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# Deformation classes of real ruled manifolds

## Introduction

A real algebraic manifold $`(X,c_X)`$ is a smooth complex algebraic manifold $`X`$ equipped with an antiholomorphic involution $`c_X`$. The real part of $`X`$ is the fixed point set of $`c_X`$. One of the main problems in real algebraic geometry nowadays is to understand the deformation classes (see §2.1 for the definition) of real algebraic manifolds. One can think of this problem as a modern version of a question of Hilbert in his $`16^{th}`$ problem concerning the topology of smooth real quartics in the real projective $`3`$-space. Several works have already been done to solve this problem : the cases of real curves, real rational surfaces, real minimal ruled surfaces and real minimal surfaces of Kodaira dimension $`0`$ are known (see , , , ,  and  for an extension of  to finite group actions on $`K_3`$’s). The purpose of this paper is to extend the result of  to ruled manifolds of higher dimensions. Note that the complex deformation classes of ruled manifolds were studied in .

A ruled manifold is a smooth algebraic manifold equipped with a proper holomorphic submersion on a smooth compact irreducible curve $`B`$, whose fibers are projective spaces. In dimension two, these are geometrically ruled surfaces. The aim of this paper is to prove the following theorem :

###### Theorem
0.1

Two real ruled manifolds are in the same real deformation class if and only if they are in the same complex deformation class and they are diffeomorphic via an equivariant diffeomorphism.

Moreover, all the deformation classes of real ruled manifolds will be described (see §2.2). It is necessary here to fix the complex deformation class of the manifold since as was noticed by E. Brieskorn (see , satz $`3.1`$), there exist complex ruled manifolds which are diffeomorphic to each other but which are not deformation equivalent. However, once the complex deformation class is fixed, the topology of the involution is enough to describe the real deformation classes of the real manifolds, which is the case in all the known examples nowadays.

The paper is organized as follows : in the first section, we give basic facts and preliminary results on ruled manifolds, real structures on these manifolds and a notion of elementary transformations that can be performed on them. The second section is devoted to the statements of the results and the third to their proofs.

## 1 Real ruled manifolds and elementary transformations

### 1.1 Ruled manifolds

A smooth irreducible compact complex manifold $`X`$ of dimension $`n`$ is said to be ruled if there exists a smooth irreducible compact complex curve $`B`$ and a proper holomorphic submersion $`p:XB`$ whose fibers are isomorphic to the projective space $`P^{n1}`$. For example, let $`E`$ be a complex vector bundle of rank $`n`$ over the curve $`B`$ and $`X=P(E)`$ be the associated projective bundle. Then $`X`$ is a ruled manifold. Note that when $`n=2`$, ruled manifolds are geometrically ruled surfaces. For these surfaces, it is well known that the curve $`B`$ is unique, so as the ruling $`p`$ except from $`X=P^1\times P^1`$ (see ). The following lemma extends this result.

###### Lemma
1.1

Let $`X`$ be a ruled manifold of dimension $`n3`$. Then the ruling $`p`$ and the curve $`B`$ are unique.

The curve $`B`$ is called the base of $`X`$.

Proof :

It follows from the fact that the only divisors of $`X`$ isomorphic to $`P^{n1}`$ are the fibers of $`p`$. Indeed, $`p`$ would restrict otherwise to a surjective morphism from this divisor onto $`B`$, and the generic fibers of this morphism would give smooth disjoint complex hypersurfaces of $`P^{n1}`$. Such hypersurfaces do not exist in dimension $`n12`$. $`\mathrm{}`$.

The following proposition is mentioned in , p. $`214`$.

###### Proposition
1.2

Let $`X`$ be a ruled manifold of dimension $`n`$ over $`B`$. Then there exists a complex vector bundle $`E`$ of rank $`n`$ over $`B`$ such that $`X`$ is isomorphic to the projective bundle $`P(E)`$. Moreover, the projective bundle $`P(E^{})`$ is isomorphic to $`P(E)`$ if and only if $`E^{}=EL`$ for $`LPic(B)`$. $`\mathrm{}`$

###### Corollary
1.3

Ruled manifolds are all projective algebraic. $`\mathrm{}`$

###### Remark 1.4

Let $`LPic(B)`$ and $`E`$ be a complex vector bundle of rank $`n`$ over $`B`$. Then $`\mathrm{deg}(EL)=\mathrm{deg}(E)+n\mathrm{deg}(L)`$, where $`\mathrm{deg}(E)`$ stands for the degree of $`E`$.

Let $`X=P(E)`$ be a ruled manifold of dimension $`n`$ over $`B`$. We define the degree of $`X`$ to be $`\mathrm{deg}(E)`$ reduced modulo $`n`$. It will be denoted by $`\mathrm{deg}(X)/n`$. Let $`L`$ be a complex line bundle over $`B`$ and $`L_0`$ be the trivial line bundle. The section $`P(L)`$ (resp. $`P(L_0)`$) of the ruled surface $`P(LL_0)`$ defines a divisor on this surface denoted by $`D_L`$ (resp. $`D_{L_0}`$).

###### Lemma
1.5

1. Let $`p`$ be the ruling $`P(LL_0)B`$ and $`𝒪(D_L)`$, $`𝒪(D_{L_0})`$ denote the invertible sheaves associated to the divisors $`D_L`$ and $`D_{L_0}`$. Then

$$𝒪(D_L)=𝒪(D_{L_0})p^{}(L^{}).$$

2. Let $`F`$ be a complex vector bundle over $`B`$, $`X`$ be the ruled manifold $`P(LL_0F)`$ and $`N`$ be the normal bundle of $`P(LL_0)`$ in $`X`$. Then :

$$N=p^{}(F)𝒪(D_L).$$

Proof :

Let $`D=_{i=1}^kn_ip_i`$ be a divisor associated to $`L`$, where $`p_iB`$ and $`n_i`$ for $`i\{1,\mathrm{},k\}`$. Denote by $`U_0=B\{p_i|\mathrm{\hspace{0.17em}1}ik\}`$ and for every $`i\{1,\mathrm{},k\}`$, choose some holomorphic chart $`(U_{p_i},\varphi _{p_i})`$ such that $`U_{p_i}U_{p_j}=\mathrm{}`$ if $`ij`$ and $`\varphi _{p_i}:U_{p_i}\mathrm{\Delta }=\{z||z|<1\}`$ is a biholomorphism satisfying $`\varphi _{p_i}(p_i)=0`$. For every $`i\{1,\mathrm{},k\}`$, denote by $`\psi _i`$ the morphism :

$$\begin{array}{ccc}\hfill (U_{p_i}p_i)\times P^1& & U_0\times P^1\hfill \\ \hfill (x,(z_1:z_0))& & (x,(\varphi _{p_i}(x)^{n_i}z_1:z_0)).\hfill \end{array}$$

The morphisms $`\psi _i`$ allow to glue together the trivializations $`U_{p_i}\times P^1`$, $`i\{0,\mathrm{},k\}`$, in order to define the ruled surface $`P(LL_0)`$.

Let $`f:p^1(U_0)`$, $`(x,(z_1:1))z_1`$. Then $`f`$ extends to a meromorphic function on $`P(LL_0)`$ such that $`f^1(0)=D_L+_{n_i0}n_ip^1(p_i)`$ and $`f^1(\mathrm{})=D_{L_0}+_{n_i0}n_ip^1(p_i)`$. Hence $`div(f)=D_LD_{L_0}+p^1(D)`$, so that $`𝒪(D_L)=𝒪(D_{L_0})p^{}(L^{})`$, which proves the first part of the lemma.

To prove the second part of the lemma, take a refinement of the covering $`(U_i)`$ such that the bundle $`F`$ is trivial over any element of this covering. The manifold $`X`$ is then defined as the gluing of charts $`𝒰_i^0`$ and $`𝒰_i^1`$ isomorphic to $`U_i\times ^{n1}`$ with gluing maps : $`𝒰_i^0𝒰_i^1𝒰_i^1𝒰_i^0`$, $`(x,z_1,f)(x,\frac{1}{z_1},\frac{1}{z_1}f)`$ where $`f`$ is a local trivialization of $`F`$ over $`U_i`$, and $`𝒰_i^0𝒰_j^0𝒰_j^0𝒰_i^0`$, $`(x,z_0,f)(x,l_{ij}^1z_0,l_{ij}^1g_{ij}(f))`$ where $`l_{ij}`$ and $`g_{ij}`$ are the changes of trivialization of $`L`$ and $`F`$ respectively. We deduce that the normal bundle $`N`$ of $`P(LL_0)`$ in $`P(LL_0F)`$ is defined as the gluing of the trivializations : $`\left(𝒰_i^0𝒰_i^1P(LL_0)\right)\times ^{n2}\left(𝒰_i^1𝒰_i^0P(LL_0)\right)\times ^{n2}`$, $`((x,z_1),\nu )((x,\frac{1}{z_1}),\frac{1}{z_1}\nu )`$ and $`\left(𝒰_i^0𝒰_j^0P(LL_0)\right)\times ^{n2}\left(𝒰_j^0𝒰_i^0P(LL_0)\right)\times ^{n2}`$, $`((x,z_0),\nu )((x,l_{ij}^1z_0),l_{ij}^1g_{ij}(\nu ))`$.

Hence $`N=p^{}(F)𝒪(D_{L_0})p^{}(L^{})=p^{}(F)𝒪(D_L)`$. $`\mathrm{}`$

###### Proposition
1.6

Let $`B`$ be a smooth irreducible compact complex curve and $`L`$ be a complex line bundle over $`B`$ such that $`LL^{}`$ if $`L`$ is non-trivial. Let $`E=(LL_0)^k`$ and $`X=P(E)`$. Then every automorphism of $`X`$ fibered over the identity of $`B`$ which leaves the $`k`$ ruled surfaces $`P(LL_0)`$ invariant lifts to an automorphism of $`E`$ fibered over the identity of $`B`$.

Proof :

Let $`\varphi `$ be such an automorphism of $`X`$. From proposition $`2.1`$ of , we know that the restriction of $`\varphi `$ to the $`j^{th}`$ ruled surface $`P(LL_0)`$ lifts to an automorphism $`\psi _j`$ of the rank two vector bundle $`LL_0`$. Let $`\mathrm{\Psi }`$ be the automorphism $`(\psi _1,\mathrm{},\psi _k)`$ of $`E`$. This automorphism induces an automorphism $`\psi `$ of $`X`$ such that $`\psi ^1\varphi `$ is the identity once restricted to each ruled surface $`P(LL_0)`$. But such an automorphism lifts to a diagonal automorphism of $`E`$ of the form $`(\lambda _1Id,\mathrm{},\lambda _kId)`$, where $`\lambda _j^{}`$. Hence the result. $`\mathrm{}`$

### 1.2 Real structures on ruled manifolds

A real structure on the ruled manifold $`X`$ is an antiholomorphic involution $`c_X:XX`$. The fixed point set of $`c_X`$ is called the real part of $`X`$ and is denoted by $`X`$.

###### Lemma
1.7

Let $`p:XB`$ be a ruled manifold of dimension $`n>2`$ and $`c_X`$ be a real structure on $`X`$. Then there exists a real structure $`c_B`$ on $`B`$ such that $`pc_X=c_Bp`$. Moreover, this real structure $`c_B`$ is unique.

The real structure $`c_X`$ will be said to be fibered over $`c_B`$.

Proof :

From the proof of lemma 1.1, we know that the only divisors of $`X`$ isomorphic to $`P^{n1}`$ are the fibers of $`p`$. So $`c_X`$ preserves these fibers and hence induces a diffeomorphism $`c_B`$ on the base. This diffeomorphism is antiholomorphic and is an involution. $`\mathrm{}`$

We deduce from this lemma that the connected components of $`X`$ are $`P^{n1}`$-bundles over the circle. For odd $`n`$, such a bundle is unique whereas for even $`n`$ there are two such bundles, one which is orientable and the other one which is not. We define the topological type of a real ruled manifold $`(X,c_X)`$ of even complex dimension $`n`$ to be the quintuple of integers $`(t,k,g,\mu ,ϵ)`$ where $`t`$ is the number of orientable components of $`X`$, $`k`$ is the number of non-orientable components of $`X`$ and $`(g,\mu ,ϵ)`$ is the topological type of the real curve $`(B,c_B)`$, that is the genus of $`B`$, the number of connected components of $`B`$ and the dividing or non-dividing type of $`(B,c_B)`$. This definition extends the one given in  for $`n=2`$.

Let us present now an important example of real ruled manifold. Let $`(B,c_B)`$ be a real algebraic curve and $`L`$ be a complex line bundle over $`B`$ such that $`c_B^{}(L)=L^{}`$ where $`c_B^{}`$ is the real structure on $`Pic(B)`$ induced by $`c_B`$ (see , §$`1.1`$). Let $`D`$ be a divisor associated to $`L`$ and $`f_D`$ be a meromorphic function on $`B`$ such that $`div(f_D)=D+c_B(D)`$ and $`f_D=\overline{f_Dc_B}`$ (it always exists, see , lemma 1.3). Note that the sign of $`f_D`$ is constant on every component of $`B`$. The following proposition is analogous to proposition 1.6 of  :

###### Proposition
1.8

Associated to every such couple $`(D,f_D)`$ on $`(B,c_B)`$, there exists a real structure $`c_{f_D}`$ on $`X=P((LL_0)^{\frac{n}{2}})`$ fibered over $`c_B`$, whose real part is orientable and maps surjectively onto the components of $`B`$ on which $`f_D`$ is non-negative.

###### Remark 1.9

When there will not be any ambiguity on the choice of the couple $`(D,f_D)`$, we will denote by $`c_X^+`$ (resp. $`c_X^{}`$) the real structure $`c_{f_D}`$ (resp. $`c_{f_D}`$).

Proof :

Denote $`D=_{i=1}^kn_ip_i`$ where $`p_iB`$ and $`n_i`$ for $`i\{1,\mathrm{},k\}`$. We can assume that the set $`\{p_i|\mathrm{\hspace{0.17em}1}ik\}`$ is invariant under $`c_B`$. Let $`U_0=B\{p_i|\mathrm{\hspace{0.17em}1}ik\}`$ and $`(U_{p_i},\varphi _{p_i})`$, $`i\{1,\mathrm{},k\}`$, be an atlas compatible with the divisor $`D`$ and the group $`<c_B>`$ (see , page 3).

The morphisms :

$$\begin{array}{ccc}\hfill (U_{p_i}p_i)\times P^{n1}& & U_0\times P^{n1}\hfill \\ \hfill (x,(z_1^j:z_0^j))& & (x,(\varphi _{p_i}(x)^{n_i}z_1^j:z_0^j))\hfill \end{array}$$

($`i\{1,\mathrm{},k\}`$, $`j\{1,\mathrm{},\frac{n}{2}\}`$) allow to glue together the trivializations $`U_{p_i}\times P^{n1}`$, $`i\{0,\mathrm{},k\}`$, in order to define the ruled manifold $`X`$.

Now, the maps

$$\begin{array}{ccc}\hfill U_0\times P^{n1}& & U_0\times P^{n1}\hfill \\ \hfill (x,(z_1^j:z_0^j))& & (c_B(x),(\overline{z_0^j}:f_Dc_B(x)\overline{z_1^j})),\hfill \end{array}$$

and for every $`i\{1,\mathrm{},k\}`$,

$$\begin{array}{ccc}\hfill U_{p_i}\times P^{n1}& & U_{c_B(p_i)}\times P^{n1}\hfill \\ \hfill (x,(z_1^j:z_0^j))& & (c_B(x),(\overline{z_0^j}:f_Dc_B(x)\overline{\varphi _{p_i}(x)}^{n_{c_B(p_i)}n_{p_i}}\overline{z_1^j}),\hfill \end{array}$$

where $`j\{1,\mathrm{},\frac{n}{2}\}`$, glue together to form an antiholomorphic map $`c_{f_D}`$ on $`X`$. This map lifts $`c_B`$ and is an involution.

Now, the fixed point set of $`c_{f_D}`$ in $`U_0\times P^{n1}`$ is :

$$\{(x,(\overline{\theta _j}:\sqrt{f_D(x)}\theta _j))U_0\times P^{n1}|xB,f_D(x)0\text{ and }\theta _j\text{ for }j\{1,\mathrm{},\frac{n}{2}\}\}.$$

The connected components of this fixed point set are orientable $`P^{n1}`$-bundle over a circle or an interval depending on whether the corresponding component of $`B`$ is completely included in $`U_0`$ or not. Similarly, the fixed point set of $`c_{f_D}`$ in $`U_{p_i}\times P^{n1}`$ is :

$$\{(x,(\overline{\theta _j^i}:\sqrt{f_D(x)\times x_i^{2n_i}}\theta _j^i))U_{p_i}\times P^{n1}|xB,f_D(x)0\text{ and }\theta _j^i,j\{1,\mathrm{},\frac{n}{2}\}\},$$

where $`x_i=\varphi _{p_i}(x)`$. This fixed point set is a cylinder if $`p_iB`$ and is empty otherwise.

The gluing maps between these cylinders are given by $`\theta _j=\sqrt{1}\theta _j^i`$ if $`x_i=\varphi _{p_i}(x)<0`$ and by $`\theta _j=\theta _j^i`$ if $`x_i=\varphi _{p_i}(x)>0`$. Since these two maps preserve the orientation of $`P^{n1}`$, the results of these gluings are always orientable. Thus, the real part of $`(X,c_{f_D})`$ consists only of orientable components and these components stand exactly over the components of $`B`$ on which $`f_D0`$. $`\mathrm{}`$

###### Proposition
1.10

Let $`(B,c_B)`$ be a real algebraic curve with non-empty real part and $`LPic(B)`$ be such that $`c_B^{}(L)=L^{}`$ and $`LL^{}`$ if $`L`$ is non-trivial. Let $`n`$ be an even integer, $`X=P((LL_0)^{\frac{n}{2}})`$ and $`c_X`$ be a real structure on $`X`$ which leaves the $`\frac{n}{2}`$ ruled surfaces $`P(LL_0)X`$ invariant. Then $`c_X`$ is conjugated to one of the two real structures $`c_X^\pm `$.

Proof :

If $`L`$ is trivial, then $`X=B\times P^{n1}`$ and $`c_X^\pm `$ are the two real structures $`c_B\times conj`$ and $`c_B\times c_0`$, $`c_0`$ being the real structure of $`P^{n1}`$ with empty real part. Now the automorphisms of $`X`$ fibered over the identity of $`B`$ are just the automorphisms of $`P^{n1}`$, so every real structure of $`X`$ fibered over $`c_B`$ is the product of $`c_B`$ with a real structure of $`P^{n1}`$. Hence the result follows from the well known fact that the standard complex conjugation $`conj`$ and $`c_0`$ are the only real structures of $`P^{n1}`$ up to conjugation. Let us now assume that $`L`$ is non-trivial. The real structure $`c_X`$ can be written $`c_X^+\varphi `$, where $`\varphi `$ is an automorphism of $`X`$ fibered over the identity of $`B`$ and which leaves the $`\frac{n}{2}`$ ruled surfaces $`P(LL_0)X`$ invariant. From proposition 1.6, there exists an automorphism $`\mathrm{\Phi }`$ of the vector bundle $`(LL_0)^{\frac{n}{2}}`$ which lifts $`\varphi `$. Since $`L`$ is non-trivial, $`H^0(B;L)=H^0(B;L^{})=0`$, so that $`\mathrm{\Phi }`$ is diagonal of the form $`(a_1,b_1,a_2,b_2,\mathrm{},a_{\frac{n}{2}},b_{\frac{n}{2}})`$ with $`a_j,b_j^{}`$. Since $`c_X^2`$ is the identity, $`a_1\overline{b_1}=a_2\overline{b_2}=\mathrm{}=a_{\frac{n}{2}}\overline{b_{\frac{n}{2}}}^{}`$. Thus, dividing $`\mathrm{\Phi }`$ by a real constant if necessary, we can assume that $`a_1\overline{b_1}=a_2\overline{b_2}=\mathrm{}=a_{\frac{n}{2}}\overline{b_{\frac{n}{2}}}=\pm 1`$. Moreover, we can assume that all the coefficients $`a_j`$ are equal to one, replacing $`c_X`$ by its conjugated with the automorphism $`(a_1^1\mathrm{,1},a_2^1\mathrm{,1},\mathrm{},a_{\frac{n}{2}}^1\mathrm{,1})`$ otherwise. Then, either all the coefficients $`b_j`$ are equal to $`1`$, or they are all equal to $`1`$. In the first case, $`c_X`$ is conjugated to $`c_X^+`$, in the second case, it is conjugated to $`c_X^{}`$. $`\mathrm{}`$

### 1.3 Elementary transformations

Let $`X`$ be a ruled manifold of dimension $`n`$ over the curve $`B`$. Let $`xB`$, $`X_x=p^1(x)`$ and $`H_x,K_xX_x`$ be two disjoint projective subspaces of $`X_x`$ of dimensions $`k`$ and $`n2k`$ respectively, where $`0kn2`$. The blowing up $`Y`$ of $`X`$ along $`H_x`$ creates an exceptional divisor $`E_x`$ isomorphic to $`P(N_xL_0)`$ where $`N_x`$ is the normal bundle of $`H_x`$ in $`X_x`$. The strict transform $`\stackrel{~}{X}_x`$ of $`X_x`$ in $`Y`$ intersects $`E_x`$ in the submanifold $`P(N_x)P(N_xL_0)`$. Moreover, $`\stackrel{~}{X}_x`$ is a ruled manifold over $`K_x`$. Indeed, for every $`yK_x`$ consider the projective subspace of dimension $`k+1`$ of $`X_x`$ containing $`H_x`$ and passing through $`y`$. These projective subspaces form a singular pencil parametrized by $`K_x`$. This pencil lifts on $`Y`$ to a ruled manifold of base $`K_x`$ and fiber $`P^k`$, which coincide with $`\stackrel{~}{X}_x`$.

The composition of the blowing up of $`X`$ along $`H_x`$ and the blowing down of $`\stackrel{~}{X}_x`$ on $`K_x`$ is called the elementary transformation of $`X`$ along $`H_x`$. For example if $`n=2`$, then $`H_x`$ and $`K_x`$ are points in $`X_x`$ and the elementary transformation of $`X`$ along $`H_x`$ is the blowing up of the point $`H_x`$ composed with the blowing down of the strict transform of the fiber $`X_x`$. This notion of elementary transformation thus extends the one used in  for ruled surfaces.

###### Lemma
1.11

Let $`\mathrm{\Delta }=\{z||z|<1\}`$, the elementary transformation of $`\mathrm{\Delta }\times P(^{k+1}\times ^{nk1})`$ along $`\{0\}\times P(^{k+1})`$ is given by the following quadratic transform :

$$\begin{array}{ccc}\hfill \mathrm{\Delta }\times P(^{k+1}\times ^{nk1})& & \mathrm{\Delta }\times P(^{k+1}\times ^{nk1})\hfill \\ \hfill (x,(y_0:\mathrm{}:y_k:z_0:\mathrm{}:z_{n2k}))& & (x,(t_0:\mathrm{}:t_k:w_0:\mathrm{}:w_{n2k}))\hfill \end{array}$$

with $`t_i=y_i`$ for $`0ik`$ and $`xw_j=z_j`$ for $`0jnk2`$.

Proof :

It suffices to notice that the blowing up of $`\mathrm{\Delta }\times P(^{k+1}\times ^{nk1})`$ along $`\{0\}\times P(^{k+1})`$ embeds into $`\mathrm{\Delta }\times P^{n1}\times P^{n1}`$. The image of this embedding is :

$$Y=\{(x,(y_0:\mathrm{}:y_k:z_0:\mathrm{}:z_{n2k}),(t_0:\mathrm{}:t_k:w_0:\mathrm{}:w_{n2k}))\mathrm{\Delta }\times P^{n1}\times P^{n1}|$$

$$(y_0:\mathrm{}:y_k)=(t_0:\mathrm{}:t_k)\text{ or }y_i=t_i=0\text{ and }(xy_i:z_0:\mathrm{}:z_{n2k})=(t_i:w_0:\mathrm{}:w_{n2k})$$

$$\text{ for }0ik.\}$$

(The equations $`(xy_i:z_0:\mathrm{}:z_{n2k})=(t_i:w_0:\mathrm{}:w_{n2k})`$ have to be ignored when they are not well defined.) The projection of $`Y`$ onto the first factor $`\mathrm{\Delta }\times P_{(y,z)}^{n1}`$ (resp. onto the second factor $`\mathrm{\Delta }\times P_{(t,w)}^{n1}`$) is the blowing up of $`\mathrm{\Delta }\times P(^{k+1}\times ^{nk1})`$ along $`\{0\}\times P(^{k+1})`$ (resp. along $`\{0\}\times P(^{nk1})`$), hence the result. $`\mathrm{}`$

###### Corollary
1.12

Let $`F,G`$ be complex vector bundles over a curve $`B`$. Let $`xB`$ and $`X=P(FG)`$. The ruled manifold obtained from $`X`$ after an elementary transformation along $`P(F_x)`$ is the manifold $`P(F(x)G)`$ where $`F(x)=F𝒪(x)`$. $`\mathrm{}`$

The next corollary will be fondamental in what follows. It allows to break into pieces or to glue together some elementary transformations.

###### Corollary
1.13

Let $`F,G,H`$ be complex vector bundles over a curve $`B`$, $`xB`$ and $`X=P(FGH)`$. The ruled manifold obtained from $`X`$ after an elementary transformation along $`P(F_x)`$ followed by an elementary transformation along $`P(G_x)`$ is the ruled manifold obtained from $`X`$ after an elementary transformation along $`P(F_xG_x)`$. $`\mathrm{}`$

## 2 Statements of the results

### 2.1 Deformation over $``$ of ruled manifolds

Let $`\mathrm{\Delta }`$ be the Poincaré’s disk equipped with the complex conjugation $`conj`$. Remember that a deformation of complex manifolds of dimension $`n`$ is a proper holomorphic submersion $`\pi :Y\mathrm{\Delta }`$ where $`Y`$ is an analytic manifold of dimension $`n+1`$. If $`Y`$ is real and $`\pi `$ satisfies $`\pi c_Y=conj\pi `$, then the deformation is said to be real. When $`t]\mathrm{1,1}[\mathrm{\Delta }`$, the fibers $`Y_t=\pi ^1(t)`$ are invariant under $`c_Y`$ and are then compact real analytic manifolds. Two complex (resp. real) analytic manifolds $`X^{}`$ and $`X^{\prime \prime }`$ are said to be in the same deformation class or deformation equivalent if there exists a chain $`X^{}=X_0,\mathrm{},X_k=X^{\prime \prime }`$ of compact complex (resp. real) analytic manifolds such that for every $`i\{0,\mathrm{},k1\}`$, the manifolds $`X_i`$ and $`X_{i+1}`$ are isomorphic to some complex (resp. real) fibers of a complex (resp. real) deformation.

The following result can be found in .

###### Theorem
2.1

Two complex ruled manifolds are in the same deformation class if and only if they have same degree and bases of same genus. $`\mathrm{}`$

(see §1.1 for the definition of the degree.)

Remember that ruled manifolds with opposite degrees and bases of same genus are diffeormorphic even though they are not deformation equivalent, see .

### 2.2 Deformation over $``$ of ruled manifolds

###### Theorem
2.2

Two real ruled manifolds of odd dimension are in the same deformation class if and only if they have same degree and bases of same topological type. Similarly, two real ruled manifolds of even dimension are in the same deformation class if and only if they have same degree, same topological type and homeomorphic quotients.

###### Remark 2.3

For real ruled manifolds of even dimension, as soon as the real part of the base is non-empty, the condition on the quotients can be removed. However, when the real part of the base is empty, there are two different deformation classes of real ruled manifolds with same degree and same topological type, see proposition 3.7. Note that when $`n=2`$, this theorem 2.2 has already been obtained in , theorem $`3.7`$.

Note that when $`n`$ is odd, the ruled manifolds $`P(L(x+c_B(x))^dL_0^{nd})`$, where $`d\{0,\mathrm{},n1\}`$, $`xBB`$ and $`(B,c_B)`$ is of any topological type, are all real. Hence there do exist odd-dimensional real ruled manifolds of any degree and any topological type (realized by a real algebraic curve). This together with theorem 2.2 completely describes the deformation classes of real ruled manifolds of odd dimension. A quintuple $`(t,k,g,\mu ,ϵ)`$ of integers is called allowable if $`t,k0`$, $`t+k\mu `$ and $`(g,\mu ,ϵ)`$ is the topological type of a real curve. Obviously, the topological types of real ruled manifolds (see §1.2 for the definition) of even dimensions are allowable.

###### Proposition
2.4

Any allowable quintuple $`(t,k,g,\mu ,ϵ)`$ is realized as the topological type of a real ruled manifold of any even dimension and any degree $`d`$ satisfying $`d=kmod(2)`$. There do not exist such real ruled manifold of degree $`dkmod(2)`$.

Note that in dimension two, this proposition has already been obtained in , proposition 3.4. Together with theorem 2.2 and remark 2.3, it completely describes the deformation classes of real ruled manifolds of even dimension.

Proof :

Let $`(t,k,g,\mu ,ϵ)`$ be an allowable quintuple. There exists a smooth compact connected real algebraic curve $`(B,c_B)`$ whose topological type is $`(g,\mu ,ϵ)`$ (see  for instance). If $`\mu =0`$, the ruled manifold $`(B\times P^{n1},c_B\times conj)`$, where $`conj`$ is the standard real structure on $`P^{n1}`$, is of topological type $`(\mathrm{0,0},g\mathrm{,0,0})`$. If $`\mu 0`$, choose a partition $`𝒫`$ of $`B`$ in two elements such that one of them contains $`t+k`$ components of $`B`$ and the other one $`\mu tk`$. It follows from , lemma $`3.2`$, that there exists a line bundle $`L`$ over $`B`$ such that $`c_B^{}(L)=L^{}`$ and the partition associated to $`L`$ is $`𝒫`$ (see , §$`3.1`$ for a definition). Thus, it follows from proposition 1.8 that there exists a real structure $`c_X^+`$ on the ruled manifold $`X=P((LL_0)^{\frac{n}{2}})`$ such that the real part of $`X`$ consists of $`t+k`$ orientable $`P^{n1}`$ bundles. Choose $`k`$ of these orientable bundles and make an elementary transformation on a point of each of them. The result is a real ruled manifold of degree $`k`$ and topological type $`(t,k,g,\mu ,ϵ)`$. To get any other ruled manifold of degree congruent to $`k`$ modulo $`2`$ and same topological type, it suffices to perform the suitable number of elementary transformations along complex conjugated points. The fact that the condition $`d=kmod(2)`$ is necessary will follow from the proof of theorem 2.2. Indeed, we will see that every real ruled manifold is deformation equivalent to a manifold obtained from a degree $`0`$ real ruled manifold with orientable real part after a finite number of elementary transformations performed on real or complex conjugated points. Thus the degree modulo two of $`X`$ is encoded by the topology of the real part, which finishes the proof. $`\mathrm{}`$

## 3 Proof of theorem 2.2

Since the case of real ruled manifolds having bases with empty real parts requires special attention, the proof of theorem 2.2 in this case is postponed to §3.2.

### 3.1 When the base has non-empty real part

The next two propositions will allow us to reduce the study of real ruled manifolds to the study of some particular ones. Note that even if this paragraph is devoted to real ruled manifolds having bases with non-empty real parts, the assumption $`B\mathrm{}`$ won’t be made in proposition 3.1 and lemma 3.3.

###### Proposition
3.1

Let $`(X,c_X)`$ be a real ruled manifold over $`(B,c_B)`$. Then there exists complex line bundles $`L_1,\mathrm{},L_k`$ over $`B`$, complex vector bundles $`F_1,\mathrm{},F_l`$ of rank two over $`B`$ and a real structure $`c_Y`$ on $`Y=P(L_1\mathrm{}L_kF_1\mathrm{}F_l)`$ such that :

\- The sections $`P(L_i)`$, $`i\{1,\mathrm{},k\}`$, and the ruled surfaces $`P(F_j)`$, $`j\{1,\mathrm{},l\}`$, of $`(Y,c_Y)`$ are all real.

\- The real ruled surfaces $`P(F_j)Y`$ , $`j\{1,\mathrm{},l\}`$, do not have any real holomorphic section.

\- The real ruled manifolds $`(X,c_X)`$ and $`(Y,c_Y)`$ are in the same deformation class.

The proof of this proposition is similar to the proof of proposition 3.8 in .

Proof :

Let $`E`$ be a complex vector bundle of rank $`n`$ over $`B`$ such that $`X=P(E)`$ (it exists from proposition 1.2). If $`X`$ has a real holomorphic section, denote by $`M`$ the sub-line bundle of $`E`$ associated to such a section. Otherwise, let $`S`$ be a holomorphic section of $`X`$. Then $`c_X(S)S`$, so these two sections intersect in a finite number of points over the points $`x_1,\mathrm{},x_k`$ of $`B`$ say. Let $`RX`$ be the ruled surface generated by $`S`$ and $`c_X(S)`$, that is the closure of the surface whose fiber over $`xB\{x_1,\mathrm{},x_k\}`$ is the line joining $`S(x)`$ to $`c_X(S)(x)`$ in $`X_x`$. By construction, $`R`$ is a real ruled surface of $`X`$. Denote in this case by $`M`$ the rank two sub-bundle of $`E`$ associated to $`R`$. Now, let $`N`$ be the quotient bundle $`E/M`$ so that $`E`$ is an extension of $`N`$ by $`M`$. Let $`\mu H^1(B,om(N,M))`$ be the extension class of this bundle and let $`\mu ^1`$ be a $`1`$-cocycle with coefficients in the sheaf $`om(N,M)`$, defined on a covering $`𝒰=(U_i)_{iI}`$ of $`B`$, realizing the cohomology class $`\mu H^1(B,om(N,M))`$. The bundle $`E`$ is then obtained as the gluing of the bundles $`(MN)|_{U_i}`$ by the gluing maps :

$`(MN)|_{U_iU_j}`$ $``$ $`(MN)|_{U_jU_i}`$
$`(m,n)`$ $``$ $`\left[\begin{array}{cc}1& \mu _{ij}\\ 0& 1\end{array}\right]\left(\begin{array}{c}m\\ n\end{array}\right)=(m+\mu _{ij}n,n).`$
We can assume that for every open set $`U_i`$ of $`𝒰`$, there exists $`\overline{ı}I`$ such that $`U_{\overline{ı}}=c_B(U_i)`$ (add these open sets to $`𝒰`$ if not). We can also assume that there exists $`JI`$ such that the open sets $`(U_i)_{iJ}`$ cover $`B`$ and such that the real structure $`c_X:X|_{U_i}X|_{U_{\overline{ı}}}`$ lifts to an antiholomorphic map $`E|_{U_i}E|_{U_{\overline{ı}}}`$ (take a refinement of $`𝒰`$ if not). Since by hypothesis the section or ruled surface of $`X`$ associated to $`M`$ is real, these antiholomorphic maps are of the form :

$`(MN)|_{U_i}`$ $``$ $`(MN)|_{U_{\overline{ı}}}`$
$`(x,(m,n))`$ $``$ $`(c_B(x),\left[\begin{array}{cc}a_i& b_i\\ 0& d_i\end{array}\right]\left(\begin{array}{c}m\\ n\end{array}\right)),`$
where $`a_i`$ (resp. $`b_i`$, resp. $`d_i`$) is an antiholomorphic morphism $`M|_{U_i}M|_{U_{\overline{ı}}}`$ (resp. $`N|_{U_i}M|_{U_{\overline{ı}}}`$, resp. $`N|_{U_i}N|_{U_{\overline{ı}}}`$) which lifts $`c_B`$. Since $`c_X`$ is an involution, we have for every $`iJ`$, $`a_{\overline{ı}}a_i=d_{\overline{ı}}d_i𝒪_B^{}|_{U_i}`$ and $`a_{\overline{ı}}b_i+b_{\overline{ı}}d_i=0om(N,M)|_{U_i}`$. Moreover, for $`i,jJ`$ such that $`U_iU_j\mathrm{}`$, the gluing conditions are the following : $`a_i=\lambda a_j`$, $`d_i=\lambda d_j`$ and $`b_i+\mu _{\overline{ı}\overline{ȷ}}d_i=\lambda (a_j\mu _{ij}+b_j)`$ where $`\lambda 𝒪_B^{}|_{U_iU_j}`$.

Now let $`Y`$ be the complex analytic manifold of dimension $`n+1`$ defined as the gluing of the charts $`\times P(MN)|_{U_i}`$, $`iJ`$, with change of charts given by the maps :

$`\times P(MN)|_{U_i}`$ $``$ $`\times P(MN)|_{U_j}`$
$`(t,x,(m:n))`$ $``$ $`(t,x,\left[\begin{array}{cc}1& t\mu _{ij}\\ 0& 1\end{array}\right]\left(\begin{array}{c}m\\ n\end{array}\right))=(t,x,(m+t\mu _{ij}n:n)).`$
The projection on the first coordinate defines a holomorphic submersion $`\pi :Y`$. The surface $`\pi ^1(0)`$ is isomorphic to the ruled manifold $`P(MN)`$, whereas, as soon as $`t^{}`$, the fiber $`Y_t=\pi ^1(t)`$ is isomorphic to the ruled manifold $`X=P(E)`$. Such an isomorphism $`\psi _t:Y_tX`$ is given in the charts $`P(MN)|_{U_i}`$, $`iJ`$, by :

$`P(MN)|_{U_i}`$ $``$ $`P(MN)|_{U_i}`$
$`(x,(m:n))`$ $``$ $`(x,(m:tn)).`$
Denote by $`c_Y`$ the real structure on $`Y`$ defined on charts $`\times P(MN)|_{U_i}`$ by :

$`\times P(MN)|_{U_i}`$ $``$ $`\times P(MN)|_{U_{\overline{ı}}}`$
$`(t,x,(m:n))`$ $``$ $`(\overline{t},c_B(x),\left[\begin{array}{cc}a_i& \overline{t}b_i\\ 0& d_i\end{array}\right]\left(\begin{array}{c}m\\ n\end{array}\right)).`$
This real structure satisfies $`\pi c_Y=conj\pi `$ where $`conj`$ is the complex conjugation on $``$. Moreover, when $`t^{}`$, $`\psi _t`$ gives an isomorphism between the real ruled manifolds $`(Y_t,c_Y|_{Y_t})`$ and $`(X,c_X)`$. Hence, the restriction of $`\pi :Y`$ over $`\mathrm{\Delta }`$ defines a real deformation and the real ruled manifold $`P(MN)`$ is thus deformation equivalent to $`(X,c_X)`$. By iteration of this process to $`P(N)P(MN)`$, we obtain the desired result. $`\mathrm{}`$

From now on, we will assume that $`X=P(L_1\mathrm{}L_kF_1\mathrm{}F_l)`$ and that $`c_X`$ satisfies the conditions of proposition 3.1. It follows from proposition 3.1 that this can be done without changing the deformation class of $`(X,c_X)`$.

###### Proposition
3.2

Let $`X=P(L_1\mathrm{}L_kF_1\mathrm{}F_l)`$ be a ruled manifold over $`B`$ and $`c_X`$ be a real structure satisfying the conditions of proposition 3.1. Assume that the real part of $`B`$ is non-empty, then :

1. If $`k1`$, without changing the deformation class of $`(X,c_X)`$, we can assume that $`l=0`$.

2. If $`k=0`$, without changing the deformation class of $`(X,c_X)`$, we can assume that the real ruled surfaces $`P(F_j)X`$, $`j\{1,\mathrm{},l\}`$, are obtained from a same real decomposable ruled surface after at most one elementary transformation on each component of its real part if $`X\mathrm{}`$ and after at most one couple of elementary transformations on complex conjugated points if $`X=\mathrm{}`$.

###### Lemma
3.3

Let $`LJac(B)`$ be a complex line bundle belonging to the same component of the real part of $`(Jac(B),c_B^{})`$ as the trivial line bundle. Then there exists a divisor $`D`$ associated to $`L`$ such that $`c_B(D)=D`$. The same conclusion holds for any line bundle in the real part of $`(Jac(B),c_B^{})`$ when $`B`$ is empty.

(In this lemma, the Jacobian $`Jac(B)`$ is identified with the degree zero part of the Picard manifold of $`B`$.)

Proof :

Let $`L`$ be a line bundle belonging to the same component of the real part of $`(Jac(B),c_B^{})`$ as the trivial line bundle. Then there exists a line bundle $`\stackrel{~}{L}`$ in this component such that $`\stackrel{~}{L}\stackrel{~}{L}=L`$. Let $`\stackrel{~}{D}`$ be a divisor associated to $`\stackrel{~}{L}`$. Then $`c_B(\stackrel{~}{D})`$ is also associated to $`\stackrel{~}{L}`$ and $`D=\stackrel{~}{D}c_B(\stackrel{~}{D})`$ is suitable. Now assume that $`B`$ is empty. Remember that if the genus of $`B`$ is even (resp. is odd), then the real part of $`(Jac(B),c_B^{})`$ is connected (resp. has two connected components), see , proposition $`3.3`$. Assume thus that the genus of $`B`$ is odd and pick up a point $`x`$ in $`B`$. The line bundle $`L(xc_B(x))`$ associated to the divisor $`xc_B(x)`$ does not belong to the same component of the real part of $`(Jac(B),c_B^{})`$ as $`L_0`$. Indeed the quotients of the real ruled surfaces $`(P(L(xc_B(x))L_0),c_X^\pm )`$ by the real structures $`c_X^\pm `$ are not spin whereas they are for any real ruled surfaces $`(P(LL_0),c_X^\pm )`$ for $`L`$ in the same component as $`L_0`$, see proposition 3.7. Making the tensor product with the line bundle $`L(xc_B(x))`$ if necessary, we get the result for any line bundle of the real part of $`(Jac(B),c_B^{})`$ in this case. $`\mathrm{}`$

Proof of proposition 3.2 :

To begin with, let us prove the first part of proposition 3.2. For this, we suppose that the integer $`l`$ given by proposition 3.1 is non-zero. Since $`k1`$, $`X`$ admits some real sections and so the projection $`XB`$ is surjective. It follows that every real fiber of $`X`$ has a non-empty real part and thus is isomorphic to $`P^{n1}`$ equipped with the standard complex conjugation. Let $`j\{1,\mathrm{},l\}`$, the ruled surface $`P(F_j)`$ in $`X`$ is real and has no holomorphic section. Every real fiber of this surface is a real line in a real fiber of $`X`$, it thus has real points and so the real part of $`P(F_j)`$ has as many components as $`B`$. It follows then from , proposition 3.10, that $`P(F_j)`$ can be obtained from a decomposable ruled surface after a finite number of elementary transformations on real or complex conjugated points. This decomposable ruled surface is of the form $`(P(ML_0),c_X^\pm )`$, where $`MPic(B)`$ and $`c_B^{}(M)=M^{}`$ (see ). Since the real part of $`P(F_j)`$ has as many components as $`B`$, it follows from , lemma 3.2, that $`M`$ belongs to the same component of the real part of $`(Jac(B),c_B^{})`$ as $`L_0`$. From lemma 3.3, we deduce that there exists a divisor $`D`$ associated to $`M`$ such that $`c_B(D)=D`$. So there exists some points $`x_iB`$ and integers $`n_i`$ such that $`D=_in_i(x_ic_B(x_i))`$. From corollary 1.12 then follows that $`(P(ML_0),c_X^\pm )`$ is obtained from $`(B\times P^1,c_B\times conj)`$ after a finite number of elementary transformations in complex conjugated points. It suffices indeed to make elementary transformations on the section $`P(M)`$ over the points $`c_B(x_i)`$ and on the section $`P(L_0)`$ over the points $`x_i`$ to pass from $`(P(ML_0),c_X^\pm )`$ to $`(B\times P^1,c_B\times conj)`$, since $`c_B\times conj`$ is the only real structure on $`B\times P^1`$ fibered over $`c_B`$ and with non-empty real part. In conclusion, the real ruled manifold $`(X,c_X)`$ is obtained from a manifold $`(Y=P(L_1\mathrm{}L_kNNF_2\mathrm{}F_l),c_Y)`$ where $`c_Y`$ satisfies the conditions of proposition 3.1, after a finite number of elementary transformations on real and complex conjugated points. Using a real deformation, these points can be brought to the real section $`P(L_1)Y`$. This gives a new real ruled manifold in the same deformation class as $`(X,c_X)`$ but with a lower $`l`$. After an iteration of this process, we get the result.

Now, let us prove the second part of proposition 3.2. As in the first part, we can prove that every real ruled surface $`P(F_j)`$ is obtained from a decomposable real ruled surface $`(P(M_jL_0),c_X^\pm )`$ after a finite number of elementary transformations on real or complex conjugated points. Moreover, the line bundle $`M_j`$ satisfies $`c_B^{}(M_j)=M_j^{}`$. Also, using the same trick as in the begining, we deduce that the real parts of these surfaces project exactly on the same subset of $`B`$. Thus, using the terminology of , we obtain that the partition of $`B`$ in two elements associated to the bundles $`M_j`$ are the same. From , lemma 3.2, it follows that the bundles $`M_j`$ are in the same component of the real part of $`(Jac(B),c_B^{})`$ and thus are of the form $`L\stackrel{~}{M}_j`$ with $`L,\stackrel{~}{M}_jJac(B)`$, $`c_B^{}(L)=L^{}`$ and $`\stackrel{~}{M}_j`$ in the same real component of $`(Jac(B),c_B^{})`$ as $`L_0`$. Hence we deduce as before that every surface $`P(F_j)`$ is obtained from a same decomposable real ruled surface $`(P(LL_0),c_X^\pm )`$ after a finite number of elementary transformations on real or complex conjugated points. Now if $`X`$ is non-empty, from corollary 1.12 every couple of complex conjugated points can be deformed into a double real point and then into two real points. Moreover, every couple of real points lying in a same real component of $`P(LL_0)`$ can be removed, making the elementary transformation at the first point and bringing the second on the image of the contracted fiber. This gives the result if $`X`$ is non-empty, and otherwise the result is deduced from the fact that every pair of elementary transformations done on couples of complex conjugated points of $`P(LL_0)`$ can be similarly removed. $`\mathrm{}`$

###### Remark 3.4

From this proof follows that the common decomposable real ruled surface can be chosen of the form $`(P(LL_0),c_X^\pm )`$ with $`LL^{}`$ if $`L`$ is non-trivial.

We can now prove theorem 2.2 when the bases of the manifolds have non-empty real parts (the case of empty real part is postponed to next subparagraph). We separate the cases of odd and even dimensions.

Proof of theorem 2.2 in odd dimension:

Let $`(X,c_X)`$ be a real ruled manifold of odd dimension $`n`$ and base $`(B,c_B)`$ with non-empty real part. Since the integer $`k`$ given by proposition 3.1 has the same parity as $`n`$, it is non-zero. From proposition 3.2, we can thus assume that $`k=n`$ and $`X=P(L_1\mathrm{}L_n)`$, every section $`P(L_i)`$ being real. We can assume that $`L_1`$ is trivial, making the tensor product by $`L_1^{}`$ otherwise. For every $`i\{2,\mathrm{},n\}`$, the ruled surface $`X_i=P(L_1L_i)`$ is real. The normal bundle of $`P(L_1)`$ in $`X_i`$ is real and isomorphic to $`L_i`$. There thus exists a divisor $`D_i`$ on $`B`$ such that $`c_B(D_i)=D_i`$ and $`L_i=L(D_i)`$. Hence, from corollary 1.12, the real ruled manifold $`(X,c_X)`$ is obtained from $`(B\times P^{n1},c_B\times conj)`$ after a finite number of elementary transformations on real or complex conjugated points (remember that $`c_B\times conj`$ is the only real structure on $`B\times P^{n1}`$ fibered over $`c_B`$, since $`n`$ is odd). We can assume that on every component of $`B\times P^{n1}`$, the number of such points is even. Indeed, we can add $`n`$ to this number otherwise, making an elementary transformation on every section $`P(L_i)`$ over a same point of $`B`$, which does not affect the isomorphism class of $`X`$ from corollary 1.13 and proposition 1.2. So from corollary 1.12 we can assume that all these points are complex conjugated, deforming every couple of real points on a same component to a double real point and then to two complex conjugated points. Finally, from corollary 1.13, the number of elementary transformations done on complex conjugated points can be reduced modulo $`2n`$ to an even number in between zero and $`2n2`$. Indeed, $`n`$ couple of elementary transformations done on complex conjugated points can be removed bringing these points to the $`n`$ sections $`P(L_i)`$ over a same pair of complex conjugated points of $`B`$. Note that the ruled manifold obtained from $`B\times P^{n1}`$ after $`2d`$ elementary transformations has degree $`2d`$, so when $`d`$ ranges from $`0`$ to $`n1`$, this gives ruled manifolds non deformation equivalent to each other.

The proof of theorem 2.2 is now clear. Let $`(X_1,c_{X_1})`$ and $`(X_2,c_{X_2})`$ be two real ruled manifolds of odd dimension $`n`$ with same degree $`d/n`$ and bases $`(B_1,c_{B_1})`$ and $`(B_2,c_{B_2})`$ of same topological type. We know that $`(X_1,c_{X_1})`$ (resp. $`(X_2,c_{X_2})`$) is in the same deformation class as the manifold obtained from $`(B_1\times P^{n1},c_{B_1}\times conj)`$ (resp. $`(B_2\times P^{n1},c_{B_2}\times conj)`$) after $`d`$ elementary transformations done on complex conjugated points. Since $`(B_1,c_{B_1})`$ and $`(B_2,c_{B_2})`$ have same topological type, from  follows that they are deformation equivalent and there exists a path $`(B_t,c_{B_t})`$ joining these curves. The path $`(X_t,c_{X_t})`$, where $`(X_t,c_{X_t})`$ is obtained from $`(B_t\times P^{n1},c_{B_t}\times conj)`$ after making $`d`$ elementary transformations on complex conjugated points, gives a real deformation in between $`(X_1,c_{X_1})`$ and $`(X_2,c_{X_2})`$. $`\mathrm{}`$

Proof of theorem 2.2 in even dimension :

Let $`(X,c_X)`$ be a real ruled manifold of even dimension $`n`$ and base $`(B,c_B)`$ with non-empty real part. Without changing the deformation class of $`(X,c_X)`$, we can assume that $`X=P(L_1\mathrm{}L_kF_1\mathrm{}F_l)`$ and that $`c_X`$ satisfies the conditions of proposition 3.1. From proposition 3.2, either $`k`$ or $`l`$ vanishes.

First case : $`l=0`$. In this case, we proceed as in the proof of theorem 2.2 in odd dimension. It follows that the manifold $`(X,c_X)`$ is obtained from $`(B\times P^{n1},c_B\times conj)`$ after a finite number of elementary transformations done on real or complex conjugated points. As in the proof of proposition 3.2, the number of elementary transformations can be reduced to zero or one on every component of $`B\times P^{n1}`$. As in the proof of theorem 2.2 in odd dimension, the number of elementary transformations done on complex conjugated points can be reduced modulo $`2n`$ to an even number in between $`0`$ and $`2n2`$ and even in between $`0`$ and $`n2`$ since $`B\mathrm{}`$ and so complex conjugated points can be brought to a same real fiber of $`X`$ and reduced modulo $`n`$. Let $`(X_1,c_{X_1})`$ and $`(X_2,c_{X_2})`$ be two real ruled manifolds of even dimension $`n`$ with same degree $`d/n`$ and same topological type. Then the number of components of $`B_1\times P^{n1}`$ (resp. $`B_2\times P^{n1}`$) on which is done one elementary transformation is given by the number of non-orientable component of $`X_1`$ (resp. $`X_2`$), so it is the same for $`X_1`$ and $`X_2`$. Since $`(B_1,c_{B_1})`$ and $`(B_2,c_{B_2})`$ have same topological type, from  follows that there exists a path $`(B_t,c_{B_t})`$ joining these curves. Moreover, this path can be chosen so that the component of $`B_1`$ over which are the non-orientable components of $`X_1`$ are mapped to the components of $`B_2`$ over which are the non-orientable components of $`X_2`$. This follows from the presentation in  of a real algebraic curve as the gluing of a Riemann surface with boundary with its conjugate, the gluing maps being either identity or antipodal. Hence, we can assume that $`(X_1,c_{X_1})`$ and $`(X_2,c_{X_2})`$ are obtained from a same real ruled manifold $`(Y,c_Y)`$ after making an even number of elementary transformations on complex conjugated points, these numbers being less than $`n1`$. Since by hypothesis these manifolds have same degree, these numbers are the same for $`(X_1,c_{X_1})`$ and $`(X_2,c_{X_2})`$ and these two manifolds are deformation equivalent.

Second case : $`k=0`$. Then, from proposition 3.2, without changing the deformation class of $`(X,c_X)`$ and making a finite number of elementary transformations on real points if necessary, we can assume that there exists $`LPic(B)`$ such that $`c_B^{}(L)=L^{}`$ and for $`1j\frac{1}{2}n`$, $`P(F_j)=P(LL_0)`$. Denote by $`M_j`$ the line bundle such that $`F_j=(M_jL)M_j`$. We can assume that $`M_1`$ is trivial and we denote by $`c_1`$ the real structure on $`P(F_1)`$ induced by $`c_X`$. The real structure $`c_X`$ induces a real structure on the normal bundle $`N_j`$ of $`P(F_1)`$ in $`P(F_1F_j)`$. Thus $`c_1^{}(N_j)=N_j`$. But from lemma 1.5, we know that

$$N_j=p^{}(F_j)𝒪(D_L)=p^{}((M_jL)M_j)𝒪(D_L)=(𝒪(D_L)𝒪(D_{L_0}))p^{}(M_j).$$

So $`c_1^{}(N_j)=N_j`$ implies that $`c_B^{}(M_j)=M_j`$. Since $`B\mathrm{}`$, this implies that there exists a divisor $`D_j`$ on $`B`$ associated to $`M_j`$ such that $`c_B(D_j)=D_j`$. We then deduce from corollary 1.12 and proposition 1.10 that $`(X,c_X)`$ is obtained from $`(Y=P((LL_0)^{\frac{n}{2}}),c_Y^\pm )`$ after a finite number of elementary transformations on real or complex conjugated points (we can indeed assume that $`LL^{}`$ if $`L`$ is non-trivial, see remark 3.4). As in the first case, the number of elementary transformations done on real points can be reduced to $`0`$ or $`1`$ for each component of $`Y`$ and on complex conjugated points, they can be reduced modulo $`n`$ to an even number in between $`0`$ and $`n2`$. We conclude exactly as in the first case. $`\mathrm{}`$

### 3.2 When the base has empty real part

The aim of this paragraph is to prove theorem 2.2 assuming the bases of the manifolds have empty real parts. This is the only remaining case to consider, after §3.1.

###### Lemma
3.5

Let $`(X=P(L_0LL),c_X)`$ be a real ruled manifold having a base $`(B,c_B)`$ with empty real part. Assume that the real structure $`c_X`$ fixes the section $`P(L_0)X`$ and exchanges the two sections $`P(L)X`$. Then $`X`$ is obtained from $`(B\times P^3,c_B\times conj)`$ after a finite number of elementary transformations done on real or complex conjugated points.

Proof :

Denote by $`D_L`$ the divisor $`P(L)P(LL)`$, where $`P(L)`$ is one of the two sections of $`P(LL)`$, and by $`c_1`$ the real structure of $`P(LL)`$ induced by $`c_X`$. The normal bundle of $`P(LL)`$ in $`X`$ is real and isomorphic to $`p^{}(L^{})𝒪(D_L)`$ from lemma 1.5. Thus, $`c_1^{}(p^{}(L^{})𝒪(D_L))=p^{}(L^{})𝒪(D_L)`$. Now $`c_1^{}(p^{}(L^{})𝒪(D_L))=p^{}(c_B^{}(L^{}))𝒪(D_L)`$, so that $`c_B^{}(L)=L`$. Let $`D`$ be a divisor associated to $`L`$. Then $`c_B(D)`$ is also associated to $`L`$ and one can write $`(X=P(L_0L(D)L(c_B(D)))`$. Making elementary transformations on $`P(L_0)`$ over the points of $`D+c_B(D)`$, on $`P(L(D))`$ over the points of $`c_B(D)`$ and on $`P(L(c_B(D))`$ over the points of $`D`$, we obtain the real ruled manifold $`(B\times P^3,c_B\times conj)`$. Hence the result. $`\mathrm{}`$

###### Proposition
3.6

Let $`X=P(L_1\mathrm{}L_kF_1\mathrm{}F_l)`$ be a ruled manifold over $`B`$ and $`c_X`$ be a real structure satisfying the conditions of proposition 3.1. Assume that the real part of $`B`$ is empty, then :

1. If $`k1`$, without changing the deformation class of $`(X,c_X)`$, we can assume that $`l=0`$.

2. If $`k=0`$, without changing the deformation class of $`(X,c_X)`$, we can assume that the real ruled surfaces $`P(F_j)X`$, $`j\{1,\mathrm{},l\}`$, are obtained from the trivial ruled surface after at most one couple of elementary transformations done on complex conjugated points.

Proof :

Thanks to lemma 3.3, we can proceed as in the proof of proposition 3.2 to get that all the real ruled surfaces $`P(F_j)`$ are obtained from the trivial ruled surface after some elementary transformations done on complex conjugated points. If $`k1`$, all the elementary transformations can be brought to the section $`P(L_1)`$ without changing the real deformation class of $`X`$. If $`k=0`$, every two such couples can be cancelled, making the first two elementary transformations and bringing the two remaining ones on the images of the contracted fibers. This already proves the second part of proposition 3.6. Now if $`k,l1`$, we can assume that $`L_1`$ is the trivial line bundle $`L_0`$. From what has just be done, we know that $`F_j=M_jM_j`$ for some line bundle $`M_j`$ over $`B`$. From lemma 3.5, we deduce that the real ruled surfaces $`P(F_j)=P(M_jM_j)`$ have a real section, which contradicts the hypothesis (see proposition 3.1). $`\mathrm{}`$

###### Proposition
3.7

Let $`n2`$ be an even integer and $`(B,c_B)`$ be a real compact irreducible algebraic curve with empty real part. Let $`c_0`$ be the real structure with empty real part on $`P^{n1}`$.

1) If $`g(B)`$ is odd, then the real ruled manifolds $`(B\times P^{n1},c_B\times conj)`$ and $`(B\times P^{n1},c_B\times c_0)`$ are deformation equivalent.

2)Let $`(X,c_X)`$ be the real ruled manifold obtained from $`(B\times P^{n1},c_B\times conj)`$ after a couple of elementary transformations done along two projective subspaces of dimension $`\frac{1}{2}n1`$ belonging to two complex conjugated fibers. Then the quotients $`X/c_X`$ and $`B\times P^{n1}/c_B\times conj`$ are not homeomorphic to each other.

###### Corollary
3.8

Let $`n2`$ be an even integer and $`(B,c_B)`$ be a real compact irreducible algebraic curve with empty real part and even genus. Then the quotients $`B\times P^{n1}/c_B\times conj`$ and $`B\times P^{n1}/c_B\times c_0`$ are not homeomorphic to each other.

Proof :

From proposition 3.7, we know that the real ruled manifold $`(X,c_X)`$ obtained from $`(B\times P^{n1},c_B\times conj)`$ after a couple of elementary transformations done along two projective subspaces of dimension $`\frac{1}{2}n1`$ of two complex conjugated fibers has a quotient non homeomorphic to $`B\times P^{n1}/c_B\times conj`$. Let us write $`B\times P^{n1}=P(L_0^{\frac{n}{2}}L_0^{\frac{n}{2}})`$, where the two sub-ruled manifolds $`P(L_0^{\frac{n}{2}})`$ are exchanged by $`c_B\times conj`$. We can perform the elementary transformations along these subspaces over two complex conjugated points $`x`$ and $`c_B(x)`$ of $`B`$. From corollary 1.12 we then deduce that $`X=P((L(xc_B(x))L_0)^{\frac{n}{2}})`$ and from proposition 1.10, we deduce that $`c_X`$ is one of the two real structures $`c_X^\pm `$. Now since the genus of $`B`$ is even, the real part of $`(Jac(B),c_B^{})`$ is connected and hence $`(X,c_X)`$ deforms onto $`B\times P^{n1}`$ equipped with a real structure having a quotient homeomorphic to $`X/c_X`$. From proposition 3.7 it cannot be $`c_B\times conj`$, hence the result. $`\mathrm{}`$

Proof of proposition 3.7 :

The proof of the first part of this proposition is analogous to the one of proposition $`2.8`$ of , so we will give only a sketch of it. Without changing the deformation class of the manifolds, we can assume that the base $`(B,c_B)`$ is the curve constructed in corollary $`2.8`$ of . Let $`L`$ be the line bundle given by this corollary, it satisfies $`c_B^{}(L)=L=L^{}`$. Moreover, there exist a divisor $`D`$ associated to $`L`$, an automorphism $`\phi `$ of $`B`$, a meromorphic function $`f_D`$ on $`B`$ such that $`\overline{fc_B}=f`$, $`div(f)=D+c_B(D)`$ and $`f\phi =f`$, as well as a meromorphic function $`g`$ on $`B`$ such that $`div(g)=\phi (D)D`$ and $`g(\overline{gc_B})=1`$ (see ). We define, as in the proof of proposition $`2.6`$ of , an automorphism $`\mathrm{\Phi }`$ of $`P((LL_0)^{\frac{n}{2}})`$ defined over the open set $`U_0=BD`$, by :

$$\begin{array}{ccc}\hfill U_0\times P^{n1}& & U_0\times P^{n1}\hfill \\ \hfill (x,(z_1^j:z_0^j))& & (\phi (x),(g\phi (x)z_1^j:z_0^j)),\hfill \end{array}$$

where $`j\{1,\mathrm{},\frac{n}{2}\}`$. This automorphism conjugates the two real structures $`c_X^+`$ and $`c_X^{}`$ on $`X`$. Now if $`L`$ is in the same component of the real part of $`(Jac(B),c_B^{})`$ as the trivial line bundle, the real ruled manifolds $`(B\times P^{n1},c_B\times conj)`$ and $`(B\times P^{n1},c_B\times c_0)`$ are in the same deformation class as $`(P((LL_0)^{\frac{n}{2}}),c_X^\pm )`$ and we are done. Otherwise, we perform an elementary transformation along the subspace $`P(L^{\frac{n}{2}})P((LL_0)^{\frac{n}{2}})`$ over a point $`x`$ of $`B`$, and an elementary transformation along the subspace $`c_X^+(P(L^{\frac{n}{2}}))=c_X^{}(P(L^{\frac{n}{2}}))`$ over the point $`c_B(x)`$. The ruled manifold obtained is of the form $`P((ML_0)^{\frac{n}{2}})`$ with $`M`$ in the same component of the real part of $`(Jac(B),c_B^{})`$ as $`L_0`$. The real structures $`c_X^\pm `$ lift to the real structures $`c_Y^\pm `$, and the automorphism $`\mathrm{\Phi }`$ lifts to an automorphism of $`Y`$ which conjugates them (see lemma $`3.14`$ of ). Hence we conclude as before.

Now let us prove the second part of the proposition. We will prove that there is no $`/2`$-equivariant diffeomorphism in between $`(B\times P^{n1},c_B\times conj)`$ and $`(X,c_X)`$. Let $`H`$ be a real hyperplane of $`(P^{n1},conj)`$ and $`s=B\times H`$. Then $`s`$ is a real divisor of $`(B\times P^{n1},c_B\times conj)`$ and $`[s]^n=0H_0(B\times P^{n1};)`$. If $`s^{}`$ is any other real $`(2n2)`$-cycle of $`(B\times P^{n1},c_B\times conj)`$, then $`[s^{}]=[s]+2k[f]`$ where $`[f]`$ is the homology class of a fiber. Hence $`[s^{}]^n=[s]^n+2kn[f][s]^{n1}=\pm 2kn=0mod(2n)`$. Now, without changing the diffeomorphism class of $`X/c_X`$, we can assume that the blown up projective subspaces of dimension $`\frac{1}{2}n1`$ are real once projected onto the second factor $`(P^{n1},conj)`$, so that $`X=P(L(x+c_B(x))^{\frac{n}{2}}L_0^{\frac{n}{2}})`$ and $`c_X`$ is the standard real structure on this manifold. Denote by $`s_X`$ the real divisor on $`X`$ associated to the dual of the tautological line bundle $`𝒪(1)p^{}(L(x+c_B(x))^{\frac{n}{2}}L_0^{\frac{n}{2}})`$. From , p. $`215`$, we see that $`[s_X]^n=\mathrm{deg}(L(x+c_B(x))^{\frac{n}{2}}L_0^{\frac{n}{2}})=n0mod(2n)`$, hence the result. $`\mathrm{}`$

Proof of theorem 2.2 when the base has empty real part :

Let $`(X,c_X)`$ be a real ruled manifold of dimension $`n`$ and base $`(B,c_B)`$ with empty real part. If $`n`$ is odd, from propositions 3.1 and 3.6, we know that without changing the deformation class of $`(X,c_X)`$, we can assume that $`X=P(L_1\mathrm{}L_n)`$, all the sections $`P(L_j)`$ being real. We can also assume that $`L_1`$ is the trivial line bundle. Then, for $`2jn`$, the normal bundle of $`P(L_0)`$ in $`P(L_0L_j)`$ is real and isomorphic to $`L_j`$. Thus there exists a real divisor $`D_j`$ associated to $`L_j`$ and from corollary 1.12, $`(X,c_X)`$ is obtained from $`(B\times P^{n1},c_B\times conj)`$ after a finite number of elementary transformations done on complex conjugated points. Note that since $`n`$ is odd, $`c_B\times conj`$ is the only real structure on $`B\times P^{n1}`$ fibered over $`c_B`$. Now from corollary 1.12, without changing the deformation class of $`(X,c_X)`$, $`n`$ couples of elementary transformations done on complex conjugated points can be removed, bringing these points on the $`n`$ sections over a same couple $`(x,c_B(x))`$ of $`B\times B`$. Hence we can assume that $`(X,c_X)`$ is obtained from $`(B\times P^{n1},c_B\times conj)`$ after an even number of elementary transformations in between $`0`$ and $`2n2`$. Since $`n`$ is odd, this number is prescribed by the degree of $`X`$, and since there is only one deformation class of smooth real irreducible compact algebraic curve with empty real part (see ), the result is proved in odd dimension.

Now if $`n`$ is even and the integer $`k`$ given by proposition 3.6 is non-zero, the same proof shows that without changing the deformation class of $`(X,c_X)`$, we can assume that it is obtained from $`B\times P^{n1}`$ equipped with one of its real structures after an even number of elementary transformations done on complex conjugated points, in between $`0`$ and $`2n2`$. In particular, the degree of $`X`$ is even. If $`g(B)`$ is even, then from corollary 3.8, the two real structures on $`B\times P^{n1}`$ have non-diffeomorphic quotients, and from proposition 3.7, one passes from the deformation class of one of these real structures to the deformation class of the other one making $`n`$ elementary transformations on complex conjugated points. Thus we can assume that the number of elementary transformations necessary to obtain $`(X,c_X)`$ from $`B\times P^{n1}`$ with one of its real structures is even in between $`0`$ and $`n2`$. This number is then prescribed by the degree of $`X`$, and the real structure on $`B\times P^{n1}`$ by the topology of the quotient $`X/c_X`$. If $`g(B)`$ is odd, then from proposition 3.7, the two real structures on $`B\times P^{n1}`$ are in the same deformation class, hence the number modulo $`n`$ of elementary transformations necessary to obtain $`(X,c_X)`$ from $`B\times P^{n1}`$ is prescribed by the degree of $`X`$, and then the total number by the topology of the quotient $`X/c_X`$. We can then conclude as before.

It thus only remains to consider the case when $`n`$ is even, but the integer $`k`$ given by proposition 3.6 vanishes. From proposition 3.6, we can assume that $`(X,c_X)`$ is obtained from a real ruled manifold $`P(F_1\mathrm{}F_l)`$ after some elementary transformations done on complex conjugated points. Moreover, all the ruled surfaces $`P(F_j)`$ are real, and every bundle $`F_j`$ is of the form $`M_jM_j`$ for some $`M_jPic(B)`$. We can then assume that $`M_1`$ is trivial and since the normal bundle of $`P(F_1)`$ in $`P(F_1F_j)`$ is real, we deduce from lemma 1.5 that $`c_B^{}(M_j)=M_j`$, as in the proof of lemma 3.5. Let $`D_j`$ be a divisor associated to $`M_j`$. Then $`c_B(D_j)`$ is also associated to $`M_j`$ and we can write $`P(F_1\mathrm{}F_l)=P(L_0L_0L(D_2)L(c_B(D_2))\mathrm{}L(D_l)L(c_B(D_l)))`$. Making elementary transformations on $`P(L_0L_0)`$ over the points of $`D_2+c_B(D_2)+\mathrm{}+D_l+c_B(D_l)`$, on $`P(L(D_j))`$ over the points of $`c_B(D_j)`$ and on $`P(L(c_B(D_j))`$ over the points of $`D_j`$ (with appropriate multiplicities), we obtain the real ruled manifold $`B\times P^{n1}`$ with one of its real structures. Hence once more, $`(X,c_X)`$ is in the same deformation class as a manifold obtained from $`B\times P^{n1}`$ with one of its real structures after a finite number of elementary transformations done on complex conjugated points and we conclude as before. $`\mathrm{}`$

Ecole Normale Supérieure de Lyon
Unité de Mathématiques pures et appliquées
$`46`$, allée d’Italie
$`69364`$, Lyon Cédex $`07`$
(FRANCE)
e-mail : jwelschi@umpa.ens-lyon.fr


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# Particle tunneling through a polarizable insulator

## I A Single Oscillator

The electron starts in lead A from an initial state $`|0`$ with energy $`E_0`$. This state is coupled to the intermediate electron state $`|1`$ with energy $`E_1E_0`$ by the tunneling matrix element $`V_{01}`$. The intermediate state is also coupled by a matrix element $`V_{1\alpha }/\sqrt{M}`$ to $`M`$ final states $`|\alpha `$ with $`\alpha 2`$ in lead B. For sufficiently small tunneling matrix elements the transition probability $`P_{0,\mathrm{f}}`$ for the electron tunneling from $`|0`$ through $`|1`$ to a final state $`|\alpha `$ can be obtained by simple second-order time-dependent perturbation theory LandauLifshitz  as

$$P_{0,\mathrm{f}}=\frac{2\pi }{\mathrm{}}\frac{1}{M}\underset{\alpha }{}\left|\frac{V_{1\alpha }V_{01}}{E_1E_0}\right|^2\delta (E_0E_i)=\frac{2\pi V_{1\alpha }^2V_{01}^2}{b\mathrm{}ϵ^2}$$
(1)
with $`ϵ=E_1E_0V_{01},V_{1\alpha }`$. For the summation over all final electron states we assumed a uniform density of states of the $`M`$ states within a band of bandwidth $`b`$ in lead B.

An interaction $`H_I`$ between the intermediate state and the excitations of a molecule can be mimicked by coupling the state $`|1`$ to a single harmonic oscillator: $`H_I=\gamma |11|\widehat{x}`$ where $`\gamma `$ is a coupling constant and $`\widehat{x}`$ is the displacement coordinate of the oscillator. The quantum mechanical oscillator states when the electron is in one of the leads are denoted as $`|\varphi _i`$, where $`i`$ is the excitation number, whereas $`|\psi _i`$ is the oscillator state with $`i`$ excitations when the electron is in the intermediate state. The total state of the problem can be expressed by the states $`|0,\varphi _i`$, $`|1,\psi _i`$ and $`|2,\varphi _i`$ with energy $`E_{\nu =0,1,\alpha }+i\mathrm{}\omega `$ (the zero-point energy is absorbed in the $`E_\nu `$).

We consider only initial states without excitations. The probability $`P_{00,\mathrm{f}n}`$ for tunneling from state $`|0`$ with zero excitations to a final state with $`n`$ excitations in the oscillator is modified from Eq. (1) as

$$P_{00,\mathrm{f}n}=P_{0,\mathrm{f}}\left|\underset{i}{}\frac{ϵ}{ϵ+i\mathrm{}\omega }\varphi _n|\psi _i\psi _i|\varphi _0\right|^2,$$
(2)
where we sum over all possible numbers $`i`$ of virtual excitations in the oscillator in the intermediate state.

The oscillator states $`\psi _i(x)=\varphi _i(xx_0)`$ are shifted by

$$x_0=\frac{\gamma }{m\omega ^2}$$
(3)
since an electron in the intermediate state shifts the potential minimum position of the oscillator. With the zero point fluctuation

$$a_0=\sqrt{\frac{\mathrm{}}{m\omega }}$$
(4)
of the harmonic oscillator we obtain for the overlaps

$`\varphi _n|\psi _i=\mathrm{exp}({\displaystyle \frac{x_0^2}{4a_0^2}})`$ (5)
$`{\displaystyle \underset{j=\{\begin{array}{cc}0& i>n\\ ni& i<n\end{array}}{\overset{n}{}}}{\displaystyle \frac{(1)^j\sqrt{\frac{i!n!}{2^{in+2j}}}}{j!(in+j)!(nj)!}}\left({\displaystyle \frac{x_0}{a_0}}\right)^{in+2j}.`$ (8)
Assuming that the oscillator is in the ground state before and after tunneling the expressions simplify substantially and we obtain for the tunneling probability

$$P_{00,\mathrm{f0}}=P_{0,\mathrm{f}}\left|\underset{i}{}\frac{1}{i!}W^i\frac{ϵ}{ϵ+i\mathrm{}\omega }\right|^2\mathrm{exp}\left(2W\right),$$
(9)
defining

$$W=\frac{1}{2}\left(\frac{x_0}{a_0}\right)^2.$$
(10)
The sum runs over the number $`i`$ of virtual excitations in the intermediate state. The contributions peak for $`iW`$ virtual excitations. In the weak-coupling limit, $`W1`$, tunneling without virtual excitations, $`i=0`$, dominates and the tunneling is influenced by a Debye-Waller type term $`\mathrm{exp}(2W)`$. For strong coupling, $`W1`$, the contribution to the sum peaks at $`iW`$ and noting $`_iW^i/i!e^W`$ we obtain

$$P_{00,\mathrm{f0}}P_{0,\mathrm{f}}\left|\frac{ϵ}{ϵ+W\mathrm{}\omega }\right|^2=\frac{2\pi }{\mathrm{}b}\frac{V_{1\alpha }^2V_{01}^2}{(ϵ+W\mathrm{}\omega )^2}$$
(11)
which numerically turns out to be very precise when $`W1`$. The tunneling electron leaves the oscillator unmoved but its potential minimum position is shifted putting the oscillator in an excited state with an excitation energy $`\frac{1}{2}m\omega ^2x_0^2=W\mathrm{}\omega `$. Accordingly, the barrier is effectively raised by this energy.

Naturally, we would assume that the crossover at $`W1`$ coincides with the region where $`P_{00,\mathrm{f0}}`$ falls from its value without coupling to an oscillator to a strongly suppressed probability. However, Eq. (11) shows that even for $`W1`$ the coupling to the oscillator only influences the tunneling probability substantially for $`W\mathrm{}\omega >ϵ`$. Our perturbative approach limits us to energies smaller than the barrier heights. Therefore we cannot investigate the strong coupling limit $`W\mathrm{}\omega ϵ`$ and we are confined to oscillator frequencies $`\omega <ϵ/\mathrm{}`$.

Defining a number $`n_r`$ with

$$n_r\mathrm{}\omega =ϵ$$
(12)
we find that $`P_{00,\mathrm{f0}}`$ is a function of $`W/n_r`$ instead of $`W`$ and we are restricted to the effective weak coupling limit $`W/n_r1`$.

If we interpret the virtual excitation energy $`W\mathrm{}\omega `$ as the energy put into the oscillator during tunneling we expect that in the resonant case when $`W=1`$ the probability for exciting the oscillator will be maximal. However, we saw that for $`\mathrm{}\omega ϵ`$ the influence on the electron from the coupling to the oscillator increases with $`W/n_r`$. We numerically find that the probability $`P_{00,21}`$ for exciting the oscillator with a single excitation increases linear with $`W/n_r`$ (quadratic with the coupling $`\gamma `$ between electron and oscillator) and the probability $`P_{00,2n}`$ decreases for a higher number of excitations $`n`$. If we expand $`ϵ/(ϵ+i\mathrm{}\omega )1i\mathrm{}\omega /ϵ`$ in Eq. (2) up to first order in $`\mathrm{}\omega /ϵ`$ we obtain

$$P_{00,\mathrm{f}n}P_{0,\mathrm{f}}\left|\delta _{n0}+\varphi _n|\frac{\gamma \widehat{x}}{ϵ}|\varphi _0\right|^2$$
(13)
which shows the quadratic behavior with the coupling $`\gamma `$. Summing over all possible numbers $`n`$ of excitations we get for the probability to excite the oscillator $`P_{00,\mathrm{f}n1}(\gamma a_0/ϵ)^2P_{0,\mathrm{f}}`$. This approximation has the same limit as discussed before namely that the virtual energy $`W\mathrm{}\omega `$ of the mainly contributing tunneling path is smaller than the barrier heights $`ϵW\mathrm{}\omega `$. Therefore this result holds only for couplings where $`(\gamma a_0/ϵ)^2(2\mathrm{}\omega /ϵ)P_{0,\mathrm{f}}`$.

## II Multiple Oscillators

In the next step we introduce a spectrum of oscillators coupled to the tunneling electron to investigate the tunneling of an electron through a tunnel junction, for example a linear chain of atoms as illustrated in Fig. 1. Assuming that all bonding states between the atoms of the chain are occupied by electrons, the tunneling electron hops to an anti-bonding state between two atoms. The electron repels with force $`F`$ the nearest neighbors resulting in a coupling

$$H_I=|11|F(\delta x_{m+1}\delta x_m)$$

of an electron in state $`|1`$ to the displacement $`\delta x_{m+1}`$ and $`\delta x_m`$ of the nearest neighbors. For a chain of $`N`$ atoms and lattice constant $`d`$ we obtain, using fixed boundary conditions at position $`r=0`$ and $`r=(N+1)d`$, $`N`$ phonon modes with $`\delta x_m=\sqrt{2/N}_ku_k\mathrm{sin}(kx_m)`$ and

$$k=k_n=\frac{n}{N+1}\frac{\pi }{d}\text{with}n=1..N.$$
(14)
It is convenient to take $`N`$ even and the anti-bond $`m=N/2`$. Then the coupling between the electron and the phonons turns out to be

$$H_I=|11|\underset{k_n}{}\lambda _{k_n}u_{k_n}$$

with the coupling constants

$$\lambda _{k_n}=\{\begin{array}{cc}2F\sqrt{\frac{2}{N}}\mathrm{sin}\left(\frac{k_nd}{2}\right)\hfill & :n\text{odd}\hfill \\ 0\hfill & :n\text{even}\hfill \end{array}.$$
(15)
In the following we use the indices $`k_n`$, $`k`$ and $`n`$ interchangeably. The coupling constant $`\lambda _n`$ between the electron and the mode with wave vector $`k_n`$ is proportional to $`1/\sqrt{N}`$, so in the thermodynamic limit ($`N\mathrm{}`$) the coupling effects estimated by $`_n\lambda _n^2`$ stay finite.

In the case of a single oscillator the behavior of the system was determined by $`W=\frac{1}{2}(x_0/a_0)^2`$. Since $`\lambda _n1/\sqrt{N}`$ in the case of many phonons each single mode is weakly coupled to the electron for large $`N`$. However, the influence to the tunneling electron is now determined by the sum over all modes $`W=\frac{1}{2}_n(x_n/a_n)^2`$ with $`x_n=\lambda _{k_n}/(m\omega _n^2)`$ and $`a_n=\sqrt{\mathrm{}/(m\omega _n)}`$. The equations given above are for a one-dimensional chain but they are easy to generalize to two and three dimensions. It is a little intricate to work out the coupling but essentially the coupling constants $`\lambda _k`$ look the same and only the density of phonon modes $`g(k)`$ depends on the dimensionality, $`g(k)k^{d1}`$. This turns out to give a striking difference between the one dimensional and the other cases.

With no phonon in the initial state $`\{m_k=0\}`$ we find for the transition probability to the final state with $`l_k`$ excitations in mode $`k_n`$

$`P_{0\{m_k=0\},\mathrm{f}\{l_k\}}=P_{0,\mathrm{f}}`$ (16)
$`\left|{\displaystyle \underset{\{i_k\}}{}}{\displaystyle \frac{ϵ}{ϵ+_ki_k\mathrm{}\omega _k}}{\displaystyle \underset{k}{}}\varphi _{l_k}(k)|\psi _{i_k}(k)\psi _{i_k}(k)|\varphi _0(k)\right|^2`$
where $`\varphi _{l_k}(k)`$ and $`\psi _{l_k}(k)`$ are the wavefunctions of the unshifted and shifted mode $`k`$ with $`l`$ excitations respectively. The sum $`_{\{i_k\}}`$ sums over all possible total transient states with virtual excitation numbers $`i_k`$ for each mode. For each of these states the product $`_k`$ over the various overlaps calculates the total overlap between the initial and the transient state times the overlap of the transient and the final state.

Let us focus first on the probability $`P_{0\{m_k=0\},\mathrm{f}\{l_k=0\}}`$ for tunneling without final state excitations. The contribution $`A_0`$ from the tunneling ’path’ without virtually exciting any phonon is given by the overlap between the ground states of the unshifted and shifted oscillator modes

$$A_0=\underset{k}{}\varphi _0(k)|\psi _0(k)\psi _0(k)|\varphi _0(k)=e^{\frac{1}{2}_n\frac{x_n^2}{a_n^2}}.$$

### II.1 Einstein Approximation

An Einstein approximation leaves us essentially with $`N`$ modes with the same frequency $`\omega _E`$ and coupling constant $`\gamma `$. We find

$$W=\frac{1}{2}\underset{n}{}\frac{x_n^2}{a_n^2}=\frac{1}{2}\frac{\gamma ^2}{\mathrm{}m\omega _E^3}.$$
(17)
which is identical to the single oscillator result. For the contributions $`A_m`$ from tunneling paths involving $`m`$ virtual excitations we obtain

$$A_m=W^m\frac{1}{m!}e^W\frac{ϵ}{ϵ+m\mathrm{}\omega _D}.$$
(18)
The factorial $`1/m!`$ results from the fact that, once we chose $`m`$ oscillators to put the $`m`$ virtual excitation in, there are still $`m!`$ ways of distributing the virtual excitation to the oscillators. Physically, however all these $`m!`$ ways are identical. Technically it is convenient to sum over all these and we obtain $`m!A_m`$ which we then divide by the factorial to get Eq. (18). Note also that $`A_m`$ includes only tunneling path where all $`m`$ excitations are in $`m`$ different modes. Tunneling paths with more than one excitation in a mode are suppressed for large $`N`$ by factors $`1/N`$. The probability $`P_{0\{m_k=0\},\mathrm{f}\{l_k=0\}}`$ for tunneling without final state excitations thus is equivalent to Eq. (9). An Einstein spectrum yields the same tunneling probability as a single oscillator if no mode is excited.

The probability for tunneling through the chain and exciting mode $`j`$ with a single excitation is given by

$$P_{00,\mathrm{f1}_j}=\left(\frac{x_j}{a_j}\right)^2e^{\frac{x_j^2}{2a_j^2}}P_{00,20}^{}.$$
(19)
$`P_{00,20}^{}`$ is the probability for the electron tunneling through the chain without final state excitations calculated without including mode $`j`$. Since a single mode does not change results appreciably we take $`P_{00,20}^{}P_{00,20}`$. We sum $`j`$ over all modes. The exponential is unity for large $`N`$ and we use Eq. (17) to find for the probability to excite $`n`$ modes

$$P_{00,\mathrm{f}n}=\frac{1}{n!}W^nP_{00,20}.$$
(20)
Note that contributions from tunneling path with more than one excitation in a single mode are suppressed. The factorial $`n!`$ has the same origin as $`m!`$ in Eq. (18). For $`W<1`$ tunneling through the chain without exciting it and without using virtual excitations dominates. However, for $`W>1`$ the tunneling electron uses predominantly $`W`$ virtual excitations to tunnel and the chain has most likely $`W`$ excitations once the electron tunneled through. This shows a difference from the single oscillator case where in the strongly coupled regime, $`W>1`$, the oscillator was not excited by the tunneling electron. Only for $`W/n_r`$ near one excitations are likely. To understand this we note that each single mode in the many oscillator case is weakly coupled. The probability to excite some is only finite because there are many modes.

### II.2 Debye Approximation

Within a Debye approximation we assume a spectrum of modes with linear dispersion $`\omega =vk`$ with the speed of sound $`v`$. The Debye cut-off $`k_D=(N/N+1)(\pi /d)`$ is chosen to give the correct number of modes. It leads qualitatively to the same results as an Einstein approximation for a two and a three dimensional tunnel junction since their phonon spectra favor high frequency modes and $`\omega _E`$ is replaced by an average frequency. We therefore focus on tunneling through a chain of atoms. We further restrict the following considerations to the probability for tunneling without final state excitations since the probability for tunneling with final state excitations follows then from Eq. (20).

The chain has a constant density of states and we find

$$W=\frac{1}{2}\underset{n}{}\frac{x_n^2}{a_n^2}=\frac{k_c}{k_D}\underset{j=1}{\overset{N/2}{}}\frac{1}{j}\frac{k_c}{k_D}\mathrm{ln}(N)$$
(21)
with $`k_c=(Fd)^2/(\mathrm{}mv^3)`$. For large $`N`$ tunneling through the chain without the help of virtual excitations is suppressed by $`\mathrm{exp}(2W)\mathrm{exp}(2(k_c/k_D)\mathrm{ln}(N))=N^{(2k_c/k_D)}`$. In the thermodynamic limit, $`N\mathrm{}`$, this approaches zero. This behavior is similar to the ’orthogonality catastrophe’ described by Anderson PWA  for an electron tunneling into a Fermi gas which has a constant density of states near the Fermi surface.

We now investigate the contribution $`A_m`$ from a tunneling path involving $`m`$ virtual excitations. The key question is whether there is a dominant tunneling path (a $`m`$ with $`A_m`$ maximal) and what would be its effective virtual energy $`_ki_k\mathrm{}\omega _k`$ (compare Eq. (16)). We suggest that the contribution of mode $`j`$ to the effective virtual energy is determined by a factor $`(x_j^2/a_j^2)`$ since the same factor determined in the case of tunneling with one final state excitation the contribution of the tunneling path with mode $`j`$ finally excited (compare Eq. (19)). Since $`A_m`$ involves $`m`$ virtual excitations we introduce further a ’normalizing’ factor $`m/W`$ and find

$$A_m=e^WW^m\frac{1}{m!}\frac{ϵ}{ϵ+\frac{1}{2}_j\frac{mx_j^2}{Wa_j^2}\mathrm{}\omega _j}.$$
(22)
For the energy of the $`m`$ virtual excitations we find

$$\underset{j}{}\frac{mx_j^2}{Wa_j^2}\mathrm{}\omega _j=\frac{m}{W}\mathrm{}\omega _c.$$
(23)
Numerically we find that this approximation holds when the energy of the $`m`$ virtual excitations does not exceed the barrier heights. For large finite $`N`$ we find that $`W`$ tends logarithmically to infinity. However, for $`W1`$ the probability for tunneling without final state excitations is simply given by the tunneling probability through an effective barrier (compare Eq. (11)) enhanced by the energy of the virtual excitations of the dominating tunneling path. The dominating path involves $`W`$ virtual excitations leading to an energy $`\mathrm{}\omega _c`$ of the virtual excitations which is independent of $`W`$. Thus the probability for tunneling through the chain without final state excitations is finite and independent of the length $`N`$.

Note that the maximal virtual energy $`W\mathrm{}\omega _D`$ possibly used in a tunneling event with $`W`$ virtual excitations increases logarithmically with the number $`N`$ of modes. Once this energy $`W\mathrm{}\omega _D`$ exceeds the barrier heights $`ϵ`$ the numerical investigation showed that our approximation, Eq. (22), fails. However at the same point our approach using second order perturbation theory is questionable. We therefore believe that our approximative result holds in the thermodynamic limit and that tunneling through a chain without final state excitations is possible.

In conclusion, we first investigated tunneling through a barrier with a coupling to a single oscillator. The result can be characterized by a coupling strength $`W`$ given by the square of the ratio of the classical shift of the oscillator to its zero-point fluctuation. For weak coupling, $`W<1`$, tunneling without final state excitations is suppressed by a factor $`e^{2W}12W`$. For strong coupling, $`W>1`$, tunneling is suppressed by an increase in the tunneling barrier height by an energy $`W`$ times the vibrational energy $`\mathrm{}\omega `$. The probability for tunneling with final state excitations increases in proportion to $`W`$. We then introduced a barrier with coupling to a spectrum of $`N`$ modes, with couplings proportional to $`1/\sqrt{N}`$. It is shown that in an Einstein approximation, where all modes have the same frequency $`\omega _E`$, the results are essentially the same. The same holds true for two or three dimensional Debye spectra where the frequency is proportional to the wave number. However, a one-dimensional chain shows an orthogonality catastrophe similar to that of an electronic transition in a Fermi gas since $`W\mathrm{ln}(N)`$. The probability for tunneling without final state excitations and without the help of virtual excitations is suppressed by a factor $`1/N`$ raised to a finite power. However, our investigation suggests that the probability for tunneling without final state excitations but with the help of virtual excitations stays finite for $`N\mathrm{}`$.

P. Nalbach was sponsored by the Alexander von Humboldt foundation and the U.S. Dept. of Energy grant DE-FG03-90ER45435-M012.