Hugh L. Montgomery - Ten Lectures On The Interface Between Analytic Number Theory and Harmonic Analysis PDF

Other Title s i n Thi s Serie s
88 Crai g Huneke , Tigh t closur e an d it s applications , 1 99 6

87 J o h n Eri k Fornaess , Dynamic s i n severa l comple x variables , 1 99 6
86 Sori n Popa , Classificatio n o f subfactor s an d thei r endomorphisms , 1 99 5
85 M i c h i o J i m b o an d Tetsuj i M i w a , Algebrai c analysi s o f solvabl e lattic e models , 1 99 4
84 H u g h L . M o n t g o m e r y , Te n lecture s o n th e interfac e betwee n analyti c numbe r theor y
and harmoni c analysis , 1 99 4
83 Carlo s E . Kenig , Harmoni c analysi s technique s fo r secon d orde r ellipti c boundar y
value problems , 1 99 4
82 Susa n M o n t g o m e r y , Hop f algebra s an d thei r action s o n rings , 1 99 3
81 S t e v e n G . Krantz , Geometri c analysi s an d functio n spaces , 1 99 3
80 Vaugha n F . R . J o n e s , Subfactor s an d knots , 1 99 1
79 Michae l Frazier , Bjor n Jawerth , an d G u i d o Weiss , Littlewood-Pale y theor y an d
the stud y o f functio n spaces , 1 99 1
78 Edwar d Formanek , Th e polynomia l identitie s an d variant s o f n x n matrices , 1 99 1
77 Michae l Christ , Lecture s o n singula r integra l operators , 1 99 0
76 Klau s Schmidt , Algebrai c idea s i n ergodi c theory , 1 99 0
75 F . T h o m a s Farrel l an d L . E d w i n J o n e s , Classica l aspherica l manifolds , 1 99 0
74 Lawrenc e C . Evans , Wea k convergenc e method s fo r nonlinea r partia l differentia l
equations, 1 99 0
73 Walte r A . Strauss , Nonlinea r wav e equations , 1 98 9
72 P e t e r Orlik , Introductio n t o arrangements , 1 98 9
71 Harr y D y m , J contractiv e matri x functions , reproducin g kerne l Hilber t space s an d
interpolation, 1 98 9
70 Richar d F . G u n d y , Som e topic s i n probabilit y an d analysis , 1 98 9
69 Fran k D . Grosshans , Gian-Carl o R o t a , an d Joe l A . Stein , Invarian t theor y an d
superalgebras, 1 98 7
68 J . Willia m H e l t o n , J o s e p h A . Ball , Charle s R . J o h n s o n , an d J o h n N . P a l m e r ,
Operator theory , analyti c functions , matrices , an d electrica l engineering , 1 98 7
67 Haral d U p m e i e r , Jorda n algebra s i n analysis , operato r theory , an d quantu m
mechanics, 1 98 7
66 G . A n d r e w s , g-Series : Thei r developmen t an d applicatio n i n analysis , numbe r theory ,
combinatorics, physic s an d compute r algebra , 1 98 6
65 Pau l H . R a b i n o w i t z , Minima x method s i n critica l poin t theor y wit h application s t o
differential equations , 1 98 6
64 D o n a l d S . P a s s m a n , Grou p rings , crosse d product s an d Galoi s theory , 1 98 6
63 Walte r Rudin , Ne w construction s o f function s holomorphi c i n th e uni t bal l o f C n ,
1986
62 B e l a Bollobas , Extrema l grap h theor y wit h emphasi s o n probabilisti c methods , 1 98 6
61 M o g e n s F l e n s t e d - J e n s e n , Analysi s o n non-Riemannia n symmetri c spaces , 1 98 6
60 Gille s Pisier , Factorizatio n o f linea r operator s an d geometr y o f Banac h spaces , 1 98 6
59 R o g e r H o w e an d A l l e n M o y , Harish-Chandr a homomorphism s fo r p-adi c groups ,
1985
58 H . Blain e Lawson , Jr. , Th e theor y o f gaug e fields i n fou r dimensions , 1 98 5
57 Jerr y L . K a z d a n , Prescribin g th e curvatur e o f a Riemannia n manifold , 1 98 5
56 Har i Bercovici , Cipria n Foia§ , an d Car l P e a r c y , Dua l algebra s wit h application s
to invarian t subspace s an d dilatio n theory , 1 98 5
55 Willia m A r v e s o n , Te n lecture s o n operato r algebras , 1 98 4
54 Willia m Fulton , Introductio n t o intersectio n theor y i n algebrai c geometry , 1 98 4
(Continued in the back of this publication)
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Ten Lectures
on the Interfac e
Between Analytic Number
Theory and Harmonic Analysis
http://dx.doi.org/10.1090/cbms/084
Conference Boar d of the Mathematical Science s
CBMS
Regional Conference Serie s in Mathematic s
Number 8 4
Ten Lecture s
on the Interfac e
Between Analytic
Number Theory
and Harmonic Analysis
Hugh L . Montgomer y
Published fo r th e
Conference Boar d o f the Mathematica l Science s
by th e
American Mathematica l Societ y
Providence, Rhod e Islan d
with suppor t fro m th e
National Scienc e Foundatio n
Expository Lecture s
from t h e N S F - C B M S Regiona l Conferenc e
held a t K a n s a s S t a t e University , M a n h a t t a n , K a n s a s
May 2 2 - 2 5 , 1 99 0
Research partiall y s u p p o r t e d b y
National Scienc e F o u n d a t i o n G r a n t D M S 891 291 7
1991 Mathematics Subject Classification. Primar y 1 1 -02 , 42-02 ;

Secondary 1 1 K06 , 1 1 K38 , 1 1 K70 , 1 1 L03 , 1 1 L07 , 1 1 L1 5 , 1 1 M20 , 1 1 M26 , 1 1 N05 , 1 1 N25 ,
11N30, 1 1 N69 , 1 1 R06 , 41 A30 , 42A05 , 42A1 0 .
Library o f Congres s Cataloging-in-Publicatio n D a t a

Montgomery, Hug h L . (Hug h Lowell) , 1 944 -
Ten lecture s o n th e interfac e betwee n analyti c numbe r theor y an d harmoni c analysis/Hug h L .
Montgomery.
p. cm . — (Regiona l conferenc e serie s i n mathematics , ISS N 01 60-7642 ; no . 84 )
"Expository lecture s fro m th e NSF-CBM S regiona l conferenc e hel d a t Kansa s Stat e University ,
Manhattan, Ma y 22-25 , 1 990"—T.p . verso .
Includes bibliographica l references .
ISBN 0-821 8-0737- 4
1. Numbe r theory—Congresses . 2 . Harmoni c analysis—Congresses . I . Title . II . Series .
QA1.R33 no . 8 4
[QA241]
510 s—dc20 94-2686 4
[5i2'73] C I P
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10 9 8 7 6 5 4 3 2 9 9 98 97 96
Contents
Preface x i
Notation xii i
Chapter 11 . Unifor m Distributio n
1 1. Qualitativ e theor y
2. Quantitativ e relation s 3
3. Trigonometri
1 c approximatio n 0
4. Note s 3
References 5
Chapter12 . va n de r Corpu t Set s 7
Introduction 7
Extremal measure s 2 3
Relations betwee n a , /?oo > #2 2 5
Corollaries 2 8
A sufficien t conditio n 3 1
Intersective set s 3 4
Heilbronn set s 3 5
Notes 3 7
References 3 7
Chapter 3 . Exponentia l Sum s I :
The Method s o f Wey l an d va n de r Corpu t 3 9
1. Introductio n 3 9
2. WeyP s metho d 3 9
3. va n de r Corput' s metho d 4 6
4. Exponen t pair s 5 6
5. Note s 6 0
References 6 1
Chapter 4 . Exponentia l Sum s II :
Vinogradov's Metho d 6 5
2. Vinogradov' s Mea n Valu e Theore m 6 9
3. A boun d fo r Wey l sum s 7 6
CONTENTS
4. A n alternativ e derivatio n 7 9
5. Note s 8 1
References 8 2
Chapter 5 . A n Introductio n t o Turan' s Metho d 8 5
2. Turan' s Firs t Mai n Theore m 8 6
3. Fabry' s Ga p Theore m 8 9
4. Longe r range s o f v 9 1
5. Turan' s Secon d Mai n Theore m 9 3
6. Specia l coefficient s b n 9 7
7. Note s 0 2
References 0 5
Chapter 6 . Irregularitie s o1 f Distributio n 0 9
2. Square s 0
3. Disk s 1
4. Deca y o f 1th
1 e Fourie r Transfor m 4
5. Familie s allowin g translation , scalin g an d rotatio
1 1 n 9
6. Note s 2 0
References 2 2
Chapter 7 . Mea n an d Larg e Value s
1 of Dirichle t Polynomial s 2 5
2. Mea n value s vi a trigonometri c approximatio
1 n 2 7
13. Majo r ant principle s 3 1
4. Revie w o f Elementar y Operato
1 r Theor y 3 4
5. Mea n value s vi a Hilbert'
1 s inequalit y 3 7
16. Larg e valu e estimate s 4 0
7. Note s 4 3
References 4 6
Chapter 8 . Distributio n o f Reduce d
Residue Classe s 1 i n Shor t Interval s 5 1
12. A probabilisti c mode l 5 3
3. A n approac h b y 1Fourie r technique s 5 4
1
4. Th e fundamenta l lemm a 5 6
5. Note s 6 0
References 6 1
Chapter1 9 . Zero s o f L- functions 6 3
2. Leas t Characte
1 r Non-Residue s 6 4
CONTENTS IX
1
3. Clump s o f zero s 6 8
4. Th e Deuring-Heilbron1n Phenomeno n 7 2
5. Note s 7 6
References 7 7
Chapter 1 0 . Smal l Polynomial s
1 with Integra l Coefficient s 7 9
1 1. Introductio n 7 9
2. Th e Gorskov-Wirsin
1 g Polynomial s 8 3
3. Note s 8 8
References 9 0
Appendix: Som e Unsolve1 d Problem s 9 5
11. Unifor m Distributio n 9 5
12. va n de r Corpu t Set s 9 6
3. Wey l Sum s 9 6
4.
1 va n de r Corput' s Metho d 9 7
15. Turan' s Metho d 9 7
6. Irregularitie
1 s o f Distributio n 9 8
7. Mea n an d Larg e Value s o f Dirichle t Polynomial
1 s 9 8
8. Reduce d Residue s i n Shor t Interval s 20 0
9. Zero s o f L-Function s 20 1
10. Smal l Polynomial s wit h Integra l Coefficient s 20 1
11. Characte r Sum s 20 2
12. Diophantin e Approximatio n 20 2
13. Metri c Diophantin e Approximatio n 20 4
14. Algebrai c Integer s 20 5
15. Trigonometri c Polynomial s 20 6
16. Miscellaneou s 20 7
References 2 0
Index 215
Preface
Todd Cochran e an d Rober t Dressie r note d th e commo n interest s o f numbe r

theorists an d harmoni c analyst s i n thei r department , an d propose d a n NSF -
CBMS conferenc e whos e purpos e woul d b e t o furthe r th e cross-fertilizatio n be -
tween thes e tw o areas . Th e conferenc e too k plac e durin g th e wee k Ma y 21 -25 ,
1990, o n th e campu s o f Kansa s Stat e University , i n Manhatta n ("Th e Littl e
Apple"), Kansas . Th e conferenc e wa s funde d b y NS F Gran t DMS-891 291 7 .
In addition , NS A Gran t MDS-904-90-1 4-401 8 provide d th e trave l expense s o f a
number o f graduate s students , enablin g the m t o atten d th e conference .
In additio n t o th e lecture s reporte d upo n i n thi s volume , th e conferenc e fea -
tured th e followin g nin e majo r addresses :
Speaker Title
J. Bec k New Applications of the Roth-Haldsz Method in
(Rutgers U. ) Irregularities of Distribution
P. X . Gallaghe r Duality for long second Moments of
(Columbia U. ) Short Interval Densities
H. Iwanie c Estimates for coefficients of L-functions
(Rutgers U. )
T. W . Korne r Universal Fourier Series
(Cambridge U. )
J.-F. Mel a Remarkable Subgroups of the Circle
(U. Pari s XIII )
I. Z . Ruzs a Nouveaux sets of Trigonometric Polynomials:
(MTA, Budapest ) Halfway between Random and Regular
B. Saffar i An Account of extremal Problems on Polynomials
(U. Pari s XI ) with restricted Coefficients
G. Tenenbau m Fourier Transforms of Divisor Distributions:
(U. Nancy ) A Survey of Applications
R. C . Vaugha n The Upper Bound for G(k) in Waring's Problem
(Imperial College )
xii PREFAC E
Even durin g th e conference , th e cross-fertilizatio n pai d dividends : Beck , afte r

hearing Saffari' s talk , realize d tha t h e had tool s at hi s disposal tha t enable d hi m
to contribut e t o a n ol d proble m concernin g trigonometri c polynomial s (se e th e
commentary o n Proble m 55 . o n p . 206) .
The conferenc e wa s enhanced b y several socia l events , includin g a n invigorat -
ing excursio n t o th e Konz a Prairie . O n behal f o f th e 8 8 participants , i t i s m y
pleasure t o than k th e organizer s fo r thei r fin e work , an d th e mathematician s a t
KSU fo r thei r hospitality .
Most of the material in this volume is found i n the research literature, an d doe s
not originat e fro m th e presen t author . Origina l result s publishe d her e fo r th e
first tim e were obtained wit h th e support fro m th e Nationa l Scienc e Foundation ,
particularly NS F Gran t DMS-91 07605 .
The autho r sough t an d receive d assistanc e concernin g th e content s o f thi s
volume fro m man y associates . Fo r their suggestions , larg e or small, th e autho r i s
indebted t o the m all , most especiall y t o R . C . Baker , P . T. Bateman , J . Beck , J .
Bourgain, P . Bundschuh, T . Cochrane , J . B . Conrey , R . Cook , R . E . Dressier , P .
Enflo, J . B . Friedlander, S . W. Graham , G . Halasz, P . R. Halmos , G . Harman, H .
Iwaniec, T . W . Korner , R . Lyons , M . Mendes-France , R . Nair , A . D . Pollington ,
J. B . Rauch , I . Z . Ruzsa , B . SafTari , J . W . Sander , A . Schinzel , J.-P . Serre , G .
Tenenbaum, R . C . Vaughan , E . Wirsing , an d T . D . Wooley .
Hugh L . Montgomer y
Ann Arbo r
13 May, 1 99 4
Notation
The harmoni c analysi s pursue d her e involve s th e rea l lin e K , th e circl e grou p
T = R/Z , o r the finite Fourie r transfor m (calle d "additiv e characters" b y numbe r
theorists). W e le t
e(x) = e 2nlx
denote th e comple x exponentia l wit h perio d 1 , s o tha t i f / £ L 1 (T) the n it s
Fourier coefficient s ar e give n b y th e formul a
/(*;)= [ f(x)e(-kx)dx.
Similarly, th e Fourie r coefficient s o f a Bore l measur e / i o n T w e take t o b e
fi(k) = / e(—kx)d/j,(x).
We le t [x] and {x} denot e th e integra l par t o f x an d th e fractiona l par t o f x,

respectively. Thu s x = [x] + {x} wit h [x] € Z an d 0 < {x} < 1 . I n addition , w e
let \\x\\ denote th e distanc e fro m x t o th e neares t integer , ||x| | = min nG z \x — n\.
Thus ||x| | i s the natura l nor m o n T .
The relatio n / <^ C g mean s exactl y th e sam e thin g a s / = 0(g); tha t is ,
there i s a n absolut e constan t C suc h tha t | / | < Cg fo r al l value s o f th e fre e
variables unde r consideration . I f th e implici t constan t C i s allowe d t o depen d
on a paramete r k, the n suc h dependenc e ma y b e indicate d b y writin g / <Cf c g or
/ = O k(g).
More specialize d notation , appropriat e t o variou s topics , i s develope d i n in -
dividual chapters . Suc h notatio n shoul d no t b e expecte d t o b e consisten t fro m
one chapte r t o another . Fo r example , 6 in Chapte r 1 is quit e differen t fro m 6 in
Chapter 2 .
Xlll
http://dx.doi.org/10.1090/cbms/084/01
Chapter 1 . Unifor m Distributio n
1. Qualitativ e theory . W e le t T denot e th e circl e group , T = R/Z . Sup -

pose tha t w e ar e give n a sequenc e {u n} o f point s o f T . Fo r 0 < a < 1 put
Z(N; a) = car d {n e Z : I < n < N,0 oo IS
for ever y a, 0 < a < 1 . Le t UN denote the measure that place s unit point-masse s
at th e point s u\,U2, ... ,UN< Th e Fourie r transfor m o f thi s measur e i s define d
to b e
UN(k)= f e{-ka)dU N
N
(2) =VJe(-A;u n ).
n=l
Here e(^) = e 2nie denote s the comple x exponential with perio d 1 . Wey l [1 3 , 1 4 ]
characterized uniforml y distribute d sequence s a s follows .
W E Y L ' S CRITERION . The following assertions concerning the sequence {u n}
are equivalent:
(a) The sequence {u n} is uniformly distributed;
(b) For each integer k ^ 0 , UN{k) = o(N) as N —> oo ;
(c) / / F is properly Riemann-integrable on T then
1N r
(3) K m T ; X > K ) = F(a)da.
By a simpl e compactnes s argumen t i t ma y b e see n tha t i f {u n} i s uniforml y

distributed the n th e limi t (1 ) i s attaine d uniforml y i n a. Fo r 0 < a < 1 we pu t
D(N;a) = Z(N;a)-Na.
l
2 CHAPTER 1 . UNIFOR M DISTRIBUTIO N
Then th e discrepancy o f th e sequenc e i s

(4) D*(N) = su p \D(N-a)\.
a€[0,l]
Thus th e condition s (a)-(c ) abov e ar e equivalen t t o
(d) D*(N) = o(N) as N - > oo .
The discrepancy D*(N) i s not invariant unde r translation, whic h is regrettable

since T i s a homogeneou s space . Th e usua l metho d use d t o overcom e thi s defec t
involves counting th e number Z(N; a , (3) o f n fo r whic h u n e [a , /?] (mo d 1 ) . W e
put
(5) D(N; a , (3) = Z(N; a , f3) - (0 - a)N,
assuming tha t a < /3 < a + 1 , an d the n w e se t
(6) D(N) = sup\D(N;a,0)\.
a, P
Equivalently, w e ma y pu t
(7) D(N) = sup D(N; a) - infD{N;a),
aa
and i t i s evident tha t
(8) D*(N) < D{N) < 2D*(AT).
This ne w discrepancy D i s translation-invariant, bu t i t i s more complicate d tha n

necessary. T o construc t a n alternativ e approach , le t s(x) denot e th e saw-toot h
function
{x} - 1 / 2 x i Z,
(9) s(x) ={{ n
10oxx £eZ.
Here {x} denote s th e fractiona l par t o f £ , {x} = x — [x\. Le t
N
(10) 6{N ]a) = J2 s(un-(*)-

n=l
That is , 6(N; a) = / T s(x - a) dZ(N\ a ) . W e pu t

(11) fi(N)=sup|fi(JV;a)|.
a.
If x 7 ^ 0,x =fi a (mo d 1 ) , then x f0 ,(x ) = a + s( x — a) — s(x) wher e x § denote s

the characteristi c functio n o f the se t 8 . W e set x = u n, su m ove r n , an d subtrac t
Na t o se e tha t
D*{N;a)=6(N',a)-6{N;0)
at point s o f continuity . Thu s 6(N;a) differ s fro m D*(N;a) b y a n additiv e
constant. I n th e cas e o f D*(N\a), th e additiv e constan t i s chose n s o tha t
2. QUANTITATIV E RELATION S 3
D*(N; 1 ~ ) = 0 , whil e fo r 6(N; a) th e constan t i s chosen s o that / T S(N; a) da =

0. Similarl y
D(N;a,0)=6(N;(3)-6(N;a)
whenever a an d (3 ar e chose n s o a s no t t o coincid e wit h an y u n. Henc e
D(N) = sup<5(JV; (3) - in f 6(N\ a).
Prom thi s i t i s eviden t tha t

(12) S(N) < D(N) < 26(N).
2. Quantitativ e relations . W e now consider th e possibilit y o f constructin g

quantitative relation s betwee n th e assertion s (a)-(d ) o f Weyl' s criterion .
Suppose tha t F i s of bounded variatio n o n T , an d tha t F i s continuous a t th e
points u n. The n
N
£ > K ) = f F(a)dZ(N;a).
T
n=l ^
On subtractin g N Jj F(a) da fro m bot h sides , w e deduce tha t
V F(u n) -N f F(a) da= f F(a) dD(N; a).

J t Jj
n=l
Put
A(N;a) = D(N;a) - \ supD(N;/?) -\hdD(N;l3).
Thus sup a A(7V ; a) = ±D{N) an d inf a A(JV ; a) = -%D(N). Bu t A(AT ; a) differ s
from D(N\a) b y a constant , s o th e integra l o n th e righ t abov e i s
= [ F(a)dA{N-a).
JT
By integratin g b y part s i t follow s tha t thi s i s
= - [ A(N;a)dF{a).
JT
This integra l ha s absolut e valu e no t exceedin g
~D(N) J 1 \dF(a)\ = \D(N)Vzr T(F).
That is ,
N
(13) J2F(un)~N J F(a)da < ^D(N)VM T(F).
T
n=l ^
Although th e clas s o f Riemann-integrabl e function s include s function s no t o f

bounded variation , fo r practica l purpose s th e inequalit y abov e meet s ou r need s
in passin g fro m (d ) t o (c ) i n Weyl' s criterion .
On takin g F(x) = e(-kx) i n (1 3) , w e see a t onc e tha t |[//v(A;) | < 7r\k\D(N)

for k y£ 0. Her e th e constan t ca n b e improve d b y takin g a little mor e care .
Express th e comple x numbe r [/#(& ) i n pola r coordinates , UN{k) = pe(0) wher e
p=\UN(k)\. The n
N
\UN(k)\ = e(-6)UN(k) = ]T e(-few n - 0) .
n=l
Since thi s su m i s real , i t suffices t o conside r th e rea l part s o f th e summands .

Thus
N
\UN(k)\ = ^cos27r{ku n + 6).
n=l
On takin g F(x) = cos27r(/ca; -f 0) i n (1 3) , we deduc e tha t
(14) \U N(k)\ < 2\k\D(N)
for al l k ^ 0 . I f w e tak e u n = n/k then [/jv(fc ) = N and D(JV ) - N/k. Thu s

the uppe r boun d i s within a constant facto r o f being bes t possible . O n th e othe r
hand, fo r an y give n sequence u n ther e ar e not man y value s of k fo r which \U^{k)\
is this large . T o show thi s w e first not e tha t
6(N;k) = -U N(k)s(k) = l^§-
for k 7^ 0. Sinc e 6(0) = 0 , an d sinc e UN(—^) = UN(k), i t follow s b y Parseval' s

identity tha t
2
(15) f;l^^=2» /Wa)ada.
Hence i n particular ,
K
Y,\UN(k)\2^K2D{N)\
fc=i
so that ther e ar e a t mos t boundedl y man y /c , 1 < fc< K for whic h |C/TV(/C) | i s of
the orde r o f KD(N). (I n th e abov e we have employed Vinogradov' s < C notation,
which is synonymous with the Big-0 notatio n popularize d b y Hardy and Landau .
Precisely, w e writ e / < C g o r / = O(g) i f ther e i s a n absolut e constan t A such
that | / | < Ag uniforml y fo r al l value s o f th e fre e variable s unde r consideration .
The constan t A is referre d t o a s th e implicit constant.) Th e relation s (1 4 ) an d
(15) provid e goo d quantitativ e passag e fro m (d ) t o (b) .
The usua l derivatio n o f (a ) fro m (b ) involve s th e existenc e o f trigonometri c
polynomials T~(x),T + (x) suc h tha t
T-(x)<xM{x)<T+{x)
for al l x, an d
+
[T (x)~T'(x)dx<e.
To pu t thi s i n quantitativ e for m w e nee d t o kno w ho w smal l w e ma y tak e e a s

a functio n o f th e degree s o f th e trigonometri c polynomial s T^(x). Sinc e th e
characteristic functio n o f a n interva l ca n b e expresse d i n term s o f th e saw-toot h
function s(x) , w e begi n b y considerin g one-side d approximation s t o s(x).
We recall tha t Fejer' s kerne l AK{X) i s given b y th e formula e
Then Vaaler's polynomial i s
(17) fc=i
sin27r
+ 2 (K -hi) (^+ 1
) 2 ; ~ — Ax-f-i(^)sin27rx .
Since AK+I(X) i s a trigonometri c polynomia l o f degre e if , th e su m i s o f degre e

at mos t K. Th e las t tw o term s ar e trigonometri c polynomial s o f degre e K + 1 ,
but th e coefficient s o f e(±(K - f l)x) cancel , s o tha t th e combine d contributio n
of the las t tw o term s i s a trigonometri c polynomia l o f degre e a t mos t K. B y a n
elementary calculatio n i t ma y b e show n tha t
1K
(18) V K(x) = — - J ^ / ( * / ( A ' + l))sin27rA a:
k=i
where f(u) — —(1 — u) cot nu — jix, an d on e coul d tak e thi s t o b e th e definitio n

of VK, bu t th e mos t interestin g propertie s o f VK{X) follow mor e readil y fro m th e
definition (1 7) .
The functio n VK(X) provide s a goo d approximatio n t o the saw-toot h functio n
s(x). Lik e s(x), th e functio n VK(X) i s odd. Indeed , i t ma y b e show n tha t
(19) V K(x) = s(x) + O ( m i n ( l , ^ 3 ) ) •
Here \\x\\ denotes th e natura l metri c o n T , namel y ||:r| | = min nG ^ \x — n\. Whil e
VK(X) i s presumably no t quit e th e bes t L 1 approximatio n t o s(x), i t lend s itsel f
to constructin g th e bes t majorant , whic h i s given b y th e Beurling polynomial
(20) B K(x) = V K(x) + 2{K \l)AK+i(x).
The relation s amon g thes e function s i s describe d i n th e followin g fundamenta l

result, whic h w e refer t o a s
VAALER'S LEMMA . If 0 < x < 1 / 2 then s(x) < VK( X) s(x) for all x then f TT(x)dx > 2 (K+I) ^
equality if and only ifT(x) = B^(x).
We postpon e th e proo f o f thi s t o th e nex t section , an d conside r her e th e

applications o f thi s t o unifor m distribution .
Let 3 = [a , (3} b e a n ar c o f T , wit h a < (3 < a + l. Fro m Vaaler' s Lemm a w e
know tha t —BK(—X) < s(x) < Bx(x) fo r al l x. Sinc e
X3 {x) = (3 - a + s(x - (3) + s(a - x)

except whe n x coincide s wit h on e o f th e endpoint s o f [J , we pu t
(21+) 5 + (x) =P-a + B K(x - p) + B K{a - x)
and
(21") SK(X) = f3 - a - B K{(3 -x)- B K(x - a).
These ar e th e Selberg polynomials. I t i s at onc e evident tha t S^(x) i s a trigono -

metric polynomia l o f degre e a t mos t K, tha t S^(x) < x 0(x) < S~K( X) f° r a ^ x ->
and tha t J T S^(x) dx = (3 — a ± ^ p j • Hence
n=l
NK
n = l -K
On invertin g th e orde r o f summatio n w e se e tha t thi s i s
K
= Y,S^{k)U N{-k).
-K
Since U N{0) = N an d S£(0 ) = (3 - a + j±^, i t follow s tha t
D(JV;a,i9)<^T+£ S£(fc)£7 N (-k).

0<|fc|<K
We now require a n estimate fo r \S^(k)\. Sinc e S^(x) ha s been explicitly defined ,

one migh t argu e directly , bu t a serviceabl e estimat e i s obtained b y applyin g th e
inequality |/(fc) | < H/HL 1 to th e functio n f(x) = S^(x) - x 3ix)- Henc e
l^(fc)-x 3 (*)|<||s^-x 3 ll^= l K + l

2. QUANTITATIV E RELATION S
0.6
0.4 +
0.2 +
-0.2
-0.4 +
FIGURE 1 . Th e function s s(x), Vz{x), an d B 3(x) fo r 0 < x < 1 .
FIGURE 2 . Th e functions x a (z)> Sj(:c) , 5 3 0* 0 for 0 < x < 1 , wit h

J = [1 /4,2/3] .
8 CHAPTE R 1 . UNIFOR M DISTRIBUTIO N
Moreover, s~(k) = -l/(2nik) fo r k ^ 0, so that
XJ(k) = (e(ka)~e(kp))/(2wik).
Hence
lx,(*)l =
] sin 7r/c(/3 — a) i
irk ^ min ( /? - Q 'i)
when k ^ 0. O n combinin g thes e inequalitie s w e fin d tha t
(22) |S+ ( / 0 |<^ + n ^_ a ,_L)
for 0 < |fc | < if, an d henc e tha t

K
D{N^)<î+2^j^^n{p-a,^))\UN (k)\.
Since a lowe r boun d fo r D(N;a,/3) ma y b e similarly derive d usin g S K(x), w e

arrive at the followin g result .
THEOREM 1 . Let {un}^=1 be a sequence of points ofT, let 3 = [a,/? ] be an

arc ofT with a < (3 < a -f1, and let D(N\ a , /?) 6 e the discrepancy given in (5).
Then
(23) | D ( J V ; a , / 3 ) | < ^ + 2 ^ (s ^ I + m i n ( / J - a , ^ ) ) | f ; «(*«„ )
/or an y positive integers N and K.

we
Since j ^ x +T ^^r^< 2k
^: 5 obtain th e followin g familia r estimate .
COROLLARY 1 .1 . (Th e Erdos-Tura n inequality ) For any positive integer K,

K- , i N
(24) +3U
W*K^ + £*1X><*
A;=l ' n =l
»>
The advantag e o f the Theore m ove r th e Corollar y i s that th e coefficient s on
the righ t han d sid e ar e smaller i f the interva l 3 is short. Thu s th e Theorem
not onl y yield s a n estimate o f discrepancy, bu t also allow s u s to estimate the
maximum ga p in the sequenc e u n, in terms o f the exponentia l sum s U]y(k).
COROLLARY 1 .2 . Suppose that K is a positive integer chosen so that

K , A T
(25) Yl\Yle^kUr^
fc=l'n=l
< AT/1 0 .
Then every arc 3 = [a , /?] of T of length (3—a > - ^y contains at least \N(f3 — a)
of the points u n, I < n < N.
PROOF. I t suffice s t o show tha t D(N', a , (3) < \N{(3 - a). Pro m th e Theore m
we see tha t
D{N a
' ' ® - YTi + 2 (^ T I + 0 ~a) £ I £e{kUl
k=\'n=l
which b y hypothesi s i s
<
GfTTn<*TT + "-<">) w -
Since -^ < (/? - a)/4 , thi s give s th e desire d bound .
Let E K{N) denot e the right han d sid e of (24) , and pu t E(N) = min*; E K(N).
Thus E'(iV ) i s th e bes t uppe r boun d fo r D*(N) tha t ca n b e derive d fro m th e
Erdos-Turan inequality . A n alternativ e uppe r boun d fo r D(N) ha s bee n give n
by LeVequ e [7] , namely
1 /3
/ fi ° ° \
2
(26) D(N)<(±Nj2\UN(k)f/k ).
Let -L(iV) denote the right hand side above. W e now show that E(N) < C L(N),
so tha t th e boun d provide d b y th e Erdos-Tura n inequalit y i s alway s th e bette r
of th e two , apar t fro m a constan t factor .
THEOREM 2 . Let E(N) and L(N) be the upper bounds for the discrepancy
D(N) provided by the Erdos-Turan and LeVeque inequalities. Then
1 /3
(27) D(N) < E(N) « L(N) « N D(N)2/3.
P R O O F . Th e firs t inequalit y i s the Erdos-Tura n inequalit y (24) . T o prove th e

second inequality , tak e K = [2N/E{N)\. The n ^ < \E{N), s o tha t
E{N)<^Y^\\UN{k)\.
By Cauchy' s inequalit y thi s i s

K. vi/ 2
l/2 a
** (£^(*)i )
(^>) (Epifew f
That is ,
00
1 \V 2
^(7V) / «(7V^^|C/N(fc)|2
3 2
which give s th e state d result .

The fina l inequalit y i s derive d b y observin g tha t (1 5 ) an d (1 2 ) giv e th e in -

equalities
1/3
22 \ l / 3
L(N) < (N f 6{N;a) 2da)' < (ND(N) )
As regard s t o th e relativ e size s o f th e quantitie s i n th e chai n o f inequalitie s

(27), i t i s instructive t o conside r som e examples .
EXAMPLE 1 . I t ca n b e show n tha t i f u n = n6 wher e 6 = ( 1 4- \/5)/2 the n

1 < C D{N) < lo g AT, E(N) « (lo g AT)2, an d L{N) « TV 1 /3. Th e tool s neede d t o
derive thes e estimate s wil l b e develope d i n Chapter s 3 an d 6 . Th e discrepanc y
of this sequenc e i s as small a s can occur, ye t th e estimat e provide d b y the Erdos -
Turan inequalit y i s no t muc h larger . LeVeque' s inequality , o n th e othe r hand ,
gives a n inferio r result . Indeed , tha t th e inequalit y j T 6(N\ a) 2 da ^> 1 holds fo r
any sequenc e u n. Henc e fro m (1 5 ) an d (26 ) w e se e tha t L(N) ^ > iV 1 //3 fo r an y
sequence u n. Thu s LeVeque' s inequalit y i s incapabl e o f providin g th e precis e
bounds tha t on e ma y obtai n fro m th e Erdos-Tura n inequality .
EXAMPLE 2 . Tak e u n = n 2/p wher e p i s an od d prime . The n th e exponentia l

sums U p(k) ar e Gaus s sums , an d henc e
0 ( m o d p )
&(*)! = ( ^ ^ '
{p k = 0 (mo d p) .
Consequently E(p) « p xl2 logp , so that th e Erdos-Turan inequalit y gives the esti-
mate D(p) < C pxl2 logp , whic h i s a special cas e of the Polya-Vinogrado v inequal -
ity fo r characte r sums . Moreover , fro m (1 5 ) w e deduc e tha t f T6(p,a)2 da « p,
which implie s tha t D(p) ^ > pll2. W e not e tha t als o i n thi s example , th e boun d
provided b y th e Erdos-Tura n inequalit y i s clos e t o bes t possible . O n th e othe r
hand, L(p) ^ p 2 / 3 , s o that LeVeque' s inequalit y i s agai n inferior .
EXAMPLE 3 . Suppos e tha t 1 < M < iV, and tha t

1
JO < n < M,
Un
~\ n /7v M <n<N.
Then D(N) « E(N) « M whil e L{N) « M + iV 1 / 3 . Mor e generally , i t ma y b e

observed tha t th e boun d provide d b y LeVeque's inequalit y i s of the correc t orde r
of magnitud e precisel y whe n ma x \6(N\ a)\ i s attained a t a pea k whos e L 2 -mass
is a positiv e proportio n o f th e tota l L 2 -mass o f 6(N; a).
3. Trigonometri c approximation . W e no w prov e Vaaler' s Lemma , whic h

was formulate d i n th e precedin g section . Th e firs t ste p i s t o sho w tha t VK(X) >
s(x) fo r 0 < x < 1 /2 . Sinc e A K + I ( ^ T Y ) — 0 fo r 1 < r < i^ , an d sinc e
A/r+i(0) = K + 1 , w e se e a t onc e fro m th e definitio n (1 7 ) o f VK(X) tha t
or a
s
^ ( K T I ) ~ (w+i) ^ ^ integer s r - Sinc e A^(-^~y ) — 0 f° r au * integral r , w e
3. TRIGONOMETRI C APPROXIMATIO N 11
see als o tha t V ^ ( ^ y ) = 1 for 1 < r < K. Le t 0 < x\ < x 2 < . . . < x L < 1
denote th e distinc t point s i n (0,1 ) fo r whic h
(28) V K(x) = s(x),
and le t V denot e th e numbe r o f solution s i n (0,1 ) o f th e equatio n
(29) Vk(x) = 1 .
By th e mea n valu e theore m o f differentia l calculus , eac h interva l (xi,xi+i) con -

tains a t leas t on e roo t o f (29) , fo r I = 1 , 2 , . .. , L — 1 . Moreover , th e K point s
T^ry' 1 S r ^ i whic h for m a subsequenc e o f th e point s {xi}, ar e als o roots o f
(29). Thu s (29 ) ha s a t leas t K 4 - L — 1 solutions i n (0,1 ) . Bu t th e trigonometri c
polynomial V^(x) — 1 , whose degre e i s at mos t K, ca n hav e a t mos t 2K zero s i n
(0,1). Henc e K 4 - L - 1 < 2K, whic h i s to sa y tha t L < K + 1 . Sinc e V K(x) an d
s(x) ar e od d functions , w e hav e V K ( 1 / 2 ) = s(l/2 ) = 0 , s o tha t th e poin t 1 / 2
lies amon g th e x\. I f K i s eve n the n th e poin t 1 / 2 togethe r wit h th e K point s
•j^-j giv e K + 1 points, an d w e see that (28 ) ha s n o other solutions . I f K i s od d
then th e poin t 1 / 2 lie s amon g th e x\. However , i f th e se t {x\\ include s a poin t
x' no t o f the for m -J^TJ then i t als o contains th e poin t 1 — x\ givin g a total o f a t
least K -f - 2 solutions o f (28) . Sinc e thi s i s impossible , w e deduc e tha t (28 ) ha s
precisely th e K solution s -^~ - whe n K i s odd .
To complet e th e proo f tha t VK{X) > s(x) fo r 0 < x < 1 /2 , i t no w suffice s t o
show tha t
(30) V K{KTI)>0
for 1 < r < ^2^- B y direc t calculatio n w e find tha t
We not e tha t i f T(x) i s a trigonometri c polynomia l the n
m = l k~0 (mo d M )
Hence i f th e degre e o f T(x) i s < K the n
K+l
(32) £T(J^)=(K + 1)T(0).
By applyin g thi s wit h T(x) = A ^ + 1 ( - ^ y — x) w e deduc e tha t
A:=0
We multipl y thi s b y s ( ^ j ) an d subtrac t fro m th e forme r identit y t o se e tha t

the firs t ter m o n th e righ t i n (31 ) i s
On writin g k = r + z , we see tha t thi s i s
2 =1
By direc t calculatio n fro m (1 6 ) w e find tha t
for 1 < i < K. W e insert this , an d pai r i with K + l — z to see that th e expressio n
(33) i s
-•* £(.<££)+.<^))(-»3£ir-
i=l
Suppose no w tha t 0 < r < (K + l)/2 . The n th e linea r combinatio n o f th e
sawtooth functio n i s
f 0 fo r 0 < i < r,
1/2 fo r i = r ,
= < 1 fo r r < i < if + 1 -r ,
1/2 for i = A T + l - r ,
I 0 fo r if+ l - r < z < i f +1 .
-2
Since ( s i n - ^ j ) i s conve x f o r r < x < K + 1 — r , th e su m above , whic h
approximates a n integra l b y trapezoids , i s large r tha n th e integra l
rtf+l-r, _ x _2
7T2 / (si n — — -J dx = 2n(K + 1 ) cot
K + l'
Since thi s i s precisely th e secon d ter m i n (31 ) , w e hav e establishe d (30) .
We have prove d tha t VK{X) > s(x) fo r 0 < x < 1 /2 . Sinc e VK{X) an d s(x) ar e
odd functions , i t follow s tha t VK(X) < s(x) fo r 1 / 2 < x < 1 . Sinc e AK(X) > 0
for al l x , i t als o follow s tha t BK(X) > s(x) fo r 0 < x < 1 /2 . W e no w prov e tha t
BK{X) > s(x) fo r 1 / 2 < x < 1 . Arguin g a s w e di d fo r VK(X), w e fin d tha t th e
equation BK{X) — x — 1 / 2 ha s a t mos t K - f 1 roots i n (0,1 ] . Sinc e i t ha s th e
K + l root s 7^T[ , 1 < r {)
4. NOTE S 13
for (K + l ) / 2 <r <K. Arguin g a s w e did fo r V ^ - ^ ) , w e find tha t
r-l . 9
= sm 27rcot
^(STT) - * £ ( FTl) - FTT
i—K+2 — r
for (i f -f - 2)/2 < r < X . I f X i s even an d r = (K + 2)/ 2 the n th e su m i s empt y

and ^ K ( K T I ) = -27rco t j ^ > 0 . Thu s w e ma y suppos e tha t (K + 3)/ 2 <
1 /9
r < K. W e remar k tha t i f / i s a concav e functio n the n /(0 ) > /_w 2 /(# ) dx .
Applying thi s t o th e function s f(x) — —7r2(sin jî(i + a:) ) , w e deduc e tha t
the expressio n abov e i s
rr-l/2 n x2 7r r
>7 T / Si n — (IX — 27T CO t — 7

- JK+I-T+
1 1 2^ K + lJ K + l
= 2 ^cot____cot__j.
This quantit y i s positive, sinc e cot TO is decreasing fo r 0 < x < 1 . Thu s w e hav e
(34), s o the proo f tha t BK{X) > s(x) i s complete .
It remain s t o demonstrat e tha t BK{X) i s th e uniqu e extrema l polynomial .
Suppose tha t T(x) i s a trigonometric polynomia l o f degree not exceedin g K, an d
that T(x) > s(x) fo r al l x. Sinc e T(0 ) = T(0" ) > s(0" ) = 1 /2 , i t follow s tha t
fc=0 fc=l
Hence b y (32 ) w e se e tha t J TT(x)dx > 2 (K+I) • ^ equalit y hold s here , the n
equality hold s i n (35) , an d henc e T(j^) = s(j^) fo r 1 < k < K + 1 , an d
T(0) = 1 /2 . Moreover , sinc e T(x) > s(x) fo r x i n a neighborhoo d o f jAy , w e
must als o hav e T f{j^) = 1 . Sinc e B/f(a: ) als o ha s thes e properties , w e deduc e
that T(x) — BK{X) ha s zero s o f multiplicit y a t leas t 2 a t eac h o f th e K point s
-^q-p 1 < k < K, an d a furthe r zer o a t 0 . Thi s give s a tota l o f a t leas t 2K - f 1
zeros. Sinc e a non-trivial trigonometri c polynomia l o f degree at mos t K ca n hav e
at mos t 2K zeros , i t follow s tha t T{x) = BK{X).
The proo f o f Vaaler' s Lemm a i s no w complete . I t ma y b e furthe r remarke d

that, b y applyin g (32 ) t o B' K{x), i t follow s tha t B' K(0) = -K.
4. Notes . §1 . Th e measure UN is the sum o f N point-masses , bu t i n our dis -

cussion w e have onl y neede d t o kno w tha t UN i s non-negative wit h know n tota l
mass. Thu s Weyl' s criterio n extend s t o sequence s o f probabilit y measure s tend -
ing t o Lebesgu e measure . Mor e generally , a simila r criterio n ca n b e develope d
to describ e a sequenc e o f probabilit y measure s UN tending weakl y t o a limitin g
measure /i . Thi s generalizatio n provide s a n importan t too l fo r establishin g limi t
14 C H A P T E R 1 . UNIFOR M DISTRIBUTIO N
laws i n probabilit y theory . Fo r a mor e extensiv e discussio n o f unifor m distribu -

tion, se e Kuiper s & Niederreiter [6] . Simpl e exposition s o f Weyl' s criterio n hav e
been give n b y Cassel s [1 , Chapter 4 ] and b y Chandrasekhara n [2 , Chapte r 8] .
§2. Inequalit y (1 3 ) i s know n a s Koksma' s inequality ; se e Koksm a [5 ] an d
Kuipers & Neiderreiter [6 , pp. 1 47 , 1 57-1 58] .
Our proo f o f th e Erdos-Tura n inequalit y follow s th e origina l conceptua l ap -
proach o f Erdo s & Turan [3] , but the y gav e a n ad hoc construction o f one-side d
approximations T^ wherea s w e have use d th e mor e precis e constructio n o f Sel -
berg.
Corollary 1 . 2 cast s i n shar p quantitativ e for m th e obviou s observatio n tha t a
uniformly distribute d sequenc e ca n no t hav e larg e gaps . Th e traditiona l tech -
nique use d i n thi s connectio n i s Vinogradov' s "metho d o f littl e glasses " (se e
Vinogradov [1 2 , pp . 32-34 ] o r Karatsub a [4 , p. 6]) , which involve s constructin g
a pea k functio n b y convolving th e characteristi c functio n o f a short interva l wit h
itself man y times . Corollar y 1 . 2 wa s derive d b y th e autho r som e year s ago , an d
is foun d i n th e surve y o f Vaale r [1 1 , Corollary 21 ] .
The second an d thir d inequalitie s of Theorem 2 seem to be new. I n particular ,
Theorem 2 provides a ne w proo f o f LeVeque' s inequality , apar t fro m th e valu e
of the implici t constant . I t seem s tha t th e inequalit y E{N) < TV 1 /3/)* (TV)2/3 of
Theorem 2 is sharp; i n response t o thes e lecture s Ruzs a [9 ] has show n tha t ther e
exist sequence s {u n} wit h D* N <C 1 and E(N) « TV 1 /3. Ruzs a [8 ] has als o show n
that i f positiv e number s C\, C2 , -.. , CK a r e given , the n ther e exist s a sequenc e
{un} suc h tha t
N
yê(kun)
n=l
^°C~w)
for 1 < k < K, bu t th e discrepanc y o f th e sequenc e satisfie s th e inequalit y
D(N) > c(N/K + ]Cfc=i Ck/k) wher e c is some positive absolut e constant . Thu s
the boun d provide d b y th e Erdos-Tura n inequalit y i s essentially th e bes t boun d
for D(N) tha t ca n b e deduced , i f uppe r bound s fo r |C/jv(fc) | i s al l tha t i s used .
§3. Th e term s Vaaler's polynomial, Beurling's polynomial, Selberg's polyno-
mials ar e no t necessaril y standard . Initially , Beurlin g (unpublished ) constructe d
a functio n b(x) suc h tha t b(x) > sgn(:r ) fo r al l rea l x , suc h tha t b(t) = 0 whe n
\t\ > 1 , an d wit h J R b(x) — sgn(x) dx a s smal l a s possible , namel y = 1 . Beurlin g
also showe d tha t hi s functio n i s the uniqu e extrema l function . Man y year s later ,
Selberg [1 0 , pp . 21 3-21 8 ] use d Beurling' s functio n t o construc t a majoran t s +
and a mino r ant s~ o f th e characteristi c functio n o f a n interva l [a , b] o f th e rea l
line, with th e propert y tha t s u p p ^ C [—6, 8], and als o J R s ±(x) dx = b-a±l/8.
For a n interestin g historica l accoun t o f thi s topi c se e Selber g [1 0 , pp . 225-226] .
The analogu e fo r T i s ca n b e derive d b y applyin g th e Poisso n summatio n for -
mula: S ±(x) = Ylnez s± in + x)- Sinc e our presen t interes t i s in the circl e grou p
T, w e hav e take n a mor e direc t approac h tha t avoid s th e Poisso n summatio n
formula. W e hav e als o avoide d a somewha t challengin g technica l poin t relatin g
to b(x): Sinc e b(x) i s no t absolutel y integrabl e ove r E , th e Fourie r transfor m
REFERENCES 15
b(t) i s no t immediatel y defined . Vaale r [1 1 ] adde d a nic e touc h b y definin g th e

function v(x) = b(x) — (S1"^"x) . Vaale r note d tha t thi s functio n i s odd , tha t
0 < v(x) < 1 for x > 0 , an d tha t suppt ? C [-1 ,1 ] . Th e functio n V(x) tha t w e
have take n t o b e fundamental, i s the analogu e fo r T of Vaaler's functio n v(x) o n
the rea l line . Vaale r [1 1 ] ha s give n a n extensiv e discussio n o f th e propertie s o f
these functions , wit h divers e applications .
References
1. J . W . S . Cassels, An Introduction to Diophantine Approximation, Cambrdig e

Tracts no . 45 , Cambridg e Universit y Press , London , 1 957 .
2. K . Chandrasekharan , Introduction to Analytic Number Theory, Grundlehre n
math. Wiss , 1 48 , Springer-Verlag, Ne w York , 1 968 .
3. P . Erdo s an d P . Turan , On a problem in the theory of uniform distribution
I, Nederl . Akad . Wetensch . Proc . 5 1 (1 948) , 1 1 46-1 1 54 ; II, 1 262-1 269 , ( =
Indag. Math . 1 0 (1 948) , 370-378 ; 406-41 3) .
4. A . A . Karatsuba , Basic Analytic Number Theory, Springer-Verlag , Berlin ,
1993.
5. J . F . Koksma , Een algemeene stelling uit de theorie der gelijkmatige verdeel-
ing modulo 1 , Mathematica B (Zutphen ) 1 1 (1 942/43) , 7-1 1 .
6. L . Kuiper s an d H . Niederreiter , Uniform Distribution of Sequences, Joh n
Wiley & Sons, Ne w York , 1 974 .
7. W . J . LeVeque , An inequality connected with WeyVs criterion for uniform
distribution, Proc . Symp . Pur e Math. , Vol . VIII , Amer . Math . Soc , Provi -
dence, RI , 1 965 , pp. 22-30 .
8. I . Z . Ruzsa , On an inequality of Erdos and Turan concerning uniform dis-
tribution modulo one, I, Sets , Graph s an d Number s (Budapest , 1 991 ) , Coll .
Math. Soc . J . Bolya i 60 , 1 992 , pp. 621 -630 .
9. , On an inequality of Erdos and Turan concerning uniform distribu-
tion modulo one, II, J . Numbe r Theor y (t o appear) .
10. A . Selberg , Collected Papers, Volum e II , Springer-Verlag , Berlin , 1 991 .
11. J . D . Vaaler, Some extremal functions in Fourier analysis, Bull . Amer. Math .
Soc. 1 2 (1 985) , 1 83-21 6 .
12. I . M . Vinogradov , The Method of Trigonometrical Sums in the Theory of
Numbers', translated b y A . Davenpor t & K . F . Roth , Interscience , London ,
1954.
13. H . Weyl , Uber ein Problem aus dem Gebiete der diophantischen Approx-
imationen, Nachr . Ges . Wiss . Gottingen , Math.-phys . Kl . (1 91 4) , 234-244 ;
Gesammelte Abhandlungen , Ban d I , Springer-Verlag , Berlin-Heidelberg -
New York , 1 968 , pp. 487-497 .
16 CHAPTE R 1 . UNIFOR M DISTRIBUTIO N
14. , Uber die Gleichverteilung von Zahlen mod. Eins, Math . Ann . 7 7
(1916), 31 3-352 ; Gesammelt e Abhandlungen , Ban d I , Springer-Verlag , Ber -
lin-Heidelberg-New York , 1 968 , pp . 563-599 ; Select a Herman n Weyl , Birk -
hauser Verlag , Basel-Stuttgart , 1 956 , pp. 1 1 1 -1 47 .
Chapter 2 . va n de r Corpu t Set s
1. Introduction . Wey l no t onl y gav e a usefu l criterio n fo r determinin g

whether a sequenc e i s uniforml y distributed , h e als o use d hi s criterio n t o sho w
that i f P{x) i s a polynomia l wit h rea l coefficient s a t leas t on e o f whic h i s irra -
tional (othe r tha n th e constan t term) , the n th e sequenc e o f number s {P(n)} i s
uniformly distribute d modul o 1 . I n provin g this , Wey l introduce d a secon d ver y
important idea : Writ e
IN , 2N N
£e(fcP(n)) = £ ] [ > ( f c ( P ( m ) - P ( n ) ) ) ,
' n=l ' rn= l n= l
and the n pu t ft = m — n, t o se e tha t thi s i s
= EE e(k(P(n + h)-P(n))).
n=lh=l—n
On invertin g th e orde r o f summation , w e se e tha t thi s i s
N-l
=E E e(k(P(n + h)-P{n))).
h=-N+l l<n<N
l-h<n<N-h
When ft = 0 th e inne r su m i s N. O n combinin g h wit h —ft , w e se e tha t th e

above i s
N-l N-h
(1) = N + 2» ]T J2 e W ? ( n + h) - p (n)))-
h=l n = l
This manipulatio n i s know n a s 'Wey l differencing. ' Sinc e P(x - f ft) — P(x) i s a
polynomial o f degre e on e les s tha n tha t o f P(x), th e possibilit y o f inductin g o n
deg P arises . WeyP s argumen t wa s mad e mor e complicate d b y th e fac t tha t th e
differencing paramete r ft run s al l th e wa y t o N. However , a fe w year s later , J .
G. va n de r Corpu t [6 ] found a way t o limi t th e siz e of ft. Hi s basi c result , whos e
proof involve s on e (clever ) applicatio n o f Cauchy' s inequality , i s a s follows .
17
18 CHAPTER 2 . VA N DE R C O R P U T SET S
VAN DE R C O R P U T ' S LEMMA . Let H be a positive integer. Then for any

complex numbers y 1,2/23 • - • ,VN,
(2)
n = l fc=l
When i f — • 0 0 thi s i s substantiall y th e sam e a s (1 ) , bu t th e opportunit y

to tak e H smalle r tha n N offer s a distinc t advantage . Fo r example , b y usin g
the abov e wit h y n = e(ku n) i n conjunctio n wit h Weyl' s criterion , i t i s a simpl e
matter t o prov e
VAN DE R C O R P U T ' S THEOREM . If for each positive integer h the sequence
{un+h—un} is uniformly distributed (mo d 1 ) , then the sequence {u n} is uniformly
distributed (mo d 1 ) .
The convers e of van der Corput' s Theore m i s false, fo r i f 6 is an irrationa l rea l
number the n th e sequenc e u n = nd i s uniforml y distributed , bu t u n+h — un =
hO is constant , an d henc e no t uniforml y distributed . Usin g va n de r Corput' s
Theorem, i t i s no t difficul t t o prov e Weyl' s theore m concernin g th e unifor m
distribution (mo d 1 ) o f polynomial sequence s {P(n)}.
Only within recent years has it been recognized that va n der Corput's Theore m
may b e strengthene d b y weakenin g th e hypothesis : Instea d o f assumin g tha t
un+h — un i s uniforml y distribute d fo r every positiv e intege r /i , i t i s enoug h t o
know that thi s is true for every h E ^K, where 'K is a suitable subset o f the positiv e
integers. Ou r object—onl y partl y achieved—i s t o characteriz e thos e subset sCK
that ma y b e use d i n thi s way .
DEFINITION. A se t % o f positiv e integer s i s calle d a van der Corput set i f
the sequenc e {u n} i s uniforml y distribute d (mo d 1 ) wheneve r th e difference d
sequence {u n +h - w n } i s uniformly distribute d (mo d 1 ) fo r al l h E { K.
In thi s terminology , va n de r Corput' s origina l theore m assert s tha t th e se t Z +
of positiv e integer s i s a va n de r Corpu t set .
The coefficient s i n th e su m o n th e righ t han d sid e o f (2 ) ar e suggestiv e o f th e
Fejer kerne l (recal l (1 .1 6)) . B y introducin g a smal l wrinkl e w e obtain a general -
ization o f va n de r Corput' s Lemm a i n whic h thi s connectio n i s mor e obvious .
LEMMA 1 . (Generalize d va n de r Corpu t Lemma ) Suppose that
H
x = a
(3) T( ) o + /< ah cos27r/ix ,
that T{x) > 0 for all x, and that T(0 ) = 1 . Then for any complex numbers
2 / 1 , 2 / 2 , - - . ,VN,
N, 2/ N H N-h
yn+hyn
1
n=l ' \ n= l h=\ n=l
1. INTRODUCTIO N 19
PROOF. T O simplify th e tas k o f keeping trac k o f the endpoint s o f summation ,

we set y n — 0 when n < 1 or n > N. B y a classica l theore m o f Fejer, ther e exis t
complex number s c*o , c*i,... , an suc h tha t
H
(4) T{x) = â me(mx)

i=0
Since T(0 ) = 1 , b y multiplyin g th e a m b y a suitabl e unimodula r constan t w e

may suppos e tha t X^m= o a™ ~ * • The n
n^ m ' ^ n ' m n
N
m+n-
n=-H+l m
Thus b y Cauchy' s inequality ,

2
II I
HP2/J < (iV +/f) J^ Jâ m y m+n
'n ' n ' m
On expandin g an d takin g th e su m ove r n inside , w e see tha t thi s i s
= ( N + H) ^ " ^ Q mi Qm2 ^ y mi+ni/m2+n-

m i rri 2 T I
We reindex , puttin g 77 1 = 777,2 , /i = m i — 771 2 , so t h a t th e tripl e su m abov e i s
ym+h+nym+n'
hm
Here th e valu e o f th e innermos t su m depend s onl y o n th e differenc e h betwee n
the indices . Thu s th e abov e i s
a
= Yl ( YL ™+hOLrn ) f ^ Vn + hVn J •
From (4 ) w e se e tha t
y ^ Q m - f ^ q m = T(ft) .
We writ e th e ter m correspondin g t o h = 0 separately , an d observ e tha t th e

contribution o f — h i s th e comple x conjugat e o f tha t o f h. Henc e
H
$ > J < (N + //) f (0) £ |y n|2 + 2 £ | f (/i)| £y n + f c j£
which give s th e state d result .

If w e tak e T(x) = - ^ W A H + I ^ ) i n Lemm a 1 , the n a o = 77x7 , fl/i = ( 1 —
-jfp[)/(H - f 1 ) fo r 1 < h < if , an d Lemm a 1 reduce s t o va n de r Corput' s
Lemma. Indeed , i f w e star t b y takin g ao = a\ = ... = an = 77^ ; i n th e abov e
20 CHAPTER 2 . VA N DE R CORPU T SET S
argument, the n th e appea l t o Fejer' s theore m i s superfluou s an d w e hav e th e

original proo f o f van de r Corput' s Lemma .
Suppose tha t I K i s a se t o f positiv e integers , an d le t T = 7( tK) denot e th e
collection o f thos e cosin e polynomial s T(x) a s i n (3 ) suc h tha t T(x) > 0 fo r
all x, T(0 ) = 1 , an d suc h tha t ah ^ 0 onl y whe n h G Oi. Whe n w e us e suc h
trigonometric polynomial s i n Lemm a 1 it i s importan t tha t th e constan t ter m
aQ b e small . Accordingly , pu t
(5) 6 = 6(H) = in f a 0.
This allows us to formulate a natural generalizatio n o f van der Corput's Theorem .

T H E O R E M 1 . (Generalize d va n de r Corpu t Theorem ) Suppose that Ji is a set
of positive integers such that 6(0i) = 0 . Then Oi is a van der Corput set.
We shal l sho w presentl y tha t th e convers e o f this i s als o true .
PROOF. W e follow van der Corput , excep t tha t w e substitute Lemm a 1 where
van de r Corpu t use d hi s Lemma . Le t u n b e a sequenc e suc h tha t u n+h — u n i s
uniformly distribute d (mo d 1 ) fo r eac h h G IK. b y Weyl' s criterion , th e sequenc e
un i s uniforml y distribute d i f X^n= i e ikun) = o(N) a s N — > oo, fo r eac h give n
positive intege r k. Choos e T G T , an d pu t y n = e(ku n) i n Lemm a 1 . The n
N. 2H sN-h
Y, e (kun)\ < a0N(N + H) + (N + H)J2 M Yl e
(k(un+h - u n))
n=l ' h=l ' n=l
Since ah ^ 0 only whe n h G IK, an d sinc e fo r thes e h th e sequenc e {u n+h — u n}

is uniformly distributed , i t follow s b y Weyl' s criterio n tha t th e inne r su m o n th e
right han d sid e abov e i s o(N) a s N — > oo, whenever ah / 0 . Henc e
1'N
lim sup — yê(kun) < y/a^-
Since we may choose T G T with a o arbitrarily small , thi s giv e the desire d result .
We observ e tha t fo r an y give n se t IK , th e se t T(JC ) i s convex . Tha t is , i f
T{ G 7 fo r i = 1 ,2 , the n tT x + ( 1 - t)T 2 G 7 fo r 0 < t < 1 . Wit h th e ide a o f
linear programmin g i n mind , i t i s no t surprisin g tha t th e extrema l proble m o f
determining 6 ca n b e associate d wit h a dua l extrema l problem . Thi s run s a s
follows.
Let / i b e a probabilit y measur e o n T . Fo r k G Z w e defin e th e Fourie r coeffi -
cients o f fi t o b e th e number s
fi(k) ~ I e(—kx)dfj,(x).
JT
Let M denot e th e clas s o f those probabilit y measure s \x on T suc h tha t j2(fc ) ^ 0

only whe n \k\ £ Oi. Sinc e fl( — k) = /x(/c) , thi s i s th e sam e thin g a s sayin g tha t
supp/i an d I K are disjoint . Th e measure s / i G M ar e no t necessaril y continuous .
1. INTRODUCTIO N 21
Indeed, w e ar e intereste d i n th e possibilit y tha t \x may hav e a larg e poin t mas s

at 0 . Le t
(6) 7 = sup/i({0}) .
We sho w no w tha t
(7) 7< *
To se e this , suppos e tha t T E 7 an d tha t \i E M. The n
M{0})< / T{x)d^[x)
since T i s continuous, non-negative , an d T(0 ) = 1 . Th e integra l her e i s
^2f(h)n(-h),
h
and fro m th e definition s o f 7 an d M , th e onl y intege r ft fo r whic h T(ft ) an d

ju(—ft) ar e bot h non-zer o i s ft = 0 . Thu s thi s expressio n i s T(0)/I(0) = ao - Sinc e
M{0}) < a o wheneve r T G 7 an d \i G M, w e hav e (7) . I n § 2 w e us e idea s o f
linear programmin g t o sho w tha t 7 = 6. Thi s provide s a powerfu l metho d fo r
determining whethe r a se t i s a va n de r Corpu t set , an d i n § 5 we sho w tha t th e
set o f perfec t square s i s a va n de r Corpu t se t (se e Corollar y 9) . S o whic h set s
are no t va n de r Corpu t sets ? Th e followin g negativ e resul t i s illuminating .
THEOREM 2 . Let m be a fixed positive integer, take
JC = { l , 2 , . . . , m - l } ,
and put
% = {f t G Z + : m\h}.
Then 6CH) = 7(W) = S(X) = 7 ^ ) = 1 /m .
Thus, usin g th e result s tha t wil l b e establishe d i n th e nex t tw o sections , th e
set o f prime s i s no t a va n de r Corpu t se t (becaus e i t contain s n o multipl e o f
4). Similarly , th e se t o f number s n 2 + 1 is no t a va n de r Corpu t se t (becaus e i t
contains n o multipl e o f 3) .
PROOF. W e prov e tha t
(8) - < 7(3C ) < 7(M ) < 6{H) < -

m m
and als o tha t
(9) - < 7(0C ) < S(X) < 6{K) < - .

Let fi — ^ Y^T=i da/m, wher e 6 a denote s th e probabilit y measur e (Dira c mea -

sure) tha t place s a uni t poin t mas s a t a . The n
1 ifm|/c ,
a=lv
0 otherwise .
Thus \i £ M{%). A s ^({0}) = 1 /ra , i t follow s tha t 7(0C ) > 1 /m . Thi s i s the firs t
inequality i n (8) , an d als o i n (9) .
Since J< C X, w e see tha t T(W ) C T(3C), and tha t M(3C ) C M(JC), an d henc e
that 6(%) < <5(!K) and 7(3C ) < 7(^K) . Thi s gives the second inequalit y i n (8) , an d
the thir d i n (9) . Th e thir d inequalit y i n (8 ) an d th e secon d i n (9 ) ar e provide d
by (7) .
Take T{x) = £ A m ( x ) . The n T < E T(Jf). A s a 0 = 1 /m , w e deduc e tha t
<5(!K) < 1 /m . Thi s give s th e final inequalit y i n (8) , an d als o i n (9) . Th e proo f i s
complete.
Suppose tha t a se t % o f positiv e integer s i s given . Le t I X = M{Ji) denot e
the collectio n o f infinit e sequence s {u n} suc h tha t {ix n+h — u n} i s uniforml y
distributed (mo d 1 ) fo r ever y h G %. Pu t
(10) a= su p limsu p — D*(N).

{Uri}eu NÔO N
Thus a = 0 if and onl y i f *H is a va n de r Corpu t set . W e now indicat e ho w a , 7 ,
and 6 ar e related . Wit h Lemm a 1 in mind , w e le t ^ 2 denot e th e se t o f infinit e
sequence {y n} o f comple x number s suc h tha t
1N
(11) linisu p — y2\y n? < 1 ,
and suc h tha t
JV
(12) ^Vn+hfr = o(N)

n=l
asA T — • 00 , whenever h € Ji. W e pu t
(13) $ 2 = su p limsu p —
In th e applicatio n o f Lemma 1 that w e made i n provin g Theore m 1 , we were no t

able t o us e th e ful l powe r o f th e lemm a becaus e ou r y n wer e constraine d t o b e
unimodular. T o reflec t this , le t ^^ denot e th e clas s o f thos e infinit e sequence s
{Vn} o f comple x number s suc h tha t \y n\ < 1 for al l n , an d suc h tha t (1 2 ) hold s
asT V — > 00, fo r al l h e Ji. W e pu t
1I N
(14) /?o o = su p li m sup — HP y n
2. EXTREMA L MEASURE S 23
In § 2 we show tha t
(15) Hi = 7 = 6,
and i n § 3 we show tha t
(16) $ <Poo< fo,

and tha t
2
(17) /3oo«Ca</? 0 0 log —- .
Poo
From thes e relation s w e se e tha t i f on e o f a, P^, /3 2 , 7, 6 vanishes the n al l th e
others do , in which cas e IK is a van der Corpu t set . I n § 4 we use this equivalenc e
to establis h severa l propertie s o f va n de r Corpu t sets .
Since th e se t o f perfec t square s i s a va n de r Corpu t set , i t follow s tha t a va n
der Corpu t se t nee d no t hav e positive density , althoug h i t i s to b e expecte d tha t
the multiple s o f m mus t hav e positiv e relativ e densit y i n IK , fo r ever y positiv e
integer m. O n th e othe r hand , a van de r Corpu t se t canno t b e extremel y sparse .
Suppose tha t 0 < hi 1 such tha t
ftr+i > Xh r (i.e . th e se t I K has 'Hadamar d gaps') . The n b y usin g finite Ries z
products i t i s eas y t o sho w tha t 6 (IK) > 0 , s o tha t I K is no t a va n de r Corpu t
set. W e might interpre t thi s b y saying that th e elements o f IK are no t sufficientl y
linearly dependent . Roughl y speaking , w e expec t tha t i f th e element s o f a se t
IK of positiv e integer s ar e highl y linearl y dependent , an d i f I K contain s a goo d
supply o f multiple s o f m , fo r ever y positiv e intege r ra, the n w e expec t I K to b e
a va n de r Corpu t set . W e lac k a genera l theore m t o thi s effect , bu t i n § 5 we
establish a usefu l sufficien t conditio n tha t allow s us t o demonstrat e tha t th e se t
of perfec t square s i s a va n de r Corpu t set . I n §§6 , 7 w e conside r th e relatio n
between va n de r Corpu t set s an d othe r classe s o f sets , calle d intersective sets
and Heilbronn sets, respectively .
2. E x t r e m a l measures . W e no w sho w tha t th e inequalit y (7 ) ca n b e re -

placed b y equality .
THEOREM 3 . For any set I K of positive integers, 7(IK ) = <5(IK) ; and there is
a measure \x G M such that M ( { 0 } ) = 7 .
If I K is finite the n b y compactnes s ther e i s a T £ 7CH) whos e constan t ter m
ao attain s th e minima l valu e 6{'K). O n th e othe r hand , i f I K i s infinite , th e
infimum (5 ) i s no t i n genera l attained ; i n particular , i f I K is a va n de r Corpu t
set the n i t canno t b e attained . Thoug h th e supremu m i n (6 ) i s alway s attained ,
the extrema l measur e i s no t alway s unique ; se e Exampl e 2 in §4 .
P R O O F . W e observe first tha t i f IK is empty the n 1 contain s onl y the constan t
function T(x) = 1 , s o tha t 6=1 . O n th e othe r hand , 6Q G M, an d henc e 7 = 1
in thi s case . I n wha t follows , w e suppose tha t I K is non-empty. Ou r argumen t i s
in th e natur e o f a mini-ma x theore m fo r a Banac h space . Le t B b e th e Banac h
24 CHAPTER 2. VAN DER CORPUT SETS
space of continuous function s o n T with th e unifor m norm , ||/| | = max xG x | / ( x ) | -

Let
3> = { / G B : f(x) > 0 fo r al l x G T} ,

Q = {T(x) =6+â hcos 2nhx : T i s a trig , poly. , T(0 ) = 1 } .
If T G Q then minT(x ) < 0 ; henc e 7 an d Q are disjoint . Also , 7 an d Q ar e

convex, an d I P is open. Henc e ther e i s a linea r functiona l L G B* tha t separate s
IP and Q . Tha t is , there i s a number c such tha t L(f) > c for al l / G IP , £(T) < c
for al l T G Q, and L ^ 0 . (Se e Schaefer [1 8] , Chapter 9 ] for substantiatio n o f this
point.) Sinc e I P is a con e (i.e. , / G IP, a > 0 implies tha t a / G f ) , i t follow s tha t
c < 0 , and henc e we may assume that c = 0 . B y the Riesz representation theore m
there i s a Bore l measur e /X Q such tha t L ( / ) = f Tf(x)dfjio(x). Sinc e !/(/ ) > 0
for al l / € IP , an d sinc e L ^ 0 , w e deduc e tha t J T dîQ > 0 . B y normalizing ,
we ma y suppos e tha t thi s integra l i s 1 , so tha t fj,o i s a probabilit y measure . W e
may defin e a new probability measur e ji\ b y putting /xi(S ) = ^Mo(S ) + ^Mo(~§) •
Then /L^ I is a probabilit y measure , th e linea r functiona l J T f(x) dfi\(x) separate s
7 an d Q , an d /x i i s even . Pro m no w on , w e suppos e tha t ou r linea r functiona l
L(f) i s obtaine d b y integratin g / agains t th e measur e fi\. Sinc e y^ i i s even , w e
see tha t /xT(rc ) = fi\(—n) = J Tcos27rnxdfj,i(x). Suppos e tha t T G Q and tha t
h G IK , /i ' G IK . The n fo r an y rea l numbe r fc,
Ti(x) = T(x ) + /c(co s 2TT/IX - co s 27rft'z) G Q ,
and henc e L(Ti ) < 0 . Tha t is ,
L(T) + A;(L(COS2TT/IX ) - L(COS2TT/I / X)) < 0
for an y rea l numbe r fc. Hence ther e i s a numbe r d such tha t L(co s 2nhx) = d fo r
all h G IK. Sinc e 6 4- (1 — S) cos 27rhx G Q, we see tha t
(18) 6+(l-6)d<0.
Moreover, ( 1 + cos27r/ix)/ 2 G T , s o tha t 0 < 6 < 1 /2 . Henc e d < 0. Le t
(19) M =^ + ^ 0 -
This i s a probabilit y measure , sinc e i t i s a conve x combinatio n o f tw o tw o suc h

measures. Moreover ,
for al l h G IK, so tha t \i G M. Finally , b y (1 9 ) an d (1 8 ) w e observe tha t
M({0} ) > ^ - > 6.

3. RELATION S BETWEE N a , ft*,, # > 25
Hence 7 > 6. Take n wit h th e inequalit y (7) , w e deduc e tha t 7 = 5 . Moreover ,

the measur e fi tha t w e hav e constructe d i s a n exampl e o f a n extrema l measure .
This complete s th e proof .
We no w relat e fa t o 7 an d S.
THEOREM 4 . Let I K be a fixed set of positive integers, and let fa be defined

as in (1 3 ) above. Then f$\ =7 = 6 .
PROOF. Th e inequalit y /3 | < & i s a n immediat e consequenc e o f Lemm a 1 .

Thus i t remain s t o sho w tha t 7 < /3 | •
Let [i 6 M b e extremal , s o tha t /x({0} ) = 7 . Conside r th e trigonometri c
polynomial
T(x) = N [ A N(x + y)dfi(y)

JT
= ] T (iV-|n|)/I(n)e(nx) .
|n|<JV
Since T(x) > 0 for al l x, b y Fejer' s theore m ther e exis t z k suc h tha t
N
^zke{kx) T(z).
fc = l
*N
<k<N-h z kzk+h — 0 for al l h G Oi. Finally w e not e
that I Y^k=i zk\2 = T ( ° ) ^ ^ 7 ' s o t h a t I EfcL i z fc| ^ 7 1 / 2 ^ - B y multiplying th e
Zk by a unimodular factor , w e may assum e that Ylk=i z * ^ 7 1 ^2Ar. Thi s give s a n
arbitrarily lon g finite sequenc e of the desire d sort . T o obtain a n infinit e sequenc e
with th e desire d properties , w e not e tha t ever y natura l numbe r n i s uniquel y o f
the for m n = m 3 + k, I <k < 3m 2 + 3 m + 1 . W e take N = 3m 2 + 2 m + 1 in th e
above construction , an d pu t
Zk i f 1 < fe < 3m 2 + 2 m -hi ,

Vn = y m 3 +fc
lo if 3m 2 + 2 m + 1 < k < 3m 2 + 3 m + 1 .
The advantag e o f havin g y n = 0 a t th e en d o f eac h bloc k i s tha t i n estimatin g

Yl ynVn+h, the term s fo r whic h n an d n + h come from differen t block s al l vanis h
from som e poin t on . I t i s eviden t tha t {y n} € ^2 , and tha t
N
lim sup —
N-,00 N
£
71=1
Vn > 7
1/2
Hence # 2 > 7 1 / 2 , an d th e proo f i s complete .
3. Relation s betwee n a , /3oo , fa. W e begi n b y establishin g a connectio n

between fa an d (3^.
THEOREM 5 . Let % be a fixed set of positive integers, and let @2 and Poo be
defined by (1 3 ) and (1 4) , respectively. Then P\ ^ Poo < /#2-
PROOF. Sinc e y^ C y 2> it i s trivial tha t P^ < /?2 - T o establish a n inequalit y
in th e opposit e direction , pu t Ji(m) = {h £ ! K : h < m}. Sinc e < K[m) i s finite,
the se t 7(Ji(m)) i s compact , an d henc e th e minimu m i n (5 ) i s attained , sa y
by T(x). W e le t <5 m denote thi s minimum . Firs t w e sho w tha t m a x x e i T(a; ) =
T(0) = 1 . Le t x 0 b e fixed, x 0 G T , an d pu t T\(x ) = (T( x + x 0 ) + T( x -
x0))/(2T(xo)). The n T i 6 T(M(m)) , an d henc e a 0 (Ti) > <5 m. Bu t a 0 (Ti) =
5 m /T(xo), s o i t follow s tha t T(xo ) < 1 .
By Theorem 3 there is an extremal measure \x £ M(Ji(m)) suc h that /x({0} ) =
7m = <5m - Sinc e
T(x) dfi(x) = 7 „
7T
it follow s tha t / / mus t hav e al l it s mas s a t zero s o f T(x) , apar t fro m it s mas s a t
0. Tha t is , / x is o f th e for m
M = 7m£o + ] ^ m A -
where m r > 0 , 7 m -I - 5^mr = 1 , an d T(x r) = 0 fo r al l r . Sinc e T i s o f degre e

not exceedin g ra, i t ha s a t mos t 2m zero s i n T . Eac h zer o is of even multiplicity ,
so ther e ar e a t mos t m distinc t point s a t whic h T vanishes : R < m. B y a n
inequality o f Bernstein (Theore m 3.1 3 i n Chapte r 1 0 of Zygmun d [20] ) w e know
that ||T|| Loo < ra||T|| Loo. Sinc e ||T|| Loc = 1 an d T(x r) = 0 , w e deduc e tha t
||x r || ^ > 1 /ra . (Her e \\x\\ = min n(Ez \x — n\.) W e no w defin e 21 ,22,.. . , ZTV a s
follows: Fo r th e first [y mN] value s o f k pu t Zk = 1 . Fo r th e nex t [m i AT] values
of k pu t Zk = e{kx{). Fo r th e nex t [m2N] value s o f k pu t z& — e(kx2)> Continu e
in th e manner , unti l z^ — e(kxpt) fo r [TTIRN] value s o f k. Ther e ar e < R value s
of k fo r whic h z^ ha s no t ye t bee n determined ; pu t z^ = 0 for thes e las t value s
of k. Sinc e
L, e[kX >~ e (x) - 1 ^ \\x\

Kx<k<K2 K ' " '
it follow s tha t
N
g^ = 7miV + o(i) + Eo( ]i l if )
2
(20) = lrnN + 0(m ).
For / i G JC(ra) w e hav e
^T z kY^ = 7 mN + 0(h) + ^ m rNe{-hxr) + 0(/i )

fc=l r = l
- JNT/i(ft ) + 0(ra/i )
(21) < mh.
3. RELATION S BETWEE N a, fc, fo 27
To for m a n infinit e sequence , w e observ e tha t ever y natura l numbe r n ca n b e

uniquely writte n i n th e for m n = m 4 4 - k wit h 1 < k < 4m 3 4 - 6m2 4 - 4m. W e
take N = 4m 3 4 - 6m2 4 - 4m i n th e above , an d pu t y n = z m 4 +fc = 2* . Fro m (21 )
we se e tha t {y n} E ôo . Sinc e 7 m — > 7 a s m — > 00 , fro m (20 ) w e deduc e
that /?o o > 7 . I n Theore m 4 w e establishe d th e identit y 7 = /?| , so th e proo f i s
complete.
Finally w e relate a t o /?oo.
T H E O R E M 6 . Let % be a fixed set 0} positive integers, let a be defined as in

(10), and let (3^ be defined as in (1 4) . Then /?o o « a« /?<* > log(2//?oo)-
PROOF. W e establis h th e uppe r boun d fo r a first . Suppos e tha t {u n} E U ,
and le t k b e a positiv e integer . Fro m th e definition s o f U and ^00 , together wit h
Weyl's criterion , w e se e tha t {e(ku n)} E ôo- Henc e b y th e definitio n o f (3^ w e
deduce tha t
(22) l i m s u p - ] P e(/cu n) <0o

-^ 1
JV-+OC i V
By th e Erdos-Tura n inequalit y (Corollar y 1 . 1 i n Chapte r 1 ) ,
WÊl N
I
5ê(ftun) L
n=lI
Hence b y (22 ) w e deduce tha t
1
D(N)
lim sup —^ < — — - - f /?« , log 2K.
If /?oo > 0 then w e take # — [l//?^] ; otherwis e w e take i f t o be arbitraril y large .

In eithe r case w e deduc e tha t a < C (3^ log 2//3oo.
To demonstrat e tha t (3^ < C a w e argu e probabilistically . Le t {?/ n} E Voo -
Suppose tha t 61 ,62,-.- ar e independen t rando m variable s i n T suc h tha t 6 n
has densit y functio n 1 4- 9fa/ne(—x). Sinc e |2/ n| < 1 , thi s i s a densit y function .
Moreover,
E(e(0u)) = / e(a; ) (l - f » y n c ( - x ) ) dx = J y n ,
and fo r / c > 1 ,
E(e(fc0n)) = / e(kx)(l 4 - $tyne(-x)) dx = 0.
By th e stron g la w o f larg e number s i t follow s tha t

1N N
n=l n = l
and tha t fo r eac h fixed k > 1 ,

N
]Te(A;6y = o(AT ) a.s .
71=1
Moreover,
iynVn+h iff c = i ,
E(e(fc(»n-*n+fc)))={J
ifJfc > 1 ,
so tha t
TV
ê(fc(0n-0n+^)=o(AO a.s.
n=l
for eac h k ^ 0 . Henc e th e sequence s 0 n — # n+/i ar e almos t surel y uniforml y
distributed. B y takin g u n — 0n i n Koksma' s inequalit y (recal l (1 .1 4) ) w e find
that
N
£>(*..) < 4£>(iV).

n=l
Thus
AT
D{N)> -o(JV ) a.s.

n=l
Hence a > i/3oo , an d th e proo f i s complete .
4. Corollaries . W e now us e Theorem s 2- 6 t o gai n furthe r insight s int o va n

der Corpu t sets .
COROLLARY 1 . Let Ji be a set of positive integers, let q be a positive integer,

and put q'K = {qh : h G W}. TTie n 5(q#C ) = 6(0i). Hence if q'K is a van der
Corput set for some q, then it is for all q.
P R O O F . Le t T b e a cosin e polynomial , an d pu t T q(x) — T(qx). I t i s clea r

that T G T(M) i f an d onl y i f T q G T(tfK). Moreover , f (0 ) = f q(0).
COROLLARY 2 . Let Oi be a set of positive integers, let q be a positive integer,

and put Ji q = {h G Ji : q\h}. Then 6(Ji q) < q6(J{). Hence if Ji q is empty then
6(M) > 1 /q.
PROOF. Suppos e tha t T G T(!H) , T(x) = a$ -f J2h a ^ cos27r/ix , an d pu t

q
i .
(23) U(x) = lY,T(x + a/q).
Thus
U(x) = a o + V ^ a/i cos 27r/ia:.
q\h
4. COROLLARIE S 29
Put V{x) = U(x)/U(0). The n V € 7(H q). Moreover , fro m (23 ) w e see tha t
1/(0) > T(0)/q = 1 /q. Henc e
We now exhibit a n exampl e i n which th e extrema l measur e / i G M(IK) , whos e

existence i s guarantee d b y Theore m 3 , i s no t unique .
EXAMPLE 1 . Le t IK = { 1 , 2 , . . . , m—1}; this set was considered i n Theorem 2 .
Let q% b e denne d a s i n Corollar y 1 above. B y combinin g thes e tw o result s w e
see tha t 8{q <K) = l/m . However , th e extrema l measur e / x G M(gIK ) i s no t
unique i f q > 1 . T o se e this , le t C be a complet e residu e syste m modul o m wit h
e C { 1 , 2 , . . . , qm}, an d pu t
ro. ^—'
This is an extremal measure in M(q (K). Sinc e distinct choice s of G give rise to dis-
tinct measures , ther e ar e man y suc h measures . No t al l thes e measure s ar e even ,
but severa l o f the m are . Onc e tw o extrema l measure s hav e bee n constructed ,
any conve x combinatio n o f them i s als o extremal , an d henc e ther e ar e infinitel y
many extrema l measures .
In contrast , th e extrema l measur e i n M(IK ) is unique . T o se e this , suppos e
that \x is extremal . W e kno w tha t T(x) = Â m(x) i s a n extrema l membe r o f
T(IK). O n examinin g th e proo f o f (7) , w e realiz e tha t fo r equalit y t o occu r i n
(7) th e measur e \x must plac e al l it s mas s a t zero s o f T(x) , apar t fro m th e mas s
l / m a t 0 . Bu t (recal l (1 .1 6) ) th e zero s o f T(x) ar e th e point s a/ra , 0 < a < m.
Hence fi i s of th e for m
a=l
where w(Q) = l / m , w(a) > 0 for al l a , an d J2 aw(a) ~ * • Henc e
m j
and consequentl y
771 — 1 ,
m— i
'ak\
k=0
But /x(0 ) = 1 , an d /I(fc ) = 0 for 0 < k < m sinc e / x G M(IK). Henc e w(a) = l/m
for all a, 1 < a < m, an d \x is the measure already used in the proof of Theorem 2 .
Suppose that a set IK of positive integers is given, and that a cosine polynomia l
T G 7{%) an d a measur e / x G M(IK) ca n b e foun d s o that f (0 ) = /z({0}) . The n
this commo n valu e mus t b e 6(3i), a s w e see fro m th e proo f o f the inequalit y (7) .
We us e thi s approac h i n th e followin g example .
EXAMPLE 2 . Le t IK = {2,3} . The n

cos ir/5 Q , 41
472 ....
vy
I + COSTT/ 5
To prov e thi s i t suffice s t o note tha t

_ , x cos7r/ 53 2
T(X) = j -+— T — CO S 47TX + — — CO S 67TX
y
I + COSTT/ 5 5 ( 1 + COSTT/5
1 ) 5( - h COSTT/5 )
Q
(cos 2TTX - co s 27r/5)2 (cos 27rx + 3/4 + 2 cos 27r/5)
5(1 + cos7r/5 )
is a member o f T(IK), an d tha t
1
COS7T/5 / cc \
M 60 + 1/ 5+
- 1 +COSTT/5 2( 1 +COSTT/5 ) ^ ^
is a member o f M(IK).
COROLLARY 3 . 7/IK i an d IK2 ar e sete of positive integers, and ifK = IKi U
IK2, i/ie n <5(IK ) > 6( iHi)8(<H2)' Hence ifK is a van der Corput set then at least
one ofH\, IK 2 is also a van der Corput set.
PROOF. Le t ^ G M(IK;) b e the extremal measure s whos e existenc e i s guar -
anteed b y Theore m 3 , and put \i = JJL\ * ^2- The n fj, G M(!K), an d /J<({0}) >
M1({0})M2({0}).
COROLLARY 4 . IfK\ and IK2 ar e disjoint subsets of { 1, 2 , . .. , N}, then
PROOF. Le t T ; G 7( (Ki) b e extrema l cosin e polynomials , an d pu t T(x) =

Ti(a;)T2(a;). The n T(0 ) = 1 . Moreover , f (0 ) = 6(Ki)6{î 2) sinc e !K i an d IK2
are dispoint . W e observ e tha t T ha s degre e a t mos t 2N — 1 . W e now tak e
m = 2N i n Theorem 2 , and adopt th e notation o f that theorem . Thu s w e find
that T G 7(IK), an d hence f (0 ) > 6(3i) = 1 /(27V) .
COROLLARY 5 . IfKi and IK2 partition the set { 1 , 2 , . . . , N} then
PROOF. Th e lower bound follow s fro m th e preceding corollary . Fo r the upper

bound, le t IK be defined a s in Theorem 2 with m = N + 1 . The n b y Corollary 3
and Theore m 2 we see that <5(IKi)<5(IK 2) < 8{K) = l/(i V + 1).
Let I K be a van der Corput set , and put IKJ V = {h G IK : h < N}. The n IKJ V
is no t a va n der Corpu t set , but w e know tha t 6(0<N) — > 0 a s N — > 00. I t
would b e usefu l t o kno w ho w rapidly thi s limi t i s approached i n specia l cases ,
such as when I K is the set of positive perfec t squares . Suc h problem s see m to be
very difficul t i n general, bu t we are able t o determine th e size of 6(MM) f° r o n e
very specia l se t IK, as follows .
5. A SUFFICIEN T CONDITIO N 31
COROLLARY 6 . Let I K = {h > 0 : 2a ||/i, a even} , and put *K N = {h£ (K : h<

2
N}. Then8(J{ N)^N'^ .
P R O O F . Le t X = {h > 0 : 2 a\\h, a odd} , an d pu t X N = {h e X : h < N}. Le t
T e 7(H N) b e extremal . The n T(2x) € 7(X 2N), an d henc e 8{X 2N) < 8(MM).
Thus
8{<KN? > 8(<H N)8{'K2N) > 8{X 2N)8{(K2N).
By Corollar y 3 , th e las t expressio n o n th e righ t i s > 1 /iV , an d s o 6(Jijy) >
TV -1 / 2 . B y reversing the roles of IK and DC , we see similarly that 8(X N) ^> TV-1/ 2 .
Hence b y th e precedin g corollar y w e see tha t <5(IK/v ) <^ 1 /(N6(XN)) < C AT-1/ 2 .
COROLLARY 7 . Let I K be a van der Corput set. Then I K can be partitioned
into infinitely many disjoint subsets 3~Ci so that each 'Ki is a van der Corput set.
P R O O F . Firs t w e show tha t i t i s possible t o construc t finite pairwis e disjoin t
subsets S/ c o f IK , so that 8(S k) < 1 /& - Suppos e tha t Sj ha s bee n determine d fo r
all j < fc, and pu t X k = I K \ |J* U S, . B y Corollar y 3 , R k i s a va n de r Corpu t
set. Henc e there i s a finite se t S^+ i C X k wit h <5(Sfc+i ) < l/(f c + 1 ) . Wit h th e § k
constructed i n thi s way , i t i s easy t o determin e th e *Ki so that eac h on e include s
infinitely man y o f th e S k.
COROLLARY 8 . Let Ji be a set of positive integers, and suppose that I K con-

tains arbitrarily long blocks of consecutive numbers. Then Ji is a van der Corput
set
PROOF. Fo r eac h positiv e intege r N pu t Fj^(x) = ^ En=M+ i e ( n x ) wher e

M = M(N) i s chosen so that al l the frequencies o f F^ li e in IK. Thu s if \i G M(IK)
then f TFNdfi = 0 . Bu t F N(0) = 1 , \F N(x)\ < 1 for al l x, an d F N(x) — > 0 a s
TV —> oo, fo r an y fixed x £ Z. Henc e b y th e Lebesgu e dominate d convergenc e
theorem,
0 = li m I F N{x)dfi= / li m F N(x) d/i = /x({0}) .
Since this hold s fo r al l ji G M(IK), i t follow s tha t 7(IK ) = 0 , an d henc e tha t I K is

a va n de r Corpu t set .
5. A sufficien t condition . W e no w establis h a usefu l criterio n tha t allow s

us t o prov e tha t variou s set s ar e va n de r Corput . Amon g th e application s i s th e
result tha t th e se t o f perfec t square s form s a va n de r Corpu t set .
THEOREM 7 . Let I K be a set of positive integers, and put
Hq = {heH:q\\h}.
If there are infinitely many positive integers q such that for each fixed irrational
real number x the sequence JiqX is uniformly distributed (mo d 1 ) , then I K is a
van der Corput set.
PROOF. Suppos e tha t / x E M(!H), an d le t
Q = {q E Z + : IK^x u . d . V x E R \ Q}.
Furthermore, pu t
A(fr;9)= ^ l ,
l<h<if
heJiq
and se t
fH{x\q)= j / f f v ] T COS2TT/IX .
If g E Q and x i s an irrationa l rea l number , the n
Jim f H{x]q) = 0
by Weyl' s criterion . No w pick a rationa l numbe r Xi , an d suppos e tha t x = X\.

The sequence / # ( x i ; Q) may no t converg e a s if — > oo. However , |/i/(xi ; q)\ < 1
for al l if , an d henc e ther e i s a subsequenc e tha t converges , sa y
Jim f H{xi\q) = f q{xi).

heXi
Now pick a second rationa l number , #2 - Th e sequenc e {/ # (#2 ; Q^HeNx ma y no t

converge, bu t ther e i s a subsequenc e tha t converges , sa y
Jim f H(x2\q) = f g(x2)

H€7<2
where N 2 C N ] . Suppos e tha t {XJ} i s a n enumeratio n o f th e rationa l numbers .

Continuing i n thi s way , w e construc t a sequenc e o f subsequences , N i 3 N 2 5
. . . wit h th e propert y tha t th e number s / / / ( x ^ g ) converg e t o a limi t f q(xj) a s
H — • 00 , H E Tfj. Le t riij denot e th e zt h membe r o f 3\fj , an d for m a sequenc e
N = {î } b y setting rii = rta. Fo r eac h j , al l but finitely man y member s o f N li e
in Jij. Henc e
Jim f H(xj\q) = f q(xj)
H—+00
Hew
for al l rationa l number s Xj. (Thi s constructio n i s know n a s "Hell y selection." )
By settin g f q(x) = 0 if x i s irrational , w e find tha t
Jim f H{x',q) = f q(x)
for al l rea l number s x. Moreover , \f q(x)\ < 1 for al l x. No w /2(±/i ) = 0 fo r al l

h E Oi. since fi E M(!K) , an d henc e J T / # ( x ; (? ) d/i = 0 . Consequentl y b y th e
5. A SUFFICIENT CONDITIO N 33
Lebesgue dominate d convergenc e theorem ,
0 = Ji m / f H(x;q)dfi= / Ji m f H{x\q)dfi
H—+OQ / T P /T F if—*0 0
po or
=f q(x)dfi = J2 £ f q{a/r)^{{a/r}).
j T
r=l a=l
(a,r)=l
Since f q(a/r) = 1 if r|g!, an d \f q(a/r)\ < 1 otherwise, w e may rewrite th e above

as
r\q\ a=l r \q\ a=l

(a,r) = l (a,r ) =l
where |0 | < 1 . Th e number s /x({a/r} ) ar e non-negative , an d hav e su m not
exceeding 1 . Henc e fo r any e > 0 there i s a q such tha t th e second doubl e sum
on the right i s < e. Bu t the first doubl e su m include s the term }J>{{0}), an d hence
we conclud e tha t £t({0} ) < e . Sinc e e may be arbitrarily small , w e deduce tha t
7(IK) = 0 , and hence tha t I K is a van der Corput set.
COROLLARY 9 . LetP(z) £ Z[z] and suppose thatP(z) — > -f-oo as z — • -hoo.

Then Ji = {P{n) > 0 : n > 0} is a van der Corput set if and only if for every
positive integer q the congruence P(z) = 0 (mo d q) has a root
In particular , th e set of positive perfec t square s i s a van der Corput set.

PROOF. I f q is chosen s o that th e congruence P(z) = 0 (mo d q) has no so -
lution, the n 6(3i) > 1 /q by Corollary 2 , and hence % is not a van der Corpu t
set.
Suppose tha t th e congruence P(z) = 0 (mo d q) has a solution fo r every pos -
itive intege r q, and let x b e irrational. Le t r i , r 2 , . .. , r # b e the solutions o f the
congruence (mo d q\); here K = K(q\) > 0. Th e leading coefficien t o f the polyno -
mial P(q\z+rk)x i s irrational, so by Weyl's theorem the numbers P(q\n+rk)x ar e
uniformly distribute d (mo d 1 ) . A finite unio n of uniformly distribute d sequence s
is als o uniforml y distributed ; henc e th e sequence 'KqX is uniformly distributed .
Hence b y Theorem 7 , IK is a van der Corput set.
COROLLARY 1 0 . Let a be a fixed integer, and put I K = {p + a : p > —a}.

Then I K is a van der Corput set if and only if a = ± 1.
P R O O F . Suppos e tha t q is a prim e tha t divide s a. The n th e set IK contain s

at mos t finitel y man y multiple s o f q, and hence b y Corollarie s 2 and 3 we se e
that I K is not a van der Corput set , except possibl y whe n a = ± 1.
Suppose no w that a = dbl , and let x be an irrational number . A classical theo-
rem of Vinogradov (se e §25 of Davenport [7] ) asserts tha t £ ] < x e(px) = O(TT(X)).
If k i s a non-zero intege r the n thi s als o hold s wit h x replace d b y kx. Henc e by
Weyl's criterion i t follows that th e numbers px are uniformly distribute d (mo d 1).
This argumen t extend s t o prime s i n arithmeti c progressions , a s follows . Sinc e
l
±4- ;- b)h\ _ ,J 1
q £-J V q
[n
/ {
i f n = 6 (mo d g),
0 otherwise ,
it follow s tha t
53 e (Pkx) = - ]Te(p/cx) Se ( ~ )
p=b (mo d q)
^ h=l ^ p<x
Since kx - f r/ g i s irrational , th e inne r su m o n th e righ t i s o(n(x)) a s x — > oo,

and henc e th e lef t han d sid e i s als o o(n(x)). I t follow s b y Weyl' s criterio n tha t
if (6 , q) = 1 the n th e number s {px} p=^ (mo d g) a r e uniforml y distribute d (mo d
1). I n th e notatio n o f Theore m 7 , th e se t Ji qx i s uniformly distribute d (mo d 1 ) ,
and henc e ! K is a va n de r Corpu t set .
6. Intersectiv e sets . W e no w relat e th e va n de r Corpu t set s t o a secon d

class o f sets , calle d intersective sets. Firs t w e introduc e som e notation . Le t A
denote a n arbitrar y se t o f positiv e integers , an d le t ^4(iV ) denot e it s countin g
function,
A(N) = £1 .
aEA
a<N
Let d(A) denot e th e uppe r asymptoti c densit y o f A,
d{A) = l i m s u p - - ^ .
We let A —A denot e th e differenc e se t o f A, tha t is , A — A — {a — a' : a € A, a! G

A}. W e cal l a se t I K intersective i f I K D (A - A) = 0 implies tha t d(A) = 0 .
As wit h va n de r Corpu t sets , w e define a measur e o f ho w clos e ! K is t o bein g
intersective. Pu t
(24) t = su p d(A).
A
Mn(A-A)=Q
We establish a n inequalit y betwee n t an d th e quantitie s alread y considered .
THEOREM 8 . Let I K be a set of positive integers. Let 6 be defined as in (5) ,

and let t be defined as above. Then t < 6.
It follow s tha t an y va n de r Corpu t se t i s also intersective . J . Bourgai n [5 ] has

proved tha t th e convers e i s false : Ther e exis t intersectiv e set s tha t ar e no t va n
der Corput .
7. HEILBRON N SET S 35
PROOF. Le t A be & se t o f positiv e integer s suc h tha t 3< D (A - A) — 0. I f

d(A) = 0 then ther e i s nothing t o prove . Suppos e tha t d(A) > 0, an d pu t
d(A)-^2 \ine A,
yn = I
If h G *Hthen y n+hyn = 0 , so (1 2 ) holds . A s (1 1 ) obviousl y hold s a s well, we see

that {y n} e y 2- A s
lim sup — = d{A) 1/2

N-+oc N 1
n=l '
we deduce fro m (1 3 ) tha t /? 2 > d^/l) / . Fro m (24 ) w e conclud e tha t ft> > ^ / 2 ,
1 2
and th e proo f i s complete .
7. Heilbron n sets . Dirichlet' s theorem , i n it s sharpes t form , assert s tha t

for ever y positiv e intege r N an d ever y rea l numbe r 0 ther e i s a n intege r n ,
1 < n < N, suc h tha t
(25) M| |< ] ^T.
This i s bes t possible , a s w e se e b y takin g 0 = l / ( i V + l) . Heilbron n [8 ] prove d

an analogu e o f thi s i n whic h th e integer s n ar e require d t o b e perfec t squares .
Precisely, i f e > 0 and N > NQ(C) the n fo r an y rea l numbe r 8 there i s a n intege r
n, 1 < n < AT, such tha t
2
(26) ||n 0|| < A^-* +e .
It woul d b e interestin g t o understan d wha t othe r set s o f positiv e integer s migh t

take th e plac e o f th e perfec t squares , i n a theore m o f thi s sort . W e cal l a se t 3i
of positiv e integer s a Heilbronn set i f fo r ever y rea l numbe r 0 an d ever y e > 0
there i s a n h G 3~C suc h tha t \\h0\\ < e. A s wit h th e set s alread y considered , w e
may measur e ho w clos e a se t i s t o bein g a Heilbron n set , b y lettin g
(27)» 7 = supin f ||M|| .
Thus I K i s a Heilbron n se t i f an d onl y i f7 7 = 0 . Th e for m o f ou r definitio n

does no t refe r t o a n initia l segmen t o f !K , a s i n Heilbronn' s theorem , bu t th e
difference i s immaterial . T o se e this , le t Ji^ = {h £ % : h < N}. The n b y a
simple compactnes s argumen t on e find s tha t
(28) li m rj{K N) =rj(M)-

N—+00
Since th e shar p for m (25 ) o f Dirichlet' s theore m ca n b e prove d usin g Fejer' s

kernel (se e p . 99)) , i t i s reasonabl e t o appl y cosin e polynomial s t o estimat e 77.
THEOREM 9 . Let % be a set of positive integers, let 6(Ji) be defined as in (5) ,

and let f]CK) be defined as above. Then rj < 6. Hence if Ji is a van der Corput
set then it is a Heilbronn set.
P R O O F . Le t T e T(!H) , with T writte n a s i n (3) . Suppos e tha t 0 < e < 1 /2 ,
and pu t f(x) = max(0, 1 — ||x||/e) . W e conside r th e expressio n
(29) ao + ^2a hf{hB)

h
where 6 i s som e rea l number . Th e functio n f(x) i s continuou s an d o f bounde d

variation. Henc e it s Fourie r serie s i s absolutel y convergent , an d converge s t o
f(x). O n insertin g thi s formul a fo r f{x), w e see tha t th e abov e i s
= a o + 5â h^7(fc)e(fcW).
hk
Since f(x) i s a n eve n function , it s Fourie r coefficient s f(k) ar e real . Moreover ,

the expressio n (29 ) i s real, s o we may tak e rea l part s withou t affectin g th e valu e
of th e expression . Henc e th e abov e i s
co s
= a o + Y ^ a>h Y^ fW 27rfc/i0 .
hk
On invertin g th e orde r o f summation , w e se e that thi s i s
But f(k) = \ {^rf > 0 an d T(kO) > 0 for al l k. Henc e th e su m abov e i s a t

least a s larg e a s th e contributio n o f th e ter m k = 0 . Bu t /(0 ) = e and T(0 ) = 1 ,
so th e abov e i s
>e.
Suppose tha t e > aQ. Then ther e mus t b e a t leas t on e h i n th e su m i n (29 ) fo r
which an > 0 an d f(h0) > 0 . Fo r suc h a n h w e se e tha t h £ ! H and \\hd\\ < e .
Since thi s hold s fo r ever y e > ao , i t follow s tha t inf/^ ^ \\h0\\ < ao- Sinc e thi s
holds fo r ever y T € T(9{) , i t follow s tha t infheJt \\h>0\\ < 6. Finally , sinc e thi s
holds fo r ever y rea l numbe r 0 , i t follow s tha t rj < 6, an d th e proo f i s complete .
To dismis s an y possibilit y o f a converse , w e construc t a se t tha t i s Heilbron n
but no t intersectiv e (an d henc e no t va n de r Corput) .
EXAMPLE 3 . Le t
% = {h G Z+ : ||ftV2|| > ^ o r | | W 5 | | > ^ } .
We show firs t tha t % i s a Heilbron n set . Suppos e tha t 6 is rational, sa y 6 = a/q.

The numbe r q\[2 i s irrational , an d henc e th e sequenc e {nav^}^= i i s dens e i n
REFERENCES 37
T. I n particular , ther e i s a n n > 0 suc h tha t ||ng\/2| | > 1 /1 0 . Pu t h — nq.

Then h e *K an d \\h0\\ = 0 . Nex t suppos e tha t 0 £ Q bu t 0 e Q(\/2) . The n
the number s 1 ,0 , >/ 3 are linearl y independen t ove r Q , an d henc e b y Kronecker' s
theorem th e point s (/i0 , hy/3) ar e dens e i n T 2 . Consequentl y fo r an y e > 0 ther e
is a n h > 0 such tha t \\h0\\ < e and \\hy^\\ > 1 /1 0 (an d henc e h G 5f). Finally ,
suppose tha t 9 £ Q(v / 2)- The n 1 ,# , y/2 ar e linearl y independen t ove r Q , an d w e
proceed a s i n th e precedin g cas e bu t wit h \/ 3 replace d b y y/2. Thi s exhaust s al l
cases, s o we conclude tha t 'K i s a Heilbron n set .
We no w sho w tha t ! K is no t intersective . Tak e
A={aeZ+:\\aV2\\<±, | | a v 5 | | < ^ }.
Since 1 , >/2, \/3 are linearly independent ove r Q, we know by the stronger for m of
Kronecker's theore m tha t th e points (ny/2, ny/3) ar e uniformly distribute d i n T 2 .
Hence A ha s asymptoti c densit y d(A) — 1 /1 00 . Moreover , i f a G A an d a! E A
then ||( a - a')y/2\\ < 1 /1 0 an d \\(a - a')\/3| | < 1 /1 0 , s o tha t % D (A - A) = 0 .
Hence t(0i) > 1 /1 00 , an d w e see tha t 3i i s no t intersective .
8. N o t e s . I t seem s tha t th e firs t know n exampl e o f a va n de r Co r put set ,

other tha n th e positiv e integers , wa s give n b y Delang e (se e Bertrandia s [3]) ,
who showed tha t fo r an y intege r q > 0, th e multiple s o f q form a van de r Corpu t
set. Thi s i s a trivia l consequenc e o f ou r Corollar y 1 . Theore m 1 i s du e t o
Kamae an d Mendes-Franc e [9] ; this ha s bee n extende d b y Pere s [1 1 ] . Theorem s
3-6 ar e du e t o Ruzs a [1 4] . Theorem s 7 an d 8 ar e du e t o Kama e an d Mendes -
France [9] . Ruzs a (privat e communication ) suggest s th e followin g alternativ e
formulation o f Theore m 7 : I f fo r ever y q ther e i s a n £ C !K q suc h tha t Lx i s
uniformly distribute d (mo d 1 ) fo r ever y irrationa l rea l numbe r x, the nC K is a
van de r Corpu t set . Alo n an d Pere s [1 ] have give n a simple r proo f o f Bourgain' s
result tha t a n intersectiv e se t nee d no t b e va n de r Corput . Bertrand-Mathi s
[4] ha s show n tha t a se t i s intersectiv e i f an d onl y i f i t i s Poincar e recurrent .
Theorem 9 i s a previously-unpublishe d resul t o f th e author . Th e exponen t i n
(26) ha s recentl y bee n improved : A . Zaharesc u (t o appear ) ha s show n tha t
yy-i/2+e m a y fo e r e p} a c e c i b y 7V~ 4//7+e. On e migh t conjectur e tha t (26 ) hold s
with th e righ t han d sid e replace d b y N~ 1 +e. Fo r furthe r discussio n surroundin g
Heilbronn's theorem , se e Bake r [2 ] an d Schmid t [1 9] . Kfi z [1 0 ] ha s show n tha t
there exist Heilbronn sets that ar e not intersective, an d hence not van der Corput .
References
1. N . Alon an d Y . Peres , Euclidean Ramsey theory and a construction of Bour-

gain (t o appear) .
2. R . C . Baker , Diophantine Inequalities, Oxfor d Universit y Press , Ne w York ,
1986.
3. J.-P . Bertrandias , Suites pseudo-alteatoires et criteres d'equire-partition

modulo un, Compositi o Math . 1 6 (1 964) , 23-28 .
4. A . Bertrand-Mathis , Ensembles intersectifs et recurrence de Poincare, Israe l
J. Math . 5 5 (1 986) , 1 84-1 98 .
5. J . Bourgain , Ruzsa's problem on sets of recurrence, Israel J. Math . 5 9 (1 987) ,
150-166.
6. J . G . va n de r Corput , Diophantische Ungleichungen I. Zur Gleichverteilung
modulo Eins, Act a Math . 5 6 (1 931 ) , 373-456 .
7. H . Davenport, Multiplicative Number Theory, Secon d Edition , Springer-Ver -
lag, Ne w York , 1 980 .
8. H . Heilbronn , On the distribution of the sequence On 2 (mo d 1 ) , Quart . J .
Math. (2 ) 1 9 (1 948) , 249-256 .
9. T . Kamae an d M. Mendes-Prance, van der CorpuVs difference theorem, Israe l
J. Math . 3 1 (1 978) , 335-342 .
10. I . Kffz , Large independent sets in shift-invariant graphs: solution of Bergel-
son's problem, Graph s Combin . 3 (1 987) , 1 45-1 58 .
11. Y . Peres, Applications of Banach limits to the study of sets of integers, Israe l
J. Math . 6 2 (1 988) , 1 7-31 .
12. I . Ruzsa , On difference sets, Studi a Sci . Math . Hungar . 1 3 (1 978) , 31 9-326 .
13. , Uniform distribution, positive trigonometric polynomials and differ-
ence sets, Semina r o n Numbe r Theor y 1 981 /1 982 , No . 1 8 , Univ . Bordeau x
I, Talence , 1 982 , 1 8 pp.
14. , Connections between the uniform distribution of a sequence and its
differences, Topic s i n Classica l Numbe r Theor y (Budapest , 1 981 ) , North -
Holland, Amsterdam , 1 984 , pp. 1 41 9-1 443 .
15. , Sets of sums and differences, Semina r on number theory , Paris 1 982 -
83, Birkhauser , Boston , 1 984 , pp. 267-273 .
16. , On measures of intersectivity, Act a Math . Hungar . 4 3 (1 984) , 335 -
340.
17. , Difference sets without squares, Period . Math . Hungar . 1 5 (1 984) ,
205-209.
18. H . H . Schaefer , Topological Vector Spaces, Springer-Verlag , Ne w York, 1971 .
19. W . M . Schmidt , Small fractional parts of polynomials, Regiona l Conferenc e
Series No . 32 , Amer . Math . Soc , Providence , 1 977 .
20. A . Zygmund, Trigonometric Series, Vol. II, Secon d Edition , Cambridg e Uni -
versity Press , Cambridge , 1 968 .
Chapter 3 . Exponentia l sum s I : Th e

Methods o f Wey l an d va n de r Corpu t
1. Introduction . Severa l method s hav e bee n devise d fo r estimatin g expo -

nential sums , althoug h mos t o f th e resultin g bound s fal l fa r shor t o f wha t w e
believe t o b e th e truth . I n thi s sectio n w e outlin e th e primar y techniques , dis -
cuss th e conjecture s tha t li e beyond , an d conside r instructiv e examples . I n § 2
we consider sum s o f th e for m
(1) S=£>(P(n) )
71=1
where P(x) i s a polynomia l wit h rea l coefficients . Suc h a su m i s calle d a Weyl

sum, an d w e deriv e Weyl' s estimat e fo r thes e sums . I n § 3 w e trea t sum s o f
the for m Yl e(f(n)) w n e r e
/ i s a suitabl y smoot h functio n o f a rea l variable .
Following va n de r Corput , w e construc t tw o way s o f transformin g suc h sums .
One involve s va n de r Corput' s Lemm a (Chapte r 2 , §1 ) , th e othe r th e Poisso n
summation formula . Fo r a n importan t clas s of functions / thes e transformation s
may b e applie d systematically , t o for m th e method of exponent pairs , whic h w e
discuss i n §4 .
2. Weyl' s method . Le t S denot e th e Wey l su m (1 ) , an d suppos e tha t th e

polynomial P(x) ha s degre e k. W e firs t conside r k = 1 . Sinc e
fe(nQ) = £ ( ^ ± M ^
^v }
e(a) - 1
71=1V '
= e((JV+l)a/2 ) e(a/2) _e(_a/2)
= e v( (iV + l)a/2)^^,
' si n ira
we see tha t i f P(x) — ax + / ? the n
Isin7ra| 2||a |
39
40 CHAPTER 3. WEYL AND VAN DER CORPUT
where ||a| | denote s th e distanc e fro m a t o th e neares t integer . I f ||a| | < 1 /(2N)
then th e abov e boun d i s wors e tha n th e trivia l boun d | 5 | < iV . I n eithe r cas e
we find tha t
(2) £ e ( a n + /?)|<min(AT,—) .
To trea t quadrati c polynomial s w e emplo y Wey l differencin g (recal l (1 ) i n

Chapter 2) , b y whic h w e see tha t
N-l i N-h
(3) \S\2«N+^2 n T e ( P ( n + /i)-P(n) )

h=l ' n= l
If P(x) = ax 2 + fix + 7 the n P(x + ft) - P(x ) = 2a/i x + a/i 2 - f /3/i, so b y (2 ) w e

deduce tha t
2JV
(4)
h=l
If a — 0 then thi s give s | 5 | 2 <C TV2, which i s trivial, eve n though th e su m ma y b e

much smalle r (dependin g o n th e valu e o f (3). Similarly , i f a i s a rationa l numbe r
with smal l denominator , o r is very near t o such a number, the n th e uppe r boun d
above i s large . Thu s w e se e tha t th e boun d abov e depend s o n th e natur e o f th e
rational approximation s t o a. Thi s i s somewha t th e tru e natur e o f things , i f we
are t o boun d 1 5 1 in term s o f a alone , withou t regar d t o th e valu e o f j3.
We no w addres s th e proble m o f estimatin g th e su m o n th e righ t han d sid e of
(4). W e begi n wit h th e specia l cas e a = a/q wher e (a , q) = 1 . W e not e tha t
q-l
VminfiV, ) < A T + V T T T-
^ V" ha a*" Jh=lf- \\ha/q\[
f ha
h=l ' t
Here th e number s ha ru n ove r al l non-zer o residue s modul o q, s o the abov e i s
q-l
« A T + E m-
771=1
(5) < i V -\-qlogq
By applyin g thi s t o < 2N/q - f 1 blocks eac h o f lengt h < q, we deduc e tha t
2N
1 N
min N
^
h=i ( 'm^) (j +
<< l
)(N + qlogq
)
2
N
< + N lo g q + q log q.
2. WEYL' S METHO D 41
Since th e su m i n (4 ) i s a continuou s functio n o f a , i t follow s tha t thi s sam e

upper boun d applie s t o th e su m provide d tha t a i s sufficientl y clos e to a/q. W e
now sho w tha t i t i s enough t o hav e
(6) '
V
Suppose tha t a satisfie s thi s constraint , an d tha t (a,q) = 1 . Le t M b e a fixed
integer, le t u b e a fixed real number , an d le t N(u) denot e th e numbe r o f integer s
n, M <n < M + q, such tha t \\na - u\\ < l/(2q). The n
1
V?• f,r \ ,r V ^ N(m/q) + N((q-m)/q)
(7) > m m i V , - -)<%:N + qy v IH}
— ^-^ .
We show tha t
(8) N(u) < 3
for an y u. T o thi s en d w e writ e a = a/q - f 6, s o tha t \6\ < l/q 2. W e als o writ e
n = M + m, u = y + Mft, s o that th e assertio n ||n a — u\\ < l/(2q) i s equivalent t o
11ma — v\\ < l/(2q). Sinc e \\m6\\ < q6 < l/q, i t follow s b y the triangl e inequalit y
that \\ma/q — v\\ < 3/(2q). Ther e ar e a t mos t 3 numbers o f th e for m r/q i n th e
interval (v — ^- , v + y-) . Th e numbe r ma/q mus t coincid e (mo d 1 ) wit h on e of
these numbers . Thu s m mus t fal l i n on e o f a t mos t thre e residu e classe s (mo d
q). Sinc e 0 < m < q, it follow s tha t ther e ar e a t mos t 3 admissible value s o f m ,
and w e have (8) .
By insertin g (8 ) i n (7) , w e se e tha t th e estimat e (5 ) stil l applies . B y consid -
ering < (H/q + 1 ) block s o f lengt h < q, we deduce tha t
TT
m[n N
(9) y2 ( 'jri\) « +#logc / + A r + <zlog< ?
^V \\ha\\J q
provided tha t a satisfie s (6) .
By applyin g (9 ) t o (4) , w e obtain th e followin g fundamenta l result .
THEOREM 1 . (Weyl ) Suppose that P{x) — ax 2 + f3x + 7 where a satisfies (6 )
for some relatively prime integers a and q. Then
N„
e
(10) Yl ( P ( n ) ) « "7 = + y/Nlogq + y/qlogq.
By elaboratin g o n thi s metho d w e extend thi s t o Wey l sum s o f highe r degree .
THEOREM 2 . Suppose that P{x) — Ylj=:O ajx^ ât \a — a/q\ < l/q 2, and
that (a , q) = 1 . Then
42 CHAPTER 3 . WEY L AN D VA N DE R CORPU T
where 6 = 2 i-k
Here, and similarly on subsequent occasions , the symbol<^CJC C i s used to indicat e

that th e implici t constan t ma y depen d o n th e paramete r k.
P R O O F . W e appl y th e Wey l shif t k — 1 times , afte r whic h th e polynomia l
remaining i s linear . Mor e precisely , w e squar e bot h side s o f (3) , an d appl y
Cauchy's inequalit y t o se e tha t
i V - l I N-h
| 5 | 4 « 7 V 2 + 7 V ^ \52e(P h(x))
h=l ' n= l
where Ph{x) = P{x + h) — P{x). Her e w e hav e a su m ove r h i n whic h th e

summand i s th e squar e o f a Wey l sum . Thu s b y (3 ) again , th e abov e i s
N-l / 1
N-hi- | N-h 1 -h2
« i V 2 + i V ^ l i V + Yl £ e(P hl(x + h 2)-PhlW)
hi = l \ h,2 = l n=l
hi ,h,2 TL
say. Continuin g inductively , w e find tha t
r2r-l
hi,... ,h r ' n
We tak e r = k — 1 , an d observ e tha t Ph 1 ,... ,hk-i ( x) ls & linea r polynomia l wit h

leading coefficien t k\h\h2 • • • hk-\CXk- Thus b y (2 ) w e deduc e tha t
|5| 2 <*iV2 +N 2
E
l l , . . . ,Alfc_ !
min N.
\\k\hih2 • • - h k-iak\
We note that th e number s k\h\h2 • • • h k-\ li e in the interval [1 , k\Nk~l], an d tha t

the numbe r o f solutions o f the equatio n k\h\h,2 • • • hk-i = h i s < dk-\(h) <C/ c h e.
Hence th e expressio n abov e i s
h=i
and b y (9 ) thi s i s
-fc + e
^N^-i+N^+'q-i+N21"1- 1+e log<7 + 7V 2 glogg.
We may suppos e tha t q < N k, fo r otherwis e th e propose d boun d i s weaker tha n

the trivia l boun d | 5 | < N. Henc e log q <C/ c Ne, an d w e have th e state d result .
To pu t ou r bound s i n perspective , w e no w construc t example s o f Wey l sum s
that ar e moderatel y large .
2. WEYL' S METHO D 43
THEOREM 3. Let P be a polynomial with integral coefficients. For any positive

integers N ) q there exists an integer h such that
N
P(n) + hn\ N
>
aJ
n=l 71'
PROOF. Le t c(r) denot e th e numbe r o f integer s n , 1 < n < JV , suc h tha t
n = r (mo d q). Thu s
h=l'n=l h=l'r=l
By th e orthogonalit y relation s amon g th e additiv e character s (mo d q) w e se e

that thi s i s
<?I>(r)i2-
r=l
By Cauchy' s inequalit y thi s i s
>(X>(r)) 2 =iV 2 .
This give s th e state d result .

From Theore m 3 we se e tha t th e firs t ter m i n th e boun d (1 0 ) o f Theore m 1
can no t b e reduced . Fo r Wey l sum s o f degre e k > 2 w e no w exhibi t a bette r
lower bound , bu t onl y fo r certai n specia l value s o f q.
THEOREM 4 . Let N, k,p, a be given, with p > k > 2, (a,q) = 1 , and p prime.
k
Then there exists a polynomial P G R[x ] of degree k and leading coefficient a/p
such that
N
£e(P(n)) >N/p.
If w e pu t q = p k, the n th e leadin g coefficien t i s a/q, an d th e Wey l su m i s

larger tha n Nq~~ l/k.
PROOF. W e firs t sho w tha t
in)
71=1^
To se e this , writ e n = mp kl
+ r . The n an k = akmp k l rk x -f ar k (mo d p k),
so th e su m i s
A^ \ p k J Z^ \ p kJ
The inne r su m vanishe s unles s p\r k l , i n whic h cas e p\r an d th e inne r su m i s p.

Thus th e abov e i s
p
PXH^-HV-2^-1.
r=l
p\r
The relatio n (1 1 ) give s th e desire d resul t i f N = p k. A s fo r genera l TV , we

note tha t
m~\ m=l n= l
iV p *
^TTl + n ) *
n = l 771 = 1
By (1 1 ) thi s i s
N
diYJpk~l = N k
P -\
n=\
Thus
(a(mJrn)K\
E
n=lF
e
{—pk— >N/p
for a t leas t on e o f th e p k value s o f m .

If th e Wey l su m o f a particula r polynomia l P(x) i s large , the n th e su m o f
a secon d polynomia l Q(x) ma y b e expecte d t o b e larg e i f it s coefficient s ar e
sufficiently clos e to those of P. I n this direction th e following resul t i s instructive.
THEOREM 5 . Suppose that P a(x) = Y^ 0=\aox^ ^ sa

polynomial with real
coefficients. Put
N
M(c*2, • • . ,c\k) = ma x X>(Pa(n))
IfQ(x) = £ * = 1 0jX j and ||a j - (3j\\ < 1 /(2AT) > for 1 < j < k, then
M(a2>...,afc)«M(/32,...,/3fc).
P R O O F . B y addin g suitabl e integer s t o th e j3j, w e ma y suppos e tha t \a 3

/3j\ < l/(2Ny fo r al l j . Le t / b e th e functio n wit h perio d 1 such tha t
e(P(2Nx) - Q(2Nx)) i f 0 < x < 1 /2 ,

/(*)
2e(P(N) - Q(N))(1 - x) i f 1 / 2 < x < 1 .
Let f(m) b e th e Fourie r coefficien t o f / . Sinc e V a r / '<S C 1 , w e kno w tha t

f(m) < S m~ 2 , an d henc e th e Fourie r expansio n o f / converge s t o / , f(x) =
2. WEYL' S METHO D 4 5
E m / H e ( m ; r ) - Choos e a s o that r ^ e ( P ( n ) + an) = Af(a2 , • • • 5<^fc)- The n
£ e ( P ( n ) + an) = £ / ( ^ ) e ( Q ( n ) + an )
n=l n = l
= X>(Q(n) + an)£/>)e(^)
n = l 77 i
= £/(™)X>(<K») + ( « + ^ ) 4
m n= l
This ha s absolut e valu e
< M(/?2,... , pk) J2 l/MI « M(/? 2,... , ft).

771
Thus M(ct2, • • • , otk) ^ M(/?2 , • • • ,/3/c), an d th e opposit e inequalit y follow s b y

reversing th e role s o f P an d Q .
The estimate s o f Theorem s 3 & 4 ar e mos t effectiv e whe n q i s small , sa y
1 < # < N*^ 2 . B y usin g Theore m 5 w e ma y construc t example s o f larg e Wey l
sums wit h N k/2 < q < N k.
THEOREM 6 . There is a constant Ck > 0 such that if k > 2 and if
k
N <q<^q
(_^L^)
~ - \klogNJ
then there is an integer a, (a,q) = 1 , and a polynomial P(x) of degree k with
leading coefficient a/q, such that
N
k
5>(p(»» >c kq^ .
1=1
PROOF, Le t J = [2Nq~ l/k, 4Nq" 1 /k}. B y a n estimate of Chebyshev th e prod -

uct o f al l prime s p £ J i s > ex p (ATg _1 /fc), whic h i s > N k sinc e q < ( kl^ N ) •
Hence ther e i s a prim e p G 3 that doe s no t divid e q. Le t p b e suc h a prime , an d
choose integer s a an d b so tha t ap k — bq = 1 . The n (a , q) = (6,p ) = 1 and
1 1_
k
~k ~ (2N)
<jp' '
Let Q(# ) b e a polynomial a s i n Theore m 4 with degre e k an d leadin g coefficien t
b/pk suc h tha t | $ ^ n e ( Q ( n ) ) | > N/p. Le t P(x) hav e th e sam e coefficient s a s
those o f Q(x) excep t tha t th e leadin g coefficien t b/p k i s replace d b y a/q, an d
the coefficien t o f the linea r ter m i s suitably altered . Th e state d resul t follow s b y
Theorem 5 .
In th e absenc e o f unanticipate d phenomena , w e migh t hazar d a gues s a s t o
the bes t possibl e estimat e o f a Wey l sum .
CONJECTURE 1 . Let k be fixed, k > 2, and let e be fixed, e > 0 . If P(x) =

Y2j=i a 3x°> if \ ak ~ a /<l\ < l/# 2 ? an d ^ (a5 °) — 1 ; then
l/k
1
fe(P(n))«iV^(i + ^ )
n=l
We see tha t whe n k — 2, th e boun d o f Theore m 1 i s bes t possible , apar t
possibly fro m th e logarithmi c factors . Whe n k = 3 , th e boun d o f Theore m 2
is stil l no t s o fa r fro m th e lowe r bound s o f Theorem s 3 , 4 , an d 6 . However ,
when k i s larg e th e boun d o f Theore m 2 makes ver y littl e progres s towar d th e
above Conjecture . I n th e nex t Chapte r w e discus s a method , originate d b y I .
M. Vinogradov , tha t give s muc h bette r bound s tha n Theore m 2 when k i s large,
though i t stil l fall s considerabl y shor t o f th e Conjecture .
3. va n de r Corput' s method . W e conside r no w exponentia l sum s
n=a
in whic h / i s smooth i n a n appropriat e sense , bu t no t necessaril y a polynomial .
van de r Corpu t propose d tw o processe s b y whic h th e proble m o f estimatin g a
given exponentia l su m i s reduced t o tha t o f estimating som e other su m o r famil y
of sums. Proces s A proceeds b y an applicatio n o f van de r Corput' s Lemma ; her e
the simple r Wey l shif t doe s no t suffice .
THEOREM 7 . (Proces s A ) Let fh(x) = f(x + h) — f(x) where f(x) is a real-
valued function on [a , b]. Let H be an integer, H ( / h (n))|<&-a.

h—1'n—a I
Then
e
(13) E (/H)«^7?-
n=a
PROOF. B y va n de r Corput' s Lemma , a s foun d i n Chapte r 2 , §1 , we see tha t
N
^ e ( / ( n ) ) « ( t - a ) r ^ + [ ^ f | 2 e ( / h ( n ) ) '
a \ h=l 'n=a
This give s th e state d result .
As Proces s B i s mor e involved , w e firs t sketc h th e approach . Le t r(x) =
e-(/(x)) fo r a < x < 6 , r(x) = 0 otherwise , wher e a an d b are integers , a < b.
Then b y th e Poisso n summatio n formula ,
b
Ee(^)) = Er ( n ) = EF(j/)-
3. VAN DER CORPUT'S M E T H O D 47
Suppose tha t / ' i s monotonicall y increasing , an d pu t a = / ' ( a ) , (3 = /'(&) . I f v

lies well outside th e interva l [a,/? ] the n f(z/ ) i s small, bu t i f v € [a,/? ] the n ther e
is a poin t x v £ [a,/? ] suc h tha t f'(x v) — v. Henc e th e integra l
îv) = / e
(f(x) ~ vx
) dx
Ja
has a stationar y phas e a t x — xu, an d w e find tha t
e{f{xv)-vxv + l/&)
r{v) = — - , + erro r terms .
For y e [a,/?] , pu t g(y) = / ( / ' _ 1 ( | / ) ) - tf/ /_

1
(l/). The n
6
$>(/(n))= e(l/8)£ - G?("))
^ =+ erro r terms .
Suppose tha t 0 < A 2 < f"{x) < AX2 fo r a < x < b. The n b y partial summation ,
the su m abov e i s
1
«C —7= ma x 5>(*("))
As th e erro r term s ar e generall y smal l enoug h t o b e ignored , w e find tha t a n es -
timate fo r th e su m ]> Z e(#(z/)) yield s a n estimat e fo r th e origina l su m ^ e ( / ( n ) ) .
If w e appl y Proces s B t o th e ne w su m X^ e (#(^)) the n w e a r e take n bac k
to ^ e ( / ( n ) ) - Thu s ther e i s n o poin t i n applyin g thi s proces s twic e i n succes -
sion. Also , an y boun d fo r ^ e ( / ( n ) ) * s equivalent t o a correspondin g boun d fo r
J2e{9(u))- Fo r example , w e hav e th e trivia l boun d
(14) £ e ( 0 ( i / ) ) « / ? - a+ l.
Since 0 - a = f'(b) - / ' ( a ) = (b- a)/"(f ) <{b- a)AX 2, w e deduce tha t

1 /2
£ e ( / ( n ) ) « A;r (AA2(6 - a ) + 1 ) < A Ai /2(& - a ) + X~ 1 /2.
Tl
This estimat e ma y als o b e derive d b y relativel y elementar y reasoning . Th e ad -

vantage o f th e mor e elaborat e analyti c approac h outline d abov e i s that i t offer s
the possibilit y o f derivin g a bette r estimate , i f w e ca n replac e th e trivia l boun d
(14) b y somethin g smaller .
The mai n ingredient s o f Proces s B ar e containe d i n Theorem s 8 an d 9 ; i n
Theorem 1 0 we combin e the m t o for m Proces s B . T o prepar e fo r th e proof s o f
these result s w e first establis h tw o usefu l estimates .
LEMMA 1 . Letr(x) andO(x) be real-valued functions on [a , 6] such that r(x)
and 6'(x) are continuous. Suppose that 6 r{x)/r(x) is positive and monotonically
increasing on this interval. If 0 < X\ < 9 f(a)/r(a) then
Ir b 1
(15) / r(x)e(0(x)) dx <.
Ja 7rAi
Le t g(x) = r(x)/6'(x). W
PROOF. e ma y expres s th e integra l abov e a s a
Riemann-Stieltjes integral ,
±-.J g(x)de(6(x)).
On integratin g b y parts , w e see tha t thi s i s

\g(x)e($(x)) < b
e x) d9{x)
2TU
a a^ ^ -
-hJ
Hence b y th e triangl e inequalit y w e see tha t
sjf*<"
9(a) + 9(b)
/ r(x)e(0(x)) dx
2T T 2T T
Ja
Since g(x) i s monotonicall y decreasing , thi s las t integra l ha s valu e g(a) ! > ( » ) •
On insertin g thi s i n th e above , w e obtain th e state d bound .

It i s instructive to view the inequality (1 5 ) and its proof geometrically. Fo r a <
t < b let Z(t) = f r(x)e(6(x)) dx. Thi s i s a curv e i n th e comple x plane , whos e
radius o f curvatur e a t tim e t i s g(t)/(2n). Sinc e thes e radi i ar e monotonicall y
decreasing, th e osculatin g circle s are nested. Thu s th e initia l osculatin g circle , of
radius g(a)/(2ir), contain s th e entir e curve . Sinc e the poin t Z(a) = 0 lies on thi s
initial circle , an d sinc e th e distanc e fro m Z(a) t o Z(b) i s a t mos t th e diamete r
of this circle , w e deduce tha t \Z(b)\ < g(a)/n.
LEMMA 2 . Let f(x) be a real-valued function on [a,b], and suppose that 0 <
x
A2 < f"( ) throughout this interval. Then
1/
rb I A
e(f(x))dx\ <
IJ a
In Theore m 9 we see that a more precis e estimate ca n b e give n fo r a n integra l
of thi s kind , i f additiona l hypothese s ar e introduced . Th e prototypica l integra l
of thi s kin d arise s whe n f(x) = x 2. I n Figur e 1 we se e tha t th e curv e Z(t) =
2
/ e(x ) dx spiral s tightly , excep t nea r th e inflectio n poin t a t t = 0 .
P R O O F . Le t 6 > 0 b e a paramete r t o b e determine d later , an d le t 3 be tha t
portion o f th e interva l [a , b] fo r whic h l / ' ^ ) ! ^ ^ - Thu s 3 is a n interva l whos e
length i s < 26 /A2. W e estimat e th e contributio n o f thi s interva l trivially :
\Je(f(x))dx < 26/\ 2.
The complementar y portio n [a , 6] \ 3 o f th e interva l consist s o f a t mos t tw o

intervals, t o eac h o f whic h w e ma y appl y Lemm a 1 wit h A i = 6. O n addin g
these estimate s w e deduc e tha t
26_ 2
e(f(x))dx\
Ja ~~ A 2 7T6
111
This i s minimized b y takin g 6 = (A2/V ) , and w e obtain th e state d estimate .
3. VA N DER CORPUT'S METHO D
2
FIGURE 1 . Fresnel' s Integra l Z(t) = f ^ e(x ) dx, fo r - 2 < t < 2.
T H E O R E M 8 . (Truncate d Poisson ) Let f be a real-valued function, and sup-

pose that / ' is continuous and increasing on [a , b). Put a — f'{a), (3 = f'{b).
Then
ux dx
(16) £ e(/(n) ) = J2 [ a
<f^ ~ ) + °( 1 0 S( 2 + /?-<*)) •
a<n<6 a-l<i/</3+ l
P R O O F . Le t N b e an integer suc h tha t \N - (a + /3)/2| < 1 /2 . I f we replac e

/(x) b y f(x) — Nx the n th e terms i n the sum on the left ar e unchanged, f f{x) i s
still continuou s an d increasing, an d the sum on the right i s unchanged, althoug h
the indexin g o f the terms ha s been translated , a s a ha s been replace d b y a' =
a-N, an d 0 has been replaced b y /?' = (3-N. W e note that a'+fl = a+/?-2JV ,
so that (o: 7 -|- /?r| < 1 . Thu s b y making a change o f variables o f this sort , w e ma y
suppose tha t \a -f (5\ < 1.
Let r(x) = e[f(x)) fo r a < x < 6 , an d pu t r(x) = 0 otherwise . The n
r G L1(R), an d r ha s bounded variatio n o n R, s o by the Poisson Summatio n
Formula (se e p. 68 of Zygmund [52]) ,
n - K
Since r(rr ) is continuous apar t fro m th e possible jum p discontinuitie s a t a or b,

the lef t han d sid e her e i s within O(l ) of the left han d sid e i n (1 6) . Th e integral
50 CHAPTER 3. W E Y L AND VAN DER CORPUT
on th e righ t i n (1 6 ) i s simpl y P(^) > s o t o complet e th e proo f i t suffice s t o sho w

that
fc log 2
(17) J Z^ )^ ( + I 3 - a)
k$[a-l,/3+l]
\k\<K
for al l sufficientl y larg e K. B y integratin g b y parts , w e find tha t
If k > /? then (f' — k)/f i s increasing, so by Lemma 1 this integral i s <C (3/(k—/3).
Hence th e su m o f th e contribution s mad e b y thes e integral s i s
« £ lOTT) «**(* +ft-

v HJ
fc>/M-l
We treat k < a similarly , an d deduc e tha t th e lef t han d sid e o f (1 7 ) i s
k£[a-l,P+l] fcg[a-l,/3+l]
0<|A:|<K 0<\k\<K
Since \a + /? | < 1 , we may pai r eac h k i n these sum s wit h —A; , except fo r a t mos t
one /c , whose contributio n i s bounded . Henc e th e abov e i s
«(«»» £ ^-«</<•» )E 22ip + 0(l„ s( 2+ /,-«)).

/3+l<fc<K / 3 + K K K
By usin g partia l summatio n w e kno w tha t th e Fourie r serie s Y2 I s m 2TT/C X i s

boundedly convergent . Thu s th e sums abov e ar e uniforml y 0(1 ) . Henc e we have
(17), an d th e proo f i s complete .
We no w addres s th e proble m o f refinin g th e estimat e give n b y Lemm a 2 .
Suppose tha t g{x) i s a real-value d function , tha t g f(xo) = 0 for som e XQ G [a, 6],
and tha t
(18) 0 < A 2 < g"{x)
throughout thi s interval. Le t q(x) b e the quadrati c Taylo r approximatio n t o g(x)

at xo,
2
q(x) = g(x Q) + -g"(x 0)(x - x Q) .
We expect tha t q(x) give s a good approximatio n t o g(x), a t leas t whe n x i s nea r
XQ. Conside r th e idealize d situatio n i n whic h g(x) i s exactl y q(x). B y a n eas y
calculation w e see tha t
f
J —c
V0 fro)
3. VAN DER CORPUT'S METHOD 51
As q'{x) i s increasing , w e see by Lemm a 1 with A i = A2(6 — xo) tha t

roo i
[ e(q(x)) dx <C
X2(b~x0)'
If xo i s nea r b then thi s estimat e i s weak , an d w e us e Lemm a 2 instea d t o se e
that
1 f°°
/ e(q(x)) dx < C -7==.
Jb vA 2
We ma y trea t J^ • • • similarly, an d thu s w e find tha t
(19) /VîM^tVfi+OW )
where
(20) R x = mi n ( — - , - = ) + mi n ( — - - , -=).
a ) ' y/X^J) VA
\2(XQ - J\
\\2\x0-a) VA 2(6 - X 0 )'vAo
(6-xo) y/A 2''
2 2
In th e genera l situation , g(x) i s no t a quadratic polynomial , bu t i f th e highe r
derivatives o f g ar e no t to o larg e the n th e expressio n abov e provide s a good
approximation t o th e integra l i n question .
THEOREM 9 . (Stationar y Phase ) Let g(x) be a real-valued function on [a,b],
and suppose that g f(xo) = 0 for some XQ e [a,b]. We suppose that (1 8 ) holds
throughout this interval, and in addition that \g^(x)\ < A3 and that \g^(x)\ <
A4 for all x G [a, 6]. Then
b
(21) f e(g(x)) dx = <^Xf^S) + 0 (Rl) + 0(R 2)
J a V9 (Xo)
where R\ is given by (20 ) and
(22) R 2 = {b- a)\2 2\4 + (b - a)A^ 3A§.
If instea d o f (1 8 ) w e hav e
(23) g"{x)<-\ 2<0
then w e appl y Theore m 9 to —g(x), an d tak e comple x conjugate s i n (21 ) . Thi s

gives a simila r results , bu t th e mai n ter m mus t b e replace d b y
m e(g(x 0) - 1 /8 )
If (6—a)\/A^ < 1 then Theore m 9 offers n o improvement o n Lemma 2. Suppos e

that
(25) {b-a)yf\~ 21
> .
In mos t applications ,
(26) A 3 < A 2(6 - a ) " 1 , A 4 < A 2(b - a)~ 2.

Prom thes e inequalitie s an d (25 ) i t follow s tha t R2 « i ? i .

PROOF. W e multiply bot h side s o f (21 ) b y e ( — g{xo)) t o reduce d t o th e cas e
9(%o) — 0 - Similarly , w e ma y translat e coordinate s s o tha t XQ — 0. W e writ e
g(x) = q(x) - f r(x). Pro m Taylor' s formul a wit h th e remainde r expresse d a s a n
integral w e se e tha t
(27) ~(x) = \x 3 f (l-u) 2

g^(xu)du.
2J o
Similarly, r'(x) i s th e linea r Taylo r approximatio n t o g'(x), an d henc e
(3)
(28) r'(x) '• [ (l-u)g (xu)du.
Jo
In vie w o f (1 9) , i t suffice s t o sho w tha t
(29) I e(q(x)) (e(r(x)) - l) dx < ii j + R 2.
artss w e find ttha

By integratin g b y part h t thi s integra l i s
e{q{xj)(e(r{x))-l)
(30)
27rig"(0)x
e(r(x))r'(x) e(r(x) )— 1
mf.w>
Here th e uppe r endpoin t contribute s a n amoun t
x 2-xix2
dx.
1
< g"(0)b « i * i ,
and th e lowe r endpoin t i s treate d similarly . W e no w writ e th e integra l i n (30 )

as T\ — T2, where T\ arise s fro m th e firs t ter m i n th e brackets , an d T 2 from th e
second.
To trea t T\ w e let h(x) = r'(x)/x 2, j(x) = g f(x)/x, an d not e tha t
rb
Tl= e
L J^) ^))9'(x)dx
On integratin g b y parts , w e se e tha t thi s i s
h(x)e(g(x)) _ f° d d ,h(x)\
fh(x)\e(g(x))
dx.
j(x)2iri Ja dx\j(x)J 2m
Since h(x) i s th e integra l i n (28) , w e se e tha t h(x) <^ C A3. B y differentiatin g

this integra l wit h respec t t o x , w e als o se e tha t h'(x) < C A4. Similarly , j(x) =
fQ g"{xu) du > A 2 by (1 8) , an d j'(x) = f Q ug^ 3\xu) du < C A3. Henc e
E ( 7 ) - T - £ « W + *,-'.
dx \j
3. VA N DE R C O R P U T ' S METHO D 53
so tha t
Ti < C AÂ3 + A 4AJ1 (6 - a) 4 - A§A^2(6 - a) .
To boun d T2 , le t J — [c , d] denote tha t portio n o f th e interva l [a , 6] for whic h
|x| < <5 , where< 5 i s a parameter t o b e determine d later , an d le t 3 be th e comple -
ment, 3 = [a , b] \ 3. Pu t k(x) = r(x)/x 3. Fro m (27 ) w e se e tha t /c(x ) < C A3, and
that fc'(a;) < A 4. Se t ra(x) = (e(x) - l)/x. The n ra(x) < 1 , an d m'(x ) < 1 .
The contributio n o f 3 to T 2 i s
jf (e(g(x))x] (m(r(x))k(x)) dx.

By integratin g b y part s w e see that thi s i s
e(g(s))
m{r(x))k{x)\
2^(0)
\c
1
/ e(g(x))fm / (r(x))r / (x)/c(x) - f m(r(x))k'(x) J dx
2TT^"(0)
<A 2 % + A^ 1 / A 2 2
x + A 4 dx
« AJ XA3 + AÂ§(d 3 - c 3) + A^ 1 A4(d - c )

< AÂ s + AÂ 2 ^ 3 + AÂ 4 (6 - a) .
As for th e contributio n o f 5, we note that 3 consists o f at mos t tw o intervals. W e
consider separatel y th e integral s L e(#(x))/x 2 dx , L e(q(x))/x 2 dx. T o appl y
Lemma 1 to th e first o f thes e integral s w e mus t conside r th e quantit y g'{x)x 2.
The absolut e valu e o f thi s i s bounde d below b y A26 3, an d th e quantit y i s in -
creasing sinc e it s derivativ e i s g"{x)x 2 + 2g'(x)x > 0 . Henc e b y Lemm a 1 , th e
first o f thes e integral s i s < C A^1^ - 3 . W e similarl y appl y Lemm a 1 to th e secon d
of thes e integral , whic h give s ris e t o th e expressio n q'{x)x 2 — ^7/ (0)x 3 . Thi s i s
monotonically increasing , an d ha s modulu s bounde d belo w b y A2<5 3. Henc e b y
Lemma 1 , th e secon d o f thes e integral s i s als o < C A^1^ - 3 . O n combinin g thes e
estimates, w e conclud e tha t
T2 < A^ XA3 + AÂ 2 ^ 3 + A 2"1 A4(6 - a) + X^6l £ - 3
— 1/3
We combine this with ou r estimat e
To optimize thi s estimat e w e take 6 = A 3 ' .
of T\ t o se e tha t th e integra l (29 ) i s
^ f l i + A^CTi+Ta )
3
« i ? i + A^" 2A3 + A2 2 A 4 (6- a) + A 2 A 3 ( 6 - a) .
Put U = A ^ 1 ^ — a )- 1. W e may suppos e tha t U <C R\, fo r otherwis e Ri « A -1/2 :
and th e stated estimat e i s immediate fro m Lemm a 2 . W e observe that th e secon d
term abov e i s th e geometri c mea n o f U an d th e fourt h ter m above . Henc e i t i s
majorized b y th e maximu m o f th e firs t ter m an d th e fourt h term , an d therefor e
may b e omitted . Thi s complete s th e proof .
By takin g g(x) — f(x) — vx, an d summin g ove r v, w e achiev e ou r goal .
THEOREM 1 0 . (Proces s B) Let A be a positive absolute constant. Suppose that

f(x) is a real-valued function such that 0 < X 2 < f"{x) < AX 2 for all x G [a, b],
and suppose that | / ( 3 ) 0 ) l < AX 2(b - a)' 1 and that | / ( 4 ) 0 ) l < AX 2(b - a)~ 2
throughout this interval. Put / ' ( a ) = a, f f(b) = (3. For integers v G [ay/3] let x v
be the root of the equation f'{x) = v. Then
(31)
e(f(xl/) - vx v)
Y, e(/(n))=e(l/8 ) £ + 0(log( 2 + / ? - a ) ) + 0 ( A 2 - i / 2 ) .
a<n<b
Here th e secon d erro r ter m i s the sam e siz e a s tha t o f an y particula r ter m i n
the su m o n th e right , whil e th e firs t erro r ter m i s onl y slightl y large r tha n th e
size o f th e term s i n th e su m o n th e left .
200 0
FIGURE 2 . Partia l sum s o f ^ 71=1001
e(80001ogn).
The geometri c significanc e o f Process B is particularly apparen t whe n j3 — a i s

large, bu t muc h smalle r tha n b — a. I n Figur e 2 , th e su m Sn=ioo i e (80001 ogn)
is depicte d a s a chai n o f uni t vector s i n th e comple x plane . Whe n f i s nea r a n
integer, tw o consecutiv e term s ar e nearl y equal , an d severa l consecutiv e vector s
will pul l i n th e sam e direction . Fo r f(x) = 800 0 log x, thi s happen s whe n n i s
near 1 000 , near 1 1 43 , near 1 333 , near 1 500 , and nea r 2000 . O n the othe r hand , i f
f i s approximatel y v + 1 / 2 fo r som e intege r v, the n eac h ter m i s approximatel y
the negativ e o f th e precedin g one , an d ther e i s tremendou s cancellation . Thi s
3. VA N DE R CORPUT' S METHO D 55
occurs whe n n i s nea r 1 067 , nea r 1 231 , nea r 1 455 , an d nea r 1 778 . Indeed , i n
each o f th e range s 1 06 7 < n < 1 231 , 1 23 1 < n < 1 455 , 1 45 5 < n < 1 77 8 th e
partial sum s resembl e a scaled an d rotate d cop y of the grap h o f Presnel's integra l
(recall Figure 1 ) . I n Theorem 1 0 we see that suc h a way of thinking ca n b e mad e
rigorous.
In general , th e fractiona l part s o f th e number s f(x v) — vx v ar e widel y dis -
persed, s o tha t th e righ t han d sid e o f (31 ) involve s a n exponentia l su m i n whic h
the degre e o f cancellatio n remain s t o b e determined . However , w e ca n contriv e
examples t o th e contrary . I f f(x) = (x/3) 3^2 the n f(x v) — vx v = — 4v3 G Z, an d
there i s no cancellation o n the righ t han d sid e in (31 ) . B y applyin g Theore m 1 0 ,
one ma y sho w tha t
N
^ e ( ( n / 3 ) 3 / 2 ) = 2 1 / 4 3 - 3 / 2 7 V 3 / 4 + 0(7V 1 / 4 ).
Partial sum s o f thi s serie s ar e depicte d below .

2 5+
2 04-
15+
10+
-fe 1 1 I I —
5 1 0 1 5 2 0 2 5
FIGURE 3 . Th e su m Y?n=i e((n/3) 3 / 2 ).
At th e opposit e extreme , i f w e tak e f(x) — (2x/3) 3/2, the n f{x v) — vx v —

—z/3/2, s o that e(f(x v) - vxj) — (-1)^, an d henc e
N
ê((2n/3)3/2)«.¥1/4.
n=l
FIGURE 4 . Th e su m £ n = i e((2n/3) 3 / 2 ).
4. Exponen t pairs . Amon g th e sum s t o whic h va n de r Corput' s processe s

might b e applied , i n connectio n wit h th e Rieman n zet a functio n w e woul d lik e
to boun d sum s o f the for m ^ e ( c l o g n ) . Th e 'Dirichle t diviso r problem ' ask s fo r
an estimat e o f th e erro r ter m A(x) i n th e asymptoti c relatio n
(32) ] T d(n) =xlogx + (2-y- l)x + A(x).
Since
A(x) = - 2 ^ ((x/n)) + O(l )
n<yfx
where
this lead s u s to see k bounds fo r sum s o f the for m J ^ e(c/ri). Similarly , i n connec-
tion wit h th e distributio n o f squarefre e number s w e wis h t o boun d J2 e(c/n<2)-
In al l thes e case s th e functio n / tha t arise s ha s th e propert y tha t f'{x) = T/x a
for som e T > 0 , a > 0 . (Thi s las t inequalit y i s critical , a s i t eliminate s fro m
consideration th e bizarr e situation s displaye d i n Figure s 3 an d 4. ) I f w e pu t
fh(x) = f(x + h) — f(x) the n fh i s n o longe r o f thi s form , thoug h i t i s approxi -
mately o f thi s form . W e no w describ e th e clas s o f function s tha t w e ar e willin g
to consider .
4. EXPONEN T PAIR S 57
DEFINITION 1 . Let N and R be positive integers, and let a, T, 6 be positive

real numbers. We let ^(iV , cr, T ; R,6) denote the family of those functions f(x)
with domain [a , 6] C [JV , 2iV] ; with R continuous derivatives on [a , 6], and such
that ifO<r<R then
r+1
(33) | / < > ( x ) - ( - l ) V ( < 7 + l ) • • • {a+r)Tx~a-r\ < 6a{a + l) • • • {a+^Tx^^
uniformly for a < x < b.
After a little experimentatio n wit h va n de r Corput' s processes , on e finds tha t
for function s o f th e typ e describe d abov e th e boun d obtaine d alway s take s th e
shape
b
(34) X > ( / ( n ) ) < < ( m a x | / ' | ) V ,
a
at leas t whe n maxl/' l > 1 . Th e pair s (kj) fo r whic h suc h a n estimat e i s

established al l li e i n th e squar e
(35) 0<k<^<l<l.
We formaliz e thi s a s follows .

DEFINITION 2 . The pair (kj) lying in the square (35 ) is called an exponen t
pair if for each a > 0 there is ad = 6(k, / , a) and a positive integer R = R(k, Z , a)
such that ifN>l,T>N a then
!>(/(»))< (IT)*"'
uniformly for all f G &(N, <r , T; i?, 6). ( The implicit constant may depend only
on k, I, a.)
By usin g Proces s A w e discove r tha t i f (fc , /) i s a n exponen t pai r the n s o als o
is (2FP2 ' fc2fc+21) •^ a PPty m g Proces s B we find that i f (/c , /) i s an exponen t pai r
then s o also is (/ —1/2, fc-f 1 /2) . I n view of the trivial boun d | J2a<n<be(f(n))\ -
N, w e se e tha t (0,1 ) i s a n exponen t pair . Henc e b y Proces s B , (1 /2,1 /2 ) i s a n
exponent pair . B y applyin g Proces s A t o thi s pai r w e obtain th e exponen t pai r
(1/6,2/3). Som e furthe r exponen t pair s ar e exhibite d i n Tabl e 1 .
Suppose tha t (/c , I) i s an exponen t pair . I f k < k l < 1 / 2 an d I < V < 1 / 2 the n
(k',l') i s clearl y a n exponen t pair , becaus e th e associate d estimat e i s weaker .
Suppose tha t (fci , Zi) an d (^2,^2 ) ar e exponen t pairs , an d choos e t € [0,1 ] . The n
|Ee(/(n))| = |E e (/( n ))|lE e (/( n ))|^

t / . m . fc_ \ 1 - t
— [ ___ ) ]ytli + (i-t)l2

CHAPTER 3 . WEY L AN D VA N DE R CORPU T
TABLE 1 . Som e Exponen t Pairs .
k I OPERATION
0/1 1/1
1/254 247/254 AAAAAAB
1/126 20/21 AAAAAB
1/86 161/172 AAAABAAB
1/62 57/62 AAAAB
1/50 181/200 AAABABAAB
1/42 25/28 AAABAAB
2/53 181/212 AABABAAAB
1/24 27/32 AABABAAB
1/22 101/121 AABABABAAB
1/20 33/40 AABAAB
13/238 97/119 AABAABAAB
11/186 25/31 AABAAAB
4/49 75/98 ABABAAAB
11/128 97/128 ABABAABAAB
1/11 3/4 ABABAAB
1/10 81/110 ABABABAAB
13/106 75/106 ABAABAAB
11/86 181/258 ABAABABAAB
11/78 161/234 ABAAABAAB
22/117 25/39 BABAAABAAB
26/129 27/43 BABAABABAAB
11/53 33/53 BABAABAAB
13/55 3/5 BABABABAAB
1/4 13/22 BABABAAB
33/128 75/128 BABABAABAAB
13/49 57/98 BABABAAAB
19/62 52/93 BAABAAAB
75/238 66/119 BAABAABAAB
13/40 11/20 BAABAAB
81/242 6/11 BAABABABAAB
11/32 13/24 BAABABAAB
75/212 57/106 BAABABAAAB
11/28 11/21 BAAABAAB
81/200 13/25 BAAABABAAB
13/31 16/31 BAAAAB
75/172 22/43 BAAAABAAB
19/42 32/63 BAAAAAB
60/127 64/127 BAAAAAAB
1/2 1/2 B
4. EXPONEN T PAIR S 59
Thus {tk\ + ( 1 — t)k2,tli, ( 1 — t)^ ) i s a n exponen t pair , w e se e tha t th e se t o f

exponent pair s i s a conve x set . I n th e negativ e direction , i t i s no t difficul t t o
show tha t (0,/ ) i s no t a n exponen t pai r i f I < 1 , an d tha t (k, 1 /2 ) i s no t a n
exponent pai r i f k < 1 /2 . Otherwis e w e expect tha t al l points i n th e squar e (35 )
to b e exponen t pairs . Thi s i s equivalent t o
CONJECTURE 2 . For every e > 0, (e , 1/2 + e ) is an exponent pair.
From th e theor y o f th e Rieman n zet a functio n i t i s know n tha t i f (/c , /) i s a n

exponent pai r the n
for t > 2 , wher e 6 — (k -f / — 1 /2)/2 . Moreover , th e lo g facto r ca n b e omitte d i f

I > k. Th e pai r (1 /6,2/3 ) give s 6 = 1 /6 , an d th e exponen t pai r (1 1 /82,57/82 )
gives 0 = 27/1 64 . Conjectur e 2 implies th e Lindelo f Hypothesis , whic h assert s
that w e ma y tak e 0 arbitrarily small . Conjectur e 2 also yield s th e bes t possibl e
exponent i n th e diviso r proble m (32) , namel y A(x ) < C x l^+e.
0.9 +
0.8|
0.7 +
0.6+ \ ^
°- 5 6 o*T o*! o*3 (yl ^"^0.5

k
FIGURE 5 . Boundar y o f th e se t o f Exponent Pair s obtainabl e b y va n
der Corput' s processes .
The exponen t pair s (k J) tha t ca n b e establishe d b y usin g Processe s A and B

form a proper subse t o f the square (35) ; the boundary o f this region i s depicted i n
Figure 5 . Fo r many year s these were the only know n exponent pairs , bu t recentl y
a smal l advanc e ha s bee n achieved . Bombier i an d Iwanie c [2 ] introduce d a ne w
60 CHAPTE R 3 . WEY L AN D VA N DE R CORPU T
idea tha t allowe d the m t o sho w tha t
C(^ + i*)«t 9/56+e .

Huxley an d Wat t [27 ] use d thi s ide a t o show , mor e generally , tha t (9/5 6 -f -
e, 37/56 + e ) i s a n exponen t pair . Thi s pai r canno t b e attaine d usin g onl y Pro -
cesses A an d B , bu t b y startin g wit h thi s pai r on e ca n generat e furthe r ne w
pairs, usin g thes e processes . I n Figur e 6 th e boundar y o f th e ne w large r regio n
of exponent pair s i s drawn, nex t t o the old boundary. Th e improvemen t i s slight,
but w e do see that ther e are exponent pair s beyon d thos e generated b y Processe s
A an d B .
l-
0,9-
0.8
0.7
0.6
° ' 5 ' 6 0^ 1
1 0 2 0l 3 0.' 4 O'.b
k
FIGURE 6 . Boundar y o f th e se t o f Exponen t Pair s derive d fro m th e
pair (9/56- f e,37/56-fe) .
5. Notes . §2 . Weyl' s metho d i s foun d i n th e origina l paper s o f Wey l [50 ,

51]. Fo r furthe r discussio n o n thi s topic , see Heath-Brow n [1 6] , Loxto n [31 ] ,
Loxton an d Vaugha n [32] , and Vaugha n [45 , 46].
§3. va n de r Corpu t develope d hi s metho d i n a serie s o f papers ; se e va n de r
Corput [3-8 ] an d va n de r Corpu t an d Koksm a [9] . Othe r earl y account s ar e
found i n Nielan d [37] , Walfis z [47] . I t wa s Titchmars h [40 ] wh o gav e th e tw o
processes thei r names . Titchmars h [41 -43 ] als o extende d th e metho d t o dea l
with two-dimensiona l sums . A ful l accoun t o f va n de r Corput' s metho d ha s
been give n b y Graha m an d Kolesni k [1 4] . Th e truncate d for m o f th e Poisso n
summation formul a (Theore m 8 ) wa s derive d b y va n de r Corpu t [3] , an d i s
REFERENCES 61
familiar a s Lemm a 4. 7 o f Titchmars h [44] . I n estimatin g th e integra l wit h a

stationary phas e (a s w e hav e don e i n Theore m 9) , va n de r Corpu t [4 ] mad e n o
use o f th e fourt h derivative , an d obtaine d th e large r erro r ter m 0{X^ ' X 3 )
in plac e o f ou r R 2. Heath-Brow n (se e pp . 90-9 1 o f Titchmars h [44] ) ha s note d
that a n alternativ e argumen t give s an erro r ter m 0(A^" 1 A3/ ) . Th e advantag e of
Theorem 9 i s tha t i t yield s th e goo d erro r term s i n Theore m 1 0 tha t ha d bee n
obtained previousl y onl y unde r additiona l assumption s involvin g analyticity , a s
in Heath-Brow n [1 5] . A stronge r versio n o f Theore m 9 i s foun d i n a n obscur e
monograph o f S . H . Min , an d als o i n a forthcomin g monograp h o n exponentia l
sums b y M . N . Huxley . Deshouiller s [1 2 ] ha s discusse d curve s simila r t o thos e
in Figure s 3 an d 4 . Fo r furthe r consideratio n o f th e geometri c aspect s o f th e
partial sum s o f a serie s se e Berr y an d Goldber g [1 ] , Coutsia s an d Kazarinof f
[10], Dekkin g an d Mendes-Franc e [1 1 ] , Mendes-France [33-35] , an d Moor e an d
van de r Poorte n [36] .
§4. Exponen t pair s were invented b y van der Corput; th e approach was refine d
by Phillip s [38] . Ranki n [39 ] considere d th e proble m o f finding th e optima l
sequence o f operation s whe n th e objec t i s t o minimiz e k - h /, an d Graha m [1 3 ]
has developed tools for dealing with such issues. Fo r further development s arisin g
from th e initiativ e o f Bombier i an d Iwaniec , se e Heath-Brow n an d Huxle y [1 8] ,
Huxley [1 9-25] , Huxle y an d Kolesni k [26] , Huxle y an d Wat t [28 , 29] , Iwanie c
and Mozzoch i [30] , and Wat t [49] .
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Chapter 4 . Exponentia l sum s II : Vinogradov' s Metho d
1. I n t r o d u c t i o n . W e no w develo p a metho d invente d b y I . M . Vinogrado v

for estimatin g th e Wey l sum s X^n= i e (P(n))- Vinogradov' s metho d provide s
estimates superio r t o thos e o f Wey l whe n d e g P i s larg e (sa y > 1 0 or so) . Vino -
gradov too k hi s motivatio n fro m th e followin g argumen t o f Mordell .
THEOREM 1 . (Mordell ) Let P(x) = ]Cj= i c ox^ be a polynomial with integral

coefficients. If p is prime, p > k > 2, p\c k, then
£>(^)«^-".
The polynomia l P(x) considere d abov e ha s constan t ter m 0 . Thi s occasion s
no los s o f generality , sinc e a non-zer o constan t ter m woul d merel y multipl y th e
exponential su m b y a unimodula r constant .
PROOF. Writ e a = ( a i ; . . . , a^), pu t P(x, a ) = Ylj=\ j '> an< ^ se ^
a xJ
5(a) = X ) c ( P ( n , a ) / p ) .
71=1
We firs t sho w tha t
(1) ]T|S(a)| 2fc

<fc!P;2fc
where th e su m i s ove r al l /c-tuple s a fo r whic h 1 < aj < p fo r 1 < j < k. Pu t

Sj(m) = m[ + • • • + m Jk. O n multiplyin g ou t th e powe r an d invertin g th e orde r
of summation, w e find tha t th e lef t han d sid e i s
'(gj(m)-gj(n))flj
mi = l rrif c = l n i = l rik = lj = l aj= l P
The su m ove r a 3 vanishe s unles s Sj(m) = Sj(n) (mo d p). Thu s th e abov e i s
k L
(3) P J2
m,n
Sj(m)=Sj(n)(p)
(l<j<k)
65
66 CHAPTER 4. VINOGRADOV'S METHOD
For 1 < j < k le t crj(m ) denot e th e j - t h elementar y symmetri c functio n o f th e

mz. Th e s 3 an d th e <J 3 ar e linke d b y th e Newton-Girar d identities ,
^ ( - l ) V i S j _ i = (-l) 3~lj(Jj (mo dp)
for 1 < j < k. (Fo r convenienc e w e se t <7Q = 1 . ) Sinc e p > k, thes e identitie s
allow us to show , b y induction o n j , tha t i f Sj(m) = Sj(n) (mo d p) fo r 1 < j < /c
then cTj(m ) = <7j(n ) (mo d p ) fo r 1 < j < k. Bu t the n th e tw o polynomial s
Y[(x ~ m i)> Yl( x ~~ n i) a r e identicall y th e sam e (mo d p) , s o tha t th e m % and th e
Hi ar e th e same , u p t o permutations . Henc e fo r an y choic e o f m ther e ar e a t
most A: ! choices o f th e n fo r whic h Sj(m ) — Sj(n) (mo d p) fo r 1 < j < k. A s
there ar e p k choice s o f m i n (3) , we have (1 ) . Sinc e 5(0 ) = p , i t i s clear tha t th e
sum i n (1 ) i s a t leas t a s larg e a s p 2k.
Suppose tha t r , s are integer s wit h p\r. Pu t F r s ( x ) = P(rx + s) — P(s). Sinc e
the ma p x H ^ rx -f - s merel y permute s th e residu e classe s (mo d p), w e se e tha t
1
(4) E K ^ T ) =e{-P(s)/p)J2e(P{n)/p).
n=l ^ n= l
Let i f denot e th e numbe r o f distinc t polynomial s (mo d p) amon g th e P r^s(x).

Then ther e ar e K term s o n th e lef t han d sid e o f (1 ) tha t contribut e \S{c)\ 2k
where c = (ci, . .. , c^), s o tha t
2fc 2k
(5) |5(c)| < ^p .
We prove tha t K i s larg e b y boundin g th e multiplicit y t o whic h a give n polyno -

mial ma y occu r amon g th e P rjS(x). Conside r thos e r , s fo r whic h th e coefficient s
of x k an d x k~l i n P r , 5 (x) hav e prescribe d values , sa y
ckrk = b k (mo d p)
ckkrk-1s + c kîrk~1 ~ 6 fc_x (mo d p) .
Here th e first congruenc e ha s a t mos t k solution s i n th e unknow n r , an d i f r i s

assigned t o on e o f thes e value s the n th e secon d congruenc e i s linea r i n s (wit h
the coefficien t o f s no t divisibl e b y p) ) s o ther e i s precisel y on e valu e o f s fo r
which th e secon d congruenc e holds . Henc e o f th e p(p — 1 ) polynomial s P r^s(x)
with r =£ 0 (mo d p) , n o one occur s mor e tha n k times , an d thu s K > p(p— l)/fc .
We inser t thi s i n (5) , an d tak e 2/c-t h root s t o obtai n th e th e state d result .
With Mordell' s argumen t a s a guide , w e pu t a = (QI , . . . , a k) G T fc, w e se t
(6) P(x,aL) = ^r /ajx*,

3=1
1. INTRODUCTIO N 67
and le t
(7) S(a ) = f>(P(n,a)) .

n=l
Our firs t tas k i s to boun d th e integra l

2b
(8) MN;b)= f \S(a)\ doc.
In § 2 we shal l prov e
THEOREM 2 . (Vinogradov' s Mea n Valu e Theorem ) Let k and b be arbitrary
positive integers. In the notation (6)-(8 ) above, we have
2
(9) J k(N;b) < k<b N^-V-WW
where 6 = e~ 6///c .
If w e expan d th e powe r i n (8 ) an d exchang e th e orde r o f summatio n an d
integration, w e find tha t
(10) J fc(7V; 6) = £ f t ( I e(Mm) - S

» K ) da-
J b
where Sj(m) = m{-\ t-m b and m an d n ru n independentl y ove r { 1 , . . . , N} .
This correspond s t o Mordell' s (2) . Th e integra l vanishe s unles s Sj(m) = Sj(n),
and henc e Jk(N; b) i s th e numbe r o f solution s o f th e simultaneou s equation s
(11) s j{m) = s j{n) {l<j<k)
with variable s m , n E { 1 , . . . , iV}6. Fo r eac h o f th e N b possibl e value s o f m w e

may obtai n a solutio n o f (1 1 ) b y takin g n = m . Thu s
b
(12) Jk(N;b)>N .
A further lowe r bound fo r Jfe(iV ; b) can be derived by considering the contributio n
to (8 ) mad e b y a nea r 0 . Pu t
fi={aeTfc:K||<^-}.
If a E D an d 1 < n < N the n |ckjn J| < g^ , an d henc e |P(n , a )| < 1 /8 , s o tha t

5Re(P(n,a)) > l/>/2 . Consequentl y | 5 ( a ) | > 5R5(a ) > N/y/2 fo r a G H. A s
m e a s ^ = (4/c)~ A:A/'"fc(fc+1 )/2, w e deduc e tha t
1 26 +
(13) J fc(iV;6)»fc)b7V -^ )/2.
In additio n t o th e pea k i n th e integran d nea r a = 0 , w e anticipate th e existenc e

of othe r peak s nea r point s a whos e coordinate s ar e rational number s wit h smal l
denominators. However , w e may hop e tha t whe n b is large, sa y b ^> /c 2, the su m
of suc h contribution s converges . Thi s lead s u s t o formulat e
CONJECTURE 1 . For any positive integers k and b,
Jk{N\b) <C M iv 6 + e + JV 26 - fc ( fc+1 )/ 2+c .

We se e tha t Theore m 2 fall s shor t o f thi s conjectur e becaus e o f th e ter m
involving S in (9) . Whe n b is small compare d wit h k 2, th e boun d o f Theore m 2
is s o wea k a s t o b e useless , bu t whe n b « /c 2, the boun d i s alread y quit e useful .
If b is a littl e large r still , sa y b > 4/c 2 log /c, then 6 is quit e small , an d th e boun d
of (9 ) i s virtually a s powerfu l a s th e Conjecture .
If | 5 ( a ) | i s larg e the n |5(/3) | i s larg e fo r al l (3 i n a certai n neighborhoo d
fl(a) o f a . However , thi s neighborhoo d i s rathe r small , roughl y measQ(a ) w
^y-fc(fc+i)/2^ w m c ] 1 forces u s t o us e larg e value s o f 6 . B y mimickin g Mordell' s
argument, w e can sho w tha t Jk{N; k) < C k\Nk (se e Lemma 2(a ) below) , bu t thi s
is of littl e help , a s w e requir e a goo d boun d fo r Jk(N; b) when b^> k 2.
Let P(x) = P(x, a ) b e a give n polynomial , an d pu t Pi(x) = P(x •+• I) — P{1 )-
Corresponding t o Mordell' s (4) , w e see tha t
f > ( f i ( n ) ) = e ( - P ( Z ) ) f > ( P ( n ) ) +20\l\

n = l n=\
where \6\ < 1 . Le t a(Z ) denot e th e sequenc e o f coefficient s o f Pi(x). I f 1 5(a) |

is larg e the n |5(a(/)) | i s large , an d henc e |£(/3) | i s larg e fo r al l (3 in a suitabl e
neighborhood tti o f ot(l). I f a^ i s near a rational numbe r a/q whos e denominato r
is neithe r to o larg e no r to o small , the n w e obtai n a larg e numbe r o f disjoin t
neighborhoods Qi. B y proceedin g i n thi s way , i n § 3 we prov e
THEOREM 3 . Suppose that P{x) is a polynomial of degree k with real coeffi-
cients whose leading coefficient a^ satisfies the inequality
with (a , q) = 1 and N < q < N k~x. Then

N
]Te(P(n)) < fc iVûîogfc .
n=l
Our approac h allow s u s to treat q outside thi s range , bu t th e uppe r boun d be -
comes weaker . Man y differen t technique s hav e bee n devise d fo r derivin g bound s
for Wey l sum s fro m Vinogradov' s Mea n Valu e Theorem . Th e metho d outline d
above i s conceptuall y simple , an d follow s th e mode l o f Mordell' s argument . I n
§4 we giv e a ne w an d relativel y elementar y argumen t o f thi s sort , whic h give s
the followin g inequality .
THEOREM 4 . Suppose that P(x) is a polynomial of degree k with real coeffi-
cients whose leading coefficient a ^ satisfies the inequality
2
I q\ q
2. VINOGRADOV' S MEA N VALU E THEORE M 69
with (a,q) = 1 . Then
71=1^ ' ^ '
Used i n conjunctio n wit h th e Vinogrado v Mea n Valu e Theorem , thi s give s a

second proof o f Theorem 3 . I f we had Conjectur e 1 , then b y taking b — k(k — l)/2
we could prov e th e stronge r estimat e
£e(P(n))«^-(I + !^ + ^ ) ^,
71=1 ^ '
which improve s o n Weyl' s estimat e fo r k > 6.
2. Vinogradov' s Mea n Valu e Theorem . W e begi n b y notin g tha t th e

sum S(ot) define d i n (7 ) i s a n exponentia l polynomia l i n k variables . Tha t is , i t
is o f th e genera l for m
T(a) = £ r ( A ) e ( A . a )
A
where A runs ove r a finit e subse t o f Z fc. Give n suc h a T ( Q ) , w e ca n recove r it s

coefficients r(A ) b y mean s o f th e Fourie r coefficien t formul a
r{\)= [ T(a)e(-A-a)da .
Hence i f T %(OL) = £ A ^(A)e( A • a ) fo r 2 = 1 , 2 the n
(14) / T 1 ( a ) 7 i H l e ( - / x . a ) d a = Vn(A)r^( A -/x) .

A* X
Since 5 ( a) i s an exponentia l polynomia l i n the aj, s o also is S(a.) b, sa y 5 ( a ) 6 =
J^ x r(A)e( A • a ) . Her e r(A ) i s the numbe r o f solution s o f the syste m
(15) n £ + - - - + n £ = X h {l<h<k)
in integer s n 3) 1 < rij < N. Thu s b y (1 4 ) wit h / x = 0 , w e see tha t
26
J fc (iV;6)= / |S(a)| da-y>(A)2,
and w e se e tha t thi s i s the numbe r o f solution s o f th e syste m

(16) raj + • • • + ra£ = r ^ + - - - + n £ ( 1 < h < k)
where 1 < m 3,rij < N. A s w e proceed , w e repeatedl y relat e a n integra l t o
the numbe r o f solution s o f a correspondin g syste m o f equations , a s above . T o
facilitate this , w e le t iV(Si , §2; M) denot e th e numbe r o f solution s o f th e syste m
bb
m
(17) E " = ^ + En > (l<h<k)
3=1 3 =1
with m G §1 and n G §2- I f § i = § 2 the n fo r brevit y w e write iV(S;/x) , and

if i n additio n / x = 0 the n w e write N(§). Thu s Jk(N;b) = N(§) wher e 8 =
{ 1 , 2 , . . . , N}b. W e first not e som e elementar y propertie s o f these quantities .
LEMMA 1 . In the above notation,

(a) 7/S i C S2 then N(S X) < N(§> 2).
(b) / / § = U ^ i S m then N(S) < M £ £= 1N{S m).
(c)7V(S; M )<iV(S).
(d) J / d = (d,d,.. . ,d ) then iV(§ i + d, S2 + d) = 7V(§i,S 2 ).
P R O O F , (a ) Obvious .
(b) Le t r(\) denot e th e number o f solutions o f the system (1 5 ) with n G S ,
and fo r 1 < / i < M le t r M(A) denot e th e number o f solutions o f this syste m wit h
n G 8^. Clearl y r(X) < ri(\) - f • • • + 7"M(A) 5 an d hence b y Cauchy's inequalit y
2
AT(S) = £ r ( A )
A
,M . 2
v
A /x=l7
M
A M= 1
M
= Af£>(S M ).
(c) I t i s instructive t o consider tw o proofs. Firstly ,
7V(S;/x) = £ r ( A ) r ( A - M )
A
which b y Cauchy's inequalit y is

1 /2 1 /2
/ \ / \
2 2
^(l>(A) ) (E^-M) )
= £r(A) 2=AT(S).
A
Secondly, b y (14) we see that
2
AT(S; M )= / | T ( a ) | e(-Ai-a)da,
JT fc
which b y the triangle inequalit y is
2
< / \T(a)\ dct = N(S).
fc
7T
2. VINOGRADOV' S MEA N VALU E THEORE M 71
(d) W e observe tha t ( m + d , n + d ) i s a solutio n o f the syste m
3=1 3 =1
if an d onl y i f (m , n) i s a solution .
With thes e observation s i n hand , w e establish th e simples t estimate s fo r th e
mean valu e J k(N;b).
LEMMA 2 . Let J k(N;b) be defined as in (8) . Then
(a) J k{N- b) < k\N 2b-k for b>k.
(b) Jk(N-b) <b\N b forb<k.
(c) Jfc(iV;6)>7V6.
(d) J k{N-b) > (2 6 + l)- fc iV 26 - fe ( fc + 1 )/ 2 .
PROOF, (a ) In counting the number o f solutions o f the system (1 6) , we assign

values to all the variables excep t fo r m i , . . . , m k . Then m i , . . . , m k mus t satisf y
a syste m o f equations o f the form Y^j=i rUj = Xh for 1 < h < k. B y the Newton -
Girard identities , thi s determine s th e elementary symmetri c function s o f the rrij,
and henc e th e rrij are uniquel y determined , apar t fro m thei r order . Thu s ther e
are < k\ possibl e choice s o f m i , . . . ,m k. Sinc e w e have N 2b~k possibl e choices
for th e othe r variables , thi s give s th e result .
(b) Expres s Nb(N;b) a s th e numbe r o f solution s o f th e syste m (1 6) . I f w e
restrict th e variable s b y setting rrij = n 0•, = 1 for k < j < b then th e numbe r o f
solutions i s N k(N\b). Henc e N k(N;b) < N b(N;b) i f k < 6 . Th e state d boun d
now follow s b y applyin g par t (a ) with k = b.
(c) A s alread y noted , w e obtai n N b solution s o f th e syste m (1 6 ) b y settin g
rrij = rij fo r al l j . Alternatively , J k(N;b) > N k(N;l)b b y Holder' s inequality ,
and fro m (1 6 ) we see that J k(N; 1 ) = N.
(d) Le t S = { 1 , 2 , . . . , N } 6 . Then
£ > ( S ; M ) = JV26.
Since w e may suppos e tha t |/x^ | < bN h, w e see by Lemm a 1 (c ) tha t th e abov e
sum i s
< JV(S ) J2 X = N($)(2b + l) fcW*<*+1 >/2.
Since N(§) = J k(N], 6) , this give s th e desire d lowe r bound .

We now come to the main lemm a in our argument, on e that i s still reminiscen t
of Mordell' s reasoning .
LEMMA 3 . (Linnik' s Lemma ) Suppose that p > k, and let M(X) denote the
number of solutions of the system of congruences
m^ + -'- + mk = \ h (mo d ph) ( 1 < h < k)

where the rrij are distinct (mo d p) and 1 < m 3 < pk. Then for any X,
M(\)<k\pk^-^/2.
PROOF. Choos e residu e classe s ph (mo d pk) s o tha t ph = ^h (mod;/ 1 ).

There ar e p k^k~l)l2 suc h fi. Thu s i t remain s t o sho w tha t ther e ar e a t mos t
k\ choices o f the m s o that th e rrij are distinct (mo d p), 1 < m 3< _p fc, and
k
Y.m^fih (mod/ ) ( l < / i < f c ) .
3=1
Since (k\,p) — 1, we see by the Newton-Girard identitie s tha t i f

kk
modpk
Ylmhj = Ylrf ( ^( i < ft<fc)
j=l j =l
then th e respectiv e elementar y symmetri c function s o f th e rrij an d th e n 2 ar e
congruent (mo d p k), an d hence the two polynomials P(x) = Y[j( x~mj)i Q( x
)~
x n ar e k
Yij( — j) identicall y congruen t (mo d p ). Sinc e P(m\) = 0 , w e deduc e
that Q(mi) = 0 (mo d pk). Bu t if the rij are distinct (mo d p) then i t follows tha t
rij = m i (mo d pfc) for some j. I n this way we see that th e rij are a permutation of
the rrij. Henc e the p,^ determine th e mj uniquel y (mo d pk)y u p to permutations .
This complete s th e proof.
We now establish a n inductiv e ste p i n which J/c(AT ; b) is bounded i n terms of
Jk{N',b— k). W e argue s o as to make Linnik' s Lemm a applicable .
LEMMA 4 . Suppose that b>2k,k>2, and that N > (cik) 4k. Then
JkiN^^^N^N^-l^fj^N'-^b-k).
PROOF. Le t S = { 1 , 2 , . . . , N}b, an d write S = TUl X where T consists of those

members o f 8 for whic h th e coordinates m i , m 2 , . . . , m^ tak e a t leas t k distinc t
values, an d wher e U consist s o f thos e member s o f S for whic h th e coordinate s
take a t mos t k — 1 distinct values . The n
(18) J k{N] b) = JV(S) < 2N{7) 4 - 2iV(ll).
Since N(U) count s member s o f U x It , i t i s clea r tha t N(U) < (cardll) 2 . Fo r

1 < j ^ k — 1 choose a n intege r Vj, 1 < v 3 < N. Ther e ar e a t mos t (k — l ) 6
members o f U whose coordinates ar e taken fro m th e set {v\ , V2, . •. , Vk-i}. Also ,
there ar e TV^ -1 ways of choosing th e Vj. Henc e card K < (f c — l) 6 ^^"" 1 , an d thus
2b 6
(19) N(U) < {k - \) N2k~2 < f c ; 6 AT .
Let T* consist of those members of T for which the first k coordinates mi,... , mk
are distinct . T o each poin t m G T we associate a point m * E T* b y moving th e
first k distinct coordinate s o f m int o the first k positions. Th e equations (1 6 ) are
invariant unde r suc h permutation s o f coordinates, s o the pair (m , n) i s counte d
2. VINOGRADOV' S MEA N VALU E THEORE M 7 3
by N(T) i f an d onl y i f (m*,n* ) i s counte d b y 7V(T*) . Sinc e eac h membe r o f T*

corresponds t o a t mos t ( k) member s o f T , i t follow s tha t
(20) N{7) < 0j\ N(T).

Now le t ? b e a se t o f A; 3 primes i n th e interva l (2N 1 ^k,4N1 ^% an d le t T*(p )
consist o f thos e member s o f T fo r whic h th e firs t k coordinate s rai,rri2,... ,rrik
are distinc t (mo d p) . W e sho w tha t
(21) \jT(p) = T.
To se e this , not e tha t i f m i , m 2 , . .. , rrik ar e distinc t the n
o< n ^ ~ m ^ <^ /c(fc i)/2

- .
On th e othe r hand , i f there i s no prime p G? suc h tha t th e number s m i , . . . , rrik
are distinc t (mo d p) , the n
(22) nHn^-™*) -
pE? i<3
But
l[p>(2N^kf >N k(î)/2m
p£?
Since thi s i s inconsisten t wit h (22) , w e deduc e tha t ther e i s a p G 7 fo r whic h
the first k coordinate s m i , m 2 , . . . rrik are distinc t (mo d p). Henc e w e have (21 ) .
By Lemm a 1 (b ) i t follow s tha t
3
(23) AT(T*)<fc îV(T*(p)).
pey
Now le t T*(p , I) denot e th e se t o f thos e member s o f 7*{p) fo r whic h rrik+i =
m/c_(_2 = • • • = rrib = I (mo d p) . Th e nex t ste p o f ou r proo f i s to establis h tha t
26 2fc
(24) N(T(p)) <p - max7V(T*(p,0).
To thi s end , le t
T{ct)= ] T e(P{m uOL) + '.- + P(m k,a))

m6M(p)
where M(p ) = {(mi , m2 . . . , m^) : m* distinct (mo d p) , 1 < ra; < TV} . Writin g
T(a)5(a)6-fc = ^ r ( A ) e ( A - a ) ,
A
we that r(A ) i s th e numbe r o f solution s o f (1 5 ) wit h m E T"(p). Thu s b y (1 4) ,

2
tfp*(p)) = / \T( a)f\S(a)\ »-2kda.
We now group th e terms i n S(ot) accordin g t o residu e classe s (mo d p):

p - lT V p- l
S(«) = E E e(P(n,a))=5>(<*) ,
i=0 n = l f= 0
n=/ (p )
say. The n b y Holder's inequalit y

I P—1 |26-2f c P- l
| 5 ( a ) | 2 6 - 2 f c= 2k l
5>(a) <p»- - Y;\Si(<*) 2b-2k
z=o ' z=o
so tha t
N(T(p))<p2b-2k-1S2 f \T(a)\ 2
\Si(cx)\2b-'2k dot
/=0 '
2
2b 2k
<p - m<ix [ |T(a)| |5,(a)|26-2/cda.
Since thi s las t integra l i s 7V(T*(p, /)), we have (24).

The preliminar y reduction s mad e thu s fa r allo w u s to apply Linnik' s Lemma .
By Lemm a 1 (d ) we see that i f 1 = (/,/,.. . , Z) then 7V(T*(p,/) ) = N{7*(p,l)-
1 ).
This latte r quantit y is , by definition, th e number o f solutions o f the syste m
m\ + • • • + m\ = n hx + • • • + n\
h
(25) +p (tf + • • • + tf_fc -rfi ritk) 1( < h < k)
where the m3 ar e distinct (modp) , l — l < m3 < N—l, the n3 ar e distinct (modp) ,
l — l<n3<N — l, and the £j, ^ ar e integers in the interval [( 1 — Z)/p, (iV — J)/P]-
To estimate th e number o f solutions of the system (25) , suppose that th e n3 hav e
been chosen ; ther e ar e < N k possibilities . Pu t ^ = n\ + • • • + n\. Fo r there t o
be a solution o f (25) , the m 3 mus t satisf y th e congruence s
m!l H h mjj = ^ (mo d p fc).
By Linnik' s Lemm a th e numbe r o f solution s o f thi s (mo d pk) i s < k\p k^1k
~ ^2.
k
But p > N fo r all p G P, and thus eac h m 3 i s uniquely determine d b y its residue
class (mo d pk). Wit h th e n3 an d m3 determined , t o obtain a solution o f (25) the
£j an d 7)j mus t satisf y a syste m o f the for m
(26) ^ + ...+^_ k = ^ + ^ + ... + ^_k (l<h<k).

By Lemma 1 (c ) we see that th e number of solutions of this system is largest whe n
v — 0; thus we assume that thi s is the case. Choos e di so that 0 < (l — l)/p+di <
1. The n b y Lemma 1 (d ) the number o f solutions i s unchanged i f we replace th e
interval [( 1 - l)/p, (N - l)/p) b y [1 , {N - l)/p + d t]. Bu t fo r p G T,
1
1 k
N-l N N ~/ , ,/ ,
2. VINOGRADOV' S MEA N VALU E THEORE M 7 5
Hence by Lemma 1 (a ) it suffices t o consider variable s in the interval [l , [TV1-1^]].

Thus th e number o f solutions o f the system (26 ) is < Jk([N l~l/k];b — fc),and
hence
N{T(p,l))<k\pk^-l)/2NkJk{[N^^k]-b-k).
On combinin g thi s wit h (1 8) , (19), (20), (23), and (24) , we obtain th e desire d
estimate, an d the proof o f Lemma 4 is complete.
P R O O F O F THEORE M 2 . I f k = 1 then
|S(a)|<min(A^),
iiail
so tha t
Ji(N;b)< [ mi n (7V2 M|a||- 2 6 ) da < 4N 2b~\
Jo
which suffices . Assum e no w that k > 2 . Suppos e firs t tha t 1 1 4- x
gives
(1 - 6)k(k + l ) / 2 < 6( 1 + l/fc)/ 2 < 6.
Assume nex t tha t k < b < 2k - 1 . The n J k{N;b) < k\N 2b~k b y Lemma 2(a).
To sho w tha t thi s suffices , w e demonstrate tha t
(27) ( 1 - 6)k{k + l ) / 2 < k

in thi s range . Her e th e left han d sid e i s an increasin g functio n o f 6, so we ma y
suppose tha t b = 2k - 1 . Now
/2 x- i v- ^1 /2 N r2 2 2k-
(/c + 1 ) 2 k 2
so tha t
2
e-(2k-l)/k > 1
*+ l
which give s (27).
It remain s t o consider th e situation b > 2k, k > 2 . W e may also assum e tha t
TV > (ci/c) 4/c, for otherwis e
A(TV;6)<7V26«fc)6l.
We induc t o n b. B y the inductive hypothesis ,
JkHN'-^^b-k) ^ kjbN(^-k)-(l-6b^)k(k+l)/2)(l-l/k)^
This wit h Lemm a 4 gives

6
MN; b) «M TV +N 2b-(i-(i-i/k)6b-k)k(k+i)/2t
Now ( 1 - l/fc)«6-f c < e~ l/k6b_k = 6 b. Als o 1 - <5 6 > 1 - 6/fc 2, s o tha t ( 1 -

6b)k(k + l ) / 2 < 6(Jf c + l)/(2fc ) < 6 . Henc e
2fe 1
Jk(N;b) < M A^ -( -^) fc ( fc +1 )/ 2 ,
76 CHAPTE R 4 . VINOGRADOV' S METHO D
and th e proof i s complete.
3. A boun d fo r Wey l sums . T o relate 5 ( a ) t o S((3) when (3 is nea r a ,

we let
5* ( a) = ma x £ e{P(n,cx))
M<N Kn<M
and w e prove th e following result .
LEMMA 5 . / / \ctj - (3j\ < ^mi forl<j<k then
1
5*(a)<5*(/3)<(l+7r)5*(a).
1+7T
P R O O F . B y symmetry i t suffices t o establish th e second o f these inequalities .

Let f(u) = £ 1 < n < u e ( P ( n , a ) ) . The n
1V1
e(P(u,(3)-P(u,ct))df(u),
/
71=1
which b y integration b y parts is

= e(P(M,(3)-P(M,cx))f(M)
M
f(u)(P\u,P) - P ,{u)oc))e(P(u,P) - P{u,ot)) du.
/
Here th e first ter m ha s absolute valu e no t exceedin g 5*(a) . T o estimate th e
integral w e first use the triangle inequalit y t o see that
\P'(u, (3) - P'(u, a )| < £ \pj - ajlju*- 1 < ± ^ju^/N*
for u > 0. Henc e b y a second applicatio n o f the triangle inequality , th e integral

has absolut e valu e no t exceedin g
/Njdu= \s*(cx).
2k - "7 =1
This give s th e stated inequality .

Having introduce d 5* , we must no w relate moment s o f 5* to those o f 5.
LEMMA 6 . For positive integers N, b, k,
2b
[ S*{cx) d<x < (logeN) 2b [ \S{ct)\ 2b
d<x.
PROOF. Le t K{a) - ma x (TV, l/(2||a||)). W e begin b y showing tha t

26 ,T V 26
(28) ma
''
1 <M<N
x 53
Kn<M
Cn < (logeAT ) 26-
7 5> e(na) K(a) da
3. A BOUN D FO R WEY L SUM S 77
for arbitrar y comple x number s c\ ,... c^ . T o see thi s w e first not e tha t
^1Cn = / [Yl c
ne{na)) ( V ] e(-na) ) da.
Here th e secon d facto r i n th e integran d ha s absolut e valu e no t exceedin g K(a)

(recall (2 ) i n Chapte r 3) . Sinc e
(29) / K{a) da= = \ogeN

[K{a)da
Jr
we obtain (28 ) b y Holder' s inequality .
We no w tak e c n = e(P(n, a ) ) i n (28) , an d integrat e bot h side s ove r a e T k.
A secon d appea l t o (29 ) the n give s th e state d inequality .
With thes e lemmas i n place, we are now in a position t o derive an estimate fo r
a Weyl sum from Vinogradov' s Mea n Valu e Theorem, i n a manner tha t emulate s
Mordell's argument .
PROOF O F THEORE M 3 . Conside r th e polynomia l
P(x + Z , a ) - P ( Z , a )
where Z i s som e integer . Thi s i s a membe r o f T[x] tha t vanishe s a t x = 0 , an d

hence thi s polynomia l i s P ( x , a ( / ) ) fo r som e uniqu e poin t ot{l) € T* . Indeed ,
by th e binomia l theore m w e ma y calculat e th e coefficient s aj(l) o f P(x,a(Z) )
explicitly i n term s o f th e coefficient s aj o f P(x , a ), an d w e find tha t
l
(30) a 3(l)= £ aA )ri-3
N J
j<i<k
for 1 < j < k. Althoug h th e coefficien t vector s a , a(Z ) ar e quit e different , th e

associated Wey l sum s ar e closel y related , a t leas t whe n \l\ is no t to o large . T o
see this , not e tha t
iV N+l
S(a(i)) = j ; e ( P ( n , a ( l ) ) ) = c ( - P ( ! , a ) ) £ e(P(n,oc)).
Since th e su m o n th e righ t differ s fro m 5 ( a ) i n onl y 2|Z | terms, w e deduce tha t
(31) | S ( a ( 0 ) | > | S ( a ) | - 2 | J | .
In particular , i f | S ( a ) | i s larg e the n \S(OL(1 ))\ i s als o large , provide d tha t |Z | <
15(a) |/4. Pro m Lemm a 5 we see that i f | 5 ( a ) | i s large, then 5 * i s large through -
out th e neighborhoo d
(32) n ( a ) = {{3eT k: |/3 , - a,- | < ^ - ( 1 < j < k)}
of a. A single neighborhood o f this kind is perfectly consisten t wit h Vinogradov' s

Mean Valu e Theorem . After all , | 5 ( a ) | is larg e whe n a = 0 . Indeed , 5(0 ) =
N. However , i f th e neighborhood s £2(a(Z) ) ar e disjoint , an d i f w e hav e a larg e
number o f them, the n thei r tota l effect, combine d wit h Vinogradov' s Mea n Valu e
Theorem, allow s u s t o deriv e a non-trivia l uppe r boun d fo r 1 5(a)! .
In orde r t o sho w tha t a larg e numbe r o f th e neighborhood s fl(ct(l)) ar e dis -
joint, w e use our hypothesis concerning the rational approximatio n t o the leadin g
coefficient o^ . Fro m th e definitio n (32 ) o f thes e neighborhood s w e se e tha t i f
fi(a(Zi)) an d fi(a(/2)) hav e non-empt y intersectio n the n
K-i('i)-« f c -i(fe)ll<^n.
By takin g j = k — 1 i n (30 ) w e se e tha t a ^ - i ( 0 = &k-i + kctkl. Thu s th e
inequality displaye d abov e assert s tha t
H(Ii-l2)fca fc ||<^rr.
By th e triangl e inequality , th e lef t han d sid e abov e i s
I (ii - l2)ka\\ \h - h\k
>
Q q2
Suppose w e tak e L = [AT 23/24] + 1 , an d restric t I t o th e rang e 1 N an d w e ma y assum e tha t N > (2k) 24. Thu s th e abov e i s
23 24
1 JV / A;
2
~q q
23 24
Since q>N> 2/cAT / , th e abov e i s
1
1 _ 1
~q ~ Yq ~ Yq
Finally, sinc e q < N k~l, th e abov e i s
1
> 2Nk~1'
We ma y assum e tha t k > 3 , sinc e otherwis e a stronge r estimat e i s give n b y
Theorem 2 o f Chapte r 3 . Henc e w e se e tha t th e las t ter m i n th e chai n o f in -
equalities displaye d abov e i s large r tha n th e first . Thi s give s a contradiction , s o
we conclude tha t th e neighborhood s fi(a(/)) ar e disjoin t fo r 1 < / < L.
We ma y assum e tha t | 5 ( a ) | > 4L , fo r otherwis e w e ar e done . Fro m (31 ) w e
deduce tha t |5(a(Z)) | > \ \S{a)\ fo r 1 < I < L. B y Lemm a 5 i t follow s tha t
^(Z 3 ) ^ 2 0 ^ ) l 5 ( a ) l ^ l 5 ( a ) l / 9 uniforml y fo r (3 e «(a(J)) , 1 < I < L. Sinc e
measO(a(0) = k^N'^^ 1 ^2, w e deduc e tha t
L\S(cx)\™ ^ f c ^ 2 2b,
< / 5*(/3) d/3.
hk$2bNk(k+l)/2
By Lemm a 6 an d Theore m 2 , thi s i s
^^(logeiV)26^26-^-*)^^1)/2.
4. A N ALTERNATIVE DERIVATIO N 7 9
Hence
5(a) « M A T I - ^ + ^ ( / C + I ) / ( 4 6 ) lQgeN
2
We tak e b = [3k log A;]. The n
6k(k + l) < e 1 / f c V 2 ( f c + l ) < l / 2

for k > 3, and hence th e exponent o fTV is < 1 — 1 /( 1 Ik2 logk). Thi s give s the
stated result .
4. A n alternativ e derivation . I n thi s sectio n w e prove Theore m 4 . Le t

c i , . . . , CAT be arbitrary comple x numbers , an d put S = X^ n=i c n- Thu s
where n run s ove r {1 ,2,.. . , N}b. Le t Sj(n) = n\ + • • • -f m? h. W e classify th e n

according t o the value o f s = (si(n) , S2(n),... , Sfc_2(n)). Le t
§ = {1 , 2 , . .. , bN} x { 1 , 2 , . . . , bN2} x . . . x {1 , 2 , . .. , bN k~2}.
Since 1 < n\ < N^, w e may restrict ou r attention t o points s G §. Fo r s £ § put
N(s) = { n E { 1, . .. , TV} 6 : S j( n ) = Sj ( l < j < k - 2)} .
Then th e sum in (33) can be partitioned int o subsums ,
& — /J / J c rtl c n2 • • • cnb.

sGS nGW(s )
Since card S = b k"2N(^k~1 ^h~2^2, b y Cauchy's inequalit y w e see that

2
(34) | 5|2b<6fc-2Ar(fc-i)(fc-2)/2£ £ c nicn2.--cn6
s<ES ! neX(s)
On squarin g ou t we obtain a triple su m that ma y be written
m,n
sj(m)=sj(n)
l<7'<&-2
Now tak e c n = e[P{n)) wher e P(x ) = X ^ i ^ x - 7 . Fo r 6-tuples m , n tha t

satisfy th e above constraint s th e summand i s
e({sk(m) - s k{n))ak + (s k-i{m) ~ s / c _i(n))a / c _i).
Now pu t m = mi , m l = m + ^ fo r 2 < z < 6 , and n* = m + ^ fo r 1 - £ M fir(m)(-ro)>- ,
and similarl y
(37) Si (v) = X> -mY = J2 (i)s T(n)(-my-\
Hence th e relation s Sj(m) — Sj(n ) fo r 1 < j < k — 2 imply tha t Sj(u ) = Sj(v)
for 1 < j < k — 2. I n addition , w e observe fro m (36 ) an d (37 ) tha t
Sfc-i(u) - Sjt-i(v ) = sk-i(m) - sjk-i(n) ,
and tha t
sk(u) - s k(v) = sk(m) - s k(n) - km(s k-i(m) - s fc _i(n)).
For brevit y w e put dj = dj(u, v ) = Sj(u) — Sj(v) . The n th e su m i n (34 ) ma y b e

written a s
e
(38) ^2 (dkak + dkâk-i) ^jT e{kd k-imak).
l<j<k-2
Here the U{ an d ^ li e in the set {—TV,.. . , TV}, and m is subject t o the constraint s
1 < m < N,
l-Ui<m<N-Ui (2<i<b),
l-vl<m<N-vi (l<i<b).
In an y case , m runs ove r a n interva l o f lengt h < AT, so th e inne r su m abov e is
« mi n (N, T— rr )
by (2 ) o f Chapte r 3 . Le t R\{h) denot e th e numbe r o f solutions o f th e syste m o f

equations
u
i + ''' + ul = vi ! + ''' + vb ( 1 < j < fc-2) ,
u\~ + • • • + ^ _ 1 = ft+^ _ 1 + • • • + ^ _ 1
x
in integra l variable s fo r whic h \ui\ < AT , 1^1 < AT. Then th e expressio n (38 ) i s
(39) «£* lW min(*pi^).
Now le t m be a n arbitrar y intege r suc h tha t N + 1 < m < 27V. Pu t m i = m ,

set rrii = m + u^ for 2 < i < 6 , an d pu t n x = m +i; x fo r 1 
(41) m-N<m t<m + N (2<i<b),

m-N <rii<m + N ( 1 < i < b).
Let R2{h) denot e th e numbe r o f solution s o f (40 ) subjec t t o th e weake r con -
straints
1 < m l < W ( 1 NRi(h). Clearl y
3N s2 6
Mh)= j ][>(P(n,a) ) e(—hock-i) da
where P(x, a ) = X)j= i a jxJ1 S a polynomia l o f degree k — 1 . B y takin g absolut e

values i n the integra l w e see that R2{h) < #2(0) fo r al l h. (Alternatively , appea l
to Lemm a 1 (c). ) Bu t #2(0 ) = Jfc-i(3AT;&) , s o th e su m (39 ) i s
2bkNk
1_ / ._ mi
N
-J,_l(3iV;6)(iV+ £ K^JM|))'
and b y (9 ) o f Chapte r 3 this i s
gl
«^-V fc . 1 (37V;6)fi^ A+ ^ +
TN
° ^k
The desire d estimat e no w follow s b y insertin g thi s i n (34) .
e
If k = 3 an d b = 2 the n #i(0 ) < A an d i?i(/i ) < AT fo r / i ^ 0 , an d th e
argument abov e give s
1/4
3
\q N N J
the sam e a s Weyl' s method .
5. Notes . §1 . Exposition s o f Vinogradov's metho d ar e found i n Chapte r 6 of

Vinogradov [23] , Chapter 6 of Titchmarsh [1 6] , Hua [7] , Walfisz [25] , Chapter 4
of Chandrasekhara n [4] , Chapte r 1 0 o f Elliso n an d Mendes-Franc e [5] , Chap -
ter 5 of Vaughan [1 8] , Chapter 4 of Baker [2] , and Chapte r 6 of Karatsuba [1 0] .
Our presentatio n i s influenced primaril y b y th e lecture s tha t A . E. Ingha m gav e
on thi s subjec t a t Cambridg e Universit y (the y ar e accuratel y recounte d b y El -
lison an d Mendes-Prance) , an d b y th e approac h o f Bombier i [3] . Fo r th e firs t
investigations o n thi s topic , se e Vinogradov [1 9 , 20 , 21 ] . Th e metho d ha s bee n
further refine d an d explore d b y Linni k [1 2 , 1 3] , Hu a [6] , Vinogrado v [22 , 24] ,
Korobov [1 1 ] , Karatsub a [8 , 9] , Stechki n [1 5] , Arkhipo v an d Karatsub a [1 ] ,

Tyrina [1 7] , Bombieri [3] , and Woole y [26-30] .
Theorem 1 is foun d i n Mordel l [1 4] . B y keepin g trac k o f th e constants , on e
may sho w tha t th e implici t constan t i n Theore m 2 i s < (Ck) Ab / fc+8b/c. Whe n
used in connection with Waring's problem, k is fixed and b is chosen in terms of k,
so this dependenc e i s immaterial. However , whe n use d t o estimate th e Rieman n
zeta functio n on e allow s k t o ten d t o infinity , i n whic h cas e thi s dependenc e i s
of critica l importance . However , a metho d o f Korobo v [1 1 ] (se e § 3 of Bombier i
[3]) allow s on e t o avoi d th e effec t o f thes e constant s i n suc h applications .
§2. Fo r th e introductio n o f Linnik' s Lemm a int o thi s subject , see Linni k [1 2 ,
13].
§3. Lemm a 5 is based o n Lemm a 1 of Bombier i [3] , but ou r metho d o f proo f
is simple r an d yield s bette r constant s (Bombier i woul d hav e e n wher e w e hav e
1 4- 7r). Bombier i ha s note d tha t b y usin g Hunt' s theore m on e ca n replac e th e
factor (logeTV) 26 i n Lemm a 6 by (Cb) 4b wher e C i s a n absolut e constant .
§4. Th e argumen t her e wa s discovere d b y th e autho r i n th e cours e o f a n
attempt t o deriv e improve d bound s fo r Wey l sums . A s i t stands , i t lead s onl y
to th e sam e estimat e tha t i s obtained b y th e classica l approac h recounte d i n §3.
It remain s t o b e see n whethe r th e lin e o f reasonin g her e ca n b e modifie d s o a s
to obtai n a sharpe r estimate . Woole y ha s note d tha t whe n k = 3 and 6 = 2 th e
expression (38 ) i s precisely th e secon d orde r Wey l differenc e equatio n fo r cubes .
References
1. G . I . Arkhipo v an d A . A . Karatsuba , A new estimate of an integral of I.

M. Vinogradov, Izv . Akad . Nau k SSS R Ser . Mat . 4 2 (1 978) , 751 -762 .
2. R . C . Baker , Diophantine Inequalities, LM S Monograph s Ne w Serie s 1 ,
Oxford Universit y Press , Oxford , 1 986 .
3. E . Bombieri , On Vinogradov's mean value theorem and Weyl sums, Au -
tomorphic form s an d analyti c numbe r theory , Univ . Montreal , Montreal ,
1990, pp . 7-24 .
4. K . Chandrasekharan , Arithmetical Functions, Grundl . Math . Wiss . 1 67 ,
Springer-Verlag, Ne w York , 1 970 .
5. W . J . Elliso n an d M . Mendes-France , Les nombres premiers, Hermann ,
Paris, 1 975 .
6. L . K. Hua, An improvement of Vinogradov's mean value theorem and several
applications, Quart . J . Math . Oxfor d 2 0 (1 949) .
7. , Additive Primzahltheorie, Leipzig , 1 959 .
8. A . A. Karatsuba, Estimates of trigonometric sums by Vinogradov's method,
and some applications, Proc . Steklov . Inst . Math . 1 1 9 (1 971 ) , 241 -255 .
9. , The mean value of the modulus of a trigonometric sum, Izv . Akad .
Nauk SSS R 3 7 (1 973) , 1 203-1 227 .
10. , Basic Analytic Number Theory, Springer-Verlag , Berlin , 1 993 .
REFERENCES 83
11. N . M . Korobov , Weyl's estimates of sums and the distribution of primes,

Dokl. Akad . Nau k SSS R 1 2 3 (1 958) , 28-31 .
12. Ju . V . Linnik , On Weyl's sums, Dokl . Akad . Nau k SSS R 3 4 (1 942) , 1 84 -
186.
13. , On Weyl's sums, Mat . Sborni k N.S . 1 2(54 ) (1 943) , 28-39 .
14. L . J . Mordell , On a sum analogous to a Gauss's sum, Quart . J . Math . 3
(1932), 1 61 -1 67 .
15. S . B . Stechkin , On mean values of the modulus of a trigonometric sum,
Trudy Mat . Inst . Steklov . 1 3 4 (1 975) , 283-309 .
16. E . C . Titchmarsh , The Theory of the Riemann Zeta-Function, Second Edi-
tion (D . R . Heath-Brown , ed.) , Oxfor d Universit y Press , Oxford , 1 986 .
17. O . V . Tyrina , A new estimate for a trigonometric integral of I. M. Vino-
gradov, Izv . Akad . Nau k SSS R Ser . Mat . 5 1 (1 987) , 363-378 , 447 ; Math .
USSR Izvesti a 3 0 (1 988) , 337-351 .
18. R . C . Vaughan , The Hardy-Littlewood Method, Cambridg e Trac t 80 , Cam -
bridge Universit y Press , Cambridge , 1 981 .
19. I . M . Vinogradov , On Weyl's sums, Mat . Sborni k 4 2 (1 935) , 521 -530 .
20. , A new method of resolving of certain general questions in the theory
of numbers, Mat . Sborni k 4 3 (1 936) , 9-1 9 .
21. , A new method of estimation of trigonometrical sums, Mat . Sborni k
43 (1 936) , 1 75-1 88 .
22. , General theorems on the upper bound of the modulus of a trigono-
metric sum, Izv . Akad . Nau k SSS R Ser . Mat . 1 5 (1 951 ) , 1 09-1 30 .
23. , The Method of Trigonometrical Sums in the Theory of Numbers',
translated b y K . F . Roth , Ann e Davenport , Interscience , London , 1 954 .
24. , A new estimate for (( 1 + it), Izv . Akad . Nau k SSS R 2 2 (1 958) ,
161-164.
25. A . Walfisz , Weylsche Exponentialsummen in derj neueren Zahlentheorie,
Deutcher Verla g Wiss. , Berlin , 1 963 .
26. T . D . Wooley , On Vinogradov's mean value theorem, Mathematik a 3 9
(1992), 379-399 .
27. , On Vinogradov's mean value theorem, II, Michiga n Math . J . 4 0
(1993), 1 75-1 80 .
28. , Quasi-diagonal behaviour in certain mean value theorems of addi-
tive number theory, J . Amer . Math . Soc . (t o appear) .
29. , New estimates for Weyl sums, Quart . J . Math . Oxfor d (t o appear) .
30. , New estimates for smooth Weyl sums, J . Londo n Math . Soc . (t o
appear).
Chapter 5 . A n Introductio n t o Turan' s Metho d
1. Introduction . I n the two preceding chapters we have given upper bound s

for th e siz e of exponential sums . However , fo r som e purpose s i t i s usefu l t o hav e
estimates i n th e opposit e direction . Fo r example , le t s v denot e th e powe r su m
N
(1) s „ = X > <.

n=l
Here th e b n an d z n ar e comple x numbers , an d v i s a non-negativ e integer . W e
seek assertion s t o th e effec t tha t no t al l the s u ar e small , whe n v run s ove r som e
range. I t i s important tha t thi s rang e no t b e to o short , fo r i f X i s a se t o f fewe r
than N non-negativ e integer s the n fo r an y choice of the z n on e may fin d a choice
of th e 6 n , no t al l o f the m 0 , s o tha t s v = 0 for al l v £ 3Sf . (Th e syste m i s linea r
and homogeneou s i n th e unknow n 6 n , wit h mor e variable s tha n equations. ) A t
the opposit e extreme , i f we allow a n extremel y lon g range the n w e may expec t a
very goo d lowe r bound . Fo r example , b y Dirichlet's theore m w e know that ther e
is a v, 1 < v < S N suc h tha t ||i/argz n || < 1 / 8 fo r al l n . I f b n > 0 for al l n the n
we deduce tha t
N
1
(2) M>-/i]rM^ r
* n=l
for suc h a v. Alternatively , i f th e number s argz n ar e linearl y independen t ove r
Q the n b y Kronecker' s theore m ther e exis t arbitraril y larg e positiv e integer s v
such tha t
n=l
Here th e b n ar e arbitrary , bu t th e resul t i s a littl e unsatisfactory , sinc e w e d o
not kno w ho w larg e w e must tak e ^ , a s a functio n o f e . (An y quantitativ e resul t
in thi s directio n mus t depen d o n a measur e o f th e linea r independenc e o f th e
numbers argz n .)
As our problem i s very broadly defined , w e narrow the focu s somewhat . I n th e
first instanc e w e seek a lower boun d fo r ma x Isj,I wher e u runs ove r a n interva l of
the typ e M + 1 < v < M + JV. Her e M > 0. Th e lowe r boun d i s to b e expresse d
in terms o f |so | and mi n \z n\. (Afte r normalization , thi s i s equivalent t o assumin g
that \z n\ > 1 for al l n.) Eac h aspec t o f thi s i s subjec t t o som e variation : W e
85
86 CHAPTER 5. TURAN'S METHOD
might substitut e 3?Sj , for Js^l , we might replac e th e maximu m b y a n £ p norm , w e

might conside r a longe r range , M + l<v<M + H wher e H > N, an d finally
we might see k result s tha t depen d instea d o n ma x \z n\. I n al l these situation s n o
hypothesis i s mad e concernin g th e natur e o f th e 6 n , bu t w e find tha t stronge r
conclusions ma y b e draw n i f w e assum e tha t b n > 0 fo r al l n , o r i f b n = 1 fo r
all n .
Rather tha n attemp t t o surve y al l know n result s i n thi s area , w e ar e conten t
to exhibi t example s o f th e mai n result s o f th e primar y types . I n § 2 w e deriv e
"Turan's Firs t Mai n Theorem, " i n whic h \z n\ > 1 for al l n. I n § 3 we appl y th e
First Mai n Theore m t o giv e a natura l proo f o f the Fabr y ga p theorem . I n § 4 we
consider a varian t o f th e Firs t Mai n Theore m i n whic h v i s allowe d t o ru n ove r
a longe r range . I n § 5 w e conside r "Turan' s Secon d Mai n Theorem, " i n whic h
max|z n | = 1 . Finall y i n § 6 w e trea t non-negativ e b n. I n th e nex t chapte r w e
shall appl y som e o f thes e las t result s t o giv e lowe r bound s fo r variou s kind s o f
discrepancies i n th e theor y o f unifor m distribution .
2. Turan' s Firs t Mai n Theorem . W e no w addres s th e simples t situatio n

described above .
T H E O R E M 1 . (Turan' s Firs t Mai n Theorem ) Let s u be defined by (I), and

suppose that \z n\ > 1 for all n. Then for any non-negative integer M there is an
index v in the interval M-\-l<v<M + N such that
(3) M > c ( M , J V ) | s 0|
where
(4)
k=0
The constan t her e i s bes t possible , bu t becaus e o f it s complicate d structur e

in practic e i t i s usually replace d b y th e slightl y smalle r quantit y
N- 1 1
*-
(5)
2e(M + N) ,
To see tha t thi s numbe r i s indee d smaller , not e tha t
znys*-"zcn
k=0 fc=0
(N-l)\
2. TURAN' S FIRS T MAI N THEORE M 8 7
Since (A T - 1 ) ! > (JV/e)" - 1 , th e abov e i s
< / 2 e ( M + JV)\ j y " 1
P R O O F . W e ma y assum e tha t th e z n ar e distinct , fo r otherwis e w e coul d

combine terms and replac eAT by a smaller number . Le t a o , . . . , CLN-\ b e comple x
numbers t o b e chose n later . Clearl y
7V-1 I 1
,N- v
(6)
The su m o n th e lef t i s
f; ^+ 1E °* < = E *»^ +1 p(*»)

n = l i^= 0 n= l
where p(z) = Ylv=o a vzV - We choos e th e a v s o tha t

M
(7) p{z n) = z- -'
for 1 < n < N. Thi s i s a non-singula r linea r syste m o f N equation s i n N
unknowns, s o these equation s determin e th e a v uniquely . T o complet e th e proo f
it suffice s t o sho w tha t
I / = 0 fc=0
To thi s en d w e expres s th e polynomia l p(z) i n th e for m

N-l k
k=0 n=l
By th e calculu s o f residue s w e ma y verif y tha t
Cfc
where R i s chosen so that R> | ^ | fo r all k. W e observe that fo r an y non-negativ e

integer M ,
M x
1 / z- -
^—: 0 — r nd z= 0
since th e integran d i s regula r an d < i J 2 . Subtractin g thi s fro m th e forme r

integral, w e deduce tha t
M
c = — <b p(z ) - ^" ~1 ^
In vie w o f (7) , th e integran d i s regula r a t eac h o f th e point s z n. Thu s th e onl y

singularity i n th e integran d i s th e pol e o f orde r M + 1 at z = 0 . B y Cauchy' s
CHAPTER 5. TURAN'S METHOD
Theorem w e may replac e the contour o f integration by a circle \z\ = r with r < 1.
Since p(z)/ Yl^^z — zn) i s regular on and within thi s ne w contour, w e conclude
that
-M-l
k+
2™ . L_ n \(z - Zn )
k 1
(-l) r ^L
z\ • • • z k+\2-Ki
/ n(i-- ) n=l
z~M-Uz
fc
(-i) r
Zlmm' z k+l
where
k+1
-1
lib-j-Y = E <W
n=ln m= 0
for |z | < 1 . Sinc e the power serie s
oo
l Z Z
~ l - m=0
has coefficient s o f modulus < 1 , and since
OO v fc+1 O Oj
1771=0 '
(
77 =0
we deduce tha t |CM,*; | < ( £ k), an d hence tha t
Pi * • -Zfc+ll
On on e hand w e have
N-l k N-l
z= ck z Zn
p( ) Yl T[( ~ ">= J2 a »zU'
k=0 n = l u=0
Correspondingly, w e pu t
N 1 N x
~ JUT . u '
z+1 )k
p^)=YK t Y = ^ A^-
k=0 i/= 0
On comparin g coefficient s w e find that la^ l < A v, an d hence tha t

N - l N-l N-l , ,, .
Ew<X>-p<i)-£(";*)*.
!/=0 i/=0 /c=0
This i s (8), so the proof i s complete.
To see that th e constant i s best possible , observe that i f all the z n ar e very close
to — 1 then C m^ i s approximately (-l) T n ( / c "^ m ), an d hence Ck i s approximatel y
(-l) m + 1 ( m A )" ; c ). Consequentl y th e respective coefficient s o f (—l)M+lp(z) an d of
P(z) ar e approximately equal , an d hence Y2 \av\ is approximately P ( l ) . Finally ,
3. FABRY' S GA P THEORE M 89
choose th e b n s o tha t s „ = 1 for al l v i n th e rang e M+l<v<M + N. Thi s

system ha s a unique solution. Wit h th e b n chose n in this way, we see that th e tw o
sides o f (6 ) ar e nearl y equal . Thu s w e may com e a s clos e a s we like to achievin g
equality i n (3) .
In examples of the above sort i t i s not necessar y tha t al l the z n b e close to — 1;
it i s sufficien t fo r al l th e z n t o b e clos e t o som e commo n value . O n examinin g
the abov e proof , on e finds tha t i n inequalit y i n (3 ) i s strict whe n N > 1 , excep t
when s o = 0 . Thu s th e constant , thoug h bes t possible , i s no t attained .
3. Fabry' s G a p T h e o r e m . A s a representativ e applicatio n o f th e Firs t

Main Theorem , w e prove th e followin g usefu l result .
LEMMA 1 . Suppose that T(x) is an exponential polynomial of N terms and

period 1 , say
N
T(x) = ]T& n e(A n :r)
n=l
where the X n are integers. Let I be a closed arc ofT, and let L denote the length
of I. Then
m a x | r ( a O | > ( - ) wax\T(x)\.
The strikin g featur e o f this boun d i s that i t doe s not depen d o n the siz e of th e
An. Th e constan t o n th e righ t han d sid e i s not bes t possible , bu t b y considerin g
the case T(x) — (l — e(x)) , I = [-L/2, L/2] w e see that th e inequalit y woul d
be fals e i f the facto r wer e replace d b y ( ^ L ) ^ - 1 .
PROOF. B y translating we may assume that T(x) take s its maximum modulu s
at x = 0 . I f 0 £ I the n th e resul t i s trivial , s o w e ma y assum e tha t / = [a , /?]
with 0 < a < f3 < 1 . Pu t 6 = (p - a)/N, M = [a/6]. The n v6 < E I fo r
M + 1 < v < M + N. Tak e z n = e(X n6). Wit h s v define d b y (1 ) , w e se e tha t
sv = T(v6). Thu s b y th e Firs t Mai n Theore m wit h th e smalle r facto r (5 ) i t
follows tha t
N l
N- ~
max|r(cc)l > ma x \sJ > —77 7 TT 1
T ^(0)
1 .
But
a aN
M< -
6 (3-a
so tha t
M+ N<
P-a
and henc e
N P-a n
M+ N~ P
Thus w e have th e state d resul t
90 CHAPTER 5. TURAN'S M E T H O D
Suppose tha t f(z) i s a powe r serie s expresse d i n th e for m
(9) f(z) = J2 a^
n=l
where 0 < A i < A 2 < • • •. Th e Fabr y ga p theore m assert s tha t th e circl e o f
convergence o f / i s it s natura l boundary , i f \ n/n — > 00 a s n — > 00. T o prov e
this, w e shall appl y Lemm a 1 to th e powe r serie s expansio n o f f^ k\z). However ,
this latte r expansio n ha s infinitel y man y terms , wherea s Lemm a 1 applies onl y
to finite sums . Consequentl y w e must first truncat e th e expansion , s o as to mak e
Lemma 1 applicable. W e accomplis h thi s a s follows .
LEMMA 2 . / / / is regular for \z\ < 1 , and ifO < r < 1 , then there is a positive
number C ~ C(r) such that
C)
/(n)(0)
-k < x
n>Ck n\
for all sufficiently large k, say k > ko(f,r).
PROOF. Clearl y (£ ) < n k/k\ < (en/k) k. B y th e Cauch y inequalitie s w e
also se e tha t | / ^ ( 0 ) / n ! | < r~ n / 2 fo r al l n > no(f,r). Thu s th e su m abov e i s
majorized b y
n>Ck
-1
The rati o betwee n consecutiv e term s i s ( n~) r lj/2
< e
k n1 2
/r^1 whic h is < r /3
if n > Ck an d C > 6/ log £. Henc e th e su m i s
c 2
« r (eCr( - )/ 2 ) f c .
By choosin g C larg e a s a function o f r w e may mak e th e bas e o f the exponentia l

< 1 /2 . Fo r suc h a C , th e origina l su m i s < 1 if k > ko{f,r).
THEOREM 2 . (Fabry ) Suppose that the power series (9 ) has radius of con-
vergence 1 , where 0 < A i < A 2 < • • • . Ifliuin-ôo A n /n = 0 0 then the circle of
convergence \z\ = 1 is a natural boundary of f.
P R O O F . Suppos e tha t / i s regula r a t som e poin t on th e uni t circl e \z\ = 1 .
Without los s o f generalit y w e ma y suppos e tha t / i s regula r a t z = 1 . Thu s /
is regula r fo r \z — 1 | < 3TT6, if 6 is sufficientl y small . Le t r b e fixed, 0 < r < 1 .
(Any r wil l do. ) Le t 6' b e determine d b y th e relatio n \r — e(6/2)\ = 1 — r - f 6*.
Thus 6' > 0 . Pu t S = {z e C : \z\ < 1 - ^ / 2 } U {2 € C : |z - 1 | < 2TT^} . Sinc e
S i s a compac t se t containe d withi n th e domai n o f analyticit y o f / , th e quantit y
fji = max 2G § | / ( z ) | i s finite. I f 8 is small the n th e disk \z — re(a)\ < 1 — r-\-6f/3 lie s
within § provide d tha t \a\ < 8/2. Henc e b y th e Cauch y coefficien t inequalities ,
f{k){re{a))
(10) < k
k\ (l-r + S'/3)
4. LONGE R RANGE S O F v 91
when \a\ < 6/3. Bu t

/W(re(a))
k\ -toT^
so b y Lemm a 2 we see tha t
Ck
fik)(re(a)) ^ / ^ ( O ) ^n k
(ii)
k\ -ECn=0
; •
n!
r - e((n - k)a) <1
for al l larg e A; , uniformly i n a. Le t N(X) denot e th e numbe r o f \ n < X. Tha t

is, N(X) i s the numbe r o f n < X suc h tha t /^ n ^(0) ^ 0 . B y Lemm a 1 it follow s
that
Ck
max £G)T"-'*»-*.
n=0
<
1
n=0
Hence b y (1 0) , (1 1 ) ,
\fW(re(a)) /2e\N(Ck)
max + 1 +
fc! ~ \TJ [ {l-r + S'/3)kJ'
By hypothesis , N(X) = o(X) a s l - K » . Henc e
fW(re(a))
<
kl ( l - r + (5V4) fc
for al l large A; , uniformly i n a. Tha t is , the powe r serie s expansion o f / abou t th e
point re(a) ha s radiu s o f convergenc e > 1 — r + <5'/4 , for ever y a . Consequentl y
/ i s regular i n th e dis k \z\ < 1 -f 5 y /4. Sinc e this contradict s th e hypothesi s tha t
the powe r serie s (9 ) ha s radiu s o f convergenc e 1 , the proo f i s complete .
4. Longe r Range s o f v. W e now consider ho w the constant i n Turan's Firs t

Main Theore m migh t b e improve d i f w e allow v t o ru n ove r a longe r range . Fo r
simplicity we restrict ou r attentio n t o the case M = 0 . T o construct a polynomia l
with th e desire d properties , w e first establis h th e followin g auxiliar y result .
LEMMA 3 . For any positive integer d there is a polynomial Q(z) of degree d
such that Q(0 ) = 1 , Q(l ) = 1 , and for which max^|< i \Q{z)\ < 1 + 2/d.
The constan t 2 might b e improve d somewhat , bu t i t ca n no t b e replace d b y
a numbe r les s tha n 1 . T o se e this , not e tha t
£O(«(JTD)-'+I
k~0
since the constan t ter m o f Q(z) i s 1 . Sinc e Q(l ) = 0 , th e above sum has absolut e
value a t mos t d m a x ^ } ^ |Q(z)| , an d henc e m a x ^ ^ |Q(z) | > 1 + l/d.
PROOF. W e construc t a polynomia l R(z) o f degre e d suc h tha t R(0) = 0 ,

R(l) > 1 /2 , an d \R(z) - R{1 )\ < R(l) + 1 / d whe n \z\ < 1 . The n
0 ( 2 )
-1-fi(l)
has th e desire d properties .

Let f(z) b e th e linea r fractiona l ma p fo r suc h tha t /(—1 ) = — 1/d, /(0 ) = 0 ,
/ ( l ) = 1 . Thu s f(z) map s th e uni t dis k \z\ < 1 to th e dis k D x whos e diamete r
is th e lin e segmen t [—1 /d , 1]. W e ma y writ e /(z ) explicitly ,
n
> d+l-(d-l)z d + l ^ \d + lJ
We tak e R(z) t o b e a Cesar o partial-su m o f thi s powe r series :
<«> «->-îE(i-Hl)(|^) k=0

V
1d+
2z 2z(l-(fei,) )
(13)= 2
d + 1 - ( d - l) z ( d + 1 - ( d - l)z) '
Prom (1 2 ) i t i s clea r tha t R(z) ha s degre e d an d tha t ii(0 ) = 0 , an d fro m (1 3 )

it i s clea r tha t R(l) = \ + i ( ^ T l ) > V^ - O n writin g 2 = re(0 ) w e se e als o
that
fl(z) = [ f(re{</>))A d(0-4)d<l>
for r < 1 , wher e A ^ i s th e Feje r kernel , a s give n i n (1 6 ) o f Chapte r 1 . Thu s

R(z) i s a weighte d averag e o f th e value s f(re(<f>)). Since thes e value s ar e al l i n
Di, an d sinc e T>\ is convex , i t follow s tha t R(z) E £>i . Le t T>2 denot e th e dis k
with cente r R(l) an d radiu s R(l) + 1 /d . Sinc e R(l) > 1 / 2 w e see that D i C 2)2-
That is , \R(z) - i?(l) | < R(l) + 1 / d whe n \z\ < 1 . Thi s complete s th e proof .
THEOREM 3 . Let s v be as in (1 ) , and suppose that \z n\ > 1 for all n. If

2
N <H <N then
H
£ M 2 > e- 8"2/"|So|2.
IfH>N2 then
H
Y^K\2»HN-2\s0\2.
We not e i n particula r tha t i f \z n\ > 1 for al l n the n
max > — —
Ki/<iV 2 T V
5. TURAN' S SECON D MAI N THEORE M 93
PROOF. Le t number s a v b e chosen later . B y Cauchy' s inequalit y w e see tha t

H 2
H \ / y/ /H 1/2
The su m o n th e lef t i s
HN NH N
b Z bn auZ = b
]Pa u ] P ™ n = Yl E " E nP(Zn)
v—\ n—\ n=l v—\ n=l
where p(z) = X^= i a vZu • Herep(z) i s a polynomial of degree < H withp(O ) = 0 .

If i n addition , p(z n) = 1 for al l n , the n th e su m o n th e righ t abov e i s SQ. W e
wish t o find suc h a polynomia l fo r whic h
f>„|2=/b(e(0))|2d0
is small . W e le t Q(z) b e a s i n Lemm a 3 , an d se t
N
p(z) = l-l[Q(z/z n).
71=1
Then p(z n ) = 1 for al l n , an d p(0 ) = 0 . T o ensur e tha t deg p < H w e tak e

d = [H/N] i n Lemm a 3 . Thu s
H N
2 2\2N
i + £ M = yT n wv*> ) ^ < (i + 5)
since \z n\ > 1 for al l n. Sinc e d > îJTV -1 , i t follow s tha t
This suffice s t o prov e th e tw o asserte d inequalities .
5. Turan' s Secon d Mai n Theorem . Theorem s 1 and 3 give lower bound s

for max|s v | i n term s o f |so | an d (min n \z n\) . W e no w see k simila r results , i n
which th e lowe r boun d involve s |SQ | an d (max n \z n\) . B y homogeneity , w e ma y
assume tha t max n \z n\ = 1 . W e encounte r a n immediat e obstacle .
EXAMPLE 1 . Le t z\ = 1 ,z n= e fo r n > 1 , & i = e , an d b n = l/(N - 1 ) fo r

n > 1 . The n s 0 — 1 + e , bu t s y = e + e u fo r al l v > 0 .
Thus w e see tha t som e compromis e i s necessary .

THEOREM 4 . (Turan' s Secon d Mai n Theorem ) Let s v be defined as in (1),

and suppose that 1 = \z\\ > \z2\ > ... > \ZN\- Then for any non-negative integer
M there is an integer v, M + l < v < M + N such that
N
.. n rN \ . 4^,
\Sj,\ > 2 ^ , r — - m m> b n.
1]
~ \8e(M + N)J i<j<N^
P R O O F . W e may suppose tha t th e z n ar e distinct, fo r otherwis e term s may
be combine d an d we can consider a smaller valu e o f N. Fo r arbitrary number s
N-l N N-l N
b Z 1
+ a
^2 a uSM+l+v = Yl * n ^2 »Z™ = Yl b 1Z +
n n p(Zn)
v=0 n=l v=0 n= l
where p(z) = ^2u=o a vZv. Suppos e tha t p(z n) — z~M~l fo r 1 < n < j, an d that
p(zn) = 0 for j < n < N. Fo r any given j , ther e exist s a unique suc h p(z). The n
3I 1
,N- v
max s ^.
n-l ' ^ i/= 0 ' M+l<n<M+JV
To complet e th e proof i t suffices t o show tha t j ca n be chosen s o that

N_1
l/8e( M + iV)y v
(14) X>^2 V N
i/=0
Write
= i Vc- lf c
^) H fc-0 n =
n^ -^-
l
If J Z > 1 then
1
/ P(^ )
2mflz^RU^Jl{z-Zn)
Suppose tha t r < 1 , and that \ZJ\ < r < |ZJ+I| . Sinc e th e integrand i s regular in
the annulu s r <\z\ < R, the integral abov e is
M
1 l P( Z)-z- -\dz.
^J^rXtîz-Zn)
We choose r late r a s a functio n o f |^21 , • • • , \ZN\- Thi s choic e the n determine s
the valu e o f j. Sinc e p(z n) = 0 when \z n\ < r, we deduce tha t
5. TURAN' S SECON D MAI N THEORE M 95
Hence
M
Uni\\r-\Zn\
But 0 < r < 1 and \z n\ < 1 for al l n , s o tha t \r — |z n || < 1 for al l n . Thu s th e
above i s
1
< M
r ULi\r-\zn\\'
We wish t o find a n r fo r whic h th e produc t i n th e denominato r i s not to o small .
To thi s en d w e recal l a theore m o f Chebyshe v (se e p . 1 4 9 o f Korneichu k [1 7] ,
Theorem 7. 3 of Powell [27] , p. 3 1 of Rivlin [30] , or pp . 41 -4 2 o f Szego [34] ) tha t
asserts tha t i f F(z) i s a moni c polynomia l o f degre e d an d i f / i s a n interva l i n
R o f lengt h L the n
/L\N
max\F(z)\>2{1) .
Take F(z) = Il^LiO *~~ \zn\) a n d P u t I = [ ro, 1 ] where 0 < r 0 < 1 . The n ther e
is a n r , r o < r < 1 , such tha t |-F(r) | > 2(^-j Ifl ) . Fo r suc h a n r w e see tha t
w^k"(i^)'
for al l k. Tak e r 0 = M/{M + N). Sinc e r^ M = ( 1 + N/M) M < e N, w e see tha t
c/c| < C fo r al l k wher e
l/4e{M + N)\*
2\ N ) '
Put
N-l N-l
p(z) = cY,(z+i)k = Y, A»zl/>

fc=0 i/= 0
say. The n \a u\ < A v fo r al l i/ , an d henc e
"fM<"f^ = P(1, = c(2»-,)<i(!^±^f.

i/=0 ^ = 0
Thus w e have (1 4) , an d th e proo f i s complete .

The constan t w e hav e obtaine d i n th e Secon d Mai n Theore m i s no t th e bes t
possible, bu t w e se e fro m th e followin g tw o example s tha t i t i s not fa r fro m th e
truth.
EXAMPLE 2 . A n identit y o f Eule r assert s tha t i f f(z) = n n = i ( 2 ; ~ z ^) wrt n
distinct z n the n
N
" ' 0 fo r v = 0 , . .. , N - 2 ,
when v = i V — 1 .
96 CHAPTER 5 . TURAN' S METHO D
(To prov e thi s pu t

N
*f(z)
^''Jkf'Miz-zJ-
Then Q(z) i s a polynomia l o f degre e a t mos t N — 1 . Also , Q(z n) — z vn fo r
1 < n < N. I f v < N the n i t follow s tha t Q(z) = z v. Th e su m i n questio n i s
the coefficien t o f z N~x o f Q(z).) W e let z n = 1 - ( n - 1 )/7 V for 1 < n < AT , and
put 6 n = (zn/'OO ) • Thus b y Euler' s identit y s u = 0 for 1 < v < N — 1, an d
5AT = 1 - T o evaluat e th e partia l sum s o f th e b n w e not e tha t
f(Z\- u (* -, \-(-ir-Hn-mN-ny.
NN-l
J \Z"n) — J ^ \Z n Z, m) —
1 ATN— '
l<m<N
so tha t
ZnJ \Z n) -
NN
Hence
1
t^h-^V-ih&Ml:!)-
71=1 7 = 1
and w e se e tha t
NN e»_
mm
3 1
E^
n=l
N\ > ~W'
Thus w e conclud e tha t th e constan t o n th e righ t han d sid e i n th e Secon d Mai n
Theorem ca n no t b e large r tha n N/e N whe n M = 0 .
We nex t conside r a n exampl e tha t i s instructive whe n M i s large .
EXAMPLE 3 . B y th e binomia l theore m w e see tha t
n=l
JV+1
Hence i f w e tak e b n = 2 - f ^ r i 1 ) an d * n = e((2 n - 1 - N)0) the n s u =
jV 1
(cos27ri/(9) - . W e t a k e 0 = l/(2(2 M + AT + l ) ) , s o t h a t | i / 0 - l / 4 | < 4(2 M + ^ +1 )
when M - h l < z y < M + N . Thu s

/. T T ( 71
V- ) \^- I/ TT(AT-I ) \N-I
]sA Sm <
M+if?<M+N - V 2(2M + i V + l) J V2(2 M + i V + l ) ; '
Since |z n | = 1 for al l n , thi s exampl e applie s t o bot h th e Firs t an d Secon d Mai n
Theorems. W e note tha t i n th e presen t situation , SQ = 1 and min ^ 2^n=l° n
We conclude this discussion with an example that demonstrate s that th e facto r

min-, | Ylnî bn\ in the Secon d Mai n Theore m ca n no t b e replaced b y the simple r
quantity min n \b n\.
6. SPECIA L COEFFICIENT S b n 97
EXAMPLE 4 . Tak e z n = 1 fo r al l n , & i = 1 , an d 6 n = -l/(N - 1 ) fo r

2 < n < N. The n s y = 0 for al l i/ , bu t min n |6 n | > 0 .
6. Specia l Coefficient s 6 n . W e begi n b y considerin g th e cas e i n whic h

bn = 1 for al l ra, so tha t
TV
(15) * , = £< •
n=l
For thi s su m w e obtai n muc h bette r lowe r bounds .
T H E O R E M 5 . If s v is given by (1 5) , and if \z n\ > 1 for all n, then there is a
v, 1 < v < N, such that \s u\ > 1 .
PROOF. Fo r 1 < j < TV, let Gj denote th e j th elementar y symmetri c functio n
of th e number s z n. I t i s als o convenien t t o se t cr 0 = 1 . Th e Newton-Girar d
identities asser t tha t
r
(16) ra r = ^(-l^-V-i/ ^
for 1 < r < N. Le t r b e th e leas t positiv e intege r fo r whic h \a r\ > 1 . W e kno w

that ther e i s suc h a n r wit h 1 < r < N ) sinc e |crjv | = \zi — • ZN\ > 1 . Wit h r
chosen i n thi s way , i t follow s tha t
r < r\a r\ = ^(-lr-v-.d < x>,

i/=i i/=i
Hence w e must hav e |s^ | > 1 for a t leas t on e v i n th e rang e 1 < v < r.
EXAMPLE 5 . Suppos e tha t z n = e(n/(N+1 ) ) fo r 1 < n < N. The n s u = - 1
for 1 < n < N wher e s„ is denned b y (1 5) . Thu s Theore m 5 is best possible .
THEOREM 6 . Let s v be defined by (1 5) . If s u is real for all positive integers
v, then s„ > 0 for some integer u in the range 1 < v < N - f 1 .
PROOF. B y (1 6 ) an d inductio n w e deduce tha t Oj is real fo r al l j , an d henc e
we see that th e hypothesi s tha t th e s v ar e real i s equivalent t o th e assertio n tha t
the z n occu r i n complex-conjugat e pairs . Suppos e tha t s I / < 0 f o r l 0 for 1 < j < N. I n additio n t o
the identitie s (1 6) , a secon d se t o f Newton-Girar d identitie s asser t tha t
for M > 0 . Takin g M = 0 , w e se e tha t s v < 0 an d (-l) N~uaN^.i-u < 0 fo r

1 < v < AT , so tha t al l summand s o n th e righ t han d sid e ar e positive , henc e
Sjv+i > 0 > and th e proo f i s complete .
Although th e resul t jus t prove d migh t see m t o b e o f rathe r specia l interest ,
we use i t t o prov e th e followin g mor e centra l result .
98 CHAPTER 5. TURAN'S M E T H O D
THEOREM 7 . Let s v be defined by (15), and suppose that max n \z n\ = 1. Then

or
|si,| > 1 / some z / in the range 1 < v < 2N — 1 .
P R O O F . Withou t los s o f generality \ZN\ = 1 - B y replacin g z n by Z U/ZN w e
may suppos e furthe r tha t z ^ = 1 . Put
N-l
tv z =- y ^ zn + zn .
71=1
By th e precedin g theore m w e se e tha t t v > 0 for some v, 1 < v < 27V — 1. But
$tsy = 1 -f £„/2, an d henc e \s u\ >SRs^ > 1.
We no w tur n t o a family o f results tha t depen d o n the properties o f Fejer's
kernel.
THEOREM 8 . Let su be given by (1) where b n > 0 and \zn\ = 1 for all n.
Then
From this we see that i f bn = 1 and |z n | = 1 for al l n then fo r an y € > 0 there is

a C(e) > 0 such that |s^ | > C(e)\fN fo r som ez v in the interval 1 < z/ < (H-e)iV .
In particular ,
(17) |*„ | > X/7V72
for som e z/ , 1 < v < 2N. Her e fo r the first tim e w e are able t o confirm our
intuition tha t a power su m mus t occasionall y b e as large a s the £2-norm o f its
coefficients.
PROOF. Writ e z n = e(0 n). Th e lef t han d sid e abov e is
^ E ( 1 - ^ I ) W 2 = E 6 » 6 »E( 1 -^TT) C W^-M-

v=l ra,n 1v—
This expressio n i s real, an d henc e is unaffected i f we take rea l parts o f each term .
Thus th e abov e is
K
b bn
^2 ™ ]L \ l ~ l f + l ) COs2wi/ (0™ - On)
m,n i/= l
= X ] b m 6 n ( - A K + 1 ( 6 > m -6> n ) - - )
ra,n
= 2Z) 6 r o 6 r a A / f + l ( ( 9 '" _ 6 , ") _ 2 ( E 6 " ) '

m,n n
Here A # + i ( # ) i s Fejer's kernel , a s given in (1 6 ) of Chapter 1 . Sinc e AK+I(0) > 0

for al l 0 , an d sinc e AK+I(0) = K + 1 , it follows tha t th e abov e is
*—£#-2(5>)-
nn
6. SPECIA L COEFFICIENT S bn 99
The followin g varian t o f Theore m 8 is useful .

THEOREM 9 . Let f be an even, continuous function of period I, and suppose
that f(n) > 0 for all non-zero n. Then for any real number 6,
(is) E (i - jî)fm >^J Tf^^-\m-

Here th e powe r su m i s the Fourie r expansio n o f /; it may involv e infinitel y
many terms , bu t i t is absolutel y convergent .
PROOF. I f we replac e / b y / + c where c is some rea l constant , the n bot h
sides o f (18) ar e increase d b y th e amoun t Kc/2. Henc e w e ma y assum e tha t
/(0) > 0, so tha t f(n) > 0 for al l n. Sinc e / i s continuous, th e Cesar o partia l
sums o f it s Fourie r expansio n converg e uniforml y t o f(x). Fo r x — 0 this give s
the relatio n
n= — N
Since th e su m o n th e righ t i s monotonically increasin g i n TV , we deduce tha t th e
Fourier expansio n o f / converge s absolutel y t o f(x). Thu s th e lef t han d sid e o f
(18) is
n k=-K
This expressio n i s real, s o it s valu e i s unaltered i f we replac e eac h ter m b y its

real part . Consequentl y th e abov e is
= £/(n)(±A*+1 (n*)-±)
n
nn
In th e firs t sum , th e ter m n = 0 contributes th e amoun t f(0)(K + 1 ) , an d th e

other term s ar e non-negative . Th e secon d su m i s /(0) . Thu s w e have (1 8) , an d
the proo f i s complete .
Suppose w e tak e f(x) = max(0, 1 — ||z||/£ ) i n Theorem 9 . The n f(n) —
(7rn)_2(5~1(sin7rn^)2 > 0, so th e hypothese s ar e satisfied , J Tf(x)dx = 6, and
/(0) = 1 . Henc e th e righ t han d sid e of (1 8 ) i s ((K + 1 )6 — l)/2, whic h i s positiv e
if 6 > 1/(K + 1 ). Fo r suc h 6 there mus t b e at least on e positiv e ter m o n th e
left han d sid e o f (18). Tha t is , \\k0\\ < 6 for some /c , 1 < k < K. Sinc e thi s
holds fo r ever y 6 > 1 /(K + 1), w e conclud e tha t \\k0\\ < 1/(K -f 1) fo r som e fc,
1 < k < K. Thi s i s Dirichlet's theorem . Sinc e Theore m 9 can b e extende d to
functions o f several variables , w e can prov e Dirichlet' s theore m fo r simultaneou s
approximation i n the same way. Thu s we can us e power su m techniques t o deriv e
the inequalit y (2 ) o f ou r openin g remarks . W e no w appl y Theore m 8 wit h s u

replaced b y s™ t o obtai n estimate s intermediat e betwee n (2 ) an d (1 7) .
THEOREM 1 0 . Suppose that s v is defined by (15), and that \z n\ — 1 for all n.
Suppose that m is a positive integer, 1 < m < N/2. Then
2
|s„| > ](mN)^
m
1( 2iV/m)
for at least one integral v,\<v< .
By takin g m = 1 we obtai n a slightl y weakene d versio n o f (1 7) ; b y takin g
m = [N/2] w e obtain a slightl y weakene d versio n o f (2) .
PROOF. Tak e K = [(1 27V/m) m], an d se t / i = max j
<V<K \ sv\' The n
2 l m ) * ~2*
By th e multinomia l theore m w e see tha t
where th e sum extend s ove r thos e m = ( m i , . . . , mjv) wit h non-negativ e integra l

coordinates suc h tha t m\-\ - f myv = m. Thu s b y Theore m 8 we see tha t th e
expression (1 9 ) i s
f m ° ) a*--(V( m X 2
K + 1 v^ -
2 ^
m
' ' " •'
V) .
Here th e secon d su m i s 7V m, b y th e multinomia l theorem . T o deriv e a lowe r
bound fo r th e firs t sum , w e restrict ou r attentio n t o thos e m whos e coordinate s
are al l 0 or l . Ther e ar e precisel y (^ ) suc h m , an d fo r suc h m th e multinomia l
coefficient ism! . Thu s th e expressio n abov e i s
~2 \mJ 2
Here K + l> (l2JV/m) m . Also , Q m ! = N(N - 1 ) • • • (N - m + 1 ) > {N/2)™

since m < N/2. Finally , m ! > (m/e) m . O n multiplyin g thes e inequalitie s
together w e see tha t th e abov e i s
2rn
> zjsi
~2
since e < 3 and m > 1 . Tha t is , / x > yJmN/ '1 2, whic h suffices .
6. SPECIA L COEFFICIENT S b n 101
It would be helpful t o have examples to show that th e above theorem is close to

being bes t possible . Th e followin g exampl e i n thi s directio n draw s o n arithmeti c
exponential sums , bu t i s limited t o 1 < v < N 2~e.
EXAMPLE 6 . Le t x b e a Dirichle t characte r (mo d p) o f orde r p — 1 . The n
from basi c propertie s o f Gauss sum s (se e pp. 30 , 65-67 of Davenport [7]) , we see
that
( p 1 '2 iip\v, (p-l)ji/ ,
P-i 0 ifp|i/ , (p-l)fi/ ,
J2(x(n)e(n/p)Y
1 ifpjv , (p-l)|i/ ,
I p- 1 ifp|i/ , (p~ l)\v.
Here N = p- 1 and s ^ < C x/iV for z / < p(p - 1 ) . T o exten d thi s t o genera l N le t
Po be the larges t prim e no t exceedin g N, an d pu t Ni — N — p0 + 1 . The n iterat e
this, s o that p ^ is the large s prim e no t exceedin g A^ , and pu t Ni+i = iV ^ — Pi + 1 .
Repeat thi s unti l N k = 1 or 2 . Thu sT V = J2(Pi ~ * ) w i t h Pi+ i - 1 < (P i - l)/2 .
By applyin g th e abov e constructio n t o block s o f lengt h pi — 1 , w e deduc e tha t
sv « : AT 1 /2 fo r i / < AT 2~e.
We nex t conside r ho w th e Feje r kerne l techniqu e ca n b e use d whe n th e hy -
pothesis \z n\ = 1 is weakene d t o max n \z n\ — 1.
THEOREM 1 1 . Let s v be given by (1 ) , where b\ > 0 , b n > 0 /o r al l n, and
max n |z n | = \zi\ = 1 . If c> 0 then
max 3Fcs ^ > — r

i<^<K 4( 4 + c)
provided that K > ( 4 + c)so/b\.
P R O O F . Le t P(* ) = 1 / 2 + £ * = 1 ( 1 - ^ i ) ^ - Thu s RP(e(0) ) - A*+i(0)/ 2

> 0 . Bu t 5RP(2: ) i s a harmoni c function , an d henc e 5RP(2: ) > 0 whenever |z | < 1 .
Write z n = r ne{9n). The n
S ( l " ^ T f ) C 1 + cos27ri/fli)» Sl/

i^=i
iV K
= ^ 6 n ^ ( l - - ^ 7 j ) < ( l + cos27ri/fli)cos27ri/e n
n—1 f = l
TV
= ^ 6 n 3 ? ( p ( z n ) + -P(r ne(0n - 0 ±)) + - P ( r n e ( 0 n - 00 ) - l ) .
Since P ( r i ) = P ( l ) = ( X + l)/2 , w e deduce tha t th e abov e i s
>j « o
- 4( 4 + c)
since SQ < Kb\j{A - f c) b y hypothesis . Bu t
so we have th e state d result .

EXAMPLE 7 . I f z n = e ( ~ ^ ) fo r 1 < n < N an d s ^ i s define d b y (1 5 )
then lfts u = 0 fo r 1 < v < AN excep t tha t S 2N = - N . Thu s 3Rs „ < 0 whe n
0 < v < AN. Consequentl y th e lowe r boun d fo r K i n Theore m 1 1 ca n no t b e
reduced. A secon d exampl e o f thi s typ e i s obtaine d b y takin g z n — e(jf - f i ) .
For us e i n th e nex t chapter , w e conclud e thi s sectio n b y formulatin g a two -
dimensional analogu e o f Theore m 8 .
THEOREM 1 2 . Let u u . .. , uN be points in T 2 . Then
N
e k u 2
E E
|fci|<Xi ' n = l
( - «) > NX XX2 - N
\k2\<x2
for any positive real numbers Xi,X 2.
PROOF. Le t Ki ~ [Xi] for i = 1 , 2. I t suffice s t o sho w tha t

IV )2
e k
E E E ( --)
IM<^1 IM<^ 2 ' n=l
> j v ( i f i + i)(i<: 2 + i) .
Here th e lef t han d sid e i s
>- E E ('-Î)('-T^T)|E^- )
|fci|<X! |/c 2 |<K 2 ^ ' n= l
Write u n = (u ni,un2). W e squar e ou t an d inver t th e orde r o f summatio n t o se e

that th e abov e i s
NN
Kl + 1 ml
= 22 X/^ ^ " " Unl)^K2 + l{Um2 ~ U n2).
m=l n= l
These term s ar e non-negative , an d th e diagona l term s m = n contribut e th e
amount N(K 1 + l)(K 2 + 1 ) . Thi s give s th e result .
7. Notes . §1 . Fo r a complet e accoun t o f th e theor y an d application s o f

power sums , on e shoul d consul t th e boo k o f Tura n [42] .
In connectio n wit h the proble m o f giving an effectiv e uppe r boun d fo r th e firs t
change o f sign o f n(x) — liz, Littlewoo d [21 ] considere d th e proble m o f showin g
that a su m
N
f(x) = i + 2_^ °""cos ^
7. NOTE S 103
of cosine s take s a larg e valu e i n a specifie d range . Littl e wood formulate d a

theorem i n thi s direction , bu t Tura n [38 ] produce d example s t o sho w tha t th e
theorem i s false. Th e error lie s in the fac t tha t Littl e wood asserted a lower boun d
for max xG / }{ x), bu t hi s proof establishe s a lowe r boun d onl y fo r max xG j |/(x)| .
Much later , Knapowsk i [1 4 , 1 5 ] succeede d i n usin g powe r sum s t o giv e an effec -
tive uppe r boun d fo r th e firs t sig n chang e o f ir(x) — \ix.
§2. Tura n [37 ] establishe d th e Firs t Mai n Theore m wit h a constan t slightl y
smaller tha n i n (5) . Maka i [24 ] an d d e Bruij n [5 ] independently determine d th e
best constan t b y elementary manipulatio n o f power series. Ou r us e of contour in -
tegration follow s th e approac h o f Balkema an d Tijdema n [3] . Th e characteristi c
feature o f Turan' s metho d i s the introductio n o f coefficient s a v tha t ar e subjec t
to certai n constraints , whil e consideratio n o f th e origina l coefficient s b n i s elim -
inated. Thi s typ e o f reasoning— a sor t o f dualit y argument—i s foun d agai n i n
the proof s o f Theorem s 3 and 4 .
Since th e s„ give n b y (1 ) satisfie s a linea r recurrence , i t i s natura l t o con -
sider genera l linea r recurrenc e sequences ; thi s amount s t o allowin g polynomia l
coefficients. Pu t
TV
(20) * , = £&»(")<
71=1
where b n(x) i s a polynomia l o f degre e d n. Pu t H — Yln=i(dn + 1 ) - Thu s H

is th e tota l numbe r o f coefficient s o f al l th e polynomial s b n. Usin g th e sam e
method tha t w e use d t o prov e Theore m 1 , Tijdema n [35 ] showe d tha t ther e i s
a i/ , M -\-l < v < M + H, suc h tha t |s^ | > c(M, H)\SQ\, provide d tha t \z n\ > 1
for al l n. I t i s natural t o conside r als o the genera l solutio n o f a linear differentia l
equation wit h constan t coefficients , namel y a n entir e functio n o f th e for m
N
(21) F(z) = Y,b n(z)e^
n=l
where th e b n ar e polynomials . Le t M(R) — max|s|<# |F(2)| . Tijdema n [35 ,
36] use d th e sam e metho d t o deriv e a n uppe r boun d fo r |JF(2) | i n term s o f th e
maximum siz e o f th e power-sum s F^(0). Sinc e b y th e Cauch y inequalitie s
these latte r quantitie s ar e bounde d i n term s o f M(R\), Tijdema n derive d a n
upper boun d fo r M(R2)/M(Ri) whe n 0 < Ri < #2 , expresse d i n term s o f i?i ,
i? 2 , H, an d ft — maxn \u n\. Fro m this , Tijdema n deduce d tha t th e numbe r o f
zeros o f F(z), i n an y dis k o f radiu s R, i s no t mor e tha n ™(£IR + H). Later ,
Voorhoeve [44 , 45 ] foun d a differen t metho d t o deriv e result s o f this kind . Suc h
estimates hav e application s i n transcendenc e theory .
§3. Lemm a 1 is du e t o Tura n [38] . I t subsume s th e resul t prove d earlie r b y
Little wood. Tura n [39 ] als o discovere d tha t Lemm a 1 provides a natura l proo f
of Fabry's Theorem ; Wiene r (se e Pale y & Wiener [26 , p . 1 25] ) ha d guesse d tha t
such a proof migh t exist . Fo r a somewhat differen t derivatio n o f Fabry's theore m
using Turan' s Firs t Mai n Theore m se e Landa u an d Gaie r [1 9] .
Since w e ar e ofte n intereste d i n th e behavio r o f infinit e sums , truncatio n

arguments suc h a s tha t foun d i n Lemm a 2 ar e commo n t o man y application s
of Turan' s method .
§4. Fo r bette r constant s tha n w e obtaine d i n Lemm a 3 , se e Rahma n an d
Stenger [28] , Rahman an d Schmeisse r [29] , and Lachance , Saff , an d Varg a [1 8] .
Theorem 3 is due t o Halas z [1 1 ] , who showe d mor e generall y tha t i f \z n\ > 1 for
all n , H > JV , and M > 0 the n
" 5 • "_
So | < {^M- + y/g) expiAN^H- 1 + eNM^H^ 2

) max \s v
M+l<v<M+H
It woul d b e interestin g t o kno w i f th e facto r i n parenthese s her e coul d b e re -
placed b y an absolut e constant. Halas z gave applications simila r t o our Lemm a 1
(due t o Turan) . Halas z an d Montgomer y [1 2 ] use d thes e result s t o boun d
maxo< x <i I^'OE) ! i n term s o f maxo< x <i 1 ^0*0 1 where F i s a n almost-periodi c
polynomial. Se e als o Lorc h an d Russel l [22 , 23] .
§5. Tura n [40 ] proved Theorem 4 , but wit h e 26 i n place of 8e. Th e constant 8 e
was firs t obtaine d b y Uchiyam a [43] . Ou r presentatio n follow s tha t o f Balkem a
and Tijdema n [3] . Kolesni k an d Strau s [1 6 ] have obtaine d th e bes t constan t 4e .
Example 3 i s essentiall y a n exampl e tha t Littlewoo d [21 ] attribute s t o P .
Stein.
§6. Strictl y speaking , th e approache s use d i n thi s sectio n d o no t involv e
Turan's method , sinc e ther e i s n o appea l t o duality . O n th e othe r hand , th e
results her e confor m t o Turan' s vie w tha t i t i s usefu l t o hav e informatio n con -
cerning the behavior o f power sums . Theore m 5 and Exampl e 5 are due to Tura n
[41]. Theorem s 6- 8 ar e du e t o Cassel s [6] . I t i s mor e difficul t t o deriv e a resul t
like Theore m 7 bu t wit h v restricte d t o 1 < v < N. Atkinso n [1 , 2 ] ha s give n
an involve d proo f tha t hypothese s o f Theore m 7 imply tha t |s^ | > 1 / 6 fo r som e
is, 1 < is < N. I t i s no t know n whether , i n thi s situation , on e ca n replac e th e
constant 1 / 6 b y a function tendin g t o 1 as N — * oo . I n th e bes t know n example ,
maxi<^<7v \s u\ < 1 ~ c(\ogN)/N. A . Bir o (Act a Math . Acad . Sci . Hungar. , t o
appear) ha s replaced Atkinson' s 1 / 6 b y 1 /2 . I t i s tempting t o think tha t perhap s
the hypothesi s \z n\ = 1 in Theore m 8 could b e replace d b y th e weake r assump -
tion tha t \z n\ > 1 fo r al l n , bu t thi s questio n seem s t o b e difficul t t o resolve.
Theorem 9 was formulated b y Blanksby an d Montgomer y [4] , for th e purpos e of
studying root s o f unit y nea r th e uni t circle . Hindr y an d Silverma n [1 3 ] applie d
Theorem 9 wit h
cos 2ixnx
f(x) = B 2(x) = {x} 2-{x} + l/6=- 2J2
71=1
in proving Lang's heigh t lowe r bound conjectur e (conditionall y fo r numbe r fields,

unconditionally fo r functio n fields). Elkie s (se e Lan g [20 , p . 1 50] ) prove d a n
analogue of Theorem 9 for Green' s functions o n curves. Theore m 1 0 is Theorem 5
of Montgomer y [25] ; Gone k [1 0 ] generalize d i t t o arbitrar y b n > 0 . Exampl e 6
is du e t o Montgomer y [25 , p . 23] . Ruzs a ha s observe d tha t th e sam e effec t ca n
REFERENCES 105
be achieve d b y usin g a fa t Sido n se t o f residu e classe s (mo d q) , an d indee d tha t

if w e writ e
X(n)e(n/ P ) = e ( - K^ - )
then th e b n for m a fa t Sido n se t (mo d p(p — 1 )) . Se e als o J . Fabrykowsk i (Act a
Acad. Sci . Hungar., t o appear) . I n the directio n o f a complement t o Theorem 1 0 ,
Erdos an d Reny i [9 ] use d probabilisti c reasonin g t o demonstrat e th e existenc e
of number s z n wit h \z n\ — 1 for al l n , wit h th e propert y tha t
2
\s,\<{6N\og{iy + l))^
for al l v > 0 where s v i s define d b y (1 5) . Theore m 1 1 is due t o Smyt h [32] .
The metho d use d i n provin g Theorem s 8 , 9 , and 1 2 is related t o SiegeP s ana -
lytic proo f [31 ] o f Minkowski' s conve x bod y theorem . Usin g Siegel' s ideas , on e
may show that i f C C R 2 , C is convex and symmetri c abou t 0 , the n ther e exists a
trigonometric polynomia l T(x ) i n two variable s suc h tha t supp T C 6 , T(0 ) = 1 ,
T(x) > 0 for al l x e T 2 , an d T(0 ) > |area(C) . (T o deriv e Minkowski' s inequal -
ity fro m this , observ e tha t i f area(G ) > 4 the n T(0 ) > T(0) , an d henc e T(x )
is no t constant . Consequentl y T(k ) ^ 0 fo r som e k ^ 0 . Bu t k G 6.) Whe n
6 = [-XiiXx] x [-X 2,X2] i t suffice s t o tak e T(x ) = A Kl^1 {x1 )AK2^1 {x2)- Us -
ing the more general polynomial T i n the same way as in the proof of Theorem 1 2 ,
we may sho w tha t
N
E e ( k - u «)
2
(22) J2 > iarea(C)7 V - N
ke e
provided tha t C is conve x an d symmetri c abou t 0 .
References
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Chapter 6 . Irregularitie s o f Distributio n
1. Introduction . Suppos e tha t U i , . . . , UAT i s a sequenc e o f point s i n T 2 .

Our objec t i s t o sho w tha t thes e point s ca n no t b e to o wel l distributed . I n
order t o obtai n precis e result s w e must firs t specif y ho w th e distributio n i s to b e
measured. T o this end , le t § denote a measurabl e se t i n T 2 , an d pu t
N
(1) D(S ) = ^ x § ( i i n ) -iVarea S
71=1
where X§( u ) denote s th e characteristi c functio n o f S . Fo r an y give n se t S , w e

can choos e th e point s u n s o tha t |D(S) | < 1 . However , w e suppos e tha t S is a
member o f a famil y 7 o f sets , an d w e as k whethe r |£)(S) | ca n b e smal l fo r ever y
S E 3\ W e restric t ou t attentio n t o familie s J F that ar e close d unde r translation ,
so that i f S E J the n S + a G 5F for al l a G T 2 . Le t th e se t S be fixed, an d pu t
(2) d s(a) = D( S + a ) .
Then d§(a) G L1(T 2 ), an d b y direc t calculatio n w e see tha t it s Fourie r coeffi -
cients
ds(k) = / d§(a)e(— k • a.) da.
JT2
are give n b y th e formula e
(3) iw-i^W "*"'

-{ 0i fk = 0
where £/(k ) = Yl ^N
n=i
e
( ~ k • u n ) . (Thi s notatio n wa s use d alread y i n Chapte r 1 . )
Hence b y ParsevaT s identity ,
2
(4) / d §(a) da = ^ l ^ ( k ) | 2 | ^ k ) | 2 -
(Note th e similarit y o f this t o th e identit y (1 5 ) o f Chapte r 1 . ) Ou r strateg y i s t o

derive a lowe r boun d fo r th e righ t han d sid e abov e b y appealin g t o Theore m 1 2
of th e precedin g chapter . However , thi s ca n b e don e onl y whe n a lowe r boun d
for |x§(k) | ca n b e given , fo r k nea r 0 . Fortunately , |x§(k) | i s reasonabl y larg e
on average , s o tha t b y furthe r averagin g on e ca n obtai n a goo d lowe r bound .
This averagin g ma y involv e scalin g th e siz e o f th e se t S , rotatin g it , o r both .
109
110 CHAPTER 6 . IRREGULARITIE S O F DISTRIBUTIO N
In § 2 we take 5F to consist o f squares with side s parallel to the coordinat e axes .

In § 3 we take 7 t o consis t o f disks of radius 1 / 4 o r 1 /2 . I n § 4 we derive a genera l
asymptotic estimat e fo r th e mea n squar e rat e o f deca y o f th e Fourie r transfor m
of th e characteristi c functio n o f a se t i n th e plane . Specifically , w e sho w tha t i f
S i s a close d se t i n M? whos e boundar y i s a piecewis e C l curv e C , the n
/ lx 2 |6|
(5) s (t)| dt 2
t\>P "
J\t\>R 27T i?
as R — > co. Her e |C | denote s th e arc-lengt h o f C . I n § 5 thi s estimat e i s use d

to deriv e a lowe r boun d fo r th e regularit y o f distributio n whe n th e famil y j F is
generated b y translating , scaling , an d rotatin g a give n se t So -
2. Squares . W e prov e th e followin g result .
THEOREM 1 . For any sequence U i , . . . ,UN of points in T 2 ; there is a square

S with sides parallel to the coordinate axes, such that
2
(6) D(S)>±(log2Ny/
where the discrepancy function JD(S ) is defined as in (1 ) above.
If {u n} i s a n infinit e sequenc e o f point s i n T , the n fo r an y N w e ma y se t

u n = (n/N, ix n), an d w e deduce tha t ther e i s a n n < N fo r whic h
(7) D(n) > c^logN.
Here c i s a suitabl e positiv e absolut e constant , an d D(n) i s th e discrepanc y

function a s define d i n Chapte r 1 .
PROOF. Le t S = [-1 /2,1 /2 ] x [-1/2,1/2], s o that s§ i s a square o f side-lengt h
s. I n th e notatio n o f (2) , it suffice s t o sho w tha t
(8) / J^ \d s§(a)\2dcxds > J L log 2N.
We suppos e tha t 0 < s < 1 , and writ e k = (A4 , £2). The n
sin7rA:is sin7r/c2 S
X, s (k) 7r/Ci 7r/C 2
where i t i s understood tha t th e first facto r o n th e righ t shoul d b e replace d b y s

if ki — 0 , an d similarl y fo r th e secon d facto r i f hi = 0 . Henc e i f k\k2 ^ 0 the n
2
/ \x sS(k)\ ds= 47r4/c 2fc2 / (l-cos27r/ci5)(l-cos27r/c 2 5)d5
1
- 4^p|-
3. DISK S 111
If k\ 7 ^ 0 an d /C 2 = 0 the n
2 2
/ lX 5 g(k)| <fe = ^ 2fe2 / s (l-cos2?r/c^ds
r 22fc 2 V3 2TT
2TT 2
A: 2 /
1
> 47T 4 fc 2 '
and similarl y i f k\ = 0 , fo 7^ 0. Henc e b y (4) ,

2
(9) / * / |^ s (a)| cfo>5>(k)|C/(k)! 2
Jo Jv ££>
where
a(1
^ = 47r 4 max(l,A;2)max(l,A; 2 )'
Let X b e a paramete r t o b e chose n later , le t 3?(x ) = [— x, x] x [—X/x, X/x] b e a
rectangle centere d a t 0 wit h are a 4X , an d pu t
x
I Wk >
ef „ , dx
6(k) = 4 2 V
2 T T X ./ 1 ^ ^
From Theore m 5.1 2 w e kno w tha t

2
]T |t/(k)| >xiv-iv 2 .
ke#(x )
On multiplyin g bot h side s b y e/(2n 4X2x), an d integratin g ove r 1 < x < X, w e

see tha t i t follow s tha t
2 2
(10) ]T&(k)|C/(k)| > ^^(XN-N )\ogX.
k# 0
By direc t calculatio n w e fin d tha t
6(k)= 2 l0g +
2^X Vmax(l,|fc 1 |)max(l,|fc 2 |)/
+
where log u = max(0,log?i) . Sinc e lo g it < û 2 fo r al l u > 1 , w e se e tha t
6(k) < a(k) fo r al l k G Z2 . O n combinin g (9 ) an d (1 0) , an d takin g X = 2iV , we
obtain (8) , so the proo f i s complete .
3. Disks . Le t D = { x G R2 : x2 + £ 2 < 1 } be th e uni t dis k i n th e plane , s o

that r D i s a dis k o f radiu s r . The n
(11) X rtD(t)= / e(-t-x)dx=^ rJ

1 (27rr|t|)
where J i i s a Besse l functio n o f th e firs t kind . Sinc e J\ ha s positiv e rea l zeros ,

it seem s tha t ou r metho d fail s i f w e insis t o n usin g a singl e radiu s r. O n th e
other hand , w e ca n obtai n a goo d resul t b y averagin g ove r r. Indeed , i t suffice s
6 0: 2 0. 4 0." 6 0." 8
FIGURE 1 . Point s i n T 2 , an d a dis k considere d a s a subse t o f T 2 .
to conside r jus t tw o radi i r*i,r2 , provide d tha t the y ar e no t proportiona l t o tw o

positive zero s o f J\ .
T H E O R E M 2 . There is an absolute constant c > 0 such that for any N points

U i , . . . , u;v in T 2 there is a disk B of radius 1 / 4 or 1 / 2 such that
\D(V)\>cN^4.
Strictly speaking , D i s a subse t o f M 2, no t o f T 2 , s o i t make s n o sens e t o sa y

that a poin t u G T2 lie s i n V. However , w e conside r u t o b e a membe r o f D i f
u + m G T> fo r som e lattic e poin t m G Z2 . I n Figur e 1 , a dis k o f radiu s 1 / 4 i s
depicted a s a subse t o f T 2 .
PROOF. Sinc e
1
L
( —22 \\V) cos(

7TX/
/2
x - §TT ) + 0(x~ -3/2\
it follow s tha t
1TX _1
(Ji(x)2 + Ji(2x) 2) = I - | s i n 2 x - isin4x- f 0(x ).
The mai n ter m o n th e righ t lie s betwee n | ( 1 - ^ ) an d f (1 + ^ ) , an d henc e
(12) Ji{x)2 + J 1 {2x)2

3. DISK S 113
0.8 +
FiGURE 2 . Grap h o f x(Ji(:r) 2 + Ji(2x) 2 ) fo r 0 < x < 30.
for al l sufficientl y larg e x. B y usin g a devic e foun d a t th e en d o f th e proo f o f

Theorem 4 on e coul d mak e thi s suffice , bu t fo r ou r presen t purpos e i t i s mor e
convenient t o sho w tha t (1 2 ) hold s fo r al l x > 1 . Her e th e uppe r boun d offer s
no difficulty, bu t w e must tak e som e care with th e lowe r bound . Hanke l [23 , pp.
491-494] wrot e
/ 2 \ 1 /2
Ji(x) = I —J (P(x)cos(x - | x ) - Q(x)sin(x - \x))
where P(x) an d Q(x) ar e certai n function s fo r whic h h e gav e asymptoti c expan -

sions. Thes e expansions , thoug h divergent , hav e th e attractiv e propert y tha t a t
each stag e th e erro r ter m i s o f th e sam e siz e as , an d no t large r tha n th e first
term omitte d (se e §7. 3 of Watso n [39]) . Thu s w e know tha t
15 472 5 15
1+ 2 l 4 < P(x) < 1 +
128a: 2 $x 128x 2 '
and tha t
Sx 2 1 0 x 3 ~ WK } ~ Sx
Hence \P(x) - 1 | < 1 2 1 85a.2 an d \Q(x)\ < ^ fo r x > 1 . Defin e r(x) b y th e relatio n
Jx(x) = (^) 1 / 2 (cos(x-fx)-hr(x)),andput J R(o:) = l/(2x) . Thu s \r(x)\ < R{x)
for x > 1 . Sinc e
7TX 2
J\{x)2 = cos( x - \x) 2
+ 2r(x)cos(x - \x) + r ( x ) > cos( x - \x) 2
- 2R(x),
it follow s tha t
— (Ji(x) 2 + J 2 (2x) 2 ) > § - ^ s i n 2 z - \ sin4 x - 2R(x) - R(2x)
for x > 1 . Her e th e mai n ter m i s > | ( 1 — —•), s o th e righ t han d sid e abov e i s
> 1 /2 5 uniforml y fo r x > 25.
To treat th e remainin g interva l 1 < x < 25 , it suffice s t o not e tha t ther e i s n o
x i n thi s rang e fo r whic h J\(x) = J\(2x) = 0 (th e zero s j ' l j S o f J i ar e recorde d
in Tabl e 9. 5 o n p . 40 9 o f Abramowit z an d Stegu n [3]) . Alternatively , on e ma y
consult a grap h o f x[J\(x) 2 + Ji(2x) 2 ), a s i n Figur e 2 . I n an y case , we conclud e
that (1 2 ) hold s uniforml y fo r al l x > 1 .
By (4 ) an d (1 1 ) w e deduce tha t
2
/ d (a) -fdlc(a)2da»X:^^(k)|2.
55 |k|
kô
»iV-3/2 ^ |f/(k)| 2
!k!|<\/2iV
\k2\<V2N
and b y Theore m 5.1 2 thi s i s ^> N 1 /2. Thi s give s th e desire d lowe r bound .
4. Deca y o f th e Fourie r Transform . Whe n w e are allowe d t o rotat e an d

rescale a se t S , th e lowe r boun d w e obtai n depend s o n th e mea n squar e deca y
of th e Fourie r transfor m o f th e characteristi c functio n o f ou r set . W e find tha t
the behavio r i s remarkabl y simila r fo r a wid e clas s o f sets . T o understan d wh y
this migh t b e th e case , w e first reaso n informally . W e see k t o understan d th e
asymptotic behavio r o f th e integra l
X8(t)= / e ( - t - x ) d x
./s
when |t | i s large . Le t
e ( - t • x)
/(x) = -
47r2|tl2 '
so tha t
and
™-£^
V2/(x) = e ( - t - x ) .
We suppos e tha t th e boundar y o f S i s th e smoot h curv e C . The n b y Green' s
theorem,
2
,(t)= / v / d x -f Vf-Nds
4. DECA Y O F TH E FOURIE R TRANSFOR M 115
where N i s the outwar d uni t norma l t o C ; if T = (co s a, sin a) i s the uni t tangen t
to C then N = (si n a) — cos a). Writin g t = ( r cos 0, r sin 0) i n polar coordinates ,
we see tha t
e _ t X
T - r r TV T ( " )• /
V/ • N = - — — - sm a
Consequently
(13) x 8 (t)=2^f/ee(-t.x)8in(a-^)d».
We expec t thi s integra l t o b e smal l whe n |t | i s large , becaus e th e argumen t i n

the exponentia l i s rapidl y changing . Precisely ,
— (t • x ) = t • — = t • T = rcos( a - 0) .
ax as
Thus th e integra l (1 3 ) ha s a stationar y phas e a t point s o n C where t _ L T. Le t
X(0) = { x £ C : a = 0= L IT/2}. Th e magnitud e o f th e contributio n o f th e
stationary phas e i s governed b y th e secon d derivative ,
— ( t • X) = t • — = t • (-KN) = ±KT
dsz as
where K denotes th e curvatur e o f C at x . Thu s w e expect tha t
(14) £ g(t) = J^£ c (x)e(A(x)r)

xex(0)
where
|c(x)| = -— y=, A(x ) = x - (cos0,sin0) .
Ll\ y hi
In th e approximate relatio n (1 4 ) w e have ignored th e error term s that woul d aris e
from th e stationar y phas e analysis . I f w e conside r 0 t o b e fixed, an d r — > o o
then th e righ t han d sid e o f (1 4 ) i s a n almos t periodi c polynomial . Fo r mos t 0
the frequencie s A(x ) ar e distinct , s o we expec t tha t
R2
2
J2 c(x)e(A(x)r) | dr ~ (R 2 - R,) £ | C (x)|
/ .Hi xGX(0)
when R2 — R\ i s large . Suc h approximat e form s o f Parseval' s identit y wil l b e a

topic discusse d i n th e nex t chapter . B y integratin g b y part s i t woul d follo w tha t
/•oo /«oo -1 . 2
2
/ |x s(t)| rdr~ / -hTc(x)e(A(x)r) \ dr
JRJ Rx
~|£|c(*)i2
as R — » oo. Sinc e i n pola r coordinate s
/ \x §(t)\
2
dt= / |x s(t) | 2 rdrd4>,
J\t\>R JO JR
it remain s t o integrat e bot h side s o f (1 5 ) wit h respec t t o 0 . Bu t
/ 2 7 r ErrM= r\^W= /i<f c = ie|,

Jo ^ l « W I Jo Id0 l 7 e
and thu s w e ar e le d t o expec t tha t th e asymptoti c relatio n (5 ) hold s a s R tend s
to infinity . Thi s heuristi c argumen t woul d b e difficul t t o justif y unles s rathe r
stringent condition s wer e place d o n th e curv e C . B y takin g a differen t lin e o f
approach, w e ar e abl e t o sho w tha t (5 ) hold s unde r rathe r wea k hypotheses .
THEOREM 3 . Let £ be a simple, closed, piecewise C 1 curve in the plane, let

§ denote its interior, and let \g (t ) denote the Fourier transform of the charac-
teristic functions of S. Then the asymptotic relation (5 ) holds as R — • oo.
As wil l b e apparen t fro m th e proof , w e coul d allo w S to hav e severa l compo -

nents o r eve n b e multiply-connecte d set , thoug h i n suc h a situatio n w e shoul d
insist tha t S is closed , an d w e would replac e S b y th e boundar y d§> o f § . More -
over th e conditio n tha t C is C 1 coul d b e relaxed , althoug h w e d o nee d t o kno w
that C is tam e a t leas t t o th e exten t tha t
,. mea s {x G M2 : d(x, C) < 6}
(16) h m
should exis t an d b e finite.

PROOF. Le t / ( x ) = e~ nR ' x ' , wher e R i s large . Thi s kerne l offer s som e
smoothing whic h i s undon e wit h a Tauberia n argumen t a t th e en d o f th e proof .
By Plancherel' s theorem ,
(17) / | X § *V2/f^=/ |x sV2/|

2
dt.
We integrat e b y part s t o se e tha t
V^/(t) = -47T 2 |t| 2 /(t).
Also, / ( t ) = R~ 2e-lxR~2^\ s o th e righ t han d sid e o f (1 7 ) i s
4
1(18) 67r iT 4 / | x s|
2
|t|4e-2^H"2dt.
As fo r th e lef t han d sid e o f (1 7) , w e se e b y Green' s theore m tha t
Xs * V2 / ( x ) = J V 2
/ ( x - y ) dy = J | £ ( x - y ) ds
4. DECA Y O F THE FOURIE R1
TRANSFOR
1 M 7
where y is the positio n vecto r o n th e curv e C . Fro m th e definitio n o f / w e se e

that V / ( w ) = - 2 T T J R 2 / ( W ) W , an d henc e
^ ( x - y ) = -2 7ri?2/(x-y)((x-y)-n).
Thus th e lef t han d sid e of (17) is
= 47r 2i?4 / / / ( x - y ) ( ( x - y ) . n ) d s dx .
JR 2 I Je I
On expandin g an d takin g th e integra l d x inside , w e see tha t thi s is
= ATT 2R4 [ f I{yuy 2)ds

1 ds2
Je JG
where
^(yi,y2)= / / ( x - y i ) / ( x - y 2 ) ( ( x - y1 ) - n i ) ( ( x - y 2 ) - n 2 ) d x .
JR2
We pu t d = yi — y 2 an d complet e th e squar e i n th e exponent s t o see tha t
/(x - yi ) / ( x - y 2 ) = / ( d / V 2 ) / ( V 2 (x - I ( yi + y 2 ))).
We chang e variables , writin g w = x — ^(y± - f y2)- Thu s
(x - y ^ • n , = w • n , + ( - l ) l | d • n *
for i = 1 ,2 , an d th e produc t o f thes e tw o expression s is
(w • ni)( w • n 2 ) + | (d • n 2 )(w • ni ) - £( d • ni)( w • n 2 ) - \{d • ni)( d • n2 )

- r 1 + T 2 + T3 + T4,
say. W e express w in polar coordinates , w = ( r cos#, rsin#), s o tha t
2 2r
/(yi,y2) = f(d/V2) / e~ ^ \/ T l+ -- + T 4dedr.
Jo Jo
On writin g n ^ = (cos0 z , shi(/>2) fo r i = 1, 2, w e se e tha t
/»2T T
/T i dO = nr 2 c o s ^ - 0 2 ).
Similarly w e see tha t J 0 n T3 dd = 0 for j = 2,3, and als o tha t

/»2T T
/ T 4 d0 = - ± 7 r ( d - m ) ( d - n 2 ) .
Jo
Since J 0°° e_ a r r d r = \a~ 2 an d J 0°° e~a r r dr — \a~l, w e conclud e tha t
3
118 CHAPTE R 6 . IRREGULARITIE S O F DISTRIBUTIO N
Hence th e lef t han d sid e o f (1 7 ) i s
= d
~o f( /^) cos(0 i - <j> 2) dsi ds 2
-\v2zR2 [ [ f(d/V2)(d-n )(d-n2)ds

11 ds2.
Je Je
If y i £ 6 the n mea s {52 : |d| < 6} < C 6 for al l smal l <5 , uniformly i n yi . Henc e
if y i £ C then
l
(19) / f(d/y/2) ds < R~ ,
Je
and
2
(20) [ f{d/V2)\d\ ds<^R-\
Je
Suppose tha t 0 < s < JC| , and tha t th e interva l [0 , |C|] is partitioned int o finitel y
many subinterval s J z i n such a way that y = y(s ) i s C l i n eac h 3 r. Choos e 6 > 0 .
Let S , th e 'good ' point s o n C , be the se t o f those y(s ) o n C for whic h s i s at leas t
6 awa y fro m th e endpoint s o f th e interva l J l i n whic h i t falls . Le t 2 3 = C \ S b e
the complementar y se t o f 'bad ' point s o n C . B y (1 9 ) w e see tha t
/ / /(d/v / 2)cos(01 - fa) ds x ds 2 < / R~ l

ds x < 6R~\
J'B Je JT>
and similarl y fro m (20 ) w e see tha t
f/ / ( d / v / 2 ) / ( d / v / 2 ) ( d • m ) ( d • n 2 ) ds x ds 2 « 6R~\
JT> Je
If Y i £ S fo r i = 1 , 2 the n |d | ~ |s i — S2 I an d cos(0 i — </> 2)— » 0 uniforml y a s

|d|— » 0 . Consequentl y
// /(d/x/2 ) cos(0 i - 0 2 ) ds! ds2 - (|e | + 0{6)) J" e~"

J9 J3 J-oc
1 /2
= (|C|-f-0((5))2 i?-1
as R— > 00 . Sinc e d i s approximately a tangen t vecto r whe n |d | i s small, d • n t =

o(|d|) uniforml y a s |d |— * 0 with y ; G S- Henc e
3
/ / /(d/x/2)( d • m ) ( d • n 2 ) d Sl ds 2 = o(R' )
JsJ$
as R — > 00 . B y lettin g 5 tend t o 0 , w e conclude tha t th e lef t han d sid e o f (1 7 ) i s
1
1 /2
(21) - 7 r 2 - |e|i?-
as R — » 00 .
Now le t
2T T
0(0 = / j£ s (*r cos 6^r sin tf)j 2d#.

Jo
5. FAMILIE S ALLOWIN G TRANSLATION , SCALIN G AN D ROTATIO
11N 9
On combinin g (1 8 ) an d (21 ) i n (1 7) , w e fin d t h a t
I/o
Jo
as R — > oc. I f w e pu t r 2 = u, 2TTR~ 2 — 8, thi s take s th e for m
/"OO
/ g{û)u 2
e-6u du ~ 7r-^ 2
2-2\e\S- • 3 / 2
Jo
as 8 — » 0. B y th e Hardy-Littlewoo d Tauberia n Theore m (tak e a = 3/2 , a(i) =
JQ g(y/u)u 2 du i n Theore m 1 0 8 o f Hard y [24] ) i t follow s t h a t
2
/ g(yfti)u du~±7r-2\£\U3/2
Jo
as U — > oo. P u t t i n g r = y/u, w e se e t h a t thi s ca n b e rewritte n a s
5 2
/ g{r)r dr~ ±7r- \e\R3
Jo
as R — > oo. B y integratin g b y part s w e obtai n (5) , an d th e proo f i s complete .
5. F a m i l i e s a l l o w i n g t r a n s l a t i o n , s c a l i n g a n d r o t a t i o n . W e no w appl y
the informatio n gaine d i n th e precedin g sectio n t o deriv e a genera l theore m
relating t o irregularitie s o f distribution .
T H E O R E M 4 . Let C be a simple, closed, piecewise C 1 curve in the plane, let

So be the interior of Q, and suppose that S o has diameter not exceeding 1 . Let
§o(0) denote the set obtained by rotating S o through an angle 0, and let j F be
the family of all sets of the form SSQ(O) + a where 0 < s < 1 . Then there is
a constant c = c(C ) > 0 such that for any sequence of points U i , . . . , UJV in T 2
there is a set S G 2F / or which
D(§) > c7V 1 /4 .
The conditio n o n th e diamete r o f S o ensure s t h a t n o overlappin g occur s whe n

§o(0) i s considere d mo d Z 2 .
PROOF. B y integratin g bot h side s o f (4 ) wit h respec t t o s an d 0 , w e fin d t h a t
2
(22) / / / D{sS 0(6) + ot) 2d(xd6ds = Vc(k)|[/(k)|
Jo Jo JT 2
k _^0
where
pi P2T T
c(k) =
I JT'WJMI 2 ^*
= l k l " 5 / ix So(t)j
2
jti3dt.
By Theore m 3 and integration b y parts w e deduce tha t
as |k |— > oo. Henc e ther e i s a constan t k$ depending onl y o n C such tha t
(23) c(k) > |k|- 3
uniformly fo r |k | > k 0.
an
Without los s of generality, k$ is an integer. B y replacing u n b y fcoUn d Xi
by Xi/ko i n Theorem 5.1 2 , we find tha t
2
] T \U{k)\ 1 >NX X2k^2-N2
\ki\<Xi
k0\ki
Hence
2
] T \U{k)\ >NXrX2kv2-N2.
\ki\<Xl
|k|>fc 0
We tak e X l = X2 = 2k 0N^2. B y (23) we see that c(k) > k^N^' 2 uniforml y
for al l k i n the above sum . Thu s w e conclude tha t th e right han d sid e of (22) is
^> k^N 1 /2. Thi s give s the desired result .
6. N o t e s . Fo r a comprehensiv e accoun t o f th e subjec t o f irregularitie s o f

distribution, on e should consul t th e book o f Beck an d Chen [1 4] . Th e approach
that w e have adopte d i n this chapte r follow s Montgomer y [28].
In 1 935 , van der Corpu t [1 8 , 1 9 ] conjectured tha t lixnsup N_^00D(N) = oo
for an y infinite sequenc e {u n} o f points i n T. Thi s wa s first prove d i n 1 94 5 b y
van Aardenne-Ehrenfes t [1 ] , and in 1 94 9 sh e [2] gave th e quantitative boun d
D(N)
TV—>oo
(loglogAT)/(logloglogAT)
In 1 954 , Roth [30 ] gave the better lowe r boun d
limsup —=== > c > 0.
TV->OO ylogi V
Finally, i n 1 972 , Schmid t [35 ] showed tha t
limsup , ' > c> 0 .
This resolve d th e issue , sinc e Ostrowsk i [29 ] ha d lon g befor e observe d tha t
D(N) < lo gAT i f u n = nV2.
Roth [30 ] formulated th e irregularity proble m a s follows. Le t { u n } ^ = 1 b e a
sequence o f points o f Tfc, an d for simplicity suppos e tha t al l their coordinate s lie
in the interval [0,1 ) . le t a b e a point whos e coordinate s als o li e in this interval ,
6. NOTE S 121
and le t Z(ot) denote the number o f the u n tha t li e in the box [0, OL\] x • • • x [0, Q/c].
Finally, let
k
D(a) = Z(a)-NY[cti
be the difference betwee n the number of points counted and the expected number .
How smal l ca n this functio n be ? Rot h [30 ] proved tha t
||#||2>c f c (logA0 ( f c - 1 ) / 2 .
Schmidt [36 ] showed mor e generall y tha t
||D|| p >c f c , p (logA0 ( A : - 1 ) / 2

for an y p > 1 . Halas z [21 ] extended thi s to p = 1 , but only when k — 2 . All these
results ar e best possible , sinc e Che n [1 7 ] has shown tha t fo r any finite p > 0 and
any k > 1 there i s a constant Ck, p and a point distributio n fo r whic h
p|| J ,<c fc , p (io g j\o< fc - 1 >/ 2 .

The cas e p = o o is more resistant . Schmid t [35 ] showed tha t ||D||o o > clogN
when k = 2 , an d Halas z [21 ] gave a differen t proo f o f this , bu t neithe r proo f
provides a stronger lowe r boun d i n higher dimensions . I n the opposite direction ,
Halton [22 ] has shown tha t fo r any k > 1 there i s a point distributio n fo r whic h
||D|| 0 0 <C f c (log7V) f c - 1 .
The mai n unsolve d proble m remainin g i n this are a i s to clos e th e gap betwee n
these bound s fo r ||D||o o whe n k > 2.
Suppose tha t {u n} i s an infinite sequenc e o f points i n T, and let D(N;a) b e
the associate d discrepanc y functio n introduce d i n Chapte r 1 (see p. 1 ) . Erdo s
[20] aske d whethe r ther e mus t exis t a n a fo r whic h th e sequence {D(N,a)} i s
unbounded. Schmid t [33 ] that suc h a mus t exist , an d later h e proved [34 ] the
set o f a fo r whic h {D(N;a)} i s bounde d i s a t mos t countable . I n addition ,
Tijdeman an d Wagner [37 ] showed tha t ther e i s a constan t c > 0 such tha t
D(N;a) ^
lim sup — : — - > c
JV-.OC lo g TV
for almos t al l a, an d Halasz [21 ] proved tha t th e set of a fo r which D(N;a) =

o(\og N) i s a set of Hausdorff dimensio n 0 .
Suppose tha t {z n} i s a n infinit e sequenc e o f unimodula r comple x numbers ,
put PN{ Z) = r i n = i ( 2 — 2 ^ ) ' a n d s e t MIST = maxî^ x \PN(Z)\. Erdo s [20 ] asked
whether th e numbers z n ca n be so well distribute d aroun d th e unit circl e tha t
the sequenc e o f numbers {M^} i s bounded. Thi s wa s answered i n the negativ e
by Wagne r [38] , who showed tha t ther e i s a 6 > 0 such tha t
MN
rlimsup —rj ^ > n0.
The bes t possibl e resul t i n thi s directio n wa s obtaine d recentl y b y Bec k [1 2] ,

who showe d tha t ther e i s a 8 > 0 such tha t
r MN ^ n
l i m s u p — 7T > 0 .
§1. Antecedent s o f the approach develope d her e can be seen in the earlier wor k
of Kendal l [27 ] an d Her z [25 ] concernin g th e numbe r o f lattic e point s insid e a
convex curve , an d a lowe r boun d o f Rot h [31 ] fo r th e mea n squar e distributio n
of a se t o f integer s i n arithmeti c progressions .
§2. Theore m 1 is due t o Halas z [21 ] , who devise d a varian t o f Roth' s metho d
quite differen t fro m th e metho d w e hav e used . Theore m 1 implie s th e resul t
of Rot h [30] . Ruzs a [32 ] ha s show n tha t square s an d rectangle s hav e th e sam e
discrepancy, u p t o a constan t factor .
§3. Theore m 2 is due t o Montgomer y [28] . Bec k [5 ] obtained a simila r resul t
involving a n averag e ove r radii .
§4. Theore m 3 is due t o Montgomer y [28] . Her z [25 ] obtaine d simila r result s
in th e cas e tha t S is convex .
§5. Theore m 4 i s du e t o Montgomer y [28] . Bec k [5 ] independentl y obtaine d
the sam e resul t whe n § i s convex, usin g a simila r method .
For furthe r development s i n thi s area , se e Bec k [4-1 2 ] an d Bec k an d Che n
[13, 1 5 , 1 6] .
References
1. T . va n Aardenne-Ehrenfest , Proof of the impossibility of a just distribution

of an infinite sequence of points over an interval, Proc . Kon . Ned . Akad .
Wetensch. 4 8 (1 945) , 266-271 .
2. , On the impossibility of a just distribution, Proc . Kon . Ned . Akad .
Wetensch. 5 2 (1 949) , 734-739 .
3. M . Abramowit z an d I . Stegun , Handbook of Mathematical Functions, Dover ,
New York , 1 965 .
4. J . Beck , Uniformity and irregularity, Proceeding s o f th e Internationa l Con -
gress o f Mathematician s (Berkeley , 1 986) , Amer . Math . Soc , Providence ,
1987, pp . 1 400-1 407 .
5. , Irregularities of distribution I, Act a Math . 1 5 9 (1 987) , 1 -49 .
6. , On a problem of Erdos in the theory of irregularities of distribution,
Math. Ann . 27 7 (1 987) , 233-247 .
7. , On the discrepancy of convex plane sets, Monatsh . Math . 1 0 5
(1988), 91 -1 06 .
8. , A two-dimensional van Aardenne-Ehrenfest theorem in irregularities
of distribution, Compositi o Math . 7 2 (1 989) , 269-339 .
9. , On a problem of W. M. Schmidt concerning one-sided irregularities
of point distributions, Math . Ann . 28 5 (1 989) , 29-55 .
REFERENCES 123
10. , Irregularities of distribution II, Proc . Londo n Math . Soc . (3 ) 5 6

(1988), 1 -50 .
11. , Irregularities of distribution and category theorem, Studi a Sci . Math.
Hungar. 2 6 (1 991 ) , 81 -86 .
12. , The modulus of polynomials with zeros on the unit circle: a problem
of Erdos, Ann . o f Math . (2 ) 1 3 4 (1 991 ) , 609-651 .
13. J . Bec k an d W . W . L . Chen , Note on irregularities of distribution, Mathe -
matika 3 3 (1 986) , 1 48-1 63 .
14. , Irregularities of Distribution, Cambridg e Trac t 89 , Cambridge Uni -
15. , Irregularities of point distributions relative to convex polygons, Irreg -
ularities o f partitions (Fertod , 1 986) , Springer-Verlag, Berlin , 1 989 , pp. 1 -22 .
16. , Note on irregularities of distribution II, Proc . Londo n Math . Soc .
(3) 6 1 (1 990) , 251 -272 .
17. W . W . L . Chen , On irregularities of distribution, Mathematik a 2 7 (1 980) ,
153-170.
18. J . C . va n de r Corput , Verteilungsfunktionen. I, Proc . Kon . Ned . Akad .
Wetensch. 3 8 (1 935) , 81 3-821 .
19. , Verteilungsfunktionen. II, Proc . Kon . Ned . Akad . Wetensch . 3 8
(1935), 1 058-1 066 .
20. P . Erdos , Problems and results on Diophantine approximation, Compositi o
Math. 1 6 (1 964) , 52-66 .
21. G . Halasz , On Roth's method in the theory of irregularities of point distribu-
tions, Recen t Progres s i n Analytic Numbe r Theor y , Vol. 2, Academic Press ,
London, 1 981 , pp. 79-94 .
22. J . H . Halton , On the efficiency of certain quasirandom sequences of points
in evaluating multidimensional integrals, Num . Math . 2 (1 960) , 84-90 .
23. H . Hankel , Die Cylinderfunctionen erster und zweiter Art, Math . Ann . 1
(1869), 467-501 .
24. G . H . Hardy , Divergent Series, Oxfor d Universit y Press , Oxford , 1 963 .
25. C . S . Herz , Fourier transforms related to convex sets, Ann . o f Math . (2 ) 7 5
(1961), 81 -92 .
26. , On the number of lattice points in a convex set, Amer . J . Math . 8 4
(1962), 1 26-1 33 .
27. D . G . Kendall , On the number of lattice points inside a random oval, Quart .
J. Math . (Oxford ) 1 9 (1 948) , 1 -26 .
28. H . L . Montgomery , On irregularities of Distribution, Congres s o f Numbe r
Theory (Zarautz , 1 984) , Universida d de l Pai s Vasco , Bilbao , 1 989 , pp . 1 1 -
27.
29. A . Ostrowski , Bemerkungen zur Theorie der Diophantischen Approximation
nen I, Abh . Math . Sem . Hambur g 1 (1 922) , 77-98 ; III (1 922) , 250-251 ; III
4 (1 926) , 224 .
30. K . F . Roth , On irregularities of distribution, Mathematik a 1 (1 954) , 73-79 .
124 CHAPTE R 6 . IRREGULARITIE S O F DISTRIBUTIO N
31. , Remark concerning integer sequences, Act a Arith . 9 (1 964) , 257 -

260.
32. I . Z . Ruzsa , The discrepancy of rectangles and squares, Ber . Math-Statist .
Sekt. Forsch . Gra z 31 8 (1 992) , 1 35-1 40 .
33. W . M . Schmidt , Irregularities of distribution, Quart . J . Math . (Oxford ) (2 )
19 (1 968) , 1 81 -1 91 .
34. , Irregularities of distribution VI, Compositi o Math . 2 4 (1 972) , 63 -
74.
35. , Irregularities of distribution VII, Act a Arith . 2 1 (1 972) , 45-50 .
36. , Irregularities of distribution X, Numbe r Theor y an d Algebra , Aca -
demic Press , Ne w York , 1 977 , pp. 31 1 -329 .
37. R . Tijdema n an d G . Wagner , A sequence has almost nowhere small discrep-
ancy, Monatsh . Math . 9 0 (1 980) , 31 5-329 .
38. G . Wagner , On a problem of Erdos in Diophantine approximation, Bull .
London Math . Soc . 1 2 (1 980) , 81 -88 .
39. G . N. Watson, A treatise on the Theory of Bess el Functions, Secon d Edition ,
Cambridge Universit y Press , Cambridge , 1 966 .
Chapter 7 . Mea n an d Larg e Value s

of Dirichle t Polynomial s
1. Introduction . Le t D(s) b e a Dirichlet polynomial, sa y

N
(1) D(s) = J2 a"n~S-
71=1
We writ e s = a + it, an d not e tha t D(cr + it ) i s a n almos t periodi c functio n o f

t, whe n a i s fixed. O n a finite interva l 0 < t < T, th e functio n n~ lt i s no t quit e
uniformly distribute d o n th e uni t circle , bu t it s distributio n tend s towar d th e
uniform whe n T — * oo . Thu s th e asymptoti c distributio n functio n o f value s o f
D(a + it) i s th e sam e a s fo r a correspondin g su m o f rando m variables ,
N
(2) X = £> n n- CT X n ,
n=l
in whic h eac h X n i s uniforml y distribute d o n th e uni t circle . Unfortunately ,

these variable s ar e no t independent , since , fo r example , th e valu e o f 6~ lt i s
determined b y tha t o f 2~ lt an d 3~ lt. O n th e othe r hand , th e number s log p ar e
linearly independen t ove r Q (thi s i s th e Fundamenta l Theore m o f Arithmetic) ,
and henc e by the stron g form o f Kronecker's theore m i t follow s tha t th e number s
p~lt ar e asymptotically independent ^ a s p runs over any finite collection of primes.
Consequently, i f the X. p ar e independen t rando m variable s uniforml y distribute d
on th e uni t circle , an d i f w e pu t
pa\\n
then th e asymptoti c distributio n o f D(a - f it) i s th e distributio n o f th e rando m

variable X give n i n (2) . Thu s w e know , fo r example , tha t \D(a + it)\ i s rarel y
large, asymptotically . However , fo r practica l purpose s w e nee d t o kno w ho w
quickly the asymptoti c behavio r i s approached. Tha t is , how often i n a n interva l
0 < t < T i s \D(cr + ii)\ large ? On e way to estimat e th e frequenc y o f large value s
is by estimatin g moments,
N
pT \ \q
/ \Y jann-a-it\ dt.
Jo I „_- , I
125
126 CHAPTER 7 . MEA N AN D LARG E VALUE S
In th e cas e q = 2 it suffice s t o squar e ou t an d integrat e term-by-term , sinc e
Jo ^riJ I Om.n(l ) otherwise .

Thus w e se e tha t
2J V
lim
2 J
o l n=i n=l
In thi s situatio n also , w e nee d t o kno w ho w quickl y th e limi t i s approached .

Since th e behavio r o f a Dirichle t polynomia l D(it) ha s a n ai r o f harmoni c
analysis abou t it , t o gai n perspectiv e i t i s usefu l t o compar e an d contras t th e
properties o f a trigonometri c polynomia l T(x) = J ] n = 1 ane(nx) wit h thos e o f
D(it). I n Tabl e 1 we lis t som e characteristi c propertie s o f T(x), an d i n Tabl e 2
we lis t th e correspondin g propertie s o f D(it). I n bot h case s w e assum e tha t
\0"n\ < 1 f° r a U n -
TABLE 1 . Propertie s o f T(x) = ^2i o, ne(nx) wit h \a n\ < 1
NUMBER O F TERMS : N
GAP BETWEE N FREQUENCIES : 2n
m&xx\T(x)\ < N
IF a n = 1 FOR AL L n THE N T(0 ) - A ,
AND TH E WIDT H O F THI S PEA K I S « l/N
max, \T'(x)\ < Nmax x \T{x)\
deg(T 2 ) < 2 N
# term s (T 2 ) = 2 N - 1
||T|| 2 « iV 1 /2
3/4
||T|| 4 < iV
In § 2 w e appl y principle s o f trigonometri c approximatio n t o deriv e a n ap -

proximate for m o f Parseval' s identity . Suc h result s appl y no t jus t t o ordinar y
Dirichlet polynomials , bu t als o t o generalized Dirichlet polynomials, whic h ar e
sums o f th e for m
N
a e XnS
(3) D(s) = J2 "~
n=l
where the A n ar e distinct rea l numbers. Whe n A n = lo g n, this is just a n ordinar y
Dirichlet polynomial ; an d whe n A n = n thi s i s a powe r serie s i n e~ s. W e find
that th e erro r ter m i n th e approximat e Parseva l identit y depend s o n th e degre e
of well-spacin g o f th e frequencie s A n.
2. MEA N VALUE S VI A TRIGONOMETRI C APPROXIMATIO
1 N 27
In § 3 we determine thos e exponent s q for whic h

N q pT N
dt<^ J2AnZ~lXnt
n=l 71=1
when \a n\ < A n fo r al l n. W e fin d tha t suc h a principl e hold s onl y whe n q is a

positive eve n integer .
In § 4 we revie w som e basi c inequalitie s concernin g matrices , especiall y thos e
relating t o eigenvalues . W e apply thi s informatio n i n § 5 to deriv e a bilinear for m
inequality tha t provide s a n alternativ e approac h t o the stud y o f the mea n value s
of Dirichlet polynomials . I n § 6 we apply th e matri x theor y o f § 4 to obtai n uppe r
bounds fo r th e frequenc y o f larg e value s o f Dirichle t polynomials . Fo r ordinar y
Dirichlet polynomial s (bu t no t fo r generalize d Dirichle t polynomials ) w e deriv e
much bette r uppe r bound s tha n thos e tha t follo w fro m mea n valu e estimates .
a
TABLE 2 . Propertie s o f D(it) = Yl\ nn~lt wit h \a n\ < 1
NUMBER O F TERMS :TV

GAP BETWEE N FREQUENCIES : - 1 / n
maxt\D(it)\ < N
IF a n = 1 FOR AL L n THE N D(0 ) = N,
AND TH E WIDT H O F THI S PEA K I S « 1
max t \D f(it)\ < C (logN) max* \D{it)\
deg(D 2 ) - N 2
N2(\ogN)~A < # term s (D 2) < N 2

(logN)~a
1 2
limT->oo y/^ £ \D(it)\* dt < N '
/4
ImiT^ ( ± £ \D(it)\Utf « NîlogN)*'*
2. Mea n Value s vi a Trigonometri c Approximation . W e begin b y con -

structing th e Selberg functions s +(x) an d s~(x) fo r a give n interva l 3 = [a, [3]
of th e rea l line . Thes e function s ar e analogou s t o th e Selber g polynomial s
S±(x) give n i n ( l ^ l ^ ) . Thes e function s respectivel y majoriz e an d minoriz e
the characteristi c functio n o f 3 , s o tha t s~(x) < X 3(x) < s +(x) fo r al l x.
They hav e Fourie r transform s supporte d i n ( — 1,1), supps ^ C (—1 ,1 ) , an d als o
f^s±(x)dx — (3 — a ± 1 . Thes e function s ar e easil y derive d b y utilizin g ou r
construction o f th e Selber g polynomial s i n Chapte r 1 . Le t S^(x) b e th e Selber g
majorant polynomia l o f orde r K associate d wit h th e ar c [OL/{K - f 1 ),(3/(K + 1 ) ]
of T , an d pu t
r
Thus ak ha s perio d K - f 1 , an d Xj( x) < a K(x) f° al l r e a l x - On combinin g
(1.16), (1 .1 8) , (1 .20) , an d (1 .21 +) , w e find tha t
+ j^T i:/(A)( si " ?£ S& fl + si » ?£ Kr :1)-

fc=l
where f(u) — — (1 — u) cotnu — 1 /ir. Her e th e first ter m tend s t o 0 as K — > oo ,

while the latte r tw o terms ma y b e considered t o b e Rieman n sums . Thu s w e see
that
o~K(x) — > - / (l~\u\)(e(u(x~ p))+e(u(a-x))jdx
+ / f(u)(sin2TTU(X - (3) + sin27ru(a — x)) du

Jo
as K — * oo , uniformly fo r a : in a compac t set . Tak e s +(x) t o b e th e abov e limit .
Then x 3{x) < s +(x) fo r al l real x, s u p p s + C (—1 ,1 ) , an d J Rs+(x)dx = 5^(0 ) =
/? - a - f 1 . Th e constructio n o f s~(x) i s similar .
With th e Selber g function s i n hand, i t i s a simple matte r t o deriv e a n approx -
imate Parseva l identit y fo r generalize d Dirichle t polynomials .
T H E O R E M 1 . Suppose that Ai,.. . , AJ V ar e distinct real numbers, and suppose
that 8 > 0 is chosen so that |A m — A n| > 8 whenever m ^ n. Then for any
coefficients a n, and any T > 0,
2
(4) / \^Ta ne(\nt)\ dt=(T+^J2\a n\
^° ' n =l ' n= l
for some 6, — 1 < 6 < 1 .

By applying this with a n replace d b y a n e(A n To), w e see that th e interval [0 , T]
of integratio n ma y b e replace d b y an y interva l o f lengt h T.
In § 5 w e giv e a secon d proo f o f Theore m 1 , an d w e describ e ther e a mor e
delicate estimat e i n whic h th e erro r ter m associate d wit h |a n | 2 depend s o n th e
distance fro m A n t o th e othe r A's . Fo r th e ordinar y Dirichle t polynomia l D(s)
defined i n (1 ) , the abov e yield s th e estimat e
rT N
2 2
(5) / \D(it)\ dt=(T + 0(N))^\a n\ .
J
1 <> 7 = 1
h
Suppose tha t \a n\ < 1 for al l n. B y applyin g thi s wit h D(s) replace d b y D(s) ,
we find tha t
rT
(6) / \D(it)\ 2k
dt<$:(T + N k)N fc+e
Jo
2. MEA N VALUE S VI A TRIGONOMETRI C APPROXIMATIO
1 N 2 9
for an y fixe d positiv e intege r k. I t i s tempting t o thin k tha t thi s estimat e hold s
for al l rea l exponent s > 2 .
CONJECTURE 1 . Let D(s) be defined by (1 ), and suppose that \a n\ < 1 for
all n. Then
q q/2
(7) / \D{it)\ dt<£(T + N )Nq/2+e
Jo
/o
uniformly for 2 < q < 4.
Estimates such as (5), (6), and (7 ) provide information concernin g the measur e
of the se t o f t fo r whic h \D(it)\ i s large . I fT V = T the n fro m (5 ) w e find tha t
2
meas{* G [0,T] : \D(ii)\ >V}<£ T /V2,
which i s bes t possible . Similarly , i fT V = T 1 / 2 the n b y takin g k = 2 i n (6 ) w e

find tha t
meas{* G [0,T] : \D(it)\ >V}<^ T 2+e/V4.
On th e othe r hand , i f T 1 / 2 < T V < T , the n fro m (6 ) w e learn onl y tha t
/TN TV 3+e\
meas{t G [0,T] : \D(it)\ > V} « mi n ( ^ , - ^ - J ,
while fro m (7 ) w e would obtai n th e superio r estimat e
meas{* G [0, T] : \D{it)\ >V}< r 2

+€T/-2(logT)/logiV.
P R O O F O F THEORE M 1 . Le t s + b e th e Selber g majorizin g functio n fo r th e

interval J = [0,£T] , an d pu t K(t) = s+{6t). The n x 0(t) < K(t) fo r al l * , an d
£ ( u ) = s+(u/6)/6, s o tha t suppt f C (-6,6) an d J RK(t)dt = K(0) = T+l/6.
Thus th e lef t han d sid e o f (4 ) i s
IN 2
< / /f(t ) V o n e ( A nt)
ctt.
Î n=l
On squarin g ou t an d integratin g term-by-term , w e se e tha t thi s i s

NN
a
—/ v / ^ manK\An " ~ Am).
rn=l n = l
But AT(A n — A m) = 0 when m ^ n , an d i f (0) = T + 1 /5 , s o the abov e i s

N
(^)£KI2- n=l
This i s th e uppe r boun d portio n o f (4) . Th e lowe r boun d i s prove d similarly ,

using s~ instea d o f s + .
We no w sho w tha t Conjectur e 1 is vali d whe n a n = 1 for al l n.
130 C H A P T E R 7 . MEA N AN D LARG E VALUE S
THEOREM 2 . If N >2 andT> 2, then

rT | N \q
(8) d t < N 9 + IW 9/2
(logT) (5g-4)/2
J
° ln= l
uniformly for 2 < g < 4 .
PROOF. I fT V < T 1 / 2 the n b y applyin g (5 ) t o (En</ v n ~ ^ ) 2 w e find tha t
rrTT \\ NN I, xi
44
/ y^^"- dt<^TN 2
(lo g TV)3.
Jo
;
0 '~ n = fl
By Holder' s inequalit y i t follow s tha t th e lef t han d sid e o f (8 ) i s

<TA^ / 2 (logT) 3 < ? / 4 ,
which i s mor e tha n enough .
If N > T the n w e observe tha t th e lef t han d sid e o f (8 ) i s
rT I N
< N q~2 dt.
By (5 ) w e see tha t thi s ne w integra l i s <^ A r2, an d s o th e lef t han d sid e o f (8 ) i s

<C Nq i n thi s case .
We no w suppos e tha t T 1 //2 < N < T. B y th e truncate d Perro n formul a (se e
p. 1 0 5 of Davenpor t [6] ) w e know tha t
1J^ r a+2lT dw
V n ^ = — / ({w + it)Nw — +0(NT- l
logT)
^ 2TT Z J a__2lT w
where a = 1 + 1 /logT . W e mov e th e pat h o f integratio n t o th e lin e $lw — 1 /2 .

To estimate th e contributio n o f th e horizonta l segment s w e us e th e ol d estimat e
C(s) < 6 l~a^2\ogt, whic h i s vali d uniforml y fo r 0 < a < 1 an d t > 2 . Ou r
contour enclose s a pol e a t w = 1 — it, an d thu s w e find tha t
N 2T ]V 1 /2+2
i r 1 r
dv
-2T /2 + iv
Nl-it
+ TZ -t+0(NT^\ogT)
= T 1 +T2 + T 3,
say. B y Holder' s inequality ,

/ r'ZTr 2r \q~t r'ZT
Ttf^Nî l \l/2 +iv\- ldv) / \<;{l/2 + Ht + v))\q\l/2 + iv\- l
dv,
\J-2T / J-2T
and henc e
9
/ |Ti| A < ^ 9 / 2 ( l o g T ) y / |C(l/ 2 + it)| 9 dt.
JO J-3T
3. MAJORAN T PRINCIPLE S 131
When q = 2 thi s las t integra l i s < C TlogT , an d whe n q = 4 thi s integra l i s

<C T(logT) 4 (se e Theorem s 7.2(A ) an d 7.1 6 o f Titchmars h [56]) . Henc e b y
Holder's inequality , thi s integra l i s < T(logT)( 3 ^ 4 )/ 2 , uniforml y fo r 2 < q < 4.
Thus w e se e tha t
2
/ iT^dt^TJV^logT)^- ^2.
Jo
On th e othe r hand , i t i s clea r tha t
uniformly fo r 2 < q < 4, an d thaJot

I \T2\qdt<^Nq
|T3|^<T(logT)2«.
Jo
On combinin g thes e estimate s w e obtain th e state d result .
3. Majoran t Principles . W e begi n wit h a usefu l positiv e result .

THEOREM 3 . Let Ai,.. . , Ayv be real numbers, and suppose that \a n\ < A n for
all n. Then
rT I N
1 2r TI N
] T a ne(Xnt) dt<3 ] TA ne(Xnt) dt.
•T'n=lI J- T
\n=l I
By applyin g thi s wit h a n replace d b y a ne(\nT0) w e see tha t th e interva l o f
integration o n th e lef t han d sid e ca n b e replace d b y an y interva l o f lengt h 2T .
As a n application , suppos e tha t \a n\ < 1 for al l n. The n b y (9 ) w e se e tha t
pTo + l I o o . 2, 1
anTl a dt
/ \Y. '\ <3 \((<7 + it)\ 2 dt
JTo-1 l n =1 I J-I
for a > 1 . Her e th e sum s hav e infinitel y man y terms , bu t thi s i s no t a proble m
since thes e serie s ar e uniforml y convergent . Sinc e £(s ) < ^ l / l 5 — 1 | fo r 5 i n a
bounded set , i t follow s tha t th e abov e i s
uniformly fo r 1 < a < 2.

PROOF. Le t K{t) = max(0, 1 - \t\/T). W e sho w first tha t
oo1
\ N 2 ~o 1
o\ N 2
dt.
/ A
K(t)\^2ane(\nt)\ dt< K(t)\J2 ne(Xnt)\
-oo l 1n = I J-oo | 1n = I
To see this, we multiply ou t an d integrat e term-by-term . Thu s th e lef t han d sid e
is
NN
a
/^ / v man& (A n ~ A m)
132 CHAPTE R 7 . MEA N AND LARGE VALUES
But K(u) = 7r -2 (sin7rTu) 2 T~ l u~~ 2 > 0 for al l it , an d henc e th e abov e i s

AT AT
l£ / v 2_^ m n
^ n
~ ^rnj-
m=l n= l
But thi s i s the righ t han d sid e o f (1 1 ) , so (1 1 ) i s proved .

By replacin g a n b y a ne(XnTo) i n (1 1 ) , w e see tha t
/•oo \ N . 2 /.o oI W
(12) / K(t-To ) ^«ne(A nt) A < / tf(t) HPê^* ) dt
J
^-°° 'n= lI ~°° 'n= l
for an y rea l numbe r TQ . Bu t
X[ _ T}T] (t) < K(t - T ) + K(t) + K{t + T)
for al l t, s o that th e lef t han d sid e o f (9 ) i s

oo I N
dt.
/
(K(t -T) + K(t) + K(t + T))\^2 a ne{\nt)
•°° ' ns =o f (1 2 ) w e see tha t thi s i s
By thre e application l
oo I N
dt
/
K{t)\Y,Ane{\nt)
-°° l n =i
dt.
<3 / \J2A ne{\nt)

It i s instructiv e t o conside r th e inequalit y (1 2 ) o n whic h th e abov e proo f
depends. Th e reaso n tha t thi s inequalit y hold s with th e kerne l K(t) i s that K(t)
is the convolutio n o f a functio n wit h itself . I n th e abstract , thi s principl e ca n b e
cast i n th e followin g form .
THEOREM 4 . Suppose that Y = [y nr] is an arbitrary N x R matrix, and that
\a>n\ £ A n for all n. Then
RR i N RR , A T
(13) X H Z \Yl a
nynryns\ < ] P ] P H PA nyn ~yns
r=l5=1 n= l r=ls=l'n=l
PROOF. O n squarin g ou t th e lef t han d sid e an d invertin g th e orde r o f sum -

mation, w e se e tha t th e lef t han d sid e abov e i s
NN R
—/ ^ / ^ Q"mQ jn / ^ ymrynr / ^ ymsy-ns
m=l n= l r=l s=l
TV N iR |2
/^ / ^ Q'mQ'n / j ymrynr
1
m—\ n—\ r =l
3. MAJORAN T PRINCIPLE S 133
We may similarl y rewrit e th e right han d sid e of (13), and o f the tw o expressions ,
the on e involvin g A n i s clearly th e larger . Thi s complete s th e proof .
We observ e tha t Conjectur e 1 could b e derive d fro m Theore m 2 if a suitable
majorant principl e coul d b e establishe d fo r qth powers. Suc h a principle, whic h
would suffice i n this connection, wa s proposed b y Hardy an d Littlewoo d [1 6 ] (se e
also p . 2 3 of Littlewood [43]) , wh o conjecture d tha t fo r any rea l numbe r q > 2
there i s a constant C q such tha t
q
(14) f\f(x)\*dx<C q( \F(x)\ dx.
for an y trigonometri c polynomial s

NN
f(x) = ^2 a n e W ) F{x) = ]P A ne{nx),
-N -N
for whic h \a n\ < A n fo r al l n. B y Parseval' s identit y w e see that thi s hold s whe n
q is an eve n integer , sa y q = 2/c, and tha t w e may tak e C ^ = 1 in this case . W e
now sho w tha t thes e ar e th e onl y q for whic h suc h a n inequality holds .
THEOREM 5 . If q > 2, and q is not an even integer, then there is no constant

Cq such that (1 4 ) holds uniformly for all choices of the trigonometric polynomials
f and F.
PROOF. Firs t w e show tha t i f there i s such a C q, then necessaril y C q > 1
when q is not a n eve n integer . Secondl y w e show tha t i f there is such a Cq then
(14) hold s wit h C q — 1. Thes e tw o result s combin e t o give th e proof .
We take advantage of the fact tha t th e power series coefficients o f (1+z) q / 2 ar e
not al l positive. Indeed , le t k be the unique intege r suc h that 2k — 4<q<2k — 2.
Then th e first negativ e coefficien t i s the coefficien t o f zk. Le t f(z) = l i z - ^ ,
and pu t F(z) — 1 -f z -f zk. W e sho w tha t
q
(15) f\f(re{6))\ d6> ( \F(re{6))\ q d6
for al l sufficientl y smal l r, r > 0. B y th e binomia l theorem ,
(i + z±zky/2 = jr( q/2

)(z±zky
j=0 J
fc-1
=
5, =Zo ( •3 V
V !
+
( ( *) * l ) z k + h i s h e r orde r terms
provided tha t \z\ < 1/2. W e se t z — re(6) an d appl y Parseval' s identit y t o see
that th e respectiv e side s of (15) are
r +o( 2/c+2 \
E(?H+((?H " '

j=0
\ 1 / J \ \ K, J I
134 CHAPTER 7 . MEA N AN D LARGE VALUE S
Since ( 9^2) < 0 , th e coefficien t o f r 2k i s large r whe n th e negativ e sig n i s used .

Thus we have (1 5 ) for all sufficiently smal l r > 0. Thi s completes the first portio n
of th e proof .
For th e secon d portio n o f th e proo f w e begi n b y observin g tha t i f g(x) an d
h(x) ar e properly Riemann-integrable function s o n [0,1], and if h(x) ha s period 1 ,
then
(16) lim / g(x)h(Kx)dx = / g(x)dx- I h(x)dx.

Jo Jo Jo
Suppose no w that c > 1 , and tha t / an d F ar e trigonometric polynomial s suc h
that J T \f{x)\ q dx > cJ T \F(x)\ q dx, wit h th e coefficients o f / majorize d b y those
of F. Pu t f x(x) = f(x)f(Kx) an d F x(x) = F(x)F(Kx). The n th e coefficient s
of / i ar e majorize d b y thos e o f F\. B y (1 6 ) we see that J \f\\ q— > (f \f\ q) a s
K— > oo, an d similarl y fo r F\. Thu s f T\fi(x)\q dx > c 2 JT \Fi(x)\ q dx i f K i s
sufficiently large . Finally , suppos e tha t C q i s the optima l constan t i n (1 4) . W e
have shown tha t i f c < C q the n c 2 < C q. But thi s can be the case only i f C q < 1 .
Since i t i s trivia l tha t C q > 1 , w e conclud e tha t C q = 1 . Thi s complete s th e
proof.
4. Revie w o f Elementary Operato r Theory . Le t i b e a n M x iV matrix ,

so tha t y H- > Ay i s a linea r ma p from C N t o C M . W e are intereste d i n knowin g
how lon g th e imag e vecto r Ay is , relativ e t o th e lengt h o f y . Th e operator
norm o f A , denote d ||A|| , i s the maximu m o f the rati o ||Ay||/||y| | ove r al l non -
zero vector s y G CN. (B y homogeneity w e may restric t y t o b e a uni t vector. )
Associated with A is the adjoint matri x A* = [a nrn]; thi s is an N x M matri x tha t
determines a linear ma p from C M t o C ^. B y means o f the following elementar y
duality principle , w e see that th e operato r norm s o f A an d A* ar e equal .
THEOREM 6 . (Duality ) Let A = [a mn] be a given M x N matrix. Then the
following three assertions concerning the constant c are equivalent:
(1) For all y G CN, we have
M N N
"iVri <c 2 £>nl

n=l
N M
(2) For all x G C and all y G C we have
M N
MN
<C
m=l
5>»i
Tn=l n=l
(3) For all x e CM m e have
N M M
2
E 771 = 1
^ E
4. REVIE W O F ELEMENTAR Y OPERATO R THEOR Y 135
P R O O F . T O se e tha t (1 ) implie s (2 ) w e observe tha t b y Cauchy' s inequality ,
Y^ x mâTnnyri\ < I ^T \xm\2) ( Y] y ^ a

m = l n=l ' ^Tn= l' ^m=l'n= l
We us e (1 ) t o estimat e th e secon d factor , an d thu s w e hav e (2) .

To se e tha t (2 ) implie s (1 ) , pu t x m — X^n=i a mnyn- Thu s th e lef t han d sid e
Of (1 ) I S E ! =l l^ m 5, say . Thu s
MN
and b y (2 ) thi s i s
1/2 / N 1/2
2
£M
m=l '
(X>
^n= l
n
/^ v 1/2
If 5 = 0 then ther e i s nothing t o prove . I f S > 0 then w e cancel S 1 /2 an d squar e

both side s t o obtai n (1 ) .
We hav e establishe d tha t (1 ) an d (2 ) ar e equivalent . B y symmetr y w e se e
similarly tha t (2 ) an d (3 ) ar e equivalent . Thi s complete s th e proof .
Since th e optima l constan t i n (1 ) i s ||A|| , an d th e optima l constan t i n (3 ) i s
|| A* ||, i t follow s tha t
(17) P*i
for an y matri x A.
In th e cas e tha t A i s a squar e matrix , ther e ar e furthe r number s associate d
with it . Th e spectral radius o f A i s p{A) — max |A|, where th e maximu m i s over
all eigenvalue s A of A. Also , th e numerical radius o f A, denote d v{A), i s th e
optimal constan t c in th e inequalit y
NN N
/ J / ^ Q"mn%m2'n\ — C / v \%n\ •
771=1 71 = 1 n=l
Alternatively, v(A) = ma x |(Ax, x)| where the maximum is extended ove r all unit
vectors x G C^. O n comparin g th e definitio n o f th e numerica l radiu s wit h th e
more genera l inequalit y (2 ) o f Theore m 6 , we see that v(A) < \\A\\. Also , i f x i s
a uni t eigenvecto r associate d wit h th e eigenvalu e A , then |(>lx , x)| = |(Ax,x) | =
|A|, an d henc e w e se e tha t p(A) < v{A). Tha t is ,
(18) P(A) < u(A) <

for al l square matrice s A. Fo r the latte r tw o quantities ther e i s also an inequalit y

in th e opposit e direction . T o se e this , w e first not e th e identit y
{Ax, y) = \{A{x + y), x + y) - \{A{x - y), x - y)

+ \{A{x + iy), x + iy) - \{A{x - iy), x - iy),
from whic h i t follow s tha t
\(Ax, y) | < \v{A){\\x + y|| 2 + || x - y|| 2 + || x + iy|| 2 + || x - *y|| 2 )

= z,(A)(||x|| 2 + | | y | | 2 ) .
If ||x| | = ||y| | = 1 then thi s i s = 2v(A), an d henc e w e deduc e tha t
1W<"( 4
On th e othe r hand , th e ga p betwee n th e spectra l radiu s an d th e operato r nor m
can b e enormous . Fo r example , i f A i s strictl y uppe r triangula r the n p(A) = 0
while ||A| | ma y b e large . I n genera l w e expect thes e inequalitie s t o b e strict , bu t
it i s easy to see that equalit y hold s throughout (1 8 ) when A i s a diagonal matrix .
We recall that a square matrix U is unitary i f its columns form a n orthonorma l
system, an d w e sa y tha t tw o squar e matrice s A an d B ar e unitarily similar i f
there i s a unitar y matri x U suc h tha t B = U*AU. Sinc e \\Ux\\ = ||x| | fo r
all x G C N, i t follow s tha t i f A an d B ar e unitaril y simila r the n \\A\\ = \\B\\,
v{A) — v(B), an d p(A) — p(B). (Thi s las t identit y hold s als o unde r th e les s
stringent assumptio n tha t A an d B ar e merel y similar. ) Schur' s Lemm a (whos e
proof w e omit ) assert s tha t ever y squar e matri x A i s unitaril y simila r t o a n
upper triangula r matri x T . I t i s easy to verif y tha t T commute s wit h it s adjoint ,
TT* = T*T, i f an d onl y i f T i s diagonal . Moreover , TT* = T*T i f an d onl y i f
A A" = A* A. A matri x wit h thi s propert y i s calle d normal, an d w e conclud e
that norma l matrice s ar e precisel y thos e matrice s tha t ar e unitaril y simila r t o a
diagonal matrix . Thu s w e see that i f A i s normal the n equalit y hold s throughou t
(18). Th e clas s o f norma l matrice s contain s tw o othe r noteworth y classe s o f
matrices, namel y th e Hermitian matrice s (thos e H fo r whic h H* = if) , an d th e
unitary matrice s U (characterize d b y th e propert y tha t U* = U" 1 ).
If A i s a squar e matri x the n (^4x , x) = (x , A*x). Henc e i f H i s Hermitian an d
x i s a n eigenvecto r associate d wit h th e eigenvecto r A , the n
A||x||2 = (Ax,x )
= (ffx,x )
= (x,fr*x )
= (x,Hx)
= (x , Ax)
= A||x|| 2 .
5. MEA N VALUE S VI A HILBERT' S INEQUALIT Y 137
Since ||x| | > 0 , it follow s tha t al l eigenvalues A of a Hermitian matri x H ar e real .

Prom th e identit y \\Ux\\ = ||x| | i t i s obviou s tha t th e eigenvalue s o f a unitar y
matrix ar e al l unimodular .
If w e multipl y ou t th e lef t han d sid e o f (1 ) i n Theore m 6 , w e find tha t th e
constant c 2 i s a boun d fo r th e numerica l radiu s o f th e matri x A* A. Tha t is , th e
left han d sid e o f (1 ) i s (Ax, Ax) = (A*Ax,x). Bu t A*A i s Hermitian , s o
\\A\\2 = v{A*A) = \\A*A\\ = p{A*A),
and b y Theore m 6 this commo n valu e i s also equa l t o
\\A"t = v{AA*) = \\AA*\\ = p{AA*).
This complete s ou r revie w of basic operator theory , prerequisit e t o th e follow -

ing sections .
5. Mea n Value s vi a Hilbert' s Inequality . Le t A b e a matri x wit h a n

unspecified numbe r o f rows an d columns , perhap s infinitel y many . Le t R denot e
the maximu m o f th e t} norm s o f th e row s o f A, an d C b e th e maximu m o f th e
£l norm s o f th e column s o f A. Tha t is ,
R = s u p ^ |a m n |, C = s u p^ |a m n |.
mn
nm
By Cauchy' s inequalit y w e se e tha t
/2 /2
II / V (V
/ j Q"mn<Emyn\ — I / ^ | ^ m n | | 2 ' m | I I / ^ |^mn||2/n | I
' m, n ' ^m,n ' ^m }n '
/2 /2
(V (V
^m n ' ^ n m '
, \l/2 / xl/ 2
(19) < (i*C)W £|zm | 2 ) ( E l ^ l 2
)•
Thus a matri x A ha s finite operato r nor m wheneve r th e quantitie s R an d C ar e
finite. I n orde r t o giv e a n exampl e o f a bounde d operato r tha t i s no t triviall y
bounded i n thi s way , Hilber t (se e Wey l [58] ) prove d tha t ther e i s a constan t c
such tha t
12 /2 12 /2
(20) | E S | ^ ( E I ^ I ) (EW ) -
Later, Schu r [53 ] proved tha t on e can tak e c = n. Thi s constant i s best possible ,
but equalit y is attained onl y when x = y = 0 . Thi s inequality ca n b e generalize d
as follows .
THEOREM 7 . Let Ai,.. . , A;v be distinct real numbers, and suppose that 6 > 0
is chosen so that |A m — A n| > 6 whenever m / n. Then
/N l2 1/2 , N x
2 l/2
(21)
Am A
^"mVn
n
< ^ '£w
l<m<N m—l n=l
\<n<N
As wil l b e eviden t fro m th e proof , equalit y occur s onl y whe n x = y = 0 .

Returning t o Theorem 1 , if we multiply ou t th e left han d sid e of (4) and integrat e
term-by-term, the n th e diagona l term s contribut e th e amoun t T ^ | a n | 2 , whil e
the non-diagona l term s contribut e tw o bilinea r form s o f th e shap e i n (21 ) , on e
each fo r th e endpoint s a t whic h th e indefinit e integra l i s evaluated. Thu s b y tw o
applications o f Theore m 7 we obtain Theore m 1 again.
PROOF. I n vie w o f Theore m 6 , i t suffice s t o sho w tha t
N oN
Vn n
(22) V î i
Am A n
m = l ' \<n<N
On expanding , w e se e tha t th e lef t han d sid e i s
NN
= YlY.y^ Y. \<7Tl<N
(Am — A n)(Am — X u)
We writ e th e diagona l term s n = v separately , an d fo r th e non-diagona l term s

we appl y th e identit y
J
(x — a)(x — b)
= J_p U
a)(x — b) a — b\x — a x — b/
to se e tha t ou r expressio n i s
N
1
n=l l<m<N [Am An}
1
y ^ VnVv sp (1 \
../ / A r A n — \ u ^ A m — An A m — \ v)
l<n,v<N \<m<N
= T!+T 2
say. I n T 2 we write th e innermos t su m a s th e differenc e o f two sums. I n th e firs t

of thes e sum s w e dro p th e constrain t m ^ */ , an d i n th e secon d o f thes e sum s
5. MEA N VALUE S VI A HILBERT' S INEQUALIT Y 139
we drop th e constrain t m ^ n. After introducin g a ne w ter m t o compensat e fo r

these alterations , w e find tha t
2=
2 Â -A 2 Â - A
l < n , ^ < 7 V ^ n Au l<m<NArn AJI
_Y ^y ny^ v 1 ^
i / ^"Ô - *r ^7 1 ~ Ai / A m — Xu
l<n,is<N l<m<N
(23) = £ 1 -£2+2£3,
say. Her e
Ara An
n=l V < m<^ 'S<i,<JVAn A '
m^n v^n
and
(25)
*-5>( E r-rr) ( E r ~ r
Since w e have n o eviden t mean s t o boun d thes e sums , w e see m t o b e stuck . T o
salvage th e argumen t w e appea l agai n t o th e idea s develope d i n th e precedin g
section. Le t A denot e the coefficien t matri x of the bilinea r for m unde r considera -
tion. The n A i s skew-Hermitian, A* — —A, which is to sa y that iA i s Hermitian .
Hence th e operato r nor m o f A i s equa l t o it s spectra l radius , an d thu s w e ma y
suppose tha t th e y n ar e th e coordinate s o f a n eigenvector . Sinc e th e eigenvalue s
of A ar e al l purel y imaginary , w e ma y assum e tha t
(26) £ -Jb—= l\ym

l<n<N
for al l m , wher e A is a rea l number . O n takin g comple x conjugates , an d usin g

the fac t tha t A is real , w e se e tha t th e innermos t su m i n (24 ) i s = — i\y^, an d
hence tha t
N
1
Zi =-i\J2\yn\ 2 J2 A - A•
Am n
n = l l<m<N
Since th e innermos t su m i n (25 ) i s th e negativ e o f th e su m i n (26) , w e deduc e

also tha t
2
£2 = - ; A£ \vA £ ^ZY
Am A
« / = l l<m<N "
140 C H A P T E R 7 . MEA N AN D LARG E VALUE S
That is , Ei = E2 , the contributions o f these terms cancel s in (23), and T2 = 2E3.

Marvelous!
To boun d £ 3 we invoke th e inequality \y ny^\ < ^bn| 2 + ^|2/^| 25 a n d thus we
see tha t
2
3 |£ |<f>| E /» \ »=Ti.
(An - Xu) 2
\<y<N
Hence altogethe r w e see that th e left han d sid e of (22) i s < 3Ti .
To boun d T\ we suppose, a s we may, tha t th e An are in increasing order , so
that |A n — \ v\ > 6\n — v\. Henc e th e inner su m in T\ is
Thus w e have (22) , and the proof i s complete.

By th e same metho d i t can also be shown tha t
1
o / \ l / 2 / X /2
2
f(Ek»l7 0 (X>l /M
^rnVn
(27) <
l<m<7V
An
l<n<7V
where
6n= mi n |A m - An |.
l<m<N
In the same wa y that w e derived Theorem 1 from Theore m 6 , from (27 ) it follows
that
rT I N , 2 N N
(28) / â n e(A n t) dt = Tj2K\2 + 0(j2\ a
n\2/tn)
^° I n=l I n= l n= l
The implici t constan t her e ca n be taken t o be 3/2. Fo r the ordinary Dirichle t

polynomial D(s) in (1), thi s take s th e form
fT N N
(29) / \D(it)\Ut = TY,K\2 + 0(Y jnK\2)*
^° n = l n= l
6. Larg e Valu e Estimates . I n addition t o mean valu e estimate s i n which

t run s continuousl y ove r a n interval, w e can establish usefu l estimate s fo r th e
mean squar e o f a Dirichle t polynomia l a s t ranges discretel y ove r a relativel y
small collectio n o f points. Suc h estimate s yiel d ne w information regardin g the
number o f times tha t a Dirichlet polynomia l ca n be large.
T H E O R E M 8 . Suppose that 0 < t x < t2 < . .. < t R < T where t r + 1 - tr > 1

for all r, and let D(s) be defined as in (1). Then
R N
(30) ] T \D(it r)\2 « (A' + RT^/2)(logT) £ |a n|2.
r=l n = l
6. LARG E VALU E ESTIMATE S 141
PROOF. B y Theore m 5 it suffice s t o establis h th e dua l inequalit y
E I I >n ~ H « ( N + RT1/2){\ogT) £ |y r|2.

On expandin g an d invertin g th e orde r o f summation , w e find tha t th e lef t han d
side i s
R
z
(3i) =NY^\VT\ 2
+ Yl (i(tq~tr))yqW
r = l l<q,r<R
q^r
where
N
^) =n =E'
l
is a partial sum of the Dirichlet serie s for the zeta function ({s). Th e second ter m
in (31 ) i s a bilinea r for m whos e spectra l analysi s remain s obscure . T o estimat e
it w e tak e th e ver y crud e approac h offere d b y th e inequalit y (1 9) . Thu s w e se e
that th e expressio n (31 ) i s
(32) <(tf + ma x £ \Z(i(t q - t r))|) J > r | 2

~Q~ l<r<R r=l
To complet e th e proo f i t suffice s t o sho w tha t

1 /2
(33) Z(it) <z:N/t + t logt
for t > 2 . T o thi s en d w e show tha t
2U ( u/t xu>t
n lt t1'2 \it l 2
(34) Yl ~ ^\ l <U<t
l/2
Û i fU < t
which suffices , sinc e (33 ) follow s b y summin g ove r diadi c blocks. I n the firs t cas e
we appl y th e truncate d Poisso n process , Theore m 3.8 , an d the n us e Lemm a 3. 1
to estimate the resulting integrals. I n the second case above we proceed similarly ,
but instea d use Lemma 3.2 to estimate the integrals. Th e third estimate is trivial.
Our boun d (33 ) fo r Z(it) i s presumably somewha t fa r fro m th e truth , sinc e if
the Lindelo f Hypothesi s i s true the n w e would hav e th e bette r estimat e Z(it) < C
N/t + N l/2te fo r al l t > t 0 (e). Thi s i n tur n woul d yiel d th e bette r estimat e
RN
(35) Yl \ D(Ur)\2 « ( N + RNl/2)Te J2 W2
r=l n= l
in plac e o f (30) . T o se e ho w thi s migh t b e applied , suppos e tha t \a n\ < 1 for al l
n, tha t
3/4 e
(36) N T < V,
and tha t \D(it r)\ > V fo r al l r . Pro m (25 ) w e deduc e (assumin g th e Lindelo f
Hypothesis) tha t R < C N 2/V2. B y comparison , i f w e use d instea d th e mea n
value estimate provide d by Theorem 1 , we would obtain th e bound R < C TN/V 2,
which i s muc h large r whe n N i s small compare d wit h T .
The condition (36 ) is disappointing, sinc e it leave open the question of whether
some simila r boun d migh t hol d whe n N xl2Te < V < N 3^4T€. Th e presume d
defect i n ou r argumen t lie s i n ou r appea l t o th e boun d (1 9) , sinc e th e bilinea r
form i n (31 ) migh t b e expecte d t o b e smaller . Indeed , i t woul d b e temptin g t o
conjecture tha t
RN
Y^\D(itr)\2<^(N + R)rJ2K\ 2
were i t no t fo r th e followin g
EXAMPLE. (Bourgain ) Suppos e tha t T x<2 < N < T. Pu t H = [cTV/T 1 /2],
and se t a n = 1 for N < n < N + H, wit h a n = 0 otherwise. Pu t J = [T/(2irN)],
K = [T 1 / 2 ], an d suppose that t — 2TTjN—k wher e j an d k are integers, 1 < j < J ,
1 < k < K. Thu s 0 < t < T, an d w e not e tha t
n
tlogn = t log N + t log (l + N )
t{n - N) 2
= tlog N + + 0(TH /N2)
N
k{n - N) 2
= tlogN + 27rj(n- N) + 0{TH /N2)
N
= tlogN + 27rj( n - N) + 0{c),
assuming tha t 0 < c < 1 . Henc e fo r suc h a t w e hav e
N+H
> #
if c i s small . Moreove r ther e ar e JK > T 3 / 2 /iV suc h t, s o w e ca n choos e well -

spaced t r s o tha t
N+H
1 /2
> NT
r = l ' n=N+l
while
J2K\2 = H^N/T 1 /2
By couchin g ou r conjectura l improvemen t o f Theore m 8 in term s o f th e sup -

norm o f th e coefficients , w e avoid an y conflic t wit h th e abov e Example .
CONJECTURE 2 . Suppose that 0 < t\ < t 2 < . . . < t R < T where t r+i~tr > 1
for all r, and let D(s) be defined as in (1 ) . If \a n\ < 1 for all n then
J2\D(ttr)\2 < ( N + R)NTE

r =l
7. NOTE S 143
If V 2 < T^ 2N the n (30 ) provide s n o uppe r boun d fo r th e numbe r R o f well-

spaced point s t r a t whic h \D(it r)\ > V. However , w e ca n obtai n suc h a boun d
from Theore m 8 by addin g a furthe r idea .
T H E O R E M 9 . Suppose that 0 < t i < t 2 < ... < t R < T where t r+i - t r > 1
for all r, let D(s) be defined as in (I), and suppose that \D(it r)\ > V for all r.
If \o>n\ < 1 for °>tt n then
R<z:N2V-2 +TN A
V-6{\ogT)2.
From Theore m 1 we ca n obtai n th e estimat e R < C TN/V2, an d w e se e tha t
Theorem 9 improves o n thi s whe n V > A r3//4 (logT) 1 / 2 . Th e larg e valu e theory ,
as i t stands , contribute s nothin g whe n V < TV 3/4.
PROOF. I f V 2 > CT^ 2(logT)N an d C i s a larg e constant , the n fro m (30 )
we obtain th e uppe r boun d r <^ N 2/V2, whic h suffices . Suppos e no w that V 2 <
CT1'2(log T)N. Le t T 0 b e determine d b y th e relatio n V 2 = CT 01 /2(logT0)7V.
Then b y (30) , the numbe r o f well-space d t r a t whic h \D(it r)\ > V i s < N 2/V2.
We divid e th e interva l [0,T ] int o <^ T/To subinterval s o f lengt h To , an d appl y
(30) t o eac h o f the subinterval s t o se e tha t
6
R < N 2V-2TT~l < TATV" (logT) 2
7. N o t e s . §2 . Fo r a mor e customar y constructio n o f th e Selber g function s

s ± , se e Montgomer y [48 ] o r Vaale r [57] . Theore m 1 i s du e t o Montgomer y
and Vaugha n [50] , who used Hilbert' s inequalit y a s outlined i n §5 . Prio r t o that ,
somewhat weake r estimate s ha d been give n by Titchmarsh [55 ] and Montgomer y
[45, Theore m 6.1 ] . Conjectur e 1 is a weakene d for m o f Conjectur e 9. 2 o f Mont -
gomery [45] ; se e th e comment s belo w relatin g t o §6 . Th e proo f o f Theore m 2
succeeds becaus e th e su m ca n b e writte n a s th e su m o f tw o functions , f\ + / 2 ,
where
2
/ |/i(i)| < f t « T1 +e
W, / If^dt^T'+'N 2
,
Jo Jo
[ \h{t)\ 2dt^T*N2, f \f 4
2(t)\Ut^rN .
Jo Jo
A possibl e strateg y fo r provin g Conjectur e 1 would involv e establishin g suc h a
decomposition fo r th e genera l su m D(it).
§3. Th e metho d o f proo f o f Theore m 3 gives, mor e generally ,
T N
pCT I A T
1 2P \
/ \J2a ne(Xnt)\ dt<(l- [-2C] )/ ^ A ne(Xnt) dt.
JCT I n=l ' J~ T
'n=l
In man y application s th e specia l cas e
rT +T iI
rT00+T N . 2 , TI N
/V A ne(Xnt) \ dt < 3 / V A ne{Xnt) dt
JT0-T l = I
n1 J-T\ 1 n=
is al l tha t i s required . Inequalitie s suc h a s thes e hav e bee n derive d b y man y

people, amon g the m Wiene r (unpublished—se e Theore m 1 2.6.1 2 o f Boa s [2]) ,
Erdos an d Puch s [8] , Wiener an d Wintne r [59] , and Halas z [1 2] . Th e argumen t
giving th e constan t 3 wa s show n t o m e b y E . Wirsin g (unpublished) . Loga n
[44] ha s show n tha t thi s constan t i s bes t possible . Fo r a n extensiv e discussio n
of majoran t principle s se e Shapir o [54] . B y Theore m 4 w e se e tha t i f \a n\ < 1
for al l n the n
RR R R N
(37) £ £ \D(i{tr - t s))f < £ J2 £ "-«<«--*• >
r=l s=l r=l s=l ' n=l
an estimat e tha t i s usefu l i n discussin g larg e values . Inequalitie s o f thi s typ e

were introduce d t o th e subjec t b y Jutil a [40] . Th e sam e manipulatio n use d i n
the proo f o f Theore m 4 can b e use d t o sho w tha t
1
MN , M M N / 2 /N N
X 1
/2
(38) £ £ | ( u m ,vJ|2<(£]T|(u m ,u M )|2) (X)El( v
-v")l2)
m~l n=l \ m=l/i.= l ' ^n=li/= l^
where U i , . . . , U M and v i , . . . , VJV ar e arbitrar y vector s i n a n inne r produc t

space. Thi s i s du e t o P . Enfl o (unpublished) . P . Halmo s ha s observe d tha t thi s
inequality i s Schwartz' s inequalit y i n a suitabl y define d space . Enfl o use d thi s
inequality t o giv e a new proof o f Weyl's bound fo r th e quadrati c Wey l sum. (Le t
the fcth coordinat e o f u m b e e(( m - f /c) 2 a), an d th e kth coordinat e o f v n b e
e(2kn).) I t i s no t know n whethe r furthe r inequalitie s o f thi s natur e migh t b e
contrived, t o giv e bound s fo r Wey l sum s o f highe r degree . Theore m 5 i s du e
to Bacheli s [1 ] . Hard y an d Littlewoo d [1 6 ] ha d earlie r note d tha t C 3 > 1 , an d
Boas' [3 ] ha d show n tha t C q > 1 when q i s no t a n eve n integer . I t seem s tha t
the counter-exampl e t o the Hardy-Littlewood majoran t conjectur e coul d eve n b e
constructed wit h coefficient s restricte d t o th e se t { — 1,0,1}, since , fo r example ,
1 + e{x) - e{3x)\ 3 dx = 6.50961 9759. .

Jo
while
|1 + e(x) + e(3x)\ 6 dx - 6.39407877 9 . . . .
//o
In addition to the JO
literature on majorants, ther e is an extensive literature on rear -
rangements o f Fourie r coefficients . Le t / 6 L l(T) hav e Fourie r coefficient s f{k).
Suppose tha t th e number s |/(fc) | ar e permute d s o a s t o for m a monotonicall y
decreasing sequence , an d suppos e tha t thes e ar e th e Fourie r coefficient s o f som e
new function , F. The n ||/|| , < C q\\F\\q fo r ever y q > 2 , an d ||F|| P < C p ||/|| p
for 1 < p < 2 . Se e Montgomer y [47 ] fo r a simpl e proo f o f th e first part . I f
an analogu e o f thi s coul d b e constructe d fo r Dirichle t serie s the n presumabl y
Conjecture 1 would follow .
7. NOTE S 145
§4. Theore m 6 ca n b e extende d t o othe r norms ; se e p . 20 5 o f Hardy , Lit -

tlewood an d Poly a [1 7] . Fo r furthe r discussio n i n th e spiri t o f thi s section , se e
Hochwald [26] .
§5. Th e proof s o f Hilber t an d Schu r ar e reproduce d i n Hardy , Li t tie wood an d
Polya [1 7] , o n pp . 235-23 6 an d p . 21 3 , respectively . Th e proo f o f Theore m 7
follows Schur' s metho d u p t o (25) ; th e observatio n t h a t (26 ) allow s on e t o de -
duce t h a t E i = E 2 i s du e t o Selberg . Montgomer y an d Vaugha n [51 ] derive d
Theorem 7 fro m a n analogu e appropriat e fo r th e torus , namel y
N x l/2
^"mVn
(39) E
l<ra, n<N
sin7r(A m - A n ) V
771 = 1 7 X
7l=l
\Vn|2
where 0 < 6 < HA ^ - A n || wheneve r m ^ n. The y als o prove d th e correspondin g

weighted version ,
N 1/2 / N N l/2
^mVu
(40) E
l<m,n<N
siii7r(A m - A n )
< Ei
2
I6*
71=1
m=l
where 0 < 8 n < ||A m - A n || wheneve r m ^ n . I t i s probabl y simple r t o deriv e

Theorem 7 an d (27 ) first , an d the n deriv e (39 ) an d (40 ) b y t h e m e t h o d adopte d
in § 6 o f Montgomer y [48] . Th e constant s i n (27 ) an d (40 ) ar e no t sharp . Preiss -
mann [51 ] ha s replace d 3/ 2 b y a constan t a littl e smalle r t h a n 4 / 3 , an d Selber g
(unpublished) claim s t o hav e prove d (27 ) wit h th e constan t 3.2 . T h e proo f o f
(27) follow s th e line s o f th e proo f o f Theore m 7 up t o th e stag e a t whic h E i = E 2
so t h a t T 2 = 2E3 . A t thi s poin t ne w difficultie s arise , a s i t become s necessar y t o
show t h a t
l<n,u<N [An Av
> n= l
Montgomery an d Vaale r [49 ] use d thi s bound , togethe r wit h th e theor y o f H 2

functions i n a half-plane , t o sho w t h a t i f p n = (3 n - f ij n wit h f3 n > 0 fo r al l n ,
then
N 1/2 / N N l/2
(41)
E ^rnVn
< HE 7«» J2\yn\2/sn
Pm + Pn
l < m , n<N 771=1 71=1
where 0 < 6 n < \j m — 7 n | wheneve r m ^ n. I f w e tak e 0 n = 0 fo r al l n the n w e

recover (27) , apar t fro m th e valu e o f th e constant . W i t h regar d t o (28 ) w e not e
t h a t Gallaghe r [1 1 ] ha s give n a ver y simpl e proo f o f th e les s precis e boun d
rT I N , 2N
/ Va ne(Ant) <ft « V | a n | 2 ( r + 0 .
70
ln= lI n= l
For a n informativ e accoun t o f som e furthe r conjecture s relatin g t o mea n value s

of Dirichle t series , se e Ramachandr a [52] .
§6. Th e result s i n th e precedin g section s offere d onl y smal l refi i ement s o f
classical estimates, but in this section the improvements ar e much more dramatic.
The innovativ e ste p wa s take n b y Halas z an d Tura n [1 4 , 1 5] ; thei r wor k le d
Montgomery [45 ] t o develo p Theore m 8 . Th e boun d (34 ) i s classica l bu t no t
well-known. It s ^-analogu e i s th e familia r Polya-Vinogrado v inequality . Fujii ,
Gallagher an d Montgomer y [1 0 ] constructed a hybrid boun d tha t combine s thes e
estimates. Th e conjecture s wer e originall y formulate d b y Montgomer y [46 ] i n a
stronger for m tha t involve d th e ^ 2 -norm instea d o f the ^°°-norm . Th e Example ,
due t o Bourgai n [4] , shows tha t thes e conjecture s ar e fals e i n th e stronge r form .
Bourgain als o showe d tha t Conjectur e 2 implies tha t i f A i s a subse t o f R d tha t
contains a translate o f every lin e i n R d, the n A ha s Hausdorf f dimensio n d. Thi s
was prove d b y Davie s [7 ] when d = 2 (se e p. 1 0 3 of Falcone r [9]) , but remain s a
conjecture whe n d > 2 . I n addition , Bourgai n showe d tha t th e facto r T e mus t b e
included i n th e conjecture d estimates . Se e als o Bourgai n [5] . Theore m 9 is du e
to Huxle y [27] . I t i s eas y t o construc t a n analogu e o f Theore m 8 fo r Dirichle t
characters, bu t t o obtai n suc h a n analogu e o f Theore m 9 on e mus t introduc e
further ideas , foun d i n paper s o f Huxle y [28-35] , Huxle y an d Jutil a [36] , Jutil a
[37-41], an d Heath-Brow n [1 8-25] .
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Chapter 8 . Distributio n o f Reduce d

Residue Classe s i n Shor t Interval s
1. Introduction . Le t pi denot e th e ith. prime number . W e expec t tha t th e

difference p i+\ -pi betwee n on e prime an d th e nex t i s usually comparabl e t o th e
mean logp^ , an d indee d w e might conjectur e tha t
1
(1) ^( Pl+l-Pir<z:x(\ogxy-
Pi<X
for eac h fixed 7 > 0 . Concernin g th e th e mor e precis e statistica l distributio n o f

the difference s betwee n consecutiv e primes , o n probabilisti c ground s w e migh t
conjecture tha t
x
(2) car d {p z < x : p t+i - p % > clogpi} ~ e~ c-
log x
for eac h fixed c > 0 . A s fo r th e maximu m ga p betwee n prime s w e hav e th e
famous conjectur e o f Cramer , whic h assert s tha t
(3) h m s u p -— =1 .
p^-oc (log^) 2
Our presen t knowledg e i s almos t non-existent . I n th e hop e o f developin g tool s
with whic h t o approac h suc h issues , w e conside r instea d th e distributio n o f re -
duced residu e classe s (mo d q). Her e w e fare a littl e better .
Let 1 = a\ < a2 < . . . b e th e integer s relativel y prim e t o q, s o tha t a y?(9) =
q — 1 and a (p ( q ) +1 = q + 1 . Se t P = tp(q)/q, s o tha t P i s th e probabilit y tha t a
randomly chose n residu e clas s i s reduced . B y analog y wit h (1 ) w e ma y expec t
that
<P(Q)
(4) £ > 1i+ - a, r « 7 V>(<7)P~ 7.

1=1
We approac h suc h a n estimat e b y first estimatin g th e momen t
(5) M k{q; h) = ] P (car d {a z : n < a z < n + h} - Ph) .

n=l
Here k i s a positiv e rea l number . Base d o n th e presumptio n tha t th e reduce d
residue classe s ar e fairl y randoml y distributed , w e may expec t tha t
k
(6) M k(q;h)<^kq(Ph) ^
151
152 CHAPTE R 8 . REDUCE D RESIDU E CLASSE S
when h > 1 /P . Fo r k = 2 thi s i s easy , sinc e b y a n elementar y calculatio n w e

find tha t
2
(7) M 2 (,; h) = , P » ^ Mr) ( II fel) i Wr } (1 - W r } )
r\q \ P\q ^ > J ^\ )
By th e inequalit y {a}(1 — {a}) < a we se e tha t th e abov e i s
KF }
r|<? ^ ^ PW
2
r TJ(P- l)
p|q r| g p| r
p\q p\q
= qhP.
This i s (6 ) whe n k = 2. T o deduce a n estimat e o f th e for m (4 ) suppos e tha t 7 i s
fixed, an d tha tA ; i s a fixed rea l numbe r fo r whic h (6 ) holds . Le t
n(l) = card {a; : 0 < a ; < g , a ^ i — a; = /} ,
and
7V(0 = car d {a; : 0 < a * < g , a i+\ — a * > 1}
= n(Z ) + n( Z + l ) + -- - .
Take / i ~ 1 /2. I f a; + i — a * > / the n car d {a; : n < a ^ < n - f h} = 0 fo r

a>i < n < di + I — h. Henc e
N(l)h(Ph)k < M*(g ; fc) < q(Ph) k/2
,
which give s th e boun d
1
1
(8) NW^rtqXPl)- - "2
when I > 2/P. T o appl y thi s t o (4 ) w e note tha t
<p(q) 0 0
i=i i= i
which b y partia l summatio n i s

00
1 =1
= £ N(l)P-'+ £ N(l)P-\
1
1<1<2/P >2/P
2. A PROBABILISTI C MODE L 153
In th e first su m w e use th e trivia l boun d N(l) < y>{q), an d i n th e secon d w e us e

the estimat e (8) , t o se e tha t th e abov e i s
1>2/P
If k/2 > 7 - 1 then thi s las t su m i s < C pi-7+k/2? w n i c h give s (4) . Thu s w e se e
that (6 ) implie s (4 ) fo r al l 7 < l + fc/2. I n particular, sinc e (6 ) holds when k = 2 ,
we see tha t (4 ) hold s fo r al l 7 < 2 .
To prove (6 ) whe n k > 2 involves considerabl y mor e effort . I n thi s chapte r w e
only outlin e th e argument , dwellin g o n som e o f its mor e intriguin g features . W e
have tw o distinc t methods . I n th e first o f these, discusse d i n §2 , we compare th e
situation t o a probabilisti c model ; thi s work s wel l whe n al l th e prim e factor s o f
q are large . I n th e secon d method , outline d i n §3 , we appl y Fourie r expansions .
This work s wel l whe n al l th e prim e factor s o f q ar e small . Fortunatel y w e ca n
decompose a general q into two part s s o that th e tw o method s ma y b e combine d
to provid e a proo f o f (6 ) fo r al l q and al l k > 0. Th e Fourie r metho d depend s o n
an interestin g inequalit y whos e proo f w e give i n §4 .
Before embarkin g o n th e mai n argument s w e mak e som e preliminar y reduc -
tions. I f q' i s th e larges t squarefre e diviso r o f q the n
Mk{q-h) = ^M k{q'-h),
so it suffices t o prove (6 ) when q is squarefree. Also , by Holder's inequality we see

that i f (6 ) hold s fo r k the n i t als o hold s fo r al l k' < k. Henc e t o prov e (6 ) fo r al l
k i t suffice s t o prov e (6 ) fo r a sequence o f k tendin g t o infinity , an d consequentl y
from no w o n w e suppose tha tA ; i s a positiv e integer .
2. A probabilisti c model . I f al l th e prim e factor s dividin g q ar e larg e

then w e ma y expec t tha t th e numbe r o f reduce d residue s i n a n interva l wil l b e
distributed muc h a s i n th e followin g probabilisti c model : Le t X i , . . . , X^ b e
independent rando m variable s wit h th e distributio n
P(Xm = 1 ) = P ,
P(Xm = 0 ) = 1 - P ,
and pu t X = X i + • • • + X^ . Thu s X i s a random variabl e wit h expectatio n hP,

so tha t
fc
(9) /i fc = E((X-/iP) )
is the /ct h momen t o f X abou t it s mean . I t i s no t har d t o sho w tha t

k
fik « * (hP) *
154 CHAPTE R 8 . REDUCE D RESIDU E CLASSE S
when hP > 1 . T o compare thi s wit h Mk(q\ h) w e apply th e binomia l theore m t o

see tha t
(10) M k(q;h) = ±(k)(±( £ lYVw)*- .

r=0 \ n = l^ m= l' /
{rn+n,q) — l
On writin g th e rt h powe r o f th e su m ove r m a s a n r-fol d sum , an d takin g th e
sum ove r n inside , w e see tha t th e expressio n i n larg e parenthese s abov e i s
EE i -
m i , . . . , m r \<n<q
\<mi<h ( m . + n j g ) = i
l<i<r
Let 3 = {mi, ... , ra r}, an d pu t 5 = card23 . Suppos e tha t h < y an d tha t p > y
for al l prime s p dividin g 9 . The n th e inne r su m abov e i s
(ID n(p-*)=* n I 1 -;))-

p\q p\q
Since th e prime s dividin g q are large , thi s i s approximatel y
(12) q Y[(i-±)' = q p:
p\q
It i s not har d t o show that i f we replac e the expression i n large parentheses in (1 0 )
by qP s the n th e resultin g expressio n i s exactly qfik. Thu s Mk{q\ h) differ s fro m
qHk by a n amoun t tha t depend s o n th e differenc e betwee n th e tw o expression s
(11) an d (1 2) . Precisely , i t ca n b e show n tha t i f y > h an d p > y fo r ever y prim e
divisor p o f q, the n
Mk(q;h) = q» k + O k(±(hP)k") + O k(^hP).
3. A n approac h b y Fourie r techniques . I f f(n) ha s perio d q the n w e

define th e Fourie r coefficient s
a
1q
f( /<l) = - Y\ f{n)e{-an/q),
^ 71 = 1
and w e hav e th e Fourie r expansio n

Q
fH =^^T(a/q)e(an/q).
a=l
For th e function s w e shal l b e considering , th e siz e o f th e Fourie r coefficien t

depends largel y o n th e siz e of the leas t denominato r o f th e rationa l numbe r a/q.
Thus i t i s helpfu l t o not e tha t th e abov e i s
r
=
J2 ^2 f{a/r)e{an/r).
(a,r) = l
3. AN APPROACH BY FOURIER TECHNIQUES 155
With complet e residu e system s an d reduce d residu e system s i n mind , w e pu t

(13) e(r ) = {a/r : a G Z}/Z ,
and
(14) X(r) = {a/r : a G Z, (a , r) - 1 }/Z .
In thi s notation , w e may writ e th e Fourie r expansio n o f f(n) a s
(15) / w = £ E fipWri-
r\q P eOl{q)
Suppose tha t w e wis h t o estimat e th e kth momen t o f / . The n w e rais e bot h

sides t o th e /ct h power , an d su m ove r n. Afte r expandin g th e powe r o n th e righ t
hand sid e an d interchangin g th e orde r o f summation , w e see tha t
E/(«)* = E E (n/(*))E e(to + -- + <*) n )

n = l n\q Pi€Jl(ri) M = l' n= l
l<i<k l<i<k
S
(16) = ? E «
Ki<k
where
S{r)= £ fl/(ft)-
Pi£K(ri) i=l
l<i<k
To estimate thi s expressio n w e employ th e followin g basi c inequality .

FUNDAMENTAL LEMMA . (Firs t Form ) Let n , . . . ,r ^ 6 e positive squarefree
integers, and put r — [ r i , . .. , r^]. i n #i e notation of (1 3) , /o r 1 < i < k we let
Gx be a complex-valued function defined on C(r^) . Suppose also that every prime
factor of r divides at least two of the r^ . Then
(17)
E n G*(*) ^ n h E
PiGe(n)*=i
iG«(ft)i a)
KKJfc
EPi^Z
The final hypothesi s ma y a t firs t see m peculiar . T o appreciate it s importanc e
suppose tha t p\r\ an d tha t p\ri fo r i > 1 . The n th e condition s pi G C(n) ,
^ P i E Z impl y tha t pi G G(ri/p). Thu s al l mentio n o f p ca n b e remove d fro m
the lef t han d side , withou t affectin g th e valu e o f th e expression . O n th e othe r
hand, i f G\(p) — 0 for p G C(ri) \ C(ri/p) , the n th e righ t han d sid e is—a s fa r a s
its dependence on p is concerned—of th e form C/y/p. Sinc e p could be arbitraril y
large, thi s lead s t o obviou s nonsense . A s fo r th e degre e o f precisio n offere d b y
(17), w e ma y firs t not e tha t w e hav e equalit y i f th e Gi ar e al l constant . Mor e
significantly, w e hav e equalit y whe n k i s even, r<n-\ — ^2i, G2i-i{p) = G2i{—p),
156 CHAPTER 8 . REDUCE D RESIDU E CLASSE S
and 7*2 , r 4 , . .. , rk ar e pairwise coprime. W e think o f this configuration a s giving a

"diagonal" term ; the n th e Fundamenta l Lemm a assert s tha t n o term contribute s
more tha n i t woul d i f i t wer e diagonal .
In th e nex t sectio n w e construc t a mor e genera l formulatio n o f th e Funda -
mental Lemm a i n whic h th e r * ar e n o longe r require d t o b e squarefree .
To appl y thi s machiner y t o reduce d residues , w e tak e
f(n) = card {a; : n < a; < n + h} — Ph.
Then
r\q ^ ' peX(r)
where E(p) = X^m=i e (P m )- Thi s n t s t n e Patter n o f (1 5) . Sinc e E(p) < C

min(h, l/||p||) (recal l (3.2 ) o n p . 40) , i t follow s tha t
2
£ \E{p)\ <rh.
PeQ(r)
Hence b y (1 6 ) an d th e Fundamenta l Lemm a w e find tha t
M^hXKqh^P^1 £ ,r ^ ip{vi)
r\q Ti\r
Ki<k
=^'^n('^(^p4r)*)
p\q
k2 2k+k
^qh ' P~ .
When combined wit h the probabilistic method o f the preceding section, thi s gives
not (6) , bu t instea d th e weake r estimat e
k 2
Mk(q;h) « fc q{hP) / (l+Pk'\\oghf)
for hP > 1 . Thi s i s stil l stron g enoug h t o prov e (4 ) fo r al l 7 > 0 , bu t t o obtai n

(6) on e mus t establis h a complicate d elaboratio n o f th e Fundamenta l Lemma ,
in whic h th e uppe r boun d give n i s smalle r whe n th e configuratio n i s fa r fro m
diagonal.
4. Th e fundamenta l lemma . W e now formulate a mor e genera l versio n of

the Fundamenta l Lemma .
FUNDAMENTAL LEMMA . (Secon d Form ) Let r u . . . , rk be positive integers,

and put r = [ r i , . . . ,rfc] . In the notation of (1 3) , for 1 < i < k we let d be
4. TH E FUNDAMENTA L LEMM A 157
a complex-valued function defined on C(r-i) . Suppose also that if p a\r then p a
divides at least two of the r t. Then for any real number p,
(18) E n^( ft) *=i v Piee(ri) J
\<i<k
Y^pi=p ( m o d i )
We ma y suppos e tha t p E 6(7*) , sinc e otherwis e th e su m i s empty . I f w e

choose number s c * so tha t (c uri) = 1 for al l % the n th e ma p pi1—» Q P ; (mo d 1 )
permutes th e /9 j € C(r 2). Sinc e the right han d sid e of (1 8 ) i s invariant unde r suc h
permutations, i t follow s tha t (1 8 ) hold s wit h th e mor e genera l sid e conditio n
k
(19) ^2c tpi = p (modi) .
Suppose tha t r i s squarefree , an d conside r th e fc-tuples r = (7*1 ,.. . ,r k) suc h

that [7*1 ,.. . , rjt] = r. Ther e ar e precisely (2 fc — k — l ) w r suc h /c-tuple s fo r whic h
the las t hypothesi s i n the Fundamenta l Lemm a i s satisfied. I f k i s odd the n ther e
are n o diagona l terms , an d i f k i s even the n ther e ar e (k/2)^^ diagona l terms ,
which i s rathe r small , eve n whe n compare d wit h th e numbe r (2) ^ T o f term s
for whic h ever y prim e diviso r p o f r divide s exactl y 2 of th e Ti . Fo r suc h term s
we see tha t
and henc e th e boun d provide d b y the Fundamenta l Lemm a i s the sam e fo r thes e
terms a s for a diagonal term . I t woul d b e nice to hav e a form o f the Fundamenta l
Lemma tha t woul d giv e a bette r boun d fo r thes e non-diagona l terms , bu t th e
following exampl e suggest s tha t thi s ma y b e difficul t t o achieve .
EXAMPLE 1 . Suppos e tha t r i s squarefree , an d tha t eac h prim e diviso r p o f

r divide s exactl y 2 of th e r x. Fo r eac h i, choos e a particula r p\ € C(r;) , an d pu t
P = Y,P\- Se t
1 {iPl=P 1
(
Gi Pi ) = l '
\ 0 otherwise .
Then equalit y i s achieve d i n th e Fundamenta l Lemma , eve n thoug h th e config -
uration ma y b e fa r fro m diagonal .
From th e standpoin t o f application s th e Gi abov e ar e no t ver y natural , sinc e

we ar e primaril y intereste d i n function s wit h a pea k i n th e neighborhoo d o f th e
origin. However , eve n for suc h Gi w e may encounte r difficulties , a s we see below.
EXAMPLE 2 . Suppos e tha t k = 3 , an d pu t n = (s — 1 )5 , r 2 — s(s + 1 ) ,

r 3 = ( s + l)( s — 1 ) wher e s i s a larg e intege r chose n s o tha t (s — l)s(s + 1 ) i s
squarefree. Thu s s = 2 (mo d 4) , r = (s — l)s(s + 1), an d ever y prim e facto r o f

r divide s exactl y tw o of the r\ . Pu t
n i f ^ e^(r,),||p,|| < 3/s2,
1 0 otherwise .
On th e left han d sid e o f (18) th e term p\ — 1/ri, P2 = I/V2, P 3 = 1 — 2/V 3
contributes th e amount 1 , and thu s w e se e tha t th e upper boun d provide d in
(18) i s of the correc t orde r o f magnitude. (Not e tha t 2/r% G 3t(rz) sinc e r$ is
odd.) O f course thi s constructio n succeed s onl y becaus e th e r% are of a very
special sort . Fo r genera l Vi we d o no t expec t t o experience suc h tigh t clusterin g
of the p % nea r th e origin .
P R O O F . Withou t los s of generality w e ma y suppos e tha t p G C(r), an d tha t
the Gi ar e non-negative .
We first prov e th e resul t fo r squarefre e r , arguing b y inductio n o n k. If k = 2
then ri = r2, and th e boun d follow s fro m Cauchy' s inequality . No w suppose tha t
k > 2. For 1 < i < k let U be the produc t o f those prime s p that divid e Ti an d
rk bu t n o othe r Tj . Le t t/ c = Yli=i U 5 a n d for 1 < 2 < fclet Si be defined b y th e
relation rî = £;. Thu s i f p|s*; then p divides r k an d at least tw o o f r i , . .. , rk-\-
Write
Pk = 0f c + Tf c = <7f c + T i H h Tjfc_i
whereCF/ C G C(s/c) d ^ € C(£i). Thi s representation i s unique, as s^, £ 1, . .. ,t k-i

an
are pairwis e relativel y prime . Pu t s = [s\,... , Sk-i] = r/tk, an d similarl y writ e
P = ^ + ^+ - + Vi
where a G G(s) an d r/ G C(^) fo r 1 < i < k. Finally , fo r 1 < i < k pu t
&i — Pi + Ti — T[. Th e relation YlPi = p (mod 1 ) implie s tha t Oi G C(s;).
The conditio n Y^Pi ~ P ( m ° d 1 ) i s equivalent t o X^=i ^ ~ a ( m ° d 1 ) where
cr = a' — <Jk- Thu s th e lef t han d sid e of (18) is
fc-i
(20) J2G k(ak+rk) Yl HG^-n + rl).
\<i<k
The number s s i , . . . , s/c-i satisf y th e relevan t hypotheses , s o by the inductive

hypothesis th e inne r su m abov e is
fc-l / vl/ 2
* 7 l l ( * E G^-T j + r^) -
We inser t thi s i n (20) an d appl y Cauchy' s inequalit y t o see tha t th e expressio n
(20) is
< 7 ( E G ^ + ^ ) f 2 ( E n ^ E G^-Ti+T/) 2
4. TH E FUNDAMENTA L LEMM A 159
The firs t su m ove r o^ , r^ i s
Pfc6e(rfc)
In the secon d su m ove r a^ , 77- , the summan d i s independent o f cr^. Th e su m ove r

Tfc can b e considere d t o b e a su m ove r T i , . . . , r/e_1. Sinc e th e zt h facto r o f th e
product depend s onl y o n Tj , it follow s tha t thi s secon d su m i s
*kf[(si X ) G,(a z -r,+r;)2^ 5 f c f[^£ G,( A)

2
)-
Ti€e(ti)
This give s (1 8) , an d thu s th e proof fo r squarefre e r i s complete .

Suppose tha t r ha s th e canonica l factorizatio n r = Y[p a^- W e induc t o n
A(r) = max p a(p). W e hav e establishe d (1 8 ) whe n A(r) = 1 . No w suppos e tha t
A(r) > 1 and writ e r = st wher e s i s th e larges t squarefre e numbe r dividin g r .
Similarly writ e ri = s^ 2 wher e S i i s th e larges t squarefre e numbe r dividin g r-j .
The relatio n Pi = en + Ti/ Si establishes a bijectio n betwee n pi £ S(r^ ) an d pair s
{?u T i) £ C(«i ) x G(U). Similarly , w e write p = a + r / s. Pu t
h
a' = a'(r,ri,.. . ,rjfe ) = T/S-^T;/ V
i=i
The condition ^2 pi = p (mo d 1 ) is equivalent t o the pair o f conditions a' E C(s),
^<jj = a + cr; (mo d 1 ) . O n putting d = s/ 5*> we see that th e first o f these latte r
two conditions ma y b e expressed a s ^ c ^ — r (mo d 1 ) . Thu s th e lef t han d sid e
of (1 8 ) i s
k
G +T s
(21) x x
r ee(ii) cr,Ge(s
nO *= i
»^ */ *)-
t
E c i T * = r (mo d 1 ) âi=a+a' (mo dl)
Since s = [ s i , . . . , s^] i s squarefree, fro m th e precedin g argumen t w e see that th e

inner su m i s
H
<\U
i=i
^
where
1/2
These Hi als o hav e perio d 1 . Sinc e A(t) = A(r ) — 1 , t = [£ 1 ? ... , £ fc], an d th e

U satisf y th e relevan t hypotheses , i t follow s fro m th e inductiv e hypothesi s wit h
the sid e conditio n i n th e for m (1 9 ) tha t
x iWîi ^ E *dn) 2)1 /2.

X) arl=r (mo d1 )
This give s th e desire d inequality .
5. N o t e s . Le t
= (lo g p) (log log p) (log log log log p)
(log log logp)2
The bes t know n lowe r boun d i n th e directio n o f Cramer' s conjectur e i s

Pt
(22) l i m s u p +)~^ > c > 0 .
The firs t proo f o f (22 ) wa s b y Ranki n [1 4] , wit h c = e 7 . Th e bes t know n

constant i n (22 ) i s now large r b y a facto r o f 1 .3 ; se e Maie r an d Pomeranc e [1 1 ] .
In th e opposit e directio n ou r bes t uppe r boun d fo r gap s betwee n prime s i s much
weaker, bein g o f the for m pf +1 — pi po{c)- Recentl y Lo u an d Ya o
[9] showed tha t 0 = 1 1 /2 0 i s admissible , an d R . C . Backe r an d G . Harma n (t o
appear) hav e announce d a proo f tha t on e ma y tak e 0 = 1 5/28 .
The identit y (7 ) i s du e t o Hausma n an d Shapir o [3] . Ou r proo f tha t (6 )
implies (4 ) fo r 7 < 1 + fc/2 follow s Hoole y [5] . Tha t (6 ) hold s fo r 7 = 2 wa s
conjectured b y Erdo s [2] . Montgomer y an d Vaugha n [1 2 ] proved thi s conjectur e
by provin g tha t (6 ) hold s fo r al l k > 0 .
§2. Fo r ful l detail s se e §§5 , 6 of Montgomer y an d Vaugha n [1 2] .
§3. Fo r ful l detail s se e §§3 , 4 of Montgomer y an d Vaugha n [1 2] .
§4. Th e first for m o f the Fundamenta l Lemm a originates i n § 2 of Montgomer y
and Vaugha n [1 2] . Th e secon d for m o f th e Fundamenta l Lemm a i s fro m Mont -
gomery an d Vaugha n [1 3] . I n thi s latte r pape r i t i s als o show n tha t i f th e G z
are supporte d o n th e reduce d residu e classe s (a s was th e cas e i n th e applicatio n
of th e Fundamenta l Lemm a i n §3) , the n th e Fundamenta l Lemm a admit s t o a
small improvement :
(23) £ IlGiiPi) ^ n ( ^ )E \GiOH)\ 2)1 /2

pl€R(ri) i = l
l<i<k
J2pi~p mo d 1
This is better tha n (1 8 ) if there is a prime that divide s at least 3 of the r;, bu t eve n
then th e improvemen t i s s o sligh t tha t i t ha s n o impac t i n th e argumen t o f §3.
What i s needed i s a varian t o f th e Fundamenta l Lemm a tha t provide s a greatl y
improved boun d whe n th e configuratio n i s far fro m diagonal . Montgomer y an d
Vaughan [1 2 , Lemma 8] have taken a first step in this direction, bu t thei r attemp t
is very elaborate an d th e improvemen t i s still rathe r small . Suppos e tha t k — 3 ,
p = 0 , an d tha t ever y prim e diviso r o f r divide s exactl y tw o o f the r*; . The n th e
sum o n th e lef t han d sid e o f (1 8 ) ca n b e writte n a s
/] Gi(cr 2 - a 3)G2(cr3 - ai)G 3(ai - a 2).
1<2<3
REFERENCES 161
where s± = ( T ^ , ^ ) , S 2 = (7*3,n) , an d S 3 = ( n , ^ ) . I n th e analogou s analyti c

situation w e as k fo r a boun d fo r th e integra l
(24) / 9i O2 -x 3)g2{x3 -x 1 )g31

{x - x 2) d x
JT3
where ^ G L1(T). B y mimickin g th e proo f o f th e Fundamenta l Lemm a w e ma y
show tha t thi s integra l ha s modulu s no t exceedin g
3
(25) nii^H^m -
1=1
To asses s this , suppos e tha t th e g % hav e a pea k a t th e origin , sa y

i f
f1 IN I < s
(26) 9i {x) = \ " 7
t 0 otherwise .
Then th e integra l (24 ) i s 3<5 2 while th e boun d (25 ) i s muc h larger : (26) 3 / 2 . O n
the othe r hand , b y a judicious us e o f Holder' s inequalit y w e ma y sho w tha t th e
integral (24 ) ha s modulu s no t exceedin g
3
(27) nitoii^m -
i=l
In th e cas e o f th e pea k function s (26) , thi s expressio n i s 4<S 2, which i s th e cor -

rect orde r o f magnitude . Unfortunately , i t seem s tha t an y hop e o f establishin g
something simila r i n th e arithmeti c situatio n i s dashed b y Exampl e 2 .
References
1. H . Cramer , On the order of magnitude of the difference between consecutive

prime numbers, Act a Arith . 2 (1 937) , 1 47-1 53 .
2. P . Erdos , The difference of consecutive primes, Duk e Math . J . 6 (1 940) ,
438-441.
3. M . Hausman an d H . N. Shapiro, On the mean square distribution of primitive
roots of unity, Comm . Pur e App . Math . 2 6 (1 973) , 539-547 .
4. A . Hildebran d an d H . Maier , Irregularities in the distribution of primes in
short intervals, J . Rein e Angew . Math . 39 7 (1 989) , 1 62-1 93 .
5. C . Hooley , On the difference of consecutive numbers prime to n, Act a Arith .
8 (1 963) , 343-347 .
6. , On the difference of consecutive numbers prime to n, II, Publ. Math .
Debrecen 1 2 (1 965) , 39-49 .
7. , On the difference of consecutive numbers prime to n, III, Math .
Zeit. 9 0 (1 965) , 355-364 .
8. , On the intervals between consecutive members of sequences, Proc .
Symposia Pur e Math . 24 , Amer. Math . Soc , Providence , 1 973 , pp. 1 29-1 40 .
9. S . T . Lo u an d Q . Yao , The number of primes in a short interval, Hardy -

Ramanujan J . 1 6 (1 993) , 21 -43 .
10. H . Maier , Primes in short intervals, Michiga n Math . J . 3 2 (1 985,. , 221-225.
11. H . Maie r an d C . Pomerance , Unusually large gaps between consecutive
primes, Theori e de s nombre s (Quebec , 1 987) , d e Gruyter , Berlin , 1 989 ,
pp. 625-632 .
12. H . L . Montgomer y an d R . C . Vaughan , On the distribution of reduced
residues, Ann . Math . 1 2 3 (1 986) , 311-333.
13. , A basic inequality, Congres s i n Numbe r Theor y (Zarautz , 1 984) ,
Universidad de l Pai s Vasco , Bilbao , 1 989 .
14. R . A . Rankin , Proc . Edinburg h Math . Soc . (2 ) 1 3 (1 962/63) , 331 -332 .
Chapter 9 . Zero s o f L-Function s
1. I n t r o d u c t i o n . Th e Riemann Hypothesis (RH ) assert s tha t al l th e non -

trivial zero s o f th e Rieman n zet a functio n li e o n th e critica l lin e a = 1 /2 , an d
the Generalized Riemann Hypothesis (GRH ) assert s tha t th e sam e hold s fo r
all Dirichle t L-functions . Assumin g tha t thes e hypothese s ar e valid , on e ma y
speculate endlessl y abou t ho w th e trut h wil l b e revealed . O n on e hand , on e
could imagin e finding a proo f o f GR H excep t fo r rea l zero s o f L-function s o f
real characters . O n th e othe r hand , on e coul d equall y wel l imagin e tha t th e
key lie s i n provin g tha t L(s,x) 7 ^ 0 fo r c r > 1 / 2 an d rea l x > a n d tha t the n i t
will b e relativel y eas y t o exten d th e argumen t t o yiel d GRH . I n thi s chapte r w e
leave such issues aside, and tak e an incrementa l approach . Th e classical zero-fre e
region fo r L-functions , assert s tha t i f p = (3 -f r y i s a zer o o f L(s , x) the n
unless 7 = 0 and x i s a real character. Firs t prove d many years ago, this estimat e
has bee n improve d sinc e onl y i n restricte d cases . Fo r example , th e exponentia l
sum method s discusse d i n Chapter s 3 an d 4 hav e bee n applie d t o giv e bette r
upper bound s fo r |C(s) | whe n a i s near 1 , an d the n a wide r zero-fre e regio n ca n
be derive d fo r th e zet a function . Suc h reasonin g ca n b e applie d t o L-functions ,
but i t affect s onl y th e dependenc e o f th e zero-fre e regio n o n I7I , an d ha s n o
impact o n the dependenc e o n q. I n short, w e have no workable q- analogue o f ou r
exponential su m techniques , excep t whe n q is ver y highl y composite .
Suppose tha t w e coul d replac e th e constan t c in (1 ) b y a functio n o f g , tend -
ing t o infinit y wit h q. Suc h a n improvemen t woul d hav e immediat e arithmeti c
consequences. Fo r example , w e coul d deduc e Vinogradov's Hypothesis, whic h
asserts tha t i f x i s a non-principa l characte r modul o q the n ther e i s a n intege r
n, 0 < n < q e, suc h tha t x(^ ) ¥" 1 > x( n) ¥" 0- Th e derivatio n o f thi s fro m a n
improvement o f (1 ) i s provided i n §2 , where w e derive a precis e uppe r boun d fo r
the leas t characte r non-residu e fro m a hypothetica l zero-fre e region . I f suc h a n
improvement o f (1 ) coul d b e establishe d fo r al l x (mo d q), the n on e woul d als o
have a n improve d valu e o f Linnik' s constant : I f (a , q) = 1 then ther e i s a prim e
number p suc h tha t p = a (mo d q) an d p < q l2/5+e.
In § 3 we sho w tha t i f ther e i s a zer o o f L(s , x) nea r th e edg e o f th e classica l
zero-free regio n (1 ) , the n ther e mus t b e man y othe r zero s nearby . Ou r hope —
163
164 C H A P T E R 9 . ZERO S O F L-FUNCTION S
not ye t realized—woul d b e tha t suc h a situatio n coul d b e prove d impossible ,

perhaps b y usin g idea s relate d t o powe r sum s o r irregularitie s o f distribution .
To encourag e suc h a n approach , i n § 4 we employ a simpl e varian t o f ou r powe r
sum idea s o f Chapte r 5 , § 6 to sho w tha t i f a n L- function o f a rea l characte r ha s
an exceptiona l zer o (on e tha t violate s (1 )) , the n th e zero-fre e regio n (1 ) ca n b e
improved. Thi s phenomeno n wa s first note d b y Deurin g an d Heilbronn .
2. Leas t Characte r Non-Residues . I f \ i s a nonprincipa l Dirichle t char -

acter (mo d q) then th e least character non-residue o f x , denote d n x , i s the leas t
positive numbe r n suc h tha t x( n) ¥" 1 a n d x( n) ¥" 0 - W e giv e a n uppe r boun d
for n x i n term s o f th e zero s o f L(s, x) n e a r s = 1 .
THEOREM 1 . Let x be a non-principal Dirichlet character (mo d q), and sup-
pose that 8 is chosen, 0 < 8 < 1 /2 , so that L(s , x) 7 ^ 0 when
2
(2) a>l-8, 0 < \t\ <8 \ogq.
Then there is an absolute constant A such that

6
(3) n x < (ASlogq)'/ .
If w e writ e 8 = ij;/\ogq, the n th e uppe r boun d (3 ) take s th e for m n x < q e

with e = V> _1 log(Aip). Thu s e is small if -0 is large, and w e see that Vinogradov' s
Hypothesis i s true fo r x provide d tha t th e distanc e fro m 1 to th e neares t zer o of
L(s,x) i s larg e compare d wit h 1 /logg . B y takin g 8 = 1 / 2 w e obtai n
COROLLARY 1 . If x ^ a non-principal character (mo d q), and if all the non-

trivial zeros of the function L(s, x) ^ e on the critical line a = 1 /2 , then
2
(4) n x«(logg) .
PROOF O F THEORE M 1 . I f 6 < 1 /log g the n (3 ) i s weake r tha n th e trivia l

estimate n x < q. Thu s w e ma y suppos e tha t 8 > \/\ogq. Le t x an d y b e rea l
parameters, 1 < x < y, t o b e chose n later , an d pu t
w
(5) w (n) = ^~ / rr [z- — ) dw
where c is an y constant . (Th e valu e o f w(n) i s independen t o f c. ) Tha t is ,

2
0 ifn<x ,
2 2
logn/x i f x < n < xy,
(6) w(n)
log y2/n i f xy < n < y 2,
I0 i f y 2 < n.
Take c > 0 , multipl y bot h side s o f (5 ) b y x(^)A(n)/n , an d su m ove r al l n > 1 .

The su m i s uniforml y convergent , s o th e integratio n an d summatio n ca n b e
2. LEAS T CHARACTE R NON-RESIDUE S 165
interchanged, an d w e find tha t
E«;(»)x(n)A(n)/n=-ye_ioo - ( .+ l , x ) ( _ - _ ) du, .
On pullin g th e contou r t o th e lef t w e see tha t thi s i s
7 y
*—v /vp~x — r p~1 \2
< » =-z( —^-)-
Here th e su m i s ove r al l zero s o f L(s,x) - T o analyz e thes e zero s w e mus t not e
that x i s n ° t necessaril y a primitiv e character . Suppos e tha t x * (mo d q*) is th e
primitive characte r tha t induce s X - The n
X
(8) L(8,x) = L(s, X-) II ( -^)
The zero s of L(s, x*) ar e of two types: th e non-trivial zeros p = (3+ 17, which li e
in th e critical strip 0 < (3 < 1 , an d th e trivial zeros, whic h ar e — 1 , - 3 , - 5 , . . .
or 0 , —2, - 4 , . . ., accordin g a s x ( ~ l ) — —1 o r x ( - l ) = 1 - Eac h facto r o f th e
product i n (8 ) ha s a n arithmeti c progressio n o f zero s o n th e imaginar y axis ,
<C logp zero s i n an y interva l o f length 1 . Sinc e ^2 p\q log p < logg , i t follow s tha t
L(s, x) ha s < ^ logq zero s i n an y interva l o f lengt h 1 on th e imaginar y axis . Th e
summand i n (7 ) i s
2.-2(1-/3)
\P ~ 1 |
uniformly fo r / ? < 1 . Thu s w e see tha t th e su m (7 ) i s
V X
(9) =-E{ ,_ ') +o(^ -—-r)+0(X->logq).
Here th e sum s ar e restricte d t o th e non-trivia l zero s (th e rea l zero s an d non -

real zeros , respectively), an d th e las t ter m reflect s th e contributio n o f the trivia l
zeros.
The size of the first erro r term in (9 ) depends on the number o f zeros in various
parts o f th e critica l strip . Le t n x(r,t) denot e th e numbe r o f zero s o f L(s , x) i n
the dis k \p - ( 1 + it)\ < r. Pu t r = \t\ + 2 . W e no w demonstrat e tha t
r
(10) % ( ^ ) < r log qr
uniformly fo r 1 /logg r < r < 2. T o se e this , recal l tha t
j;(^x) = Y^-^—+0(\ogqT)
p
166 CHAPTER 9 . ZERO S O F L-FUNCTION S
uniformly fo r — 1 < a < 2, where ^ indicate s tha t th e sum i s restricted t o thos e

zeros p o f L(s,x) f° r whic h \t — 7 ] < 1 . (Thi s i s (5 ) i n §1 6 o f Davenpor t [5]) .
Take s = 1 -I- r -f it. Sinc e
— {l + r + it) < - - M l + r ) < - <log<? ,

LQ r
y
it follow s tha t
«-^/
L_
1
< lo g qr.
^1 + r + it •
Here eac h ter m ha s positiv e rea l part , an d i f \p — ( 1 -f- it)\ < r the n th e rea l par t
is > l/(2r) . Thu s ther e ca n b e a t mos t < C rlog^T suc h zeros .
With (1 0 ) i n hand , w e now estimat e th e first erro r ter m i n (9) . Cu t th e stri p
1 — 26 < a < 1 — 6 int o square s o f sid e lengt h 6. B y (1 0 ) w e se e tha t th e
contribution t o (9 ) mad e b y zero s i n thi s stri p i s
logq{\j6\ + 2)
On replacin g 6 by 2 k6 w e see tha t th e contributio n t o th e firs t erro r ter m i n (9 )

made b y zero s i n th e stri p 1 — 2 k+1 6 < a < 1 — 2 k6 i s
«x-2'c+1^-12-fclog<?.
On summin g ove r k = 0 , 1 , . . . , w e deduc e tha t th e contributio n t o th e su m
first erro r ter m i n (9 ) mad e b y zero s fo r whic h (3 < 1 — 6 i s < C x~ 268~l \ogq.
Now divid e th e stri p 1 — 8 < a < 1 int o squares . Th e zero s i n th e jth suc h
square contribut e a n amoun t < C (j6)~2. Assumin g tha t th e first J suc h square s
contain n o zero, we sum ove r j > J t o se e that thes e zero s contribute a n amoun t
^S^J^logq.
Since th e first ter m o n th e righ t han d sid e o f (9 ) i s negative , o n combinin g
our estimate s w e se e tha t
00
1
26 1
(11) &^w(n)x(n)A(n)/n<Cx- 6- logq + C6- J-llogq
n=l
where C i s some absolut e constant . No w suppos e tha t x(^ ) = 1 or 0 for al l n i n

the interva l x 2 < n <y 2. B y th e prim e numbe r theore m w e kno w tha t
00
2
Vûr(n)A(ri)/n ~ (\ogy/x)
n=l
when x an d y are large with y >2x. Fro m this we must subtrac t th e contributio n
made b y the power s o f the prime s dividin g q. Sinc e th e contributio n o f one suc h
prime i s < x~ 2(logy/x)logp, i t follow s tha t th e su m o f suc h contribution s i s
< x~ 2(logy/x) logq. Tha t is ,
(12) J^w(n) Xo(n)A{n)/n = ( 1 + o(l))(logy/^) 2 + 0(xr 2{logy/x) logq)

2. LEAS T CHARACTE R NON-RESIDUE S 167
where Xo denotes th e principal characte r (mo d q). Th e suppositio n tha t x( n) =

Xo(^) for all n in the range x 2 < n < y2 implie s tha t th e left han d side s o f (11 )
and (1 2 ) ar e equal, an d consequently w e see that
(logy/x)2 < x~ 268~l \ogq + x~2(logy/x) \ogq + 8~ 1 J'1 logq.
Taking x 2 = (Slogq) 1 ^6 an d y2 = x 2A1 /6, w e find that th e above give s

(log A)28~2 < <T 2 + (lo g A)6-2(6\ogq)1-1/6 + 8~ lJ~l logq.
Since 8logq > 1 and 1 — 1 /8 < 0 , we see that th e second ter m o n the right i s
<t: (log A)8~2. O n taking J = [£log#] , the last ter m o n the right i s of the sam e
order o f magnitude a s the first term o n the right, an d thus w e have
{log A)28~2 <£ [log A)8~ 2.
But thi s inequalit y i s fals e i f A is a sufficientl y larg e constant , an d hence we

deduce tha t th e left han d side s o f (1 1 ) and (12) are not equal. Tha t is , there
is a n n, x 2 < n < y 2 = (A8 log q)1^6 suc h tha t x( n) ^ 1 a nd x( n) ¥" 0- Thi s
completes th e proof.
Since n x i s always a prime number , i t is reasonable to ask for a similar boun d
for th e least prim e p such tha t x(p) — 1 -
THEOREM 2. Let x be a Dirichlet character (mo d q) of order K > 1 . Suppose
that 8 is chosen, 1 /log g < 8 < l / 2; so that L(s,% /c) ^ 0 in the rectangle
2
1-8 <o < 1, |t | <K8 logq,
for 0 < k < K. Let C be any Kth root of unity. Then there is a prime number p
such that x(p) = C an&
1 /6
(13) p< (AK8logq) .
Here A is a suitable absolute constant.

PROOF. W e note tha t
1 ^ v , , fc ,- fc f 1 ifx(n ) = C,
1
K f—
ln
f — ^ v
0 otherwise .
It the n suffice s t o apply the method use d to prove Theorem 1 , with x{ n) replace d
by thi s linea r combinatio n o f characters.
As in the case of Theorem 1 , we note ho w thi s woul d rea d unde r GRH .
COROLLARY 2 . Let x be a Dirichlet character (mo d q) of order K > 1 .
Suppose that all non-trivial zeros of L(s, xk) ^ e on the line o — 1/2, for 0 < k <
K. Let C be any Kth root of unity. Then there is a prime number p such that
x(p) = C and
2
(14) p<K (logq)2.
168 C H A P T E R 9 . ZERO S O F L-FUNCTION S
3. C l u m p s o f Zeros . Fo r simplicit y w e expres s ou r result s i n term s o f

the zet a function , bu t ou r metho d applie s equall y t o L- functions. B y takin g
logarithmic derivative s i n th e Weierstras s produc t formul a fo r th e zet a functio n
we find tha t (recal l (8 ) i n §1 2 of Davenpor t [5] )
»£(*) = - » - ^ - »- + J log7T
Q 5— 1 s i
^ s-p 2 r V
p
where £ \ run s ove r al l non-trivia l zero s o f th e zet a function . Whe n a > 1 we

also hav e th e optio n o f logarithmically differentiatin g th e Eule r produc t formul a
for th e zet a function , whic h yield s th e formul a
<' ^ A ( n )
1
•w = £
' 7 = 1
For a > 1 let
—— co s t log n
(15) _ _ £ '-'
(<r-/9) ! + ( t - 7 ) 2
(T-/3c r
( a _ l ) 2+ < 2 a 2+ f 2
+ ^ Y r ( ( f f + t*)/2)-log7r .
This i s bu t on e o f man y formula e w e hav e tha t lin k prime s t o zero s o f th e zet a

function. W e have a good understandin g o f the asymptotic s o f f(a, i) whe n |t | i s
bounded, an d w e tak e advantag e o f th e non-negativit y o f th e coefficient s A(n) .
For example , fro m th e inequalit y | cos#| < 1 we see tha t
|/M)|</(M) l < 7 -1
uniformly fo r 1 < a < 2 . Pu t
F{<r, t) = 3/((7,0 ) + 4/(<r , t) + / ( a , 2t).

Since 3 + 4 cos 0 + co s 20 > 0 fo r al l 0 , i t follow s tha t F(a,t) > 0 fo r al l a > 1
and al l t. Thi s relatio n i s a standar d par t o f th e classica l proo f o f th e zero-fre e
region. I n (1 5 ) th e contributio n o f eac h zer o i s negative ; thi s i s balance d b y th e
gamma function , sinc e
»^((<T + «t)/2 ) = lo g |t| + 0 ( l )

3. CLUMP S O F ZERO S 169
when \t\ i s large . Th e difficult y w e encounte r whe n w e tr y t o us e (1 5 ) t o glea n

information concernin g th e distributio n o f zeros is that w e have n o way of tellin g
whether th e — ^ log |t( contribute d b y th e zero s i s du e t o « lo g \t\ zero s a t a
distance « 1 from s , a s they woul d be if they wer e on the critical line , or whethe r
we have a smaller numbe r o f zeros closer to s. Despit e this, we are able to extrac t
some partia l informatio n concernin g th e distributio n o f the zeros , assuming tha t
there i s a zer o o n th e edg e o f th e classica l zer o fre e regio n (1 ) .
THEOREM 3 . Suppose that (3Q + 27 0 is a zero of the Riemann zeta function

with 0 < /? o < 1 and 7 0 > 0 . Let ra(r, t) denote the number of zeros p of ((s) in
the disk \p- (l + it)\ < r. If
1-A)
log 70
then
(16) n(r,7o ) + n(r,27o ) ^r lo g 70
uniformly for 1 - /? 0 < r < 1 .
P R O O F . Th e uppe r boun d i n (1 6 ) i s immediate fro m (1 0) . Thu s i t suffice s t o

establish th e lowe r bound . Le t
G6(<T,t) = F(a,t)-F((T + 6,t).
Thus o n on e han d
-<5
G6{<r,t) = V - ^ ( l - n ) ( 3 + 4 c o s n o g n + cos2£logn )
n=l
(17) > 0
for a > 1 , while o n th e othe r han d
G6(v,t) = 3W 6(CJ - 1 ,0 ) - 4 ] T ^ ( < 7 - /?, t - 7 )

p
(18)
• £ > 6 ( < r - / J , 2 t - 7 ) +0(6)
where
x 2 + y 2 (a : + d) 2 + y 2
The weight s wit h whic h th e zero s wer e formerl y counte d ha d th e advantag e o f
being non-negativ e (recal l th e derivatio n o f (1 0 ) i n th e precedin g section) ; th e
new weight s w& ar e sometime s negative , bu t the y ar e neve r very negativ e i f 8 is
large compare d wit h a ~ 1 , and the y deca y lik e a n invers e square . Tak e
(20) a = 1 + 27(1 -A)) , t = 7 o,

and suppos e tha t
(21) « > 224(1 -A)) .
On th e righ t han d sid e o f (1 8) , th e pol e o f th e zet a functio n contribute s
3 ^ - l , 0 ) < ^ = ^ ,
while i n th e first su m ove r p the ter m p = po contribute s

Z
-4w*((7-A),0) = —
a - /?- r c+ r + 6 - Po
0
-1 4
7 ( 1 - A ) ) 2 81( - A ) ) +«'
which b y (20 ) i s
-1
< =7=
7 ( 1 - A^T
) ) 2+81( - A ) ) + 224(1 -A) )
63(1-A))"
Thus th e combine d contributio n o f thes e tw o term s i s
To asses s th e contribution s mad e b y th e remainin g term s i n (19) w e firs t

establish tw o usefu l inequalitie s concernin g th e weight s w$. First ,
:
(23) w €{x,y)> j
when x > 0, sinc e

,x ^x +6 ^ x +1 6 ^ - 1
W6{x,y) > ~- 2 2 5 > - - ; —rr ^ = — - > —.
(x + o) + 2 T ( x + fl)^ x -f o o
Second,
6
(24) K^^l^^^^
when x > 0. T o see thi s i t suffice s t o not e tha t
2
,N 6 x - y 2 -j - xS
a:"2 -f yl [x + by + y z
since th e secon d facto r o n th e righ t clearl y ha s absolut e valu e no t exceedin g 1 .
By (23 ) w e se e tha t
(25) - 4£ ^-At- 7)<*M,

|p-(l+r 7 o)|<r
3. CLUMP S O F ZEROS 171
and similarl y tha t
(26) - £ ^-A2*-7)<^^.
|p-(l+2i7o)|<r
On th e othe r hand , b y (24) w e see tha t
- 4 Yl w 6{a-0,t->y)<&6 ] £ \p - ( 1 + 27o)|"2,
\p-(l+i-yo)\>r | p - ( l - M 7o)|>r
which b y (10) an d partia l summatio n is
(27) <*ta.
r
Similarly,
(28) - £ „ e( ,_A t _ 7)< *!20».

|/o-(l + 2t7o)|>r
On combinin g (1 7) , (1 8) , (22) , and (25)-(28), w e find tha t

141
^n(r,7o) + - n ( r, 270 ) > _ - 0(<5 r log70) .
On takin g 6 = cr where c is a sufficiently smal l constant , i t follows tha t
n(r, 7o ) 4 - n{r, 270) > r log 7 0

for 224c~ 1 (l-/3 0 ) < r < 1. For the remaining rang e l - / 3 0 < r < 224c"1 (l-/3b),
it suffice s t o not e tha t
n(r, 7 0 ) + n ( r, 270 ) > 1 .
We now show that th e zero s induce d b y po lie more abov e or below po , rathe r
than t o the lef t o f p0 .
THEOREM 4 . Suppose that (3$ -f 270 i s a zero of the Riemann zeta function
with 0 < fa < 1 and 7 0 > 0, and that
1
(29) -/ % :
log 70 '
TTien /or an y i? , 2( 1 — /3Q) < # < 1 , iftere i s an r, \/R{l — Po) < r < R, such
that there are ^> r log 70 zeros p of £(s) such that
(30) l
Cr
^ -logR/(l-0oy - n (|7-7o|,|7-27o|)<r.
The constant C depends only on the constants implicit in the relation (29) .
PROOF. Le t a = 1 + 1/log70. The n
cc
j(<r + *7o) + ^(o- + 2z7o ) < C log70,
and s o b y (1 0 ) i t follow s tha t
(3D E {a _ 0*;£_ 7o)2 +E {a _ ^;£_ 2 7 o ) 2 «io g 7o.

Let 5 be a paramete r t o b e determine d later , an d writ e
n{r, t) = ri\ (r, t) + n 2 (r, £ )
where a zer o p = / ? + 2 7 counted b y n(r , £ ) i s counte d b y ri i o r 71 2 according a s

1 — (3 > S\j — t\ o r no t Suppos e tha t
(32) n i (r, 70) + n x (r, 270) « r lo g 7 0
uniformly fo r >/J?( l — /?o) < r < R. I f p i s a zer o fo r whic h 1 — P > 6\^ — 701
then p contribute s a n amoun t ^ > 6/\p — (1 + 270) ! to th e lef t han d sid e o f (31 ) ,
and th e sam e applie s i f 1 — p > S\j — 2701. Henc e b y partia l summatio n th e lef t
hand sid e o f (31 ) i s
(33) » «(l 0gTfo)log7—5—

(1 - Po)
Now take 6 = Cj \og{R/{l-fto)) wher e C i s chosen larg e enough so that (31 ) an d
(33) ar e inconsistent . The n (32 ) canno t hol d uniforml y i n th e specifie d range ,
and henc e ther e i s a n r i n thi s interva l fo r whic h
^2(^,70) + n 2 ( r , 270 ) « r l o g 7 0 .
The zero s counte d her e al l satisf y (30) , s o th e proo f i s complete .
4. Th e Deuring-Heilbron n Phenomenon . W e no w sho w tha t i f there i s

a rea l characte r \i whos e //-functio n L(s,xi ) ha s a n exceptiona l rea l zer o /? i
then othe r zero s ar e "pushe d back " fro m th e 1 -line .
T H E O R E M 5 . (Linnik ) Suppose that L{s,Xi) has an exceptional zero (3\, and

that xi is primitive (mo d q{). Put
(34) A
( l - A ) logger '
There is a {large) absolute constant C\ and a {small) absolute constant C2 such
that if A> C\ and x is primitive (mo d q) then L(s , x) 7 ^ 0 f or
c2logA
a> 1 -,
logger
except for the original exceptional zero (3\ of L{s,xi)-
Before embarkin g o n th e mai n bod y o f th e proof , w e establis h th e requisit e
power-sum lemmas .
4. T H E DEURING-HEILBRON N PHENOMENO N 173
LEMMA 1 . Let
K
p(r,e) = J2{i- 1 ~ykcoske.
IfO<r<l thenP{r,9) > - 1 / 2 for all 9. Also, P(1 ,0 ) = K/2, and\P{r,6)\ <
3r/2 forO<r < 1 /3 .
P R O O F . Sinc e 1 + 2P(l,27r0 ) = A K+1 (9) i s Fejer' s kernel , i t i s clea r tha t

P(1,0) > - 1 / 2 fo r al l 0. (Recal l (1 6 ) i n Chapte r 1 . ) Le t z = re %e. The n
P{r,9) i s a harmoni c functio n o f z, s o it s minimu m o n th e dis k i s assume d o n
the boundary . Th e secon d assertio n i s obvious, sinc e AK+I(0) = K 4-1 . A s fo r
the thir d i t suffice s t o not e tha t
oo
|PM)| < $ >* < §r .

fc=l

We no w us e th e propertie s o f P(r , 0) t o establis h a varian t o f Theore m 1 1 of
Chapter 5 .
LEMMA 2 . Let s u = ^2 nbnz^ where the sum may have infinitely many sum-
mands. Suppose that sup n \z n\ = \zi\, and that b n > 0 for all those n for which
\Zn\ > N / 3 . Put
n
Then there is av, 1 < v < 2AL, such that
8 k , > Aftilîl" .
PROOF. B y homogeneit y w e ma y suppos e tha t \z\\ = 1 . Le t z n = r n e ^ n . I n

the notatio n o f Lemm a 1 ,
K
K
1
= X > "E i - ^Y)<(cos^ n ) ( H - c o s i / e1 )
n v—\
6 F r
= S " ( ( " ' ^ ) + \ P(rn,6n - * l ) + \P(r n,0n + «l)) .
The ter m fro m n = 1 contributes

'/T 3 \ , / #+ !
^(T->>(-i--3riK
The term s fo r whic h r n > 1 / 3 contribut e > — bn > —3r nbn each . I f r n < 1 / 3
then th e ter m i s > — 3rn |6 n |. Thu s
S ( i - xTi)^ 1 '^1 + C0Sl/dl) - ~T~ bl ~ 3blL

-
Let K = [24L] . The n th e righ t han d sid e i s > Kbi/8. Bu t
K
£ i 1 - KÎ) J cos
+ : ( + ô ^ ^ (^ °) = ^
and th e summand s ar e non-negative , s o i t follow s tha t ther e i s a v < K suc h
that $ls u > 6i/8. Thi s complete s th e proof .
P R O O F O F THEORE M 5 . I n thi s proo f w e emplo y a n unusua l convention :
All sum s an d product s ove r zero s ar e extende d ove r al l zero s o f th e functio n i n
question, including the trivial zeros.
Let x D e a characte r (mo d q), x ¥" Xo- W e differentiat e th e partia l fractio n
formula
£ ( s , x ) = B ( x ) + E ( _i_ + i)
k — 1 times t o obtai n th e formul a
1 1° °
( 3 5 ) T^TlY. £ x(n)A(n)(logn) f c1
- n- = - £ - — ^ ,
^' n= lp ^ " '
nasa
for a > 1 , A: > 2 . I f x = X o then L(s , x) P°^ e at 5 = 1 , and th e correspond -
ing formul a i s
1 1° ° 1
(36) ( * = ! ) ! £ Xo(n)A(n)(logn) f e1- n- = j — ^ - £ _ _
for a > 1 and k >2. W e now suppose tha t L(s , x) ha s a zero po = 00 + i~/o wit h
/?o near 1 . W e distinguis h severa l cases .
Case 1 . x / Xoi X ¥" Xi- W e tak e / c = 2i/ , a = 2 , / ; = 70 , an d for m a n
appropriate linea r combinatio n o f (35 ) an d (36 ) t o see tha t
1° °
( 37 ) (o IN IE A
( ^ " 2 ( ! + Xi(»))( ! + x W n - ^ J C l o g n ) 2 - 1
(21/ - 1 ) ra=l
1
r^-/?,^"
(2-/?: 2^ 6 " 2 "'
where 6 n = 1 for al l n an d th e z n ar e th e number s ( 2 — p) 2 wit h p running ove r

all zero s of
((s)L(s, Xi)L{s + z7o , x)L(s + ryo , XX1 )
4. TH E DEURING-HEILBRON N PHENOMENO N 175
except for the zero f3\ of L(s, Xi)> whose contribution ha s been written separately .
The rea l par t o f th e lef t han d sid e o f (37 ) i s non-negative , s o tha t
(38) » £ < ( 2 — /?o) _2j S O tha t

2
L < ( 2 - A)) £) | 2 - p\~ 2 « lo g qq lT
p
by (1 0) . B y Lemm a 2 there i s a v < 24 L suc h tha t
»£<^2-^)- 2 l /
>gexp(-2Kl-/3o)).
n
On combinin g thi s wit h (38 ) w e see tha t
exp(2,(l- / 3 o ))>I^r^»A
This give s th e resul t i n thi s case .

Case 2 . x — Xo - Tha t is , q = 1 and L{s,x) = C( 5)- The n w e hav e (37 ) a s
before, excep t tha t no w th e su m o n th e righ t include s a n n fo r whic h b n = — 1,
zn — (1 + r/o)~ 2 - Thi s ter m arise s fro m th e pol e o f L(s + 270 , x) a t 5 = 1 ~~ ^7o-
Since w e ma y assum e tha t |7 0 | > 2 , th e hypothese s o f Lemm a 2 ar e stil l met ,
and th e proo f proceed s a s before .
Case 3 . X — Xi - W e for m th e linea r combinatio n i n (37 ) a s before , bu t no w
we write th e righ t han d sid e a s
+ ( 1 + n o ) - 2 " - ( 2 - ft + ho)' 2" - £ ft„<

(2-ft)
where th e firs t fou r term s reflec t th e pol e o f ((s) a t s = 1 , th e zer o o f L(s,Xi )
at /3 1 ? th e pol e o f L(s + ryo , XXi) a t s = 1 - r/o , an d th e zer o o f L(s + ^70 , x) a t
5 = /3 X — ry 0 . Th e differenc e o f th e first tw o term s i s bounded a s i n (38) . A s fo r
the thir d an d fourt h terms , w e not e tha t
•2-0i
{2-Pi 2 x
(l + z 7 o ) - 2 l / - ( 2 - / 3 i + z 7 o ) ~ 2 l / = 2 i /y (u + i-yo) »- du,
from whic h w e see tha t
1 + ilo)-2" ~ ( 2 - f t + H o r H < 2i/( l - ft)|l + ilQ\'2l/-1 < 2v{\ - ft)
The ne t effec t i s that w e still hav e (38) , except tha t th e coefficien t 2 on th e righ t
must b e replace d b y 4 . Th e remainde r o f th e argumen t run s a s before .
5. N o t e s . §1 . Fo r th e Rieman n zet a function , th e classica l zero-fre e regio n

(1) wa s establishe d i n 1 89 9 b y d e l a Valle e Poussin . Th e ful l strengt h o f this ,
with attentio n t o dependenc e o n q was establishe d somewha t late r b y Gronwal l
[9] and Titchmars h [30] . Fo r th e zet a function , th e firs t improvemen t wa s give n
by Littlewoo d [21 ] , wh o showe d tha t £(s ) ^ 0 fo r a > 1 — c(loglogr)/log r
where r = \t\ + 2 . Later , Chudako v [3 , 4 ] use d Vinogradov' s exponentia l su m
method t o obtai n a zero-fre e regio n o f th e shap e a > 1 — c/(logr) a wit h a < 1 .
The valu e o f a ha s bee n improved , th e bes t resul t t o dat e i s tha t £(s ) ^ 0 fo r
c
2 3
a >
(logr) / (loglogr)V3 ;
This i s du e t o Korobo v [1 6 , 1 7 ] an d Vinogrado v [31 ] . Fo r Dirichle t L-function s

we kno w similarl y tha t L(s , x) 7 ^ 0 if
log<? + (lo g r )2 / 3 (log log r )1/ 3

except fo r th e possibilit y o f a rea l zer o whe n x i s r e a l- Postniko v [27] , Rozi n
[29], an d Gallaghe r [7 ] hav e give n simila r improvement s i n th e dependenc e o n
q whe n q is a powe r o f a fixe d prime . Graha m an d Ringros e [8 ] hav e obtaine d
a smalle r improvement , analogou s t o tha t obtaine d b y Littlewood , unde r th e
weaker hypothesi s tha t q has man y smal l prim e divisors .
§2. Rodosski i [28 ] showe d tha t a n improvemen t o f (1 ) woul d yiel d Vino -
gradov's hypothesis; hi s upper boun d fo r n x i s an unspecifie d powe r of the boun d
(3) o f Theorem 1 . Ou r argumen t proceed s i n th e sam e spiri t a s Rodosskii's , bu t
with a simple r choic e o f th e kernel . Theore m 1 is a specia l case o f a mor e gen -
eral resul t o f Lagarias , Montgomer y an d Odlyzk o [1 8] , which was established b y
the sam e method . Th e Corollar y o f Theore m 1 was first prove d fo r quadrati c
characters b y Anken y [1 ] b y a complicate d method , an d the n mor e simpl y b y
Montgomery [22 , pp. 1 20-1 24] . Th e Corollar y o f Theorem 2 is Theorem 1 3. 2 of
Montgomery [22] . J.-P . Serr e (privat e communication ) ha s pointe d ou t tha t th e
former publicatio n o f thi s resul t contain s a seriou s misprint .
§3. Th e materia l i n thi s sectio n i s base d o n Chapte r 1 1 of Montgomer y [22] .
It seem s tha t usin g difference s offer s a n advantag e ove r derivatives , a s wa s don e
by Levinso n [1 9] .
§4. Deurin g [6 ] an d Heilbron n [1 1 ] note d th e effec t unde r discussion , bu t
Theorem 5 i s du e t o Linni k [20] . Linnik' s proo f wa s ver y complicated , bu t
Knapowski [1 5 ] gav e a simpler proo f usin g Turan' s method . Stil l furthe r proof s
have bee n give n b y Motohash i [23 , 24] , Jutil a [1 2 , 1 3] , Pint z [25 , 26] , an d
Heath-Brown [1 0] . Bombier i [2 , Theorem e 1 4 ] ha s show n tha t i f ther e i s a n
exceptional zer o the n no t onl y i s th e zero-fre e regio n wider , bu t zero-densit y
estimates ca n b e mad e stronge r a s well . Hi s estimat e o f thi s kin d implie s ou r
Theorem 5 a s a corollary . I n thi s connectio n see als o Jutil a [1 4] . Th e proof
given her e o f Theore m 5 is previously unpublished . On e ma y not e tha t Siegel' s
theorem tha t f3 < 1 — q~ e fo r q > qo(e) is a simpl e corollar y o f Theore m 5 .
REFERENCES 177
References
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65-72.
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Chapter 1 0 . Smal l Polynomial s wit h Integra l Coefficient s
1. Introduction . Le t
N
a xn
(i) p(x) = j2 n
71 = 0
be a polynomia l wit h integra l coefficients , an d pu t
(2) I(P) = f P{ x)dx = j ^ ^ -
Let d,N denot e th e leas t commo n multipl e o f the integer s 1 ,2,.. . , N. The n I(P)
is a rationa l numbe r whos e denominato r divide s dw+i . Thu s J(P)djv + i i s a n
integer, an d henc e i f I(P) ^ 0 the n
(3) d N+!\I(P)\>l.
By using the fundamental theore m o f arithmetic i t i s easy to see that d^ = e*^ ^

where ip(x) i s th e usua l summator y functio n o f th e vo n Mangold t A-function ,
familiar i n th e theor y o f prim e numbers . Thi s yield s
THEOREM 1 . Let P(x) be a polynomial with integral coefficients as in (1 ) ,

and let I(P) be defined as in (2) . Then
X
(4) >{N+l)>log
\I(P)\
Since
V1 ' 2 ' ' AT +i)-'-

it follow s tha t ther e exis t integer s a o , a i , . . . ,OA T s o tha t I{P) = l/d^v+i ? an d
hence equalit y ca n b e achieve d i n (4) , fo r an y give n N. However , i t i s mor e
difficult t o giv e a n explici t constructio n o f a goo d choic e o f th e a n. I f w e tak e
P(x) = x m{l - x ) m the n 0 < P(x) < 2~ 2rn fo r 0 < x < 1 , and henc e 0 < I{P) <
2 _ 2 m , an d (4 ) give s i/j(2m+ 1 ) > 2m log2. Thi s i s comparabl e t o th e simples t
Chebyshev lowe r bound . Indeed , I(P) = ra! 2/(2ra-f-1 )!, whic h i s reminiscen t o f
the us e o f binomia l coefficient s t o deriv e Chebyshe v estimates .
179
180 CHAPTER 1 0 . SMAL L POLYNOMIAL S
One strateg y fo r makin g | / ( P ) | smal l i s to mak e |P(#) | small , uniforml y fo r

0 < x < 1 . Defin e r^ r by the relation
(5) r ^ = ^ ||P|| L.[0il].
degP<AT
If P(x) i s a polynomial fo r which thi s minimu m i s achieved, the n | / ( P ) | < r^ .

On th e othe r hand , ther e i s nothin g t o preven t I(P) fro m vanishing , s o we
consider instea d I(P 2). Sinc e 0 < I(P 2) < r~2Ar , i t follow s fro m (4 ) tha t
1(6) V(2AT+ ) > 2N log r N.

It woul d b e nic e i f r^ — > e a s N — > oo, sinc e the n on e coul d obtai n a new
proof o f the prim e numbe r theore m i n this way , possibl y wit h a good erro r term .
Unfortunately, a s we shall sho w below , r^ neve r get s thi s large . Nevertheless ,
we tak e upo n ourselve s th e task o f trying t o determine th e limiting behavio r of
r^r, an d the nature o f the extremal polynomial s i n (5).
In view of (6) and the prime number theorem , w e see that li m s u p ^ ^^ rjy < e.
We now show tha t
(7) r — li m rjy
JV—>oo
exists. T o this end, suppose that P is extremal of degree n. Writ e N = nq+r wit h
0 < r < n, by the division algorithm . The n P qxr i s an admissible polynomia l of
degree TV , and hence
r ^ < | | W || < ||P|| * = r-" n = r' N+r < r~ N+n

.
Thus TN > r n~~n' , an d i t follow s tha t lim'mijsf-ôo^N > r n. No w n ma y be

chosen so that r n i s arbitrarily clos e to lim sup r^. Henc e lim inf r^ > li m sup r jy,
so the limit (7 ) exists.
The firs t fe w values o f r^ ar e easy t o determine .
TABLE I . r N fo r smal lTV

N rj v lo g TAT extrema lP
11 0.00000 0x
22 1 0.693 4 7 x{l - x)
3 2 11
/ 3 3 / 2 = 2.1 8224 7 0.78035 5 x( l - x)(2x - 1 )
2
42 1 0.693 4 7 x (l-x)2
2
5 v ^ = 2.23606 8 0.8047
1 9x (l - x) 2(2x - 1 )
WhenT V = 1 or N = 4 ther e i s mor e tha n on e extrema l polynomial , bu t

when N = 2, N = 3, o rT V = 5 th e extrema l polynomia l i s unique . Thi s i s
particularly eas y t o see in the case o fTV = 2 . W e note tha t P(0) £ Z . Thu s if
I|Î!L~[O,I] < 1 then P(0 ) = 0 , and similarly P ( l ) = 0 . Tha t is , x(l - x)\P(x).
Thus th e only extremal P of degree 2 is P2(x) — x(l — x). Thi s polynomia l take s
1. INTRODUCTIO N 181
its maximu m a t x = 1 /2 , s o w e conside r th e siz e o f F ( l / 2 ) for variou s pomikte

P. Sinc e 2 NP(l/2) € Z , i t follow s tha t i f ||P| | < %~* the n P ( l / 2 ) = 0 , wbfcf e te
to sa y tha t (2a; - 1 )|P .
After i V = 2 , th e valu eA T = 5 i s particularl y interesting . Suppos e tha t
d e g P = 5 an d tha t (|P| | < 1 /50 . W e know tha t x(l - x)(2x - l)\p, Th e
reasoning use d t o deriv e thi s ca n b e take n a ste p further : Th e broth^ p Marko v
proved tha t i f P € C[x], deg P = N thei >
P ( j ) ll < A T /iV+j >

(8)
i! ,M^(V)'«--
We not e tha t i f P ha s integra l coefficient s the n s o als o doe s P^/jl. Takin g
N = 5 , j = 1 , w e se e tha t HP 7)) < 50||Pjj , Thu s i f ||Pj | < 1 /5 0 the n ]|P'| | < 1 .
But P'(0 ) an d P ' ( l ) ar e integers , s o i t follows tha t P'(0 ) ^ P ' ( l ) = 0 . Tha t is ,
x2(l - x) 2(2x - 1 )|P . Henc e th e onl y polynomia l P wit h integra l coefficients , o f
degree 5 , wit h ||P| | < 1 /5 0 i s P 5 = # 2 (1 - #) 2 (2x - 1 ) , T p determin e th e valu e
of ||P 5 || w e differentiate: P^(pc) « 2#{ # - 1 )P(# ) wher e
(9) F W - b » - f a+ l - 5 ( * - ^ ( » - ^ ) .
The root s o f P li e i n [0,1 ] , an d P 5 attain s it e m&ximu m modulu s 5~ 5//2 a t thes e

two points . (Not e tha t 5~ 5 ^ 2 < 1 /50. ) Th e polynomia l F(x) arise s i n th e sam e
way tha t th e polynomia l 2x — 1 arose when considerin g P2 . T o sho w tha t th e
analogy continues , w e recall th e followin g -simpl e result .
LEMMA. Let F(x) e Z[x], say
K
F{x) = c KxK 4 - . . . + c o = c K Y[(x - fa).
fc=i
IfPe Z[x], d e g P ~ N, then
K
(10) c%Y[P(0 k)€Z.
fc=l
If P(X)JZ= UN Jln=i( x ~ a
n) the n th e expressio n abov e ma y b e writte n rrxor e
synam^rically a s
**<& n (&-<>•
l<fc<K
Kn<iV
This i s the resultant o f P an d P , denote d P(P , P) .
P R O O F . Th e product i n (1 0 ) is a symmetric polynomial in the fa wit h integra l
coefficients. Henc e by the fundamental theore m of symmetric functions i t ma y b e
written a s Q((T\, ... ,GK) wher e th e Oi are th e elementar y symmetri c function s

of th e pk- Moreover , Q ha s integra l coefficients , an d
K
degQ = degp iY[P((3k)=N.
k=i
Since CK&I G ^ fo r al l z , it follow s tha t c^Q(<Ji,.. . , GK) G ^-

Returning t o the polynomia l F define d i n (9) , we see that 5 N P((3i)P(p2) G Z.
Hence i f ||P| | < 5~ 5 / 2 the n F\P. Thi s suggest s tha t t o find a bette r polynomia l
P w e should searc h amon g polynomial s o f th e for m
(11) x ai
(x - l) a2
{2x - l) a3
(5x 2 - 5 x + l ) a 4 .
Unfortunately, w e hav e no t ye t bee n abl e t o sho w tha t th e patter n tha t ha s

begun s o promisingl y continue s beyon d P<i an d P5 . Nevertheless , w e se e tha t
the polynomial s 2x — 1 and 5x 2 — bx - f 1 are o f a n interestin g type : The y hav e
integral coefficients , thei r root s al l li e i n [0,1 ] , the y ar e irreducible , an d thei r
leading coefficient s ar e small . Le t 3 * denote th e se t o f al l polynomial s F G Z[x]
that ar e irreducibl e ove r Q an d hav e al l thei r root s i n [0,1 ] , an d pu t
K
(12) s= limin f c'
deg F=K
where CK > 0 i s th e leadin g coefficien t o f F. Th e polynomial s F G 7 for m a

barrier t o formin g goo d polynomial s P i n th e followin g sense .
THEOREM 2 . Let r and s be defined as in (7 ) and (1 2) . Then
(13) r < 5.
P R O O F . Le t P b e a non-zer o polynomia l wit h integra l coefficients . Sinc e P

is divisibl e b y a t mos t finitely man y F G JF, it follow s tha t th e intege r (1 0 ) i s
non-zero fo r al l bu t finitely man y F. Henc e ||P| | > c^ ' fo r al l bu t finitely
many F , an d consequentl y ||P| | > s _ i V , whic h implie s tha t r^ < s fo r al l N.
We conjecture tha t r = s. Moreover , w e expect tha t th e extremal polynomial s
PN ar e product s o f power s o f F G J, a t leas t fo r infinitel y man yT V i f not fo r al l
N. Le t PA T denote an extrema l polynomial o f degree N, an d suppos e that F E ? .
Let k = k(N, F) b e th e powe r o f F dividin g P , s o tha t PÎJP . The n w e expec t
that limjv-KX ) k/N exists ; cal l i t «(P) . I t ma y als o b e th e cas e tha t I I F G ^ F K^
in som e sens e define s a measur e o n [0,1 ] . I f so , i t woul d b e worthwhil e t o
understand th e suppor t o f thi s measure , associate d extrema l potentials , etc . I t
may b e tha t proof s o f thes e assertion s wil l no t b e har d t o construct , onc e on e
has gleane d a sufficiently detaile d pictur e o f the situation . Althoug h ou r presen t
knowledge falls fa r shor t o f what w e would like , we are nevertheless abl e to deriv e
some interestin g results , suc h a s th e following .
2. TH E GORSKOV-WIRSIN G POLYNOMIAL S 183
COROLLARY 1 . Let a be an algebraic integer of degree K over Q, and suppose

that a and all its conjugates lie in the interval [l,oo ) on the real line. Then
N(a) > (2.31 7) x unless a = 1 , a = 2, or a = ( 5 ± y/h)/2.
PROOF. Le t / b e th e minima l polynomia l o f a , an d pu t F(x) = x K f(l/x).
Then th e root s /J* , o f F li e i n [0,1 ] . Th e leadin g coefficien t CK of F i s N(a)\
suppose tha t CK < (2.31 7)^ . I n th e Lemm a tak e
P(x) = x 5 (l - xf{2x - l) 2 (5x 2 - 5r r + 1 ) .
This polynomia l ha s degre eT V = 1 4 , an d critica l point s a t x = 0 , 1 /2 , 1 and a t

the fou r point s
Now P(0 ) = P ( l / 2 ) = P ( l ) = 0 , whil e
and
, / l - V3 5 / " ^= x -40923-
11 77574^/2 9
M - ± - —VV 8 - V2 9 ) = — = -7.7498722 "6
V2 7 0 J 82354300000 0
Hence ||P| | < 7.74987 3 x 1 0~ 6 < 7.781 00 1 x 1 0~ 6 < (2.31 7)- 1 4 . Sinc e c ^ <
(2.317) 14K , i t follow s tha t th e expressio n (1 0 ) ha s absolut e valu e < 1 . Henc e i t
is 0, s o F i s one o f the polynomial s x — 1 , 2x — 1 , 5x 2 — bx + 1 . Consequentl y a
is on e o f th e number s 1 , 2 , or ( 5 ± y/E)/2.
We now present a furthe r sequenc e o f polynomials, b y mean s o f which i t ma y
be see n tha t s < 2.376842 . Thi s als o yield s th e bes t know n uppe r boun d fo r r .
2. Th e Gorskov-Wirsin g Polynomials . Le t u(x) b e the rational functio n

x(l — x)
(14) u(x) =
1 - 3x( l - z ) '
It i s easy t o se e tha t u(0 ) = u(l) = 0, tha t it(l/2 ) = 1 , that u(x) = u(l — x) fo r
all x , tha t u(x) i s increasin g i n [0,1 /2] , an d tha t u(x) i s decreasin g i n [1 /2,1 ] .
Thus u take s th e interva l [0,1 ] t o itself , a s depicte d i n Figur e 1 . Consequently ,
if f(x) i s a polynomia l o f degre e d with integra l coefficient s an d d roots i n (0,1 )
then
2 d
(15) F(x) = ( 1 - Sx + Sx ) f{u(x))
is a polynomia l o f degre e 2d with integra l coefficient s an d 2d roots i n (0,1 ) . B y

iterating thi s constructio n w e obtai n a sequenc e o f polynomial s wit h al l thei r
roots i n (0,1 ) , and—a s i t turn s out—relativel y smal l leadin g coefficients . T o
expedite thi s approach , w e first investigat e th e iterate s o f u(x).
0.6
0.4
0.2+
FIGURE 1 . Th e functio n u(x) fo r 0 < x < 1 .
Let u^(x) denot e th e fcth iterat e o f u. Her e u^ i s als o a rationa l function ;

to writ e i t explicitl y w e introduc e a sequenc e o f polynomial s f k(x) determine d
by th e followin g relations :
/o(a;) = 2 a ; - l ,
(16) /i(x ) = 5x 2-5x + l ,
fk+1(x) = f k(x)2 + f k(x)fk^(x)2 - / fc_!(x)
4
.
Then
fo(x)2~h(x)
u(x)
2f0(x¥-fl(Xy
k+1
Since u^ \x) = u(u^(x)), w e find b y a n eas y inductio n tha t
fk-i(x)2 -fk(x)
(17) 2<*>(a:) = (* > 1 ) .
2fk-1(xy - f k(x)
As u~ x{Q} = {0,1 } , th e zero s o f u^ k+2^ ar e precisel y th e zero s o f u^ k+l^
together wit h th e root s o f the equatio n u^ k+1 \x) = 1 . B y (1 7 ) w e see that thes e
x ar e th e zero s o f f k(x). Sinc e u( k+l\x) = 1 has 2 k distinc t solution s i n (0,1 ) ,
it follow s tha t f k(x) ha s a t leas t 2 k distinc t root s i n (0,1 ) . O n th e othe r hand ,
by (1 6 ) i t i s clea r tha t th e degre e o f f k i s a t mos t 2 k. O n combinin g thes e tw o
pieces o f information, w e deduce tha t f k(x) ha s degre e exactl y 2* , that i t ha s 2 k
simple zero s i n (0,1 ) , an d tha t i t ha s n o othe r zeros . Pro m (1 6 ) i t i s als o clea r
that fk G Z[x]. W e sho w belo w tha t th e fk ar e irreducibl e ove r Q , an d henc e i t

follows tha t fk E 7 . Fo r th e presen t w e merel y observ e tha t i t i s obviou s tha t
the irreducibl e factor s o f fk li e i n 3 \
Although w e have specified th e fk b y means of the recurrence (1 6) , these poly-
nomials ca n als o b e generate d b y mean s o f th e procedur e (1 5) . Mor e precisely ,
(18) / f c + i(x) = ( - 1 + 3x - 3x 2f f k(u(x))
for k > 0 . W e establis h thi s b y induction . Th e cas e k = 0 i s clea r fro m

the definition s o f u, /o , an d / i i n (1 4 ) an d (1 6) . Pro m (1 7 ) an d th e identit y
u^kJrl\x) = u^ k\u{x)) w e see tha t
fk(x)2 - f k+1 (x) ^ f k-i(u(x))2 - f k(u(x))
2
2fk(xy - f k+1 (x) 2/fc-xMa:)) - A(u(i)) '
By subtractin g 1 from bot h side s w e deduce tha t
2
-fk(x)2 _ -A-j^Qr))
2
Vk{x) - h+i{x) 2/*_ 1 («(x))2 - Mu(x)) "
On th e righ t han d sid e w e multipl y th e numerato r an d denominato r b y (— 1 +
3a; — 3a; 2)2 , and find tha t i t i s
- ( ( - l + Sx-Sa; 2)2*-1 /*-!^)))2
2 ( ( - l + 3a ; - 3a; 2 ) 2fc -7fc-i("(a:))) 2 - ( - 1 + 3a ; - 3a; 2)27fc(u(a^))
By th e inductiv e hypothesi s thi s i s

2
= -Mx)
2/fc(a;)2 - ( - 1 + 3 x - 3x*)» f k(u(x))'
Here the numerator i s the same as in the initia l fraction ; henc e the correspondin g
denominators mus t b e equal , s o w e have (1 8) .
In orde r t o deriv e a n uppe r boun d fo r s , w e nee d t o determin e th e leadin g
coefficient o f fk- T o thi s end , w e first facto r th e numerato r o f u. Pro m (1 6 ) w e
see tha t
fk-i(x)2 - f k(x) = f k^2(x)2(fk^(x)2 - h-iix)).
By usin g thi s inductively , w e find tha t th e abov e i s

2
= (/ fc_2(x)---/oW)
2
•(/oW -/iW).
Here th e las t facto r ca n b e calculate d b y mean s o f (1 6) , an d henc e w e se e tha t
the abov e i s
2
(19) =(/ f c _ 2 (a;)-../ 0 (a;)) a;(l-a;).
Put go(x) = 1 , an d fo r k > 0 pu t gk(x) = fo(x) • • • fk-i{x). The n (1 9 ) i s

2 2
equivalent t o th e identit y fk(x) = fk-i(x) — x(l — x)gk~\{x) . Indeed , th e
polynomials fk an d gk ca n b e simultaneousl y generate d b y th e identifie s
fo{x) = 2x-l,
9o(x) = 1 ,
(20)
fk+i(x) = fk(x) 2 - x(l - x)g k(x)
2
(fc>o),
gk+i{x) = fk(x)g k{x) (fc > 0).
By inductio n i t i s clear fro m thes e identitie s tha t de g fk = 2 k, an d tha t de g gk =

2h — 1 . Fro m the oscillator y natur e o f u^) i t i s clear tha t th e root s of u^ k\x) = 1
interlace wit h thos e o f u^ h\x) = 0 . Tha t is , th e zero s o f fk~i(x) interlac e
with thos e o f x(l — x)gk-i(x). Alternatively , fro m th e interlacin g o f th e zero s
of fk{x) wit h thos e o f x(l — x)gk{x), w e se e b y (20 ) tha t th e zero s o f fk+\(x)
and x(l — x)gk+\(x) interlace . I n Figur e 2 on e ca n se e tha t th e zero s o f / 3
interlace wit h thos e o f g% = Jo/i/2 - Consequentl y (fk,gk) = 1 for al l /c , an d
hence (fj,fk) — 1 whenever j ^ k.
o.iT
0.0 5 +
-0.0 5 +
-O.lJ-
FiGURE 2 . Th e polynomial s / 0 , / i, J2, /3 fo r 0 < x < 1 .

Let a k denot e the leadin g coefficient o f fk, an d le t bk be the leadin g coefficien t

of g k. Pro m (20 ) w e see tha t
a0 = 2 ,
&o = l ,
(21)
ak+i=a2k + b 2k (fc>0) ,
6fc+i = a kbk (k > 0).
Put c k = a k/bk. The n
*l + i>l ( 1
Cfc + l = . =C fe + — .
That is , th e sequenc e o f rationa l number s c/ - ca n b e generate d b y th e relation s

c 0 = 2,
(22)
c f c + 1 =c f c + — (fc>0) .
Ck
Since a^+i/a l = 1 -1 - 1/c^, i t follow s tha t

fc-i
l/2fc 1 \1 /2 J' +1
a fc
j=0 ^
As Cj > 2 fo r al l j , we se e tha t th e abov e increase s wit h k an d approache s a

finite limi t a s k — > oo . Thi s yield s th e best-know n uppe r boun d fo r 5 .
THEOREM 3 . (Gorskov ) Let the sequence {c k} be defined by (22), and put

1 \ 1 /2 J + 1
(23) 50=2 n(i+^)
j=0 ' ^ '
T/ien 5 < so -
Numerically, 5 0 = 2.376841 706263 9 = exp(0.86577259) .
P R O O F . W e argu e withou t usin g th e irreducibilit y o f th e f k. Choos e k > 0 .
We note tha t f k ha s degre e 2 k an d leadin g coefficien t a k < SQ . Henc e f k ha s a t
least on e irreducibl e facto r h whose leadin g coefficien t i s < s 0 e s . Amon g suc h
irreducible factor s o f fk choos e one , sa y h k. Clearl y hk € 3 ^ Also , th e h k ar e
distinct, becaus e (fj,f k) = 1 when j ^ k. Henc e 5 < so -
It i s usefu l t o kno w tha t fk E 7 fo r al l k. T o establish thi s i t remain s onl y t o
prove
THEOREM 4 . (Wirsing ) For k > 0 let f k{x) be defined as in (1 6) . Then f k{x)
is irreducible over Q.
P R O O F . Clearl y / o i s irreducibl e ove r Q. Suppos e tha t f k i s irreducibl e bu t

that f k+\ i s reducible. I n vie w of (1 8) , a zer o 7 o f f k+\ i s a roo t o f the equatio n
u(x) — (3 wher e f3 is a zer o o f fa. Tha t is , 7 i s a roo t o f
2
(24) * -* + TTT0=°-
This polynomia l i s reducibl e ove r Q(/7) , sinc e otherwis e 7 woul d hav e degre e
2 fc+1 an d fa+\ woul d b e irreducible . Thu s 7 G Q(/?), an d henc e 7 = <?(/? ) fo r
some polynomia l q(z) G Q[z] . Le t th e conjugate s o f / ? b e denote d fa. The n
the conjugate s o f 7 ar e 7 ; = q(fa). Le t r(x ) b e th e minima l polynomia l o f
the 7J . I n additio n t o 7 , th e equatio n (24 ) ha s th e roo t 1 — 7 wit h conjugate s
1 — 7i = 1 — q(fa). Thes e number s hav e minima l polynomia l r ( l - x). Th e root s
of r(a;) an d o f r ( l — x ) ar e distinc t sinc e w e kno w tha t fa+i ha s 2 / c + 1 distinc t
roots. Henc e ove r Q w e hav e th e factorizatio n
fa+i(x) = cr(x)r(l-x).
By Gauss' s lemm a thi s factorizatio n hold s ove r th e integers , an d indee d c i s

a positiv e integer . B y inductio n w e se e tha t /fc+i(l ) = 1 , an d henc e c = 1 .
Consequently a&+ i = m 2 wher e m i s th e leadin g coefficien t o f r(x). However ,
by inductio n w e see tha t a^ = — 1 (mo d 3 ) an d tha t bk = (—l) fc (mo d 3 ) fo r al l
k. Henc e a^ canno t b e a perfec t square . Thu s w e have a contradiction , an d th e
proof i s complete .
3. N o t e s . §1 . Th e metho d fo r derivin g a lowe r boun d fo r ^(x) wa s invente d

in 1 93 6 by A . O . Gelfon d an d L . G . Shnirelma n (se e Gelfond' s editoria l remark s
in th e 1 94 4 editio n o f Chebyshev' s Collecte d Work s [22 , pp . 287-288]) . The y
employed th e L 2 nor m instea d o f the L°° norm , bu t th e differenc e i s immaterial ,
since b y takin g j = 1 in (8 ) i t i s eas y t o se e tha t N~ l\\P\\00 < ||P|| 2 < ||-P||oo -
Gelfond propose d tha t perhap s on e coul d sho w tha t ip(x) > ( 1 -j- o(\))x i n thi s
way, but fro m Theorem s 2 and 3 we see that thi s approach i s incapable of showing
that ip(x) > (0.87)x , althoug h i t remain s possibl e tha t a bette r constan t coul d
be obtaine d b y considerin g polynomial s i n severa l variables . I n contrast , Dia -
mond an d Erdo s [23 ] use d th e prim e numbe r theore m t o demonstrat e tha t th e
parameters i n Chebyshev' s metho d ca n b e chose n s o a s t o sho w tha t ip(x) > ex
and ip(x) < Cx wit h c and C arbitraril y clos e to 1 . Th e Gelfond-Shnirelma n ap -
proach was rediscovered b y Nair [39 , 40], who also devised several other methods .
Stimulated b y Nair's work , i n 1 98 0 J. Mac k an d th e autho r derive d th e materia l
found i n this section . W e are gratefu l t o P . Bundschuh pointin g ou t tha t al l this,
and muc h more , ha d alread y bee n establishe d b y E . Aparici o [3-20] .
For a discussio n o f th e Marko v inequalit y (8 ) se e th e surve y articl e o f Schaef -
fer [43] . Thi s inequalit y i s bes t possible , bu t fo r polynomial s wit h th e furthe r
property tha t PW(0 ) = P (l){l) = 0 fo r 0 < i < 7 , J . L . Ullma n (unpublished )
has give n a bette r uppe r boun d fo r ||P^^|| , namel y
{/)
(25) ll-P An|lL«[0,i] < / ? ( / / i v ) < 1 + ^ | | p | | L O '[0,1)
3. NOTE S 189
where 0(v) = (v + l/2) v+1 /2v~2v(l/2 - v) v~^2. I n th e interva l 0 < v < 1 /2 ,

this functio n take s it s maximu m valu e a t v = 2~ 3//2 , wher e i t attain s th e valu e
/?o = /3(2' 3 / 2 ) = 1 + V 2 = 2.41 421 4 .
The inequality (25 ) hold s for al l P G C[x ] with d e g P = TV , but i f the coefficient s
of P ar e integra l the n s o als o ar e th e coefficient s o f P^/Il. Henc e P^(0) i s
an integer . Thu s i f ||P||o o < PQ N the n b y inductin g o n / w e ma y deduc e tha t
p( 7 )(0) = P( J )(1 ) = 0 fo r al l / , an d henc e P = 0 . Consequently , r < fo. Thi s
is no t a ver y goo d uppe r boun d fo r r , sinc e Aparici o [1 0 ] ha d alread y give n a
simpler proo f tha t s < 1 + y/2, bu t i t raise s a possibilit y o f whethe r a sharpe r
upper boun d coul d b e derive d b y usin g th e fac t tha t P mus t als o vanis h t o hig h
multiplicity a t 1 /2 , a t ( 5 ± \/5)/1 0 , etc . I t ma y b e tha t th e Juli a se t o f u{x) i s
relevant t o furthe r advances , perhap s a s discusse d b y Barnsley , Geronimo , an d
Harrington [21 ] .
The bes t possibl e bas e i n Corollar y 1 i s 29 1 / 4 = 2.320596 . Indeed , on e ca n
take th e bas e t o b e 2.34 , provide d tha t th e fou r algebrai c integer s
V V
4 44 4 44
are adde d t o th e lis t o f exceptions. Thes e ar e th e root s o f th e polynomia l
x4 - l l x 3 + 40x 2 - 58: r + 2 9 = x 4
f4{l/x).
§2. Ou r expositio n follow s th e unpublishe d wor k o f E . Wirsing , wh o wa s

unaware o f th e earlie r wor k o f Gorsko v [30] . Th e result s o f Wirsing wer e estab -
lished i n 1 981 , apart fro m Theore m 4 , which h e established i n 1 99 3 after readin g
a preliminar y versio n o f thi s chapter . Gorsko v proceede d b y observin g tha t i f
p(x) i s a polynomia l o f degre e d whos e root s 7 ; al l li e i n th e interva l (0 , +00)
then on e ca n defin e a polynomia l P(x) o f degre e 2d whose zero s ar e root s o f th e
equations x 2 — (2 + ji)x + 1 = 0 , all lying i n (0 , +00). Thi s le d Gorsko v t o defin e
polynomials Pk{x), qk{x) b y th e recurrenc e
2
p0(x) = (x-l) ,
=
(26) Q0{X) ~ X'
Pk+i(x) = (Pk(x) + q k(x)) ,
gfc+i(z) =Ph{x)q k(x).
This i s equivalen t t o Wirsing' s approach , sinc e i f ji i s a roo t o f p k the n (3 Z —
1/(1 + 7^ ) i s the correspondin g roo t o f /&.
It may be that s — SQ , but there certainly exist polynomials F G F with leadin g
coefficient < s 0 e g othe r tha n th e th e polynomial s /& . Thi s i s exemplifie d b y
the polynomial s
1 3 x 3 - 1 9a; 2 + 8x-1 ,
4 3 2
3Lr - 61 x 4 - 41x - l l x + 1 ,
whose roots ar e fixed points o f u^ an d o f u^\ respectively . Wirsin g ha s studie d

the polynomial s tha t aris e i n thi s way ; th e intereste d reade r shoul d contac t hi m
concerning th e curren t stat e o f hi s research .
By usin g th e thir d formul a i n (20 ) on e ma y establis h th e recurrence s
3-1
^ ' ' 2=0
R(fj,fk+i) = R{f jJk)2 (k>j),

from whic h i t ma y b e deduced—b y a doubl e induction—tha t
(28) #(/,-,/* )= 1
whenever 0 < j < k.
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Appendix Som e Unsolve d Problem s
Most o f thes e problem s ar e old , an d familia r i n th e folklore . Man y o f thes e

problems see m unapproachabl e a t th e presen t time , bu t ou r desir e to solv e the m
exerts a stron g motivatin g influenc e o n curren t research . Th e problem s ar e
formulated her e so that som e of the long-ter m goal s of the subjec t wil l be cleare r
to th e newcomer .
A preliminar y versio n o f thi s lis t wa s circulate d a t th e CBM S conference ;
this fina l for m i s greatl y improve d b y th e comment s an d contribution s o f th e
participants. Som e of these problem s wer e solve d durin g o r sinc e the conference ,
and a fe w ha d bee n solve d lon g before . Suc h problem s hav e bee n retained , wit h
references t o th e solution .
1. Unifor m Distribution .
1. (Solved ) Can one construct an upper bound for D(N) in terms of the £/#(& )
that is better than the Erdos-Turdn inequality! Alternatively, show that
E(N) = mm(~ +J2\UN(k)\/k)

^ fc=l '
is the best possible upper bound for D(N), using only upper bounds for |E/jv(fc)| .
As remarke d i n th e Note s a t th e en d o f Chapte r 1 , thi s wa s solve d b y Ruzs a
during o r shortl y afte r th e conference . Se e Ruzs a [54] . I n som e delicat e situ -
ations, suc h a s i n estimatin g th e discrepanc y o f th e sequenc e {nu} wher e UJ i s
badly approximabl e (i.e. , th e partia l quotient s i n th e continue d fractio n o f a; ar e
bounded), th e boun d E(N) i s large r tha n th e trut h b y on e logarithm . J . Bec k
(to appear ) ha s devise d a ne w metho d tha t start s wit h harmoni c analysis , bu t
saves tha t logarithm . Se e als o Vaale r [66] .
2. (Solved ) How much larger than D(N) can E(N) be? In particular, if D(N) =
0(1), how big can E(N) be? By Theorem 1 . 2 we can deduce that E(N) < C N 1 /3,
and it is not hard to construct examples in which E(N) ^> N 1 /4.
During th e conference , Ruzs a [55 ] showe d tha t on e ca n hav e D(N) « 1 an d
E(N) « N 1 / 3 .
195
196 APPENDI X SOM E UNSOLVE D PROBLEM S
2. va n de r Corpu t Sets .
3. Let 0i N = {l 2 , 2 2 , . . . , TV 2}. Thus 6(H N) -+ 0 as N - > oo , w;/ier e 6 is defined

as on p. 20 . How quickly does this quantity tend to 0 ?
4. (Solved ) Pu £
7?(:K)=siipinf ||M|| .
Qe^heJi
When % is the set of squares, we know that n{3i) = 0 , by Heilbronn's theorem,
and in general we call Oi a Heilbronn se t ifrj(3i) = 0 . In Theore m 2. 9 we proved
that rj(0-C) < 6(Ji). Thus any van der Corput set is a Heilbronn set. Is the
converse true?
No, th e convers e i s false ; see th e Note s a t th e en d o f Chapte r 2 .
5. Let r}{0i) be defined as above. Can one define a dual extremal quantity, and
prove that it has the same value?
6. We know that /? f < p^ < (3 2. Is it true that (3 2 < Ax > ?
7. (Fiirstenberg ) Letp andq be positive integers, not powers of the same number.
Suppose that x is a real number, and let § p be the set of fractional parts of the
numbers p nx. Similarly, let % q be the set of fractional parts of the numbers q nx.
Show that if x is irrational then the sum of the Hausdorff dimensions of the
closures of these sets is > 1 .
Prom thi s i t woul d follo w tha t 2 n ha s a 7 i n it s bas e 1 0 expansion , fo r al l
large n.
8. Show that for any real number 0 and any e > 0 there is an JVo(e ) such that if
N > N 0{e) then there is ann, 1 < n < N, such that \\n 20\\ < iV~ 1 +e .
Heilbronn [31 ] achieve d th e exponen t —1 /2- f e, and A . Zaharesc u (t o appear )
recently improve d thi s t o — 4/7 - b e.
3. Wey l Sums .
8. Show that if P(x) = YLj=i a k%k, \ct — a/q\ < l/q 2, {a,q) = I, then
Alternatively, construct examples that violate this. Even small improvements of

existing bounds would be interesting, for example, when k — 3 and q w TV 3/2,
derive an upper bound that is o(N 3/4), say 0(N K) with K < 3/4 .
5. TURAN' S METHO D 197
9. Establish a best possible form of Vinogradov's Mean Value Theorem:
r
JV 26
b
£>(P(n,a)) da « M N + ;v26-*(fc+i)/ 2
fc 1=1
JT
where P(x, a ) = c*\ zxk + • • • + a o an d k > 2 .

The cas eA : = 2 is settled , an d indee d a n extr a facto r o f lo g N i s require d o n
the righ t han d sid e whe n k — 2 , b = 3.
4. va n de r Corput' s Method .
10. Show that (e , 1/2 + e ) is an exponent pair, for every e > 0 .
11. Give a sensible description of the boundary of the set of exponent pairs
obtainable by using Processes A and B.
5. Turan' s Method .
12. Improve on Haldsz's variant of Turan's First Main Theorem: Show that if
s
» = J2n=i bnZ n> kn | > 1 for all 7i, then
Ek| 2 »ko| 2 e-^^

i/=i
2
forN <H<N , and
H
^K|2»|so|2tf
forH>N2.
This woul d allo w on e to replac e th e resul t o f Halasz an d Montgomer y [30 ] b y
a bes t possibl e result .
13. Show that for any positive B there exist complex numbers z\, ... , z/v such
that \z n\ = 1 for all n, and s y <C # iV 1 /2 uniformly for 1 < v < N B.
For B < 2 thi s i s achieve d i n Exampl e 5.6 . Se e th e Note s a t th e en d o f
Chapter 5 .
14. Suppose that \z n\ > 1 /or a/ / n , and that b n > 0 /or aZ Z n. Prove that
N N N i/2
max |s„ | > I ( Y]\b |2
n\
or give a counter-example.
Under th e stronge r hypothesi s tha t \z n\ = 1 , this follow s fro m Theore m 5.8 .
198 APPENDIX SOM E UNSOLVE D PROBLEM S
6. Irregularitie s o f Distribution .
15. For any given positive integer k, show that there is a constant Ck > 0
such that if any N points are given in T h then their discrepancy must be >
CfcflogW)*-1.
This i s know n onl y fo r k — 2 ; see th e Note s a t th e en d o f Chapte r 6 .
16. Let N points be given in T k, and let D(a) denote the associated dis-
crepancy function. Show that there is a constant Ck > 0 such that \\D\\i >
c fc (logJV) (fc - 1)/2 .
This i s know n onl y fo r k = 2 ; see th e Note s a t th e en d o f Chapte r 6 .
17. (Komlos-Ruzsa ) Let <2i,... , a^ be distinct integers. Find a real number a so

that the sequence {aa n} is as close to uniform distribution (mo d 1 ) a s possible.
This i s several problem s i n one , dependin g o n th e interpretatio n give n t o th e
term "near. "
(1) Minimiz e th e discrepanc y I t ca n b e mad e < (N lo g AT)1/2; i s thi s bes t
possible?
(2) Minimiz e th e maximu m ga p betwee n consecutiv e terms . Perhap s th e
correct orde r i s (log N)/N.
(3) Maximiz e th e minima l distance . Th e orde r i s N~ 2; wha t i s th e bes t
constant?
(4) Minimiz e th e 1 /TV-concentratio n define d b y th e quantit y
Q = ma x eard{ n : \\aa n — x\\ < 1 /N}.
0<rr<l
Komlos obtaine d Q < C N1/2 b y estimatin g secon d moments . Ruzs a ha s
given a mor e complicate d proo f tha t Q <^ N1//3+e. Probabl y N e i s th e
truth.
18. (Danzer ) Let § be a discrete set in the plane such that every rectangle in
the plane of area 1 contains at least one point of the set. Let N(R) denote the
number of members of § in the disk of radius R centered at the origin. It is
possible to have N(R) « i ? 2 as R— > o o ?
It i s eas y t o construc t example s i n whic h N(R) < C R2 logR.
A larg e collectio n o f unsolve d problem s concernin g irregularitie s o f distribu -

tion i s provide d i n th e boo k o f Bec k an d Che n [2] .
7. Mea n an d Larg e Value s o f Dirichle t Polynomials .
19. Show that if \a n\ < 1 for all N then
f
Jo
TI N
1
5>""""
n=l
2p
<ft < ( T + N p)Np+e
7. MEA N AN D LARG E VALUE S O F DIRICHLE T POLYNOMIAL
1 S 9 9
uniformly for 1 1 for 1 < r < R, and if
\0"n\ < 1 for a M n> then
Ri N
XjX>nn ^ <(7V + i?)iV 1 +e .

r = l ' n=l
See §7. 6 an d th e Note s a t th e en d o f Chapte r 7 .
21. Let A i , . . . , AJV 6 e distinct real numbers, and put

6n = mi n |A m - A n|.
m
Determine the best constant in the inequality
m
m,n * *n n=l
rriykn
Montgomery an d Vaugha n [47 ] prove d thi s wit h c = 37r/2 , an d c = IT would b e

best possible . Se e §7. 5 an d th e Note s a t th e en d o f Chapte r 7 .
22. Show that there exists an absolute constant C such that ify is any finite set
of prime numbers, and a p are arbitrary complex numbers, then
2
iy Hl
p,qG7 pG?
Erdos aske d fo r th e specia l cas e o f thi s i n whic h a p = 1 for al l p G J\ a p = 0

otherwise. I f i t ca n b e prove d tha t th e answe r t o Erdos' s questio n i s i n th e
affirmative, woul d th e mor e genera l inequalit y propose d abov e follow ? Ruzs a
has constructe d a se t Q of N integer s suc h tha t th e numbe r o f member s o f Q in
any interva l o f lengt h x i s < C x/logx, bu t
E ,r
\m. — n.\
\m — n,
> N lo g log AT.
m,n£Q ' '
Ruzsa speculate s tha t perhap s th e followin g stronge r informatio n concernin g

the distributio n o f prime s i s th e neede d ingredient : Le t a i , . . . , a # denot e th e
number o f prime s i n K consecutiv e interval s o f lengt h x. The n
K
TS 2
K x
V ^2 „
23. (Solved ) Show that
d\n \d-s\
6\n
d^6
Proposed b y Erdos , thi s wa s solve d b y Tenenbau m [64] .
24. Determine the best constant C\{a) such that if a n > 0 for all n, and the A n
are real numbers, then
pa \ MN .| 22 f- 1 i\ i N
a
/ J^ n e ( ^ n ^ ) dx<Ci(a) yâ ne(Anx) dx.
See §7. 3 and th e Note s a t th e en d o f Chapte r 7 .
25. Determine the best constant C2{p) such that if \b n\ < a n for all n, and the
Xn are real numbers, then
pa I JNv ,\* 2 „pi1 Ii J^ V
ne nX dx.
/ X^ (^ ) dx<Ci(a) y^g n e(A n
See §7. 3 an d th e Note s a t th e en d o f Chapte r 7 .
26. (Halasz ) Let f(n) be a random unimodular multiplicative function. Is it true

that ^2 n<x f( n) ^ x1 ^2 a ^m°st surely?
8. Reduce d Residue s i n Shor t Intervals .
27. Let J{q) denote the maximum gap between consecutive reduced residue
classes (mo d q). Show that
J(q) < (lo g 9) log log ^,
and that
J(q) = ft ((lo g g) log log g).
The bes t know n uppe r boun d i s du e t o Iwaniec ; J(q) < C (logg) 2 . I n th e
opposite direction , i t i s know n tha t ther e exis t arbitraril y larg e q such tha t
j, \ > c (lo g q) (log log q) (log log log log q)
(log log log q)2
Erdos offer s $1 0,00 0 fo r a proo f tha t on e ca n replac e th e constan t c abov e b y a
function tendin g t o infinit y wit h q.
28. (Erdos ) Let 6 > 0 be given, and let J(q) denote the maximum gap between
consecutive reduced residue classes (mo d q). Is it true that J(q) <^$ uj{q) when
q is restricted to integers such that <fi(q)/q > 6 ?
10. SMAL L POLYNOMIAL S WIT H INTEGRA L COEFFICIENT S 20 1
29. (Erdos ) Let 1 = a\ < a2 < . .. be the positive integers that are relatively
prime to q, listed in increasing order. Put
o% = (^z+ i - en) .
Q
Show that there is an absolute constant c > 0 such that

v>(g)
i=l
9. Zero s o f L-Functions .
30. Prove the Generalized Riemann Hypothesis.
31. Prove the Riemann Hypothesis.
32. Prove that if x is a quadratic character then L(s , x) > 0 f or s > 0.
33. Prove that there is a positive constant c such that if x is a quadratic character
(mod q) then L(s, x ) 7 ^ 0 for s > 1 — c / log q.
34. Show that there is a constant K < 1 / 2 such that i / x i s a quadratic character
(mod g) , q > qo, then L(s,x) ¥" 0 for s > 1 — q~ K. Here K and qo should be
effectively computable.
35. Show that there is a function f(q) with f(q) — • 0 0 as q—> 00 , such that if x
is a character (mo d q) then L(s , x) 7 ^ 0 /or 5 m tfie rectangle
l-f(q)/\ogq<tos<l, | 9 f s | < l .
10. Smal l Polynomial s wit h Integra l Coefficients .
36. Let r = limyv-ô o ^TV wher e
P=£0
degP<^
Le£ ? denote the set of polynomials f G Z[x] that are irreducible over Q and
have all their roots in the interval [0,1 ] . Let s be the least limit point of the set
of numbers
|C/|l/deg/
as f runs over all members of £F ; here Cf denotes the leading coefficient of f.

Show that r = s. Also, describe all f G 7 such that |c/ | < s deg-^. If P is of
degree N and \\P\\ — r^N, does it follow that P is a product of powers of such
/G J ?
11. C h a r a c t e r Sums .
37. Let D denote the set of fundamental quadratic discriminants. Show that
£ \J2Kn) 2an(^)\2 «(N + D)D^K\

\d\<D
deT>
for arbitrary complex numbers a n.

The bes t know n estimate s ar e muc h weake r tha n this ; see , fo r example ,
Lemmas 1 0 an d 1 1 o f Elliot t [26] , o r Lemma s 5 an d 6 o f Montgomer y an d
Vaughan [48] .
38. (Fa n Chung ) Let § be a set of Z residue classes (mo d p). Show that
'a + b\
E(^)-<*>
a,beS
when Z « yjp.
Friedlander an d Iwanie c [28 ] hav e mad e som e progres s o n this .
39. (Harve y Cohn ) If F is a finite field, f : F -> C, /(0 ) = 0 , \f(a)\ = 1 for all
aÔ, / ( l ) = 1 , and
£/(a)7fa + 6) = -l
b£F
for all a ^ O, does it follow that f is a character of F 1
12. Diophantin e A p p r o x i m a t i o n .
40. (Solved ) Does there exist a real number x that is normal to one base, but
non-normal to another?
Yes. Cassel s [8 ] showe d tha t ther e exist s a rea l numbe r x suc h tha t x i s
normal bas e 3 , bu t x i s non-norma l t o al l base s tha t ar e no t power s o f 3 . Mor e
generally, Schmid t [58 ] prove d th e following : Suppos e tha t th e integer s b > 1
are partitione d int o tw o classe s 31 an d § , i n suc h a way tha t al l power s o f b lie in
the sam e clas s a s 6 . The n ther e exis t continuu m man y rea l number s x tha t ar e
normal t o al l base s 6 € 31 , and non-norma l t o al l base s b G S .
41. (Littlewood ) Let \\0\\ denote the distance from 6 to the nearest integer. Is it
true that
liminfn||n0||||n(/>|| = 0
71—+00
for any real numbers 0 , 0 ?
The lat e B . F . Skubenk o [59-61 ] mounte d a n attac k o n thi s problem ; som e
of hi s idea s ma y b e useful .
12. DIOPHANTIN E APPROXIMATIO N 203
42. Let § be a set inR n. A lattice A C R n is called admissibl e if S n A = 0

or § D A = {0} . The lattic e constan t of S, denoted A(S) , i s #i e infimum of the
determinant of A over all admissible lattices. Construct a method (analytic, of
course) to determine or estimate the size of the lattice constant A(S) . Use it to
determine whether the body
(1) § = { ( x , y ) 6 l 3 : \xyz\ < 1} U { ( X) 2 / , Z ) G 13 : \xy(y + z)\ < 1 }
has a finite lattice constant.
Existing technique s ar e quit e satisfactor y fo r n < 2. Th e rea l proble m begin s
with n — 3 . B y th e wor k o f Cassel s an d Swinnerton-Dye r [9] , Littlewood' s
question (numbe r 4 1 above ) i s equivalen t t o determinin g whethe r th e lattic e
constant A(S ) i s finite, wher e § i s define d i n (1 ) .
43. (Wirsing ) Let k > 1 be given. Does there exist a constant Ck such that for
any real number 0 £ [0,1 ] there exists a real algebraic number a whose degree
over Q does not exceed k, such that
Here H(a) denotes the height of a.

For k = 1 this is Dirichlet's theorem. Fo r k > 1 this was posed by Wirsing [71].
Davenport an d Schmid t [1 8 ] settle d th e cas e k = 2 , bu t th e proble m remain s
open fo r k > 2.
44. (Wills ) Show that if 1 < ri\ < n^ < . • • < n^ then
max mi n llnta! ! > — .

aem i.<fc<KM " ~K + l
This woul d b e bes t possible , sinc e w e ma y tak e n^ = k fo r al l k an d a =
l/(K - f 1 ) . Thi s wa s originall y conjecture d b y Will s [69] . Se e Weissbac h [68] ,
Cusick [1 0 , 1 3] , Cusick an d Pomeranc e [1 6] , Dumir an d Hans-Gil l [22-24] , an d
Dumir, Hans-Gill , an d Wilke r [25] .
45. (Solved ) Find a normal number whose continued fraction coefficients are
bounded.
It ma y b e tha t n o specifi c suc h numbe r ha s bee n exhibited , bu t certainl y
the existenc e o f suc h number s follow s b y combinin g th e followin g thre e know n
theorems:
(1) (Jarni k [35] ) Le t 7N denot e th e se t o f thos e rea l number s whos e con -
tinued fraction s hav e coefficient s lyin g entirel y i n th e se t { 1 , 2 , . . . , N}.
Then th e Hausdorf T fractiona l dimensio n o f JA T tend s t o 1 as N — • oo .
(2) (Davenport , Erdos , an d LeVequ e [1 7] ) I f /x is a probability measur e suc h
that ther e i s a constan t n > 0 for whic h fi(k) <ti !&! -77 fo r al l k > 0, the n
ji-almost al l rea l number s ar e normal .
(3) (Kaufma n [38] ) I f S C T i s a se t o f Hausdorf f dimensio n > 2/3 , the n

there i s a probabilit y measur e / z supported o n § such tha t fi(k) < C |A:|-r7
for al l k > 0, wher e rj > 0 may depen d o n S .
The observatio n tha t thes e thre e result s ca n b e combine d t o establis h th e exis -
tence o f a norma l numbe r wit h bounde d partia l quotient s wa s mad e b y R . C .
Baker (unpublished ) whe n Kaufman' s pape r appeared . Hensle y (t o appear ) ha s
recently calculate d th e Hausdorf f dimension s o f th e JFJ V t o hig h precision . Pro m
his wor k w e know tha t 9 ^ satisfie s Kaufman' s hypothesis , bu t tha t J2 doe s not .
46. Le t a b e a rea l algebrai c numbe r o f degre e k > 2 over Q . Sho w tha t th e

continued fractio n coefficient s o f a ar e no t bounded .
13. Metri c Diophantin e Approximation .
46. (Duffin-Schaeffer ) Let a(q) be an arbitrary non-negative arithmetic function.

Show that ifYlTî a (Q)(f>(<l)/(l — ° ° then for almost all real numbers 0 there exist
infinitely many pairs a, q of relatively prime integers for which \6—a/q\ < a(q)/q.
The convers e i s trivial , b y th e Borel-Cantell i lemma . Th e desire d conclusio n
is know n t o follo w i f a suitabl e additiona l hypothesi s i s imposed . Fo r example ,
by a resul t o f Khintchi n [39 ] w e kno w tha t i t i s enough t o assum e tha t qa(q) i s
decreasing. Erdo s [27 ] proved tha t i t i s enough t o assum e tha t fo r eac h q eithe r
a(q) = c/q o r a(q) = 0 . Vaale r [65 ] improve d o n thi s b y showin g tha t i t i s
enough t o assum e tha t a(q) < C 1/g, an d Vilcinski i [67 ] showed tha t i t i s enoug h
to assum e tha t a(q) < C q~ l ex p (exp(cg/0(g))) fo r som e suitabl e c > 0 . Fo r
any give n functio n a(q), le t £ denot e th e se t o f thos e 0 such tha t th e inequalit y
\0 — a/q\ < a{q)/q ha s infinitel y man y solution s wit h (a,q) = 1 . Gallaghe r
[29], usin g a metho d o f Cassel s [7] , showe d tha t th e Lebesgu e measur e o f £ i s
either 0 or 1 . R . C . Bake r an d G . Harma n (unpublished ) hav e show n tha t £ ha s
Hausdorff dimensio n 1 if ^2ct(q)(f)(q)/q = 00 . Th e proble m wa s generalize d t o
k dimension s b y Sprindzhu k [63] . Fo r k > 1 i t wa s solve d b y Pollingto n an d
Vaughan [52] , but th e origina l proble m ( k = 1 ) remain s open .
47. Show that there is a positive constant C such that for any positive integer
q there is a number a, 1 < a < q, (a , q) = 1 , such that the continued fraction
coefficients of a/q are all < C.
See Cusic k [1 1 , 1 2 , 1 4 ] an d Hensle y [31 , 32].
48. (Le o Moser(?) ) A weakening of the above: Show that there is a positive
constant C such that for any positive integer q there is a number a, 1 < a < q,
(a, q) = 1 , such that the sum of the continued fraction coefficients of a/q is
<Clogg.
The wor k o f Diamon d an d Vaale r [1 9 ] ma y b e useful .
14. ALGEBRAI C INTEGER S 205
14. Algebrai c Integers .
49. (Lehmer ) The Mahle r measur e of a polynomial P{x) = a nxn - f • • • + a o =

an(x — a{) • • • (x — a n) is the quantity
n
M(P) = |a n|JJmax(l,|ai|).
i=i
Show that there is a constant c > 1 such that if P £ Z[x] and M(P) < c then P
is a vroduct of cyclotomic polynomials (i.e. , M(P) = 1 ) .
The leas t know n valu e o f M(P) > 1 was foun d b y Lehme r [43 ] lon g ago , i n
an exhaustiv e search . Lehmer' s polynomia l
P(x) = x 1 0 + x 9 - x 7 - x 6 - x 5 - x A - x 3 + x + 1
has arise n man y time s since ; i t achieves M(P) = 1 .1 762808 . Le t 0 > 1 satisf y
0 3 - 0 - 1 . Siege l prove d tha t 0 i s th e leas t P V number . Smyt h [62 ] prove d
that i f P i s irreducibl e an d M{P) < 0 then P i s a reciproca l polynomial . Tha t
is, P(x) = x nP(l/x). Mor e recen t numerica l studie s hav e bee n conducte d b y
Boyd [4] .
50. (Salem ) An algebraic integer a > 1 is called a Salem number if all conjugates
of a lie in the closed unit disk \z\ < 1 , with at least one conjugate on the unit
circle. Let S denote the set of all PV numbers, and T the set of all Salem
numbers. Salem proved that every member of S is a limit of members of T. Does
T have any other limit points? Prove that 1 is not a limit point of T. Prove
that S U T is closed.
For basi c propertie s o f P V an d Sale m numbers , se e Sale m [56 ] o r Bertin ,
Decomps-Guilloux, Grandet-Hugot , Pathiaux-Delefoss e an d Schreibe r [3] . Se e
also numerou s paper s o f Boyd , an d paper s cite d therein .
51. Show that there is a constant c > 0 such that if an algebraic integer a and
all its conjugates lie in the disk \z\ < 1 + c/n then a is a root of unity.
The bes t resul t i n thi s directio n thu s fa r i s du e t o Dobrowolsk i [20] , wh o
proved tha t ther e i s a c > 0 such tha t i f
3
•K,t \ - . /loglognx
M(a) < l + c( f
V lo g n J
then a i s a roo t o f unity . Th e valu e o f c ha s bee n improved , an d th e proo f
simplified, b y Canto r an d Strau s [6] , Rausch [53] , and Loubouti n [44] .
52. (Boyd ) Let a be an algebraic integer that is not a PV number. Give a lower
bound for the distance from a to the set S of PV numbers.
15. Trigonometri c Polynomials .
53. (Bohr ) Let A = A(iV ) be chosen so that if f(x) = ^2 n=l a"nz{k nx) where the
rik form an increasing sequence of integers, then
M
max 7 a ne(knx) <A|| |L°°-
How large is A as a function of N 1 That is, find

_ logA(iV K )
r = hmsup—— —L.
N-+CO l o gTV
Clearly lo gAT < A < N 1 /2. Boh r showe d tha t th e valu e o f T i s relate d t o a
question concernin g th e absciss a o f unifor m convergenc e o f generalize d Dirichle t
series.
54. (Bohr ) Let {k n} be an increasing sequence of integers. How small can

N
y^ si n 27rk nx\
n=l
be?
It i s know n tha t i t ca n b e a s smal l a s cN 2/3.
55. (Littlewood ) Can one choose coefficients e n = ±1 in such a way that

N
(2) yêne(nx) N
n=l
uniformly in x 1
Kahane [36] , building o n work o f Korner [41 ] and Byrne s [5] , showed tha t fo r
any e > 0 there i s an iVo(e ) such tha t i f N > NQ then on e can choos e unimodula r
complex number s e i , . . . , e^r s o tha t
N
(i-e)VN< ^£ne{nx) <{l + e)VN
n=l
uniformly i n x. Durin g th e CBM S conference , Bec k [1 ] showed tha t (2 ) ca n b e

achieved wit h coefficient s suc h tha t e^ 00 = 1 for al l n.
56. (D . J . Newman ) Let P(x) = 5Z n = 1 e ne(nx) with e n = ±1 for all n.

Strong Conjecture . There is a constant c < 1 such that | | P | | L I ( T ) < cy/N.
Weak Conjecture . There is a constant c > 0 such that ||P||LI(T ) < \/~N — c.
57. (Erdos ) Let P(x) = Yl n=i e ne(nx) with e n = ±1 for all n. Show that there
is an absolute constant c > 1 such that sup ^ |P(a;) | > cy/N.
16. MISCELLANEOU S 207
By Holder' s inequalit y w e se e tha t th e Stron g Newma n Conjectur e implie s

this.
58. Suppose that P(z) = X] n_o e nzn where e n — ±1 for all n. Define numbers
cn by the relation \P(e(t))\ 2 = Y2n=—NCn
e(nt). Thus co = N + l. We call P(z)
a Barker polynomia l if \c n\ < 1 for all n.
Strong Conjecture . There is no Barker polynomial of degree TV > 1 2 .
Weak Conjecture . There are only finitely many Barker polynomials.
The Wea k Newma n Conjectur e implie s th e wea k conjectur e above .
59. (D . J . Newman ) Let eo,ei,.. . ,ej y be independent random variables with
P ( 6 n = 0 ) = P ( e n = 1 ) = 1 /2 . Put K(z) = Y^n=o €nZn. Show that there is an
absolute constant c > 0 such that
>(mm\K(z)\ <l) >c>0 .

V |z|=i /
Does there exist a choice of the e n G {0,1} such that m i n ^ ^ i |lf(z) | > c > 0 ?
What if c is replaced by cy/N ?
60. (Saffari ) Suppose that f{x) — 5Z n = 1 e ne(nx) where \e n\ = 1 for all n. Write
f(%)2 = En= 2 d ne(nx). Is it true that £ * = 2 \d n\2 » N 2 ?
It i s obviou s tha t £ ^ ! 2 K | 2 » N 2 -
61. (Hardy-Littlewood ) Suppose that f G L2(T), and that /(& ) ^ 0 only when
k is a perfect square. Does it follow that f G LP(T) for all p < 4 ?
A. Cordob a (unpublishe d ? ) ha s show n tha t th e answe r i s in the affirmativ e i f
one assume s tha t th e number s f(k 2) ar e positiv e an d monotonicall y decreasing .
62. (Hajela ) Let ni,ri2, . •. , n ^ be distinct positive integers. Show that

KK
E e n x»
fc=i v IILMTT)
; I
\\yê(k
fe=i
I ^v '
2
x)
L^T)
Hajela ha s note d tha t thi s woul d follo w fro m a n affirmativ e answe r t o th e

question o f Hard y an d Littlewood , above .
16. Miscellaneous .
63. (Erdos ) Can one walk to infinity on the Gaussian primes, taking steps of
bounded length?
It ma y b e that th e answe r i s no when th e nt h ste p ha s lengt h < C (logn)c wit h
c < 1 /2 , bu t ye s whe n c > 1 /2 .
64. (Littlewood ) By elementary reasoning it is easy to show that every interval

of the form [x , x + 5x 1 //4] contains a sum of two squares. Show that if f(x) tends
to 0 sufficiently slowly, then the interval [x,x-f - f(x)x 1 ^4} suffices.
65. (solved ) Let Y^=v anzn have radius of convergence 1 . The set of z, \z\ = 1 ,
for which the series diverges is a S§ a set. Given such a set of points on the
circle, is there a power series for which it is precisely the set of divergence?
Originally pose d b y Herzo g an d Piranian , thi s wa s solve d i n th e negativ e b y
Lukasenko [45] , following simila r wor k o f Korne r [40 ] concernin g Fourie r series .
For a genera l expositio n se e Korne r [42] , especiall y th e unsolve d problem s o n
the las t page .
66. (H . S . Shapiro ) Consider finite sums of the form ^2a neUJnZ. If two such
entire functions have infinitely many zeros in common, must there exist a third
such sum (with more than one terml) that divides them both?
67. (Gelfond ) Let w(n) denote the number ofl's in the binary expansion of n ;
this is called the binar y weigh t of n. Show that w(p) is odd for asymptotically
half of the primes.
Olivier [50 , 51 ] attacked thi s problem b y using Vinogradov's metho d o f prim e
number sums , bu t i t seem s tha t th e "Typ e II " sum s wer e neve r estimated .
68. (Proth ) Given an initial sequence {u n} of integers, form a new sequence

{vn} by taking the absolute value of the difference of two adjacent elements,
vn = \u n+i — u n\. Suppose that the initial sequence is the set of primes in
increasing order, and that this operation is performed repeatedly. Do all the
sequences formed have 1 as their initial term? What sort of gap or density
property of an initial sequence would imply this property?
23 5 7 1 1 1 1 3 17 92 32 9 3 1 .. .
1 2 2 4 2 4 2 4 6 2 . . .
1 0 2 2 2 2 2 2 4 . . .
12 0 0 0 0 02 .. .
12 0 00 0 2 .. .
This proble m i s ofte n know n a s Gilbreath' s conjecture . Odlyzk o [49 ] ha s
constructed heuristic s an d extensiv e numerica l evidence .
69. (Landau ) Four unattackable problems:

(1) Goldbach's conjecture]
(2) Twin Prime Conjecture;
(3) For every n there is a prime p between n 2 and (n -f1 ) 2 ;
(4) There are infinitely many primes of the form p = n 2 - f 1 .
70. Does there exist a continuous measure / i on T such that \i is invariant

under x H- > 2X, and also under x \-> 3x, but \i is not Lebesgue measure?
16. MISCELLANEOU S 209
71. (Erdos ) The congruences
x = ai (mo d rrti) ( 1 0 there is a system of covering congruences with all moduli
>C.
Erdos offer s $1 ,00 0 fo r a proo f o f this .
72. Let C denote a simple closed curve in the plane. A point P is called equi-
chordal if every line through P meets the curve at two points that are a constant
distance apart. Can a curve have two distinct equichordal points?
Suppose tha t th e constan t distanc e i n questio n i s 1 an d tha t th e distanc e
between th e tw o equichorda l point s i s c. Thi s proble m i s no w essentiall y solve d
since i t ha s recentl y bee n show n tha t ther e ca n b e a t mos t finitel y man y c fo r
which suc h a curv e ca n exist . Se e Wirsing [70] , Michelacci an d Volci c [46] , an d
Schafke an d Volkme r [57] .
73. (Erdos ) Let A be an infinite set of positive integers, and let r(n) be the
number of ways of writing n as a sum of two members of A. If r(n) > 0 for all
n, does it follow that limsup n ^ 0 0 r(n) = +o o ?
74. (Veech ) Suppose that a is given, 0 < a < 1 /2 . Does there exist a function f,
not identically 0 , such that f has period 1 , is even, /(0 ) = 0 , YH=i f( a/Q) = 0
for every positive integer q, and f G Lip(a) ?
75. Let X n be independent random variables with P(X n = 6 n) = P(X n = 0 ) =

1/2. If Q — 1/2 then the distribution function of%2 nXn is Lebesgue measure. If
6 < 1 / 2 then the distribution is singular. What if 1 / 2 < 0 < 1 ?
76. (solved ) Let A denote a Banach algebra of functions f G L 1 (T) whose

Fourier coefficients are absolutely convergent. If f E A and g G C°°, does it
follow that g(f) < E A ?
A theore m o f Wiene r assert s tha t th e answe r i s yes i f g i s analytic . However ,
the hypothesi s g G C°° i s too weak ; se e p . 23 9 of Katznelso n [37] .
77. (Erdo s & Szekeres) Does there exist a function f(n) tending to infinity with
n such that if2<i<j<n-2 then gcd((™) , (")) > f(n) ?
Roughly twenty years ago, Erdos and Szekere s proved that i f l < z < j < r a — 1
then gcd((?),(;) ) > 1 . Th e proo f i s easy, since (?)('. ) = (?)(«-• ) an d (? ) > (') .
J. L . Selfridge ha s noted that i t is not alway s true that gcd(n(n— 1 ) , (^) , ( n )) > 1 ;
the tripl e (n,i,j) — (46,10, 23) i s a counter-example .
78. (Erdos ) Let P(n) denote the largest prime factor of n. Show that the set of
n such that P(n) > P(n + 1 ) has asymptotic density 1 /2 .
79. (Erdo s & Graham ) Suppose that the positive integers are partitioned into
finitely many sets S i , . . . , S j. Does there necessarily exist a j such that the
equation
K
1
is solvable for some K with all n^ 6 § j ?
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Index
A boldfac e numbe r indicate s a princip a reference, o r a referenc e t o a definition .

A
Aardenne-Ehrenfest, T . va n 1 20 , 1 2 2 Boas, R . P . 1 44 , 1 4 6
Abramowitz, M . 1 1 4 , 1 2 2 Bohr, H . 20 6
adjoint 1 3 4 Bombieri, E . 59 , 61 , 62, 81 , 82, 1 76 ,
almost periodi c 1 2 5 177
Alon, N . 3 7 Bourgain, J . vi , 34 , 37 , 38 , 1 42 , 1 4 6
Boyd, D . W. 205 , 21 0
Andria, G . D . 1 9 0
Bruijn, N . G . d e 1 03 , 1 0 5
Ankeny, N . C . 1 76 , 1 7 7
Bundschuh, P . vi , 1 8 8
Aparicio, E . 1 88-1 9 1
Byrnes, J . S . 206 , 21 0
Arkhipov, G . I . 8 2
asymptotic densit y
C
upper 3 4
Atkinson, F . V . 1 04 , 1 0 5 Cantor, D . C . 205 , 21 0
Cassels, J . W . S . 1 4 , 1 5 , 1 04 , 1 05 ,
B 202-204, 21 0
Bachelis, G . F . 1 44 , 1 4 6 Chandrasekharan, K . 1 4 , 1 5 , 81 , 82
Baker, R . C . vi , 37 , 81 , 82, 1 60 , 20 4 character sum s 20 2
Balkema, A . A . 1 03-1 0 5 Chebyshev, P . L . 1 88 , 1 9 1
Barker polynomia l 20 7 inequality fo r polynomial s 9 5
Barnsley, M . F . 1 89 , 1 9 1 prime numbe r estimate s 45 , 1 79 ,
Bateman, P . T . v i 188
Beck, J . v , vi , 1 20 , 1 22 , 1 23 , 1 95 , 198, Chen, W . W . L . 1 20-1 23 , 1 98 , 21 0
206, 21 0 Chudakov, N . G . 1 76 , 1 7 7
Bernstein's inequalit y 2 6 Chung, Fa n 20 2
Berry, M . V . 6 1 circle grou p 1
Bertin, M . J . 205 , 21 0 Cochrane, T . v , v i
Bertrandias, J.-P . 37 , 3 8 Cohn, H . 20 2
Bertrand-Mathis, A . 37 , 3 8 Conrey, J . B . v i
Bessel functio n 1 1 1 -1 1 4 Cook, R . v i
Beurling, A . 1 4 Cordoba, A . 20 7
function 1 4 Corput, J . G . va n de r 1 7 , 1 8 , 20, 38,
polynomial 5 , 1 4 60, 61 , 120, 1 2 3
binary weigh t 20 8 Lemma 1 8-20 , 39 , 4 6
Biro, A . 1 0 4 Generalized 1 8
Blanksby, P . E . 1 04 , 1 0 5 method 39 , 46-61 , 1 9 7
2
216 INDEX
van de r Corpu t discrepancy 2-1 0 , 1 4 , 1 09-1 1 4 ,

Process A 46 , 5 7 119-122, 1 95 , 198
Process B 46 , 47 , 54-5 7 distribution
set 1 7-38 , 1 9 6 irregularities o f 1 09-1 24 , 1 64 , 195,
Theorem 1 8 198
Generalized 2 0 for disk s 1 1 0 , 1 1 1 -1 1 4
Coutsias, E . A . 61 , 62 for square s 1 1 0-1 1 1
covering congruence s 20 9 uniform 1 -1 5 , 1 7-22 , 33 , 34, 37,
Cramer, H . 1 51 , 161 125, 1 9 5
conjecture 1 51 , 1 6 0 Dobrowolski, E . 205 , 21 1
critical lin e 1 6 4 Dressier, R . E . v , v i
critical stri p 1 6 5 Drmota, M . 1 9 1
Cusick, T . W . 203 , 204, 21 0 , 21 1 duality 20 , 1 03 , 1 04 , 1 34 , 1 4 1
Duffin, R . J . 204 , 21 1
D Dumir, V . C . 203 , 21 1
Danzer, L . 1 9 8
Davenport, A . 1 5 , 83 E
Davenport, H . 33 , 38, 1 01 , 105, 130, Elkies, N . 1 0 4
146, 1 66 , 1 68 , 1 77 , 203 , 21 1 Ellison, W . J . 81 , 82
Davies, R . O . 1 4 6 Elliott, P . D . T . A . 202 , 21 1
Decomps-Guilloux, A . 205 , 21 0 Enflo, P . vi , 1 4 4
Dekking, F . M . 61 , 62 equichordal 20 9
Delange, H . 3 7 Erdos, L . 1 0 6
Deshouillers, J.-M . 61 , 62 Erdos, P . 1 4 , 1 5 , 1 05 , 1 06 , 1 21 , 123,
Deuring, M . 1 64 , 1 76 , 1 7 7 144, 1 46 , 1 60 , 1 61 , 188, 191,
-Heilbronn phenomeno n 1 64 , 199-201, 203 , 204, 206 , 207,
172176 209-211
Diamond, H . 1 88 , 1 91 , 204, 21 1 -Turan inequalit y 8-1 0 , 1 4 , 27 , 1 9 5
difference se t 3 4 Euler, L .
Diophantine approximatio n 202-20 4 identity 95 , 96
Dirac measur e 2 2 product formul a 1 6 8
Dirichlet, P . G . Lejeun e exponent pair s 39 , 56-61 , 1 9 7
character 1 01 , 146, 1 64-1 6 7
divisor proble m 56 , 5 9 F
L- functio n Fabry, E . 9 0
non-trivial zero s o f 1 6 5 gap theore m 86 , 89-91 , 1 0 3
trivial zero s o f 1 6 5 Fabrykowski, J . 1 0 5
zeros o f 1 63-1 78 , 20 1 Falconer, K . J . 1 4 6
polynomial 1 25-1 4 9 FejeYs kerne l 5 , 1 8 , 35, 92, 98, 101,
generalized 1 26 , 20 6 105, 1 7 3
large value s o f 1 40-1 43 , Fejer's theore m 1 9 , 20 , 25
146, 1 98-20 0 Ferguson, L e Baro n O . 1 9 1
mean value s o f 1 27-1 31 , 1 40 , Fourier transfor m 1
143-146, 1 98-20 0 rate o f deca y 1 1 0 , 1 1 4-1 1 9
theorem o n Diophantin e Fresnel's integra l 49 , 5 5
approximation 35 , 85 , 99, 20 3 Friedlander, J . B . vi , 202 , 21 1
INDEX 217
Fuchs, W . H . J . 1 44 , 1 4 6 Helly selectio n 3 2

Fujii, A . 1 4 6 Hensley, D . 204 , 21 1
Fiirstenberg, H . 1 9 6 Hermitian 1 36 , 1 37 , 1 3 9
Herz, C . S . 1 22 , 1 2 3
G Herzog, F . 20 8
Gaier, D . 1 03 , 1 0 6 Hewitt, E . 1 9 2
Gallagher, P . X . v , 1 45-1 47 , 1 76 , 1 77 , Hilbert, D . 1 37 , 1 4 5
204, 21 1 inequality 1 37-1 40 , 1 43 , 1 45 , 1 9 9
Gauss su m 1 0 , 1 0 1 Hildebrand, A . 1 6 1
Gelfond, A . O . 1 88 , 1 91 , 192, 20 8 Hindry, M . 1 04 , 1 0 6
Hochwald, S . 1 45 , 1 4 7
Geronimo, J . S . 1 89 , 1 9 1
Hooley, C . 1 60 , 1 6 1
Gilbreath, N . L . 20 8
Hunt's theore m 8 2
Goldberg, J . 6 1
Hua, L . K . 81 , 82
Gonek, S . M . 1 04 , 1 0 6
Huxley, M . N . 60-62 , 1 46-1 4 8
Gorskov, D . S . 1 87 , 1 89 , 1 9 2
polynomial 1 83-1 9 0
I
Graham, R . L . 21 0
Graham, S . W . vi , 60-62 , 1 76 , 1 7 7 intersective se t 23 , 34, 35 , 3 7
Grandet-Hugot, M . 205 , 21 0 Ingham, A . E . 8 1
Green's function s 1 0 4 Iwaniec, H . v , vi , 59 , 61 , 63, 200, 202 ,
Green's theore m 1 1 4 , 1 1 6 211
Gronwall, T . H . 1 76 , 1 7 7 J
Jarnik, V . 203 , 21 2
H Julia se t 1 8 9
Hadamard ga p 2 3 Jutila, M . 1 44 , 1 46 , 1 48 , 1 76 , 1 7 7
Hajela, D . J . 20 7
Halasz, G . vi , 1 04 , 1 06 , 1 21 -1 23 , 1 44 , K
146, 1 47 , 1 97 , 200 , 21 1 Kahane, J.-P . 206 , 21 2
Halmos, P . R . vi , 1 4 4 Kamae, T . 37 , 3 8
Halton, J . H . 1 21 , 123 Karatsuba, A . A . 1 4 , 1 5 , 81 , 82
Hankel, H . 1 1 3 , 1 2 3 Katznelson, Y . 209 , 21 2
Hans-Gill, R . 203 , 21 1 Kaufman, R . 204 , 21 2
Hardy, G . H . 4 , 1 1 9 , 1 23 , 1 33 , 144, Kazarinoff, N . D . 61 , 62
145, 1 47 , 20 7 Kendall, D . G . 1 22 , 1 2 3
-Littlewood Tauberia n theore m 1 1 9 Khintchin, A . 204 , 21 2
Harman, G . vi , 1 60 , 20 4 Knapowski, S . 1 03 , 1 06 , 1 76 , 1 7 7
Harrington, A . N . 1 89 , 1 9 1 Koksma, J . F . 1 4 , 1 5 , 60, 6 1
Hausdorff dimensio n 1 46 , 1 96 , 203, inequality 1 4 , 2 8
204 Kolesnik, G . 60-62 , 1 04 , 1 0 6
Hausman, M . 1 60 , 1 6 1 Komlos, J . 1 9 8
Heath-Brown 60-63 , 1 46 , 1 47 , 1 76 , Korneichuk, N . 95 , 1 0 6
177 Korner, T . W . v , vi , 206 , 208 , 21 2
Heilbronn, H . 35 , 38, 1 64 , 1 76 , 1 77 , Korobov, N . M . 82 , 83 , 1 76 , 1 7 7
211 Khz, I . 37 , 38
set 23 , 35-37, 1 9 6 Kronecker's theore m 37 , 85 , 1 2 5
theorem 35 , 37 , 1 9 6 Kuipers, L . 1 4 , 1 5
218 INDEX
L Montgomery, H . L . 1 4 , 37 , 82 , 1 04 -
Lachance, M . M . 1 04 , 1 06 , 1 9 2 106, 1 20 , 1 22 , 1 23 , 143-148,
Lagarias, J . C . 1 76 , 1 7 7 148, 1 60 , 1 62 , 1 76-1 78 , 1 88 ,
Landau, E . 4 , 1 03 , 1 06 , 208 197, 1 99 , 202 , 21 1 , 21 2
Lang, S . 1 04 , 1 0 6 Moore, R . R . 61 , 63
height conjectur e 1 0 4 Mordell, L . J . 65 , 68, 71 , 77, 82, 8 3
lattice constan t 20 3 Moser, L . 20 4
least characte r non-residu e 1 64-1 67 , Motohashi, Y . 1 76 , 1 7 8
176 Mozzochi, C . J . 61 , 63
Lehmer, D . H . 205 , 21 2
LeVeque, W . J . 9 , 1 5 , 203, 21 1 N
inequality 9 , 1 0 , 1 4 Nair, M . 1 88 , 1 9 2
Levinson, N . 1 76 , 1 7 7 Nair, R . v i
Lindelof Hypothesi s 59 , 1 41 , 142 Newman, D . J . 206 , 20 7
linear programmin g 20 , 2 1 Newton-Girard identitie s 66^ 71 , 72,
Linnik, Ju . V . 81 -83 , 1 72 , 1 76 , 1 7 7 97
constant 1 6 3 Niederreiter, H . 1 4 , 1 5
lemma 71 -72 , 74 , 82 Nieland, L . W . 60 , 6 3
Littlewood, J . E . 1 02 , 1 03 , 1 04 , 1 06 , normal matri x 1 3 6
133, 1 44 , 1 45 , 1 47 , 1 48 , 1 76 , normal numbe r 202-20 4
178, 202 , 203, 206-20 8 numerical radiu s 1 35-1 3 7
Logan, B . F . 1 44 , 1 4 8
Lorch, L . 1 04 , 1 0 6 O
Lou, S . T . 1 60 , 1 6 2 Odlyzko, A . M . 1 76 , 1 77 , 208 , 21 2
Louboutin, R . 205 , 21 2 Olivier, M . 208 , 21 2
Loxton, J . H . 60 , 6 3 operator
Lukasenko, S . Ju . 208 , 21 2 norm 1 34-1 3 7
Luquin, F . 1 9 2 theory 1 34-1 4 0
Lyons, R . v i Ostrowski, A . 1 20 , 1 2 3
M P
Mack, J . 1 8 8 Paley, R . E . A . C . 1 03 , 1 0 7
Mahler measur e 20 5 Parseval's identit y 4 , 1 09 , 1 3 3
Maier, H . 1 60-1 6 2 approximate 1 1 5 , 1 26 , 1 2 8
majorant principle s 1 31 -1 34 , 1 43 , Pathiaux-Delefosse, M 205 , 21 0
144 Peres, Y . 37 , 3 8
Makai, E . 1 03 , 1 0 6 Perron's formul a 1 3 0
Markov inequalit y 1 81 , 188 Phillips, E . 61 , 63
Mela, J.-F . v Pintz, J . 1 76 , 1 7 8
Mendes-France, M . vi , 37 , 38 , 61 -63 , Piranian, G . 20 8
81, 8 2 Plancherel's theore m 1 1 6
Michelacci, G . 209 , 21 2 Poincare recurrenc e 3 7
Min, S . H . 6 1 Poisson summatio n formul a 1 4 , 39,
Minkowski's conve x bod y theore m 46, 4 9
105 truncated 49 , 60 , 61 , 141
moments 76 , 1 25 , 1 5 1 Pollington, A . D . vi , 204 , 21 2
INDEX 219
Polya, G . 1 45 , 1 4 7 S
-Vinogradov inequalit y 1 0 , 1 4 6 Saff, E . B . 1 04 , 1 06 , 1 9 2
Pomerance, C . 1 60 , 1 62 , 203 , 21 1 Saffari, B . v , vi , 20 7
Poorten, A . J . va n de r 61 , 63 Salem, R . 205 , 21 3
Postnikov, A . G . 1 76 , 1 7 8 numbers 20 5
Powell, M . J . D . 95 , 1 0 7 Sander, J . W . v i
power su m 85-1 07 , 1 64 , 1 7 2 Sanov, I . N . 1 9 2
Preissmann, E . 1 45 , 148 Schaefer, H . H . 24 , 3 8
prime numbe r theore m 1 8 0 Schaeffer, A . C . 1 88 , 1 92 , 204, 21 1
primes 33 , 1 5 1 Schafke, R . 209 , 21 3
Schinzel, A . v i
Gaussian 20 7
Schmeisser, G . 1 04 , 1 0 7
Proth, F . 20 8
Schmidt, W . M . 37 , 38 , 1 20 , 1 21 , 124,
PV numbe r 20 5 202, 203 , 211 , 21 3
Schreiber, J . P . 205 , 21 0
R Schur, I . 1 37 , 1 45 , 1 4 9
Selberg, A . 1 4 , 1 5 , 145
Rahman, Q . I . 1 04 , 1 0 7
functions 1 4 , 1 27-1 29 , 1 4 3
Ramachandra, K . 1 46 , 1 4 9
polynomials 6 , 1 4 , 1 2 7
random variable s 1 25 , 1 53 , 209
Selfridge, J . L . 20 9
Rankin, R . A . 61 , 63, 1 60 , 1 6 2 Serre, J.-P . vi , 1 7 6
Rauch, J . B . v i Shapiro, H . N . 1 60 , 1 6 1
Rausch, U . 205 , 21 2 Shapiro, H . S . 1 44 , 1 49 , 20 8
rearrangement o f Fourie r coefficient s Shnirelman, L . G . 1 8 8
144 Sidon se t 1 0 5
reduced residu e classe s 1 51 -1 62 , 200 , Siegel, C . L . 1 05 , 1 07 , 20 5
201 theorem 1 7 6
Renyi, A . 1 05 , 1 0 6 Silverman, J . 1 04 , 1 0 6
resultant 1 8 1 skew-Hermitian 1 3 9
Riemann, G . R . B . Skubenko, B . F . 202 , 21 3
Hypothesis 1 63 , 20 1 Smyth, C . J . 1 05 , 1 07 , 205 , 21 3
spectral radiu s 1 3 5
Generalized 1 63 , 1 64 , 1 67 , 20 1
Sprindzhuk, V . G . 204 , 21 3
zeta functio n 59 , 60, 82 , 1 41 , 161,
squarefree number s 5 6
168-172, 1 7 6
squares 21 , 31, 33, 1 96 , 20 7
Riesz produc t 2 3
sums o f tw o 20 8
Riesz representatio n theore m 2 4 stationary phas e 47 , 51 -53 , 61 , 11 5
Ringrose, C . 1 76 , 1 7 7 Stechkin, S . B . 82 , 8 3
Rivlin, T . J . 95 , 1 0 7 Stegun, I . 1 1 4 , 1 2 2
Rodosskii, K . A . 1 76 , 1 7 8 Stenger, F . 1 04 , 1 0 7
Roth, K . F . 1 5 , 83, 1 20-1 2 4 Stein, P . 1 0 4
Rozin, S . M . 1 76 , 1 7 8 Straus, E . G . 1 04 , 1 06 , 205 , 21 0
Russell, D . 1 04 , 1 0 6 Suranyi, J . 1 0 7
Ruzsa, I . Z . v, vi , 1 4 , 1 5 , 37, 38, 1 04 , Swinnertion-Dyer, H . P . F . 203 , 21 0
122, 1 24 , 1 95 , 1 98 , 1 99 , 212, Szalay, M . 1 0 7
213 Szego, G . 95 , 1 0 7
220 INDEX
Szekeres, G . 20 9 W
Wagner, G . 1 21 , 124
T Walfisz, A . 60 , 63, 81 , 83
Tenenbaum, G . v , vi , 200 , 21 3 Waring's proble m 8 2
Tijdeman, R . 1 03-1 05 , 1 07 , 1 21 , 124 Watson, G . N . 1 1 3 , 1 2 4
Watt, N . 60-6 3
Titchmarsh, E . C . 60 , 61 , 63, 81 , 83,
Weissbach, B . 203 , 21 3
131, 1 43 , 149, 1 76 , 1 7 8
Weyl, H . 1 , 1 5-1 7 , 41 , 60, 63 , 137,
Trigub, R . M . 1 92 , 1 9 3
149
Turan, P . 1 4 , 1 5 , 1 02-1 04 , 1 07 , 146,
Criterion 1 , 3 , 1 3-1 4 , 1 8 , 20, 27,
147
32, 33 , 34
First Mai n Theore m 86-89 , 91 , 96, differencing 1 7 , 40 , 42 , 4 6
103, 1 9 7 method 39-42 , 60 , 69 , 8 1
Second Mai n Theore m 86 , 93-9 7 sum 39-46 , 65-83 , 1 44 , 1 9 6
method 85-1 07 , 1 76 , 1 9 7 Theorem 1 7 , 1 8 , 3 3
Tyrina, O . V . 82 , 8 3 Wiener, N . 1 03 , 1 07 , 1 44 , 1 49 , 209
Wilker, J . B . 203 , 21 1
U Wills, J . M . 203 , 21 3
Uchiyama, S . 1 04 , 1 0 7 Wintner, A . 1 44 , 1 4 9
Ullman, J . L . 1 88 , 1 9 2 Wirsing, E . vi , 1 44 , 1 87 , 1 89 , 1 90 ,
203, 209 , 21 3
unitary similarit y 1 3 6
polynomials 1 83-1 9 0
unitary 1 36 , 1 3 7
Wooley, T . D . vi , 82 , 8 3
V Y
Vaaler, J . D . 1 4 , 1 5 , 1 43 , 1 45 , 148, Yao, Q . 1 60 , 1 6 2
149, 1 95 , 204, 21 1 , 21 3
function 1 5 Z
Lemma 6 , 1 0-1 4 Zaharescu, A . 37 , 1 9 6
polynomial 5 , 1 4 zero-free regio n 1 63 , 1 68 , 1 69 , 1 7 6
Vallee Poussin , Ch . d e l a 1 7 6 Zuckerman, H . S . 1 9 2
Varga, R . S . 1 04 , 1 06 , 1 9 2 Zygmund, A . 26 , 38 , 49, 6 4
Vaughan, R . C . v , vi , 60 , 63 , 81, 83,
143, 1 45 , 1 48 , 1 60 , 1 62 , 1 99 ,
202, 204 , 21 2
Veech, W . A . 20 9
VilcinskiT, V . T . 204 , 21 3
Vinogradov, I . M . 4 , 1 4 , 1 5 , 33, 46,
65, 81 , 83, 1 76 , 1 7 8
hypothesis 1 63 , 1 64 , 1 7 6
little glasse s 1 4
mean valu e theore m 67-78 , 1 9 7
method 46 , 65-83 , 1 7 6
Volcic, A . 209 , 21 2
Volkmer, H . 209 , 21 3
Voorhoeve, M . 1 03 , 1 0 7
Other Title s i n Thi s Serie s
(Continued from the front of this publication)
53 W i l h e l m Klingenberg , Close d geodesie s o n Riemannia n manifolds , 1 98 3

52 T s i t - Y u e n Lam , Orderings , valuation s an d quadrati c forms , 1 98 3
51 M a s a m i c h i Takesaki , Structur e o f factor s an d automorphis m groups , 1 98 3
50 J a m e s Eell s an d Lu c Lemaire , Selecte d topic s i n harmoni c maps , 1 98 3
49 J o h n M . Franks , Homolog y an d dynamica l systems , 1 98 2
48 W . S t e p h e n Wilson , Brown-Peterso n homology : a n introductio n an d sampler , 1 98 2
47 Jac k K . Hale , Topic s i n dynami c bifurcatio n theory , 1 98 1
46 Edwar d G . Effros , Dimension s an d C*-algebras , 1 98 1
45 R o n a l d L . G r a h a m , Rudiment s o f Ramse y theory , 1 98 1
44 Philli p A . Griffiths , A n introductio n t o th e theor y o f specia l divisor s o n algebrai c
curves, 1 98 0
43 W i l l i a m J a c o , Lecture s o n three-manifol d topology , 1 98 0
42 J e a n D i e u d o n n e , Specia l function s an d linea r representation s o f Li e groups , 1 98 0
41 D . J . N e w m a n , Approximatio n wit h rationa l functions , 1 97 9
40 J e a n M a w h i n , Topologica l degre e method s i n nonlinea r boundar y valu e problems ,
1979
39 G e o r g e Lusztig , Representation s o f finite Chevalle y groups , 1 97 8
38 Charle s Conley , Isolate d invarian t set s an d th e Mors e index , 1 97 8
37 Masayosh i N a g a t a , Polynomia l ring s an d afEn e spaces , 1 97 8
36 Car l M . Pearcy , Som e recen t development s i n operato r theory , 1 97 8
35 R . B o w e n , O n Axio m A diffeomorphisms , 1 97 8
34 L . Auslander , Lectur e note s o n nil-thet a functions , 1 97 7
33 G . G l a u b e r m a n , Factorization s i n loca l subgroup s o f finit e groups , 1 97 7
32 W . M . S c h m i d t , Smal l fractiona l part s o f polynomials , 1 97 7
31 R . R . Coifma n an d G . Weiss , Transferenc e method s i n analysis , 1 97 7
30 A . Pelczyriski , Banac h space s o f analyti c function s an d absolutel y summin g operators ,
1977
29 A . W e i n s t e i n , Lecture s o n symplecti c manifolds , 1 97 7
28 T . A . C h a p m a n , Lecture s o n Hilber t cub e manifolds , 1 97 6
27 H . Blain e Lawson , Jr. , Th e quantitativ e theor y o f foliations , 1 97 7
26 I . Reiner , Clas s group s an d Picar d group s o f grou p ring s an d orders , 1 97 6
25 K . W . Gruenberg , Relatio n module s o f finit e groups , 1 97 6
24 M . H o c h s t e r , Topic s i n th e homologica l theor y o f module s ove r commutativ e rings ,
1975
23 M . E . R u d i n , Lecture s o n se t theoreti c topology , 1 97 5
22 O . T . O'Meara , Lecture s o n linea r groups , 1 97 4
21 W . Stoll , Holomorphi c function s o f finite orde r i n severa l comple x variables , 1 97 4
20 H . B a s s , Introductio n t o som e method s o f algebrai c K-theory , 1 97 4
19 B . S z . - N a g y , Unitar y dilation s o f Hilber t spac e operator s an d relate d topics , 1 97 4
18 A . Friedman , Differentia l games , 1 97 4
17 L . N i r e n b e r g , Lecture s o n linea r partia l differentia l equations , 1 97 3
16 J . L . Taylor , Measur e algebras , 1 97 3
15 R . G . D o u g l a s , Banac h algebr a technique s i n th e theor y o f Toeplit z operators , 1 97 3
14 S . H e l g a s o n , Analysi s o n Li e group s an d homogeneou s spaces , 1 97 2
13 M . Rabin , Automat a o n infinit e object s an d Church' s problem , 1 97 2
(See th e AM S catalo g fo r earlie r titles )

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Other Title s i n Thi s Serie s

88 Crai g Huneke , Tigh t closur e an d it s applications , 1 99 6

Conference Boar d of the Mathematical Science s

1991 Mathematics Subject Classification. Primar y 1 1 -02 , 42-02 ;

Library o f Congres s Cataloging-in-Publicatio n D a t a

C o p y i n g a n d r e p r i n t i n g . Individua l reader s o f thi s publication , an d nonprofi t librarie s actin g

© Copyrigh t 1 99 4 b y th e America n Mathematica l Society . Al l right s reserved .

Todd Cochran e an d Rober t Dressie r note d th e commo n interest s o f numbe r

Even durin g th e conference , th e cross-fertilizatio n pai d dividends : Beck , afte r

Similarly, th e Fourie r coefficient s o f a Bore l measur e / i o n T w e take t o b e

We le t [x] and {x} denot e th e integra l par t o f x an d th e fractiona l par t o f x,

Chapter 1 . Unifor m Distributio n

1. Qualitativ e theory . W e le t T denot e th e circl e group , T = R/Z . Sup -

Z(N; a) = car d {n e Z : I < n < N,0 < u n < a (mo d I)} .

We say tha t th e sequenc e {u n} i s uniformly distributed i f

By a simpl e compactnes s argumen t i t ma y b e see n tha t i f {u n} i s uniforml y

Then th e discrepancy o f th e sequenc e i s

Thus th e condition s (a)-(c ) abov e ar e equivalen t t o

(d) D*(N) = o(N) as N - > oo .

The discrepancy D*(N) i s not invariant unde r translation, whic h is regrettable

This ne w discrepancy D i s translation-invariant, bu t i t i s more complicate d tha n

(10) 6{N ]a) = J2 s(un-(*)-

That is , 6(N; a) = / T s(x - a) dZ(N\ a ) . W e pu t

If x 7 ^ 0,x =fi a (mo d 1 ) , then x f0 ,(x ) = a + s( x — a) — s(x) wher e x § denote s

D*(N; 1 ~ ) = 0 , whil e fo r 6(N; a) th e constan t i s chosen s o that / T S(N; a) da =

Prom thi s i t i s eviden t tha t

2. Quantitativ e relations . W e now consider th e possibilit y o f constructin g

V F(u n) -N f F(a) da= f F(a) dD(N; a).

By integratin g b y part s i t follow s tha t thi s i s

~D(N) J 1 \dF(a)\ = \D(N)Vzr T(F).

Although th e clas s o f Riemann-integrabl e function s include s function s no t o f

On takin g F(x) = e(-kx) i n (1 3) , w e see a t onc e tha t |[//v(A;) | < 7r\k\D(N)

Since thi s su m i s real , i t suffices t o conside r th e rea l part s o f th e summands .

(14) \U N(k)\ < 2\k\D(N)

for al l k ^ 0 . I f w e tak e u n = n/k then [/jv(fc ) = N and D(JV ) - N/k. Thu s

6(N;k) = -U N(k)s(k) = l^§-

for k 7^ 0. Sinc e 6(0) = 0 , an d sinc e UN(—^) = UN(k), i t follow s b y Parseval' s

To pu t thi s i n quantitativ e for m w e nee d t o kno w ho w smal l w e ma y tak e e a s

Then Vaaler's polynomial i s

Since AK+I(X) i s a trigonometri c polynomia l o f degre e if , th e su m i s o f degre e

where f(u) — —(1 — u) cot nu — jix, an d on e coul d tak e thi s t o b e th e definitio n

(19) V K(x) = s(x) + O ( m i n ( l , ^ 3 ) ) •

(20) B K(x) = V K(x) + 2{K \l)AK+i(x).

The relation s amon g thes e function s i s describe d i n th e followin g fundamenta l

We postpon e th e proo f o f thi s t o th e nex t section , an d conside r her e th e

X3 {x) = (3 - a + s(x - (3) + s(a - x)

(21+) 5 + (x) =P-a + B K(x - p) + B K{a - x)

(21") SK(X) = f3 - a - B K{(3 -x)- B K(x - a).

These ar e th e Selberg polynomials. I t i s at onc e evident tha t S^(x) i s a trigono -

On invertin g th e orde r o f summatio n w e se e tha t thi s i s

Since U N{0) = N an d S£(0 ) = (3 - a + j±^, i t follow s tha t

D(JV;a,i9)<^T+£ S£(fc)£7 N (-k).

We now require a n estimate fo r \S^(k)\. Sinc e S^(x) ha s been explicitly defined ,

l^(fc)-x 3 (*)|<||s^-x 3 ll^= l K + l

FIGURE 1 . Th e function s s(x), Vz{x), an d B 3(x) fo r 0 < x < 1 .

FIGURE 2 . Th e functions x a (z)> Sj(:c) , 5 3 0* 0 for 0 < x < 1 , wit h

Moreover, s~(k) = -l/(2nik) fo r k ^ 0, so that

(22) |S+ ( / 0 |<^ + n ^_ a ,_L)

for 0 < |fc | < if, an d henc e tha t

Since a lowe r boun d fo r D(N;a,/3) ma y b e similarly derive d usin g S K(x), w e

THEOREM 1 . Let {un}^=1 be a sequence of points ofT, let 3 = [a,/? ] be an

(23) | D ( J V ; a , / 3 ) | < ^ + 2 ^ (s ^ I + m i n ( / J - a , ^ ) ) | f ; «(*«„ )

/or an y positive integers N and K.