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# On Rao’s Theorems and the Lazarsfeld–Rao Property

## 0 Introduction

The Lazarsfeld–Rao property was initially formulated for curves in $`^3`$. It says that each even liaison class of curves has minimal elements, which form an irreducible family. Any curve in the even liaison class that is not minimal can be obtained from a minimal curve by a finite sequence of ascending basic double links, followed by a deformation. This result has been generalized in several directions, and most recently Strano  has shown that if one uses elementary biliaisons, the deformation at the last step is not necessary. Note that a basic double link is essentially a union of the smaller scheme with a complete intersection, while an elementary biliaison has linear equivalence built into the definition. So another way of phrasing Strano’s result is that the only deformations needed in the Lazarsfeld–Rao theorem are linear equivalences on suitable hypersurfaces.

Our purpose in this paper is to give a uniform treatment of the theorems of Rao and the Lazarsfeld–Rao property, in a fairly general context, and from a slightly different point of view than the traditional one. In particular, we will use biliaisons only, and we deal with codimension $`2`$ subschemes that are equidimensional and without embedded components.

A good summary of the literature can be found in Chapter $`6`$ of Migliore’s book . Rao first gave theorems relating biliaison equivalence classes of codimension $`2`$ subschemes to stable equivalence classes of certain sheaves on $`^n`$ , . The Lazarsfeld–Rao property was first proved in a special case in . Then it was proved independently for curves in $`^3`$ in  and for codimension $`2`$ locally Cohen–Macaulay schemes in . The ambient scheme was generalized from $`^n`$ to an arithmetically Gorenstein scheme in  and . The condition that the subschemes be locally Cohen–Macaulay was dropped in  and . The necessity of the deformation at the last step of the LR property was eliminated by Strano .

In this paper we retain all these generalizations. Using ideas from the papers mentioned above, and some technical results from the papers , , we can now prove the Lazarsfeld–Rao property for biliaison equivalence classes of codimension $`2`$ subschemes without embedded components on an integral projective scheme $`X`$ satisfying condition $`S_3`$ of Serre and $`H_{}^1(𝒪_X)=0`$ $`(2.4)`$. We also give a version of the theorem of Rao for a three-dimensional arithmetically Gorenstein scheme $`(3.2)`$. We have made an effort in this paper to present each result with the minimal number of hypotheses, so as to bring out more clearly which results depend on which assumptions.

## 1 Pseudo-isomorphism

Here we borrow some ideas from \[5, Section 2\] and adapt them to our situation.

Hypotheses 1.1. Let $`X`$ be a projective scheme over an algebraically closed field $`k`$, equidimensional of dimension $`N2`$. We assume $`X`$ satisfies the condition $`S_2`$ of Serre. Let $`𝒪_X(1)`$ be an ample invertible sheaf. For any coherent sheaf $``$ we denote $`_nH^i(X,(n))`$ by $`H_{}^i()`$. We assume that $`H_{}^1(𝒪_X)=0`$.

Definition 1.2. A coherent sheaf $``$ on $`X`$ is dissocié if $`𝒪_X(n_i)`$ for some $`n_i`$.

Definition 1.3. An elementary pseudo-isomorphism is a surjective map $`^{}0`$ of coherent sheaves whose kernel is dissocié. The equivalence relation generated by the elementary pseudo-isomorphisms (and their inverses) is called pseudo-isomorphism (psi for short).

Lemma 1.4. A composition of elementary psi is an elementary psi.

Proof. Suppose given

$`0^{}0`$
$`0^{}^{}^{\prime \prime }0`$
with $``$ and $`^{}`$ dissocié. The kernel of the composed map $`^{\prime \prime }`$ is an extension of $`^{}`$ by $``$. Because of the hypothesis $`(1.1)`$ that $`H_{}^1(𝒪_X)=0`$, this extension splits, so the kernel is $`^{}`$, which is dissocié.

Lemma 1.5. If $`_1`$ and $`_2`$ are psi-equivalent, then there exists a coherent sheaf $``$ and elementary psi’s $`_1`$ and $`_2`$.

Proof. Any psi is a finite composition of elementary psi’s and their inverses. In view of $`(1.4)`$, and using induction on the length of a chain, it is sufficient to show that if $`_1^{}`$ and $`_2^{}`$ are elementary psi’s, then there exists elementary psi’s $`_1`$ and $`_2`$ making a commutative diagram. So let

$$0_1_1^{}0$$

and

$$0_2_2^{}0.$$

Take $``$ to be the fibered sum $`\mathrm{ker}(_1_2^{})`$. Then the kernel of the natural map $`_i`$ is just $`_{3i}`$ for $`i=1,2`$.

Definition 1.6. We say a coherent sheaf $``$ on $`X`$ satisfies the condition $`T`$ if the following hold

* $``$ is locally free of constant rank in codimension $`1`$.
* $``$ has depth $`1`$ in codimension $`2`$.
* $``$ has depth $`2`$ in codimension $`3`$.
* There is a closed subset $`ZX`$ of codimension $`2`$ such that $``$ is locally free on $`XZ`$ and $`\text{det }|_{XZ}𝒪_{XZ}(\mathrm{})`$ for some $`\mathrm{}`$. In this case, we say $``$ is orientable.

Example 1.7. a) Let $`V`$ be a closed subscheme of $`X`$ of codimension $`2`$, equidimensional, and having no embedded components. Then the ideal sheaf $`_V`$ of $`V`$ satisfies the condition $`T`$. To each such closed subscheme $`V`$ then, we will associate the psi-equivalence class of coherent sheaves satisfying $`T`$ containing the ideal sheaf $`_V`$.

b) Conversely, if $``$ is a rank $`1`$ coherent sheaf satisfying $`T`$, then $``$ is isomorphic to $`_V(n)`$ for some subscheme $`V`$ of codimension $`2`$ without embedded points, and some $`nZ`$. Indeed, let $`Z`$ be a closed set of codimension $`2`$ such that $``$ is locally free on $`XZ`$. Then since $``$ is orientable, $`𝒪_X(n)`$ on $`XZ`$ for some $`n`$. Let $`j:XZX`$ be the inclusion. Then there is a natural map $`\alpha :j_{}j^{}`$. Since $`X`$ satisfies $`S_2`$, $`j_{}j^{}𝒪_X(n)`$. Furthermore, the map $`\alpha `$ is injective because of the depth conditions on $``$. Hence $`_V(n)`$ for some closed subscheme $`V`$ of codimension $`2`$. It may happen that $`𝒪(n)`$, in which case $`V`$ is empty. If $`V`$ is nonempty, the depth conditions on $``$ now imply that $`V`$ is equidimensional of codimension $`2`$, and has no embedded components.

c) If $`V`$ is a closed subscheme as in a) and b) above, and if $`Y`$ is a hypersurface of $`X`$, linearly equivalent to $`nH`$, containing $`V`$, where $`H`$ is the divisor class corresponding to $`𝒪_X(1)`$, then the exact sequence $`0_Y_V_{V,Y}0`$ shows that $`_V_{V,Y}`$ is a psi, since $`_Y𝒪_X(n)`$. Note, however, that $`_{V,Y}`$ does not satisfy $`T`$, because it is a torsion sheaf with support in codimension $`1`$ along $`Y`$.

Lemma 1.8. a) If $`^{}`$ is an elementary psi, and $`^{}`$ satisfies $`T`$, then so does $``$.

b) if $`X`$ satisfies condition $`S_3`$ of Serre, and if $``$ is a sheaf satisfying $`T`$ of rank $`2`$, then there exists an elementary psi $`^{}`$ to a sheaf $`^{}`$ of rank one less, also satisfying $`T`$.

Proof. Part a) is obvious. To prove b), let $`(n)`$ be a twist of $``$ that is generated by global sections. I claim that if $`s`$ is a sufficiently general section in $`H^0((n))`$, then the quotient $`^{}=/𝒪(n)`$ defined by $`s`$ will be locally free in codimension $`1`$. At a point $`xX`$, the condition for $`^{}`$ to be locally free is that $`s(x)(n)k(x)`$ be non-zero. If $``$ is locally free of rank $`r2`$, since $`(n)`$ is generated by global sections, the bad set of sections $`sV=H^0((n))`$ will have codimension $`r`$. It follows that for a general $`sV`$, the bad set of $`xX`$ for which $`s(x)=0`$ will have codimension $`r2`$. Hence $`^{}`$ is locally free in codimension $`1`$. The rest of condition $`T`$ for $`^{}`$ follows from the $`S_3`$ condition on $`X`$.

Definition 1.9 \[5, 2.6\]. A coherent sheaf $``$ $`X`$ is extraverti if $`H_{}^1(^{})=0`$ and $`xt^1(,𝒪_X)=0`$.

Lemma 1.10. a) If $`^{}`$ is an elementary psi, and $`^{}`$ is extraverti, so is $``$.

b) If $`_1`$ and $`_2`$ are extraverti sheaves that are psi equivalent, then they are stably equivalent, namely, there exist dissocié sheaves $``$ and $``$ such that $`_1_2`$.

Proof. a) If $`0^{}0`$ with $``$ dissocié, then we have

$$0^{}{}_{}{}^{}^{}^{}xt^1(^{},𝒪_X)xt^1(,𝒪_X)0.$$

Assuming that $`xt^1(^{},𝒪_X)=0`$, we get $`xt^1(,𝒪_X)=0`$ and an exact sequence $`0^{}{}_{}{}^{}^{}^{}0`$. Now the exact sequence of cohomology shows $`H_{}^1(^{})=0`$.

b) In view of part a) and $`(1.5)`$, it is sufficient to show that if $`0^{}0`$ with $`^{}`$ extraverti, then the sequence splits, so $`^{}`$. For this we use the low terms of the spectral sequence of Ext:

$$0H_{}^1(^{}{}_{}{}^{})\text{Ext}_{}^1(^{},𝒪_X)H_{}^0(xt^1(^{},𝒪_X))H_{}^2(^{}{}_{}{}^{})\mathrm{}$$

The first and third terms being zero, so is the second, so the sequence splits.

Proposition 1.11. Every psi equivalence class of sheaves satisfying $`T`$ contains an extraverti sheaf satisfying $`T`$.

Proof. Let $``$ be a coherent sheaf satisfying $`T`$. Let

$$0𝒢0$$

be a resolution with $``$ dissocié. From the hypothesis $`H_{}^1(𝒪_X)=0`$ we see that $`\text{Ext}_{}^1(,𝒪_X)`$ is a quotient of $`H_{}^0(𝒢^{})`$, and hence is a finitely generated graded $`S=H_{}^0(𝒪_X)`$-module.

Take a set of generators $`\xi _i\text{Ext}^1(,𝒪_X(a_i))`$ of this module and let

$$00$$

be the corresponding extension, with $`=𝒪_X(a_i)`$. Then $``$ is psi-equivalent to $``$ by construction, and satisfies $`T`$ by $`(1.8)`$. We will show that $``$ is extraverti.

First we apply the functor $`\text{Hom}(,𝒪_X())`$. This gives

$$0H_{}^0(^{})H_{}^0(^{})H_{}^0(^{})\stackrel{\alpha }{}\text{Ext}_{}^1(,𝒪_X)\text{Ext}_{}^1(,𝒪_X)0.$$

Furthermore, the map $`\alpha `$ sends the generators of $`H_{}^0(^{})`$ to the chosen generators $`\xi _i`$ of $`\text{Ext}_{}^1(,𝒪_X)`$. Hence $`\text{Ext}_{}^1(,𝒪_X)=0`$, and we conclude from the spectral sequence mentioned in the proof of $`(1.10)`$ above that $`H_{}^1(^{})=0`$.

From that same spectral sequence, and noting that $`H_{}^2(^{})`$ is zero in large enough degrees, by Serre vanishing, we see that the map

$$\text{Ext}_{}^1(,𝒪_X)H_{}^0(xt^1(,𝒪_X))$$

is surjective in large enough degrees. Hence the images of the generators $`\xi _i`$ also generate the sheaf $`xt^1(,𝒪_X)`$. Then from applying $`om(,𝒪_X)`$ to the sequence defining $``$ above, we find also $`xt^1(,𝒪_X)=0`$, and $``$ is extraverti.

Combining the results of this section, we have the following relationship between codimension two subvarieties and coherent sheaves on $`X`$.

Proposition 1.12. Let $`X`$ be an equidimensional projective scheme of dimension $`2`$ satisfying $`S_2`$ and $`H_{}^1(𝒪_X)=0`$.

a) For any codimension two subscheme $`V`$ without embedded points, we associate to it the psi-equivalence class of coherent sheaves satisfying $`T`$ that contains the sheaf $`_V`$.

b) If furthermore $`X`$ satisfies $`S_3`$, then every psi-equivalence class of sheaves satisfying $`T`$ contains a sheaf of the form $`_V^{}(n)`$, where $`V^{}`$ is a codimension two subscheme without embedded points, for some $`n`$.

c) Every psi-equivalence class of sheaves satisfying $`T`$ contains extraverti sheaves, unique up to stable equivalence.

Proof. a) is $`(1.7)`$a.

b) is $`(1.8)`$ together with $`(1.7)`$b.

c) is $`(1.11)`$ plus $`(1.10)`$.

Remark 1.13. If $`X`$ satisfies in addition condition $`G_2`$, Gorenstein in codimension $`2`$, then the condition $`xt^1(,𝒪_X)=0`$ implies by local duality depth $`2`$ at every point of codimension $`2`$, so that then $``$ will satisfy condition $`S_2`$. In the presence of $`G_1`$, this makes $``$ reflexive \[3, 1.9\]. Thus, the extraverti sheaves of $`(1.12)`$c are reflexive, and we recover the construction of Nollet  and Nagel  by another route.

Furthermore, if $`X`$ is nonsingular, and we take $`V`$ to be locally Cohen–Macaulay of codimension $`2`$, then depth $`_Vr1`$ in codimension $`r`$, and the same applies to $``$. Then the condition $`xt^1(,𝒪)=0`$ makes depth $`=r`$ in codimension $`r`$, i.e., $``$ is a Cohen–Macaulay sheaf. Since $`X`$ is nonsingular, the extraverti sheaves associated to $`V`$ will be locally free. Then we recover the usual $`N`$-type resolution of $`_V`$.

## 2 The Lazarsfeld–Rao property

We preserve the hypotheses $`(1.1)`$ and in addition we assume $`X`$ satisfies $`S_3`$. Let $`H`$ be the divisor class corresponding to $`𝒪_X(1)`$, i.e., whose fractional ideal is isomorphic to $`𝒪_X(1)`$. If $`YX`$ is an effective divisor linearly equivalent to $`nH`$ for some $`n`$, then $`Y`$ is a Cartier divisor on $`X`$, and so the scheme $`Y`$ satisfies $`S_2`$. Thus we can speak of generalized divisors on $`Y`$ .

Definition 2.1. Let $`V`$ be a closed subscheme of pure codimension $`2`$ of $`X`$, with no embedded components. We say another such subscheme $`V^{}`$ is obtained by an elementary biliaison of height $`h`$ from $`V`$, if there exists an effective divisor $`YnH`$ on $`X`$ for some $`n`$, and a linear equivalence $`V^{}V+hH`$ on $`Y`$ for some $`h`$. (Here by abuse of notation, $`H`$ denotes the divisor class of $`𝒪_X(1)`$ or $`𝒪_Y(1)`$ according to context.) The equivalence relation generated by elementary biliaisons will be called biliaison. (To be precise, we should call this notion complete intersection biliaison or CI-biliaison, to distinguish it from the more general notion of Gorenstein biliaison that uses ACM divisors $`Y`$ on $`X`$ .)

Proposition 2.2. If $`V_1`$ and $`V_2`$ are closed subschemes of codimension $`2`$ of $`X`$ as above that are equivalent for biliaison, then there is an integer $`m`$ such that the ideal sheaves $`_{V_1}`$ and $`_{V_2}(m)`$ are equivalent for pseudo-isomorphism.

Proof. Let $`V^{}V+hH`$ as a divisor $`YnH`$ of $`X`$. Then $`_{V^{},Y}_{V,Y}(h)`$. On the other hand, $`_{V^{},Y}_{V^{},X}`$ for psi and $`_{V,Y}_{V,X}`$ for psi by $`(1.7)`$. Hence $`_V^{}_V(h)`$ for psi. Combining a sequence of elementary biliaisons gives the result.

Remark 2.3. The converse of this proposition is the theorem of Rao: if the ideal sheaves $`_{V_1}`$ and $`_{V_2}(n)`$ are equivalent for psi, then $`V_1`$ and $`V_2`$ are equivalent for biliaison. The Lazarsfeld–Rao property gives a more detailed structure of the biliaison equivalence class of codimension $`2`$ subschemes. Both results are combined in the following theorem.

Theorem 2.4. Let $`X`$ be a projective scheme over an algebraically closed field $`k`$, equidimensional of dimension $`N2`$. Let $`𝒪_X(1)`$ be a very ample invertible sheaf. We assume that $`X`$ is integral, that it satisfies condition $`S_3`$ of Serre, and that $`H_{}^1(𝒪_X)=0`$. We consider closed subschemes $`V`$ of codimension $`2`$ equidimensional and without embedded components.

* If $`_{V_1}`$ and $`_{V_2}(n)`$ are psi-equivalent for some $`n`$, then $`V_1`$ and $`V_2`$ are equivalent for biliaison. Hence the biliaison equivalence classes of subschemes $`V`$ are in one-to-one correspondence with psi-equivalence classes (up to twist) of coherent sheaves satisfying condition $`T`$ $`(1.6)`$.
* If $`V`$ is a codimension $`2`$ subscheme whose degree is not minimal in its biliaison equivalence class, then $`V`$ admits a strictly descending biliaison (i.e., there exists a divisor $`YnH`$ on $`X`$ containing $`V`$, and a subscheme $`V^{}V+hH`$ on $`Y`$ with $`h<0`$).
* Any two subschemes $`V,V^{}`$ in the same biliaison class, both of minimal degree, can be joined by a sequence of elementary biliaisons of height $`0`$, i.e., linear equivalences on divisors $`Y_in_iH`$ on $`X`$.

The proof will follow after some preliminary results. The main idea is this: if $`_{V_1}(a)`$ and $`_{V_2}(b)`$ are equivalent for psi, then by $`(1.5)`$ there exists a coherent sheaf $``$ (satisfying $`T`$ by $`(1.8)`$) and elementary psi’s from $``$ to $`_{V_1}(a)`$ and $`_{V_2}(b)`$. Thus there are exact sequences

$$0_{i=1}^r𝒪(a_i)\stackrel{\alpha }{}_{V_1}(a)0$$

$$0_{i=1}^r𝒪(b_i)\stackrel{\beta }{}_{V_2}(b)0$$

where $``$ has rank $`r+1`$. The maps $`\alpha ,\beta `$ are defined by sections $`s_iH^0((a_i))`$ and $`t_iH^0((b_i))`$. The proof proceeds by comparison of the integers $`a_i,b_i`$, and a careful study of the exact conditions for a section $`sH^0((n))`$ to have a quotient $`^{}=(n)/(s)`$ that satisfies $`T`$.

First we consider a special case.

Proposition 2.5. Let $`X`$ satisfy the hypotheses of $`(2.4)`$, let $``$ be a rank $`2`$ coherent sheaf on $`X`$ satisfying $`T`$, and suppose there are codimension $`2`$ subschemes $`V_1,V_2`$ and exact sequences

$$0𝒪(a_1)\stackrel{\alpha }{}_{V_1}(a)0$$

$$0𝒪(b_1)\stackrel{\beta }{}_{V_2}(b)0.$$

Then $`V_2`$ is obtained from $`V_1`$ by an elementary biliaison of height $`ba`$ on a suitable divisor $`YnH`$ on $`X`$.

Proof. Consider the composed map $`\gamma :𝒪(b_1)\stackrel{\beta }{}_{V_1}(a)`$. If $`\gamma `$ is zero, then $`\beta `$ factors through $`𝒪(a_1)`$. We get an injective map $`𝒪(b_1)𝒪(a_1)`$ whose cokernel is contained in $`_{V_2}(b)`$, hence is zero, because $`_{V_2}(b)`$ is torsion-free. Thus $`a_1=b_1`$, so $`\alpha =\beta `$, $`a=b`$, and $`_{V_1}=_{V_2}`$, so $`V_1`$ and $`V_2`$ are equal.

If $`\gamma `$ is not zero, then since $`X`$ is integral (and here is exactly where we use the hypothesis $`X`$ integral), it is injective. Let the cokernel be $``$:

$$0𝒪(b_1)\stackrel{\gamma }{}_{V_1}(a)0.$$

Let $`Y`$ be the divisor on $`X`$ defined by $`\gamma `$ followed by the inclusion of $`_{V_1}(a)`$ in $`𝒪_X(a)`$. Then $`Y(a+b_1)H`$ on $`X`$, and $`_{V_1,Y}(a)`$. A diagram chase shows that $``$ also fits into another exact sequence

$$0𝒪(a_1)_{V_2}(b)0.$$

Hence $`_{V_2,Y}(b)`$ also. Therefore $`_{V_1,Y}(a)_{V_2,Y}(b)`$ and there is a linear equivalence $`V_2V_1+(ba)H`$ on $`Y`$. Thus $`V_2`$ is obtained by an elementary biliaison of height $`ba`$ from $`V_1`$.

Proposition 2.6. Let $`X`$ be an integral projective scheme satisfying condition $`S_2`$ of Serre. Let $``$ be a torsion-free coherent sheaf, locally free in codimension $`1`$. Let $`W`$ be a subvector space of $`H^0()`$, and let $`_0`$ be the subsheaf generated by $`W`$. Then the following conditions are equivalent:

* There exists a section $`sW`$ such that $`^{}=/(s)`$ is torsion-free and locally free in codimension $`1`$
* (a) for all $`xX`$ of codimension $`1`$, rank $`(_0k(x)\stackrel{\sigma _x}{}k(x))1`$, and
* (b) either rank $`_02`$ or $`_0𝒪_X`$ and $`/_0`$ is torsion-free and locally free in codimension $`1`$.

Proof (cf. \[6, 1.4\]) (i) $``$ (ii). Suppose given $`sW`$ such that $`^{}=/(s)`$ is torsion-free and locally free in codimension $`1`$. Then there is a diagram

$$\begin{array}{ccccccccc}0& & 𝒪& \stackrel{s}{}& & & ^{}& & 0\\ & & & & & & & & \\ 0& & _0& & & & /_0& & 0.\end{array}$$

Let $`x`$ be a point of codimension $`1`$, and tensor with $`k(x)`$. Since $`^{}`$ is locally free at $`x`$, we have

$$\begin{array}{ccccccccc}0& & k(x)& & k(x)& & ^{}k(x)& & 0\\ & & & & & & & & \\ & & _0k(x)& \stackrel{\sigma _x}{}& k(x)& & (/_0)k(x)& & 0.\end{array}$$

Thus it is clear that rank $`\sigma _x1`$. If rank $`_02`$, there is nothing more to prove. If rank $`_0=1`$, then $`_0/𝒪^{}`$, and since $`^{}`$ is torsion-free, we must have $`_0𝒪`$ and $`/_0^{}`$ torsion-free and locally free in codimension $`1`$, as required.

(ii) $``$ (i). Assuming condition (ii), we will show that a general element $`sW`$ makes $`^{}=/(s)`$ locally free in codimension $`1`$. Then the condition $``$ torsion-free and $`X`$ satisfies $`S_2`$ will imply $`^{}`$ also torsion-free.

Since $``$ is locally free in codimension $`1`$, the condition that $`^{}`$ be locally free at a point $`x`$ of codimension $`1`$ is precisely that $`s(x)k(x)`$ be non-zero. Consider the bad locus $`B=\{(s,x)s(x)=0`$ in $`k(x)\}`$ inside $`W\times X`$. From condition (ii) a) it is clear that $`_00`$. If rank $`_0=1`$, then we know that $`_0𝒪_X`$, and $`/_0`$ locally free in codimension $`1`$, so there is nothing to prove. So we may assume rank $`_02`$.

Since $`X`$ is integral, there is a nonempty open set $`UX`$ over which $`/_0`$ is locally free. For any $`xU`$, rank $`\sigma _x2`$ and so the fiber $`B_x`$ of $`B`$ over $`x`$ has codimension $`2`$ in $`W`$. Therefore $`B_U=B(W\times U)`$ has dimension $`w2+N`$, where $`w=dimW`$ and $`N=dimX`$. Let $`D=XU`$. At points $`xD`$ of codimension $`1`$ in $`X`$, rank $`\sigma _x1`$. Hence rank $`\sigma _x1`$ over an open set $`U^{}D`$, and $`dimB_U^{}w1+N1`$. Finally, there may be some subset $`ZD_1`$ of codimension $`2`$ in $`X`$, for which rank $`\sigma _x=0`$. Then $`dimB_Zw+N2`$. All in all, we find $`dimBw+N2`$. Looking at the projection of $`B`$ to $`W`$, we see that for a general $`sW`$, the fiber $`B_sX`$ of $`B`$ over $`s`$ will have codimension $`2`$. Therefore $`^{}=/(s)`$ will be locally free in codimension $`1`$, as required.

Remark 2.7. If $`X`$ satisfies the hypotheses $`(1.1)`$ and also condition $`S_3`$ of Serre, and if the sheaf $``$ of $`(2.6)`$ satisfies $`T`$, then the quotients $`^{}=/(s)`$ of $`(2.6)`$ will also satisfy $`T`$. Indeed the extra conditions 3), 4) of $`(1.6)`$ follow from the same conditions for $``$ plus the condition $`S_3`$ on $`X`$.

Proposition 2.8. With the hypotheses of $`(2.4)`$, suppose that $``$ is a coherent sheaf satisfying $`T`$, and that there are codimension $`2`$ subschemes $`V`$ and $`W`$ and exact sequences

$$0_{i=1}^r𝒪(a_i)\stackrel{\alpha }{}_V(a)0$$

$$0_{i=1}^r𝒪(b_i)\stackrel{\beta }{}_W(b)0.$$

Assume that $`a_1a_2\mathrm{}a_r`$ and $`b_1b_2\mathrm{}b_r`$ and that $`a_i=b_i`$ for $`i=1,\mathrm{},k1`$, and $`a_k<b_k`$ for some $`k`$. Then $`W`$ admits a strictly descending biliaison.

Proof. Let $`s_iH^0((a_i))`$ and $`t_iH^0((b_i))`$ be the sections defining the maps $`\alpha `$ and $`\beta `$. The idea is to show that $`t_1,\mathrm{},t_{k1},s_k,t_{k+1},\mathrm{},t_r`$ define another subscheme $`W^{}`$ by an exact sequence

$$0_{ik}𝒪(b_i)𝒪(a_k)_W^{}(b^{})0.$$

Then considering determinants of the locally free sheaves on an open subset of $`X`$ we find $`b^{}=bb_k+a_k<b`$. If we let $`^{}=/(t_1,\mathrm{},t_{k1},t_{k+1},\mathrm{},t_r)`$, then $`^{}`$ is a rank $`2`$ coherent sheaf with sections $`t_k,s_k`$ defining $`W`$ and $`W^{}`$, respectively. According to $`(2.5)`$, $`W^{}`$ is then obtained from $`W`$ by an elementary biliaison of height $`b^{}b<0`$, and we get the desired result. This idea may not work with the original $`s_i,t_i`$, so we must modify them a little, without changing $`V`$ and $`W`$.

Step 1. We will show that for sufficiently general $`s_k^{}H^0((a_k))`$, the quotient sheaf $`/(t_1,\mathrm{},t_{k1},s_k^{})`$ satisfies $`T`$ of rank $`r+1k`$. To show this, consider the sheaf $`=(a_k)/(t_1,\mathrm{},t_{k1})`$. This has $`_W(b+a_k)`$ as a quotient, hence satisfies $`T`$ by $`(1.8)`$. We will apply $`(2.6)`$ to $``$ to show that it has a section $`\overline{s}_k^{}`$ (which lifts to a section $`s_k^{}H^0((a_k))`$) with quotient satisfying $`T`$.

Let $`_0`$ be the subsheaf of $`(a_k)`$ generated by global sections, and let $`_0`$ be the subsheaf of $``$ generated by global sections. Then we have

$$\begin{array}{ccccccccc}0& & _{i=1}^{k1}𝒪(a_kb_i)& \stackrel{(t_i)}{}& _0& & _0& & 0\\ & & & & & & & & \\ 0& & _{i=1}^{k1}𝒪(a_kb_i)& \stackrel{(t_i)}{}& (a_k)& & & & 0.\end{array}$$

On the other hand, we know that $`/(s_1,\mathrm{},s_k)`$ satisfies $`T`$ and is of rank $`r+1k`$, so for every point $`xX`$ of codimension $`1`$ we must have rank $`(\sigma _x((a_k)):_0k(x)(a_k)k(x))k`$. Tensoring the diagram above with $`k(x)`$, it follows that rank $`(\sigma _x():_0k(x)k(x))1`$. Furthermore, if rank $`_0=1`$, then rank $`_0=k`$, so $`_0`$ must be equal to the subsheaf generated by $`s_1,\mathrm{},s_k`$, which is $`_{i=1}^k𝒪(a_ka_i)`$. In this case $`_0/(t_1,\mathrm{},t_{k1})_0/(s_1,\mathrm{},s_{k1})𝒪_X`$ and $`/_0=(a_k)/_0`$ satisfies $`T`$.

So the conditions of $`(2.6)`$ are satisfied (taking the whole space $`H^0((a_k))`$), and there is a section $`s_k^{}(a_k)`$ so that $`(a_k)/(t_1,\mathrm{},t_{k1},s_k^{})=/(\overline{s}_k^{})`$ satisfies $`T`$. Note also that the image of $`s_k^{}`$ in $`_W(b+a_k)`$ is nonzero. For if it were zero, then $`s_k^{}H^0\left(_{i=1}^r(a_kb_i)\right)`$. Since $`a_k<b_k`$, in fact $`s_k^{}H^0\left(_{i=1}^{k1}𝒪(a_kb_i)\right)`$, which is impossible since $`\overline{s}_k^{}0`$ in $`H^0()`$.

Step 2 (cf. proof of \[1, 2.1\]). Now we will show that for suitable choice of $`t_i^{}=t_i+f_it_k`$, $`i=k+1,\mathrm{},r`$, where the $`f_i`$ are elements of $`H^0(𝒪_X(b_ib_k))`$, the sheaf $`^{\prime \prime }=/(t_1,\mathrm{},t_{k1},s_k^{},t_{k1}^{},\mathrm{},t_r^{})`$ will satisfy $`T`$ of rank $`1`$, hence be of the form $`_W^{}(b^{})`$ for some codimension $`2`$ scheme $`W^{}`$.

To do this, consider the sheaf $`𝒢=/(t_1,\mathrm{},t_r,s_k^{})=^{\prime \prime }/(t_k)`$. Since $`𝒢`$ is the quotient of $`_W(b)`$ by the image of $`s_k^{}`$, it is a torsion sheaf supported along a divisor $`Y`$. Thus $`^{\prime \prime }`$ is locally free in codimension $`1`$ except possibly along $`Y`$. For each generic point $`y`$ of an irreducible component of $`Y`$, we have $`t_1(y),\mathrm{},t_{k1}(y),s_k^{}(y)`$ linearly independent in $`k(y)`$, and similarly for $`t_1(y),\mathrm{},t_r(y)`$. Hence for general forms $`f_iH^0(𝒪_X(b_ib_k))`$, letting $`t_i^{}=t_i+f_it_k`$, $`i=k+1,\mathrm{},r`$, we will have $`t_1(y),\mathrm{},t_{k1}(y),s_k^{}(y),t_{k+1}^{}(y),\mathrm{},t_r^{}(y)`$ linearly independent, and so $`^{\prime \prime }`$ will be locally free at $`y`$. We can do this simultaneously for the finite number of generic points $`y`$ of $`Y`$. Thus $`^{\prime \prime }`$ will be locally free of rank $`1`$ in codimension $`1`$, hence will satisfy $`T`$ and be of the form $`_W^{}(b^{})`$.

Step 3. Now take $`^{}=/(t_1,\mathrm{},t_{k1},t_{k+1}^{},\mathrm{},t_r^{})`$. Then $`^{}`$ satisfies $`T`$ of rank $`2`$, and $`^{}/(t_k)=_W(b)`$, and $`^{}/(s_k^{})=_W^{}(b^{})`$. Then, as explained above, using $`(2.5)`$, $`W^{}`$ is obtained by a strictly descending elementary biliaison from $`W`$.

Proposition 2.9. Suppose given $`V,W`$ and exact sequences as in $`(2.8)`$ with $`a_i=b_i`$ for each $`i`$. Then $`W`$ is obtained from $`V`$ by a finite number of elementary biliaisons of height zero.

Proof. By induction on rank $`=r+1`$. Note first that by computing determinants, since $`a_i=b_i`$ for all $`i`$, we find $`a=b`$. If rank $`=2`$, this is just $`(2.5)`$. So suppose rank $`3`$, i.e., $`r2`$. As in the proof of $`(2.8)`$, let $`s_i`$ and $`t_i`$ define the maps $`\alpha `$ and $`\beta `$.

Applying $`(2.6)`$ to the sheaf $`=/(s_1,\mathrm{},s_{r1})`$, since $`(a_r)`$ has one section $`s_r`$ making a quotient satisfying $`T`$, it follows that if we take a general section $`s^{}H^0((a_r))`$, then $`^{}=/(s_1,\mathrm{},s_{r1},s^{})`$ will be equal to $`_V^{}(a)`$ for some codimension $`2`$ subscheme $`V^{}`$. Then using $`(2.5)`$ applied to $``$, we find $`V`$ and $`V^{}`$ are related by an elementary biliaison of height zero.

Doing the same with $`𝒢=/(t_1,\mathrm{},t_{r1})`$, we find that for sufficiently general $`s^{}H^0((a_r))`$, which we can take to be the same as the $`s^{}`$ above (!), the quotient $`/(t_1,\mathrm{},t_{r1},s^{})`$ will define a subscheme $`W^{}`$, related by one elementary biliaison of height zero to $`W`$.

Now $`V^{}`$ and $`W^{}`$ both have resolutions of the above form using the sheaf $`^{}=/(s^{})`$, of rank one less, so by the induction hypothesis, $`V^{}`$ and $`W^{}`$ are related by a finite sequence of elementary biliaisons of height zero, and we are done.

Proof of $`(2.4)`$. Suppose given subschemes $`V`$ and $`W`$ such that $`_V(a)`$ and $`_W(b)`$ are psi-equivalent. Then by $`(1.5)`$ there is a coherent sheaf $``$ satisfying $`T`$ and exact sequences as in the statement of $`(2.8)`$. If $`a_i`$ is not equal to $`b_i`$ for all $`i`$, then by $`(2.8)`$, one of the two subschemes admits a descending biliaison to a subscheme of lower degree. Since the degree of a subscheme is always nonnegative, we can proceed inductively, and after a finite number of steps we arrive at a situation where $`a_i=b_i`$ for all $`i`$. Then $`(2.9)`$ applies to show they are equivalent by a finite number of biliaisons of height zero.

This proves a) of the theorem. For b), given $`V`$ not of minimal degree, take any $`W`$ of minimal degree in the same biliaison class. Then in $`(2.8)`$ it must be $`V`$ that admits the descending biliaison.

As for c), if $`V`$ and $`W`$ are both of minimal degree, neither one can admit a descending biliaison, so the $`a_i`$ must be equal to the $`b_i`$, and $`(2.9)`$ applies.

Remark 2.10. There is one special case of the theorem that merits special attention. It might happen in the course of the proof that one of the subschemes obtained by a descending biliaison is empty. The theorem and its proof still hold, provided that we allow the empty scheme. The psi class of the corresponding coherent sheaves is the class containing the dissocié sheaves. This corresponds to one biliaison equivalence class, the one containing complete intersections of hypersurfaces $`YnH`$ and $`Y^{}n^{}H`$ in $`X`$. The schemes of minimal degree in this class are the empty scheme.

This may be regarded as unsatisfactory, so we prove separately that for the biliaison class corresponding to the dissocié sheaves, the results of the theorem hold also if we restrict our attention only to the nonempty schemes.

We have only to consider the case where in the proof of $`(2.8)`$ we might obtain an empty scheme $`W^{}`$. In that case, $`WmH`$ on a hypersurface $`YnH`$ in $`X`$. Since $`H^1(𝒪_X(mn))=0`$, it follows that $`H^0(𝒪_X(m))H^0(𝒪_Y(m))`$ is surjective, so $`W`$ is a complete intersection of $`Y`$ with $`Y^{}mH`$. If $`m2`$, we can make a descending biliaison to $`W^{}H`$ on $`Y`$. If $`m=1`$ and $`n2`$, we regard $`W`$ as a divisor on $`Y^{}H`$ on $`X`$ and again make a descending biliaison to $`W^{}H`$ on $`Y^{}`$. If $`m=n=1`$, I claim $`W`$ is of minimal degree among the nonempty schemes in this biliaison class. For if $`V`$ was something of lower degree, according to the theorem there would be a sequence $`V=V_1,V_2,\mathrm{},V_r`$ of descending biliaisons, with $`V_r`$ the empty scheme. In that case, as we have seen, $`V_{r1}`$ would be a complete intersection of degree $`W`$, which is impossible. The same argument shows that any nonempty scheme of minimal degree is of the same form as $`W`$. Now $`W`$ has a resolution of the form $`0𝒪(2)𝒪(1)𝒪(1)_W0`$. Given two of these, they have the same $``$ and the same $`a_i`$, so by $`(2.9)`$ they are joined by a sequence of biliaisons of height zero.

Remark 2.11. In case $`X=^n`$, the codimension two schemes in the biliaison class of the empty scheme are the ACM schemes. So we have just shown $`(2.10)`$ that any ACM codimension $`2`$ scheme admits descending elementary biliaisons to a minimal one, which is just a linear variety $`^{n2}`$ in $`^n`$.

Remark 2.12. A consequence of the theorem is that a variety $`V`$ that is not of minimal degree can be reached by a sequence of strictly ascending elementary biliaisons from one of minimal degree. For curves in $`^3`$, this is Strano’s theorem , answering a question of \[9, p. 93\], showing that the deformation in earlier proofs of the Lazarsfeld–Rao property is not necessary.

Remark 2.13. If we wish to prove only $`(2.4a)`$, namely that psi equivalence of ideal sheaves implies biliaison equivalence of subschemes, we can remove the hypothesis that $`X`$ is integral. We prove this by the original method of Rao. First of all, in $`(2.5)`$ instead of comparing $`\alpha `$ to $`\beta `$, we compare them both to $`\gamma :𝒪(c)`$, where $`c`$ is chosen sufficiently large that $`(c)`$ is generated by global sections. Then the induced maps $`𝒪(c)_{V_1}(a)`$ and $`𝒪(c)_{V_2}(b)`$ will both be injective, and we find that $`V_1`$ and $`V_2`$ are now related by two biliaisons of large heights.

For sheaves of arbitrary rank, we follow the plan of proof of $`(2.9)`$, but take the section $`s^{}`$ of that proof to be a general section of $`(n)`$ for $`n0`$. Then we can make $`s^{}`$ independent of the other sections and proceed as in that proof, except that the biliaisons are now up and down of large heights.

Corollary 2.14. a) With the hypotheses of $`(2.4)`$, the biliaison equivalence classes of codimension two subschemes are in one-to-one correspondence with stable equivalence classes of extraverti sheaves satisfying $`T`$ (up to twist).

b) If furthermore $`X`$ also satisfies $`G_2`$, then the biliaison classes of codimension two subschemes are in one-to-one correspondence with stable equivalence classes of reflexive extraverti sheaves satisfying $`T`$ (up to twist).

Proof. This is simply a restatement of $`(2.4)`$, using $`(1.12)`$ and $`(1.13)`$. Part b) is the theorem of Nollet \[12, 2.12\] in the case $`X=^n`$, and of Nagel \[11, 6.4\] in the case $`X`$ is an integral arithmetically Gorenstein scheme. Nagel also proved \[11, 7.3\] the weaker form of the Lazarsfeld–Rao property (2.4b) allowing a deformation before making a descending biliaison.

## 3 Cohomological characterization of biliaison classes

For curves in $`^3`$, the original theorem of Rao  says that two curves $`C_1,C_2`$ are in the same biliaison equivalence class if and only if their Rao modules $`M_1,M_2`$ are isomorphic up to twist. The Rao module of a curve $`C`$ is $`M=H_{}^1(_C)`$. It was proved by first relating biliaison classes of curves to stable equivalence classes of locally free sheaves, and then using a theorem of Horrocks . The theorem of Horrocks is difficult to generalize to higher dimensions, but in this section we give a version for an arithmetically Gorenstein scheme $`X`$ of dimension $`3`$.

Proposition 3.1. Let $`X`$ be a $`3`$-dimensional projective ACM scheme, and let $`S=H_{}^0(𝒪_X)`$.

* Each psi equivalence class of coherent sheaves $``$ satisfying $`T`$ determines a finite length graded $`S`$-module $`M=H_{}^1()`$.
* Conversely, for each finite length graded $`S`$-module $`M`$, there is a locally free extraverti coherent sheaf $``$ satisfying $`T`$, such that $`H_{}^1()M`$.

Proof. For part a) we first show that if $`0^{}0`$ is an elementary psi, then $`H_{}^1()H_{}^1(^{})`$. This is because $`X`$ being ACM implies $`H_{}^i(𝒪_X)=0`$ for $`i=1,2`$. Serre’s theorem tells us that $`H^1((n))=0`$ for $`n0`$. To show that $`M`$ is of finite length, we must show also $`H^1((n))=0`$ for $`n0`$. Let $`\omega `$ be the dualizing sheaf on $`X`$. Then $`H^1((m))`$ is dual to $`\text{Ext}_X^2(,\omega (n))`$. For $`n0`$, the sheaves $`xt^i(,\omega (n))`$ have no higher cohomology, so the spectral sequence of local and global Ext gives $`\text{Ext}^2(,\omega (n))=H^0(xt^2(,\omega (n)))`$. Now we use local duality at a closed point $`xX`$. There $`xt^2(,\omega )_x`$ is dual to $`H_x^1()`$, and this is zero because depth $`_x2`$ by condition $`T`$.

For part b), let $`M`$ be a finite length graded $`S`$-module. Take a resolution

$$0EL_1L_0M0$$

of graded $`S`$-modules, with $`L_i`$ free, and $`E`$ the second syzygy. Passing to associated sheaves we get

$$0_1_00.$$

This shows that $``$ is locally free and $`H_{}^1()M`$. Also $`\text{det }=(\text{det }_1)(\text{det }_0)^1`$, so $``$ satisfies $`T`$. Taking duals, we find

$$0_0^{}_1^{}^{}0$$

and $`xt^1(,𝒪)=0`$. From this, again using $`X`$ is ACM, we find $`H_{}^1(^{})=0`$, so $``$ is extraverti.

Theorem 3.2. Now assume that $`X`$ is a $`3`$-dimensional arithmetically Gorenstein scheme, i.e., $`X`$ is ACM and $`S=H_{}^0(𝒪_X)`$ is a Gorenstein ring.

a) To each extraverti coherent sheaf $``$ satisfying $`T`$ we will associate a maximal Cohen–Macaulay module $`P`$ over the ring $`S`$, defined up to stable equivalence, and a map $`\alpha :P^{}M^{}0`$, where $`M^{}`$ is the dual of the finite length module $`M=H_{}^1()`$.

b) If $`_1`$ and $`_2`$ are two such sheaves with the same associated modules $`M_1M_2`$, and if the associated maximal Cohen–Macaulay modules $`P_1,P_2`$ are stably equivalent and the maps $`\alpha _1:P_1^{}M^{}`$ and $`\alpha _2:P_2^{}M^{}`$ are compatible with the stable equivalence, then $`_1`$ and $`_2`$ are stably equivalent.

c) Given a finite-length graded $`S`$-module $`M`$, a graded maximal Cohen–Macaulay module $`P`$ whose associated sheaf $`𝒫`$ is orientable, and given a map $`\alpha :P^{}M^{}0`$, there exists an extraverti sheaf $``$ satisfying $`T`$ that gives rise to this triple, as above.

Proof. a) Given $``$ extraverti satisfying $`T`$, let $`E=H_{}^0()`$, and take a resolution of graded $`S`$-modules

$$0PL_1L_0E0$$

where $`L_0,L_1`$ are free and $`P`$ is the kernel. Since $`E`$ has depth $`2`$ at the irrelevant prime $`𝔪`$ of $`S`$, we see that $`P`$ has depth $`4`$, so $`P`$ is a maximal Cohen–Macaulay module. Taking duals we obtain an exact sequence

$$0E^{}L_0^{}L_1^{}P^{}\stackrel{\alpha }{}M^{}0.$$

To see this, first consider $`\text{Ext}_S^1(E,S)`$. This is dual on $`S`$ to $`H_𝔪^3(E)`$, which is isomorphic to $`H_{}^2()`$ on $`X`$. This in turn is dual to $`\text{Ext}_{X,}^1(,𝒪)`$ which is zero because $``$ is extraverti, using the exact sequence of low degree terms of the spectral sequence mentioned in the proof of $`(1.10)`$. Hence $`\text{Ext}_S^1(E,S)=0`$. Secondly, $`\text{Ext}_S^2(E,S)`$ is dual to $`H_𝔪^2(E)`$, which is isomorphic to $`H_{}^1()`$, which is $`M`$.

In this way we obtain the maximal CM module $`P`$, determined up to stable equivalence on $`S`$, and the map $`\alpha :P^{}M^{}0`$.

b) Now suppose $`_1`$ and $`_2`$ are two such sheaves, with isomorphic associated modules $`M_1M_2=M`$ and stably equivalent maximal CM modules $`P_1`$ and $`P_2`$, and compatible maps $`\alpha _1,\alpha _2`$. Then $`E_1^{}`$ and $`E_2^{}`$ both occur in resolutions of $`\alpha :P^{}M^{}0`$ as above, and hence $`E_1^{}`$ and $`E_2^{}`$ are stably equivalent graded $`S`$-modules. It follows that $`_1`$ and $`_2`$ are stably equivalent sheaves.

c) Given $`\alpha :P^{}M^{}0`$, take a resolution

$$0E^{}L_1^{}L_0^{}P^{}M^{}0.$$

Then let $`E=E^{}^{}`$ and let $``$ be the associated sheaf. One checks easily that $``$ is extraverti satisfying $`T`$ and gives rise to $`M`$, $`P`$, $`\alpha `$ as required.

Corollary 3.3. Let $`X`$ be an arithmetically Gorenstein scheme of dimension $`3`$. Then to each curve $`CX`$ is associated a maximal Cohen–Macaulay module $`P`$ over the ring $`S=H_{}^0(𝒪_X)`$, and a map $`\alpha :P^{}M^{}0`$, where $`M=H_{}^1(_C)`$ is the Rao module of $`C`$. Two curves $`C_1`$ and $`C_2`$ are in the same biliaison equivalence class if and only if (up to shift) $`M_1M_2`$, $`P_1,P_2`$ are stably equivalent, and $`\alpha _1,\alpha _2`$ are compatible with this isomorphism on a stable equivalence. Furthermore, every triple $`(M,P,\alpha )`$ as in (3.2c) occurs for some biliaison class of curves.

Proof. Given $`C`$, take any extraverti sheaf $``$ in the psi equivalence class of $`_C`$ $`(1.12)`$. Then we obtain the associated $`P`$ and $`\alpha `$ by $`(3.2)`$. Now if two curves $`C_1`$ and $`C_2`$ have compatible $`M_i`$, $`P_i`$, and $`\alpha _i`$, up to shift, the corresponding sheaves $`_1`$ and $`_2`$ are stably equivalent, up to shift, by the theorem. This in turn implies $`C_1`$ and $`C_2`$ are in the same biliaison equivalence class by $`(2.4)`$, cf. also $`(2.14)`$.

Remark 3.4. In the special case $`X=^3`$, the maximal Cohen–Macaulay module is free, since $`S`$ is a regular ring. Thus the condition of $`(3.3)`$ boils down to $`M_1M_2`$, which is the original theorem of Rao. Note that the statement “every maximal Cohen–Macaulay module is free” over a local Cohen–Macaulay ring implies that every module has a finite free resolution, and so the ring is regular. Thus $`^3`$ is the only arithmetically Gorenstein scheme for which the isomorphism of Rao modules is sufficient to imply biliaison equivalence of curves.

For a two-dimensional arithmetically Gorenstein scheme, there is a much simpler analogous result.

Proposition 3.5. Let $`X`$ be an arithmetically Gorenstein scheme of dimension $`2`$. There is a natural one-to-one correspondence between biliaison classes of $`0`$-dimensional closed subschemes $`Z`$ and stable equivalence classes of maximal Cohen–Macaulay modules over the ring $`S=H_{}^0(𝒪_X)`$ whose associated sheaf $``$ is orientable.

Proof. To any $`0`$-dimensional subscheme $`Z`$ we associate an extraverti sheaf $``$ in the psi-equivalence class of $`_Z`$ $`(1.11)`$. Then $``$ is reflexive $`(1.13)`$ and hence locally Cohen–Macaulay on $`X`$. Since $`X`$ is arithmetically Gorenstein, the condition $`H_{}^1(^{})=0`$ implies by Serre duality that $`H_{}^1()=0`$. Hence $`E=H_{}^0()`$ is a maximal Cohen–Macaulay module over $`S`$. Now $`(2.14)`$ shows that biliaison equivalence classes of $`Z`$ correspond to stable equivalence classes of $``$ and hence of $`E`$. The condition orientable just requires that $``$ be locally free in codimension $`1`$ and its determinant be isomorphic to $`𝒪_X(\mathrm{})`$ for some $`\mathrm{}`$ on $`X`$ minus a finite number of points.


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# References

Spectral functions of isoscalar scalar and isovector electromagnetic form factors of the nucleon at two-loop order

N. Kaiser

Physik Department T39, Technische Universität München, D-85747 Garching, Germany

## Abstract

We calculate the imaginary parts of the isoscalar scalar and isovector electromagnetic form factors of the nucleon up to two-loop order in chiral perturbation theory. Particular attention is paid on the correct behavior of Im $`\sigma _N(t)`$ and Im $`G_{E,M}^V(t)`$ at the two-pion threshold $`t_0=4m_\pi ^2`$ in connection with the non-relativistic $`1/M`$-expansion. We recover the well-known strong enhancement near threshold originating from the nearby anomalous singularity at $`t_c=4m_\pi ^2m_\pi ^4/M^2=3.98m_\pi ^2`$. In the case of the scalar spectral function Im $`\sigma _N(t)`$ one finds a significant improvement in comparison to the lowest order one-loop result. Higher order $`\pi \pi `$-rescattering effects are however still necessary to close a remaining 20%-gap to the empirical scalar spectral function. The isovector electric and magnetic spectral functions Im $`G_{E,M}^V(t)`$ get additionally enhanced near threshold by the two-pion-loop contributions. After supplementing their two-loop results by a phenomenological $`\rho `$-meson exchange term one can reproduce the empirical isovector electric and magnetic spectral functions fairly well.

PACS: 12.38.Bx, 12.39.Fe, 13.40.Gp.

The structure of the nucleon as probed in elastic electron-nucleon scattering is encoded in four form factors $`G_{E,M}^{S,V}(t)`$ (with $`t`$ the squared momentum transfer). The understanding of these form factors is of importance for any theory or model of the strong interactions. Abundant data on the electromagnetic form factors of the nucleon exist over a large range of momentum transfers, $`0<\sqrt{t}<6`$GeV. Dispersion theory is a tool to interpret these data in a largely model-independent fashion. Each electromagnetic form factor $`G_{E,M}^{S,V}(t)`$ can be written in terms of an unsubtracted dispersion relation and their imaginary parts are often modeled by a few vector meson poles. This procedure is based on the successful vector meson dominance hypothesis which states that the (virtual) photon couples to hadrons only via intermediate vector mesons. However, as pointed out already in 1959 by Fulco and Frazer  such an approach is not in conformity with general constraints from unitarity and analyticity. In particular, the singularity structure of the triangle diagram (left graph in Fig. 1) is not respected at all when using only vector meson poles. As a consequence of a nearby logarithmic singularity at $`t_c=4m_\pi ^2m_\pi ^4/M^2`$ (on the second Riemann-sheet) the low-mass two-pion continuum has a very pronounced effect on the isovector electric and magnetic spectral functions Im $`G_{E,M}^V(t)`$ on the left wing of the $`\rho (770)`$-resonance. This becomes particularly visible in the isovector mean square radii of the nucleon. The effect was quantified by Höhler and Pietarinen  in their work on the nucleon electromagnetic form factors based on $`\pi \pi \overline{N}N`$ partial wave amplitudes. The dispersion relation analysis of the nucleon electromagnetic form factors was recently refined by the Bonn-Mainz group  accounting for new electron scattering data and the high-energy constraints from perturbative QCD.

The first one-loop calculation of the isovector electromagnetic form factors has been performed in ref. using the fully relativistic version of baryon chiral perturbation theory. The correct analytical structure naturally emerged in this calculation and thus the strong enhancement near the two-pion threshold. In the framework of heavy baryon chiral perturbation theory next-to-leading order one-loop results for the isovector electric and magnetic spectral functions Im $`G_{E,M}^V(t)`$ have been given in ref.. To that order a formally incorrect threshold behavior, not following the required p-wave phase space Im $`G_{E,M}^V(t)(t4m_\pi ^2)^{3/2}`$, has been obtained. This deviation is a consequence of the coalescence of the normal threshold $`t_0=4m_\pi ^2`$ and the anomalous threshold $`t_c=4m_\pi ^2m_\pi ^4/M^2`$ in the heavy nucleon limit $`M\mathrm{}`$. In that paper  also the isoscalar electric and magnetic spectral functions Im $`G_{E,M}^S(t)`$ (starting at two-loop order) have been computed. It has been shown that no substantial contribution arises from the three-pion continuum below the narrow $`\omega (782)`$-resonance.

The purpose of this paper is to present results for the isovector electromagnetic spectral functions up to two-loop order in chiral perturbation theory paying special attention on the correct threshold behavior. We will include in our discussion also the isoscalar scalar form factor of the nucleon. Although not directly measurable this form factor $`\sigma _N(t)`$ is very interesting since it quantifies explicit chiral symmetry breaking effects in the nucleon ($`\sigma _N(0)=\widehat{m}M/\widehat{m}`$ is the celebrated pion-nucleon sigma-term). Moreover, its spectral function Im $`\sigma _N(t)`$ is completely dominated by the low-mass two-pion continuum due to the abovementioned threshold enhancement effect with no visible scalar resonance structures (see Fig. 4 in ref.).

Fig.1: One-loop diagrams contributing to the imaginary parts of the isoscalar scalar and isovector electromagnetic form factors of the nucleon. Dashed and solid lines denote pions and nucleons, respectively. The wiggly line represents the external scalar or vector source. The heavy dot symbolizes the second-order chiral $`\pi \pi NN`$-contact vertex proportional to the low-energy constants $`c_{1,2,3,4}`$. The combinatoric factor of the last two diagrams is 1/2.

Let us begin with recalling the basic definition of the isoscalar scalar form factor $`\sigma _N(t)`$ of the nucleon:

$$N(p^{})|\widehat{m}\overline{q}q|N(p)=\sigma _N(t)\overline{u}(p^{})u(p).$$
(1)
Here, $`\widehat{m}=(m_u+m_d)/2`$ denotes the average light quark mass, $`t=(p^{}p)^2`$ is the Lorentz-invariant squared momentum transfer and $`u(p)`$ stands for a Dirac spinor. Similarly, the matrix element of the isovector vector current defines the isovector Dirac and Pauli form factors:

$$N(p^{})|\overline{q}\gamma ^\mu \frac{\tau _a}{2}q|N(p)=\overline{u}(p^{})\left[\gamma ^\mu F_1^V(t)+\frac{i\sigma ^{\mu \nu }}{2M}(p^{}p)_\nu F_2^V(t)\right]\tau _au(p),$$
(2)
where $`M=938.27`$MeV denotes the proton mass. In what follows, we will work with other linear combinations of $`F_{1,2}^V(t)`$, the isovector electric and magnetic (Sachs) form factors:

$$G_E^V(t)=F_1^V(t)+\frac{t}{4M^2}F_2^V(t),G_E^V(0)=\frac{1}{2},$$
(3)
$$G_M^V(t)=F_1^V(t)+F_2^V(t),G_M^V(0)=\frac{\mu _p\mu _n}{2}=2.353,$$
(4)
which obey at $`t=0`$ the normalization conditions written in eqs.(3,4). As usual, $`\mu _p=2.793`$ and $`\mu _n=1.913`$ denote the proton and neutron magnetic moments (in units of nuclear magnetons). In the complex $`t`$-plane the form factors $`\sigma _N(t)`$ and $`G_{E,M}^V(t)`$ have a right hand cut along the positive real axis starting at $`t_0=4m_\pi ^2`$ related to the opening of the two-pion threshold. The imaginary parts Im $`\sigma _N(t+i0^+)`$ and Im $`G_{E,M}^V(t+i0^+)`$ of these nucleon form factors (equal to the half discontinuities across the cut) are also called their spectral functions.

The contributions to the spectral functions Im $`\sigma _N(t)`$ and Im $`G_{E,M}^V(t)`$ calculated up to two-loop order in chiral perturbation theory can be grouped into four different classes. The first class of contributions comes from the one-loop diagrams with leading order relativistic $`\pi N`$-interaction vertices and propagators (represented by the first and second diagram in Fig. 1). For these one-loop graphs we can take the fully relativistic expressions given in ref. and expand them in inverse powers of the large nucleon mass $`M`$ up to order $`𝒪(M^2)`$. This way one gets for the imaginary part of the isoscalar scalar form factor of the nucleon:

$$\mathrm{Im}\sigma _N(t)=\frac{3g_A^2m_\pi ^2}{64\pi f_\pi ^2\sqrt{t}}\left\{(t2m_\pi ^2)A(t)\left[1+\frac{3t}{8M^2}\right]\frac{Qt}{2M}\right\},$$
(5)
with the auxiliary functions:

$$A(t)=\mathrm{arctan}\frac{Q\sqrt{4M^2t}}{t2m_\pi ^2},Q=\sqrt{t4m_\pi ^2}.$$
(6)
The same procedure gives for the imaginary parts of the isovector electric and magnetic form factors of the nucleon:

$`\mathrm{Im}G_E^V(t)`$ $`=`$ $`{\displaystyle \frac{1}{64\pi f_\pi ^2\sqrt{t}}}\{{\displaystyle \frac{Q}{3}}[g_A^2(5t8m_\pi ^2)+Q^2]`$ (7)
$`{\displaystyle \frac{g_A^2}{M}}(t2m_\pi ^2)^2A(t)[1+{\displaystyle \frac{3t}{8M^2}}]+{\displaystyle \frac{g_A^2Qt}{2M^2}}(t2m_\pi ^2)\},`$
$`\mathrm{Im}G_M^V(t)`$ $`=`$ $`{\displaystyle \frac{M}{32\pi f_\pi ^2\sqrt{t}}}\{g_A^2Q^2A(t)+{\displaystyle \frac{Q}{6M}}[g_A^2(10m_\pi ^24t)+Q^2]`$ (8)
$`+{\displaystyle \frac{g_A^2}{8M^2}}(3t^212tm_\pi ^2+8m_\pi ^4)A(t)\}.`$
It is important to note that the expressions in eqs.(5,7,8) possess the correct threshold behavior, namely Im $`\sigma _N(t)\sqrt{t4m_\pi ^2}`$ and Im $`G_{E,M}^V(t)(t4m_\pi ^2)^{3/2}`$. In order to achieve this property in all three cases a subleading term proportional to $`M^3`$ had to be kept in the isovector electric spectral function Im $`G_E^V(t)`$. One easily verifies that the coefficients of $`Q=\sqrt{t4m_\pi ^2}`$ appearing in the threshold expansion of Im $`G_{E,M}^V(t)`$ vanish to the respective order in the $`1/M`$-expansion. The crucial point about the representations eqs.(5,7,8) is not to further expand the function $`A(t)`$ in powers of $`1/M`$ as it is done (implicitly) in heavy baryon chiral perturbation theory . In fact this function $`A(t)`$ incorporates the anomalous (logarithmic) singularity at $`t_c=4m_\pi ^2m_\pi ^4/M^2`$, determined as that $`t`$-value where the argument of the arctangent-function becomes equal to $`\pm i`$. As a matter of fact the $`1/M`$-expansion of the function $`A(t)`$ would destroy the correct analytical structure and moreover generate singular terms of the form $`Q^n`$. From the point of view of chiral power counting the function $`A(t)`$ resumes an infinite string of terms starting at zeroth order. We note aside that the one-loop calculation of ref. employing a so-called infrared regularization scheme gives naturally the correct threshold behavior of Im $`G_{E,M}^V(t)`$ since there the spectral functions are identical to those of the fully relativistic framework .

The next class of contributions is given by the one-loop diagrams with one second order chiral $`\pi \pi NN`$-contact vertex proportional to the low-energy constants $`c_{1,2,3,4}`$ . We obtain from the last diagram in Fig. 1 the following contributions to the spectral functions:

$$\mathrm{Im}\sigma _N(t)=\frac{m_\pi ^2Q}{64\pi f_\pi ^2\sqrt{t}}\left[4m_\pi ^2(c_2+3c_36c_1)t(c_2+6c_3)\right],$$
(9)
$$\mathrm{Im}G_E^V(t)=\frac{c_4Q^3\sqrt{t}}{192\pi Mf_\pi ^2},\mathrm{Im}G_M^V(t)=\frac{c_4MQ^3}{48\pi f_\pi ^2\sqrt{t}},$$
(10)
where we have included also the first relativistic $`1/M`$-correction (as far as it does not vanish). The separation of the $`\pi \pi NN`$-contact vertex into an isoscalar part proportional to $`c_{1,2,3}`$ and an isovector part proportional to $`c_4`$ is obvious from eqs.(9,10). The same $`c_4`$-contribution to Im $`G_M^V(t)`$ has been written down first in eq.(10) of ref..

Fig.2: Two-loop diagrams contributing to the imaginary parts of the isoscalar scalar and isovector electromagnetic form factors of the nucleon. The grey disk symbolizes all one-loop diagrams of elastic $`\pi N`$-scattering. The combinatoric factor of the first two diagrams is 1/2. The vertical dotted line indicates that cut which splits off the (one-loop) scalar or charge form factor of the pion from these factorizable diagrams.

Now we turn to the two-loop diagrams. These are symbolically represented by the left graph in Fig. 2. The grey disk should be interpreted such that it includes all one-loop diagrams of elastic $`\pi N`$-scattering. Exploiting unitarity the imaginary parts Im $`\sigma _N(t)`$ and Im $`G_{E,M}^V(t)`$ can calculated from these two-loop diagrams as integrals of the product of $`scalar/vectorsource2\pi `$ and $`2\pi \overline{N}N`$ transition amplitude over the Lorentz-invariant two-pion phase space. When evaluated in the $`\pi \pi `$ center-of-mass frame the pertinent two-pion phase space integrals become proportional to simple angular integrals $`_1^1𝑑x`$. Consider now that cut which splits a two-loop diagram into a tree-level $`source2\pi `$ coupling and a one-loop diagram of elastic $`\pi N`$-scattering. Putting together all such terms we find the following two-loop contribution to the imaginary part of the scalar form factor of the nucleon:

$`\mathrm{Im}\sigma _N(t)`$ $`=`$ $`{\displaystyle \frac{3m_\pi ^2}{\pi ^2(8f_\pi )^4}}\{{\displaystyle \frac{4m_\pi ^2}{\sqrt{t}}}[g_A^4(10m_\pi ^24t)m_\pi ^2]\mathrm{ln}{\displaystyle \frac{\sqrt{t}+Q}{2m_\pi }}`$ (11)
$`+Q[({\displaystyle \frac{1}{2}}g_A^4)(t2m_\pi ^2)+{\displaystyle \frac{8g_A^4m_\pi ^2(\sqrt{t}2m_\pi )(5\sqrt{t}+8m_\pi )}{3(t+2m_\pi \sqrt{t})}}`$
$`+g_A^2(m_\pi ^22t)({\displaystyle \frac{4m_\pi }{\sqrt{t}}}+{\displaystyle \frac{2m_\pi ^2t}{t}}\mathrm{ln}{\displaystyle \frac{\sqrt{t}+2m_\pi }{\sqrt{t}2m_\pi }})]\}.`$
This expression is identical to the $`2\pi `$-phase space integral $`3m_\pi ^2(32\pi \sqrt{t})^1_{Q/2}^{Q/2}𝑑k\mathrm{Re}g^+(ik,t)`$ with $`g^+(\omega ,t)`$ the isospin-even non-spin-flip one-loop $`\pi N`$-amplitude . The analogous contribution to the isovector electric spectral function reads:

$`\mathrm{Im}G_E^V(t)`$ $`=`$ $`{\displaystyle \frac{g_A^4m_\pi ^2(2m_\pi ^2t)}{192\pi ^3f_\pi ^4\sqrt{t}}}{\displaystyle _0^{Q/2}}𝑑k{\displaystyle \frac{\sqrt{m_\pi ^2+k^2}}{k}}\mathrm{ln}{\displaystyle \frac{k+\sqrt{m_\pi ^2+k^2}}{m_\pi }}`$ (12)
$`+{\displaystyle \frac{1}{9\pi ^3(4f_\pi )^4}}\left\{{\displaystyle \frac{g_A^4t}{20}}(20m_\pi ^27t)+{\displaystyle \frac{g_A^2Q^4}{4t}}(8m_\pi ^25t)+{\displaystyle \frac{16m_\pi ^6}{t}}12m_\pi ^4+{\displaystyle \frac{t^2}{5}}\right\}`$
$`\times \mathrm{ln}{\displaystyle \frac{\sqrt{t}+Q}{2m_\pi }}+{\displaystyle \frac{Q}{(24\pi )^3f_\pi ^4\sqrt{t}}}\{{\displaystyle \frac{g_A^4}{100}}(257t^2+2604m_\pi ^2t6368m_\pi ^4)`$
$`+{\displaystyle \frac{g_A^2}{4}}Q^2(13t48m_\pi ^2)+{\displaystyle \frac{1}{25}}(684m_\pi ^4+73m_\pi ^2t16t^2)\}`$
$`+{\displaystyle \frac{Q^3}{480\pi f_\pi ^2\sqrt{t}}}\left[10(\overline{d}_1+\overline{d}_2)(2m_\pi ^2t)3\overline{d}_3Q^2+40\overline{d}_5m_\pi ^2\right].`$
The term in the last line originates from the third order scale-independent low-energy constants $`\overline{d}_j`$ introduced in ref. which subsume already chiral logarithms $`\mathrm{ln}(m_\pi /\lambda )`$. The remainder in eq.(12) is identical to the $`2\pi `$-phase space integral $`(8\pi \sqrt{t})^1_{Q/2}^{Q/2}𝑑k\mathrm{Re}[ikg^{}(ik,t)]`$ with $`g^{}(\omega ,t)`$ the isospin-odd non-spin-flip one-loop $`\pi N`$-amplitude . The analogous contribution to the isovector magnetic spectral function reads:

$`\mathrm{Im}G_M^V(t)`$ $`=`$ $`{\displaystyle \frac{g_A^2M}{\pi ^2(4f_\pi )^4\sqrt{t}}}\{g_A^2m_\pi ^2(5m_\pi ^2t)\mathrm{ln}{\displaystyle \frac{\sqrt{t}+Q}{2m_\pi }}Q^3{\displaystyle \frac{m_\pi }{6}}`$ (13)
$`+{\displaystyle \frac{Q^5}{24\sqrt{t}}}\mathrm{ln}{\displaystyle \frac{\sqrt{t}+2m_\pi }{\sqrt{t}2m_\pi }}+{\displaystyle \frac{g_A^2Q}{24}}(30m_\pi ^2\sqrt{t}64m_\pi ^3t^{3/2})\}.`$
Again, this expression is identical to $`M(32\pi \sqrt{t})^1_{Q/2}^{Q/2}𝑑k(Q^24k^2)\mathrm{Re}h^{}(ik,t)`$ with $`h^{}(\omega ,t)`$ the isospin-odd spin-flip one-loop $`\pi N`$-amplitude . We emphasize the correct threshold behavior of the two-loop contributions: $`\mathrm{Im}\sigma _N(t)Q`$ according to eq.(11) and $`\mathrm{Im}G_{E,M}^V(t)Q^3`$ according to eqs.(12,13). In the latter two cases one easily verifies that the coefficients of $`Q`$ vanish identically.

The full set of two-loop graphs contains the two factorizable diagrams exhibited in Fig. 2. Both cuts of the intermediate pion-pair generate a contribution to the imaginary parts, according to the rule: $`\mathrm{Im}(z_1z_2)=\mathrm{Re}z_1\mathrm{Im}z_2+\mathrm{Im}z_1\mathrm{Re}z_2`$. Only one term of this sum is accounted for in the expressions eqs.(11,12,13). The other term arises from that cut which splits off the one-loop scalar or charge form factor of the pion  (as symbolized by the vertical dotted line in Fig. 2). Naturally, the scalar form factor of the pion enters the scalar spectral function:

$$\mathrm{Im}\sigma _N(t)=\frac{g_A^2m_\pi ^2(t2m_\pi ^2)}{\pi ^3(4f_\pi )^4\sqrt{t}}A(t)\left\{2\pi ^2f_\pi ^2r_S^2_\pi t+\frac{25t}{16}\frac{3}{8}m_\pi ^2(1+\overline{l}_3)+\frac{3Q}{4\sqrt{t}}(m_\pi ^22t)\mathrm{ln}\frac{\sqrt{t}+Q}{2m_\pi }\right\}.$$
(14)
Here, $`r_S^2_\pi `$ denotes the mean square scalar radius of the pion. The low-energy constant $`\overline{l}_33`$  shows up in the one-loop representation of the pionic sigma-term: $`\sigma _\pi (0)=\widehat{m}m_\pi ^2/\widehat{m}=m_\pi ^2+m_\pi ^4(1\overline{l}_3)/32\pi ^2f_\pi ^20.99m_\pi ^2`$ . On the other hand side, the (one-loop) pion charge form factor  enters the isovector electric and magnetic spectral functions:

$`\mathrm{Im}G_E^V(t)`$ $`=`$ $`{\displaystyle \frac{1}{9\pi ^3(4f_\pi )^4\sqrt{t}}}\left\{Q\left[g_A^2(5t8m_\pi ^2)+Q^2\right]{\displaystyle \frac{3g_A^2}{M}}(t2m_\pi ^2)^2A(t)\right\}`$ (15)
$`\times \left\{2\pi ^2f_\pi ^2r_{ch}^2_\pi t+{\displaystyle \frac{t}{3}}m_\pi ^2{\displaystyle \frac{Q^3}{4\sqrt{t}}}\mathrm{ln}{\displaystyle \frac{\sqrt{t}+Q}{2m_\pi }}\right\},`$
$`\mathrm{Im}G_M^V(t)`$ $`=`$ $`{\displaystyle \frac{g_A^2MQ^2A(t)}{3\pi ^3(4f_\pi )^4\sqrt{t}}}\left\{(2\pi f_\pi )^2r_{ch}^2_\pi t+{\displaystyle \frac{2t}{3}}2m_\pi ^2{\displaystyle \frac{Q^3}{2\sqrt{t}}}\mathrm{ln}{\displaystyle \frac{\sqrt{t}+Q}{2m_\pi }}\right\},`$ (16)
where $`r_{ch}^2_\pi `$ denotes the mean square charge radius of the pion. In order to guarantee the correct threshold behavior Im $`G_E^V(t)Q^3`$ we have kept the first relativistic $`1/M`$-correction (see eq.(7)) in the first factor of eq.(15).

Fig.3: The spectral function Im $`\sigma _N(t)`$ of the isoscalar scalar form factor of the nucleon multiplied with $`m_\pi ^4/t^2`$. The dashed-dotted line gives the one-loop result eq.(5). The dashed line includes in addition the $`c_{1,2,3}`$-term eq.(9) and the full line includes furthermore the two-loop contributions eqs.(11,14). The upper dotted line shows the empirical spectral function $`m_\pi ^4`$ Im $`\sigma _N(t)/t^2`$ of ref..

Let us add a remark on chiral power counting of the spectral functions. Counting the quantities $`\sqrt{t}`$, $`m_\pi `$ and $`Q=\sqrt{t4m_\pi ^2}`$ as small momenta one deduces that two-loop contributions to Im $`\sigma _N(t)`$, Im $`G_E^V(t)`$ and Im $`G_M^V(t)`$ are of fifth, fourth and third order in small momenta, respectively. In the latter two cases the electric/magnetic coupling of the (virtual) photon absorbs one/two powers of small momenta.

Let us now turn to numerical results. We use the parameters: $`m_\pi =139.57`$MeV (charged pion mass), $`f_\pi =92.4`$MeV (pion decay constant) and $`g_A=1.3`$ (equivalent to a $`\pi N`$-coupling constant $`g_{\pi N}=g_AM/f_\pi =13.2`$ ). For the second and third order low-energy constants $`c_i`$ and $`\overline{d}_j`$ we choose the average values of three fits to $`\pi N`$-phase shift solutions given in ref.: $`c_1=1.4\mathrm{GeV}^1`$, $`c_2=3.2\mathrm{GeV}^1`$, $`c_3=6.0\mathrm{GeV}^1`$, $`c_4=3.5\mathrm{GeV}^1`$, $`\overline{d}_1+\overline{d}_2=3.0\mathrm{GeV}^2`$, $`\overline{d}_3=3.0\mathrm{GeV}^2`$ and $`\overline{d}_5=0.1\mathrm{GeV}^2`$. Most of these values are compatible with the low-energy constants $`c_i`$ and $`\overline{d}_j`$ obtained in ref. in a one-loop analysis of $`\pi N`$-scattering inside the Mandelstam triangle. The mean square charge radius of the pion is accurately measured in elastic pion-electron scattering: $`r_{ch}^2_\pi =(0.44\pm 0.01)\mathrm{fm}^2`$ . A value compatible with that has been found in ref. in a two-loop analysis of the low-energy $`\pi ^{}e^{}`$-scattering data. An improved determination of the mean square scalar radius of the pion has recently been given in ref.: $`r_S^2_\pi =(0.61\pm 0.04)\mathrm{fm}^2`$. We use throughout the central values of these empirical pion mean square radii.

Fig.4: The spectral function Im $`G_E^V(t)`$ of the isovector electric form factor of the nucleon divided by $`t^2`$. The dashed-dotted line gives the one-loop result eq.(7). The dashed line includes in addition the $`c_4/M`$-term eq.(10) and the full line includes furthermore the two-loop contributions eqs.(12,15). The upper dotted line shows the empirical spectral function Im $`G_E^V(t)/t^2`$ of ref..

In Fig. 3 we show the spectral function Im $`\sigma _N(t)`$ of the isoscalar scalar form factor of the nucleon multiplied with a weighting factor $`m_\pi ^4/t^2`$. The dashed-dotted line gives the one-loop result eq.(5). The dashed line includes in addition the $`c_{1,2,3}`$-term eq.(9) and the full line includes furthermore the two-loop contributions eqs.(11,14). The upper dotted line shows the empirical isoscalar scalar spectral function $`m_\pi ^4`$ Im $`\sigma _N(t)/t^2`$ of ref.. It has been determined on the basis of the $`\pi \pi \overline{N}N`$ s-wave amplitude $`f_+^0(t)`$  and $`\pi \pi `$-scattering data tied together with Roy-equations etc. (see eq.(3) in ref.). One observes a substantial improvement when including the next-to-leading order $`c_{1,2,3}`$-term and the two-loop contributions. The major effect comes evidently from the large isoscalar $`\pi \pi NN`$-contact couplings, in particular from $`c_3`$. The height of the peak at $`t5m_\pi ^2`$ is however still underestimated by about $`20\%`$ in two-loop approximation. Higher order $`\pi \pi `$-rescattering effects etc. are necessary in order to close this remaining gap. Given the pattern in Fig. 3 one can expect significant effects (in the right direction) already from the two-loop diagrams with one vertex proportional to the (numerically large) second order low-energy constants $`c_{1,2,3,4}`$. Note that a complete calculation of elastic $`\pi N`$-scattering to chiral order four which includes the pertinent one-loop diagrams with one $`c_{1,2,3,4}`$-vertex has been recently performed in ref.. For comparison, similar deficiencies of the two-loop approximation of chiral perturbation theory have been observed in ref. for the imaginary parts of the pion scalar and charge form factors.

Next, we show in Fig. 4 the spectral function Im $`G_E^V(t)`$ of the isovector electric form factor of the nucleon weighted with $`1/t^2`$. The dashed-dotted line gives the one-loop result eq.(7). The dashed line includes in addition the $`c_4/M`$-term in eq.(10) and the full line includes furthermore the two-loop contributions eqs.(12,15). The upper dotted line corresponds to the empirical isovector electric spectral function Im $`G_E^V(t)/t^2`$ of ref.. Modulo a kinematical factor $`Q^3/8M\sqrt{t}`$ it is determined by the product of the $`\pi \pi \overline{N}N`$ p-wave amplitude $`f_+^1(t)`$  and the (time-like) pion charge form factor measured in the reaction $`e^+e^{}\pi ^+\pi ^{}`$ (see eq.(7) in ref.). In the case of the isovector electric spectral function the two-loop contribution is considerably larger than the $`c_4/M`$-term (of the same chiral order). The peak at low $`\pi \pi `$-invariant masses, $`t7m_\pi ^2`$, gets effectively enhanced by a factor of about $`1.2`$ by this additional $`\pi N`$\- and $`\pi \pi `$-rescattering dynamics. The other prominent feature of the empirical isovector electric spectral function Im $`G_E^V(t)`$, namely its rise to the $`\rho (770)`$-resonance, is clearly absent in (chiral) perturbation theory.

Fig.5: The spectral function Im $`G_M^V(t)`$ of the isovector magnetic form factor of the nucleon divided by $`t^2`$. The dashed-dotted line gives the one-loop result eq.(8). The dashed line includes in addition the $`c_4`$-term eq.(10) and the full line includes furthermore the two-loop contributions eqs.(13,16). The upper dotted line shows the empirical spectral function Im $`G_E^V(t)/t^2`$ of ref..

Furthermore, we show in Fig. 5 the spectral function Im $`G_M^V(t)`$ of the isovector magnetic form factor of the nucleon weighted with $`1/t^2`$. The dashed-dotted line gives the one-loop result eq.(8). The dashed line includes in addition the $`c_4`$-term in eq.(10) and the full line includes furthermore the two-loop contributions eqs.(13,16). The upper dotted line corresponds to the empirical isovector magnetic spectral function Im $`G_M^V(t)/t^2`$ of ref.. Modulo a kinematical factor $`Q^3/8\sqrt{2t}`$ it is determined by the product of the $`\pi \pi \overline{N}N`$ p-wave amplitude $`f_{}^1(t)`$ and the (time-like) pion charge form factor (see again eq.(7) in ref.). In the case of the isovector magnetic spectral function the two-loop contribution and the next-to-leading order $`c_4`$-term are approximately equal in magnitude. Both together enhance the peak slightly above threshold considerably by a factor of about $`1.5`$. Again, the strong rise of the empirical isovector magnetic spectral function Im $`G_M^V(t)`$ to the $`\rho (770)`$-resonance cannot be reproduced in (chiral) perturbation theory.

For a more complete description of the dynamics governing the empirical isovector electromagnetic spectral functions the introduction of an explicit $`\rho (770)`$-resonance is indispensable. For that reason we add a phenomenological $`\rho `$-meson exchange contribution of the simple form:

$$\mathrm{Im}G_{E,M}^V(t)=\frac{b_{E,M}m_\rho ^2\sqrt{t}\mathrm{\Gamma }_\rho (t)}{(m_\rho ^2t)^2+t\mathrm{\Gamma }_\rho ^2(t)},\mathrm{\Gamma }_\rho (t)=\frac{g_{\rho \pi }^2Q^3}{48\pi t},$$
(17)
which of course includes the proper energy-dependent $`\rho 2\pi `$ decay width $`\mathrm{\Gamma }_\rho (t)`$. We take the value $`m_\rho =769.3`$MeV  for the $`\rho `$-meson mass and coupling constant $`g_{\rho \pi }=6.03`$ is determined from the empirical decay width $`\mathrm{\Gamma }_\rho (m_\rho ^2)=150.2`$MeV . Furthermore, $`b_E=1.0`$ and $`b_M=3.5`$ are numerical parameters which we have adjusted to the height of the $`\rho (770)`$-resonance peak (at $`t28m_\pi ^2`$) of the empirical isovector electric and magnetic spectral functions Im $`G_{E,M}^V(t)/t^2`$.

Fig.6: Spectral functions of the isovector electric and magnetic form factor of the nucleon weighted with $`1/t^2`$. Shown are Im $`G_E^V(t)/t^2`$ (lower three lines) and Im $`G_M^V(t)/t^2`$ (upper three lines). The full lines give the two-loop results of chiral perturbation theory and the dashed lines include in addition the phenomenological $`\rho `$-meson contribution eq.(17). The dotted curves correspond to the empirical spectral function Im $`G_{E,M}^V(t)/t^2`$ of ref..

Finally, the lower (upper) lines in Fig. 6 show the isovector electric (magnetic) spectral function weighted with $`1/t^2`$. The full lines give the respective two-loop result of chiral perturbation theory and the dashed lines include in addition the phenomenological $`\rho `$-meson exchange contribution eq.(17). One observes that the empirical isovector electric and magnetic spectral functions (dotted lines) can now be reproduced fairly well. The agreement is rather satisfactory for the electric one. In the case of the isovector magnetic spectral function Im $`G_M^V(t)/t^2`$ some overshooting and undershooting of the empirical values below and above $`t13m_\pi ^2`$ is visible in Fig. 6. This may point towards the relevance of higher order $`\pi \pi `$-rescattering effects, or it may just result from the simplicity of the $`\rho (770)`$-resonance parameterization eq.(17). In any case one should not overinterpret the small differences between the dashed and dotted lines in Fig. 6 since there may be a potential danger of double-counting when adding together perturbative chiral pion loops and a finite width $`\rho (770)`$-meson exchange term (representing non-perturbative pion-dynamics).

In summary, we have calculated in this work the imaginary parts of the isoscalar scalar and isovector electromagnetic form factors of the nucleon up to two-loop order in chiral perturbation theory. We have performed the non-relativistic $`1/M`$-expansion such that the correct threshold behavior, Im $`\sigma _N(t)\sqrt{t4m_\pi ^2}`$ and Im $`G_{E,M}^V(t)(t4m_\pi ^2)^{3/2}`$, is ensured. The two-loop contributions and the next-to-leading order $`c_{1,2,3,4}`$-terms magnify the strong enhancement slightly above the two-pion threshold. Higher order $`\pi \pi `$-rescattering effects etc. are still necessary to close a remaining $`20\%`$-gap to the empirical isoscalar scalar spectral function Im $`\sigma _N(t)`$ . After adding a phenomenological $`\rho (770)`$-meson exchange term to the respective two-loop results the empirical isovector electric and magnetic spectral functions Im $`G_{E,M}^V(t)`$  can be reproduced fairly well.

I thank Ulf-G. Meißner for his tabulated values of the empirical isovector electromagnetic spectral functions Im $`G_{E,M}^V(t)`$ and for critical reading of the manuscript.


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# A maximum density rule for surfaces of quasicrystals

## Abstract

A rule due to Bravais of wide validity for crystals is that their surfaces correspond to the densest planes of atoms in the bulk of the material. Comparing a theoretical model of i-AlPdMn with experimental results, we find that this correspondence breaks down and that surfaces parallel to the densest planes in the bulk are not the most stable, i.e. they are not so-called bulk terminations. The correspondence can be restored by recognizing that there is a contribution to the surface not just from one geometrical plane but from a layer of stacked atoms, possibly containing more than one plane. We find that not only does the stability of high-symmetry surfaces match the density of the corresponding layer-like bulk terminations but the exact spacings between surface terraces and their degree of pittedness may be determined by a simple analysis of the density of layers predicted by the bulk geometric model.

The surfaces of quasicrystals offer rich potential both for technological applications and for fundamental science. Their tribological properties, such as low coefficient of friction, low surface energy and oxidation resistance have been well documented Dubois93  and have motivated many studies of the clean surfaces of these materials, see Ref. Z02  and work cited there. These studies have led to significant progress in the past few years, especially in the case of the aluminium-based icosahedral quasicrystals. The surfaces of these materials have been shown to be perfect “slices” of the bulk structure, with only 3 distinct step heights being observed. However a significant limitation of this work has been that there was no understanding of which bulk planes might be expected to be seen as surface terminations.

A rule with wide validity for crystals, first suggested by Bravais Bravais1849  and later refined by others, is that “the largest facets have the densest packing of atoms” AW00 , usually interpreted as meaning that, by and large, the most stable surfaces are those parallel to the densest atomic planes in the bulk. It has been observed Shen00  that this does not hold for i-AlPdMn, where the most stable surfaces are orthogonal to the fivefold axes but the densest planes in the bulk model of Boudard et al. Boudard92  are orthogonal to the twofold axes. For quasicrystals we propose modifying the rule to use densities of thin layers of bulk planes instead of densities of single bulk planes. For icosahedral quasicrystals we consider 0.6 Å layers. This is suggested by the fact that, whereas the distances between neighboring high density planes in the bulk of an ordinary crystal are 1.5-2.0 Å, in the geometric bulk model $``$ PKL ; G99 ; MRS99 ; Z02  of F phase icosahedral quasicrystals the distances are 0.2-1.5 Å. We show that the observed surface structure of i-AlPdMn is consistent with this modified rule.

To demonstrate this new rule we first present experimental evidence on the stability and appearance of surfaces of i-AlPdMn derived from scanning tunneling microscopy (STM) and low-energy electron diffraction (LEED) measurements. The fivefold surfaces of i-AlPdMn (Fig. 1(I)) show large scale terraces and are stable Shen00 . In Ref. G99  we showed that the intervals between terraces on the fivefold surfaces of i-AlPdMn match a Fibonacci sequence of planes in the model $``$ with $`S=4.08`$ Å and $`L=\tau S=6.60`$ Å. In Refs. Gierer97 ; Z02  it was found that the fivefold bulk terminations of i-AlPdMn consist of two atomic planes 0.48 Å apart.

According to Ref. Shen00  both twofold and threefold surfaces facet, i.e. they are less stable. The twofold surfaces show pitted small scale terraces, see Fig. 1(II)(a-c). The threefold surfaces of i-AlPdMn show clear medium scale terraces with depressions (pits), see Fig. 1(III).

We explain this experimental evidence in terms of the particular geometric model $``$ PKL ; G99 ; MRS99 ; Z02  of the quasicrystals i-AlPdMn Boudard92 . This model is a superposition of three icosahedral quasilattices, $`q`$, $`a`$ and $`b`$, of atomic positions in the physical space $`𝔼_{}`$. As described in Ref. Z02  and references cited there, there is a coding space, $`𝔼_{}`$, containing three windows, $`W_q`$, $`W_a`$ and $`W_b`$ (shown in Fig. 2), and a $``$-map that takes each point of one of the quasilattices into a point of the corresponding window. The $``$-map is not continuous: it maps discrete unbounded quasilattices to dense point sets bounded by a window. Its usefulness is that it maps planes to planes and that the density function on planes orthogonal to a given axis, which is an erratic discrete function ($`\rho (z_{})`$) in $`𝔼_{}`$, is a continuous function ($`\rho (z_{})`$) in $`𝔼_{}`$ which can be graphed as in Figs. 3(I)-(III). For each of the five, two and threefold axes we use a standard distance, denoted by $``$5 , $``$2 and $``$3 , respectively. These are related by $``$3$`/\sqrt{3}=`$$``$5 /$`\sqrt{\tau +2}=`$$``$2$`/2=1/\sqrt{2(\tau +2)}`$, where $`\tau =(1+\sqrt{5})/2`$. Below we take $``$5$`=4.56`$ Å—the value for i-AlPdMn.

For ordinary lattices the density of points in a plane depends only on the orientation of the plane. For the $`q`$, $`a`$, $`b`$ quasilattices the density $`\rho `$ is a product of two factors: the module factor PP  that depends on the orientation of the plane ($`1/\sqrt{5}`$, $`1/4`$ and $`1/3`$, respectively, for five, two and threefold planes) and the window factor which is the area of the section of the window by the corresponding plane in coding space (see Fig. 12 in Ref. Z02 ). We also use the fact that each plane orthogonal to a threefold or fivefold axis contains points of one quasilattice only and each plane orthogonal to a twofold axis contains points of all three quasilattices, $`q`$, $`a`$ and $`b`$. The top row of Table 1 gives the maximum density of planes in the main symmetry directions and the bottom row the maximum density of terminations (described below). As for the similar model with spherical windows Boudard92  used in Ref. Shen00 , there are twofold planes denser than the densest fivefold or threefold planes even though experimental evidence indicates that the fivefold surfaces are the most stable Shen00 .

In the light of this, and the fact that fivefold terminations are observed to consist of a pair of neighboring planes, we propose a modification to the Bravais rule to take into account close neighboring planes. We consider bulk layers of a quasicrystal, unions of close neighboring planes (for icosahedral quasicrystals, modeled by $``$, within a 0.6 Å range), and define a bulk termination to be a layer with close to maximum density among all parallel layers. We then expect the more stable surfaces to correspond to the denser terminations. To test this we now describe the terminations of our model $``$ in the five, two and threefold directions and compare them with the experimental data. In each of these directions three different inter-plane distances occur, in each case in the ratios $`1:\tau :\tau ^2`$. In Å units these are: 0.30, 0.48, 0.78 (fivefold); 0.57, 0.92, 1.48 (twofold); and 0.20, 0.33, 0.53 (threefold).

The densest fivefold layers of thickness less than 0.6 Å are pairs of planes 0.48 Å apart. This agrees with experimental evidence Gierer97 ; Z02 . Fig. 3(I) graphs the atomic density, $`\rho (z_{})`$, of $`(q,b)`$ pairs of planes as a function of position along a fivefold $`z_{}`$-axis in coding space $`𝔼_{}`$. It is close to its maximum along a clear plateau of width about $`(2\tau ^2/(\tau +2))`$$``$5 . The interval of this plateau (a “window” $`W`$) codes a Fibonacci sequence along a fivefold axis of $`𝔼_{}`$ with $`S=(2\tau /(\tau +2))`$$``$5$`=4.08`$ Å and $`L=\tau S=6.60`$ Å, in agreement with G99 . A slightly longer interval codes a decorated Fibonacci sequence Z02  that includes steps of height $`\tau ^1S=2.52`$ Å too, detected in Ref. Shen99 . Note that there is not such a clearly defined plateau as in Fig. 3(I) when the windows in Fig. 2 are replaced by spherical approximants. As well as the $`(q,b)`$ layers there are also $`(b,q)`$ layers in $``$ whose density graph is the mirror image of Fig. 3(I) and codes another Fibonacci sequence of equally dense layers. These are not seen as surface terminations, the planes observed on the surface can be identified as type $`q`$ by the presence of a local configuration called a “ring” Z02 . This can perhaps be understood from the densities of the parallel planes next above and below the layers: above a $`(q,b)`$ layer there is a low density plane and below a high density plane. For the mirror-image $`(b,q)`$ layer the neighboring planes are mirrored too.

The densest twofold layers are single planes. In Fig. 3(II) we can identify a not very sharply defined plateau of width about $``$2 /2 that defines the twofold terminations. A window of this width on a twofold axis in $`𝔼_{}`$ encodes a Fibonacci sequence of terminations along a twofold axis of $`𝔼_{}`$ with $`S=(\tau ^2/2)`$$``$2$`=0.63`$ nm, $`L=\tau S=1.02`$ nm. These gaps are close to the steps between terraces (0.62 nm and 0.95 nm) in Fig. 1(II)(c). Increasing the width of the window by a factor $`\tau ^2`$ would reduce the lengths of intervals in the Fibonacci sequence by $`\tau ^2`$, making them 0.24 nm and 0.36 nm corresponding to the depths of the depressions in the terraces in Fig. 1(II)(c).

The densest threefold layers are $`(b,q,a)`$ and $`(a,q,b)`$ triples of planes of with distances 0.20 Å between the $`b`$ and $`q`$ planes and 0.33 Å between the $`q`$ and $`a`$ planes. The graph of the densities of the $`(b,q,a)`$ layers as a function of position in coding space is shown in Fig. 3(III) and has a wide plateau-like area around its maximum. This is in qualitative agreement with the medium scale terraces that spread over an area of about $`1000\times 1000`$ nm2 on the threefold surface shown in Fig.1(III). In the threefold case (unlike the fivefold case) there are single $`b`$ planes as dense as the densest threefold terminations.

The second row of Table 1 gives the maximum densities of five, two and threefold terminations for the model $``$, which are in the order fivefold, twofold, threefold.

We suggest that, with our modified definition of “termination”, the Bravais rule that the densest bulk terminations correspond to the most stable surfaces may be widely applicable to quasicrystals. Moreover the shape of the graph of the density of layers as a function of position in coding space determines the appearance of the corresponding surface: if the maximum of the function has the form of a flat plateau, as for the fivefold and threefold layers in Figs. 3(I) and 3(III), then the surfaces have a strong terrace-like character, as in Figs. 1(I) and 1(III). The terraces correspond to bulk layers of almost equal density and are equally probable as surfaces. On the other hand, the sharper peak for the twofold layers in Fig. 3(II) determines the more fragmented appearance of the twofold surface with small scale terraces as in Fig. 1(II)(a): different terraces correspond to bulk layers of different densities, and are not equally probable.

We have also observed that this modified density rule is valid for i-AlCuFe and we expect that it should apply to all icosahedral quasicrystals. We have preliminary indications that this rule can be extended to the so-called two-dimensional aperiodic materials (for example the family of decagonal quasicrystals), and expect that such considerations may apply to the surfaces of quasicrystal approximant phases and other complex metallic alloys.