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# Fano versus Calabi - Yau

## Introduction

According to the ”Oxford program” proposed by S. Donaldson and R. Thomas (), some constructions of real gauge theories can be repeated after generalization to the complex case. In a sense, it is a variant of Arnold sentence which claims that every real notion has (or should have) an analogy in the complex case (). So it is a kind of complexification. The authors of  propose two possible ways allowing to translate the Chern - Simons theory and the Yang - Mills theory originally defined over 3 - dimensional and 4 - dimensional real manifolds respectively to the cases of 3 - dimensional and 4 \- dimensional complex manifolds. The first move comes with the question what should substitute the notion of orientation in the complex case. Reasoning in the way parallel to the original real case, authors of  show that compact complex manifold is c - orientable iff its canonical class is trivial. Thus they restrict the investigation by the condition which imposes that we deal with in the case of Calabi - Yau manifolds. Thus a c - orientation is defined by an appropriate trivialization of the canonical class. Here we study the 3 - dimensional complex case which contains 3 - dimensional Calabi - Yau manifolds.

This case is of an enormous interest because of some physical applications: the Calabi - Yau realm produces collections of non negative numbers (so called Casson - Donaldson invariant) which enter in the computations of physical theories. The combinatorical structure of these collections is the following: the set $`𝒞𝒴_3`$ of all possible topological types of compact non singular Calabi - Yau threefolds can be coded by the set of lattices (so called Mukai lattices) equipped with bilinear forms (so called Mukai forms); any pair $`(M,\chi )`$ of the objects represents the corresponding topological K - algebra of the vector bundles (in the broad sense of the reflexive sheaves) over a given Calabi - Yau threefold; and the Casson - Donaldson invariant is a map

$$CD:\{(M,\chi )\},$$

which gives us a collection of numbers derived from the given topological type. Thus one of the problems posed by physics is to compute that numbers which is a very hard task in general.

The original real construction gives a hint about what can be exploited to perform the computations in some special cases when the given Calabi - Yau manifolds are constructive. It means that for a given $`M`$ there exists its birational model such that a deformation to a reducible threefold is possible:

$$M_0=F_+_SF_{},$$
$`0.1`$
where $`F_\pm `$ are two quasi Fano components, glued together transversally along a K3 - surface $`S`$ which belongs simultaneously to both the anticanonical systems of the components. In this setup:

1) the Mukai lattice of M can be reproduced from the Mukai lattices of the components $`F_\pm `$

and

2) CD - invariant can be derived from the geometry of the Fano varieties.

Thus in the constructive case the knowledge of the Fano geometry is sufficient to perform the desired computations.

Here we have to note that as it was emphasized by the authors of  the collection of CD - invariants is an analogy of the classical Casson invariant of compact oriented real 3 - manifolds. Since the classical one is computed using the Heegard decomposition, in the complex case one could exploit the same idea. As an intermediate step in the decomposition for the real manifolds one considers the following picture: a Riemannian surface $`\mathrm{\Sigma }`$ is included into a given 3 - dimensional manifold $`X`$, cutting it into two pieces glued over the surface. Thus the picture is

$$X=H_+_\mathrm{\Sigma }H_{},$$

where $`H_\pm `$ is an oriented 3 - manifold with boundary such that

$$H_\pm =\pm \mathrm{\Sigma }.$$

This is exactly the same as in (0.1) since the complex analogy of real 3 - dimensional oriented manifold with boundary is quasi Fano variety with a fixed K3 - surface from the anticanonical system. This K3 - surface plays the role of the complex boundary: since it should be c - oriented it is a K3 - surface.

This parallel imposes the following sentence: since every real 3 - dimensional oriented compact manifold can be represented by an appropriate Heegard diagram, so we can expect (basing on our practical experience) that every Calabi - Yau manifold in dimension 3 is constructive and thus we can restrict the investigations of non linear super $`\sigma `$ \- models with CY - target spaces to the Fano realm. Also, if it is true it should be just a finite set of different topological types for 3 - dimensional Calabi - Yau manifolds.

## 1. Mirror picture: LHS and RHS

As it was observed first by theoretical physicists, for some Calabi - Yau 3 - manifolds one has so - called mirror partners such that if $`X`$ and $`X^{}`$ are in the ”mirror” correspondence then the deformation properties of the first one correspond to some properties of the cubic intersection form restricted to the Picard lattice over the second one (). It implies in particular that the Hodge diamonds of $`X`$ and $`X^{}`$ are related by some reflection. Even more rough description recognizes $`X`$ and $`X^{}`$ as mirror partners if the equality holds only for two entries of the Hodge diamonds namely

$$h^{1,1}(X)=h^{1,2}(X^{})$$

and vice versa. While this weakening of the mirror conditions leads to pure numerical coincidences only, we shall understand the mirror correspondence in the following way: two 3 - dimensional Calabi - Yau manifolds are related by the mirror duality if the algebraic geometry over the first one is isomorphic to the symplectic geometry over the second one and vice versa. Of course it isn’t quite clear how to treat both the geometries so one should explain first what do they mean as well as define what kind of equivalence is desired to claim that these geometries are isomorphic. A slightly abstract approach to this problem is given by so called homological mirror symmetry proposed by M. Kontzevich which suggests some equivalence between two derivations from the geometries: on the LHS (algebraic geometry) one takes the derived category of coherent sheaves while on the RHS (symplectic geometry) it should be the Fukaya category — and these two are isomorphic as categories. On the other hand, the algebraic geometry contains some ”real” objects, which have been constructed in boundaries of its framework and which are well understood and more than habitual to a number of the world experts who gathered at our conference. We mean the moduli spaces of vector bundles and sheaves and the systems of submanifolds (f.e. complete linear systems or related objects such as the Chow groups etc.). At the same time one could expect that the RHS of the mirror picture admits some objects of the same reality — a moduli space and systems of some special submanifolds. From this point of view the RHS used to be ”terra incognita” up to the middle of nineties. At that time, different ways of developing the ”classical” symplectic geometry were consolidated and united such that the Floer homology of Lagragian submanifolds, pseudoholomorphic curves (in dimension 4), special Lagrangian cycles (for the Calabi - Yau case) etc. turned to be the parts of some unified consistent theory. Thus now one has the ingredients at the RHS which can be compared to the known objects existing on the LHS. In this section we briefly recall the generating objects for some numerical derivations on both the sides of the mirror picture.

### 2.1. LHS

Let $`M`$ be a smooth complete algebraic Calabi - Yau threefold which is equipped with a Ricci flat Kahler metric $`g`$, giving the corresponding Kahler form $`\omega `$. At the begining point, one fixes an additional data: a complex orientation — a choice of a holomorphic (3,0) - form $`\mathrm{\Omega }`$ which is defined up to the phase scaling $`e^{i\varphi }`$ since the norm is fixed by the metric. We collect these data in the quadruple

$$(M,g,\omega ,\mathrm{\Omega }).$$

The ring of even dimensional cohomology of M

$$H^2(M,)=_{i=0}^3H^{2i}(M,)$$

can be equipped with an involution $``$ acting componentwise by the following formulas:

$`|_{H^0(M,)H^4(M,)}=id,`$
$`|_{H^2(M,)H^6(M,)}=id.`$
The definition implies that the bilinear form

$$(u,v)=[v^{}u]_6$$

is skew - symmetric (one could recognize the reason to introduce $``$ exactly in the derivation of this skew - symmetric property). At the same time one has a similar natural involution on the algebraic K - functor $`K_{alg}^0`$ on $`M`$ which sends each vector bundle $`E`$ to the dual bundle $`E^{}`$. It’s easy to see that these two involutions are related by the homomorphism

$$ch:K_{alg}^0H^2(M,)$$

such that the diagram

$$\begin{array}{ccc}K_{alg}^0& \mathrm{@}>ch>>& H^2(M,)\\ ^{}& & ^{}\\ K_{alg}^0& \mathrm{@}>ch>>& H^2(M,)\end{array}$$

commutes (here $`ch`$ is the Chern character map).

On the other hand one has on $`K_{alg}^0`$ the following bilinear form

$$\chi (E_1,E_2)=\underset{i=0}{\overset{3}{}}(1)^{i+1}rkExt^i(M,E_1^{}E_2),$$

where the homological spaces are the coherent cohomology of sheaves. This form can be represented as the image of a bilinear form over $`H^2(M,)`$; recall that by the Riemann - Roch - Hirzebruch theorem we have

$$\chi (E_1,E_2)=[chE^2chE_1^{}td_M]_6,$$

where $`td_M`$ is the Todd class of $`M`$. In the special situation of the Calabi - Yau manifolds bilinear form $`\chi `$ is skew symmetric:

$`H^0(M,E_1^{}E_2)^{}=H^3(E_2^{}E_1)`$
$`H^1(E_1^{}E_2)^{}=H^2(E_2^{}E_1)`$
$`H^2(E_1^{}E_2)^{}=H^1(E_2^{}E_1)`$
$`H^3(E_1^{}E_2)^{}=H^0(E_2^{}E_1)`$
by the Serre duality which in this case reads as

$$H^i(E^{}F)=H^{3i}(F^{}E)$$

since the canonical class is trivial. Moreover, the Todd class of $`M`$ equals

$$td_M=1+\frac{1}{12}c_2(M)$$

and consequently

$$td_M^{}=td_M$$

since $`c_2(M)=c_2^{}(M)`$ by the definition. Thus we have a special class in $`H^2(M,)`$ namely

$$\sqrt{td_M}=1+\frac{1}{24}c_2(M)$$

defined uniquely by the condition that the leading term is 1.

Following S. Mukai we slightly correct the Chern character map twisting it by the element

$$m(E)=chE\sqrt{td_M}H^2(M,)$$

for a vector bundle $`E`$; we call it the Mukai vector of $`E`$. The Mukai vectors form a lattice $`L_M`$ which is called the Mukai lattice, equipped with the bilinear skew symmetric form $`\chi `$; thus the topological type of the underlayng Calabi - Yau 3 - manifold can be encoded by the pair $`(L_M,\chi )`$.

On the other hand, if $`E`$ is a holomorphic bundle over $`M`$, then one has the following derivations from the deformation theory:

1) the space $`Ext^1(E,E)`$ is the space of infinitesimal deformations of $`E`$;

2) the space $`Ext^2(E,E)`$ is the space of obstructions;

and

3) locally the moduli space of holomorphic vector bundles of type $`m(E)`$ is presented by the Kuranishi map

$$k:Ext^1(E,E)Ext^2(E,E)$$

such that

$$_E|_{O(E)}=k^1(0)$$

in a small neighborhood $`O(E)`$ of the given point $`E_E`$.

But in the Calabi - Yau realm

$$Ext^1(E,E)=Ext^2(E,E)^{}$$

by the Serre duality. Thus one could expect in general that the moduli spaces are zero dimensional. We claim here that at least the virtual (expected) dimension of the moduli space of simple vector bundles of a topological type $`m(E)L_M`$ is zero.

Further, the Kahler form $`\omega `$ fixed on $`M`$ determines a polarization $`H`$ on $`M`$ which separates special class of holomorphic vector bundles — the bundles which are stable with respect to the given polarization. The stability condition imposes one additional requirement on the topological types: for a vector bundle (or reflexive sheaf) $`E`$ the expression

$$c_2(E)\frac{rk(E)1}{2rk(E)}c_1^2(E)=\mathrm{\Delta }(E)$$

is called the discriminant of the bundle. Then the Bogomolov inequality necessary for any stable bundle is given by the constraint

$$\mathrm{\Delta }(E)H>0$$

for the polarization $`H`$ over $`M`$.

Roughly the idea of the Casson - Donaldson invariant is as follows: the moduli space of $`H`$ \- stable holomorphic vector bundles of a given type $`mH^2(M,)`$ is expected to be a finite set

$$_H(m)=\{p_1,\mathrm{},p_k\},$$

Thus, counting the number, one can define an integer function on the Mukai lattice

$$CD_H(m)=deg_H(m)$$

and call it the Casson - Donaldson invariant. Of course it is an ideal picture: for example, we added the stability condition since otherwise the set of holomorphic vector bundles of a fixed type doesn’t in general posess any good structure. For stable bundles of a fixed topological type $`mL_M`$ the moduli space admits a natural compactification $`\overline{_H^s(m)}`$ which in the transversal case carries the structure of zero dimensional scheme. As the length of the scheme the number

$$CD_H(m)=deg_H^s(m)$$
$`1.1`$
is well defined. It is quite reasonable to call this number the Casson - Donaldson invariant: on the one hand, it is obviously analogous to the Casson invariant as it was proposed in ; on the other hand, it is an obvious analogy of the Donaldson polynomial of degree zero for real 4 - manifolds ().

The problem is that in the real life the transversal situation can not occur for some bundles: deformations can be unobstructed what happens, for example, in the case of the tangent bundle of $`M`$. Then the geometrical dimension of the moduli space of the topological type of $`TM`$ is equal to the dimension of the component of $`CY_3`$ \- moduli space. To get the number in this case we have to apply the usual ”deformation to the normal cone” trick.

The difference between the virtual and the infinitesimal dimensions can be measured as follows. Let us consider on the set of all vector bundles some other bilinear form $`h`$ defined as

$$h(E_1,E_2)=rkH^1(E_1^{}E_2)rkH^0(E_1^{}E_2).$$
$`1.2`$
Then it is easy to see that $`\chi `$ is exactly the skew symmetric part of $`h`$. At the same time the symmetrical part of $`h`$ could be viewed as an analogy of the sum of the Betti numbers. We use it instead of the usual Euler characteristics of coherent sheaves taking in mind the real case where the sum of the Betti numbers gives a numerical estimation for the statement of the Arnold’s conjecture, instead of pure topological Euler characteristics of the based real manifold. As in the symplectic geometry, in our case the number given by $`h`$ is not a topological invariant. Now we see that the difference between the virtual and the infinitesimal dimensions is measured by the bilinear form $`h`$. It is fruitful to consider the vector bundles for which these dimensions coincide. Such simple bundles are called exeptional, aspheric or spheric depending on the context (we will see at the next subsection that they are analogous to some spheres on the RHS). We will call such bundles exeptional because they are simple and infinitesimally rigid. S. Mukai noted that the bundles play the role of roots in the Mukai lattice. In particular, for every such a bundle one has

$$h(E,E)=1$$

which is the minimal number for simple bundles. At the same time the Casson \- Donaldson invariant is well defined so these objects are ”right” from the point of view of theoretical physics. One can really derive a collection of numbers for Mukai vectors corresponding to these exeptional bundles such that $`CD_H(m)`$ is the degree (1.1) above.

As we’ve mentioned, the bilinear form (1.2) is not purely topological. One could answer the following natural question about it: is there an equivalence relation $``$ on $`K_{alg}^0`$ such that the form $`h`$ is equal to the lifting of a bilinear form on the lattice $`K_{alg}^0/=F`$. Obviously, $`F`$ can not be equal to $`H^2(M,)`$ and if the answer to the question posed here is ”Yes” then it should be a lattice $`F`$ between the Chow ring $`CH^{}(M)=A^{}(M)/(rationalequivalence)`$ and $`H^2(M,)`$ (for example, $`𝒜(M)=A^{}(M)/(algebraicequivalence)`$). At the same time by the Griffits theorem for 3 - dimensional quintic $`M^4`$ we have $`𝒜(M)H^2(M,)`$, thus our question is of the ”Lefshetz problem” type.

Further, recall that coherent sheaves and bundles over any variety can be transformed by so called modular operations: universal extensions, universal divisions and some of their combinations (, Ch. 2). These operations preserve the properties of the moduli spaces. The regular application of these transformations have begun with S. Mukai paper  where the author described the ”reflection” operation which can be decomposed into a combination of the divisions and the extensions (or ”returns” in the special terminology used by the experts). The spectrum of the possible applications of these operations is quite wide: from the derived categories of coherent sheaves to the categories of the representations of algebras and quivers. We can extract some combinatorical part from the purely geometric investigations using such operation (and almost always we obtain some representation of a braid group). And this usually gives some mutual underlayng rules for a priori different theories.

Every Mukai vector $`mL_M`$ defines a transformation of the full lattice given by the natural formula

$$\alpha _m(m^{})=m^{}\chi (m,m^{})m,$$

but we prefer to define the following corrected version

$$\alpha _m(m^{})=m^{}h(m,m^{})m.$$

From the first viewpoint it seems to be ill defined, because the form $`h`$ (1.2) doesn’t descend to the even cohomology ring. However, extending the discussion to the derived category $`D^b(M)`$ of coherent sheaves on $`M`$ one could go this way: let us consider the map to the Atiyah ring

$$r:D^b(M)K_{alg}^0.$$

then if $`m`$ can be realised by an exeptional bundle $`E`$ it can be shown that the desired transformation can be defined as a functor

$$\alpha _E:D^b(M)D^b(M)$$

on the derived category. Of course, such lifting heavily depends on the choice of this exeptional bundle $`E`$ in the fixed topological class $`m(E)`$. Let us choose and fix it. Then for any bundle $`E^{}`$ we have the following sheaf

$$\alpha _E(E^{})=ker(can:H^0(E^{}E^{})EE^{}).$$

If this one is a stable bundle:

$$[\alpha _E(E^{})]=\alpha _{[E]}([E^{}]),$$

then this bundle is the result of a modular operation, namely of the universal division.

Let $`HPicM`$ be a polarization of $`M`$. This one as a bundle of rank 1 defines an automorphism of the Mukai lattice:

$$[T_{H^k}(E)]=T_H^k=[EH^k],$$

which can be lifted to the derived category or to any other ”category” which could be defined by vector bundles. Using the standard homological technique and wordwise the same arguments as in Ch. 2 of , one can easily prove the following

###### Proposition (1.1)

For any two topological types $`m`$ and $`m^{}`$ with holomorphic realizations $`\{E_1,\mathrm{},E_{CD_H(m)}\}`$ and $`\{E_1^{},\mathrm{},E_{CD_H(m^{})}^{}\}`$ by exeptional stable bundles there exists a level $`k_0(m,m^{})`$ such that

1) for any $`k>k_0(m,m^{})`$ all modular operations $`\alpha _{E_i}(E_j^{}H^k)`$ (??) are correctly defined;

2) all the bundles from the collection $`\{\alpha _{E_i}(E_j^{})H^k)\}`$ are exeptional and stable and form the complete collection of the holomorphic realizations of a topological class $`\alpha _m(T_H^k(m^{}))`$;

3) consequently, the Casson - Donaldson number for the last topological type is given by the formula

$$CD_H(\alpha _m(T_H^k(m^{})))=CD_H(m)CD_H(m^{}).$$

From this observation one immediately gets

###### Corollary 1.1

The Casson - Donaldson invariant is unbounded as a function.

Of course, there are special vector bundles for which the number $`CD_H`$ is equal to 1. For example,

$$CD_H(m(L))=1$$

for any line bundle $`L`$ over $`M`$ (recall that by the definition $`h^{1,0}=0`$). On the other hand, there exist many types of sheaves with special Mukai vectors whose moduli spaces are compact and smooth (but of positive dimensions). For example, take $`F=𝒪_p`$ where $`pM`$ is a point. In this case the deformation to the normal cone gives us

$$CD_H(m(𝒪_p))=\chi _{top}(M)=\underset{i}{}(1)^irkH^i(M,)$$

where the right hand side is just the topological Euler characteristics. As well the interpretation of the moduli space $`(m)`$ as the zero set of a holomorphic differential on the space $`𝒟_M^{\prime \prime }(E)`$ of $`\overline{}`$ \- connections (see ) shows that

$$CD(m(E))=\chi _{top}(𝒟_M^{\prime \prime }(E))$$

(in spite of the fact that the space $`𝒟_M^{}(E)`$ is infinite dimensional itself). This space depends on the topological type of $`E`$ only, that is, on the Chern character $`ch(E)`$ or on the Mukai vector $`m(E)`$.

At the end of the LHS short description we have to mention that obviously the Casson - Donaldson invariant is the imitation of a well known one: let $`mH^2(M,)`$ and $`R(m)`$ be the family of the rational curves which represent this cohomology class. Then by the same reason from the deformation theory we can expect that scheme $`R(m)`$ is zero dimensional of length

$$R_M(m)=degR(m).$$

The function

$$R_M:H^2(M,)$$

underlies the physical parameters in the same way as $`CD_H`$ from (1.1). For example, if $`M^4`$ is a quintic and $`mH^2(M,)`$ is the class of the projective line in $`^4`$, then $`R_M(m)=2875`$. Moreover, the Clemens conjecture predicts that our expectations of ”finitness” are true for a generic quintic.

We propose here the following conjecture closely analogous to the Clemens’ one, namely:

###### Conjecture

Over generic quintic in $`^4`$ every stable rank 2 vector bundle $`E`$ is infinitesimally rigid, that is, $`H^1(adE)=0`$.

### 1.2. RHS

On the symplectic side of the mirror picture one deals with the same type quadruple $`(M,g,\omega ,\mathrm{\Omega })`$ understanding it first as a symplectic manifold with integer symplectic structure $`\omega `$. The integrability condition means that there is a line bundle $`H`$ with the first Chern class

$$c_1(H)=[\omega ]$$
$`1.3`$
equipped with a hermitian connection $`a𝒜_h(H)`$ such that

$$F_a=2\pi i\omega $$
$`1.4`$
and the last condition defines this connection almost uniquely up to the gauge transformations.

In the symplectic setup we consider Lagrangian cycles as the geometric objects instead of vector bundles (the term ”cycle” used instead of ”submanifold” is discussed in ). Like for the vector bundles, one can impose some conditions on the Lagrangian cycles to get some appropriate objects (moduli spaces). In our setup (the case of so - called fixed complex polarization) there are two basic definitions which distinguish from the space $``$ of all Lagrangian cycles two classes. We recall briefly what they are. The first condition is more universal: it can be imposed in general situation when the symplectic form is integer. Namely one calls a Lagrangian submanifold $`S`$ Bohr - Sommerfeld if the restriction to it of the prequantization pair $`(H,a)`$ defined by (1.3) and (1.4) admits a covariantly constant section (). Indeed, since $`S`$ is Lagrangian and the curvature form of $`a`$ is proportional to $`\omega `$, the restriction to any Lagrangian submanifold should be isomorphic to a pair (trivial bundle, flat connection). But if this flat connection is gauge equivalent to the trivial product connection then one says that $`S`$ is Bohr - Sommerfeld. In  one constructs some moduli spaces of such Bohr - Sommerfeld Lagrangian cycles.

Besides fixing some hermitian structure on $`H`$ to define the Bohr - Sommerfeld condition on the Lagrangian cycles, the definition of SpLag cycles needs some complex polarization as the ruling ingredient. Generally complex polarization means that some appropriate integrable complex structure compatible with the given symplectic structure is fixed over the base manifold. At the same time over our Calabi - Yau threefold the complex structure is defined by the choice of $`\mathrm{\Omega }`$ which was made at the begining of our discussion. Thus for the oriented Calabi - Yau threefold $`(M,\mathrm{\Omega })`$ special Lagrangian cycle (spLag cycle for short) is a 3 - dimensional Lagrangian submanifold $`S`$ such that the restriction $`\mathrm{\Omega }|_S`$ satifies

$$Im\mathrm{\Omega }|_S0\text{o}rRe\mathrm{\Omega }_SVol_g(S),$$

and these two conditions are equivalent (). On the other hand, there is another way to define the cycles based on considerations of Gauss map and Gauss vector field over the space of all Lagrangian cycles (); in the same paper one finds some intermediate condition on Lagrangian cycles which can be exploited in geometric quantization.

The local deformation theory for both types of Lagrangian cycles is well understood: its basic fact is that every symplectic manifold considered near some Lagrangian submanifold looks like a small neighborhood of the zero section of the cotangent bundle of the submanifold (the Darboux - Weinstein theorem). Thus in this description the deformations of Bohr - Sommerfeld cycles are presented by the graphs of exact forms while in the second case the deformations are given by harmonic forms. This means that at least dimensionally these two families of deformations are complement.

On the space $``$ of all Lagrangian cycles one has the following bilinear forms. First of all there is pure topological intersection form

$$<S_1,S_2>=[S_1].[S_2]$$

where $`[S_i]H_3(M,)`$. It’s clear that it is skew symmetric. At the same time for every two Lagrangian cycles intersecting transversally, one can define the Floer homologies

$$FH^{}(S_1,S_2),$$

(). For the pair $`S_1,S_2`$ we have a complex

$$\delta :^{S_1S_2}^{S_1S_2},$$

defined by the set of the intersection points (we require transversality of the cycles). This construction results in a collection of finite abelian groups labelled by integers and this collection of the Floer homology groups gives us the following ”bilinear” form

$$\theta (S_1,S_2)=\underset{i=0}{\overset{3}{}}(1)^{i+1}rkFH^i(S_1,S_2),$$

which is a symplectic analogue of $`\chi `$. If $`S_1`$ and $`S_2`$ are not transversal in $`M`$, then one can deform one of them using some appropriate Hamiltonian deformation to establish the transversal picture and then apply the same arguments. For example, it’s possible to generalize the definition to the case

$$S_1=S_2=S$$

for a single cycle. Then in general the group concides with the usual de Rahm cohomology of $`S`$ (at least dimensionally). All the details of the long discussion can be found in  and other papers mentioned there. For our story it’s important that one can describe the deformation theory of the special Lagrangian cycles in a way similar to the one described in LHS when we discussed the case of coherent sheaves:

1) the space $`FH^1(S,S)`$ is the space of infinitesimal deformations of spLag cycle $`S`$;

2) the space $`FH^2(S,S)`$ is the space of obstructions;

3) the local model of the moduli space is given by some version of the Kuranishi map

and

4) the spaces of the deformations and the obstructions are dual and hence equidimensional.

As we’ve mentioned the deformation theory hardly depends on the topology of the cycle itself and the topology of the embedding $`SM`$. But the real situation is much more closer to the LHS: it was proved by McLean that all spLag deformations are unobstructed. Together with the identification

$$FH^1(S,S)=H^1(S,)$$

(which takes place if the embedding $`SM`$ posesses some natural property which is generic for the setup) it gives us that f.e. if $`S`$ is a homological sphere then the moduli space of spLag cycles is presented by points.

Now we are in position to formulate the Vafa conjecture which predicts more precise variant of the mirror symmetry. For mirror partners $`M,M^{}`$ it should be a map

$$mir:H^2(M,)H^3(M^{},)$$

induced by some one - to - one correspondence between $`E`$’s and $`S`$’s i.e. between stable vector bundles over $`M`$ and spLag cycles inside the mirror partner such that

$$Ext^i(E_1,E_2)=FH^i(mir(E_1),mir(E_2)).$$

One can draw this parallel further, considering the natural operations which can be applied for both objects: under the correspondence between $`E`$ and $`S`$ the operation of the Lagrangian connected sum

$$S_1\mathrm{}S_2$$

is dual to the extension operation:

$$0E_1EE_20$$

for stable bundles $`E_1`$ and $`E_2`$. At the same time, a notion mentioned in LHS, is clarified: a stable vector bundle $`E`$ over $`M`$ is called spherical (or by often used term ”exeptional”) if

$$Ext^1(E,E)=0.$$

By this strong version of the mirror conjecture, $`S=mir(E)`$ has to be a homological sphere

$$H^1(mir(E))=H^2(mir(E))=0.$$

Again it is reasonable to expect that the moduli space $`_S`$ of spLag realizations of this sphere is just a finite set of points:

$$_S=\{p_1,\mathrm{},p_d\}$$

and the number of these points is a symplectic invariant

$$SC_M(S)=\mathrm{}(_S).$$

Then it would be natural to expect this number to be equal to the Casson - Donaldson invariant of the stable bundle.

The symplectic part (or RHS) is not quite well understood yet. At the same time, the meaning of LHS is much more clear and even suited for computations. Here we will present some method to deal with the LHS hoping that in the nearest future matching investigations of RHS will appear.

## 2. Degeneration method for the computation of the Casson - Donaldson invariant

### 2.1. Degeneration principle

One of the useful methods in algebraic geometry is based on ”degeneration principle”: if one can reduce the situtation to some appropriate degenerated case, compute what is desired and then prove that the number is invariant under the deformation, then the problem is solved. As an example, we take an old standard problem which was known 200 years ago: the question is how many lines intersect 4 given skew ones in $`^3`$. The regular construction gives that there are exactly 2 such projective lines. But one can compute this number using the degeneration principle as follows. Let us move this couple of skew lines to the case when they are divided into two pairs $`(l_1,l_2),(m_1,m_2)`$ such that

$`<l_1,l_2>=\pi _l=^2^3`$
$`<m_1,m_2>=\pi _m=^2^3`$
$`l_im_j=\mathrm{}.`$
Then we see that the answer is 2: the first desired line is given by the intersection points $`l_1l_2`$ and $`m_1m_2`$ while the second one is given by the intersection $`\pi _l\pi _m`$.

Now we would like to apply the degeneration principle to the computation of the Casson - Donaldson invariant over Calabi \- Yau 3 - manifolds. Namely, let us solve the problem for some special type of Calabi - Yau degeneration when a given 3 - manifold $`M`$ can be deformed to a manifold

$$M_0=Y_+_SY_{}$$
$`2.1`$
where $`Y_\pm `$ are smooth quasi Fano 3 - manifolds glued transversally along a non singular surface $`S`$ of K3 - type which belongs simultaneously to both the anticanonical systems:

$$S|K_{Y_\pm }|.$$

Then if we compute the numbers in the framework of this reduced picture and then prove that these numbers do not change under the deformation, it will give us the answer in more general situation.

Let us set up the framework for the application of the degeneration principle giving the following

###### Definition 2.1

Calabi - Yau 3 - manifold is called constructive iff there exists an appropriate deformation of $`M`$ to $`M_0`$ which is decomposed as in (2.1).

The class of the constructive Calabi - Yau threefolds is wide enough: of course, all complete intersections in every weighted projective space are constructive as well as any elliptic net, etc. Moreover, one can observe that many rigid Calabi - Yau threefolds are constructive (and it is a really amazing fact!). Here we place the following

### Example

The rigid Barth - Nieto - van Straten quintic () is the moduli space of abelian surfaces with the polarization of type (2,6) and fixed theta - structure. But it could be realised using the following model: consider the projective space $`^5`$ equipped with homogeneous coordinates $`(z_0,\mathrm{},z_5)`$ and the corresponding system of the Newton hypersurfaces

$$S_k=\underset{i=0}{\overset{5}{}}z_i^k.$$

Then the pencil of quintics

$$<S_5,S_2S_3>$$

in $`^4`$ given by the linear equation $`S_1=0`$ contains unique quintic with 130 nodes. It is the Barth - Nieto - van Straten quintic.

To test the main idea of this article we will go in two different directions: at the rest of Section 2 we will discuss how one can compute the invariant, passing in the constructive case to some holomorphic symplectic setup and reducing the computation to a usual computation in this setup. In Section 3 we will show how one can construct ”real” examples of the computation when we will develop the corresponding gluing technique getting constructive Calabi - Yau manifolds together with the results of the computations.

So the next natural question arises after the definition of the constructive Calabi - Yau manifolds is understood: what is the vector bundles over such reduced Calabi - Yau 3 \- manifold $`M_0`$? A vector bundle $`E`$ on $`M_0`$ is a pair of vector bundles $`E_\pm `$ over $`Y_\pm `$ such that their restrictions coincide:

$$E_+|_S=E_{}|_S.$$

So the next step for us is to describe the geometry of vector bundles over the flags of type $`(SY)`$ where $`Y`$ is a quasi Fano variety (its definition see below) and $`S`$ is a K3 - surface from the anticanonical system.

### 2.2. The geometry of the vector bundles on the flags

We start with the following natural

###### Definition 2.2

A variety $`Y`$ is called a quasi Fano variety if the anticanonical linear system contains a smooth K3 - surface and $`\chi (𝒪_Y)=1`$.

Well known examples of quasi Fano varieties are given by the blowing up of the classical Fano varieties with centers on fixed surfaces of the anticanonical systems.

Let $`Y`$ be a quasi Fano variety and $`S`$ be a fixed K3 - surface from the anticanonical system. We will call such a pair a flag. This is a complex analogue of a real 3 - manifold with boundary.

For the quasi Fano varieties the arithmetical properties of the Mukai lattice are slightly different from the CY - case, so f.e. the bilinear form $`\chi `$ is not skew symmetric and one has to decompose it into the symmetric part and the skew - symmetric part denoting these as $`\chi _\pm `$ respectively. Returning to the vector bundles on $`Y`$ we see that the symmetric form $`\chi _+(E_1,E_2)`$ depends only on the first three components of the ring $`H^2(Y,)`$. Further, by the definition

$$𝒪_Y(K_X)=𝒪_Y(S).$$

The canonical class (like any invertible sheaf) defines an automorphism $`T_{K_Y}`$ of the Mukai lattice $`L_Y`$ equipped with the Mukai form by the formula

$$T_{K_Y}(m)=me^{K_Y}.$$

Restricting each vector bundle to the surface $`S`$ we obtain the following map of the Mukai lattices:

$$res:L_YL_S=H^2(S,).$$

The image of this map in the Mukai lattice of $`S`$ coincides with the image of the following operator

$$im(idT_S)L_M,$$

where the last operator can be defined as follows

$`(idT_S)(u_0,u_2,u_4,u_6)=(0,K_Yu_0,u_2S,u_4S)=`$
$`(u_0,u_2S,u_4S)H^{}(S).`$
Then the bilinear form

$$<,>=\frac{1}{2}res^{}(,)$$

is the preimage of the standard symmetric bilinear form on $`H^2(S,Z)`$ given by

$$(u,v)=[v^{}u]_4.$$

Thus the restriction, considered as a transformation, maps the root

$$\sqrt{td_Y^+}$$

to the root of the Todd class of the K3 - surface

$$(1,0,1)=\sqrt{td_S}$$

since by the definition of quasi Fano variety

$$\frac{c_2(TY)K_Y}{24}=\chi (𝒪_Y)=1.$$

The point is that for every Mukai vector $`m`$ corresponding to a vector bundle $`E`$ on $`Y`$ the Mukai vector of the restricted bundle is given by

$$m(E|_S)=ch(E|_S)\sqrt{td_S}=(idT_S)(m(E))$$

over this K3 - surface. Moreover, the symmetric bilinear form $`\chi _+(E_1,E_2)`$ on $`Y`$ is the lifting of the classical symmetric form

$$\chi (E_1|_S,E_2|_S)$$

over $`S`$. Consider now ”a geometric realization” of $`res`$. Namely, since every vector bundle $`E`$ on $`Y`$ can be restricted to $`S`$, we have a map

$$r:_E_{E|_S}$$

of the moduli spaces. The first result about these moduli spaces is purely arithmetical: Proposition 11.2 of  ensures us that for any simple vector bundle on $`Y`$ one has

$$v.dim_E=\frac{1}{2}v.dim_{E|_S}.$$

We will see in a moment that this fact is much deeper than just a purely numerical coincidence.

The Bertini theorem gives us

$$H^2(Y,)=H^{1,1}(S)H^2(S,).$$

A Mukai theorem says that for any primitive vector

$$m=(u_0,u_2,u_4)L_S$$

we have

$$\{u_0>0;u_2H^{1,1}(S);m^22\}_S(m)\mathrm{}$$

that is for this vector there exists a stable bundle $`E_0`$ over $`S`$ such that for $`m=m(E_0)`$ the moduli space exists and

$$dim_S(m)m^2+2.$$

Suppose that there exists a $`K_Y`$ \- stable bundle $`E`$ over $`Y`$ such that

$$E_0=E|_S.$$

Then

$$_Y(m)\mathrm{}\text{a}nddim_Y(m)\frac{1}{2}m^2+1$$

(). To go further we need the following

###### Definition 2.3

1) A vector bundle $`E`$ on $`Y`$ is called regular if $`H^2(adE)=0`$.

2) An irreducible component $`_Y(m)_0`$ is called regular if a generic bundle $`E`$ which belongs to this component is regular.

These bundles are very important to us: for them we have

$$dim_Y(m)_0=v.dim_Y(m)_0=\frac{1}{2}m^2+1.$$

Moreover, the restriction map

$$r:_Y(m)_0_S(m)$$
$`2.2`$
is an immersion at any generic point. Both statements follow from the short exact cohomology sequence

$$0H^1(adE)H^1(ad|_S)H^2(adE(K_Y))0$$
$`2.3`$
constructed for the restriction sequence of $`adE`$:

$$0adE(K_Y)adEadE|_S0$$

(because $`H^1(adE(K_Y)`$ is zero by the Serre duality). Moreover, the continuation of the cohomological sequence gives

$$0H^2(adE|S)H^3(adE(K_Y)$$

which ensures us that $`H^2(adE|_S)`$ is trivial if $`E`$ is simple:

$$H^0(adE)=0H^3(adE(K_Y))=H^0(adE)^{}=0.$$

Therefore for simple bundles over $`Y`$ we have the following implication: if $`E`$ is regular then $`E|_S`$ is regular. This gives us

###### Proposition 2.1

The restriction map $`r`$ (2.2) is an embedding into the regular component $`_Y(m)_0`$ such that

$$dim_S(m)=2dim_Y(m)_0.$$

Now we invoke the golomorphic symplectic geometry: every regular component $`_S(m)_0`$ of vector bundles over any K3 - surface admits the Mukai holomorphic symplectic structure

$$\omega _S:T_S(m)_0T^{}_S(m)_0.$$
$`2.4`$
The crucial fact which underlies our further investigations is that

###### Proposition 2.2

The image of the restriction map

$$r(_Y(m)_0)_S(m)_0$$

is a Lagrangian subvariety of $`_S(m)_0`$ with respect to $`\omega _S`$.

The proof is very simple but quite illustrative. The tangent space of $`_S(m)_0`$ at any regular point $`r(E)`$ is isomorphic to $`H^1(ad|_S)`$. Thus we can understand the second arrow in the exact sequence (2.3) as the differential of the restriction map

$$0T_E_Y(m)_0\mathrm{@}>dr>>T_{E|_S}_S(m)_0$$
$`2.5`$
and it is a monomorphism. On the other hand according to  the Serre duality over $`S`$ is nothing but the restriction of the symplectic structure $`\omega _S`$ to the fiber of the tangent bundle that is

$$T_{E|_S}_S(m)_0=H^1(adE|_S)=H^1(adE|_S)^{}=T_{E|_S}^{}_S(m)_0$$

and we can continue the sequence (2.5) dualizing it and using the identification (2.4) which gives

$$0T_E_Y(m)_0\mathrm{@}>dr>>T_{E|_S}_S(m)_0=T_{E|_S}^{}_S(m)_0\mathrm{@}>(dr)^{}>>T_E^{}_Y(m)_00.$$
$`2.6`$
The sequence (2.6) is exact, as it is equivalent to (2.3), so

$$\omega _S|_{T_E_Y(m)_0}0$$

and we are done. Moreover, the same sequence (2.6) shows that in the regular case the normal bundle should be isomorphic to the cotangent bundle, so

$$N_{r(_Y(m)_0)_S(m)_0}=T^{}_Y(m)_0.$$
$`2.7`$
Proposition 2.2 suggests the introduction of a new integer invariant for Mukai vector $`m`$ over pair $`(S,Y)`$. Since $`r(_Y(m)_0)`$ is a cycle of middle dimension in $`_S(m)_0`$, one can define its self intersection index

$$CD_{(S,Y)}(m)=[r(_Y(m)_0)]^2$$

which we call the relative Casson - Donladson invariant of the pair $`(S,Y)`$. In the compact and non singular cases this number can be computed as the top Chern class of the normal bundle:

$$CD_{(S,Y)}(m)=c_{top}(N_{r(_Y(m)_0),_S(m)_0}),$$

and (2.7) shows that in this case

$$CD_{S,Y}(m)=\pm \chi (_Y(m)_0).$$
$`2.8`$
It is natural to exploit this relative version for the computations of the absolute Casson - Donaldson invariant.

Thus the general strategy should be as follows: for some Calabi - Yau threefold we are looking for the deformation to a reducible ”double” which is glued from two quasi Fano varieties along the K3 - surface. Then we reduce the question to the holomorphic symplectic geometry over the K3 - surface $`S`$ where the moduli spaces of vector bundles over the quasi Fanos live as holomorphic Lagrangian submanifolds.

At the same time this recipe can be adapted for computations of some other type numbers: f.e. by the same procedure we can compute the number of lines on generic $`M_8`$ which is a double cover of $`^3`$ ramified at a generic surface of degree 8 (we will study this case in details in the next section). Then deforming this $`M_8`$ to a pair of $`_\pm ^3`$ glued along a quartic $`S`$ we have two families of lines on each $`_\pm ^3`$ which are the Grassmannian $`G(2,4)_\pm `$. The intersection with $`S`$ defines maps

$$r_\pm :G(2,4)_\pm Hilb^4(S).$$

These maps obviously are embeddings. But the smooth variety $`Hilb^4(S)`$ has the Mukai holomorphic symplectic form $`\omega _S`$. The images $`r_\pm (G(2,4)_\pm )`$ are homotopy equivalent smooth Lagrangian subvarieties. Hence the desired number is

$$R_{M_8}(1)=2r(G(2,4))^2=2c_{top}T^{}G(2,4)=12.$$

Now we can ask: is it possible to compute some other ”classical” numbers using this degeneration method? For example, let us compute the number $`R_{Q_5}(k)`$ of rational curves of degree $`k`$ on a generic quintic $`Q_5^4`$. One can deform $`Q_5`$ to

$$M_0=Q_2_SQ_3$$

Then a rational curve $`\gamma `$ of a degree, say, 10 degenerates to a reducible curve $`\gamma _3\gamma _2`$ where $`\gamma _3`$ is a cubic on $`Q_3`$ and $`\gamma _2`$ is a conic on $`Q_2`$. The intersection maps

$`r_+:\{\gamma _2\}Hilb^6(S)`$
$`r_{}:\{\gamma _3\}Hilb^6(S)`$
are embeddings. So what is the number

$$\mathrm{}[r_+(\{\gamma _2\})r_{}(\{\gamma _3\})]=\mathrm{?}$$

Note that the answer is unknown even for smaller $`k`$s: the record is

$$R_{Q_5}(5)=229305888887625.$$

However, the degeneration method gives some reason why these numbers as cofficients of a generating function are wrong (R. Pandharipande observed recently that the coefficient $`n_{10}`$ of the generating function doesn’t give the number $`R_{Q_5}(10)`$).

In the next section we discuss the construction starting from the end: this way we will find some particular examples of constructive Calabi - Yau threefolds and study the vector bundles over these ones.

## 3. Constructive Calabi - Yau threefolds

### 3.1. Deformations of flags and vector bundles

The deformation theory of the pairs (K3 $``$ Fano) is quite similar to the deformation theory for the complex manifold: one can construct over any flag a bundle $`T(S,Y)`$ (or a coherent sheaf) such that

1) the space $`H^1(T(S,Y))`$ is the space of formal deformations;

2) the space $`H^2(T(S,Y))`$ is the space of obstructions;

3) and the corresponding Kuranishi map

$$\mathrm{\Phi }:H^1(T(S,Y))H^2(T(S,Y))$$

gives us a local model of the moduli space of deformations which is $`\mathrm{\Phi }^1(0)`$. To construct the sheaf, consider the restriction sequence for the tangent bundle

$$0TY(S)TYTY|_S$$
$`3.1`$
together with the standard exact sequence on $`S`$

$$0TSTY|_SN_{(S,Y)}0,$$
$`3.2`$
where the last line bundle is the normal bundle to the surface in the threefold. Let us combine two last epimorphisms from (3.1) and (3.2) getting

$$TYN_{(S,Y)}0$$
$`3.3`$
and complete (3.3) to an exact sequence

$$0T(S,Y)TYN_{(S,Y)}0.$$

$`T(S,Y)`$ is the bundle (or the sheaf) which describes the local deformation theory. Suppose that

$$H^1(S,N_{(S,Y)})=0.$$

Then we can compare two Kuranishi maps, combining them in one diagram:

$$\begin{array}{ccccccccc}0& & H^0(N_{S,Y})& & H^1(T(S,Y))& & H^1(TY)& & 0\\ & & & & & & & & \\ & & 0& & H^2(T(S,Y))& & H^2(TY)& & 0\end{array}$$

This gives us the following

###### Proposition 3.1

If the deformation of $`Y`$ is unobstructed then the same is true for the deformation of any pair $`(S,Y)`$.

The definition of $`T(S,Y)`$ implies

$$0TY(S)T(S,Y)TS0.$$
$`3.4`$
Since our pair is of the type (K3 in Fano), the long cohomological sequence gives for (3.4)

$`0H^1(\mathrm{\Lambda }^2\mathrm{\Omega }Y)H^1(T(S,Y))H^1(\mathrm{\Omega }S)^{}`$
$`H^1(\mathrm{\Omega }Y)^{}H^2(T(S,Y))0`$
(here we use the equality

$$E\mathrm{\Lambda }^3E^{}=\mathrm{\Lambda }^2E^{}$$

for $`rkE=3`$ \- case together with the Serre duality). It’s easy to see that the homomorphism

$$H^1(\mathrm{\Omega }S)^{}H^1(\mathrm{\Omega }Y)^{}$$

from the last sequence is dual to the restriction map

$$r:H^{1,1}(Y)H^{1,1}(S)$$

(via the Dolbeaut isomorphism). This gives us

###### Proposition 3.2

The obstruction space is given by $`(kerr)^{}H^{2,2}(Y)`$. In particular, if $`PicY=`$, then the deformation of $`(S,Y)`$ is unobstructed and according to Proposition 3.1 this implies that the deformation of $`Y`$ is unobstructed to.

Indeed, the homomorphism

$$H^1(\mathrm{\Omega }S)^{}H^1(\mathrm{\Omega }Y)^{}$$

must be nontrivial. Thus it has to be an epimorphism. Moreover, the space

$$H^1(TY(K_Y))=H^1(\mathrm{\Lambda }^2\mathrm{\Omega }Y)$$

is the space of the deformations of the pair which preserves the complex structure on $`S`$.

Recall that there exists a collection of obstructions for the equivalence of n-th order thickening of our given K3 - surface $`S`$ in the quasi Fano variety $`Y`$ and its flat model. The first obstruction is given by the class

$$\omega _1H^1(TSN_{(S,Y)}^{}).$$

¿From the standard exact sequence we have

$$H^1(TSN_{(S,Y)}^{})=H^1(\mathrm{\Lambda }^2\mathrm{\Omega }Y|_S).$$

On the other hand, in our special case we have

$$H^1(TSN_{(S,Y)}^{})=H^1(TSN_{(S,Y)})^{}$$

by the Serre duality. We will use these identifications for the ”gluing procedure”.

### 3.2. Gluing procedure

Starting with the configuration (2.1) we get over the fixed K3 - surface $`S`$ two normal bundles

$$N_{S,Y_\pm }$$

which are completely different. The topological smoothing procedure is very similar to the topological surgery in the real case: first of all, we cut a small neighborhood of the singular locus $`S`$ in $`X_0`$ considering small tubes

$$S^1(N_{S,Y_\pm })N_{S,Y_\pm }$$

in the normal bundles which are

$$N_{S,Y_\pm }=L_{K_{Y_\pm }}.$$

Removing small disc - bundles

$$D^2(N_{S,Y_\pm })$$

with the boundaries

$$D^2(N_{S,Y_\pm })=S^1(N_{S,Y_\pm })$$

from $`Y_\pm `$ we get some open singular threefold

$$V_0=D^2(N_{S,Y_+})_SD^2(N_{S,Y_{}}).$$

Thus one gets three real 6 - manifolds with boundaries:

$`V_0|V_0=S^1(N_{S,Y_+})S^1(N_{S,Y_{}});`$
$`Y_\pm ^0=Y_\pm D^2(N_{S,Y_\pm })|Y_\pm ^0=S^1(N_{S,Y_\pm });`$
and the resulting $`X_0`$ is glued from these three pieces.

Now we can deform slightly the singular real 6 - manifold $`V_0`$ preserving the boundary $`V_0`$ by the following construction (). Consider the following quadratic map of the bundles over $`S`$:

$$q:N_{S,Y_+}N_{S,Y_{}}N_{S,Y_+}N_{S,Y_{}}=L_{K_{Y_+}K_Y_{}}.$$

Any section $`sH^0(L_{K_{Y_+}K_Y_{}})`$ can be regarded as an embedding

$$i_s:SL_{K_{Y_+}K_Y_{}}$$

thus for any section we get a manifold

$$V_s=q^1(i_s(S))D^2(N_{S,Y_+})\times _SD^2(N_{S,Y_{}}).$$

Choosing the neighborhoods small enough one can make the picture such that the boundary becomes diffeomorphic to

$$V_s=S^1(N_{S,Y_+})S^1(N_{S,Y_{}}).$$

Then we can glue this $`V_s`$ with $`Y_\pm ^0`$ along the components of the boundaries and get a new compact real 6 - manifold $`X_s`$. Moreover, if the zero set

$$(s)_0=C|K_{Y_+}K_Y_{}|$$

of the section $`s`$ is a smooth curve in $`S`$ then $`V_s`$ is non - singular and the construction gives us a topomodel of Calabi - Yau threefold. If the curve $`C`$ admits some simple singularities then $`V_s`$ would be singular in these points but applying the small resolution of these singular points one can get another topomodel of Calabi - Yau manifold of different topological type. It will be very usefull to get the complete list of the topomodels which can be reached by this procedure.

Until now we discussed the gluing procedure from the point of view of smooth real 6 - manifolds. But it is important that we can do this smoothing surgery preserving almost complex structures.

Now we go further describing the deformations of the complex structures over the constructed topomodels. Recall (, ) that in our situation there exists a sheaf $`T(Y_+,S,Y_{})`$ which can be constructed in terms of $`T(S,Y_\pm )`$ such that its first cohomology space presents the infinitesimal deformations of the reducible threefold to reducible threefolds of the same topological type but the space $`^1`$ of all infinitesimal deformations is more complicated: it is included in the following exact sequence

$$0H^1(T(Y_+,S,Y_{}))^1H^0(N_{S,Y_+}N_{S,Y_{}})0.$$
$`3.5`$
However the obstruction space has precisely the same type

$$^2=H^2(T(Y_+,S,Y_{}))$$

(5.1 of ). We can describe the sheaf $`T(Y_+,S,Y_{})`$ considering the entires as disjoint flags $`(S_\pm Y_\pm )`$ together with the maps

$$n_\pm :S_\pm S=SingX_0.$$

Constructing exact sequence (3.4) for every flag component one gets the desired sheaf from the following exact sequence

$$0T(Y_+,S,Y_{})T(S_+,Y_+)T(S_{},Y_{})TS0,$$

where at the prefinal step we use $`\frac{1}{2}(n_++n_{})_{}`$. Thus one has for $`T(Y_+,S,Y_{})`$ the exact sequence

$$0_\pm TY_\pm (S)T(Y_+,S,Y_{})TS=ker\frac{1}{2}(n_++n_{})_{}0$$

which induces the long cohomology sequence

$`0_\pm H^1(\mathrm{\Lambda }^2\mathrm{\Omega }Y_\pm )H^1(T(Y_+,S,Y_{}))H^1(\mathrm{\Omega }S)^{}`$
$`_\pm H^1(\mathrm{\Omega }Y_\pm )^{}H^2(T(Y_+,S,Y_{}))0.`$
The direct sum of the compositions $`(r_\pm (n_\pm )_{}`$ gives the map

$$R_{}^+=(r_+(n_+)_{})(r_{}(n_{})_{}):H^{1,1}(Y_+)H^{1,1}(Y_{})H^{1,1}(S).$$

In terms of this map we can formulate the following

###### Proposition 3.3

The obstruction space is given by

$$H^2(T(Y_+,S,Y_{}))=(kerR_{}^+)^{}H^{1,1}(Y_+)^{}H^{1,1}(Y_{})^{}.$$

Turning back to the definition of $`^1`$ given by (3.5) one can see that the deformation complex inducing the Kuranishi map is

$`0H^1(T(Y_+,S,Y_{}))^1H^0(N_{S,Y_+}N_{S,Y_{}})`$
$`\mathrm{@}>\mathrm{\Psi }>>H^2(T(Y_+,S,Y_{}))=(kerR_{}^+)^{}H^{2,2}(Y_+)H^{2,2}(Y_{}).`$
The precise description of $`\mathrm{\Psi }`$ is contained in .

###### Corollary 3.1

1) Let $`PicY_\pm =`$ and let $`N_{S,Y_+}N_{S,Y_{}}`$ be generated by sections and nontrivial, then the dimension of the space $`_{X_0}`$ of non singular deformations is

$$v.dim_{X_0}=h^{1,2}(Y_+)+h^{1,2}(Y_{})+h^0(N_{S,Y_+}N_{S,Y_{}})1;$$

2) if $`N_{S,Y_+}N_{S,Y_{}}=𝒪_S`$ then the deformation is unobstracted,

$$v.dim_{X_0}=h^{1,2}(Y_+)+h^{1,2}(Y_{})+1$$

and the body of the deformation family is smooth.

The second statement is known from , . The first statement can be proven as follows: consider the 1st order jet with the first obstruction classes of the pairs $`(S_\pm ,Y_\pm )`$

$$\omega _1^\pm H^1(TSN_{S_\pm ,Y_\pm }^{}),$$

described at the end of the previous subsection, and consider the natural homomorphism

$`H^0(N_{S_+,Y_+}N_{S_{},Y_{}})H^1(TSN_{S_\pm ,Y_\pm }^{})`$
$`\mathrm{@}>c>>H^1(TSN_{S_\pm ,Y_\pm })=H^1(TSN_{S_\pm ,Y_\pm }^{})^{}.`$
It’s easy to see that 1 - extension of the deformation given by a section $`sH^0(N_{S_+,Y_+}N_{S_{},Y_{}})`$ is constrained by only one condition

$$\omega _1^{}(c(s\omega ^+))=0.$$

This implies the first statement.

Now we can illustrate the results as follows: suppose that some K3 - surface $`S`$ contained in a quasi Fano flag $`S,Y`$ admits an involution

$$i:SS$$

such that

$$i^{}(K_Y|_S)=K_Y|_S.$$

Then take the reducible CY - threefold given by the gluing map with

$$n_+=id,n_{}=i.$$

and obtain

###### Corollary 3.2

Under the present conditions this double manifold $`X_0`$ can be deformed to a smooth Calabi - Yau threefold.

At the next subsection we add the vector bundle ingredient to our constructions and (since it’s not too hard) consider some particular examples.

### 3.3. Vector bundles over constructive manifolds

.

The description of the vector bundles over the glued and deformed threefold $`X`$ is very simple. If we denote the composition

$$n_+(n_{})^1$$

as $`g`$ ( thus $`g`$ is an automorphism of K3 - surface $`S`$) then

###### Proposition 3.4

A pair of stable vector bundles $`E_\pm `$ over the pair of quasi Fano threefolds $`Y_\pm `$ can be glued and deformed to a vector bundle over $`X`$ if and only if

$$E_+|_S=g^{}(E_{}|_S).$$

We may expect the infinitesimal rigidity for the vector bundles on $`X`$. Our task is to describe the deformations of pairs ($`X`$ \+ a vector bundle). According to  this problem can be reduced to the problem of the deformations for the projectivizations of the vector bundle components. But for this it’s easy to consider only the deformations with smooth total spaces. The criterium for this one is the following

###### Proposition 3.5

The total space of the deformations of a reducible CY - threefold is smooth iff the tensor product of the normal bundles $`N_{S,Y_\pm }`$ is trivial.

Now we can reduce the general situation to the trivial tensor product case just blowing up, say, the Fano variety $`Y_+`$ along the curve $`C`$. Thus we can expect that the construction can be performed in a sufficiently general case.

The simplest way to obtain a constructive threefold is to take double of a flag. Let us add to a flag $`SY`$ its copy and glue them along the fixed K3 - surface:

$$2_SY=(Y,S,Y)$$

so

$$n^\pm =id,g=id.$$

Certainly this double can be deformed to a smooth Calabi - Yau threefold $`X`$ which type we will denote by the same symbol $`2_SY`$. Any vector $`m`$ with non negative square from the Mukai lattice $`M_Y`$ defines the corresponding vector

$$mM_{2_SY}\text{s}atisfiesm^2=0$$

of the induced Mukai lattice of the double. For every regular component $`_Y(m)_0`$ of the stable vector bundle moduli space over $`Y`$ and for every vector bundle $`E_Y(m)_0`$ we can construct its double $`2_SE`$ gluing two copies of $`E`$ along the restriction $`E|_S`$. As a result, instead of the expected finite set of vector bundles we obtain some non transversal component of the moduli space

$$_{2_SY}(m)=\{2_SE|E_Y(m)_0\}$$

which obviosly has positive dimension being parametrized by $`_Y(m)_0`$. Thus from the first viewpoint the situation is not quite good. But this large component decays to a finite set of vector bundles when we deform the reducible double $`2_SY`$ to a smooth $`X`$. The degree of this finite set coincides with the number $`CD_{S,Y}(m)`$, defined above in (2.8). The source of the coincidence is hidden in the following equality of two topological Euler characteristics

$$\chi (𝒟\mathrm{"}(2_SE))=\chi (_Y(m)_0).$$

At the rest of this section we place two examples of the construction which are concentrated on objects well known in algebraic geometry.

### Example 1

We consider for a smooth quartic surface $`S`$ in $`^3`$ the corresponding double of the flag. The resulting double $`2_S^3`$ is the degeneration of a smooth cover of $`^3`$ ramified along a smooth surface of degree 8. For a vector bundle $`E`$ over $`^3`$ of rank 2 with the Chern classes $`c_1=0,c_2=1`$ its Mukai vector is presented by

$$m(E)=2\frac{1}{2}P.D.(H);$$

then the virtual dimension of the moduli space is given by

$$v.dim_^3(2,0,\frac{1}{2}P.D.(H),0)=m^2+1=5.$$

It’s well known that every stable bundle of the type is a mathematical instanton given by a section of $`\mathrm{\Omega }^3(2)`$ that is by a monad

$$0𝒪_^3(1)\mathrm{@}>s(1)>>\mathrm{\Omega }^3(1)E0.$$

Therefore the compactification of the moduli space is constructed as

$$\overline{_^3(2,0,\frac{1}{2}P.D.(H),0)}=^5=\mathrm{\Lambda }^2^3.$$

Now restricting every such vector bundle on our quartic $`S`$ one gets another monad with the following display

$$0𝒪_S(1)\mathrm{@}>s(1)>>\mathrm{\Omega }^3(1)|_SE|_S0.$$

¿From this it is easy to see that the restriction map

$$res:\overline{_^3(2,0,\frac{1}{2}P.D.(H),0)}\overline{_S(2,0,2)}$$

is an embedding. Thus we get

$$CD_{(S,^3}(2,0,\frac{1}{2}P.D.(H),0)=6$$

since it is the Euler characteristic of the projective space. More geometrically, consider some general linear transformation

$$g:^3^3$$

and the induced skew double $`^3_Sg(^3)`$. Then a vector bundle $`E`$ from the moduli space

$$\overline{_^3(2,0,\frac{1}{2}P.D.(H),0)}$$

defines the corresponding vector bundle on the skew double iff

$$g^{}(E)=E.$$

Taking $`\mathrm{\Lambda }^2^3`$ as a model of the compactification consider the transformation of the wedge square induced by $`g`$ and denote it as $`\mathrm{\Lambda }^2g`$. Then it’s clear that the condition $`g^{}(E)=E`$ implies that $`E`$ corresponds to a fixed point of $`\mathrm{\Lambda }^2g`$. Thus again we get that there are 6 vector bundles of this sort: the set $`E_1,\mathrm{},E_6`$ is just the six edges of the simplex with the vertices in the fixed point of $`g`$ in $`^3`$.

Now consider any smooth curve

$$C=(s)_0,sH^0(S,𝒪_S(8))$$

and blow it up as a curve in $`^3`$, getting

$$\sigma :\stackrel{~}{^3}^3.$$

The gluing procedure then gives us an irreducible constructive Calabi - Yau threefold

$$\stackrel{~}{^3}_Sg(^3)$$

which can be deformed to a smooth threefold $`X`$ with smooth total deformation space. Then our six vector bundles give six doubles

$$\sigma ^{}(E_i)_SE_i.$$

One can prove that the resulting vector bundles are infinitesimally rigid. It implies the fact that for any smooth double $`X`$ from the smooth deformation family

$$CD_X((2,0,\sigma ^{}(\frac{1}{2}P.D(H)),0),(2,0,\frac{1}{2}P.D.(H),0))=6.$$

### Example 2

We consider now the moduli space $`MI_k`$ of the mathematical instantons, that is, the moduli space of the stable vector bundles over $`^3`$ of rank 2 with the Chern classes $`c_1=0,c_2=k`$ satisfying the instanton equation

$$h^1(E(2))=0.$$

Then, just like in the previous example, the restriction to $`S`$ must be an embedding by the same reason. The monad description shows that for general linear transformation $`g`$ the induced action

$$g^{}:MI_kMI_k$$

admits a finite set of fixed points

$$E_1,\mathrm{},E_N$$

which give the corresponding finite set of vector bundles over the double. Note that any generic linear transformation defines a $`^{}`$ \- action on $`^3`$ and on the moduli space $`MI_k`$ as well. The computation of the number $`N`$ (equal to the number of fixed points on $`MI_k`$) and of the ”instanton” component of the vector bundles over the double is parallel to the computation of the Euler characteristic of $`MI_k`$ using the Bott formula. Of course, this number $`N`$ is a term of CD - invariant of the double. However there exist some other components of the moduli space on $`^3`$. Recall that any holomorphic vector bundle with topologically trivial determinant over any Fano variety of even index has the Atyiah - Rees invariant

$$AR(E)=h^1(E(\frac{1}{2}K_Y))mod2$$

which distinguishes components of the moduli spaces. On the other hand, if

$$c_1(E)=0$$

then $`E`$ is anti self dual and the Serre duality induces the natural non degenerated skew symmetrical form on $`H^1(E)`$. Thus the equality

$$h^1(E|_S)=0mod2$$

always holds. Therefore for every mathematical instanton $`E`$

$$AR(E)=0$$

and besides of $`MI_k`$ there exists another component $`M_k`$ (as a good example we take $`k=3`$). For a small $`k`$ it can be checked that the restriction map embeds this component into the moduli space of vector bundles over $`S`$. Thus

$$res(MI_k)res(M_k)=\mathrm{}.$$

Hence the Euler characteristics of the moduli spaces computed by the Bott formula give the answer

$`CD_X((2,0,\sigma ^{}({\displaystyle \frac{5}{2}}P.D.(H)),0),(2,0,{\displaystyle \frac{5}{2}}P.D.(H),0))=`$
$`\chi (MI_3)+\chi (M_3).`$
Some other examples are considered in .

## Conclusion

The author would propose a number of examples illustrating the algebraic geometry of the constructions presented here. But let us emphasize just the questions which are deeply important for the modern theoretical physics.

A standard question which is asked by physicists last time is about the possible topological types of 3 - dimensional Calabi - Yau manifolds. More precisely the question is just on the number of these types. And even more concretely: is this number bounded or not? The way proposed here could give an answer. Namely as it was already mentioned above if any 3 - dimensional Calabi - Yau manifold is constructive then it were only finite number of different topological types. Emphasize again that yet nobody knows is this number finite or not.

On the other hand, one could ask an ”adjoint” question: how many topological types can be derived by this construction of smooth deformations of threefolds? This question is quite natural in the framework of algebraic geometry (and much more simpler than the previos one). But turning back one can ask a question of even more higher level: how many topological types of stable vector bundles can one get by this construction?

At the same time the mirror conjecture dictates that our constructions presented here should be compatible with some other aspects of mirror. We mean that in the setup of Landau - Ginzburg models any Fano variety admits a mirror partner. Very briefly, it is a pair

$$((^{})^n,W_n),$$

where $`W_n`$ is a function which is called potential. If any 3 - dimensional Calabi - Yau manifold could be deformed to a pair of flags then its mirror partner should be expressible in terms of the Landau - Ginzburg models. Thus one can exploite the duality to check the problem.

References


text:
# DC-transport properties of ferromagnetic (Ga,Mn)As semiconductors

## Abstract

We study the dc transport properties of (Ga,Mn)As diluted magnetic semiconductors with Mn concentration varying from 1.5% to 8%. Both diagonal and Hall components of the conductivity tensor are strongly sensitive to the magnetic state of these semiconductors. Transport data obtained at low temperatures are discussed theoretically within a model of band-hole quasiparticles with a finite spectral width due to elastic scattering from Mn and compensating defects. The theoretical results are in good agreement with measured anomalous Hall effect and anisotropic longitudinal magnetoresistance data. This quantitative understanding of dc magneto-transport effects in (Ga,Mn)As is unparalleled in itinerant ferromagnetic systems.

Progress toward the realization of room-temperature ferromagnetism in semiconductors has motivated intensive research on (Ga,Mn)As and other transition metal doped III-V semiconductors. Improvements in growth techniques for (Ga,Mn)As diluted magnetic semiconductors (DMSs) continue to yield ever higher conductivities and transition temperatures Edmonds et al. (2002); Ku et al. . The magnetic properties of these ferromagnets have been successfully modeled using an effective Hamiltonian description of the exchange coupling between valence band hole spins and Mn local moments Dietl et al. (2000). For example, non-trivial magneto-crystalline anisotropy effects have been explained Dietl et al. (2001a); Abolfath et al. (2001) using the simplest mean-field version of this model Jungwirth et al. (1999), together with the dependence on doping and carrier concentration of the ferromagnetic transition temperature Jungwirth et al. (2002a), domain structure Dietl et al. (2001b), and magneto-optical properties Sinova et al. (2002); Dietl et al. (2001a).

In this Letter we establish that the mean-field theory, combined with a Born approximation description of impurity scattering, can describe the low-temperature dc magnetotransport properties on a quantitative level. In the first part of the Letter we discuss the anomalous Hall conductivity of a series of (Ga,Mn)As samples with varying Mn and hole densities and different lattice-matching strains. In the second part we compare the measured and calculated anisotropic magnetoresistance data.

Details of the sample preparation and measurement procedures are given elsewhere Edmonds et al. (2002); Wang et al. . All the experimental results presented are for a temperature of 4.2 K. The samples are metallic and show very weak isotropic magnetoresistance at this temperature. This enables us to obtain values for the hole densities with an accuracy of about 10% from the normal Hall coefficient, assuming that the magnetization is saturated in the range of fields from 10 to 16 Tesla. The greatest uncertainty in the analysis of the data stems from the unknown density of defects and their distribution in the lattice. In our theoretical model we neglect any inhomogeneity that may have resulted, e.g. along the growth direction, from the non-equilibrium, low-temperature MBE growth. The only acceptors assumed in the calculations are substitutional Mn ions that provide one hole per impurity which is exchange coupled to the Mn local moment $`S=5/2`$. We report on calculations based on two extreme scenarios that are consistent with the Mn acceptor compensation we observe and hopefully bracket the situations achievable in experimental samples. The first scenario assumes compensation only by Mn-interstitial defects that act as double-donors whose local moments are magnetically decoupled from the itinerant-hole and Mn moments, while the second assumes compensation only by non-magnetic As-antisite defects which also act as double-donors Jungwirth et al. (2002b). In the former case, the densities of substitutional and interstitial Mn ions used in the calculations are obtained from the experimental total (nominal) Mn density and the measured itinerant hole density, while in the latter model the density of the substitutional Mn ions is equal to the nominal Mn density.

One of the key tools used to characterize and study itinerant ferromagnetic metals is the anomalous Hall effect (AHE) Karplus and Luttinger (1954); Smit (1955); AHE (1998), a contribution to the Hall coefficient due to spontaneous magnetization. The AHE occurs because of spin-orbit interactions. In metals AHE (1998) the standard assumption has been that the AHE occurs because of a spin-orbit coupling component in the interaction between band quasiparticles and crystal defects, which can lead to skew scattering Smit (1955) and side jump scattering Berger (1970) that give Hall resistivity contributions proportional to $`\rho `$ and $`\rho ^2`$ respectively. Our AHE theory differs fundamentally from this standard picture because the effect arises from spin-orbit coupling in the Hamiltonian of the perfect crystal which implies a finite Hall conductivity even without disorder.

The approach we use has its roots in the first theoretical study of the AHE by Karplus and Luttinger Karplus and Luttinger (1954) who considered a band Hamiltonian with spin-orbit coupling, whose eigenstates are translationally-invariant Bloch waves of non-interacting electrons. A $`𝐤`$-space Berry’s phase interpretation of this intrinsic contribution to the anomalous wave-pocket velocity term is given in our previous semiclassical study Jungwirth et al. (2002c) of the AHE in ferromagnetic semiconductors. For clean systems, the same anomalous Hall conductivity expression can be obtained starting from the Kubo formula Sinova et al. . The Kubo formula has been used, e.g., to analyze the AHE in layered 2D ferromagnets such as SrRuO3 or in pyrochlore ferromagnets Onoda and Nagaosa (2002) and has been recognized Sinova et al.  as a natural starting point to address infrared magneto-optic effects such as the Kerr and Faraday effects. The quantum-mechanical approach provides a convenient way to approximately include band-dependent quasiparticle broadening in the theory expressions.

In Fig. 1 we plot theoretical anomalous Hall conductivities calculated using the disorder-free, semiclassical Berry’s phase formula Jungwirth et al. (2002c)

$$\sigma _{AH}=\frac{2e^2}{\mathrm{}}\underset{n^{}}{}\frac{d\stackrel{}{k}}{(2\pi )^3}f_{n^{},\stackrel{}{k}}\mathrm{Im}[u_n/k_y|u_n/k_x|]$$
(1)
or the equivalent Sinova et al.  Kubo formula

$`\sigma _{\mathrm{AH}}`$ $`=`$ $`{\displaystyle \frac{e^2\mathrm{}}{m^2}}{\displaystyle \frac{d\stackrel{}{k}}{(2\pi )^3}\underset{nn^{}}{}(f_{n^{},\stackrel{}{k}}f_{n,\stackrel{}{k}})}`$ (2)
$`\times {\displaystyle \frac{\mathrm{Im}[n^{}\stackrel{}{k}|\widehat{p}_x|n\stackrel{}{k}n\stackrel{}{k}|\widehat{p}_y|n^{}\stackrel{}{k}]}{(E_{n\stackrel{}{k}}E_{n^{}\stackrel{}{k}})^2}}.`$
The clean-system data are compared with results obtained from the modified Kubo formula

$`\sigma _{\mathrm{AH}}={\displaystyle \frac{e^2\mathrm{}}{m^2V}}{\displaystyle \underset{\stackrel{}{k},nn^{}}{}}(f_{n^{},\stackrel{}{k}}f_{n,\stackrel{}{k}})`$
$`\times `$ $`\mathrm{Im}[n^{}\stackrel{}{k}|\widehat{p}_x|n\stackrel{}{k}n\stackrel{}{k}|\widehat{p}_y|n^{}\stackrel{}{k}]{\displaystyle \frac{\mathrm{\Gamma }_{n,n^{}}^2(E_{n\stackrel{}{k}}E_{n,\stackrel{}{k}^{}})^2}{((E_{n\stackrel{}{k}}E_{n^{}\stackrel{}{k}})^2+\mathrm{\Gamma }_{n,n^{}}^2)^2}},`$ (3)
which accounts for the finite lifetime broadening of the quasiparticle states. The effective lifetime for transitions between bands $`n`$ and $`n^{}`$, $`\tau _{n,n^{}}\mathrm{}/\mathrm{\Gamma }_{n,n^{}}`$, is calculated by averaging quasiparticle scattering rates calculated from Fermi’s golden rule including both screened Coulomb and exchange potentials of randomly distributed substitutional Mn and compensating defects Jungwirth et al. (2002b); Sinova et al. (2002). In Fig. 1 we assume that compensation is due entirely to As-antisite defects. The valence band hole eigenenergies $`E_{n\stackrel{}{k}}`$ and eigenvectors $`|n\stackrel{}{k}`$ in Eqs. (1)-(3) were obtained by solving the six-band Kohn-Luttinger Hamiltonian in the presence of the exchange field, $`\stackrel{}{h}=N_{Mn}SJ_{pd}\widehat{z}`$ Abolfath et al. (2001). Here $`N_{Mn}=4x/a_{DMS}^3`$ is the Mn density in the MnxGa1-xAs epilayer with a lattice constant $`a_{DMS}`$, the local Mn spin $`S=5/2`$, and the exchange coupling constant $`J_{pd}=55`$ meV nm-3 H.Ohno (1999).

Fig. 1 demonstrates that whether or not disorder is included, the theoretical anomalous Hall conductivities are of order 10 $`\mathrm{\Omega }^1`$ cm-1 in the (Ga,Mn)As DMSs with typical hole densities, $`p0.5`$ nm-1, and Mn concentrations of several per cent. On a quantitative level, disorder tends to enhance $`\sigma _{AH}`$ at low Mn doping and suppresses AHE at high Mn concentrations where the quasiparticle broadening due to disorder becomes comparable to the strength of the exchange field. The inset in Fig. 1 also indicates that the magnitude of the AHE in both models is sensitive not only to hole and Mn densities but also to the lattice-matching strains between substrate and the magnetic layer, $`e_0=(a_{substrate}a_{DMS})/a_{DMS}`$.

A systematic comparison between theoretical and experimental AHE data is presented in Fig. 2. The results are plotted vs. nominal Mn concentration $`x`$ while other parameters of the seven samples studied are listed in the figure legend. The measured $`\sigma _{AH}`$ values are indicated by filled squares; triangles are theoretical results obtained in the clean limit or for a disordered system assuming either the As-antisite or Mn-interstitial compensation scenario, described above. In general, when disorder is accounted for, the theory is in a good agreement with experimental data over the full range of studied Mn densities from $`x=1.5\%`$ to $`x=8\%`$. The effect of disorder, especially when assuming Mn-interstitial compensation, is particularly strong in the $`x=8\%`$ sample shifting the theoretical $`\sigma _{AH}`$ much closer to experiment compared to the clean limit theory. The remaining quantitative discrepancies between theory and experiment can be attributed to inaccuracy in experimental hole and Mn densities, and to approximations we made in modeling disorder in these samples.

In addition to the AHE, strong spin-orbit coupling in the semiconductor valence band leads also to anisotropies in the longitudinal transport coefficients. In particular, the in-plane conductivity changes when the magnetization $`𝐌`$ is rotated by applying an external magnetic field stronger than the magneto-crystalline anisotropy field. In Fig. 3 we plot theoretical and experimental AMR coefficients, $`AMR_{op}=[\sigma _{xx}(𝐌\widehat{z})\sigma _{xx}(𝐌\widehat{x})]/\sigma _{xx}(𝐌\widehat{x})`$ and $`AMR_{ip}=[\sigma _{xx}(𝐌\widehat{y})\sigma _{xx}(𝐌\widehat{x})]/\sigma _{xx}(𝐌\widehat{x})`$, for the seven (Ga,Mn)As samples discussed above. Here $`\widehat{z}`$ is the growth direction. The theoretical results were obtained using the same linear response and Born approximation framework as in the AHE case Jungwirth et al. (2002b). Results of the two disordered system models, one assuming As-antisite and the other one Mn-interstitial compensation, are plotted in Fig. 3. As in the AHE case, the theoretical results are able to account semi-quantitatively for the AMR effects in the (Ga,Mn)As DMSs studied, with somewhat better agreement obtained for the model that assumes Mn-interstitial compensation. Note, that the absolute longitudinal conductivities we obtain from these calculations are several times larger than observed values. This likely demonstrates that our simple treatment of disorder effects doesn’t produce accurate values for quasiparticle scattering amplitudes off particular defects. However, the magnetotransport effects discussed above are relatively insensitive to scattering strength, reflecting instead mainly the strong spin-orbit coupling in the valence band of the host semiconductor.

###### Acknowledgements.

The work was supported by the Welch Foundation, DOE under grant DE-FG03-02ER45958, the Grant Agency of the Czech Republic under grant 202/02/0912, EPRSC, and the EU FENIKS.


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# Spectral and Photometric Evolution of Young Stellar Populations: the Impact of Gaseous Emission at Various MetallicitiesData files are provided in the electronic version/at CDS, and at http://www.uni-sw.gwdg.de/∼galev/panders/

## 1 Introduction

In Schulz et al. (2002) we presented spectral evolutionary synthesis models for SSPs of a wide range of metallicities 0.02 $`Z/Z_{}`$ 2.5. Our models are based on isochrones from the Padova group that include the TP-AGB phase and on the spectral model atmosphere libraries from Lejeune et al. (1997, 1998), rectified to yield agreement with observed colors from $`U`$ through $`K`$ of stars with effective temperatures in the range 2 000 K through 50 000 K. Stars with higher temperatures are treated as black body radiators. These models give the time evolution of spectra as well as of luminosities and colors in a large set of filter systems. As they did not include gaseous emission important during the lifetime of massive ionising stars, they cover a range of ages from 140 Myr through 14 Gyr.

SSP model results are useful not only for analyses of star clusters, the genuine SSPs, but are also readily superposed to describe the evolution of composite stellar populations like galaxies with star formation histories extended in time and with various chemical enrichment histories. They can also directly be combined with cosmological structure formation scenarios that include a star formation criterium.

Systems with active ongoing star formation like very young star clusters, actively star-forming or star-bursting galaxies in the local as well as in the high-redshift Universe, protogalaxies and subgalactic fragments in particular, require the inclusion of gaseous emission. This is not only important for the characteristic emission lines in the spectra but gaseous emission, both in terms of lines and continuum, give important contributions to broad band luminosities and colors (cf. Krüger et al. 1995, Zackrisson et al. 2001).

The wealth of HST ACS data currently becoming available – on many very young star cluster systems in particular – prompted us to not only include the gaseous emission in an updated way into our spectral evolutionary synthesis models for SSPs of various metallicities but also to provide versatile tables for the luminosity and color evolution of these SSPs in ACS filter bands.

Results of these models have already been proven very useful in the interpretation of the ACS Early Release Observations of the very young star cluster systems in the Mice and Tadpole galaxies (de Grijs et al. 2002).

## 2 Input Physics

### 2.1 SSP Models

Except for the gaseous emission that was not yet included in our SSP models before, we use the same input physics as presented in detail in Schulz et al. (2002). This includes isochrones from the Padova group containing the TP-AGB phase and model atmosphere spectra from Lejeune et al. (1997, 1998), extending from 90 Å through 160 $`\mu `$m, for five different metallicities $`Z=0.0004,0.004,0.008,0.02=Z{}_{}{}^{}\mathrm{and}0.05`$ or $`[\mathrm{Fe}/\mathrm{H}]=1.7,0.7,0.4,0\mathrm{and}+0.4`$. Inclusion of the TP-AGB phase has been shown to be very important for colors like $`VI`$ and $`VK`$. As we have shown in Schulz et al. (2002), age-dating of star clusters on the basis of their $`VI`$ colors, as often done for young cluster systems in interacting galaxies or merger remnants, can go wrong by a factor 2 (at fixed metallicity and extinction) if the TP-AGB phase is neglected in the models.

We present our results for a Salpeter and a Scalo IMF as in Schulz et al. (2002).

### 2.2 Gaseous Emission

Gaseous emission is primarily related to very hot stars, i.e. to massive stars in early evolutionary phases of an SSP. However, hot white dwarfs (WDs) can also contribute in later stages (but see next subsection). Gaseous emission depends on metallicity in a two-fold way. First of all, stars get brighter and hotter on average in stellar populations at lower metallicity. The lifetimes of low mass stars get shorter, those of high mass stars get longer at lower metallicities as compared to solar. This affects the output rates in terms of hydrogen ionising photons, $`N_{\mathrm{Lyc}}`$, of a stellar population as well as its absorption line spectrum and, hence both the strengths of all gaseous emission lines in a uniform way and the gas continuum emission. Second, the chemical composition and the physical properties of the gas exposed to the same ionising radiation field determine the relative strengths of different emission lines.

The physical properties and the chemical composition of the gas ionised by a bunch of stars of given metallicity are not known a priori. They determine, however, the flux ratios of non-hydrogen element lines relative to $`\mathrm{H}_\beta `$. We therefore chose to assume that the gas has the same solar-scaled abundances as our single burst single metallicity stellar population and to use observationally determined emission line ratios for all non-hydrogen lines. In this respect our approach is similar to that of Pérez-González et al. (2002) who also use observed line ratios for their sample of strong $`\mathrm{H}_\alpha `$ emitting UCM survey galaxies. It differs from those of Charlot & Longhetti (2001), Moy et al. (2001), or Zackrisson et al. (2001), who assume electron densities and temperatures for the gas at low metallicities and couple a photoionisation code to their evolutionary synthesis model.

On the basis of effective temperature and bolometric luminosity (and hence radius and surface gravity) of every star in a given isochrone, its flux of hydrogen ionising photons ($`N_{\mathrm{Lyc}}`$) is calculated from up-to-date non-LTE expanding model atmospheres that take into account line-blanketing as well as stellar winds and recent temperature and gravity calibrations (Schaerer & de Koter 1997, Vacca et al. 1996, Smith et al. 2002). Summing up the $`N_{\mathrm{Lyc}}`$ of all stars present in one isochrone gives the total $`N_{\mathrm{Lyc}}`$ of the stellar population at a given time. Depending on the metallicity a fraction of this flux is absorbed by dust immediately (30% is assumed to be absorbed for metallicities $``$ 0.008, no absorption is applied for lower-metallicity environments, following Mezger 1978, see also Weilbacher et al. 2000). From the remaining $`N_{\mathrm{Lyc}}`$ flux of an isochrone we calculate the gaseous continuum emission and the hydrogen line fluxes as described in Krüger et al. (1995) and Weilbacher et al. (2000) assuming ionisation-recombination equilibrium (Osterbrock case B). The detailed formulae were already presented in Krüger et al. (1995). For instance, the $`N_{\mathrm{Lyc}}`$ is converted into an $`\mathrm{H}_\beta `$ flux using

$`\mathrm{F}(\mathrm{H}_\beta )=4.757\times 10^{13}\mathrm{N}_{\mathrm{Lyc}}`$.

Emission line fluxes for elements other than H are calculated from the line ratios relative to $`\mathrm{H}_\beta `$, given in Table 1.

For low metallicity gas, line ratios for an exhaustive set of strong forbidden and allowed transitions from UV through NIR are obtained from the extensive observational database of Izotov et al. (1994, 1997) and Izotov & Thuan (1998), subdivided into the metallicity bins covered by our SSP model grid, as given in the Z1- and Z2-columns in Table 1, for $`Z=0.0004\mathrm{and}Z=0.004`$ respectively.

Line ratios in reasonably metal-rich gas ($`Z=0.008,Z_{},\mathrm{and}Z=0.05`$) are taken from Stasińska (1984) as they have been shown to be in good agreement with Galactic HII region data (Sivan et al. 1986). No further distinction is made between the 3 metallicities $`Z=0.008,Z_{},\mathrm{and}Z=0.05`$, as galactic HII regions do show this full range of metallicities and their line ratios at fixed metallicity show considerable scatter.

The line ratios, of course, do vary with electron temperature, number density and/or the filling factor of the ionized gas. However, we aim to describe typical environments at the different metallicities. We have investigated the dispersion of line ratios within each of our metallicity bins $`Z1`$, $`Z2`$ and $`Z3Z5`$ and the impact on integrated magnitudes in the broad band filters we consider. We find that, on average, the scatter in the line ratios is $``$ 30% (with few exceptions for weak lines). This scatter translates into a scatter in magnitude of at most 0.2 mag for solar metallicity, and up to 0.4 mag for the lowest metallicity. Compared with an error of 0.4 mag and 1.0 mag, respectively, by not taking gaseous emission into account at all, we consider this an improvement. However, we would like again to emphasize, that our models are meant to improve upon models neglecting the gaseous emission in early evolutionary stages in terms of broad band luminosities and colors. For star clusters etc. that have detailed spectral information to determine all their ionising parameters, photoionisation codes will allow for a more precise individual description of their line strengths and their impact on colors.

In including the gaseous line emission our models go beyond Leitherer et al. ’s starburst99 models which do include the gaseous continuum but no emission lines. Smith et al. (2002) will soon provide an updated version of the starburst99 models that also include emission lines with particular focus on WR star diagnostics. We recall that while starburst99 is based on stellar evolution input physics from the Geneva group, our models use Padova isochrones.

### 2.3 The role of white dwarfs

The inclusion of white dwarfs (WD)s changes the magnitudes of passbands redwards of $`U`$ by up to few times 0.001 mag. UV- and FUV-passbands show changes of generally 0.01 mag. However, even these values are likely to be upper limits – at least in the description of star clusters – since their derivation is based on the assumption of the presence of a sufficiently large amount of interstellar matter (ISM) to be ionized.

In the case of WDs in star clusters, two aspects are of importance: First, WDs only appear after a delay of roughly 500 Myr, when SNe had more than enough time to blow away the interstellar material from a star cluster region. Second, the phase of planetary nebulae (PNe), when the region surrounding the WD is again refilled with gaseous material from the ejected envelopes until the ejected material is dispersed into the ISM, is fairly short in comparison with the time steps available ($``$ 25,000 yrs vs. 4,000,000 yrs). AS a result, the filling factor (and hence the average density) of the ISM during phases when WDs could contribute to the emission line flux is expected to be well below 1, resulting in a negligible contribution of gaseous emission due to WDs to broad band magnitudes. In addition, PNe in globular clusters seems to be surprisingly rare (Jacoby et al. 1997).

In the case of galaxies, two scenarios might occur: Either the galaxy is gas-poor, hence not much matter is available that could be ionized, and the situation is similar to that of star clusters with low or negligible contributions of WDs. Or the galaxy is gas-rich, in which case the emission is probably dominated by star formation anyway, as described with our models presented here.

### 2.4 Filter Systems

In addition to the Standard Johnson $`UBVRIJHKL`$, Thuan & Gunn $`gr`$, Kron & Koo $`U^+J^+F^+N^+`$, Washington $`CMT1T2`$, Strömgren $`uvby`$, HST WFPC2 F160BW . . . F814W filters already included in Schulz et al. (2002), we here additionally include the HST WFPC2 medium band filters F410M, F467M and F547M, the NICMOS filters F110W, F160W, F205W and F222M, and the ACS/WFC broad band filters F435W . . . F850LP.

Calibrations for the ACS filters have been performed according to Gilliland 2002 (priv. comm.).

## 3 Time Evolution of SSP Spectra with Gaseous Emission

The new SSP models presented here extend to younger ages and have a better time resolution as compared to Schulz et al. (2002). Time resolution now is 4 Myr up to an age of 2.35 Gyr, and 20 Myr for larger ages. The youngest age available now is 4 Myr as compared to 140 Myr in Schulz et al. . In Fig. 1 we present the early evolution of the UV – optical parts of SSP spectra of solar and low metallicity, respectively, for comparison. The much stronger emission lines in the low metallicity spectra are clearly seen as well as some differences in line ratios, as e.g. that of \[OII\]3727 relative to the adjacent Balmer lines $`\mathrm{H}_\delta `$ and $`\mathrm{H}_\gamma `$. The time evolution and metallicity dependence of the line strengths will further be discussed in Section 4. Fig. 2 shows spectra of a young low metallicity ($`Z=0.0004`$) SSP over a longer wavelength range.

## 4 Impact of Gaseous Emission on Broad Band Luminosities and Colors

### 4.1 Relative contributions of the gaseous emission – lines and continuum – to broad band fluxes

In Fig. 3, the relative contributions of the gaseous emission to broad band fluxes in the Johnson passbands $`U`$ . . . $`K`$ are shown for some young ages, again for solar and low metallicity. The metallicity dependence visible in the $`B`$-band is due to strong oxygen and neon lines. $`\mathrm{H}_\beta `$, $`\mathrm{H}_\gamma `$ and $`\mathrm{H}_\delta `$ contribute significantly as well. The $`V`$-band contribution is dominated by strong oxygen lines (and to a lesser extent helium, nitrogen and sulphur), the strengths of which are metallicity dependent. The strong contribution in the $`R`$-band is caused by $`\mathrm{H}_\alpha `$, which is located close to the throughput maximum of the Johnson $`R`$ filter. The $`I`$-band is dominated by sulphur lines for high metallicities (predominantly the $`[\mathrm{SIII}]\lambda 9068.60`$ and $`[\mathrm{SIII}]9530.85`$ lines, both being moderately strong and close to the I-band throughput maximum), which are absent in the case of $`Z=0.0004`$. The remaining lines are weak or far from the maximum of the filter response function, resulting in a prominent dip in Figures 3b/4b. Only lines from the Paschen- and Brackett-series with small relative flux contributions are present in the NIR bands $`J`$, $`H`$ and $`K`$. Here, the contribution from the continuum emission becomes important.

To interpret the differences between Scalo and Salpeter IMF, as seen in Fig. 3, two points are of importance: the contributions of the stars to the stellar continuum and the contributions to the ionising photons. The stellar continuum is dominated by stars around 9 $`M_{}`$, more or less independent of IMF and metallicity. However, the stars responsible for the ionising photons span a larger mass range in the low metallicity case as compared to solar metallicity, providing more ionising photons at low metallicity. In combination with the lower overall stellar luminosity for the Scalo IMF in comparison to the Salpeter IMF, this leads to an enhanced relative emission contribution for the low metallicity Scalo IMF, and a reduced contribution for the solar metallicity case, both compared to the respective Salpeter values.

While Fig. 3 shows the overall emission contribution of the gas to broad band fluxes $`U`$ . . . $`K`$, this is decomposed into its line and continuum components in Fig. 4. This decomposition of the relative flux contribution of the gas to the fluxes in various filters shows that – for all metallicities – lines dominate in optical filters while continuum emission comes into play in the NIR bands. A similar result was already reported by Krüger et al. (1995) in the context of evolutionary synthesis models for BCD galaxies. Like the hydrogen lines, the continuum emission is not directly metallicity-dependent, but indirectly via the higher ionising flux of lower metallicity SSPs and the dust absorption rate $`f(Z)`$ for ionising photons.

### 4.2 Time evolution of gaseous emission contributions

As can be seen from Fig. 5, the gaseous emission contribution is much stronger as well as longer-lasting at lower metallicity. In the Padova (as well as in Geneva) isochrones, the most massive stars have longer lifetimes at lower metallicities, as compared with solar. As discussed in Sect. 2.2, the population of massive stars gets hotter and more luminous, on average, at lower metallicities as compared to solar resulting in a higher output rate of ionising photons. In addition, the fraction of ionising photons directly absorbed by dust gets lower. Hence the relative contribution of gaseous emission e.g. to the $`R`$-band (dominated by $`\mathrm{H}_\alpha `$) starts from 35 % at $`Z_{}`$ and from 60 % at $`Z=0.0004`$ and decreases by a factor 3 within 5 and 13 Myr, respectively. At solar metallicity, the overall relative flux contribution of the ionised gas falls below 5 % in all bands at ages $``$ 8 Myr. At our lowest metallicity, $`Z=0.0004`$, it falls below 5 % at 13 Myr ($`I`$-band), 15 Myr ($`U`$, $`K`$), and 18 Myr ($`V`$, $`R`$).

### 4.3 Effects of gaseous emission on the color evolution of SSPs

As seen in Fig. 6 on the example of $`VI`$ the inclusion of gaseous emission significantly affects the color evolution of SSPs at early stages, depending on the metallicity, and the luminosity of a cluster of given mass, as can be seen in Fig. 7. This also, of course, affects the age and mass determinations from observed colors and luminosities.

From an observed $`VI=0.2`$ of a very young cluster, e.g., ages of 4 and 7.5-12 Myr would be derived in case of solar and metallicity $`Z=0.004`$, respectively, if the effects of gaseous emission were not taken into account. Including them appropriately, the same observed color $`VI=0.2`$ would result in ages 4 and 14.5 Myr, for the two metallicities. This shows that ages estimated on the basis of $`VI`$, without taking gaseous emission into account, for low metallicity clusters younger than $``$ 15 Myr are underestimated by up to a factor $``$ 2. Differences decrease with increasing metallicity, and if gas emission is neglected at solar metallicity it has become negligible. In a similar way, masses estimated from the observed cluster $`M_V`$ with model mass-to-light ratios that do not account for gaseous emission contributions can be overestimated by a factor 2 at low metallicity.

Observed colors $`VI`$ in the range \[-0.35,-0.9\] cannot at all be accounted for by models neglecting gaseous emission contributions.

## 5 Discussion

The aim of our models as presented here is to provide the spectral and photometric evolution of SSPs of various metallicities that also allow to describe the earliest stages of evolution when the ionising flux of a star cluster, a stellar (sub-)population etc. is strong enough to cause the surrounding gas to emit line and continuum radiation. Our motivation was that many HST observations of young star cluster systems in interacting and merging galaxies indeed do show such very young clusters with broad band colors that cannot be interpreted without accounting for their gaseous emission. Spectroscopy of some of those bright clusters has explicitly revealed their emission lines, e.g. Schweizer & Seitzer (1998) in NGC 7252, Colina et al. (2002) in NGC 4303, Maoz et al. (2001) in NGC 1512 and NGC 5248, …

We used most recent compilations of stellar output rates in ionising photons. Note that, while finding considerable differences in the output rates of He-ionising photons, the latest and most sophisticated calculations by Smith et al. (2002) confirm the rates from Schaerer & de Koter (1997) that we use for H-ionising photons.

Our focus is on the impact of gaseous emission on the early luminosity and color evolution. For low metallicities ($`Z0.004`$), we chose to use line ratios for the different metallicities of our SSP models as observed in HII regions of the respective metallicities. The line ratios for higher metallicities were taken from the theoretical models presented by Stasińska (1984). Hence, our models should not be used for any analyses of line ratios. For this purpose we recommend the use of models that couple to photoionization codes like those of Charlot & Longhetti (2001) or Moy et al. (2001).

In Schulz et al. (2002) we gave evolutionary and cosmological corrections for our SSP models without gas for convenient use in cosmological structure formation models or any kind of models that build up galaxies with extended star formation (and possibly also chemical enrichment) histories. As the changes caused by the inclusion of gaseous emission are constrained to the earliest evolutionary stages ($`t`$ 15 Myr) their effects on the cosmological and evolutionary corrections are only visible at redshifts extremely close to the redshift of the very onset of star formation. We therefore do not present cosmological and evolutionary corrections here and advise potential users to stay with the tables in Schulz et al. (2002).

Comparison of our galev model using Padova stellar input physics with results from Leitherer et al. ’s (1999) starburst99 code, using Geneva stellar tracks, during the first Gyr of evolution covered by the latter shows fairly good agreement. As an example we show in Fig. 8 the time evolution of $`BV`$. The differences are minor ($`<`$ 0.1 mag), and mainly due to the better time resolution of the starburst99 code. Comparison of colors including longer wavelengths, e.g. $`VI`$ or $`VK`$, show larger deviations that are due to different input physics, especially a different treatment of red supergiants and the omission of the TP-AGB phase in starburst99.

## 6 Structure and Description of Electronic Data-files

Our model results are accessible at CDS and at http://www.uni-sw.gwdg.de/$``$galev/panders/ . The files have the following naming conventions:

* Each directory is labelled ssp\_model\_zx\_y. Here zx (x = 1 . . . 5) indicates the metallicity (z1 $``$ $`Z=0.0004`$, z2 $``$ $`Z=0.004`$, z3 $``$ $`Z=0.008`$, z4 $``$ $`Z=0.02`$, z5 $``$ $`Z=0.05`$), and y the assumed IMF $`\mathrm{\Phi }(m)m^\alpha `$ (’salpeter’ $``$ $`\alpha =2.35`$ for all masses; ’scalo’ $``$ $`\alpha =1.25`$ for $`m1M_{}`$, $`\alpha =2.35`$ for $`1M_{}<m2M_{}`$ and $`\alpha =3.00`$ for $`2M_{}<m`$).
* Each directory contains a file named ’plotsgal.dat’ containing the cluster mass as a function of age, a file named ’galspec.dat’ containing the integrated cluster spectra as a function of age, and a file named ’magnitudes.dat’ containing the integrated magnitudes of a cluster as a function of age in various passbands.
* Further information is included in the README file.

## 7 Conclusions and Outlook

We present an update of the evolutionary spectral synthesis models for SSPs of various metallicities presented in Schulz et al. (2002). Using the same stellar isochrones provided by the Padova group, including the TP-AGB phase important for $`VI`$ and $`VK`$ colors of SSPs in the age range $`10^8`$ . . . $`10^9`$ yr, we add the gaseous emission contributions, both lines and continuum. They are very important not only for the spectral evolution but also for the photometric evolution in terms of broad band colors in early evolutionary stages, as long as ionising stars are alive. We use the best available output rates for H-ionising photons and observationally supported emission line ratios appropriate for the different metallicities. This allows us to extend our SSP models towards younger ages than accessible before. We provide an extensive set of electronic data for the time evolution of UV through NIR spectra of SSPs of metallicities $`Z=0.0004,0.004,0.008,0.02=Z_{},\mathrm{and}0.05`$, for Salpeter and Scalo IMFs, from ages as young as 4 Myr all through 14 Gyr in timesteps of 4 Myr until an age of 2.35 Gyr and of 20 Myr thereafter. We also provide the luminosity and color evolutions in a large number of ground- and space-based filter systems including Johnson, Washington, HST WFPC2, NICMOS and ACS/WFC.

Our results also allow for easy superposition of SSPs of various ages – and possibly metallicities – to describe galaxies with all possible star formation and metal enrichment histories. They also are readily included into dynamical and cosmological galaxy or structure formation scenarios that contain a star formation criterium.

The evolutionary and cosmological corrections we gave in Schulz et al. (2002) are not affected by gaseous emission as it is constrained to stages earlier than 15 Myr, i.e. to redshifts extremely close to the redshift at which star formation sets in.

###### Acknowledgements.

PA is partially supported by DFG grant Fr 916/11-1. We like to thank the anonymous referee for his or her suggestions that helped to improve the presentation of our results.