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# Algebraic surfaces with quotient singularities - including some discussion on automorphisms and fundamental groups

## Introduction

We work over the complex numbers field $``$. In the present survey, we report some recent progress on the study of varieties with mild singularities like log terminal singularities (which are just quotient singularities in the case of dimension 2; see \[KMM\]). Singularities appear naturally in many ways. The minimal model program developed by Mori et al shows that a minimal model will inevitably have some terminal singularities \[KMo\]. Also the degenerate fibres of a family of varieties will have some singularities.

We first follow Iitaka’s strategy to divide (singular) varieties $`Y`$ according to the logarithmic Kodaira dimension $`\kappa (Y^0)`$ of the smooth locus $`Y^0`$ of $`Y`$. One key result (2.3) says that for a relatively minimal log terminal surface $`Y`$ we have either nef $`K_Y`$ or dominance of $`Y^0`$ by an affine-ruled surface. It is conjectured to be true for any dimension \[KMc\].

In smooth projective surfaces of general type case, we have Miyaoka-Yau inequality $`c_1^23c_2`$ and Noether inequalities: $`p_g(1/2)c_1^2+2,`$ $`c_1^2(1/5)c_2(36/5)`$. Similar inequalities are given for $`Y^0`$ in Section 4; these will give effective restriction on the region where non-complete algebraic surfaces of general type exist.

In Kodaira dimension zero case, an interesting conjecture (3.12) (which is certainly true when $`Y`$ is smooth projective by the classification theory) claims that for a relatively minimal and log terminal surface $`Y`$ of Kodaira dimension $`\kappa (Y^0)=0`$, one has either $`\pi _1(Y^0)`$ finite, or an etale cover $`Z^0Y^0`$ where $`Z^0`$ is the complement of a finite set in an abelian surface $`Z`$. Some partial answers to (3.12) are given in Section 3.

The topology of $`Y^0`$ is also very interesting. We still do not know whether $`\pi _1`$ of the complement of a plane curve is always residually finite or not. Conjecture (2.4) proposed in \[Z7\] claims that the smooth locus of a log terminal Fano variety has finite topological fundamental group. This is confirmed when the dimension is two and now there are three proofs: \[GZ1, 2\] (using Lefschetz hyperplane section theorem and Van Kampen theorem), \[KMc\] (via rational connectivity), \[FKL\] (geometric).

The other interesting topic covered is the automorphism groups. Recent progress in K3 surface case is treated in Section 5. For generic rational surface $`X`$ of degree $`5`$, it is classically known that $`|\text{Aut}(X)|`$ divides $`5!`$. However, when $`Y`$ is a log terminal del Pezzo singular surface of Picard number 1, it is very often that $`\text{Aut}(Y)`$ contains $`/(p)`$ for all prime $`p5`$ (see \[Z9\] or (6.2)).

## Terminology and Notation

(1). For a variety $`V`$ we denote by $`V^0=V`$Sing$`V`$ the smooth locus.

(2). A $`(n)`$-curve $`C`$ on a smooth surface is a smooth rational curve with $`C^2=n`$.

(3). For a divisor $`D`$, we denote by $`\mathrm{\#}D`$ the number of irreducible components of Supp $`D`$.

(4). For a variety $`V`$, the $`e(V)`$ is the Euler number.

## Section 1. Preliminaries

(1.1). Let $`V^0`$ be a nonsingular variety and let $`V`$ be a smooth completion of $`V^0`$, i.e., $`V`$ is nonsingular projective and $`D:=VV^0`$ is a divisor with simple normal crossings. If $`H^0(V,m(K_V+D))=0`$ for all $`m1`$, we define the Kodaira (logarithmic) dimension $`\kappa (V^0)=\mathrm{}`$. Otherwise, $`|m(K_V+D)|`$ gives rise to a rational map $`\phi _m`$ for some $`m`$ and we define the Kodaira dimension $`\kappa (V^0)`$ as the maximum of $`dim(\phi _m(V^0))`$.

The Kodaira dimension of $`V^0`$ does not depend on the choice of the completion $`V`$ \[I3, §11.2\]. Also $`\kappa (V^0)`$ takes value in $`\{\mathrm{},0,1,\mathrm{},dimV^0\}`$.

$`V^0`$ is of general type if $`\kappa (V^0)=dimV^0`$.

$`p_g(V^0)=h^0(V,K_V+D)`$ is called the logarithmic geometric genus which does not depend on the choice of the completion $`V`$ \[ibid.\].

(1.2).

(a) Let $`GGL_2()`$ be a non-trivial finite group with no reflection elements. Then $`^2/G`$ has a unique singularity at $`\overline{O}`$ (the image of the origin of the affine plane $`^2`$). A singularity $`Q`$ of a normal surface $`Y`$ is a quotient singularity if locally the germ $`(V,Q)`$ is analytically isomorphic to $`(^2/G,\overline{O})`$ for some $`G`$. Quotient singularities are classified in \[Br, Satz 2.11\].

(b) When $`dimY=2`$, the $`Q`$ in $`Y`$ is a quotient singularity if and only if it is a log terminal singularity \[Ka2, Cor 1.9\].

$`Q`$ is a Du Val (or rational double, or Dynkin type $`ADE`$, or canonical, or rational Gorenstein in other notation) singularity if $`GSL_2()`$ (see \[Du\], \[Re1\]).

In (1.3) - (1.6) below, we assume that $`Y`$ is a normal projective surface with at worst quotient singularities.

(1.3). Let $`f:\stackrel{~}{Y}Y`$ be the minimal resolution and $`D`$ the exceptional divisor. We can write $`f^{}K_Y=K_{\stackrel{~}{Y}}+D^{}`$ where $`D^{}`$ is an effective Q-divisor with support in $`D`$. Write $`D=_{i=1}^nD_i`$ with irreducible $`D_i`$ and $`D^{}=_{i=1}^nd_iD_i`$.

Lemma.

(1) Each $`D_i`$ is a $`(n_i)`$-curve for some $`n_i2`$.

(2) $`0d_i<1`$.

(3) $`d_i=0`$ holds if and only if the connected component of $`D`$ containing $`D_i`$ is contracted to a Du Val singularity on $`Y`$ (i.e., $`f(D_i)`$ is a Du Val singularity).

Proof. (2) follows from the fact that a quotient singularity is just a log terminal singularity \[Ka2, Cor 1.9\]. For (1) and (3), see \[Br, Satz 2.11\] and \[Ar1, Theorem 2.7\].

(1.4). $`Y`$ is a log del Pezzo surface if the anti-canonical divisor $`K_Y`$ is $``$-ample. $`Y`$ is a Gorenstein (log) del Pezzo surface if further $`Y`$ has at worst Du Val singularities (see \[Mi, Ch II, 5.1\], \[MZ1\]).

A normal variety $`V`$ is Fano if $`K_V`$ is Q-ample.

A log del Pezzo surface is nothing but a log terminal Fano surface, and a Gorenstein del Pezzo surface is nothing but a canonical Fano surface.

(1.5). $`Y`$ is a log Enriques surface if the irregularity $`q(Y)=h^1(Y,𝒪_Y)=0`$ and if $`mK_Y0`$ (linear equivalence) for some positive integer $`m`$. The smallest $`m`$ is called the index of $`Y`$ and denoted by $`I(Y)`$ \[Z4, Part I, Definition 1.1\].

A log Enriques surface of index 1 is nothing but a K3 surface possibly with Du Val singularities. A non-rational log Enriques surface is of index 2 if and only if it is an Enriques surface possibly with Du Val singularities. The case of $`Y`$ with a unique singularity is classified by Tsunoda \[Ts, Proposition 2.2\] (see also \[Z4, Part I, Proposition 1.6\]).

Proposition. Let $`Y`$ be a rational log Enriques surface with $`\mathrm{\#}(\text{Sing}Y)=1`$. Then $`I(Y)=2`$ and the unique singularity is of type $`(1/4n)(1,2n1)`$ for some $`n1`$.

(1.6). The surface $`Y`$ is relatively minimal if for every curve $`C`$, we have either $`K_Y.C0`$ or $`C^20`$.

Suppose that $`Y`$ is not relatively minimal. Then there is a curve $`C`$ such that $`K_Y.C<0`$ and $`C^2<0`$. By \[MT1, Lemma 1.7 (2)\], we see that there is a contraction $`YZ`$ of the curve $`C`$ to a smooth or quotient singularity such that the Picard number $`\rho (Z)=\rho (Y)1`$. So every projective surface with at worst quotient singularities has a relatively minimal model.

$`Y`$ is strongly minimal if it is relatively minimal and if there is no curve $`C`$ with $`C^2<0`$ and $`C.K_Y=0`$ \[Mi, Ch II, (4.9)\].

(1.7). A smooth projective rational surface $`X`$ is a Coble surface if $`|K_X|=\mathrm{}`$ while $`|2K_X|\mathrm{}`$. A Coble surface is terminal if it is not the image of any birational but not biregular morphism of Coble surface.

Coble surfaces are classified in \[DZ\]. Here is an example. Let $`Z`$ be a rational elliptic surface with a multiplicity-2 fibre $`F_0`$ and a non-multiple fibre $`F_1`$ of type $`I_n`$ (see \[CD\] for classification of $`Z`$). Let $`XZ`$ be the blow up of all $`n`$ intersection points in $`F_1`$. Then $`X`$ is a terminal Coble surface. Coble surfaces and log Enriques surfaces are closely related.

Proposition \[DZ, Proposition 6.4\].

(1) The minimal resolution $`X`$ of a rational log Enriques surface $`Y`$ of index $`2`$ is a Coble surface with $`h^0(X,2K_X)=1`$ and the only member $`D`$ in $`|2K_X|`$ is reduced and a disjoint union of $`D_i`$, where $`D_i`$ is either a single $`(4)`$-curve or a linear chain with the dual graph below (each $`D_i`$ is contractible to a singularity of type $`(1/4n_i)(1,2n_i1)`$ with $`n_i=\mathrm{\#}D_i`$):

$$(3)(2)\mathrm{}(2)(3).$$

If we let $`X_{te}X`$ be the blow up of all intersection points in $`D`$, then $`X_{te}`$ is a terminal Coble surface with $`h^0(X_{te},2K_{X_{te}})=1`$ and the only member in $`|2K_{X_{te}}|`$ is a disjoint union of $`n`$ of $`(4)`$-curves with $`n=_in_i`$.

(2) Conversely, a terminal Coble surface $`X`$ has a unique member $`D`$ in $`|2K_X|`$, and $`D`$ is reduced and a disjoint union of $`(4)`$-curves.

(1.8). A smooth affine surface $`S`$ is a Q-homology plane if $`H_i(S,)=0`$ for all $`i>0`$. Similarly we can define a Z-homology plane and Q-homology plane with quotient singularities. The following very important theorem is proved by Gurjar, Pradeep and Shastri in their papers \[GS\], \[PS\], \[GPS\] and GPr\].

Theorem 1.9. A Q-homology plane with at worst quotient singularities is a rational surface.

Theorem 1.10 \[Mi, Theorem 4.10\]. Let $`Y`$ be a $``$-homology plane. Let $`\nu `$ be the number of topologically contractible curves in $`Y`$. Then we have:

(1) Every topologically contractible curve is isomorphic to the affine line.

(2) The Kodaira dimension $`\kappa (Y^0)=2,1`$ or $`0,\mathrm{}`$ if and only if $`\nu =0,`$ finite, $`\mathrm{}`$, respectively. (Gurjar and Parameswaran \[GPa\] have determined the number $`\nu `$ when $`\kappa (Y^0)=0`$).

(3) Suppose that $`Y`$ is a homology plane. Then $`\kappa (Y^0)=2,1,\mathrm{}`$ if and only if $`\nu =0,1,\mathrm{}`$, respectively (see (3.17)).

## Section 2. Normal Algebraic Surfaces $`Y`$ with Kodaira dimension $`\kappa (Y^0)=\mathrm{}`$ and Fano varieties

In this section we consider projective varieties with at worst log terminal singularities and Kodaira dimension $`\kappa (Y^0)=\mathrm{}`$, where $`Y^0=Y\text{Sing}Y`$.

The following result is a special case of \[MT1, Theorem 2.11\]. We will sketch a different and direct proof here by making use of \[KMM\].

Theorem 2.1. Let $`Y`$ be a relatively minimal surface with at worst quotient singularities. Then one of the following occurs.

(1) The Kodaira dimension $`\kappa (Y^0)0`$ and $`K_Y`$ is numerically effective.

(2) $`\kappa (Y^0)=\mathrm{}`$ and $`K_Y`$ is not numerically effective. To be precise, either

(2a) $`Y^0`$ is ruled, i.e. $`Y^0`$ has a Zariski open set of the form $`^1\times C`$ with a curve $`C`$, or

(2b) $`Y`$ is a log del Pezzo surface of Picard number $`1`$.

Proof. We may assume that $`K_Y`$ is not nef. Then by \[KMM, Theorems 4-2-1 and 3-2-1\], there is an extremal ray $`_{>0}[C]`$ with $`C`$ a rational curve, and a corresponding morphism $`\mathrm{\Phi }:YZ`$ with connected fibres such that a curve $`E`$ is mapped to a point by $`\mathrm{\Phi }`$ if and only if the class of $`E`$ is in $`_{>0}[C]`$.

Case $`dimZ=2`$. Then $`Z`$ has at worst log terminal singularities (= quotient singularities) by \[KMM, Proposition 5-1-6\]. This contradicts the relative minimality of $`Y`$.

Case $`dimZ=0`$. Then $`\text{Pic}Y`$ is generated over $``$ by $`C`$ and hence Picard number $`\rho (Y)=1`$ and $`C`$ is $``$-ample. Since $`K_Y.C<0`$, we have $`K_Y=aC`$ (numerically) with $`a<0`$. So the case (2b) occurs.

Case $`dimZ=1`$. Then a general fibre $`F`$ of $`\mathrm{\Phi }`$ is $`^1`$ because $`F^2=0`$ and $`K_Y.F<0`$ (pull back to $`\stackrel{~}{Y}`$ and use genus formula). Clearly the case (2a) occurs. This proves the theorem.

Theorem 2.2 (\[KMc, Cor. 1.6\], \[Mi, Ch II, Theorems 2.1 and 2.17\]).

Let $`Y`$ be a log del Pezzo surface. Then there is a dominant morphism $`X^0Y^0`$ such that $`X^0`$ is an affine-ruled surface (i.e., $`X^0`$ contains a Zariski open set of the form $`𝔸^1\times C`$ for some curve $`C`$).

When $`Y`$ is Gorenstein, Theorem 2.2 was proved in \[Z2, Theorem 3.6\]; the general case of Theorem 2.2 was proved in a lengthy book \[KMc, Cor 1.6\]; Theorems 2.1 and 2.2 together give the proof of the following result, which is the quotient surface case of Miyanishi Conjecture.

Theorem 2.3. Let $`Y`$ be a projective surface with at worst quotient singularities. Suppose that $`Y`$ is relatively minimal. Then the following are equivalent.

(1) $`K_Y`$ is not nef.

(2) $`\kappa (Y^0)=\mathrm{}`$.

(3) There is a dominant morphism $`X^0Y^0`$ such that $`X^0`$ is an affine-ruled surface.

Proof. The equivalence of (1) and (2) is proved in \[MT1, Theorem 2.11\]. (2) implies (3) by Theorems 2.1 and 2.2. Assume (3). Now $`\kappa (X^0)=\mathrm{}`$ is clear by considering a ruled surface as a completion of $`X^0`$ with the boundary equal to the union of a section (or empty set) and a few fibre components. Since $`\kappa (X^0)\kappa (Y^0)`$, (2) follows.

Now we turn to the topology of smooth locus of a variety. We proposed the following in \[Z7\].

Conjecture 2.4. Let $`V`$ be a Fano variety with at worst log terminal singularities. Then the topological fundamental group $`\pi _1(V^0)`$ is finite.

The affirmative answer to (2.4) would imply the following which was conjectured in \[KZ\] and is now a theorem of S. Takayama \[Ta\]. Indeed, (2.4) would imply that $`\pi _1(V)`$ is finite and we let $`UV`$ be the universal cover. Then $`\chi (𝒪_U)=n\chi (𝒪_V)`$, where $`n=|\pi _1(V)|`$. The Kawamata-Viehweg vanishing implies that $`\chi (𝒪_X)=h^0(X,𝒪_X)`$ ($`=1`$) for both $`X=U`$ and $`V`$. Hence $`n=1`$.

Theorem 2.5. Let $`V`$ be a Fano variety with at worst log terminal singularities. Then $`\pi _1(V)=(1)`$.

The result (2.5) would also follow from the following conjecture which is still open for dimension 4 or higher. It is proved in 3-fold case by \[Ca\] and \[KoMiMo\]. Recently, Graber, Harris and Starr \[GHS\] have proved that any complex algebraic variety having a fibration with rationally connected general fibres and image (or base), is again rationally connected.

Conjecture 2.6. Let $`V`$ be a Fano variety with log terminal singularities. Then $`V`$ is rationally connected, i.e., any two general points are connected by an irreducible rational curve.

Partial answers to (2.4) are given in (2.7) $``$ (2.10).

(2.7). When dimension is 2, Conjecture 2.4 was proved in affirmative by \[GZ1, 2\]; for a differential geometric proof, see \[FKL\]. In \[KMc, Cor 1.6\], it was proved that for a log del Pezzo surface $`Y`$, the $`Y^0`$ is rationally connected and hence has finite $`\pi _1(Y^0)`$ (see \[Ca\] and \[KoMiMo\]).

Theorem 2.8 \[Z7, Theorem 2\].

Conjecture $`2.4`$ is true if one of the following occurs.

(1) $`dimV2`$.

(2) The Fano index $`r(V)>dimV2`$.

(3) $`V`$ has only isolated singularities and $`r(V)=dimV2=1`$.

Theorem 2.9 \[Z7, Theorem 2\].

Let $`V`$ be a Fano variety of Fano index $`r(V)>dimV2`$ and with at worst canonical singularities. Then $`\pi _1(V^0)`$ is abelian of order $`9`$.

Theorem 2.10 \[Z7, Theorems 1 and 2\].

Let $`V`$ be a Fano variety. Then $`\pi _1(V^0)=(1)`$ if one of the following occurs:

(1) The Fano index $`r(V)>dimV1`$.

(2) $`dimV=3`$ and $`V`$ has only Gorenstein isolated singularities.

(2.11). The following gives a concrete upper bound for $`\pi _1(V^0)`$ in certain case. A relation $`m(K_V+H)0`$ in the theorem below occurs when $`V`$ has Fano index 1 and Cartier index $`m`$. It is conjectured that $`m=1,2`$. To prove the theorem below, we show first that there is a natural surjective map $`\pi _1(H^0)\pi _1(V^0)`$ and also use the fact that $`H`$ is Du Val K3 or Enriques. Now the theorem follows from the results on $`H`$ in \[KZ, Theorems 1 and 2\]. For each of the three exceptional cases of $`(p,c)`$ below, we note that there is a Du Val K3 or Enriques surface $`Y`$ with $`\text{Sing}Y=cA_{p1}`$ and $`\pi _1(Y^0)`$ infinity \[ibid.\].

Theorem \[KZ, Theorem 3\].

Let $`p`$ be a prime number. Let $`V`$ be a log terminal Fano $`3`$-fold with a Cartier divisor $`H`$ such that $`m(K_V+H)0`$ (linear equivalence) for $`m=1`$ or $`2`$. Suppose that a member $`H`$ of $`|H|`$ is irreducible normal and has $`c`$ singularities of type $`A_{p1}`$ and no other singularities.

Then $`\pi _1(V^0)`$ is soluble; and if $`(p,c)(2,8),(2,16),(3,9)`$, then $`|\pi _1(V^0)|2p^k`$ for some $`k4`$.

Remark 2.12.

(1) In (2.4) if we replace ”log terminal” by ”log canonical”, then (2.4) has counter-examples; more precisely, if $`V`$ is a normal Fano surface with at worst rational log canonical singularities, then $`\pi _1(V^0)`$ contains a finite-index abelian subgroup of rank $`k`$ ($`k=0,2`$) \[Z8, Theorem 2.3\].

(2) In (2.9), the upper bound is optimum \[MZ1, Lemma 6\]; also ”canonical” can not be replaced by ”log terminal” \[Z3, Appendix\].

(2.13). In \[Kj2\], log del Pezzo surfaces with a unique singularity are classified (including the existence part). The classification of log del Pezzo surface of Cartier index $`2`$ were announced in \[AN\]. In \[Kj4\], Kojima classified Picard number 1 log del Pezzo surfaces $`Y`$ of index 2, in a way different from \[AN\]: there are exactly 18 types of $`\text{Sing}Y`$ and the $`\pi _1(Y^0)8`$; the $`\pi _1(Y^0)=(1)`$ holds if and only if $`Y`$ contains the affine plane as a Zariski open set.

(2.14). In \[Ni3\], the Picard number $`\rho (\stackrel{~}{Y})`$ of the minimal resolution $`\stackrel{~}{Y}`$ of a log del Pezzo surface $`Y`$ is bounded from above in terms of the maximum of multiplicities of $`Y`$.

## Section 3. Normal algebraic surfaces $`Y`$ with Kodaira dimension $`\kappa (Y^0)=0`$

In this section we consider projective surfaces $`Y`$ with at worst quotient singularities and Kodaira dimension $`\kappa (Y^0)=0`$, where $`Y^0=Y`$ Sing$`Y`$.

Theorem 3.1 (\[Ka1, Theorem 2.2\], \[Mi, Ch II, 6.1.3\]).

Let $`Y`$ be a projective surface with at worst quotient singularities. Then the following are equivalent:

(1) $`Y`$ is relatively minimal with Kodaira dimension $`\kappa (Y^0)=0`$.

(2) There is a positive integer $`m`$ such that $`mK_Y0`$ (linear equivalence).

(3.2). The smallest positive integer $`m`$ with $`mK_Y0`$ is called the index of $`Y`$ and denoted by $`I=I(Y)`$.

Proposotion 3.3. Let $`Y`$ be a projective surface with at worst quotient singularities and $`IK_Y0`$, where $`I>0`$ is the index of $`Y`$. Suppose that $`Y`$ is irrational. Then one of the following occurs.

(1) $`Y`$ is a (smooth) abelian surface ($`I=1`$) or a hyperelliptic surface ($`I=2,3,4,6`$).

(2) $`Y`$ has at worst Du Val singularities. The minimal resolution of $`Y`$ is either a $`K3`$ surface ($`I=1`$) or an Enriques surface ($`I=2`$).

Proof. In notation of (1.3), we have $`I(K_{\stackrel{~}{Y}}+D^{})0`$. So $`\kappa (\stackrel{~}{Y})0`$. If $`\kappa (\stackrel{~}{Y})=0`$, Then (3.3) follows from the classification of smooth surfaces. If $`\kappa (\stackrel{~}{Y})=\mathrm{}`$, then $`\stackrel{~}{Y}`$ is an irrational ruled surface over a base curve of genus $`1`$. However, $`K_{\stackrel{~}{Y}}+D^{}=0`$ (numerically) implies that $`D^{}`$ contains some horizontal components (this can be seen by going to a relative minimal model of $`\stackrel{~}{Y}`$) which dominates the base curve and hence is irrational, contradicting the fact that $`D`$ consists of rational curves only (1.3). So $`\kappa (\stackrel{~}{Y})=\mathrm{}`$ is impossible. This proves the proposition.

In view of (3.3), to classify those $`Y`$ with at worst quotient singularities and $`\kappa (Y^0)=0`$, we need only to consider rational surfaces $`Y`$ with $`mK_Y0`$ for some integer $`m2`$ (see (1.5)). These are precisely rational log Enriques surfaces (1.5).

(3.4). Let $`Y`$ be a rational log Enriques surface. Then the index $`I=I(Y)2`$. Since $`IK_Y0`$, there is a canonical $`/(I)`$-Galois cover $`\pi :X=Spec_{j=0}^{I1}𝒪(jK_Y)Y`$ which is unramified over $`(Y\{`$non-Du Val singularities$`\})Y^0`$ and satisfies $`K_X0`$. Therefore, either $`X`$ is a (smooth) abelian surface or a K3 surface possibly with some Du Val singularities.

Recently, Suzuki \[Su\] has proved Morrison’s cone conjecture for rational log Enriques surfaces $`Y`$ : there is a finite rational polyhedral cone which is a fundamental domain for the action of Aut$`(Y)`$ on the rational convex hull of its ample cone.

Theorem 3.5. Suppose that $`Y`$ is a rational log Enriques surface of index $`I`$ and that the canonical $`/(I)`$-cover $`X`$ of $`Y`$ is an abelian surface. Then we have:

(1) $`I=3`$ or $`5`$. If $`I=3`$, then $`\text{Sing}\text{ }Y`$ consists of $`9`$ singularities of type $`(1/3)(1,1)`$; if $`I=5`$, then $`\text{Sing}\text{ }Y`$ consists of $`5`$ singularities of type $`(1/5)(1,2)`$; see \[Re1\] for notation.

(2) For each $`I=3,5`$, there is a unique log Enriques surface $`Y_I`$ with $`X_I`$ abelain and $`I(Y_I)=I`$. To be precise, $`Y_I=X_I/g_I`$, where $`X_3=E_{\zeta _3}\times E_{\zeta _3}`$ with $`E_{\zeta _3}=/(+\zeta _3)`$ an elliptic curve of period $`\zeta _3=\text{exp}(2\pi \sqrt{1}/3)`$, $`g_3=\text{diag}(\zeta _3,\zeta _3)`$, $`X_5`$ is the Jacobian surface of the genus-$`2`$ curve : $`y^2=x^51`$, and $`g_5`$ in $`\text{Aut}(X_5)`$ is induced by the curve automorphism : $`(x,y)(\zeta _5x,y)`$ (see \[Bl, Example $`1.2`$\], \[Su, Proposition 1.2\] and \[Z4, Example $`4.2`$\]).

Proof. (1) is proved in \[Z4, Theorem 4.1\]. (2) is proved in \[Bl, Su\].

Theorem 3.6. Let $`Y`$ be a log Enriques surface of index $`I`$. Then $`I21`$.

Remark 3.7.

(1) It is easy to see that the Euler function $`\phi (I)21`$ and hence $`I66`$ \[Z4, Part I, Lemma 2.3\]. In \[Bl, Theorem C\], it is proved that $`I21`$.

(2) Examples of $`Y`$ with prime $`I(Y)`$ are constructed in \[Z4, Example 5.3-5.8; Part II, Example 7.3\] and \[Bl, Example 4.1\].

(3.8). A log Enriques surface $`Y`$ is maximum if any birational morphism $`YZ`$ to another log Enriques surface is an isomorphism. By \[Z4, Part II, Theorem 2.11’\], for every log Enriques surface $`Y`$ of prime index, there is a unique maximum log Enriques surface $`Y_{max}`$ with $`I(Y_{max})=I(Y)`$ and a birational morphism $`Y_{max}Y`$; each singularity (if exists) of the canonical cover of $`Y_{max}`$ is of type $`A_1`$.

The surface $`Y(A_{19})`$ in the assertion(3) below is not isomorphic to the unique (modulo projective transformation) quartic $`K3`$ surface in $`^3`$ with a Dynkin type $`A_{19}`$ singularity; neither can $`Y(D_{19})`$ be embedded in $`^3`$ \[KN\]. The $`Y(D_{19})`$ is constructed in two different ways in \[Z4, Example 6.11: the $`\overline{V}^{}`$\] and \[OZ1, Example 1\], and $`Y(A_{19})`$ in \[Z4, Example 3.2 : the $`\overline{V}`$\] and \[OZ1, Example 2\]. The uniqueness problem of $`Y(D_{19})`$ was initiated by \[Re2, Round 3, Example 6\].

Theorem \[OZ4, Corollary 4; OZ3, Corollary in §1; OZ1, Theorems 1 and 2\].

(1) For each $`I=13,17,19`$, there is a unique maximum log Enriques surface $`Y`$ with $`I(Y)=I`$.

(2) All maximum log Enriques surfaces of index $`11`$ form a family of dimension $`1`$ and are all given in \[OZ3, §1, Corollary\].

(3) For each $`D`$ in $`\{D_{19},A_{19}\}`$, there is a unique rational log Enriques surface $`Y(D)`$ whose canonical cover has a singularity of Dynkin type $`D`$. The index $`I(Y)`$ equals $`3`$ (resp. $`2`$) when $`Y`$ equals $`Y(D_{19})`$ (resp. $`Y(A_{19})`$).

Next we will investigate the behaviour of $`\pi _1(Y^0)`$ and propose a conjecture (3.12) generalizing the one in \[CKO\]. Note that $`/(I)`$ is the image of $`\pi _1(Y^0)`$ by a homomorphism.

Theorem 3.9 \[Z4, Part II, Theorem 2.11’, Cor 1\]. Let $`Y`$ be a maximum log Enriques surface of odd prime index $`I`$. Let $`XY`$ be the canonical $`/(I)`$-cover. Then we have:

(1) $`X`$ has at worst type $`A_1`$ singularities and $`\mathrm{\#}(\text{Sing}X)6`$.

(2) $`\pi _1(Y^0)=/(I)`$.

Proof. (1) is proved in \[Z4, Part II, Cor. 1\]. For (2), we have only to show that $`\pi _1(X^0)=(1)`$ because the inverse of $`Y^0`$ via the canonical map $`XY`$ (unramified over $`Y^0`$) is $`X^0`$ with a few smooth points removed (the removal of smooth points in a complex surface does not change $`\pi _1`$). Since $`\mathrm{\#}(\text{Sing}X)6`$ by (1), we have $`\pi _1(X^0)=(1)`$ \[KZ, Theorem 1\]. This proves the theorem.

Theorem 3.10 \[SZ, Proposition 4.1, Theorem 4.3, Cor 4.4\]

(1) Suppose that ”$`\pi _1^{alg}(X^0)=(1)\pi _1(X^0)=(1)`$ for all Du Val $`K3`$ surfaces $`X`$” holds ($`X`$ satisfies this condition if $`()`$ in $`(2)`$ holds for $`X`$). Let $`Y`$ be a log Enriques surface of index $`I`$. Then either $`\pi _1(Y^0)`$ is finite or there is a finite morphism $`ZY`$ from an abelian surface which is unramified over $`Y^0`$. In particular, $`\pi _1(Y^0)`$ contains a finite-index abelian subgroup of rank $`k`$ ($`k=0,4`$).

(2) Let $`XY`$ be the canonical cover of a log Enriques surface of index $`I`$, let $`\stackrel{~}{X}X`$ be the minimal resolution and $`D=D_i`$ the exceptional divisor. Then $`\pi _1(Y^0)=/(I)`$ if the lattice $`\mathrm{\Gamma }=[D_i]`$ is primitive in $`H^2(\stackrel{~}{X},)`$ and satisfies:

(\*) $`r=rank(\mathrm{\Gamma })18`$ and the discriminant group $`\mathrm{\Gamma }^{}/\mathrm{\Gamma }`$ is generated by $`k`$ elements with $`kmin\{r,20r\}`$.

Proof. Let $`XY`$ be the canonical $`/(I)`$-cover. Now the conclusion in (3.10) (1) with $`Y`$ replaced by $`X`$ holds by \[SZ, Proposition 4.1\]. So (1) is true for $`XY`$ is unramified over $`Y^0`$. For (2), \[SZ, Theorem 4.3\] implies $`\pi _1(X^0)=(1)`$. So (2) is true. This proves the theorem.

There is a concrete upper bound of $`\pi _1(Y^0)`$ for certain $`Y`$.

Theorem 3.11 \[GZ3, Theorem 1\]. Let $`Y`$ be a rational log Enriques surface of index $`2`$. Assume that $`Y`$ has no Du Val singularities. Then $`\pi _1(Y^0)`$ is a soluble group of order $`n_1n_2`$ with $`n_i16`$.

The results (3.9) $``$ (3.11) support the following which is just the conjecture in \[CKO\] when $`Y`$ is a Du Val $`K3`$ surface, i.e., when $`I(Y)=1`$ and $`q(Y)=0`$.

Conjecture 3.12. Let $`Y`$ be a log Enriques surface. Then the universal cover $`U`$ of $`Y^0`$ is a big open set (= the complement of a discrete subset) of either a Du Val $`K3`$ surface or of $`^2`$; in the latter case, $`UY^0`$ factors through a finite etale cover $`Z^0Y^0`$, where $`Z^0`$ is a big open set of an abelian surface $`Z`$.

(3.13). Since the canonical cover $`XY`$ of a log Enriques surface is unramified over $`Y^0`$, we have $`\pi _1(Y^0)/\pi _1(X^0)=/(I)`$. So (3.12) is, in most cases, reduced to the problem of $`\pi _1(X^0)`$ for a Du Val K3 surface $`X`$ (see (3.5)). We have the following:

Theorem \[KZ, Theorems 1 and 2\]. Conjecture $`3.12`$ is true if $`Y`$ is a Du Val $`K3`$ or Enriques surface and has several singularities of type $`A_{p1}`$ and no other singularities; here $`p`$ is a prime number.

(3.14). The following results contributes towards an answer in affirmative to (3.12). These are just applications of \[CKO, Theorems A and B\] to the canonical cover $`X`$ of $`Y`$. Also the upper bound $`\mathrm{\#}D15`$ is an optimum condition for $`\pi _1(X^0)`$ to be finite by considering Kummer surfaces.

Theorem. (1) Let $`Y`$ be a log Enriques surface with an elliptic fibration. Then either $`\pi _1(Y^0)`$ is finite or there is a finite cover of $`ZY`$ from an abelian surface which is unramified over $`Y^0`$.

(2) Let $`Y`$ be a log Enriques surface, $`XY`$ the canonical cover and $`\stackrel{~}{X}X`$ the minimal resolution with $`D`$ the exceptional divisor. Suppose that $`\mathrm{\#}D15`$. Then $`\pi _1(Y^0)`$ is finite.

(3.15). In \[Oh\], pairs $`(S,\mathrm{\Delta })`$ of normal surface $`S`$ and a $``$-divisor $`\mathrm{\Delta }`$ satisfying $`K_S+\mathrm{\Delta }0`$ (numerically) are considered. These pairs appear naturally as degenerate fibres in log degeneration; for many interesting cases, he completed the classification of these pairs.

(3.16). In \[Kj1, Theorem 0.1\], strongly minimal smooth affine surface $`S`$ with $`\kappa (S)=0`$ is classified and its invariants are classified (strongly minimal means almost minimal and having no exceptional curve of the second kind \[Mi, Ch II, (4.9)\]). In particular, the minimal $`m>0`$ with log pluri-genus $`P_m(S)>0`$, the log irregularity $`q(S)`$ and the Euler number $`e(S)`$ satisfy the following ($`\pi _1(S)`$ is also calculated there, which is generated by at most two elements):

$$m|6,q(S)\{0,1,2\},e(S)\{0,1,2,3,4\}.$$

(3.17). In \[Fu, §8\], all Q-homology planes of Kodaira dimension 0 are classified. It was also proved there that there is no Z-homology plane $`S`$ of Kodaira dimension $`\kappa (S)=0`$. The paper \[Fu\] is very important and also essentially used in \[Kj1\].

(3.18). Iitaka \[I2\] conjectured that an affine normal variety $`S`$ is isomorphic to $`(^{})^n`$ if and only if $`\kappa (S)=0`$ and $`q(S)=dimS`$. In the same paper, he himself proved it when $`dimS=2`$.

According to \[I1\], a (possibly open) surface $`S`$ is logarithmic $`K3`$ if the logarithmic invariants satisfy : $`q(S)=0`$, $`p_g(S)=1`$, $`\kappa (S)=0`$. In \[I1\] log K3 surfaces were classified. In \[Z1\], one defines the Iitaka surface as a pair $`(V,A+N)`$ of smooth projective rational surface $`V`$ and reduced divisor $`A+N`$ with $`A+K_V0`$ and $`N`$ contractible to Du Val singularities, and the classification of such pairs were done there.

(3.19). In \[Kj3\], Kojima studies complements $`S`$ of reduced plane curves with $`\kappa (S)=0`$; in particular he proves that the logarithmic geometric genus $`p_g(S)=1`$.

## Section 4. Normal algebraic surfaces $`Y`$ with Kodaira dimension $`\kappa (Y^0)=1,2`$

In this section we consider projective surface $`Y`$ with at worst quotient singularities and $`\kappa (Y^0)=1,2`$.

(4.1). We first consider the case $`\kappa (Y^0)=1`$. The following is a consequence of \[Ka1, Theorem 2.3\] or \[Mi, Ch II, Theorem 6.1.4\]. Indeed, in our case, the boundary divisor $`D^{}`$ is fractional and contains no effective integral divisor (1.3).

Theorem. Let $`Y`$ be a projective surface with at worst quotient singularities. Suppose that $`Y`$ is relatively minimal and $`\kappa (Y^0)=1`$.

Then there is a positive integer $`m`$ such that $`mK_Y`$ is Cartier and the linear system $`|mK_Y|`$ is composed with an irreducible pencil $`\mathrm{\Lambda }`$ without base points. Each general member of $`\mathrm{\Lambda }`$ is a smooth elliptic curve. So there is an elliptic fibration $`YB`$.

(4.2). Let $`Y`$ be a projective surface with at worst quotient singularities. Suppose that $`Y`$ is relatively minimal and $`\kappa (Y^0)=2`$. Then $`K_Y`$ is nef and big. By \[KMM, Theorem 3-1-1\], $`|mK_Y|`$ is base point free for $`m`$ sufficiently divisible, and hence defines a birational morphism $`\phi :YZ`$. This $`\phi `$ is nothing but the contraction of all curves on $`Y`$ having zero intersection with $`K_Y`$. Then $`Z`$ has at worst log canonical singularities (\[Ka1, Theorem 2.9\], \[Mi, Ch II, Theorem 4.12\]). Denote by $`LC`$ the set of points on $`Z`$ which is log canonical but not log terminal (i.e., not of quotient singularity). Then we have the following Miyaoka-Yau type inequality proved by \[Kb1, 2\] and \[KNS\].

Theorem 4.3. Let $`Y`$ be a projective surface with at worst quotient singularities. Suppose that $`Y`$ is relatively minimal and $`\kappa (Y^0)=2`$. Then we have the following, where $`P`$ runs over all quotient singularities of $`Z`$ and $`G_P`$ is the local fundamental group at $`P`$

$$K_Y^23\{e(ZLC)\underset{P}{}(1\frac{1}{|G_P|})\}.$$

(4.4). For smooth and minimal surfaces $`X`$ of general type, we have Noether inequalities

$$p_g(X)(1/2)c_1(X)^2+2,c_1(X)^2\frac{1}{5}c_2(X)\frac{36}{5}.$$

For singular surfaces, we have:

Theorem \[TZ, Theorems 1.3 and 2.10\].

Let $`Y`$ be a projective surface with at worst quotient singularities and $`\kappa (Y^0)=2`$. Then the logarithmic geometric genus $`p_g(Y^0)`$ satisfies the optimum upper bound:

$$p_g(Y^0)<K_Y^2+3.$$

(4.5). For smooth projective surface $`X`$ of general type, the famous Miyaoka-Yau inequality asserts that $`c_1(X)^23c_2(X)`$.

Consider log surface $`(V,D)`$ with $`V`$ a smooth projective surface and $`D`$ a reduced divisor with simply normal crossings. Set $`\overline{c}_1^2=(K_V+D)^2`$ and $`\overline{c}_2=c_2(V)e(D)`$. Sakai \[Sa\] proved that

$$\overline{c}_1^23\overline{c}_2$$

provided that $`D`$ is semi-stable and $`\kappa (VD)=2`$. The following is a lower bound of $`\overline{c}_1^2`$ in terms of $`\overline{c}_2`$. These two inequalities together give effective restrictions on the region for non-complete algebraic surfaces $`VD`$ of general type to exist. In the following, $`(V,D)`$ is minimal if $`K_V+D`$ is nef and there is no $`(1)`$-curve $`E`$ with $`E.(K_V+D)=0`$.

Theorem \[Z5, Cor. to Theorem C, Theorem D\]. Let $`(V,D)`$ be a log surface with $`D0`$. Assume that $`(V,D)`$ is minimal and $`\kappa (VD)=2`$. Assume further that $`\kappa (V)0`$. Then we have

(1)

$$\overline{c}_1^2\frac{1}{15}\overline{c}_2\frac{8}{5}.$$

(2) Suppose that $`p_g(VD)3`$ and $`|K_V+D|`$ is not composed with a pencil. Then

$$\overline{c}_1^2\frac{1}{9}\overline{c}_22.$$

## Section 5. Automorphisms of algebraic surfaces - smooth surface case

(5.1). We mention some background of $`\text{Aut}(X)`$ where $`X`$ is a smooth projective rational surface. $`\text{Aut}(X)`$ had been studied by S. Kantor more than one hundred years ago \[Kt\]. It was continued by Segre, Manin, Iskovskih, Gizatullin and many others \[Se\], \[Ma1, 2\], \[Is\], \[Gi\]. See also \[Ho1\], \[Ho2\]. In \[DO\], the group of automorphisms of any general del Pezzo surface is described and it turns out that its discrete part is equal to the kernel of the Cremona representation on the moduli space of $`n`$ points in $`^2`$. Very recently, de Fernex \[dF\] constructed all the Cremona transformations of $`^2`$ of prime order, where he employed the methods different from those used by Dolgachev and Zhang in \[ZD\].

In \[ZD\], minimal pairs $`(X,G)`$ with prime order $`p=|G|`$ was considered. In particular, using the recent Mori theory, it was shown there that if the $`G`$-invariant sublattice of $`\text{Pic}\text{ }X`$ has rank $`1`$ then $`p5`$ unless $`X=^2`$; the short and precise classification of these pairs, modulo equivariant isomorphism, was also given there.

Generic Enriques surfaces have infinitely many automorphisms. Those Enriques surfaces with finite automorphisms have been classified by S. Kond$`\overline{\mathrm{o}}`$ (\[Kon4\], see also \[Ni2\]); there are seven families of such Enriques surfaces. It follows that K3 covers of Enriques surfaces all have infinite automorphism groups.

For K3 surfaces, much progress on their automorphism groups has been done by Kond$`\overline{\mathrm{o}}`$, Keum, Dolgachev, Oguiso, and Zhang (\[Kon1, 2, 3\], \[Ke1, 3\], \[KK\], \[DK\], \[OZ1, 3, 4, 5\]).

It is known that minimal surfaces of general type has only finite automorphism groups. It was Xiao \[Xi1\] who gave a proof of the existence of a bound for the order of the automophism group, which is linear in the Euler number of the surface. For curves $`C`$ of genus $`2`$, a classical theorem of Hurwitz gave a sharp bound $`|\text{Aut}(C)|84(g(C)1)=42e(C)`$.

Theorem \[Xi2, Theorem 2\]. Let $`X`$ be a minimal surface of general type. Then $`|\text{Aut}(X)|(42K_X)^2`$, with equality if and only if $`X(C\times C)/N`$, where $`C`$ is a curve with $`|\text{Aut}(C)|=84(g(C)1)`$, $`N`$ a normal subgroup of $`\text{Aut}(C\times C)`$ acting freely on $`C\times C`$ and preserving the two projections of $`C\times C`$.

(5.2). In \[ZD\], pairs $`(X,G)`$ of a smooth rational projective surface $`X`$ and a finite group of automorphisms are considered. A pair is minimal if every $`G`$-equivariant birational morphism to another pair $`(Z,G)`$ is an isomorphism.

Theorem \[ZD, Therorem 1\]. Let $`(X,\mu _p)`$ be a minimal pair with $`p`$ a prime number.

(1) If the invariant sub-lattice $`(\text{Pic}X)^{\mu _p}`$ has rank at least $`2`$, then $`X`$ is a Hirzebruch surface and the pair $`(X,\mu _p)`$ is birationally equivalent to a pair $`(^2,\mu _p)`$.

(2) If $`(\text{Pic}X)^{\mu _p}`$ has rank $`1`$, then the pairs are classified in $`[ZD,Theorem1]`$; in particular, we have $`p5`$ unless $`X=^2`$.

(5.3). Let $`X`$ be a K3 surface. The following are well known (cf. \[BPV\]).

(1) $`H^{2,0}(X)=\omega _X`$,

where $`\omega _X`$ is a nowhere vanishing global holomorphic 2-form on $`X`$.

(2) $`H^2(X,)`$ is an even unimodular lattice of signature (3,19) with the cup product, so we have an isomorphism

$$H^2(X,)UUUE_8(1)E_8(1),$$

where $`U`$ (resp. $`E_8`$) is the even unimodular lattice of signature (1,1) (resp. (8,0)).

(3) $`\text{Pic}(X)`$ is isomorphic to the Néron-Severi group $`NS(X)`$, and hence can be viewed as a sublattice of $`H^2(X,)`$. The rank of $`\text{Pic}(X)`$, called the Picard number of $`X`$, is denoted by $`\rho (X)`$. This number can take the value 0, 1, …, 20. The lattice $`\text{Pic}(X)`$ is hyperbolic(=Lorentzian) if $`X`$ is projective, and is semi-negative definite or negative definite if $`X`$ is not projective.

(4) Recall that all K3 surfaces are Kähler \[Siu\], so Hodge decomposition holds for them.

(5) Let

$$C(X)H^{1,1}(X,):=H^{1,1}(X)H^2(X,)$$

denote the Kähler cone of $`X`$, the set of all classes of symplectic forms of Kähler-Einstein metrics on $`X`$. In K3 surface case, $`C(X)`$ can be numerically characterized as follows: $`C(X)=\{\omega H^{1,1}(X,):\omega ,\omega >0,\omega ,R>0`$ for all smooth rational curves $`R\}`$

For a compact Kähler manifold, Nakai-Moishezon type criterion, i.e. the characterization of the Kähler cone, is highly non-trivial (see \[DP\]).

(6) Let $`r`$ be an element of $`\text{Pic}(X)`$ with $`r,r=2d`$ $`(d>0)`$, and $`r,\text{Pic}(X)d.`$ Then

$$xx+x,rr/d$$

defines an isometry of $`\text{Pic}(X)`$, called a $`(2d)`$-reflection.

Let $`W(\text{Pic}(X))`$ (resp.$`W(\text{Pic}(X))^{(2)}`$) be the subgroup of the orthogonal group $`O(\text{Pic}(X))`$ generated by all reflections (resp. all $`(2)`$-reflections). These are normal subgroups of $`O(\text{Pic}(X))`$ and, by linearity, acts naturally on $`H^{1,1}(X,)`$. The set

$$\{\omega H^{1,1}(X,):\omega ,\omega >0\}$$

has two components, each a cone over a 19-dimensional hyperbolic manifold with constant curvature. $`C(X)`$ is contained in one of the two components, and the action of $`W(\text{Pic}(X))^{(2)}`$ on this component has $`C(X)`$ as its fundamental domain.

(7) If $`X`$ is projective, the ample cone

$$D(X):=C(X)\text{Pic}(X)$$

is non-empty and can be numerically characterized as $`D(X)=\{\omega \text{Pic}(X):\omega ,\omega >0,\omega ,R>0`$ for all smooth rational curves $`R\}`$. The group $`W(\text{Pic}(X))^{(2)}`$ acts on the component $`P_+(X)`$ of

$$\{\omega \text{Pic}(X):\omega ,\omega >0\}$$

containing $`D(X)`$, and has $`D(X)`$ as its fundamental domain.

Note that $`O(\text{Pic}(X))`$ acts on $`P_+(X)`$ and is a semi-direct product of the normal subgroup $`W(\text{Pic}(X))^{(2)}`$ and the symmetry group $`SymD(X)`$ of the cone $`D(X)`$, i.e.

$$O(\text{Pic}(X))/W(\text{Pic}(X))^{(2)}SymD(X).$$

(5.4). The Torelli theorem asserts that a K3 surface is determined up to isomorphism by its Hodge structure. More precisely we have:

Theorem (\[PSS\],\[BR\]). Let $`X`$ and $`Y`$ be K3 surfaces, and let

$$\varphi :H^2(X,)H^2(Y,)$$

be an isometry. Extend $`\varphi `$ to $`H^2(X,)`$ or to $`H^2(X,)`$ by tensoring with $``$ or $``$. Then :

(1) If $`\varphi `$ sends $`H^{2,0}(X)`$ to $`H^{2,0}(Y)`$, then $`X`$ and $`Y`$ are isomorphic.

(2) If $`\varphi `$ also sends $`C(X)`$ to $`C(Y)`$, then $`\varphi =f^{}`$ for a unique isomorphism $`f:YX`$.

(5.5). Let $`X`$ be a projective K3 surface. Torelli theorem shows that there is a map

$$\text{Aut}(X)O(\text{Pic}(X))/W(\text{Pic}(X))^{(2)}SymD(X)$$

which has finite kernel and cofinite image. So in practice, if we want to describe $`\text{Aut}(X)`$, the main step is to calculate $`O(\text{Pic}(X))/W(\text{Pic}(X))^{(2)}`$. This is in general a highly nontrivial arithmetic problem, if the group is infinite. There are 3 cases:

(1) $`W(\text{Pic}(X))^{(2)}`$ is of finite index in $`O(\text{Pic}(X))`$.

(2) $`W(\text{Pic}(X))^{(2)}`$ is of infinite index in $`O(\text{Pic}(X))`$, but $`W(\text{Pic}(X))`$ is of finite index in $`O(\text{Pic}(X))`$. (In this case, we call $`\text{Pic}(X)`$ reflective.)

(3) $`W(\text{Pic}(X))`$ is of infinite index in $`O(\text{Pic}(X))`$, i.e. $`\text{Pic}(X)`$ is not reflective.

Remark. The case (1) occurs if and only if $`\text{Aut}(X)`$ is finite. If $`\rho (X)3`$, this occurs if and only if $`X`$ contains at least one but finitely many smooth rational curves. If $`\rho (X)=2`$, this occurs if and only if $`X`$ contains a smooth rational curve or an irreducible curve of arithmetic genus 1, if and only if $`\text{Pic}(X)`$ represents $`2`$ or 0 \[PSS\]. Nikulin \[Ni1, Ni4\] and Vinberg classified all such lattices of rank $`3`$ belonging to the case (1). It follows from the classification that every algebraic Kummer surface has an infinite automorphism group (cf. \[Ke2\]).

The classification of the Néron-Severi lattice is also utilized in \[Og1 - Og3\], where he has proved the density of the jumping loci of the Picard number of a hyperkähler manifold under small 1-dimensional deformation, where he reveals the structure of hierarchy among all the narrow Mordell-Weil lattices of Jacobian K3 surfaces.

(5.6). For finite groups which can act on a K3 surface, the following results are given by S. Mukai and S. Kondo.

Theorem \[Mu\],\[Kon2\]. Let $`X`$ be a $`K3`$ surface and let $`G`$ be a finite symplectic subgroup of $`\text{Aut}(X)`$, i.e. $`G`$ acts trivially on $`H^{2,0}(X)`$. Then $`G`$ is isomorphic to a subgroup of the Mathieu group $`M_{23}`$, which has at least five orbits on a set $`\mathrm{\Omega }`$ of $`24`$ elements. In particular, $`|G|960`$.

Theorem \[Kon3\]. The maximum order among all finite groups which can act on a $`K3`$ surface is $`3840`$, and is uniquely realized by the group $`(/2)^4A_5/4`$ acting on the Kummer surface $`Km(E_\sqrt{1}\times E_\sqrt{1})`$, where $`E_\sqrt{1}`$ is the elliptic curve with $`\sqrt{1}`$ as its fundamental period.

Some projective K3 surfaces, including all algebraic Kummer surfaces and K3 covers of Enriques surfaces, have infinite automorphism groups. Given a projective K3 surface $`X`$ with $`\text{Aut}(X)`$ infinite, it is an interesting problem to determine a set of geometric generators of $`\text{Aut}(X)`$. This problem has been settled for certain classes of K3 surfaces. These results are given in (5.7) - (5.10) below.

(5.7). Two most algebraic $`K3`$ surfaces

Vinberg\[Vin\] calculated $`\text{Aut}(X)`$ for two K3 surface with transcendental lattice

$$T(X)=\left(\begin{array}{cc}2& 1\\ 1& 2\end{array}\right),\left(\begin{array}{cc}2& 0\\ 0& 2\end{array}\right)$$

respectively. In both cases, the full reflection group $`W(\text{Pic}(X))`$ is of finite index in $`O(\text{Pic}(X))`$.

(5.8). generic Jacobian Kummer surfaces

Let $`C`$ be a smooth curve of genus 2. The Jacobian variety $`J(C)`$ of $`C`$ is an abelian surface with a natural involution $`\tau `$ and the quotient variety $`J(C)/\tau `$ has 16 singularities of type $`A_1`$. This surface can be embedded as a quartic surface $`F`$ in $`^3`$ with 16 nodes. The minimal resolution $`X`$ of $`J(C)/\tau `$ is called the Jacobian Kummer surface associated with $`C`$. We call $`X`$ generic if the Néron-Severi group of $`J(C)`$ is generated by the class of $`C`$. For $`X`$ generic, the transcendental lattice $`T(X)`$ can be computed as follows:

$$T(X)=U(2)U(2)<4>.$$

Note that $`\text{Aut}(X)`$ is isomorphic to the birational automorphism group $`Bir(F)`$ of the singular quartic surface $`F`$. At the last century it was known that $`X`$ has many involutions, that is, sixteen translations induced by those of $`J(C)`$ by a 2-torsion point, sixteen projections of $`F`$ from a node, sixteen correlations by means of the tangent plane collinear to a trope, and a switch defined by the dual map of $`F`$. In 1900, Hutchinson found another 60 involutions associated with Göpel tetrads. Since Hutchinson, for generic $`X`$ no other automorphism had been provided until new 192 automorphisms were given in \[Ke1\].

Theorem \[Ke1\]. For a generic Jacobian Kummer surface, there are $`192`$ new automorphisms of infinite order which are not generated by classical involutions.

Theorem \[Kon1\]. The automorphism group of a generic Jacobian Kummer surface is generated by the classical involutions and the $`192`$ new automorphisms.

Theorem \[Ke3\]. For $`F`$ generic, all birational automorphisms of $`F`$ are induced by Cremona transformations of $`^3`$.

(5.9). Kummer surfaces associated with the product of two elliptic curves

The following four cases were considered. In each case, a set of generators of $`\text{Aut}(X)`$ is given in \[KK\].

Case I. $`X=Km(E\times F)`$ where $`E`$ and $`F`$ are non-isogenus generic elliptic curves.

Case II. $`X=Km(E\times E)`$ where $`E`$ is an elliptic curve without complex multiplications.

Case III. $`X=Km(E_\omega \times E_\omega )`$ where $`\omega `$ is a 3rd root of unity and $`E_\tau `$ is the elliptic curve with $`\tau `$ as its fundamental period.

Case IV. $`X=Km(E_\sqrt{1}\times E_\sqrt{1})`$.

The transcendental lattice $`T(X)`$ can be computed as follows:

$$T(X)=\{\begin{array}{cc}U(2)U(2),\hfill & \text{(Case I)};\hfill \\ U(2)<4>,\hfill & \text{(Case II)};\hfill \\ \left(\begin{array}{cc}4& 2\\ 2& 4\end{array}\right),\hfill & \text{(Case III)};\hfill \\ \left(\begin{array}{cc}4& 0\\ 0& 4\end{array}\right),\hfill & \text{(Case IV)}.\hfill \end{array}$$

Remark. In Case I the group $`W(\text{Pic}(X))`$ is of finite index in $`O(\text{Pic}(X))`$ and in other cases not.

(5.10). Quartic Hessian surfaces

Let $`S:F(x_0,x_1,x_2,x_3)=0`$ be a nonsingular cubic surface in $`^3`$. Its Hessian surface is a quartic surface defined by the determinant of the matrix of second order partial derivatives of the polynomial $`F`$. When $`F`$ is general enough, the quartic $`H`$ is irreducible and has 10 nodes. It contains also 10 lines which are the intersection lines of five planes in general linear position. The union of these five planes is classically known as the Sylvester pentahedron of $`S`$. The equation of $`S`$ can be written as the sum of cubes of some linear forms defining the five planes. A nonsingular model of $`H`$ is a K3 surface $`\stackrel{~}{H}`$. Its Picard number $`\rho `$ satisfies the inequality $`\rho 16`$. Note that $`\text{Aut}(\stackrel{~}{H})Bir(H)`$. In \[DK\] an explicit description of the group $`Bir(H)`$ is given when $`S`$ is general enough so that $`\rho =16`$. In this general case, the transcendental lattice $`T(\stackrel{~}{H})`$ can be computed as follows:

$$T(\stackrel{~}{H})=UU(2)A_2(2).$$

Although $`H`$, in general, does not have any non-trivial automorphisms (because $`S`$ does not), the group $`Bir(H)\text{Aut}(\stackrel{~}{H})`$ is infinite. It is generated by the automorphisms defined by projections from the nodes of $`H`$, a birational involution which interchanges the nodes and the lines, and the inversion automorphisms of some elliptic pencils on $`\stackrel{~}{H}`$.

This can be compared with the known structure of the group of automorphisms of the Jacobian Kummer surface (5.8). Indeed, the latter surface is birationally isomorphic to the Hessian $`H`$ of a cubic surface \[Hu\] but the Picard number of $`\stackrel{~}{H}`$ is equal to 17 instead of 16.

(5.11). Let us explain the method for computing the automorphism group of an algebraic K3 surface, which was first employed by S. Kond$`\overline{\mathrm{o}}`$ for generic Jacobian Kummer surface case (5.8)\[Kon1\]. The two cases (5.9) and (5.10) use this method, and even the first case (5.7) can also be calculated by the same method (See \[Bor2\]).

Let $`X`$ be an algebraic K3 surface with large Picard number, say $`\rho (X)3`$. Suppose that $`\text{Aut}(X)`$ is infinite. Then the ample cone $`D(X)`$ is not a (finite) polyhedral cone, i.e. has infinitely many faces. Hence, it is difficult to describe $`D(X)`$ explicitly. Assume that one can find

$``$ a polyhedral cone $`D^{}`$ in $`D(X)`$,

$``$ a set of automorphisms $`\{g_\alpha \}`$ of $`X`$ whose action on $`D(X)`$ has $`D^{}`$ as a fundamental domain.

Then, by (5.5), one can conclude that the automorphisms $`\{g_\alpha \}`$ generate the whole group $`\text{Aut}(X)`$, up to finite groups. In addition to $`\{g_\alpha \}`$, some symmetries of $`D^{}`$ (not all elements of $`SymD^{}`$ in general) may realize as automorphisms of $`X`$ and some projectively linear automorphisms, if any, generate the kernel of the map in (5.5).

Remark. In the above, $`g_\alpha `$ corresponds to a face of $`D^{}`$ orthogonal to a vector $`\alpha `$, and acts on $`D(X)`$ like a reflection, i.e. sends one of the half-spaces defined by $`\alpha `$ to the other half-space defined by $`\alpha `$ or to one of the two half-spaces corresponding to $`g_\alpha ^1`$. The second case actually occurs in generic Jacobian Kummer surface case (5.8).

(5.12). To find such a polyhedral cone $`D^{}D(X)`$, Kond$`\overline{\mathrm{o}}`$ used the known structure of the orthogonal group of the even unimodular lattice $`II_{1,25}`$ of signature (1,25). (Such a lattice is unique up to isomorphism and is isomorphic to $`\mathrm{\Lambda }U`$, where $`\mathrm{\Lambda }`$ is the Leech lattice, i.e. the even unimodular negative definite lattice of rank 24 which contains no vectors of norm $`2`$.) To be more precise, the following steps lead to the calculation of $`\text{Aut}(X)`$.

Step 1. Compute $`\text{Pic}(X)`$.

Step 2. Embed $`\text{Pic}(X)`$ primitively into $`II_{1,25}=\mathrm{\Lambda }U`$ such that the projection of the Weyl vector $`w=(0,(0,1))\mathrm{\Lambda }U`$ onto $`\text{Pic}(X)`$ must be an ample class.

Conway \[Co\] described a fundamental domain $`D`$ of the reflection group $`W(II_{1,25})^{(2)}`$ in terms of the Leech roots (=roots with intersection number 1 with the Weyl vector $`w`$). More precisely, he showed that $`W(II_{1,25})^{(2)}`$ is generated by $`(2)`$-reflections corresponding to Leech roots.

Step 3. The fundamental domain $`D`$ of the reflection group $`W(II_{1,25})^{(2)}`$ cuts out a finite polyhedral cone $`D^{}`$ inside the ample cone $`D(X)`$. In other words,

$$D^{}=DP_+(X),$$

where $`P_+(X)`$ is the positive component of $`\{\omega \text{Pic}(X):\omega ,\omega >0\}`$. Indeed, $`D`$ contains the Weyl vector $`w`$ and, by Step 2, the projection of $`w`$ is contained in $`D^{}`$.

Determine the hyperplanes $`\alpha `$ which bound $`D^{}`$. The reason why $`D^{}`$ is polyhedral comes from Borcherds \[Bor1\]; among infinitely many faces of $`D`$, those intersecting $`P_+(X)`$ bound $`D^{}`$, and these faces correspond to Leech roots having a non-zero projection onto $`\text{Pic}(X)`$.

Step 4. Match the faces $`\alpha `$ of $`D^{}`$ with automorphisms $`g_\alpha `$ such that $`g_\alpha `$ sends one of the half-spaces defined by $`\alpha `$ to the other half-space defined by $`\alpha `$ or to one of the two half-spaces corresponding to $`g_\alpha ^1`$.

This allows one to prove that the automorphisms $`g_\alpha `$ generate a group of symmetries of $`D(X)`$, having $`D^{}`$ as its fundamental domain.

Step 5. Take care of $`SymD^{}`$. See if which symmetries of $`D^{}`$ realize as automorphisms of $`X`$. Finally see if there are any projectively linear automorphisms, (which generate the kernel of the map in (5.5)).

Remark. In the known cases (5.7) - (5.10), the embedding $`\text{Pic}(X)\mathrm{\Lambda }U`$ is given in such a way that $`\text{Pic}(X)`$ is the orthogonal complement of a root sublattice of $`\mathrm{\Lambda }U`$. For example, in case (5.7) the orthogonal complement of $`\text{Pic}(X)`$ in $`\mathrm{\Lambda }U`$ is a primitive sublattice of rank 10 which contains a negative definite root lattice of type $`A_5+A_1^5`$, which is of index 2.

In practice, Step 4 seems most complicated. The automorphism $`g_\alpha `$ works like a reflection, but is not necessarily an involution. It may be of infinite order. At any rate, $`g_\alpha `$ may be geometrically evident, or can be picked up from a list of already known automorphisms, or may be found by looking at extra structures of $`X`$, e.g. elliptic fibrations, double plane structures,…, etc. In worst cases, one has to find an (abstract) effective Hodge isometry of $`H^2(X,)`$ and then realize it geometrically.

The reason why the beautiful combinatorics of the Leech lattice plays a role in the description of the automorphism groups of K3 surfaces is still unclear to us. We hope that the classification of all K3 surfaces whose Picard lattice is isomorphic to the orthogonal complement of a root sublattice of $`II_{1,25}`$ will shed more light to this question.

Remark (5.13). The method (5.12) also works for some supersingular K3 surfaces. I. Dolgachev and S. Kond$`\overline{\mathrm{o}}`$ \[DoKo\] have computed the automorphism group of a supersingular K3 surface in characteristic 2 whose Picard lattice is $`UD_{20}`$. (For supersingular K3 surfaces Torelli type theorem holds, i.e. an automorphism of a supersingular K3 surface is determined by its action on the Picard lattice.)

An even lattice $`L`$ is reflective if its reflection group $`W(L)`$ is of finite index in $`O(L)`$ (see (5.5)). The lattice $`UD_{20}`$ is reflective as it is pointed out by Borcherds \[Bor1\] and it is the only known example, up to scaling, of an even reflective hyperbolic lattice of rank 22. The range of possible rank of an even reflective lattice of signature $`(1,r1),r1`$, is given by Esselmann \[Es\]: it takes the same range 1, 2,…, 20, 22 as the Picard number of a K3 surface in positive characteristic.

## Section 6. Automorphisms of algebraic surfaces - singular surface case

(6.1). In \[MM\] and \[MZ3\], one considers pairs $`(V,G)`$ of surface $`V`$ and group $`G`$ of automorphisms, where $`V`$ may be singular and even non-complete.

(6.2). Let $`Y`$ be a Gorenstein del Pezzo singular surface of Picard number 1. In \[Z9\], one classifies all actions on $`Y`$ by cyclic groups $`/(p)`$ of prime order $`p5`$.

Theorem \[Z9, Theorems A and C\].

Let $`Y`$ be a Gorenstein del Pezzo singular surface of Picard number $`1`$. Then we have:

(1) Either $`|\text{Aut}(Y)|=2^a3^b`$ for some $`1a+b7`$, or $`\text{Aut}(Y)/(p)`$ for every prime $`p5`$ and hence $`|\text{Aut}(Y)|=\mathrm{}`$.

(2) $`|\text{Aut}(Y)|`$ is finite if and only if either $`\text{Sing}Y=A_7`$ or $`K_Y^2=1`$ and $`|K_Y|`$ has at least three singular members.

(3) Let $`p5`$ be a prime. Suppose that $`Y`$ is not isomorphic to the quadric cone in $`^3`$. Then modulo equivariant isomorphism, there is either none, or only one, or exactly $`p+1`$ action(s) of $`/(p)`$ on $`Y`$. All actions are given in $`[Z9]`$.

Remark 6.3. We like to compare (6.2) with known results for smooth del Pezzo surfaces.

(1) If $`X`$ is a generic rational surface with $`K_X^25`$, then $`|\text{Aut}(X)|`$ divides $`5!`$ (see \[DO\], \[Ki\]) .

(2) If $`X`$ is a del Pezzo surface of degree 3, 4, then $`\text{Aut}(X)`$ does not contains $`/(p)`$ for any prime $`p7`$, and modulo equivariant isomorphism there is at most one non-trivial $`/(5)`$ action on $`X`$ \[Ho1, 2\].

(3) Let $`X`$ be a rational projective surface with a non-trivial $`/(p)`$-action for some prime $`p`$ such that the $`/(p)`$-invariant sublattice of $`\text{Pic}X`$ is of rank 1 (this condition is automatic if the Picard number $`\rho (X)=1`$). If $`X`$ is smooth, then $`p5`$ unless $`X=^2`$ \[ZD, Theorem 1\].

## Acknowledgement

We would like to thank the referee for careful reading and suggestions which improve the paper. This article was initiated when both of us were attending the conference – Algebraic Geometry in East Asia – in August 2001, and we would like to thank the organizers for providing the wonderful environment and the encouragement for us to write a survey article. This work was finalized when the second-named author visited Korea Institute for Advanced Study in December 2001, and he likes to thank the institute for the hospitality. This work was partially supported by Korea Science and Engineering Foundation (R01-1999-00004) and an Academic Research Fund of National University of Singapore.

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J. Keum

Korea Institute for Advanced Study

207-43 Cheongryangri-dong, Dongdaemun-gu

Seoul 130-012, Korea

E-mail : jhkeumkias.re.kr

D. -Q. Zhang

Department of Mathematics

National University of Singapore

2 Science Drive 2, Singapore 117543

Republic of Singapore

E-mail: matzdqmath.nus.edu.sg


format: text

text:
# Transport spectroscopy in a time-modulated open quantum dot

## I Introduction

In the past decade, quantum transport phenomena in open quantum dots has received much attention. Mar92 ; Chang94 ; Chan95 ; Persson95 ; Keller96 ; Wang96 ; Akis97 ; Zoz98 ; Akis98 ; Bird99 ; Moura02  The open quantum dot, consisting of a submicron sized cavity connecting via point contact leads to two end-electrodes, has become an important device for the investigation of phase coherent processes and their various mechanisms. The size of the dot and the width of the leads can be controlled by split-gates. In high electron mobility samples, and at sufficient low temperatures, the phase coherent length may well exceed the dimension of the device, allowing electrons to remain coherent while traversing the dot.

Meanwhile, there are growing interest in the high-frequency responses of mesoscopic nanostructures. The time-modulated fields invoked are either high-frequency electromagnetic fieldshek91 ; fen93 ; gor94 ; maa96 ; chu96 ; wag97 ; tang99 ; Reichl00 ; tang00  or time-modulated potentials. bag92 ; tang96 ; tang98 ; Reichl99 ; tang01  A number of theoretical approaches have been developed to explore quantum transport under such time-modulated fields. WKB approximation was employed in the study of photovoltaic effect hek91  and photon-assisted quantum transport. fen93  A mode-matching method was developed for delta-profile bag92  as well as finite-range profile time-modulated potentials. tang96  Extension of this method to time-dependent field, represented by a vector potential $`\stackrel{}{A}(t)`$, was carried out by either neglecting maa96  or including tang99  the contribution of $`\stackrel{}{A}(t)^2`$ term. This mode-matching method was further extended to accommodate spatial inhomogeneity. The time-modulated field is divided into piece-wise potentials connected by either transfer matrices wag97  or scattering matrices. tang98  Recently, this latter approach has been applied to study a mechanism of nonadiabatic quantum pumping. tang01  This pumping mechanism is due to resonances resulted from coherent inelastic scattering that requires simultaneous changes in both the energy and momentum of the traversing electron, by respectively, $`\mathrm{}\mathrm{\Omega }`$ and $`\mathrm{}K`$. Here $`\mathrm{\Omega }`$ and $`K`$ characterize, respectively, the temporal and the spatial variation of the modulation field. Encouraged by the success of the time-modulated mode-matching method, we opt to apply the method to the very interesting case of time-modulated quantum dots.

In the absence of a time-modulated field, transmission of electrons through a quantum dot already shows resonance structures. For the case of a weakly coupled dot — dot in which electrons are separated from the connecting leads by tunneling barriers — the resonance peaks in the transmission are due to the alignment of the incident electron energy with the quasi-bound-state (QBS) levels in the dot. Wang92 ; Tarucha96 ; Kouwenhoven97  Interestingly, QBSs of similar nature still exist in the case of an open quantum dot — where tunneling barriers between the dot and the lead are absent. These QBSs, again, give rise to resonances in the transmission. However, dip structures, rather than peaks, become the signatures for the resonances.

When acted upon by a time-modulated potential, the transmission of a weakly-coupled dot was found to exhibit additional resonance peaks: peaks associated with ac sidebands. Oosterkamp97  This is due to the alignment, albeit shifted by $`n\mathrm{}\omega `$, of the incident electron energy with the QBS levels in the dot. Other features found in a time-modulated weakly coupled dot are photon-assisted tunneling, Buttiker96  electron pumps, Geerlings  and phase breaking. Anatram

Recently, an open quantum dot, acted upon by a transversely polarized electromagnetic field, and connected adiabatically to the connecting leads, has been considered. Gorelik97 ; Gorelik01  The adiabatic dot-lead connections allow an electron mode in the lead to evolve into an electron mode in the dot. Thus, situations occur when an electron in the lower mode in the dot can exit the dot without reflection, while an electron at the same energy, but in a higher mode in the dot, is trapped inside it. As such, inter-mode transitions between the above two modes in the dot, as induced by the transversely polarized electromagnetic field, were found to lead to giant mesoscopic conductance fluctuations Gorelik97  and microwave-induced resonant blocking in a mesoscopic channel. Gorelik01

The adiabaticity of the dot-lead connection holds for large quantum dots. But as the sizes of the open quantum dot shrink and approach the realm of the Fermi wavelength, the dot-lead connections could no longer remain adiabatic. More recent experimental findings in dc transport in open quantum dots — that transport occurs through individual eigenstates of the corresponding closed dot; Zozou99  and that the conductance oscillations correlate to the recurrence of specific groups of wave function scars in the dot Bird99  — indicate unequivocally that inter-mode scattering, and backscattering are present, respectively, at the dot-lead connections. The effect of impurity should play no role here because of the high mobility of the sample used in these experiments.

Therefore, in this work, we consider a time-modulated open quantum dot with non-adiabatic dot-lead connections. We calculate the dc conductance $`G`$ of a time-modulated open quantum dot and the dwell time $`\tau _\mathrm{d}`$ of the traversing electron in the dot. We have analyzed the resonance structures in $`G`$ associated with the time-modulation and are able to categorize them according to their respective dynamical processes involved. Of these three resonance types, one is analogous to that found in time-modulated weakly coupled dots. It is associated with the alignment of the incident electron energy with that of the ac sidebands of the QBSs inside the open dot. The second type is associated with the coherent inelastic scattering of the traversing electron into the true bound state in the open dot—bound state which energy is lower than the threshold energy of the leads. The third type of resonance structures is most unexpected. It is associated with the coherent inelastic scattering of the traversing electron into the QBS in the lead—with energy just beneath the threshold energy of the lead. Also, from the dwell time $`\tau _\mathrm{d}`$, we estimate the number of scatterings that occur in the dot as the resonance structures establish themselves. In all, our results demonstrate the potential of establishing quantum transport as a spectroscopic probe for the QBSs and true bound states in the open dot—and possibly in other mesoscopic structures—through the coupling of a time-modulated field to the system.

In section II, we present our theoretical method for the calculation of $`G`$ and $`\tau _\mathrm{d}`$. The numerical results are presented and discussed in Sec. III. Finally, in Sec. IV, we present our conclusions.

## II Model and method

The system under investigation is sketched (top view) in Fig. 1, where the shaded area denotes the region acted upon by a time-modulated potential. The dot we consider has physical parameters typical to that in high mobility two-dimensional electron gas (2DEG), formed in an AlGaAs-GaAs heterostructure. As such, mobility $`\mu _e10^6\mathrm{cm}^2/\mathrm{Vs}`$, mean free path $`l1\mu \mathrm{m}`$ at sufficient low temperatures, and dots with submicron dot sizes would be in the ballistic regime. The Hamiltonian is given by

$$H=\frac{\mathrm{}^2}{2m}\left[\frac{^2}{x^2}+\frac{^2}{^2y}\right]+V_c(x,y)+V(x,t),$$
(1)
where $`V_c(x,y)`$ is the confinement potential, chosen to be of hard-wall type, that defines the dot and the leads. It is given by $`V_c=0`$ if $`|y|<W_1/2`$ and $`|x|>L/2`$; $`V_c=0`$ if $`|y|<W_2/2`$ and $`|x|<L/2`$; and $`V_c=\mathrm{}`$ if otherwise. Here $`W_1,W_2`$ are, respectively, widths of the lead and the dot. The time-modulated potential

$$V(x,t)=V_0\mathrm{cos}\left(\omega t\right)\mathrm{\Theta }\left(L/2\left|x\right|\right)$$

acts only upon the dot.

For the sake of convenience, the physical quantities that appear in the following equations are dimensionless: with energy unit $`E^{}=E_F=\mathrm{}^2k_F^2/2m`$, wave vector unit $`k^{}=k_F`$, length unit $`a^{}=1/k_F`$, time unit $`t^{}=\mathrm{}/E_F`$, and frequency unit $`\omega ^{}=1/t^{}`$. The scattering wavefunction for an electron incident upon the dot from the $`l`$-th channel in the left-lead, is of the form

$$\psi _l(x,y,t)=\chi _l(y)e^{ik_l(0)x}e^{i\mu t}+\underset{n^{}}{}\underset{m^{}}{}\chi _n^{}(y)r_{n^{}l}(m^{})\mathrm{exp}\left[ik_n^{}(m^{})xi(\mu +m^{}\omega )t\right],\mathrm{if}x<L/2,$$

$$\psi _l(x,y,t)=\underset{k^{}}{}\varphi _k^{}(y)𝑑ϵ[\stackrel{~}{A}_{k^{}l}(ϵ)e^{i\beta _k^{}(ϵ)x}+\stackrel{~}{B}_{k^{}l}(ϵ)e^{i\beta _k^{}(ϵ)x}]\mathrm{exp}\left[iϵti\frac{V_0}{\omega }\mathrm{sin}\omega t\right],\mathrm{if}|x|<L/2,$$
(2)
$$\psi _l(x,y,t)=\underset{n^{}}{}\underset{m^{}}{}\chi _n^{}(y)t_{n^{}l}(m^{})\mathrm{exp}\left[ik_n^{}(m^{})xi(\mu +m^{}\omega )t\right],\mathrm{if}x>L/2,$$

where the subscripts $`n^{}`$ and $`k^{}`$ are the subband indices in, respectively, the leads and the dot, and $`m^{}`$ is the sideband index. In addition, $`k_l(m^{})=\left(\mu +m^{}\omega (l\pi /W_1)^2\right)^{1/2}`$ and $`\beta _k^{}(m^{})=\left(\mu +m^{}\omega (k^{}\pi /W_2)^2\right)^{1/2}`$ denote, respectively, the wave vectors in the lead and the dot. The normalized transverse subband states are $`\chi _l(y)=(2/W_1)^{1/2}\mathrm{sin}\left[l\pi (y/W_1+1/2)\right]`$ and $`\varphi _k^{}(y)=(2/W_2)^{1/2}\mathrm{sin}\left[k^{}\pi (y/W_2+1/2)\right]`$.

The matching of the wave functions at the openings of the dot, and at all times, requires the coefficients in the dot to have the form

$$\stackrel{~}{}_{k^{}l}(ϵ)=\underset{m^{}}{}_{k^{}l}(m^{})\delta (ϵ\mu m^{}\omega ),$$

where $`\stackrel{~}{}_{k^{}l}(ϵ)`$ refers to either $`\stackrel{~}{A}_{k^{}l}(ϵ)`$ or $`\stackrel{~}{B}_{k^{}l}(ϵ)`$. Performing the matching, and after some algebra, we obtain

$`\left[A_{kl}(m)\mathrm{exp}\left(i\beta _k(m){\displaystyle \frac{L}{2}}\right)+B_{kl}(m)\mathrm{exp}\left(i\beta _k(m){\displaystyle \frac{L}{2}}\right)\right]`$ (3)
$`=`$ $`{\displaystyle \underset{n^{}}{}}{\displaystyle \underset{m^{}}{}}J_{m^{}m}\left({\displaystyle \frac{V_0}{\omega }}\right)\left[a_{lk}\mathrm{exp}\left(ik_l(m^{}){\displaystyle \frac{L}{2}}\right)\delta _{n^{}l}\delta _{m^{}0}+a_{n^{}k}r_{n^{}l}(m^{})\mathrm{exp}\left(ik_n^{}(m^{}){\displaystyle \frac{L}{2}}\right)\right],`$
$`\left[A_{kl}(m)\mathrm{exp}\left(i\beta _k(m){\displaystyle \frac{L}{2}}\right)+B_{kl}(m)\mathrm{exp}\left(i\beta _k(m){\displaystyle \frac{L}{2}}\right)\right]`$ (4)
$`=`$ $`{\displaystyle \underset{n^{}}{}}{\displaystyle \underset{m^{}}{}}J_{m^{}m}\left({\displaystyle \frac{V_0}{\omega }}\right)\left[a_{n^{}k}t_{n^{}l}(m^{})\mathrm{exp}\left(ik_n^{}(m^{}){\displaystyle \frac{L}{2}}\right)\right],`$
$`{\displaystyle \underset{k^{}}{}}a_{nk^{}}\beta _k^{}(m)\left[A_{k^{}l}(m)\mathrm{exp}\left(i\beta _k^{}(m){\displaystyle \frac{L}{2}}\right)B_{k^{}l}(m)\mathrm{exp}\left(i\beta _k^{}(m){\displaystyle \frac{L}{2}}\right)\right]`$ (5)
$`=`$ $`{\displaystyle \underset{m^{}}{}}J_{m^{}m}\left({\displaystyle \frac{V_0}{\omega }}\right)k_n(m^{})\left[\delta _{nl}\delta _{m^{}0}\mathrm{exp}\left(ik_l(m^{}){\displaystyle \frac{L}{2}}\right)r_{nl}(m^{})\mathrm{exp}\left(ik_n^{}(m^{}){\displaystyle \frac{L}{2}}\right)\right],`$
and

$`{\displaystyle \underset{k^{}}{}}a_{nk^{}}\beta _k^{}(m)\left[A_{k^{}l}(m)\mathrm{exp}\left(i\beta _k^{}(m){\displaystyle \frac{L}{2}}\right)B_{k^{}l}(m)\mathrm{exp}\left(i\beta _k^{}(m){\displaystyle \frac{L}{2}}\right)\right]`$ (6)
$`=`$ $`{\displaystyle \underset{m^{}}{}}J_{m^{}m}\left({\displaystyle \frac{V_0}{\omega }}\right)k_n(m^{})t_{nl}(m^{})\mathrm{exp}\left(ik_n(m^{}){\displaystyle \frac{L}{2}}\right),`$
where Eqs.(5) and (6) are obtained from matching the derivatives of the wave functions. The overlapping integral $`a_{lk}`$ of the transverse subband states is given by

$$a_{lk}=_{W_1/2}^{W_1/2}\chi _l(y)\varphi _k(y)𝑑y,$$
(7)
and the identity $`\mathrm{exp}\left(iz\mathrm{sin}\omega t\right)=_pJ_p(z)\mathrm{exp}\left(ip\omega t\right)`$ has been invoked. We have solved Eqs.(3)-(6) for the coefficients $`A_{kl}(m)`$, $`B_{kl}(m)`$, $`r_{n^{}l}(m^{})`$ and $`t_{n^{}l}(m^{})`$. Furthermore, we note that the sole appearance of $`V_0`$ in Eqs.(3)-(6) is in the form $`V_0/\omega `$, and as an argument of the Bessel functions $`J_m`$. This shows a general trend that the effect of the time-modulated potential decreases with the raising of the frequency $`\omega `$.

In the low drain-source bias regime, the dc conductance is given by

$$G=\frac{2e^2}{h}\underset{l=1}{\overset{N}{}}T_l$$
(8)
where $`N`$ denotes the number of propagating channels in the leads. The current transmission coefficient $`T_l`$ for an electron incident from the $`l`$-th channel in the lead is

$$T_l=\underset{n^{}}{}\underset{m^{}}{}\frac{k_n^{}(m^{})}{k_l(0)}\left|t_{n^{}l}(m^{})\right|^2.$$
(9)
The current reflection coefficient $`R_l`$ has a similar form, and the current conservation condition $`T_l+R_l=1`$ is used to check on our numerical accuracy.

The stationary dwell time within one-dimensional system was well defined. Smith  However, in a multi-channel system such as open quantum dots, we should consider not only the probability of finding the particle in the dot but also that due to evanescent states in the vicinity of the dot. Hence, we define the dwell time as

$$\tau _d=\frac{_𝒜^{}|\psi (x,y,t)|^2_{\mathrm{t}.\mathrm{a}.}𝑑x𝑑y}{𝑑yj_{\mathrm{inc}}}$$
(10)
where $`j_{\mathrm{inc}}`$ denotes the incident electron flux. The subscript $`\mathrm{t}.\mathrm{a}.`$ denotes time average. Here we note that the integral in the numerator and its region of interest $`𝒜^{}`$ include not only the region inside the quantum dot (region II), but also the evanescent modes on both the left-hand side (region I) and the right-hand side (region III) of the dot. Hence, the time-averaged probability density in the numerator of Eq. (10) can be separated into three integrals, expressed explicitly as

$`{\displaystyle _\mathrm{I}𝑑x𝑑y|\psi (x,y,t)|^2_{\mathrm{t}.\mathrm{a}.}}`$ (11)
$`=`$ $`{\displaystyle _{\mathrm{}}^{L/2}}𝑑x{\displaystyle \underset{n^{}}{}}{\displaystyle \underset{m^{}}{}}|r_{n^{}l}(m^{})|^2e^{2\kappa _n^{}(m^{})x},`$
$`{\displaystyle _{\mathrm{II}}𝑑x𝑑y|\psi (x,y,t)|^2_{\mathrm{t}.\mathrm{a}.}}`$
$`=`$ $`{\displaystyle _{L/2}^{L/2}}dx{\displaystyle \underset{k^{}}{}}{\displaystyle \underset{m^{}}{}}\{A_{k^{}l}(m^{})A_{k^{}l}^{}(m^{})`$
$`\times \mathrm{exp}\left[i\left(\beta _k^{}(m^{})\beta _k^{}^{}(m^{})\right)x\right]`$
$`+B_{k^{}l}(m^{})B_{k^{}l}^{}(m^{})e^{i\left(\beta _k^{}(m^{})\beta _k^{}^{}(m^{})\right)x}`$
$`+2\mathrm{R}\mathrm{e}\left[A_{k^{}l}(m^{})B_{k^{}l}^{}(m^{})e^{i\left(\beta _k^{}(m^{})+\beta _k^{}^{}(m^{})\right)x}\right]\},`$
and

$`{\displaystyle _{\mathrm{III}}𝑑x𝑑y|\psi (x,y,t)|^2_{\mathrm{t}.\mathrm{a}.}}`$ (13)
$`=`$ $`{\displaystyle _{L/2}^{\mathrm{}}}𝑑x{\displaystyle \underset{n^{}}{}}{\displaystyle \underset{m^{}}{}}|t_{n^{}l}(m^{})|^2\mathrm{exp}\left(2\kappa _n^{}(m^{})x\right)`$
where the indices $`n^{}`$ and $`m^{}`$ in the summation for regions $`\mathrm{I}`$ and $`\mathrm{III}`$ include only the evanescent waves, and $`\kappa _n^{}(m)=ik_n^{}(m)`$. Substituting Eqs. (11)-(13) into Eq. (10), we obtain the average dwell time of electrons in the open quantum dot system.

## III RESULTS AND DISCUSSION

In this section, we present our numerical examples for exploring the time-modulated effects on the quantum transport in open quantum dots — the conductance and the dwell time versus the incident electron energy $`\mu `$. In the following, we choose energy unit $`E^{}=9\mathrm{meV}`$, length unit $`a^{}=8`$ nm, unit of angular frequency $`\omega ^{}=13.6`$ Trad/sec, and the effective mass $`m^{}=0.067m_e`$ where $`m_e`$ is the free electron mass of an electron. The geometric parameters are chosen such that the width $`W_1=10`$ $`(80\mathrm{n}\mathrm{m})`$ for the leads, and the width $`W_2=20`$ $`(160\mathrm{n}\mathrm{m})`$ and the length $`L=30`$ $`(240\mathrm{n}\mathrm{m})`$ for the open quantum dot, which is typical for current experimental fabrication. It is convenient to define $`X^2\mu /\epsilon _1`$ where $`\epsilon _1=\left(\pi /W_1\right)^2`$ is the first transverse subband level in the leads, then the integral values of $`X`$ stand for the number of occupied subbands in the leads.

In the absence of time-modulation, the quantum states of the open quantum dot associate closely with the bound states of the corresponding closed dot with the same geometry. For a closed dot with length $`L`$ and width $`W_2`$, the bound state energy $`E_{\mathrm{b}.\mathrm{s}.}=(n_x\pi /L)^2+(n_y\pi /W_2)^2`$ is labelled by a pair of quantum number $`(n_x,n_y)`$. Then we may obtain the rescaled bound state levels $`\underset{¯}{E}(n_x,n_y)E_{\mathrm{b}.\mathrm{s}.}/\epsilon _1=n_x^2/9+n_y^2/4`$ inside the closed dot. For an open dot, the energy spectrum consists of both true bound states and QBSs corresponding either to electrons with energy $`\mu `$ less than or higher than the threshold energy $`\epsilon _1`$ in the lead. As such, there are only two possible true bound states in the open dot: $`E_{B1}\underset{¯}{E}(1,1)=0.361`$ and $`E_{B2}\underset{¯}{E}(2,1)=0.694`$.

In Fig. 2, the conductance characteristic is studied as a function of incident electron energy: (a) in the absence of time-modulation, as a comparative reference; and (b)-(d) in the presence of time-modulation with angular frequencies $`\omega /\epsilon _1=0.1`$, $`0.3`$, and $`0.5`$, respectively, which also correspond to frequencies $`f=\omega /2\pi 21.4`$, $`64.2`$, and $`107`$ GHz. This frequency range is typical for current experiments. Qin01  In addition, the modulation amplitude is chosen to be $`V_0=0.1\epsilon _1`$ $`\left(0.09\mathrm{meV}\right)`$. There are three dip structures common to all four plots. These dip structures occur at energies $`\mu /\epsilon _1=2.364(E_{Q1})`$, $`2.672(E_{Q2})`$, and $`3.208(E_{Q3})`$. These are associated with the alignment of the incident electron energy with that of the QBS levels inside the open dot, as is indicated by the open triangle symbols locating the closed dot $`\underset{¯}{E}(1,3)=2.361`$, $`\underset{¯}{E}(2,3)=2.694`$, and $`\underset{¯}{E}(3,3)=3.250`$. The corresponding dwell time of these QBSs are, respectively, $`\tau _d73.5`$, $`26.7`$, and $`69.0`$ ps, as shown in Fig. 3(a). These dwell time peak structures confirm the resonant nature of the states inside the dot.

Another interesting feature in Fig. 2(b) is the side-dip structures around the QBSs $`E_{Qi}`$, which is associated with electrons at incident energy $`\mu `$ that are able to make $`m`$-photon intersideband transitions into the $`i`$-th QBS level. The condition is

$$\mu +m\mathrm{}\omega =E_{Qi},$$
(14)
where the positive $`m`$ and negative $`m`$ indicate, respectively, the absorption and emission of $`m`$-photons. Hence $`m=1`$ side-dips are at $`\mu /\epsilon _1=2.465`$, $`2.770`$, $`3.309`$; $`m=+1`$ side-dips are at $`\mu /\epsilon _1=2.165`$, $`2.574`$, $`3.110`$; and $`m=+2`$ side-dips are at $`\mu /\epsilon _1=2.266`$, $`3.008`$. The $`m=2`$ process in the vicinity of the $`E_{Q3}`$ state is barely identified and is at $`\mu /\epsilon _1=3.411`$.

Two additional types of intersideband transition mechanisms are found in the low energy regime in Fig. 2. As is shown in Fig. 2(d), whereas the frequency $`\omega =0.5\epsilon _1`$ is high enough, the electrons with $`\mu /\epsilon _1=1.087`$ may emit $`\mathrm{}\omega `$ and make transitions into $`E_{B2}`$ — the true bound state in the dot. The electron dwell time of this structure is $`\tau _d216.6`$ ps, see Fig. 3(d). In addition, electrons may also emit photons to make transitions into a QBS formed at energy just beneath a subband threshold in the lead. This mechanism is identified to be the fano structures at $`\mu /\epsilon _1=1.028`$, $`1.233`$, and $`1.435`$, as shown in Fig. 2(b)-(d), respectively, where $`(\mu \omega )/\epsilon _1`$ is close to $`1`$ from below. Correspondingly, the dwell time of these structures are $`\tau _d23.0`$, $`125.5`$, and $`200.2`$ ps, see Fig. 3(b)-(d). More precisely, these structures correspond to electrons that emit $`\mathrm{}\omega `$ to $`\mu /\epsilon _1=0.93`$ and being trapped temporarily to form QBSs in the lead.

To provide further evidence for the above two transition mechanisms, we plot, in Fig. 4, the spatial dependence of the time-averaged probability density. The parameters are chosen to be the same as in Fig. 2(d). When the electron incident at energy $`\mu =1.0854\epsilon _1`$, as shown in Fig. 4(a), we see that the time-averaged electron probability concentrates entirely within the dot and is like a (2,1) state. This support the fact that the electron being trapped in a true bound state in the dot. Second, when the electron incident at energy $`\mu =1.4353\epsilon _1`$, the electron probability has long exponential tails extending into the leads. The edges of the dot are at $`x=\pm 15`$. This demonstrates that the electron has made an intersideband transition, by emitting one photon, into a QBS in the lead which energy is just below the threshold energy. We have also checked that similar process can be found even in a time-modulated one dimensional quantum well connecting to leads. A traversing electron can make intersideband transitions into QBSs in the leads or into true bound states in the well. tang-unp

To better appreciate the meaning of the dwell time, we define the number of round-trip scatterings $`N_{\mathrm{sc}}`$ undertaken by the traversing electron. It is the ratio of the dwell time $`\tau _d`$ to the ballistic time $`\tau _b`$ it takes the electron to go between the two dot-openings. The ballistic time for electrons traversing through the quantum dot is simply $`\tau _bL/v_e`$ where $`v_e`$ denotes the electron velocity, given by $`v_e=\mathrm{}k_x/m`$. We consider the electron incident in the lowest subband and then the electron ballistic time is given by $`\tau _b=L/\left(\mu \epsilon _1\right)^{1/2}`$ in units of $`t^{}`$. Hence, in Fig. 3(d), the main peaks at $`\mu /\epsilon _1=1.085`$, $`1.435`$, $`2.365`$, $`2.673`$, and $`3.210`$ correspond to the ballistic times $`\tau _b24.0`$, $`16.1`$, $`6.01`$, $`5.43`$, and $`4.72`$ ps, respectively. The corresponding $`\tau _d`$’s are, respectively, $`216.6`$, $`200.2`$, $`71.8`$, $`21.8`$, and $`67.9`$. Therefore, we obtain the number of round-trip scatterings $`N_{\mathrm{sc}}\tau _d/2\tau _b4.5`$, $`6.2`$, $`6.0`$, $`2.0`$, and $`7.2`$, respectively. In light of the above analysis, we can see that two round-trip times are already sufficient to form a significant QBS level inside the open dot. The estimation for $`\tau _b`$ could be improved by considering the effective electron velocity in the dot, rather than in the lead. But we expect $`N_{\mathrm{sc}}`$ to remain of the same order of magnitude as what we have shown here. Moreover, the $`N_{\mathrm{sc}}`$ obtained here is the lower bound to any such improved estimation.

It is known tang96  that the strength of the time-modulated potential depends on the ratio of $`V_0`$ to $`\omega `$. As a result, for a given amplitude $`V_0`$, the sideband dip features are suppressed with the increasing of the modulation frequency $`\omega `$. This is illustrated in Fig. 2(c) and (d). On the other hand, if we fix the $`V_0/\omega =1`$ in Fig. 5, and choose the modulation amplitude to be $`V_0/\epsilon _1=0.05`$, $`0.1`$, and $`0.2`$ for Fig. 5(a)-(c), respectively, we can see the side-dips due to $`2\mathrm{}\omega `$ intersideband processes in all the figures. This assures us that the $`V_0/\omega `$ is an important index for photon absorption and emission processes. Furthermore, the QBS levels that associate with fewer number of round-trip scatterings may be merged with its nearby sidebands, forming a broadened dip structure: such as the wide-dip structure at $`\mu /\epsilon _1=2.672`$ in Fig. 5(a). In the low energy regime, again, electrons are able to undertake one-photon (or two-photon) emission processes into a subband threshold in the lead. This one- (or two-) photon mechanism is demonstrated by small dip structures in $`G`$ at $`\mu /\epsilon _1=1.024`$ (or $`1.129`$) in Fig. 5(b) and $`\mu /\epsilon _1=1.118`$ (or $`1.317`$) in Fig. 5(c).

To conclude this section, we note in passing that despite of wide dot openings, electrons traversing through the dot are still effectively mediated by just a few bound states of the corresponding closed dot structure. Our results show that the conductance spectra for a time-modulated open dot show more intersideband structures other than those associated with the bound states of the corresponding close dot. We believe that these mechanisms should find their way of manifestation in the time-modulated phenomena of other nanostructures.

## IV CONCLUSIONS

In this work we have extended the time-dependent mode matching approach to the study of quantum transport in open quantum dot systems. We have calculated the conductance, the dwell time, and the spatial distribution of the electron probability and their dependence on the modulation amplitudes and frequencies.

In conclusion, we have shown three types of coherent inelastic scatterings in a time-modulated open quantum dot. We have demonstrated the potential of establishing quantum transport as a spectroscopic probe for the QBSs and true bound states in an open dot through the coupling of a time-modulated field to the system.

###### Acknowledgements.

The authors wish to acknowledge the National Science Council of the Republic of China for financially supporting this research under Grant No. NSC90(91)-2119-M-007-004 (NCTS), NSC90-2112-M-262-001 (CST), and NSC90-2112-M-009-044 (CSC). Computational facilities supported by the National Center for High-Performance Computing are gratefully acknowledged.