-blowup of $`G`$, denoted $`G^{(\lambda )}`$, the series formed from $`G`$ in the following way: if $`G=_{j0}H_j`$ , each $`H_j`$ being homogeneous of degree $`1+j(p1)`$, then $`G^{(\lambda )}=_{j0}\lambda ^jH_j`$.

When we apply the above operation to $`F`$ and its endomorphisms, here’s what happens: $`F^{(\lambda )}`$ becomes a formal group whose reduction modulo the maximal ideal of $`𝔒`$ is just the additive formal group $`x+y`$. The maps $`\mathrm{End}_𝔬(F)\mathrm{End}_𝔒(F^{(\lambda )})`$ and $`End_B(F)\mathrm{End}_{B_𝔬𝔒}(F^{(\lambda )})`$ that take $`g(t)`$ to $`g^{(\lambda )}(t)`$ are injections. For any $`\mathrm{\Theta }B`$, I will write $`[\mathrm{\Theta }]^{(\lambda )}`$ for $`[\mathrm{\Theta }]_{F^{(\lambda )}}=\left([\mathrm{\Theta }]_F\right)^{(\lambda )}`$; then since $`[\pi ]^{(\lambda )}(t)=\pi t+\lambda t^p=\lambda (\mu t+t^p)`$, the new formal group $`F^{(\lambda )}`$ has at least one nontrivial finite subgroup, namely the set of roots of $`\mu t+t^p`$, under the group law furnished by $`F^{(\lambda )}`$, and they certainly are the geometric points of $`\mathrm{Spec}\left(𝔒[t]/(\mu t+t^p)\right)`$, but this is not the kernel of $`[\pi ]^{(\lambda )}`$, since the standard construction of kernel in that case leads to something that’s not flat. Rather, if we call $`g(t)=\mu t+t^p`$, then the finite groupscheme we’re talking about is the kernel of $`g:F^{(\lambda )}F^{(\lambda 2)}`$.

Seeing just how $`F^{(\lambda )}`$ has, so to speak, an $`\alpha _p`$-lifting worth of automorphisms is a little trickier and more unusual. Our aim is to show that the automorphism $`[\mathrm{\Gamma }]^{(\lambda )}(t)`$ of $`F^{(\lambda )}`$ lies in $`𝔒[\mathrm{\Delta }^{}][[t]]`$, where $`\mathrm{\Delta }^{}=\lambda \mathrm{\Delta }`$ has the $`𝔒`$-minimal polynomial

($``$) $`T^p+{\displaystyle \frac{p\lambda }{\pi }}T^{p1}+{\displaystyle \frac{p(p1)\lambda ^2}{2\pi ^2}}T^{p2}+\mathrm{}+{\displaystyle \frac{p(p1)\lambda ^{p2}}{2\pi ^{p2}}}T^2+{\displaystyle \frac{p\lambda ^{p1}}{\pi ^{p1}}}T`$
$`=T^p+{\displaystyle \frac{p}{\mu }}T^{p1}+{\displaystyle \frac{p(p1)}{2\mu ^2}}T^{p2}+\mathrm{}+{\displaystyle \frac{p(p1)}{2\mu ^{p2}}}T^2+{\displaystyle \frac{p}{\mu ^{p1}}}T;`$
Note that this polynomial is congruent to $`T^p`$ modulo the maximal ideal $`𝔐`$ of $`𝔒`$.

Now recall that $`\mathrm{\Gamma }=1+\mathrm{\Delta }\pi `$, so that the series $`[\mathrm{\Gamma }](t)`$, which is periodic of period $`p`$ with respect to substitution of series, whether we’re talking about automorphisms of the original $`F`$ or of the blown-up $`F^{(\lambda )}`$, can be written

$$[\mathrm{\Gamma }](t)=F(t,([\mathrm{\Delta }][\pi ])(t)).$$

Since every element of $`B`$ is an $`𝔬`$-linear combination of $`\{1,\mathrm{\Delta },\mathrm{},\mathrm{\Delta }^{p1}\}`$, we may write

$$[\mathrm{\Delta }]_F(t)=\mathrm{\Delta }t+\underset{j1}{}C_jt^{j(p1)+1}B[[t]],$$

where, as remarked, each coefficient $`C_j`$ is an $`𝔬`$-linear combination of the powers of $`\mathrm{\Delta }`$, up to $`\mathrm{\Delta }^{p1}`$. It follows that $`[\mathrm{\Delta }]^{(\lambda )}`$, the corresponding endomorphism of $`F`$, has the form

$$[\mathrm{\Delta }]_{F^{(\lambda )}}(t)=\mathrm{\Delta }t+\underset{j1}{}C_j\lambda ^jt^{j(p1)+1}𝔒[[t]],$$

where the $`C_j`$’s are the same in both displayed formulas. Now, what of $`[\mathrm{\Delta }]^{(\lambda )}[\pi ]^{(\lambda )}=[\mathrm{\Delta }]^{(\lambda )}(\pi t+\lambda t^p)`$? Making the indicated substitution gives

$`\mathrm{\Delta }(\pi t+\lambda t^p)+{\displaystyle \underset{j1}{}}C_j\lambda ^j(\pi t+\lambda t^p)^{j(p1)+1}`$
$`=`$ $`\mathrm{\Delta }^{}(\mu t+t^p)+{\displaystyle C_j\lambda ^{jp+1}(\mu t+t^p)^{j(p1)+1}}.`$
But now because $`C_jB=𝔬[\mathrm{\Delta }]`$, we also have $`C_j\lambda ^{jp+1}\lambda 𝔒[\mathrm{\Delta }^{}]=\lambda 𝔒[\lambda \mathrm{\Delta }]`$, since the $`j`$’s all are at least 1. This shows that $`[\pi \mathrm{\Delta }]^{(\lambda )}(t)`$ is a power series with coefficients in $`𝔒[\mathrm{\Delta }^{}]`$, and indeed, modulo $`𝔐`$, this series is just $`\mathrm{\Delta }^{}t^p`$. Finally, when we add this series and the series $`t`$ by means of the formal group $`F^{(\lambda )}(x,y)x+ymod𝔐`$, the result, namely $`[\mathrm{\Gamma }]^{(\lambda )}(t)`$, has coefficients in $`B^{}=𝔒[\mathrm{\Delta }^{}]`$, and is congruent modulo $`𝔐`$ to $`t+\mathrm{\Delta }^{}t^p`$. One more remark is necessary, the obvious one that if $`\mu \alpha +\alpha ^p=0`$, then $`[\mathrm{\Delta }\pi ]^{(\lambda )}(\alpha )=0`$ and $`[\mathrm{\Gamma }]^{(\lambda )}(\alpha )=\alpha `$.

In summary, this is what we now have:

1. The ring $`𝔬`$ is $`_p[\zeta ]`$, where $`\zeta =\zeta _p`$ is a primitive $`p`$-th root of unity, and we use the prime element $`\pi =\zeta 1`$.
2. The ring $`𝔒`$ is any suitably ramified extension of $`𝔬`$, the minimal example being $`𝔒=𝔬[\sqrt{\pi }]`$. This $`𝔒`$ is the ring over which our liftings and action are defined, and we identify in it elements $`\lambda ,\mu 𝔒`$ with $`\lambda \mu =\pi `$.
3. The formal group $`F`$ over $`𝔬`$ has $`\pi t+t^p`$ as an endomorphism and thus has $`𝔬`$ as its ring of “absolute” endomorphisms (over the ring of integers of any algebraic extension field of the fraction field of $`𝔬`$). Allowing for abuse of language, there is a unique $`𝔬`$-subgroupscheme of $`F`$ of rank $`p`$, namely $`\mathrm{ker}[\pi ]_F=Spec(A)`$, where $`A=𝔬[[t]]/\left([\pi ]_F(t)\right)`$.
4. The finite $`𝔬`$-algebra $`B`$ is $`𝔬[\mathrm{\Delta }]`$, where the minimal polynomial for $`\mathrm{\Delta }`$ over $`𝔬`$ is given in formula ($``$A.1). Algebraically, $`B`$ is $`𝔬^p`$, and when we call $`\mathrm{\Gamma }=1+\pi \mathrm{\Delta }B`$, we have $`\mathrm{\Gamma }^p=1`$. The scheme $`\mathrm{Spec}(B)`$ is a finite étale groupscheme of order $`p`$; the element $`\mathrm{\Gamma }B`$ is a generic $`p`$-th root of unity, and the operation of the étale groupscheme on the formal-affine line is $`t[\mathrm{\Gamma }]_F(t)=F(t,([\pi ][\mathrm{\Delta }])(t))`$.
5. We use $`\lambda 𝔒`$ to form a sort of blowup of $`F`$, which we call $`F^{(\lambda )}`$ and which is described on the preceding page. This formal group has the subgroup scheme $`\mathrm{Spec}(A^{})`$, where $`A^{}=𝔒[[t]]/(\mu t+t^p)`$, and this groupscheme acts on the formal-affine line by the substitution $`tF(\lambda )(a,t)`$ when $`a`$ is any root of $`\mu t+t^p`$.
6. We define $`\mathrm{\Delta }^{}=\lambda \mathrm{\Delta }B_𝔬𝔒`$, and note that $`\mathrm{\Delta }^{}`$ has the minimal polynomial over $`𝔒`$ given by ($``$A.2) on the preceding page. Call $`B^{}=𝔒[\mathrm{\Delta }^{}]`$. The periodic power series $`[\mathrm{\Gamma }]^{(\lambda )}(t)`$, originally defined to be in $`B_𝔬𝔒[[t]]`$, actually is in $`B^{}[[t]]`$ and as an element of this ring, it becomes $`t+\mathrm{\Delta }^{}t^p`$ in $`B^{}_𝔒𝔒/𝔐[[t]]`$.
7. Since the series $`[\mathrm{\Gamma }]^{(\lambda )}(t)`$ and the $`F^{(\lambda )}(a,t)`$ mentioned in (5) commute, we do indeed have a finite groupscheme, namely $`\mathrm{Spec}(A^{}_𝔒B^{})`$, acting on the formal-affine line in such a way that over $`𝔒/𝔐`$, the action is $`ta+t+\mathrm{\Delta }^{}t^p`$.


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# Optimal conclusive teleportation of quantum states

## I introduction

Entanglement is a fundamental property of quantum mechanical systems one . It is one of the most interesting and puzzling ideas associated with composite systems two . The postulates of quantum mechanics state that the state space of a composite physical system made up of two (or more) distinct physical systems, is a tensor product of the state spaces of the component systems. A consequence of this structure is that there are states in the composite state space for which the correlations between the component systems cannot be accounted for classically. By classical we mean here that only local operations and classical communications (LOCC) are considered.

Although there is still not a complete theory on entanglement, it is considered a fundamental resource of nature whose importance is comparable to energy, information and entropy three , among others. Recently, the field of entanglement has become an intense research area due to its key role in many applications of quantum information processing nielsen . An important example of this is teleportation of quantum states, where a maximally entangled state shared by two parties is used as a channel to transmit a unknown state using LOCCs. Teleportation protocols can also be used to transmit quantum operations huelga1 ; huelga2  and to implement protocols for quantum cryptography Saavedra .

In this paper we study the teleportation of a quantum state belonging to a $`d`$-dimensional Hilbert space (qudit). Our protocol considers the use of a non-maximally entangled pure state of two qudits as quantum channel. We relate quantum teleportation to the problem of quantum states discrimination and show that the success of this scheme has a fundamental limit determined by how accurately a set of non-orthogonal linearly independent quantum states can be unambiguously distinguished. Thereby, we generalize to arbitrary dimensions the result by T. Mor and P. Horodecki Mor  concerning conclusive quantum teleportation of qubits. We show that the generalized protocol for conclusive quantum teleportation can be interpreted in terms of the coherent superposition of two quantum channels. One of them allows for perfect teleportation. The other channel corresponds to a superposition of $`d1`$ product states and leads to the failure of the process. This interpretation of conclusive quantum teleportation allow us to calculate easily the average fidelity over the entire Hilbert space. Finally, we demonstrate the optimality of the average fidelity.

This paper is organized as follows: In section II we review the standard teleportation protocol considering both maximally and non-maximally entangled states as quantum channel. In this section we also relate quantum teleportation to quantum state discrimination. In section III we discuss in detail the quantum state discrimination protocol used in this paper. The results of this section allows us to calculate in section IV the average fidelity of conclusive state teleportation and demonstrate its optimality.

## II Quantum state teleportation

In the process of teleporting a quantum state two parties, sender and receiver, share a maximally entangled two-qudit pure state. The sender has a third qudit in the state to be teleported. The sender carries out a generalized Bell measurement on his two particles and communicates the outcome of the measurement to the receiver. Conditional on the measurement result the receiver applies an unitary transformation on his particle. Thereafter, receiver’s particle is in the state to be teleported.

The teleportation of a quantum state $`|\psi `$ of a $`d`$-dimensional Hilbert space, spanned by the basis $`\{|n\}`$ with $`n=0,\mathrm{},d1`$, can be shortly described by the following identity

$$|\mathrm{\Psi }_{0,0}_{12}|\psi _3=\frac{1}{d}\underset{l,k=0}{\overset{d1}{}}Z_1^{dl}X_1^k|\psi _1|\mathrm{\Psi }_{l,k}_{23},$$
(1)
where particles 2 and 3 belongs to the sender and particle 1 to the receiver. The states $`|\mathrm{\Psi }_{l,k}`$ with $`l,k=0,\mathrm{},d1`$ are a generalization of the Bell basis to the case of two $`d`$-dimensional quantum systems,

$$|\mathrm{\Psi }_{n,m}=\frac{1}{\sqrt{d}}\underset{j}{}e^{2\pi ijn/d}|j|jm,$$
(2)
where $`jm`$ denotes the sum $`j+m`$ modulus d. In this case the maximally entangled state $`|\mathrm{\Psi }_{0,0}`$ has been chosen as quantum channel. The unitary operators $`X`$ and $`Z`$ are defined by

$$X=\underset{n=0}{\overset{d1}{}}|n+1n|,Z=\underset{n=0}{\overset{d1}{}}\mathrm{exp}(\frac{2\pi i}{d}n)|nn|.$$
(3)
Instead of a direct Bell measurement it is possible to apply a generalized control-not gate $`GXOR_{23}`$ Alber  in order to map the states $`|\mathrm{\Psi }_{l,k}_{23}`$ onto the unentangled states $`F_2|l_2|k_3`$, where $`F`$ denotes the discrete Fourier transform, i.e.

$$F|l=\frac{1}{\sqrt{d}}\underset{k=0}{\overset{d1}{}}e^{i2\pi lk/d}|k.$$
(4)
The generalized control-not gate is defined by $`GXOR_{ab}|i_a|j_b=|i_a|ij`$, where $`ij`$ stands for the difference $`ij`$ modulo d. Thereby, Eq. (1) becomes

$$GXOR_{23}|\mathrm{\Psi }_{0,0}_{12}|\psi _3=\frac{1}{d}\underset{l,k=0}{\overset{d1}{}}Z_1^{dl}X_1^k|\psi _1F_2|l_2|k_3.$$
(5)
The protocol for quantum state teleportation can be straightforwardly read out from this equation. In the case of a non-maximally entangled pure quantum state $`|\mathrm{\Psi }_{12}`$ as quantum channel, defined by

$$|\mathrm{\Psi }_{12}=\underset{m=0}{\overset{d1}{}}A_m|m_1|m_2$$
(6)
where $`\{|m_i\}`$ with $`i=1,2`$ are orthonormal basis defined by the Schmidt decomposition and the coefficients $`A_m`$ are real and satisfy the normalization condition, the previous identity Eq. (5) is replaced by

$$GXOR_{23}|\mathrm{\Psi }_{12}|\psi _3=\frac{1}{d}\underset{l,k=0}{\overset{d1}{}}Z_1^{dl}X_1^k|\psi _1|\nu _l_2|k_3$$
(7)
where the states $`|\nu _l_2`$ are given by

$$|\nu _l_2=Z^l\underset{k=0}{\overset{d1}{}}A_k|k_2\mathrm{with}l=0\mathrm{}d1.$$
(8)
The previous identity Eq. (7) resembles Eq. (5) where now the states $`F|l_2`$ have been replaced by the states $`|\nu _l`$ of Eq. (8). Let us now recall that in the teleportation of states it is necessary to measure the state of particle 2. Conditional on the outcome of this measurement a unitary operator is applied on particle one. These operators are in a one to one relation with the outcomes of the measurements. Therefore, it is necessary to distinguish the possible states of particle 2 perfectly. However, it is clear from the definition of the states $`|\nu _l_2`$ Eq. (8) that in general these states are non-orthogonal. In fact, the inner product between any two of these states is given by $`\nu _n|\nu _m=_{k=0}^{d1}\mathrm{exp}(\frac{2\pi i}{d}k(nm))|A_k|^2`$. Only in the case of a maximally entangled state as quantum channel, that is $`A_k=1/\sqrt{d}k=0,\mathrm{},d1`$, the overlap vanishes and the states $`|\nu _l_2`$ are simply the states $`F_2|l_2`$ which are mutually orthogonal. Thus, in the case of a non-maximally entangled state $`|\psi _{12}`$ the success of the teleportation protocol is limited by our capability to distinguish among the set $`\{|\nu _l_2\}`$ of $`d`$ non-orthogonal quantum states.

This problem has been previously studied by T. Mor and P. Horodecky Mor  in the case of two-dimensional quantum systems. They proposed the use of unambiguous state discrimination in combination with the usual quantum teleportation protocol. In this way, it is possible to distinguish perfectly among the two states $`|\nu _0_2`$ and $`|\nu _1_2`$ with some probability. For those events in which the discrimination it is successful the teleported state has fidelity one. However, if the discrimination fails the post measurement states might still allow to teleport thought with reduced fidelity.

In the next section we review briefly the problem of quantum state discrimination. We show the optimal conclusive state discrimination protocol for the states $`|\nu _l_2`$ Eq. (8) and obtain the post measurement states.

## III Quantum state discrimination

The problem of quantum state discrimination has deserved considerable attention. An overview of the main strategies has been given by Chefles Chefles00 . In the later, generalized measurements are used to construct an error-free strategy for discriminating among a finite number of non-orthogonal states with given a priori probabilities. The scheme can occasionally lead to inconclusive results. This idea first proposed by Ivanovic ivanovic  has been studied by Dieks Dieks  and Peres peres  for two non-orthogonal states generated with equal a priory probabilities. The result was later generalized by Jaeger and Shimony Jaeger  for arbitrary a priory probabilities. The qudit case was then considered by Chefles Chefles98  and Peres and Terno peres2  where the former showed that results for the qudit case simply generalize form those of qubits when the states are linearly independent. The linearly dependent case can be considered only when copies of the state are available Chefles01 . Here we consider a method developed by Sun et al. Sun  which allows the construction of the optimal conclusive state discrimination scheme for a given set of linearly dependent states.

According to the quantum operations formalism Kraus  the most general transformation of a quantum system can be represented by a completely positive, trace preserving map. Thereby, it is possible to perform a predetermined non-unitary transformation with some probability. Furthermore, in general it is possible to known whether the desired transformation has been successfully implemented or not.

In particular, it is possible to change probabilistically the inner product between pure states of a quantum system. This is the essence of unambiguous state discrimination among elements of a set $`\mathrm{\Omega }=\{|\nu _l\}`$ of non-orthogonal states. The state $`|\nu _l`$ is mapped probabilistically onto the state $`|e_l`$ which belongs to a set orthogonal states. This mapping has certain probability of failure. In this case, the system is mapped onto a state $`|\varphi _l`$ which does not allow a conclusive identification of the initial state. Thus, the failure probability of the mapping is identified with the total probability of obtaining an inconclusive identification of the states. A major problem consists in finding the optimal mapping, that is the mapping with the smallest inconclusive probability.

Necessary and sufficient conditions for the existence of a conclusive discrimination scheme have been found by Chefles Chefles, namely the states in $`\mathrm{\Omega }`$ must be linearly independent (LI). Thus, the states $`\{|\varphi _l\}`$ must be linearly dependent. Otherwise it would be possible to use another mapping which allows the discrimination among these states. Based on this observation, Sun et al. Sun  have developed a method to find the optimal conclusive discrimination scheme and proposed a physical implementation in terms of optical multiports. In their approach conclusive state discrimination is described in terms of a unitary operator $`U`$ and projective measurements. The states $`\{|\nu _l\}`$ generated with a priory probabilities $`\{\eta _l\}`$ are considered to belong to a Hilbert space $`𝒦`$ which can be decomposed as a direct sum of two subspaces, i.e. $`𝒦=𝒰𝒜`$. These subspaces are spanned by the basis states $`\{|u_l\}`$ and $`\{|a_l\}`$ respectively. The action of the unitary transformation is such that

$$U|\nu _l=\sqrt{p_l}|u_l+|\varphi _l,$$
(9)
where the set of not necessarily normalized, linearly dependent states $`\{|\varphi _l\}`$ is in $`𝒜`$ and $`p_l`$ denotes the probability of discriminating successfully the state $`|\nu _l`$. The unitary transformation $`U`$ Eq. (9) is followed by a measurement which projects the state of the particle onto one of the basis states of $`\{|u_l\}`$ or $`\{|a_l\}`$. The states $`|\nu _l`$ and $`|u_l`$ are in one to one correspondence. This and the orthogonality of the states $`|u_l`$ allows one to discriminate among the states of the set $`\{|\nu _l\}`$. However, in general each basis state in $`𝒜`$ have a component in all the states $`\{|\varphi _l\}`$ and thus it is not possible to assign them a particular state $`|\nu _l`$.

The optimal average probability of succes $`S=_{l=0}^{d1}\eta _lp_l`$ can be found under the constraint $`det(Q)=0`$ where $`Q`$ is the positive semidefinite matrix whose matrical elements are given by

$$Q_{k,l}=\varphi _k|\varphi _l=\nu _k|\nu _lp_k\delta _{k,l}.$$
(10)
The states $`|\varphi _l`$ can be defined as $`|\varphi _l=A|a_l`$ with $`Q=A^{}A`$. Thereby, it is possible to find the form of $`U`$ in Eq. (9).

It turns out that the states $`|\nu _l`$ are not necessarily well suited for conclusive discrimination. In fact, these states can be linearly dependent. The states $`|\nu _l`$ are LI under the condition

$$\underset{l=0}{\overset{d1}{}}C_l|\nu _l_2=0\mathrm{iff}C_l=0l=0\mathrm{}d1$$
(11)
or equivalently

$$\underset{n=0}{\overset{d1}{}}c|F|nA_n|n=0\mathrm{with}|c=\underset{k=0}{\overset{d1}{}}C_k^{}|k.$$
(12)
In the case that all the amplitudes $`A_n`$ are nonzero then all the coefficients $`c|F|n`$ must be null. Since $`F|n`$ form a basis the only solution to Eq. (12) is $`|c=0`$. Therefore, all the coefficients $`C_l`$ must vanish. Thus, if all the amplitudes $`A_m`$ are different from zero the states $`|\nu _l`$ are LI. Otherwise, when a subset of the amplitudes $`A_m`$ are zero the Eq. (12) can be satisfied by taking $`|c=_{\{m\}}a_mF|m`$ for any $`a_m0`$. Thus, in this case the states $`|\nu _l`$ are LD.

In the case that all the amplitudes $`A_m`$ are different from zero all the states $`|\nu _l`$ are different. Thus, the only source of error is the scheme of discrimination itself. For example, in the process of conclusive state discrimination there is a probability for the failure in the discrimination process. This event leads to a failure in the teleportation of states because it is not possible to decide which unitary operator must be applied in order to recover the state to be teleported. When only one of the amplitudes is different from zero the states $`|\nu _l`$ are all equal. Henceforth, it is impossible to discriminate among them at all and both two processes fail completely.

Generally, when $`1<n<d`$ of the $`d`$ amplitudes $`A_m`$ are different from zero then the $`d`$ states $`|\nu _l_2`$ are LD. In this case it has been shown Chefles01  that a conclusive state discrimination protocol can be formulated when copies for each state $`|\nu _l_2`$ are available. This adds an extra source of error to the teleportation of states and unitaries. In fact, the no cloning theorem Wootters  states that it is not possible to copy perfectly an unknown quantum states due to the linear character of quantum mechanics. Thus, besides the success probability of the discrimination protocol itself the success probability of a probabilistic cloning machine must be considered.

Let us now calculate the optimal average failure probability $`F=1S`$ for the states $`\{|\nu _l\}`$ under the condition $`A_m0m=0,\mathrm{},d1`$. The calculations can be greatly simplified if the matrix $`Q`$ is Fourier transformed. In fact, the matrix $`Q`$ becomes

$$FQF^{}=\stackrel{~}{Q}=\underset{m=0}{\overset{d1}{}}\left[\left(\underset{k=0}{\overset{d1}{}}\frac{f_k}{d}\right)1+dA_m^2\right]|mm|+\underset{mn}{\overset{d1}{}}\left(\underset{k=0}{\overset{d1}{}}\frac{f_k}{d}ϵ^{k(nm)}\right)|mn|,$$
(13)
where $`f_k`$ denotes the failure probability asociated with the state $`|\nu _k`$. For $`d`$ arbitrary the determinant of $`\stackrel{~}{Q}`$ has the generic form

$$\mathrm{det}(\stackrel{~}{Q})=C_0(A_0^2,\mathrm{},A_{d1}^2)+C_1(A_0^2,\mathrm{},A_{d1}^2)\underset{k=0}{\overset{d1}{}}f_k+\mathrm{\Pi }_{k=0}^{d1}f_k.$$
(14)
Applying the method of Lagrange multipliers we obtain

$$\frac{}{f_i}\left(F+\lambda \mathrm{det}(\stackrel{~}{Q})\right)=\frac{1}{d}+\lambda C_1(A_0^2,\mathrm{},A_{d1}^2)+\lambda \mathrm{\Pi }_{ki}^{d1}f_k.$$
(15)
where $`\lambda `$ is the Lagrange multiplier and we have made use of the fact that the states $`\{|\nu _l\}`$ are generated with the same probability, i.e. $`\eta _l=1/dl=0,\mathrm{},d1`$. The derivatives Eq. (15) are invariant under permutations of the $`f_i`$’s. In particular, they can be obtained from the derivative with respect to $`f_0`$ by suitably permuting the $`f_i^{}s`$. Thereby, the condition

$$\frac{}{f_i}\left(F+\lambda \mathrm{det}(\stackrel{~}{Q})\right)=0$$
(16)
implies that $`f_0=f_1=\mathrm{}=f_{d1}=f`$. Thus, the failure probabilities are all equal. Under this condition the matrix $`\stackrel{~}{Q}`$ has the simpler expression

$$\stackrel{~}{Q}=\underset{m=0}{\overset{d1}{}}\left(f1+dA_m^2\right)|mm|$$
(17)
which turns out to be diagonal. This simplifies the analysis considerably. In fact, the determinant of $`\stackrel{~}{Q}`$ is now given by

$$\mathrm{Det}(\stackrel{~}{\mathrm{Q}})=\mathrm{Det}(Q)=\mathrm{\Pi }_{k=0}^{d1}\left(f1+dA_k^2\right).$$
(18)
Thereby, the condition $`\mathrm{Det}(Q)=0`$ implies $`f=1dA_k^2`$ for some $`k`$. The condition $`f1`$ must also holds. This condition can be satisfied if $`A_k^21/d`$. This rules out the choice $`f=1dA_{d1}^2`$ where $`A_{d1}`$ is the the largest amplitude. The matrix $`Q`$ (and $`\stackrel{~}{Q}`$) must also be positive semidefinite, this can be guaranteed if all the principal minors of $`\stackrel{~}{Q}`$ are non-negative, that is

$$\mathrm{\Pi }_{k=0}^n\left(f1+dA_k^2\right)0n=0,\mathrm{},d1.$$
(19)
This condition implies that

$$f1dA_k^2k=0,\mathrm{},d1$$
(20)
and can be satisfied iff $`f=1d\times \mathrm{min}\{A_k^2\}_{k=0,\mathrm{},d1}`$. Thus, the optimal average failure probability $`F_{min}`$ is given by

$$F_{min}=1S_{max}=1d\times A_{min}^2.$$
(21)
where $`A_{min}`$ is the smallest coefficient in the state Eq. (6). The set of states $`\{|\varphi _l\}`$ can be readily found. Noting that $`Q=F^{}\stackrel{~}{Q}F=F^{}\stackrel{~}{A}^{}\stackrel{~}{A}F=F^{}\stackrel{~}{A}^{}FF^{}\stackrel{~}{A}F`$ we obtain

$$|\varphi _l=\frac{1}{\sqrt{d}}\underset{k=0}{\overset{d1}{}}A_k^l|a_k=\frac{1}{\sqrt{d}}\underset{k=0}{\overset{d1}{}}\left(\underset{m=0}{\overset{d1}{}}\mathrm{exp}(\frac{2\pi i}{d}m(lk))\sqrt{A_m^2A_{min}^2}\right)|a_k.$$
(22)
## IV Fidelity of conclusive state teleportation

With the results of the previous section we can now state precisely the protocol for conclusive quantum state teleportation. Our starting point are the identity Eq. (5) and the definition of states $`|\nu _l`$ of Eq. (8). The standard teleportation protocol consists in measuring the states of particles two and three and communicating the outcomes $`(l,k)`$ of these measurement to the receiver. This projects particle one to the state $`Z^{dl}X^k|\psi `$ from which the state $`|\psi `$ to be teleported can be obtained via applying the operator $`X^{dk}Z^l`$. However, the states $`|\nu _l`$ cannot be distinguished with certainty affecting the overall performance of the process. At this stage enters optimal conclusive quantum state discrimination. Before measuring particles two and three the unitary transformation $`U`$ Eq. (9) is applied onto particle two. This leads to the join state

$$U_2GXOR_{23}|\mathrm{\Psi }_{12}|\psi _3=\frac{1}{d}\underset{l,k=0}{\overset{d1}{}}Z_1^{dl}X_1^k|\psi _1(\sqrt{S_{max}}|e_l_2+|\varphi _l_2)|k_3.$$
(23)
Measurements on particles two and three project the particle one to the state

$$|\mathrm{\Psi }_{l,k}^𝒰=\frac{1}{d}Z^{dl}X^k|\psi $$
(24)
with probability $`S_{max}`$ and to the state

$$|\mathrm{\Psi }_{s,k}^𝒜=\frac{1}{d\sqrt{d}}\left(\underset{l=0}{\overset{d1}{}}A_s^lZ^{dl}X^k\right)|\psi $$
(25)
with probabilities $`1S_{max}`$. The state $`|\mathrm{\Psi }_{l,k}^𝒰`$ Eq. (24) is associated with the conclusive events in the discrimination of states and clearly leads to the perfect teleportation of the state $`|\psi `$. However, the state $`|\mathrm{\Psi }_{s,k}^𝒜`$ Eq. (25) leads to a failure of the process. Nevertheless, this state has some fidelity with respect to the state $`|\psi `$ to be teleported. The average fidelity $`F`$ of teleportation is given by

$$F=dA_{min}^2+\underset{s,k=0}{\overset{d1}{}}𝑑\psi |\psi |\mathrm{\Psi }_{s,k}|^2$$
(26)
where the states $`|\mathrm{\Psi }_{s,k}`$ are the states of particle one after the teleportation protocol has been carried out for the particular pair of outcomes $`(s,k)`$ and the integral is performed over the entire Hilbert space . In the case that the teleportation protocol is interrupted after the measurement of particles two and three, that is $`|\mathrm{\Psi }_{s,k}=|\mathrm{\Psi }_{s,k}^𝒜`$ we obtain for the average fidelity

$$F=dA_{min}^2+\underset{n,k=0}{\overset{d1}{}}(A_{n+k}^2A_{min}^2)𝑑\psi |n+k|\varphi |^2|n|\varphi |^2$$
(27)
where the states $`\{|n\}`$ for $`n=0\mathrm{}d1`$ for a basis for the Hilbert space of particle one. The integral entering in Eq. (27) is equal to $`(\delta _{n,k}+1)/d(d+1)`$. Thereby, the average fidelity of teleportation becomes

$$F_0=\frac{1}{d}+(d1)A_{min}^2.$$
(28)
The fidelity can be increased by using the information available about the outcomes of the measurements carried out on particles two and three. The state of Eq. (25) can be cast in the form

$$|\mathrm{\Psi }_{s,k}^𝒜=\frac{1}{\sqrt{d}}\left(\underset{l=0}{\overset{d1}{}}A_s^l\mathrm{exp}(\frac{2\pi i}{d}lk)Z^{dl}\right)|\psi $$
(29)
by appliying onto particle one the operator $`X^{dk}`$ conditional on the outcome $`k`$ of the measurement of particle three. This state leads to the following fidelity

$$F_1=\frac{2+d(d1)A_{min}^2}{d+1}.$$
(30)
which is clearly larger than $`F_0`$. A further increase in the average fidelity can be achieved by observing that the distribution $`(A_s^l)^2`$ has its maximum at $`s=l`$. This suggests to complete the protocol for unambiguous state teleportation by applying the operator $`Z^s`$ onto particle one conditional on the outcome $`s`$ of the measurement carried out on particle three. In this case the average fidelity becomes

$$F_2=\frac{1}{d+1}\left(2+d(d1)A_{min}^2\right)+\frac{1}{d+1}\underset{nr}{}\sqrt{A_n^2A_{min}^2}\sqrt{A_r^2A_{min}^2}.$$
(31)
Clearly, $`F_0F_1F_2`$ for all $`A_{min}[0,1/\sqrt{d}]`$. In what follows we will show this result to be optimal. This can be done by noting that the states $`|\varphi _l`$ can be cast in the form

$$\stackrel{~}{F}|\varphi _l=\stackrel{~}{Z}^l\underset{n=0}{\overset{d1}{}}\sqrt{A_n^2A_{min}^2}|a_n$$
(32)
where the operators $`\stackrel{~}{F}`$ and $`\stackrel{~}{Z}`$ act now on the subspace $`𝒜`$. Thereby the transformation $`U`$ is replaced by $`\stackrel{~}{F}U`$. This resembles the definition of the states $`|\nu _l`$ and suggests that the states $`F|\varphi _l`$ originates in a quantum channel $`|ch_{12}`$ of the form

$$|ch_{12}=\underset{n=0}{\overset{d1}{}}\sqrt{\frac{A_n^2A_{min}^2}{1dA_{min}^2}}|a_n_1|a_n_2.$$
(33)
Thus, conclusive state teleportation can be described as starting with a coherent superposition of two quantum channels, i. e.

$$|\psi _{12}=\sqrt{dA_{min}^2}\underset{n=0}{\overset{d1}{}}\frac{1}{\sqrt{d}}|e_n_1|e_n_2+\sqrt{1dA_{min}^2}\underset{n=0}{\overset{d1}{}}\sqrt{\frac{A_n^2A_{min}^2}{1dA_{min}^2}}|a_n_1|a_n_2.$$
(34)
The first term at the r.h.s. of Eq. (34) correspond to a perfectly entangled state in the subspace $``$. This part of the channel is responsible for the events in which teleportation success with unity fidelity. The second term at the r.h.s. of Eq. (34) describes the ambiguous events which lead to a failure of the teleportation. This term corresponds to a non-maximally entangled state in the subspace $`𝒜`$ and is formed by the superposition of only $`d1`$ states. The protocol for conclusive quantum state teleportation is easily obtained from

$$GXOR_{2,3}|\psi _{12}|\psi _3=\frac{1}{d}\underset{l,k=0}{\overset{d1}{}}Z_1^{dl}X_1^k|\psi _1(\sqrt{dA_{min}^2}|e_l_2+\sqrt{1dA_{min}^2}|\nu _l_2)|k_3,$$
(35)
where

$$|\nu _l=\stackrel{~}{Z}^l\underset{n=0}{\overset{d1}{}}\sqrt{\frac{A_n^2A_{min}^2}{1dA_{min}^2}}|a_n.$$
(36)
Now we can recall Banaseck’s result Banaszek  concerning the maximal average fidelity of teleportation

$$F_B\frac{1}{d+1}[1(\underset{k=0}{\overset{d1}{}}t_k)^2]$$
(37)
through a quantum channel $`|ch_{12}=_{k=0}^{d1}t_k|k_1|k_2`$. Inserting the coefficients of the quantum channel Eq. (34) into the previous definition Eq. (37) the fidelity for this channel is given by $`F_2`$ Eq. (31). Therefore, the protocol for unambiguous state teleportation achieves the maximal possible fidelity.

## V Conclusions

The problem of teleporting the state of a d-dimensional quantum system through a quantum channel corresponding to a non-maximally entangled state is directly related to that of distinguishing between a set of d non-orthogonal states. In the teleportation process a generalized control-not gate is used to map the entangled state of the sender into an unentangled state. The sender then measures the state which is in general non-orthogonal and transmits the outcome to the receiver. The receiver then proceeds to use this information to choose among a set of transformations that must be applied to his state in order to recover the teleported state. The states fidelity depends on the discrimination scheme used by the sender to distinguish its state. The optimal conclusive discrimination protocol proposed by Sun et. al. Sun  is at the center of the teleportation procedure presented here.

The optimal conclusive discrimination scheme is based on the idea of mapping the non-orthogonal state onto a set of orthogonal states in a probabilistic fashion. When the map is successful the state can then be distinguished with certainty thus leading to perfect teleportation. The failure probability of the mapping procedure is responsible for a reduction in the fidelity of the teleported state. We conclude that can this be visualized in the following way: the non-maximally entangled quantum channel is a coherent superposition of two channels, one allowing for perfect teleportation because the channel corresponds to a maximally entangled state related to a successful map in the discrimination procedure and a non-maximally entangled channel living in a subspace of the Hilbert space. The truncated channel is generated by the failure probability of the map and teleportation through this channel leads to a state with reduced fidelity. Linear independence of the set of non-orthogonal states is a crucial factor in the scheme. The success of the of the procedure depends strongly on the number of states which are linearly independent. If no states are dependent then the only source of error is the discrimination scheme itself. The dependent states cause further errors in the scheme because these states cannot be distinguished. Obviously when all the states are linearly dependent the scheme fails completely. In the protocol proposed here, the average fidelity when all the non-orthogonal states are linearly independent is optimal, i.e. it achieves the maximal average fidelity possible for a teleportation procedure. Therefore we know with certainty that any further local operation would only decrease its performance.

We are currently investigating other possible applications of the quantum channel (34) including the teleportation of unitary evolutions which allow for the remote implementation of quantum gates. We are also interested in extending the scheme to continuous variables.

## VI Acknowledgements

This work was supported under the auspices of the Office of Naval Research Grants Nos. N00014-00-1-0575 and N00014-00-1-0578. A. D. acknowledges support from Fondecyt under Grant No. 1030671. L. R. thanks Fondecyt for support under Grants No. 1010010, No. 1030671 and UdeC P.I. 96011016-12. I. F.-G. would like to thank Consejo Nacional de Ciencia y Tecnologia (Mexico) Grant no. 115569/135963 for financial support and the Information Physics group at the University of New Mexico for their hospitality.