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# Flops, flips and perverse point sheaves on threefold stacks

## 1. Introduction

We work with varieties over $``$.

### 1.1. Threefold flops as Moduli of perverse point sheaves

In \[Br00\], T. Bridgeland considered a morphism $`XY`$ of complex projective varieties satisfying

1. $`f_{}𝒪_X=𝒪_Y`$, and
2. $`dimf^1\{z\}1`$ for every $`zY`$.

Note that our notation differs from \[Br00\], in that $`X`$ and $`Y`$ are switched. Bridgeland defined an abelian subcategory $`Per(X/Y)D^b(X)`$ of the derived category $`D^b(X):=D_{coh}^b(QcohX)`$ of bounded complexes with coherent cohomology, and in this subcategory he identifies certain objects called perverse point sheaves. He proved:

###### Theorem 1.1.1 (Bridgeland, \[Br00\], Theorem 3.8).

There exists a fine moduli space $`M(X/Y)`$ of perverse point sheaves, which is projective over $`Y`$. It contains a distinguished component $`WM(X/Y)`$ which is birational to $`Y`$.

Bridgeland further proved the following remarkable result:

###### Theorem 1.1.2 (Bridgeland, \[Br00\], Theorem 1.1).

Assume that $`X`$ is a smooth threefold and $`XY`$ is a flopping contraction. Then

1. $`W`$ is smooth,
2. The Fourier-Mukai type transformation induced by the universal perverse point sheaf is an isomorphism, and
3. $`WX^+`$, the flop of $`XY`$.

In \[Ch02\], Theorem 1.1.2 is generalized to the case where $`X`$ is a threefold with Gorenstein terminal singularities and $`XY`$ is a flopping contraction.

### 1.2. Non-Gorenstein threefolds as stacks

In this paper we are concerned with generalizing the results of \[Br00\], \[Ch02\] to some $``$-Gorenstein threefolds, using algebraic stacks, as commented in \[Ch02\], Section 1.8. It should be pointed out that Kawamata obtained some very general results \[Ka01, Ka02\], also using algebraic stacks, concentrating on equivalences (or embeddings) of derived categories in birational transformations. To avoid excessive overlap with Kawamata’s work, we emphasize the moduli construction of birational transformations.

The underlying idea is the following: in all considerations of Fourier–Mukai transforms, smoothness is an essential assumption. Thus, if one is to prove results analogous to 1.1.2 for singular varieties, some “hidden smoothness” would be desirable. In the terminal Gorensten case, a deformation $`𝒳𝒴`$ of $`XY`$ with $`𝒳`$ smooth is used. In the $``$-Gorenstein case, the singularities can be simplified back to the Gorenstein case, by taking the canonical Gorenstein stack (this is also the main idea behind Kawamata’s result \[Ka01\]).

### 1.3. Threefold terminal flops

By way of comparison, we consider two very different cases here. The first is that of a threefold terminal flopping contraction $`XY`$, with flop $`X^+Y`$. In this case Kawamata \[Ka02\], Theorem 6.5, has proven an equivalence of derived categories of the canonical covering stacks $`𝒳X`$ and $`𝒳^+X^+`$. Here we add a footnote to Kawamata’s result: the flop can in some sense be constructed a priori as a moduli space. Indeed the entire program of \[BKR99, Br00, Ch02\] works:

###### Proposition 1.3.1.

Let $`XY`$ be a flopping contraction of terminal threefolds, and let $`𝒳𝒴`$ be the contraction of associated canonical covering stacks. Then

1. the distinguished component $`𝒲(𝒳/𝒴)`$ of the moduli stack of perverse point sheaves has terminal Gorenstein singularities,
2. the Fourier–Mukai type transform

$$D^b(𝒲)D^b(𝒳)$$

given by the universal object is an equivalence, and
3. $`𝒲(𝒳/𝒴)𝒳^+`$, the flop of $`𝒳𝒴`$.

This in particular gives a slightly different approach to \[Ka02\], Theorem 6.5.

While our result extends the ideas of \[Br00\] to this case, there is still an unsatisfactory point which we do not know how to resolve: our moduli construction relies on a presentation of the canonical covering stack; it would be desirable to have a construction directly in terms of the stack.

### 1.4. Threefold Francia flips

The other case we consider is that of the simplest sequence of flips in dimension 3, the so-called Francia flips, obtained as the quotient of the standard threefold flop by a particular action of a cyclic group. In this case something new and very different happens: consider the canonical covering stack $`𝒳`$ of $`X`$; in this case there is no canonical covering stack of $`Y`$ since $`Y`$ is not $``$-gorenstein. The usual moduli space of perverse point sheaves $`M(𝒳/Y)`$ is not isomorphic to $`X^+`$. Instead we construct a new abelian category $`Per^{(1,0)}(𝒳/Y)`$ and consider the analogous notion of perverse point sheaves. We then show:

###### Theorem 1.4.1.

Let $`XY`$ be a flipping contraction which is locally analytically of the Francia type. Let $`𝒳X`$ be the canonical covering stack. Then there is a separated moduli space $`M(𝒳/Y)`$ of $`(1,0)`$-perverse point sheaves on $`𝒳/Y`$, whose distinguished component $`W(𝒳/Y)`$ is projective and birational over $`Y`$.

###### Theorem 1.4.2.

1. the distinguished component $`W(𝒳/Y)`$ is smooth,
2. the Fourier–Mukai type transform

$$D^b(W)D^b(𝒳)$$

given by the universal object is fully faithful, and
3. $`W(𝒳/Y)X^+`$, the flip of $`𝒳Y`$.

It should be again pointed out that the existence of a fully faithful embedding $`D^b(W)D^b(𝒳)`$ is a special case of the main theorem of \[Ka01\].

Unlike the previous cases, we do not provide an a priori construction of the flip as a moduli space: the present proof of these theorems uses the existence of $`X^+`$ in a very explicit way, in two points. First, our proof of projectivity of $`X/Y`$ relies on the existence of a morphism $`X^+W`$, i.e. the existence of a family of $`(1,0)`$-perverse point sheaves for $`𝒳/Y`$ parametrized by $`X^+`$. Second, in our proof of the fully faithful embedding we used the same morphism to show that $`WY`$ does not contract a surface to a point. This is needed when applying the method of \[BKR99\] with the intersection theorem.

### 1.5. Some generalities

We use the notation $`D(X)`$ exclusively for the derived category of coherent sheaves on $`X`$, and $`D^b(X)`$ for the bounded category.

For the definition and properties of perverse sheaves, perverse ideal and point sheaves, and their properties we rely on \[Br00\] and \[Ch02\]. We cannot improve here much on the presentation there.

For a Deligne–Mumford stack $`𝒳`$ with coarse moduli space $`\pi :𝒳X`$ we note that $`\pi _{}𝒪_𝒳=𝒪_X`$, and that $`\pi _{}`$ is exact on quasi-coherent sheaves.

If $`𝒳=[V/G]`$, with $`V`$ a variety and $`G`$ a finite group, then $`Coh(𝒳)Coh^G(V)`$. The moduli space is simply $`X=V/G`$. Write $`q:VX`$ for the schematic quotient morphism. If $``$ is a sheaf on $`𝒳`$ corresponding to a $`G`$-sheaf $`𝒢`$ on $`V`$, then $`\pi _{}=(q_{}𝒢)^G`$.

### 1.6. Acknowldgements

We heartily thank Tom Bridgeland for his help, especially with the crucial Section 2.2.

## 2. Canonical covering stacks and the moduli space for $``$-Gorenstein flops

### 2.1. The canonical covering stack

Recall that a variety $`X`$ is $``$-Gorenstein if it is Cohen-Macaulay and there is a integer $`m`$, such that the saturation $`\omega _X^{[m]}`$ is invertible. The minimal positive $`m`$ satisfying this is called the canonical index of $`X`$.

###### Definition 2.1.1.

Let $`X`$ be a normal quasi-projective $``$-Gorenstein variety. The canonical covering stack $`𝒳X`$ is defined as the stack-theoretic quotient

$$𝒳=[P/𝔾_m],$$

where

$$P=Spec_Y\left(\underset{iZ}{}\omega _X^{[i]}\right).$$

The variety $`P`$ is the canonical $`𝔾_m`$-space of $`X`$, and is Gorenstein. The canonical covering stack is Gorenstein, and automatically a Deligne–Mumford stack, since the stabilizer of any point of $`P`$ is contained in the finite group $`𝝁_m`$.

More traditionally, a different but equivalent construction has been used. For each point $`xX`$, one can find an open neighborhood $`U_x`$ such that $`m_xK_X`$ is a Cartier divisor for a minimum positive integer $`m_x`$. The canonical covering $`\pi _x:\stackrel{~}{U}_xU_x`$ is a finite morphism of degree $`m_x`$ where $`\stackrel{~}{U}_x`$ is a normal variety and $`\pi _x`$ is étale in $`\mathrm{codim}=1`$ such that $`K_{\stackrel{~}{U}_x}=\pi _x^{}(m_xK_X)`$ is Cartier. The canonical coverings are étale locally unique. Thus one can define the canonical covering stack $`𝒳`$ by the atlas given by the collection of canonical coverings.

Consider the natural morphism $`\pi :𝒳X`$. The stacky points of $`𝒳`$ are the preimage of points where $`K_X`$ fails to be Cartier. When $`X`$ is a terminal $``$-Gorennstein variety, the Weil divisor $`K_X`$ is Cartier in codimension $`2`$; in particular, when $`dimX=3`$ this locus consists of isolated points.

### 2.2. Perverse moduli stack for $``$-Gorenstein flops

Let $`X`$ and $`Y`$ be terminal $``$-Gorenstein threefolds and $`f:XY`$ be a flopping contraction. Under these assumptions, the varieties $`P_X`$ and $`P_Y`$ are Gorenstein fourfolds. There is a $`^{}`$-equivariant lifting $`f_{P_Y}:P_XP_Y`$. This morphism satisfies the conditions (B.1) and (B.2). Therefore we can define the moduli space of perverse point sheaves as in \[Br00\]. There is a distinguished component $`W(P_X/P_Y)`$, which is birational to $`P_Y`$. By its universal property, the action of $`^{}`$ on $`P_X`$ and $`P_Y`$ induces an action on $`W(P_X/P_Y)`$.

We note that $`W(P_X/P_Y)`$ is the flop of $`P_XP_Y`$. This follows from the results of \[Ch02\], as follows: let $`H_Y`$ be a general hyperplane section of $`P_Y`$, with inverse image $`H_XP_X`$. The morphism $`H_XH_Y`$ is a Gorenstein flopping contraction. The restriction of $`W(P_X/P_Y)`$ to $`H_Y`$ is isomorphic to $`W(H_X/H_Y)`$ by Proposition 4.4 of \[Ch02\]. By Theorem 1.1 of \[Ch02\] the latter is the flop of $`H_XH_Y`$, which gives the claim.

Consider the stack

$$𝒲:=[W(P_X/P_Y)/^{}].$$

By definition, we can give an interpretation of this as a moduli stack. For each scheme $`S`$, the quotient stack $`[W(P_X/P_Y)/^{}]`$ gives a category $`𝒲(S)=[W(P_X/P_Y)/^{}](S)`$. An object in this category consists of a $`^{}`$-bundle $`QS`$ with a $`^{}`$ equivariant morphism $`\alpha :QW(P_X/P_Y)`$. For any two objects $`(Q_1,\alpha _1)`$ and $`(Q_2,\alpha _2)`$ in $`𝒲(S)`$, an arrow is a $`^{}`$-equivariant morphism $`\beta :Q_1Q_2`$ such that $`\alpha _1=\alpha _2\beta `$.

Using the definition of $`W(P_X/P_Y)`$, we can get a more concrete interpretation of objects. Since $`W(P_X/P_Y)`$ is a fine moduli space, an element in $`W(P_X/P_Y)(Q)`$ is equivalent to a family of perverse point sheaves for $`P_XP_Y`$ parametrized by $`Q`$. Thus an object in the category $`𝒲(S)`$ is a pair $`(Q,E)`$ where $`Q`$ is a $`^{}`$-bundle over $`S`$ and $`E`$ is a $`^{}`$-equivariant family of perverse point sheaves for $`P_XP_Y`$ parametrized by $`Q`$.

This interpretation relies on the particular presentation of $`𝒲`$ we chose. A similar interpretation in terms of perverse point sheaves on a more egeneral presentation with descent data can be obtained.

By \[Ch02\], Proposition 4.2, the universal perverse point sheaf over $`P_X\times W(P_X/P_Y)`$ is the structure sheaf of the fibered product $`P_X\times _{P_Y}W(P_X/P_Y)`$. The natural $`^{}`$ action defines a corresponding sheaf $``$ on the quotient stack $`𝒲`$, which is evidently the structure sheaf of the fibered product $`𝒳\times _𝒴𝒲`$.

Can we view $`𝒲`$ as a moduli stack of perverse point sheaves on $`𝒳/𝒴`$? The answer is “yes” if we are careful about the definition, and still a bit unsatisfactory. The fibers of $``$ over geometric points of $`𝒲`$ are indeed elements of $`Per(𝒳/𝒴)`$, defined just as in \[Br00\]. However the universal perverse point sheaf is not a quotient of $`𝒪_{𝒳\times 𝒲}`$, for the same reason that the universal non-perverse “point sheaf” $`𝒪_𝒴`$ of a non-representable stack $`𝒴`$ is not a quotient of $`𝒪_{𝒴\times 𝒴}`$. Only after pulling back to an étale cover of $`𝒴`$ can we write it as a quotient. (One might suspect that any moduli construction of “Hilbert scheme” type on a stack should requires a nontrivial game with descent data, as we presented above, in contrast with the “Quot scheme” construction of \[OS02\].)

### 2.3. Proof of Proposition 1.3.1

We claim that $`𝒲`$ is the flop of $`𝒳𝒴`$ and the sheaf $``$ gives an equivalence of derived categories.

Consider a scheme $`Y^{}`$ and an étale morphism $`Y^{}𝒴`$. Write $`X^{}=𝒳\times _𝒴Y^{}`$. The scheme $`Y^{}`$ is a terminal Gorenstein threefold, and $`X^{}Y^{}`$ is a flopping contraction. Write $`W^{}=W(X^{}/Y^{})`$. We have

###### Lemma 2.3.1.

$`W^{}=𝒲\times _𝒴Y^{}`$

Proof. The formation of the category $`Per`$ commutes with flat base change (see e.g., \[VdB02\], Proposition 3.1.4). Consider the fiber diagram

where all the horizontal arrows are flat, and the diagonal arrows are $`𝔾_m`$-bundles. We therefore have morphisms

$$W(P_X/P_Y)\times _𝒴Y^{}W(P_X\times _𝒴Y^{}/P_Y\times _𝒴Y^{})W^{}\times _Y^{}(P_Y\times _𝒴Y^{}).$$

These are isomorphisms since all these varieties are the relevant flops. Also

$$W(P_X\times _𝒴Y^{}/P_Y\times _𝒴Y^{})W^{}$$

is a $`^{}`$-bundle. Taking quotients by $`^{}`$ gives the result. ∎

By definition the sheaf $``$ pulls back to the structure sheaf of $`X^{}\times _Y^{}W^{}`$, which is the universal perverse point sheaf for $`X^{}/Y^{}`$.

Applying \[Ch02\], Threorem 1.1, we have that the Fourier–Mukai type transform $`D^b(W^{})D^b(X^{})`$ is an equivalence and $`W^{}X_{}^{}{}_{}{}^{+}`$, the flop of $`X^{}Y^{}`$. Applying \[Ch02\], Proposition 3.2 we have that the transform

$$F_{}:D^b(𝒲)D^b(𝒳)$$

is an equivalence.

Let $`D`$ be a negative divisor for $`f:X/Y`$, let $`𝒟`$ be its pullback to $`𝒳`$ and $`D^{}`$ the pullback to $`X^{}`$. Since $`W^{}X_{}^{}{}_{}{}^{+}`$, we have that

$$W^{}=𝒫roj_Y^{}\underset{n0}{}f_{}^{}𝒪_X^{}(nD^{}).$$

It follows that

$$𝒲=𝒫roj_𝒴\underset{n0}{}f_{}^{}𝒪_𝒳(n𝒟).$$

This completes the proof. ∎

## 3. Threefold Francia flips

### 3.1. Local Models

In this section, we study the Francia flip case. Recall the simplest sequence of flips (see \[KM98\], p.39). Let $`Y_1`$ be the quadratic singularity $`\{xy=uv\}^4`$. Denote by $`X_1`$ the variety obtained by blowing up the ideal $`(x,v)`$. Denote by $`X_1^+`$ the variety obtained by blowing up the ideal $`(x,u)`$. Let $`/n`$ be the cyclic group of $`n`$ elements, acting on $`Y_1`$ via $`(x,y,u,v)(\zeta x,y,\zeta u,v)`$, which lifts to an action on $`X_1`$ and on $`X_1^+`$. The corresponding quotients are denoted by $`X_n`$, $`Y_n`$, and $`X_n^+`$. Consider the diagram

$$\begin{array}{ccccc}X_n& & & & X_n^+\\ & & & & \\ & & Y_n.& & \end{array}$$

Note that the Picard numbers satisfy $`\rho (X_n^+/Y_n)=\rho (X_n/Y_n)=1`$ and the variety $`X_n^+`$ is smooth. Denote by $`C_n`$ the exceptional curve in $`X_n`$ and by $`C_n^{}`$ the exceptional curve in $`X_n^+`$. A standard computation shows that

$$C_nK_{X_n}=\frac{(n1)}{n},$$

and

$$C_n^{}K_{X_n^+}=n1.$$

Thus $`X_n^+Y_n`$ is the flip of $`X_nY_n`$ when $`n2`$.

###### Definition 3.1.1.

Let $`f:XY`$ be a flipping contraction between two quasi-projective threefolds. We call $`f:XY`$ a local Francia flipping contraction if $`f`$ is étale locally isomorphic to some $`X_nY_n`$.

By “étale locally isomorphic to $`X_nY_n`$” we mean that every point $`yY`$ has an étale neighborhood $`\varphi :UY`$ with another étale morphism $`\psi :UY_n`$ and an isomorphism

$$X\times _YUX_n\times _{Y_n}U.$$

This induces an isomorphism

$$X^+\times _YUX_n^+\times _{Y_n}U.$$

Étale locally we have the following diagram

Dropping the subscripts $`n`$ and concentrating on the left side, we have

(1)
The quotient morphism

$$q:X_1[X_1/(/n)]$$

is, by definition, étale. The morphism

$$\sigma :[X_1/(/n)]𝒳$$

is the natural morphism “forgetting the stacky structure” along a $`/n`$ divisor $`[D/(/n)]`$. The divisor $`DX_1`$ is given, in the local coordinates introduced earlier, by the function $`\frac{x}{v}`$ in the affine chart

$$V=\mathrm{Spec}[\frac{x}{v},y,v].$$

We denote by $`D^{}`$ the image of $`D`$ in $`X`$, so $`q_{}^{}{}_{}{}^{}D^{}=nD`$.

The exceptional curve in $`X_1`$ is given in this chart by $`y=v=0`$.

Note that the morphism $`\sigma `$ is flat since $`[X_1/(/n)]𝒳`$ is surjective, proper and quasi-finite, $`𝒳`$ is smooth and $`[X_1/(/n)]`$ is Cohen-Macaulay (in fact, it is smooth). The coarse moduli space of $`[X_1/(/n)]`$ is also $`X`$. We also have that $`\sigma _{}\sigma ^{}=id`$ on any quasi-coherent sheaf, since $`\sigma _{}𝒪_{[X_1/(/n)]}=𝒪_𝒳`$.

Consider now the other affine chart

$$U=\mathrm{Spec}[x,u,\frac{v}{x}]$$

on $`X_1`$. The exceptional curve is defined by $`x=u=0`$. Denote by $`E`$ the divisor defined by $`\frac{v}{x}`$ \- it meets the exceptional curve properly. Again we write $`E^{}=q_{}^{}E`$, so $`q_{}^{}{}_{}{}^{}E^{}=nE`$.

On $`X_1`$ we have an equality of divisors

$$div\left(\frac{v}{x}\right)=ED.$$

The function $`\frac{v}{x}`$ is a $`/n`$–semi-invariant with respect to the character

$$\frac{v}{x}\zeta _n^1\frac{v}{x}.$$

Therefore we can identify the $`/n`$-sheaf $`L_{\chi _i}`$ isomorphic to $`𝒪_{X_1}`$ twisted with action given by a character $`\chi _i`$ as

$$L_{\chi _i}\stackrel{/n}{}𝒪_{X_1}(j(ED))$$

for suitable $`i`$.

### 3.2. A perversity for Francia flips

Let $`X`$ be as in Section 3.1. In this case the natural canonical covering stack $`𝒳`$ is a smooth Deligne-Mumford stack, whose coarse moduli space is $`X`$. Consider the natural morphism $`\pi :𝒳X`$. The stacky points of $`𝒳`$ are the preimage of points where $`K_X`$ fails to be Cartier. This loci consists of isolated points.

Let $`f:𝒳Y`$ be the morphism as above. We write $`f=\overline{f}\pi `$ with $`\pi :𝒳X`$ and $`\overline{f}:XY`$.

Following \[Br00\], we can define for any $`m`$ a perverse $`t`$-structure $`t(m)`$ for the morphism of schemes $`\overline{f}:XY`$. The heart of this $`t`$-structure is denoted by $`\mathrm{Per}^m(X/Y)`$.

Note that $`𝐋\pi ^{}:D(X)D(𝒳)`$ is a fully-faithful embedding. This follows from the projection formula, given that $`\pi _{}𝒪_𝒳=𝒪_X`$.

We proceed by defining a perverse $`t`$-structure for the stack $`𝒳`$. We define two sub categories of $`D(𝒳)`$:

$$B=\{𝐋\pi ^{}CD^b(𝒳)|CD(X)\},$$

and

$$C_2=\{CD(𝒳)|𝐑\pi _{}C=0\}.$$

The pair $`(B,C_2)`$ gives a semiorthogonal decomposition on $`D(𝒳)`$.

On the category $`C_2`$, the standard $`t`$-structure induced by the standard $`t`$-structure on $`D(𝒳)`$ gives a $`t`$-structure on $`C_2`$.

Since $`𝐑\pi _{}`$ has the right adjoint $`\pi ^!`$ and the left adjoint $`𝐋\pi ^{}`$, we can glue any $`t`$-structures on $`C_2`$ and $`D(X)`$. We define new t-structures $`t(m,n)`$ on $`D(𝒳)`$:

###### Definition 3.2.1.

Denote by $`t(m,n)`$ the t-structure obtained by gluing: the perverse t-structure $`t(m)`$ on $`D(X)`$, and the standard t-structure shifted by $`n`$ on $`C_2`$. We denote the heart of this t-structure by $`\mathrm{Per}^{m,n}(𝒳/Y)`$.

Inspired by \[Br00\], we shall only be interested in the case that $`(m,n)=(1,0)`$ and denote $`\mathrm{Per}^{1,0}(𝒳/Y)`$ simply by $`\mathrm{Per}(𝒳/Y)`$.

By definition, an object $`ED(𝒳)`$ is in $`\mathrm{Per}(𝒳/Y)`$ if and only if the following conditions are satisfied:

1. $`𝐑\pi _{}E`$ is a perverse sheaf for the morphism $`\overline{f}:XY`$, and
2. 1. $`\mathrm{Hom}(E,C)=0`$ for all $`C`$ in $`C_2^{>0}`$, and
    2. $`\mathrm{Hom}(D,E)=0`$ for all $`D`$ in $`C_2^{<0}.`$

###### Definition 3.2.2.

A perverse sheaf $`I`$ is called a perverse ideal sheaf if there is an injection $`I𝒪_𝒳`$ in the abelian category $`\mathrm{Per}(𝒳/Y)`$. A perverse sheaf $`E`$ is called a perverse structure sheaf if there is a surjection $`𝒪_𝒳E`$ in the abelian category $`\mathrm{Per}(𝒳/Y)`$. A perverse point sheaf is a perverse structure sheaf which is numerically equivalent to the structure sheaf of a point $`x𝒳`$.

### 3.3. Characterization of perverse sheaves and perverse ideal sheaves

The next lemma is an analogue of Lemma 3.2 in \[Br00\] and can be proved in a similar manner.

###### Lemma 3.3.1.

An object $`E`$ of $`D(𝒳)`$ is a perverse sheaf if and only if the following four conditions are satisfied:

1. $`H_i(E)=0`$ unless $`i=0`$ or $`1`$,
2. $`𝐑^1f_{}H_0(E)=0`$ and $`𝐑^0f_{}H_1(E)=0`$,
3. $`\mathrm{Hom}(\pi _{}H_0(E),C)=0`$ whenever $`\overline{f}_{}C=^1f_{}C=0`$, and
4. $`\mathrm{Hom}(D,H_1(E))=0`$ for any sheaf $`D`$ in $`C_2`$ (i.e. $`\pi _{}D=0`$).

We continue following \[Br00\]:

###### Lemma 3.3.2.

A perverse ideal sheaf is a sheaf.

Proof. Let $`F`$ be a perverse ideal sheaf on $`𝒳`$ and $`E`$ be the corresponding perverse structure sheaf. Consider the exact sequence in $`\mathrm{Per}(𝒳/Y)`$

$$0F𝒪_𝒳E0.$$

By Lemma 3.3.1 all the terms in this sequence have homology only in degrees $`0`$ and $`1`$, and $`H_1(𝒪_𝒳)=0`$. Applying the homology functor to this exact sequence, we get

$$0H_1F0H_1(E)\mathrm{}$$

so $`H_1(F)=0`$. ∎

###### Lemma 3.3.3.

A sheaf $`FCoh(𝒳)`$ is a perverse ideal sheaf if and only if it satisfies the following two conditions:

1. $`𝐑\pi _{}F`$ is a perverse ideal sheaf for $`\overline{f}:XY`$, and
2. $`\mathrm{Hom}(D,F)=0`$ for any sheaf $`DC_2`$.

In addition, a perverse ideal sheaf satisfies the following property:
3. the cokernel of the natural morphism $`f^{}f_{}(F)F`$ is in the category $`C_2`$.

Proof. Let $`FD(𝒳)`$ be a perverse ideal sheaf and $`E`$ be the corresponding perverse point sheaf. Since $`\pi _{}`$ is exact on the abelian category $`\mathrm{Per}(𝒳/Y)`$, there is an exact sequence in $`Per(X/Y)`$

$$0\pi _{}F𝒪_X\pi _{}(E)0.$$

It follows that $`\pi _{}F`$ is a perverse ideal sheaf for $`\overline{f}:XY`$. Since $`\pi _{}F`$ is a perverse ideal sheaf for $`\overline{f}:XY`$, it follows that $`\overline{f}^{}\overline{f}_{}(\pi _{}F)\pi _{}F`$ is surjective. Applying the right-exact functor $`\pi ^{}`$, we have $`f^{}f_{}(F)\pi ^{}\pi _{}F`$ is surjective. Therefore, to show (PIS.3), it suffices to show that the cokernel $`D`$ of $`\pi ^{}\pi _{}FF`$ is in $`C_2`$. But $`\pi _{}\pi ^{}\pi _{}F\pi _{}F`$ is an isomorphism, therefore its cokernel $`\pi _{}D`$ vanishes.

To check the property (PIS.2), we use the condition (PS.4) on $`E`$ and the exact sequence

(2)
$$0H_1(E)F𝒪_𝒳H_0(E)0.$$

It follows that $`\mathrm{Hom}(D,F)=0`$ for all sheaf $`DC_2`$ since we have $`\mathrm{Hom}(D,H_1(E))=0`$ and $`\mathrm{Hom}(D,𝒪_𝒳)=0`$.

For the converse, consider a sheaf $`F`$ satisfying (PIS.1) and (PIS.2). Then (PS.1) is automatic as $`H_i(F)=0`$ for $`i0`$. Since $`\pi _{}`$ is exact we have $`𝐑^if_{}F=𝐑^i\overline{f}_{}(\pi _{}F)`$, and (PS.2) follows since $`\pi _{}F`$ is in $`Per(X/Y)`$. For the same reason (PS.3) holds. And (PS.4) is exactly (PIS.2). Thus $`F`$ is a perverse sheaf.

We now show that $`\mathrm{Hom}(F,𝒪)=\mathrm{Hom}(\pi _{}F,𝒪)`$, hence nonzero. Consider the exact sequence of sheaves

$$0A\pi ^{}\pi _{}FFD0,$$

and denote the image of $`\eta :\pi ^{}\pi _{}FF`$ by $`C`$. Since $`\eta `$ is an isomorphism away from the singular locus of $`X`$, the sheaf $`A`$ is torsion, therefore $`\mathrm{Hom}(C,𝒪)\mathrm{Hom}(\pi ^{}\pi _{}F,𝒪)`$. Also the sheaf $`D`$ is torsion, and we have an exact sequence

$$0\mathrm{Hom}(F,𝒪)\mathrm{Hom}(C,𝒪)\mathrm{Ext}^1(D,𝒪),$$

but since $`D`$ is supported in dimension 0,

$$\mathrm{Ext}^1(D,𝒪)=H^2(D\omega _𝒳)^{}=0.$$

Fix a nonzero element in $`\mathrm{Hom}(F,𝒪)`$ and consider the triangle $`F𝒪EF[1]`$. It suffices to show that $`E`$ is perverse. The long exact sequence of homology (sequence 2 above) gives (PS.1). Clearly $`𝐑\pi _{}E`$ is the perverse quotient of the corresponding element of $`\mathrm{Hom}(\pi _{}F,𝒪)`$, so (PS.2) and (PS.3) follow. And (PS.4) follows again because $`\mathrm{Hom}(D,H_1(E))\mathrm{Hom}(D,F)=0`$ by (PIS.2). ∎

Since $`𝒳Y`$ is an isomorphism outside the singular points of $`Y`$, we can compactify $`𝒳`$ and $`Y`$ to get $`\overline{f}:\overline{𝒳}\overline{Y}`$. It is clear from the definition that perverse point sheaves are local objects over $`\overline{Y}`$, i.e. $`W(\overline{𝒳}/\overline{Y})_YW(𝒳/Y)`$. Abusing the notation, we shall still denote this new morphism by $`f:𝒳Y`$.

### 3.4. Simplicity of perverse point and perverse point-ideal sheaves

###### Lemma 3.4.1.

Let $`E_1`$ and $`E_2`$ be two perverse point sheaves. Then,

$$\mathrm{Hom}(E_1,E_2)=\{\begin{array}{cc}\hfill 0:& \text{if}E_1\cong ̸E_2,\hfill \\ \hfill :& \text{if}E_1E_2.\hfill \end{array}$$

Proof. See Lemma 3.6 in \[Br00\], using the following:

###### Lemma 3.4.2.

Let $`ED^b(𝒳/Y)`$ be a perverse sheaf with $`Supp(E)f^1(y)`$ for a point $`yY`$. If $`E`$ is numerically equivalent to $`0`$, then $`E0`$.

Proof. This follows immediately from the following Lemma 3.4.3 (which is implicit in \[Br00\]) and property (PS.4) in Lemma 3.3.1. $`\mathrm{}`$

###### Lemma 3.4.3.

Let $`ED^b(X/Y)`$ be a perverse sheaf with $`Supp(E)\overline{f}^1(y)`$ for a point $`yY`$. If $`E`$ is numerically equivalent to $`0`$, then $`E0`$.

Proof. Let $`E`$ be a perverse sheaf which is numerically equivalent to $`0`$. It suffices to show that all homology groups vanish, that is $`H_0(E)=H_1(E)=0`$.

First note that $`\chi (H_0(E))=\chi (H_1(E))`$. Since $`E`$ is a perverse sheaf, we have $`𝐑^1\overline{f}_{}(H_0(E))=\overline{f}_{}(H_1(E))=0`$. Therefore, $`\chi (H_0(E))`$ is a nonnegative integer and $`\chi (H_1(E))`$ is a nonpositive integer. This implies $`\chi (H_0(E))=\chi (H_1(E))=0`$. By the support assumption, $`f_{}(H_0(E))`$ is supported at a point, and this implies that $`H^0\overline{f}_{}(H_0(E))=0`$, which means $`H_0(E)=0`$. The same holds for $`𝐑^1\overline{f}_{}(H_1(E))`$.

We thus have $`𝐑\overline{f}_{}(H_i(E))=0`$ and therefore the two sheaves $`H_i(E)`$ have support in pure dimension 1. For $`H_0(E)`$ we have $`\mathrm{Hom}(H_0(E),H_0(E))=0`$ by (PS.3) in Lemma 3.2 in \[Br00\]. This implies $`H_0(E)0`$. Therefore $`H_1(E)`$ is a numerically trivial sheaf.

Now consider $`L`$ a sufficiently ample bundle, Then$`H^1(LH_1(E))=0`$ and $`LH_1(E)`$ is generated by global sections, therefore $`\chi (LH_1(E))>0`$, so $`H_1(E)`$ is not numerically trivial, giving a contradiction. ∎

###### Lemma 3.4.4.

1. Let $`F_1`$ be a perverse point-ideal sheaf. Then $`dim\mathrm{Hom}(F_1,𝒪_𝒳)=1.`$
2. Let $`F_1`$ and $`F_2`$ be perverse point-ideal sheaves. Then

$$\mathrm{Hom}(F_1,F_2)=\{\begin{array}{cc}\hfill 0:& \text{if}F_1\cong ̸F_2,\hfill \\ \hfill :& \text{if}F_1F_2.\hfill \end{array}$$

Proof. Let $`F_1`$ be a perverse point-ideal sheaf. Consider the following exact sequence (in the usual abelian category)

$$0Af^{}f_{}F_1F_1C0$$

where $`C`$ is an object in $`C_2`$ since $`\pi _{}F_1`$ is a perverse point-ideal sheaf for $`\overline{f}:XY`$. It is also clear that $`C`$ is a torsion sheaf. Taking $`\mathrm{Hom}(,𝒪_𝒳)`$, we get

$$0\mathrm{Hom}(F_1,𝒪_𝒳)\mathrm{Hom}(f^{}f_{}F_1,𝒪_𝒳).$$

Since

$$dim(\mathrm{Hom}(f^{}f_{}F_1,𝒪_𝒳))=dim(\mathrm{Hom}(f_{}F_1,f_{}𝒪_𝒳))=1,$$

this shows that $`dim(\mathrm{Hom}(F_1,𝒪_𝒳))=1`$.

Note that by (PIS.2) we have $`\mathrm{Hom}(C,F_2)=0`$ for any sheaf $`CC_2`$. Taking $`\mathrm{Hom}(,F_2)`$, we get

$$0\mathrm{Hom}(F_1,F_2)\mathrm{Hom}(f^{}f_{}(F_1),F_2).$$

Since $`\mathrm{Hom}(f^{}f_{}(F_1),F_2)=\mathrm{Hom}(f_{}(F_1),f_{}(F_2))`$, which has dimension $`1`$, it follows that $`dim(\mathrm{Hom}(F_1,F_2))1`$, and if the dimension is $`1`$ then the map factors $`\mathrm{Hom}(F_1,𝒪)`$. Since we have $`F_1𝒪`$ is an injection in $`\mathrm{Per}(𝒳/Y)`$, it follows that $`\theta :F_1F_2`$ is also an injection in $`\mathrm{Per}(𝒳/Y)`$. The cokernel of $`\theta `$ is in $`\mathrm{Per}(𝒳/Y)`$ and numerically equivalent to $`0`$. Therefore it is isomorphic to $`0`$ by Lemma 3.4.2. $`\mathrm{}`$

### 3.5. Perversity and the dualizing sheaf

###### Lemma 3.5.1.

If $`B`$ is a sheaf on $`𝒳`$ such that $`B[1]`$ is a perverse sheaf, then $`f_{}(B\omega )=0`$

Remark. The idea is that $`\omega _𝒳`$ is negative along the exceptional curve, so tensoring by $`\omega _𝒳`$ should not give more sections. This is not quite correct as it is - it fails for torsion sheaves supported at the non-representable point, so we need to be a bit careful and use the structure of the sheaf $`B`$.

Proof. We have the propoerties:

* $`f_{}B=0`$,
* $`B`$ has pure support on the exceptional loci

This in particular implies that the problem is étale local over $`Y`$. Thus we may assume that we have a diagram as in Diagram 1, Section 3.1.

For any $`/n`$-sheaf $`F`$ on $`X_1`$ we have an isotypical decomposition

$$q_{}^{}F=\underset{\chi _i:/n𝔾_m}{}(q_{}^{}F)^{\chi _i}.$$

If $`F`$ is supported along the exceptional locus then there is an isomorphism $`FF(iEiD)`$ given locally by multiplication by a power of $`\frac{v}{x}`$. In particular, for $`i>0`$ we get a $`\chi _i`$-twisted embedding $`FF(nED)`$. Thus, for any nontrivial character $`\chi _i`$ we can write

$$(q_{}^{}F)^{\chi _i}(q_{}^{}F(nED))^{/n}.$$

We now analyze the sheaf $`q_{}^{}\tau ^{}(B\omega _{𝒳_1})`$. First notice that

$$\tau ^{}(B\omega _{𝒳_1})\tau ^{}B\omega _{X_1}((n1)D)\tau ^{}B\omega _{X_1},$$

which is isomorphic to $`\tau ^{}B`$ as a sheaf, but with a different action given by twisting with a character $`\chi `$. This twisting only has the effect of permuting the $`\chi _i`$-isotypical components of the direct image by $`q^{}`$.

We thus get

$$q_{}^{}\tau ^{}(B\omega _{𝒳_1})=q_{}^{}(\tau ^{}B((n1)D)).$$

Note also that $`nEnD`$ is the pullback of the principal divisor $`E^{}D^{}`$ on $`X_n`$

Applying the discussion above we get

$`q_{}^{}(\tau ^{}B((n1)D))`$ $``$ $`q_{}^{}(\tau ^{}B)^{/n}{\displaystyle \underset{\chi 1}{}}\left(q_{}^{}\left(\tau ^{}B((n1)D+nED)\right)\right)^{/n}`$
$`=`$ $`q_{}^{}(\tau ^{}B)^{/n}{\displaystyle \underset{\chi 1}{}}\left(q_{}^{}\left(\tau ^{}B(nEnD)\right)\right)^{/n}`$
$``$ $`{\displaystyle \underset{\chi :/n𝔾_m}{}}\left(q_{}^{}(\tau ^{}B)\right)^{/n}`$
$``$ $`(\pi _{}B)^n`$
In particular we get an embedding

$$\pi _{}(B\omega )(\pi _{}B)^n.$$

Applying the left exact functor $`\overline{f}_{}`$ we get

$$f_{}(B\omega )(f_{}B)^n=0.$$

###### Lemma 3.5.2.

The functor $`EE\omega `$ is perverse-left exact, i.e. sends $`\mathrm{Per}(𝒳/Y)`$ to $`D^0(𝒳)`$.

We use the next lemma to prove Lemma 3.5.2.

###### Lemma 3.5.3.

Suppose $`B`$ is a sheaf on $`𝒳`$ such that $`B[1]`$ is perverse. Then $`B\omega [1]`$ is also perverse.

Proof. Let $`\pi :𝒳X`$ and $`f:𝒳Y`$ be as above. First note that $`f_{}B=0`$ and $`\mathrm{Hom}(C,B)=0`$ for $`C`$ a sheaf in $`C_2`$, so $`B`$ contains no sky-scraper sheaves. Hence the same is true for $`B\omega `$.

We use Lemma 3.3.1. The only non-trivial conditions are the second part of (PS.2) and (PS.4). The second part of (PS.2) follows from Lemma 3.5.1. For (PS.4), take an object $`D`$ such that $`\pi _{}D=0`$. Since $`X`$ has only isolated singularities, any such $`D`$ must be supported in dimension $`0`$. Note that $`H_1(B\omega [1])=B\omega `$. Thus we have $`\mathrm{Hom}(D,B\omega )=0`$ since $`B\omega `$ contains no sky-scraper sheaves.

Proof of Lemma 3.5.2. This is an easy consequence of the above lemma. Assume the contrary. We can take a perverse sheaf $`E`$ and another object $`D`$ such that $`\mathrm{Hom}(D[1],E\omega )`$ is nonzero. Taking homology in the standard t-structure, there must be a non-zero map $`H_0(D)H_1(E)\omega =C`$. Since $`H_1(E)[1]`$ is a perverse sheaf, it follows that $`C[1]`$ is also a perverse sheaf by Lemma 3.5.3. The sheaf $`H_0(D)`$ is also a perverse sheaf since $`D`$ is a perverse sheaf. This then gives a homomorphism in $`\mathrm{Hom}(H_0(D),C)`$, a contradiction. $`\mathrm{}`$

###### Lemma 3.5.4.

Let $`E_i`$, $`i=1,2`$, be perverse point sheaves. Then $`\mathrm{Hom}^i(E_1,E_2)=0`$ unless $`0i3`$.

Proof.

Since $`E_i`$ are objects in the abelian category $`Per(𝒳/Y)`$, we have that $`\mathrm{Hom}^i(E_1,E_2)=0`$ for $`i<0`$.

If $`𝐑f_{}(E_1)𝐑f_{}(E_2)`$, then $`\mathrm{Hom}^i(E_1,E_2)=0`$ for all $`i`$ since their supports are disjoint, so we only need to consider the case $`𝐑f_{}(E_1)=𝐑f_{}(E_2)`$, and thus the problem is local over $`Y`$.

Replacing $`Y`$ by an étale base change we may assume that $`𝒳`$ is a global quotient stack, and thus $`E_i`$ are quasi isomorphic to bounded complexes of vector bundles. Serre duality gives

$$\mathrm{Hom}^i(E_1,E_2)=\mathrm{Hom}^{3i}(E_2,E_1\omega )^{}.$$

This gives the result. ∎

## 4. Moduli of perverse point sheaves for the Francia flips

### 4.1. The moduli space

A family of perverse point sheaves for $`𝒳/Y`$ parametrized by a scheme $`S`$ is an object $``$ of $`D^b(S\times 𝒳)`$ such that for every point $`i:sS`$ the fiber $`Li^{}`$ is a perverse point sheaf. Two such families $`,^{}`$ are equivalent if there is a line bundle $`M`$ on $`S`$ and an isomorphism $`^{}M`$.

Define a functor

$$(𝒴/Y):𝒮ch𝒮ets$$

which to a scheme $`S`$ assignes the set of equivalence classes of families of perverse point sheaves parametrized by $`S`$.

Since every perverse point sheaf determines and is determined by a perverse point-ideal sheaf, the we can view the functor $`(𝒳/Y)`$ as the moduli functor of equivalence classes of perverse point-ideal sheaves. By Lemma 3.4.4 the endomorphism group of such a sheaf is $``$, and the automorphism group is therefore $`^{}`$. It follows by standard representability theory (see, e.g., \[Ar74\]) that the étale sheaf associated to $`(𝒳/Y)`$ is represented by an algebraic space $`M(𝒳/Y)`$, locally of finite type over $``$. An argument of Mukai (see, e.g. \[Br00\], proof of Theorem 5.5) shows that $`M(𝒳/Y)`$ is a fine moduli space for $`(𝒳/Y)`$, i.e. there is a universal perverse point-iedal sheaf over $`M(𝒳/Y)\times 𝒳`$.

###### Lemma 4.1.1.

The algebraic space $`M(𝒳/Y)`$ is separated.

Proof. We use the valuative criterion for separation. Let $`R`$ be a discrete valuation ring, with fraction field $`K`$. Fix a perverse ideal sheaf $`F`$ over $`Spec(K)`$. Let $`F_1`$ and $`F_2`$ be two extensions of $`F`$ to $`Spec(R)`$ with an isomorphism $`s:F_1|_{Spec(K)}F_2|_{Spec(K)}`$. We can write it as $`s=u^nh`$, where $`u`$ is a uniformizer in $`R`$ and $`h`$ extends comes from a homomorphism $`F_1F_2`$. Taking $`n`$ minimal, we may assume that the restriction of $`\overline{h}:F_{1s}F_{2s}`$ of $`h\mathrm{Hom}(F_1,F_2)`$, to the special fiber is nonzero. By Lemma 3.4.4 we have that $`F_1F_2`$ over $`Spec(R)`$. ∎

### 4.2. Projectivity

There is a distinguished component of $`M(𝒳/Y)`$, which is birational to $`Y`$. We shall denote this component by $`W`$. To complete Theorem 1.4.1 we need to show that the distinguished component $`W`$ is projective over $`Y`$.

Note that it suffices to consider the case that $`YY_n`$ and $`XX_n`$. By Lemma 4.2.1 below, there is a birational morphism $`X_n^+W`$; and the composition $`X_n^+WW(X_n/Y_n)`$ is a finite morphism, where $`W(X_n/Y_n)`$ is the moduli space for the usual perverse point sheaves. This implies that $`WW(X_n/Y_n)`$ is finite. Since $`W(X_n/Y_n)Y_n`$ is projective, it follows immediately that $`WY_n`$ is also projective. ∎

###### Lemma 4.2.1.

There exists a birational morphism $`X^+W`$. The composition $`X^+WW(X/Y)`$ is finite.

Proof. To give a morphism $`X_n^+W`$, we exhibit a family of perverse point sheaves over $`X_n^+`$. Unlike the terminal Gorenstein case, the correct family of perverse point sheaves is not the fiber product $`X_n^+\times _{Y_n}𝒳`$. This fiber product has an extra embedded component. We shall show that the correct candidate is the structure sheaf of the reduction of the fiber product. We denote it by $`\stackrel{~}{(X_n^+\times _{Y_n}𝒳_n)}.`$

To show this is a family of perverse point sheaves, we use Lemma 3.3.3 and check the conditions (PIS.1)-(PIS.2) for the corresponding perverse ideal sheaves.

Consider the morphism $`id\times \pi :X_n^+\times _{Y_n}𝒳_n)X_n^+\times _{Y_n}X_n`$. Condition (PIS.1) amounts to checking that $`(id\times \pi )_{}I_{\stackrel{~}{(X_n^+\times _{Y_n}𝒳_n)}}`$ is a perverse ideal sheaf. Since $`\pi `$ is exact, this is nothing by the ideal sheaf $`I_{\stackrel{~}{(X_n^+\times _{Y_n}X_n)}}`$ of the fibered product. In \[$`\mathrm{}`$-C\], Proposition 1.3.2, it is shown that this is indeed a perverse ideal sheaf.

To check the condition (PIS.2), we consider the flat base change $`p:X_1𝒳`$. We have a natural morphism $`p_n:X_1\times _{Y_1}X_1^+X_1\times X_n^+`$. Denote by $`Z`$ the image of this morphism in $`X_1\times X_n^+`$. The morphism $`p_n`$ factors through

$$X_1\times _{Y_1}X_1^+X_1\times _{Y_n}X_n^+X_1\times X_n^+.$$

The first morphism is finite and the second morphism is a closed embedding. Therefore the composite is a finite morphism. Note also that this morphism is birational, since the projections to $`X_1`$ are birational.

###### Lemma 4.2.2.

The morphism $`p_n:X_1\times _{Y_1}X_1^+Z`$ is an isomorphism.

Proof. It suffices to check that the image $`Z`$ in $`X_1\times X_n^+`$ is normal by Zariski’s main theorem. Indeed, we shall prove that $`Z`$ is smooth. To check this, we do explicit computations on affine charts.

The variety $`Y_1`$ is given by $`\{xyuv=0\}^4`$. The variety $`X_1^+`$ is obtained by blowing up the ideal $`(x,u)`$, and the variety $`X_1`$ is obtain by blowing up $`(x,v)`$. The variety $`X_1^+`$ can be cover by two affine pieces $`U_{u0}^+`$ and $`U_{x0}^+`$. Similarly, the variety $`X_1`$ can be cover by two affine pieces $`U_{v0}^{}`$ and $`U_{x0}^{}`$. The variety $`X_1\times X_1^+`$ can be covered by four affine charts.

We first consider the affine chart $`U_{u0}^+`$ in $`X_1^+`$ and $`U_{v0}^{}`$ in $`X_1`$. The structure sheaf $`𝒪_{Y_n}`$ is generated by $`\{z_i=x^iu^{ni},y,v\}`$. The structure sheaf $`𝒪_1`$ is generated by $`\{y_{},v_{},s_{}=x_{}/v_{}\}`$. The structure sheaf $`𝒪_1^+`$ is generated by $`\{t_+=x_+/u_+,y_+,u_+\}`$. The structure sheaf $`𝒪_{X_n^+}`$ is generated by $`\{t_+,y_+,u_+^n\}`$.

The ideal of the fiber product $`X_n^+\times _{Y_n}X_1`$ in $`X_n^+\times X_1`$ is generated by $`\{t_+y_+v_{},y_{}y_+,t_+^iz_+s_{}^nv_{}^iy_{}^{ni}\}`$. An easy calculation shows that this ideal is generated by $`\{t_+y_+v_{},y_{}y_+,z_+s_{}^ny_{}^n\}`$. The variety defined by this ideal is smooth, and it is isomorphic to $`Z`$ in this affine chart.

On the second chart $`U_{u0}^+`$ in $`X_1^+`$ and $`U_{x0}^{}`$ in $`X_1`$. The ring $`𝒪_{X_n^+}`$ is generated by $`\{t^+,y^+,u_+^n\}`$ as above. The ring $`𝒪_1^{}`$ is generated by $`\{u_{},x_{},s_{}=v_{}/x_{}\}`$. The ideal of the fiber product is generated by $`\{t_+y_+s_{}x_{},s_{}u_{}y_+,t_+^iz_+x_{}^iu_{}^{ni}\}`$. The fiber product is not smooth, but $`Z`$ is a subscheme of $`X_1\times _{Y_n}X_n^+`$ and it is still smooth, since we get the ideal of the image of $`X_1\times _{Y_1}X_1^+`$ in $`X_1\times X_n^+`$ after adding the element $`t_+u_{}x_{}`$ to the ideal of the fiber product $`X_1\times _{Y_n}X_n^+`$.

For the affine chart $`U_{x0}^+`$ in $`X_1^+`$ and $`U_v\mathrm{}^{}`$ in $`X_1`$, it is easy to check the variety is smooth. For the affine chart $`U_{x0}^+`$ in $`X_1^+`$ and $`U_{x0}^{}`$ in $`X_1`$, one can write down a similar generators and equations. The ideal of the fiber product is generated by $`\{v_+S_{}x_{},t_+v_+s_{}u_{},t_+^{ni}z_+x_{}^iu_{}^{ni}\}`$. It is also not smooth. This time we need to add the element $`z_+x_{}^n`$ to get the ideal of the image $`Z`$.

###### Lemma 4.2.3.

The ideal sheaf $`I_{\stackrel{~}{(X_n^+\times _{Y_n}𝒳_n)}}`$ is flat over $`𝒪_{X_n^+}`$.

Proof We can check this after pullback by the flat morphism $`X_1𝒳_n`$. This amounts to checking that the ideal $`I_Z`$ is flat over $`𝒪_{X_n^+}`$.

First note that $`I_{X_1^+\times _{Y_1}X_1}`$ is flat over $`𝒪_{X_1^+}`$.

To check $`I_Z`$ is flat over $`X_n^+`$, it suffices to show that

$$Tor_2^{𝒪_{X_n}}(𝒪_Z,M)=0$$

for all $`M`$. Since

$$Tor_2^{𝒪_{X_1}}(𝒪_Z,M)=0,$$

the desired result would follow if we can show $`𝒪_{X_1^+}`$ is flat over $`𝒪_{X_n^+}`$. This holds since $`X_n^+`$ is smooth and $`X_1^+`$ is Cohen Macaulay. $`\mathrm{}`$

Now we check the condition (PIS.2) for the ideal sheaf $`I_{\stackrel{~}{(X_n^+\times _{Y_n}𝒳_n)}}`$. Consider the natural group of $`/n`$ on $`X_1`$. There is a group action of $`/n`$ on $`X_1\times X_n^+`$: The group $`/n`$ acts on $`X_1`$ via the natural action, and acts trivially on $`X_n^+`$. Consider the morphism $`\tau :X_1𝒳`$ (see diagram 1). Let $`F`$ be a sheaf on $`𝒳`$. To check

$$\mathrm{Hom}(C,F)=0$$

for all $`CD(𝒳)`$ satisfying $`\tau _{}C=0`$, it suffices to check that $`\tau ^{}F`$ has no sections supported on the preimage of stacky points of $`𝒳`$.

Take the family of sheaves $`I_Z`$ over the variety $`X_n^+`$. We have the exact sequence

$$0I_Z𝒪_{X_1\times X_n^+}𝒪_Z0.$$

Let $`i:pX_n^+`$ be a point of $`X_n^+`$. Tensoring the exact sequence with the sheaf $`𝒪_p=𝒪_{X_n^+}/m_p`$, we get the following

$$0\mathrm{Tor}_1^{𝒪_{X_n^+}}(𝒪_p,𝒪_Z)i^{}I_Z𝒪_{X_1}𝒪_{i^{}Z}0.$$

It is clear that the image of $`i^{}I_Z`$ in $`𝒪_{X_1}`$ is torsion free on the fiber. To show that $`i^{}I_Z`$ has torsion with support in pure dimension $`1`$, it suffices to show that the sheaf $`\mathrm{Tor}_1^{𝒪_{X_n^+}}(𝒪_p,𝒪_Z)`$ has support in pure dimension $`1`$. To achieve this, we use the change of ring formula

$$\mathrm{Tor}_1^{𝒪_{X_1^+}}(𝒪_{X_1^+}/m_p𝒪_{X_1^+},𝒪_Z)=\mathrm{Tor}_1^{𝒪_{X_n^+}}(𝒪_{X_n^+}/m_p𝒪_{X_n^+},𝒪_Z).$$

Since $`Z`$ is the universal perverse point sheaf for the morphism $`X_1Y_1`$, it can be directly checked that the sheaf $`\mathrm{Tor}_1^{𝒪_{X_1^+}}(𝒪_{X_1^+}/m_p𝒪_{X_1^+},𝒪_Z)`$ has support of pure dimension $`1`$. It follows that the sheaf $`\mathrm{Tor}_1^{𝒪_{X_n^+}}(𝒪_{X_n^+}/m_p,𝒪_Z)`$ has support of pure dimension $`1`$. (Alternatively, the automorphism group of $`ZX_1^+`$ acts transitively on the fiber, and the sheaf cannot have sections with support in a point which is not fixed.)

Finally we verify that the composite morphism $`X^+W(X/Y)`$ is finite. This composition is given by the sheaf $`𝒪_{X^+\times _YX}`$, which is a perverse sheaf for $`X/Y`$ by \[$`\mathrm{}`$-C\], Proposition 1.3.2. The same proposition shows that $`X^+W(X/Y)`$ is the normalization, which is therefore finite. This completes the proof of Lemma 4.2.1. ∎

### 4.3. Proof of Theorem 1.4.2

Since, by Lemma 4.2.1, we have a finite birational morphism $`X^+W`$, once we show $`W`$ is smooth it follows that the morphism is an isomorphism. We prove that $`W`$ is smooth and the Fourier–Mukai transform is fully faithful at the same time, following the method of \[BKR99\].

We denote the functor induced by the universal perverse point sheaf

$$\mathrm{\Phi }:D(W)D(𝒳).$$

As in \[BKR99\], $`\mathrm{\Phi }`$ has a left adjoint $`\mathrm{\Psi }`$ and the composition $`\mathrm{\Psi }\mathrm{\Phi }`$ is defined by a sheaf $`Q`$ on $`W\times W`$, which is supported in $`W\times _YW`$. We consider the restriction of $`Q`$ to the complement of the diagonal. The support of $`Q`$ in this open set has dimension 2, since the fibers of $`WY`$ are images of the fibers of $`X^+Y`$ which have dimension $`1`$. Also, by Lemma 3.5.4 the homological dimension of $`Q`$ on the open set is $`3`$. By the intersection theorem (\[BKR99\], Corollary 5.2) it follows that $`Q`$ vanishes outside the diagonal. The argument of \[BKR99\] Section 6, step 5-6 shows that $`W`$ is nonsingular and $`Q`$ is a line bundle on the diagonal, which implies that $`\mathrm{\Phi }`$ is fully faithful. The proof is complete. ∎


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# Reply to Acausality of Massive Charged Spin 2 Fields

## Abstract

We show that, contrary to the claim in hep-th/0304050, the propagation of a spin-2 field in an electromagnetic background is causal.

Recently nosso  we showed that the propagation of a spin 2 field in an electromagnetic background is causal. This assertion is against results obtained previously (see d2  and references therein). For the proof we used used the first-order representation for the equations of a spin 2 field, which is based on a three-index tensor $`F_{\mu \nu \alpha }`$. The first order formalism is equivalent to the more usual second order formalism, as can be shown from the results in nosso . Another ingredient for the proof was Hadamard’s method of discontinuities, in which

$$[F_{\mu \nu \alpha ;\lambda }]=k_\lambda f_{\mu \nu \alpha }.$$

on the surface of discontinuity. The authors of com  claim that

* from the equations $`k_\mu f^\mu =0`$ and $`f_\mu f^\mu =0`$, where $`f_\mu =f_{\mu \nu \alpha }\eta ^{\nu \alpha }`$, it cannot be concluded that $`k_\mu `$ is lightlike, and
* that the masless gauge invariance that appears in the eikonal limit, used in nosso  to gauge away acausalities cannot be used in that way, because the underlying massive theory is not gauge invariant.

It was shown in com  that the first claim is correct, but no proof or support was given for the second claim. We will give here a proof of the causal behaviour based solely, as we shall see, in the symmetry present only in the equations for the discontinuities.

As a result of taking the discontinuity of the equations of motion for a spin 2 field in an electromagnetic background, we got in nosso  the following equations:

$$f_{\mu \nu \alpha }k^\mu =0,$$
(1)
$$f_{\mu \nu \alpha }k^\alpha =0,$$
(2)
$$f_{\alpha \beta \lambda }f^\lambda k^2=0,$$
(3)
$$A_{\alpha \beta ,\mu }f^{\alpha \beta \mu }=0,$$
(4)
$$\frac{3}{2}ieA^{\alpha \beta }f_{\alpha \beta \mu }m^2f_\mu =0,$$
(5)
$`f_{\alpha \beta }^{}{}_{}{}^{\lambda }k_\mu +f_{\beta \mu }^{}{}_{}{}^{\lambda }k_\alpha +f_{\mu \alpha }^{}{}_{}{}^{\lambda }k_\beta {\displaystyle \frac{1}{2}}\delta _\alpha ^\lambda f_{[\mu }k_{\beta ]}`$
$`{\displaystyle \frac{1}{2}}\delta _\mu ^\lambda f_{[\beta }k_{\alpha ]}{\displaystyle \frac{1}{2}}\delta _\beta ^\lambda f_{[\alpha }k_{,\mu ]}=0`$ (6)
Notice that the dependence of all these equations on the polarization $`ϵ_{\mu \nu }`$ is only through the tensor $`f_{\alpha \beta \mu }`$, defined by

$$2f_{\alpha \mu \nu }=ϵ_{\nu \alpha }k_\mu ϵ_{\nu \mu }k_\alpha +f_\alpha \eta _{\mu \nu }f_\mu \eta _{\alpha \nu },$$
(7)
and its trace. It is patently evident that equations (1)-(6) are invariant under the transformation

$$\stackrel{~}{ϵ}_{\mu \nu }=ϵ_{\mu \nu }+\mathrm{\Lambda }k_\mu k_\nu ,$$
(8)
where $`\mathrm{\Lambda }`$ is an arbitrary function of the coordinates. Note that this transformation is not a symmetry of the massless theory in the presence of the electromagnetic field, as can be shown by explicit calculation. It is instead a symmetry of the equations for the discontinuity of the derivative of the field $`F_{\mu \nu \alpha }`$. It follows from this symmetry that the modulus of $`X_\mu ϵ_{\mu \nu }k^\nu `$ transforms as nosso

$$\stackrel{~}{X}^2=X^2+\mathrm{\Lambda }(k^2)^2(2ϵ+\mathrm{\Lambda }).$$
(9)
Depending on $`\mathrm{\Lambda }`$, the vector $`X_\mu `$ (and any other projection of the polarization tensor) may be timelike, null, or spacelike. Only for the case $`k^2=0`$ this unacceptable dependence of an observable quantity with a gauge choice disappears . We conclude then that the propagation of a spin-2 field in an electromagnetic background is causal.


text:
# Untitled Document

Coupled plasmon-phonon modes in a two-dimensional

electron gas in the presence of Rashba effect

W. Xu1), M.P. Das1) and L.B. Lin2)

1)Department of Theoretical Physics

Research School of Physical Sciences and Engineering

Australian National University, Canberra, ACT 0200, Australia

2) Department of Physics, Sichuan University

Chengdu - 610064, Sichuan, People’s Republic of China

PACS: 71.45.Gm, 71.38.+i

Elementary electronic excitation is studied theoretically for a two-dimensional electron gas in the presence of spin orbit (SO) interaction induced by Rashba effect. We find that in such a system, coupled plasmon-phonon excitation can be achieved via intra- and inter-SO electronic transitions. As a result, six branches of the coupled plasmon-phonon oscillations can be observed. The interesting features of these excitation modes are analyzed.

Progress made in realizing spin polarized electronic systems has led to recent proposals of the novel electronic devices, such as spin-transistors , spin-waveguides , spin-filters , quantum computers , etc. One important aspect in the field of “spintronics” is to investigate electronic systems with finite spin splitting at zero magnetic field. It is known that in semiconductor-based two-dimensional electron gas (2DEG) systems, the zero-field spin splitting can be realized from inhomogeneous surface electric field induced by the presence of the heterojunction. This feature is known as the Rashba effect . In these systems the strength of the spin-splitting and spin-orbit interaction (SOI) can be altered by applying a gate voltage  or varying sample growth parameters . At present most of the published work is focused on electronic and transport properties of the 2DEGs in the presence of SOI. In order to understand these novel material systems more deeply and to explore their further applications to the practical devices, it is necessary for us to examine the roles which electronic many-body effects and phonons can play in a 2DEG with SO coupling.

Here we consider an interacting 2DEG where SOI and electron-phonon (e-p) interaction are present. Our aim is to obtain coupled plasmon-phonon excitation modes for this system. For a typical 2DEG in the xy-plane in narrow gap semiconductors, such as InGaAs/InAlAs quantum wells, the noninteracting Schrödinger equation including the lowest order of SOI can be solved analytically . Applying the electron wavefunctions to the electron-electron (e-e) interaction Hamiltonian induced by the Coulomb potential, the space Fourier transform of the matrix element for bare e-e interaction is written as

$$V_{\alpha \beta }(𝐤,𝐪)=V_qF_0(q)G_{\alpha \beta }(𝐤,𝐪).$$
$`(1a)`$
Here, $`\alpha =(\sigma ^{},\sigma )`$ with $`\sigma =\pm 1`$ referring to different SOs, $`𝐤=(k_x,k_y)`$ is the electron wavevector along the 2D-plane, $`𝐪=(q_x,q_y)`$ is the change of $`𝐤`$ during a scattering event, $`V_q=2\pi e^2/ϵ_{\mathrm{}}q`$ with $`ϵ_{\mathrm{}}`$ being the high-frequency dielectric constant, and

$$G_{\alpha \beta }(𝐤,𝐪)=\frac{1+\alpha A_{\mathrm{𝐤𝐪}}}{2}\delta _{\alpha ,\beta }+i\frac{\alpha B_{\mathrm{𝐤𝐪}}}{2}(1\delta _{\alpha ,\beta })$$
$`(1b)`$
with $`A_{\mathrm{𝐤𝐪}}=(k+q\mathrm{cos}\theta )/|𝐤+𝐪|`$, $`B_{\mathrm{𝐤𝐪}}=q\mathrm{sin}\theta /|𝐤+𝐪|`$, and $`\theta `$ being the angle between $`𝐤`$ and $`𝐪`$. Furthermore, the space Fourier transform of the matrix element for bare e-p interaction can be written as

$$V_\alpha ^{ph}(𝐤,𝐪;\mathrm{\Omega })=\underset{q_z}{}D_0(\omega _Q,\mathrm{\Omega })|U_\alpha (𝐤,𝐐)|^2,$$
$`(2)`$
where $`𝐐=(𝐪,q_z)`$ is the phonon wavevector, $`\omega _Q`$ is the phonon frequency, $`D_0(\omega _Q,\mathrm{\Omega })=2\mathrm{}\omega _Q/[(\mathrm{}\mathrm{\Omega })^2(\mathrm{}\omega _Q)^2]`$ is the bare phonon propagator, $`|U_\alpha (𝐤,𝐪)|^2=|W_𝐐|^2G_0(q_z)A_\alpha (𝐤,𝐪)`$ is the square of the e-p interaction matrix element, $`A_\alpha (𝐤,𝐪)=(1+\alpha A_{\mathrm{𝐤𝐪}})/2`$ is a spin-dependent element, and $`W_𝐐`$ is the e-p coupling coefficient. It should be noted that in contrast to a conventional 2DEG (C2DEG) for which the bare e-e and bare e-p interactions do not depend on $`𝐤`$ , $`V_{\alpha \beta }(𝐤,𝐪)`$ and $`V_\alpha ^{ph}(𝐤,𝐪;\mathrm{\Omega })`$ for a 2DEG with SOI depend not only on $`𝐪`$ but also on k, because the spin splitting depends explicitly on k. In the present study, we consider the case of a narrow quantum well in which only one electronic subband is present. Thus, $`F_0(q)=𝑑z_1𝑑z_2|\psi _0(z_1)|^2|\psi _0(z_2)|^2\mathrm{exp}(q|z_1z_2|)`$ and $`G_0(q_z)=|<0|e^{iq_zz}|0>|^2`$ with $`|0>=\psi _0(z)`$ being the electron wavefunction along the growth direction.

From electron energy spectrum obtained by solving the Schrödinger equation, we derive the retarded and advanced Green’s functions for electrons. Using these Green’s functions, $`V_{\alpha \beta }(𝐤,𝐪)`$ and $`V_\alpha ^{ph}(𝐤,𝐪;\mathrm{\Omega })`$ in a diagrammatic self-consistent theory  (also see Fig. 1), the effective e-e interaction is given by

$$V_{eff}(𝐤,𝐪;\mathrm{\Omega })=[V_{\alpha \beta }(𝐤,𝐪)+V_\alpha ^{ph}(𝐤,𝐪;\mathrm{\Omega })]ϵ_{\alpha \beta }^1(𝐤,𝐪;\mathrm{\Omega }).$$
$`(3)`$
Here,

$$ϵ_{\alpha \beta }(𝐤,𝐪;\mathrm{\Omega })=\delta _{\alpha ,\beta }\delta (𝐤)[V_{\alpha \beta }(𝐤,𝐪)+V_\alpha ^{ph}(𝐤,𝐪;\mathrm{\Omega })]\mathrm{\Pi }_\beta (𝐤,𝐪;\mathrm{\Omega })$$
$`(4)`$
is the dielectric function matrix element and

$$\mathrm{\Pi }_{\sigma ^{}\sigma }(𝐤,𝐪;\mathrm{\Omega })=\frac{f[E_\sigma ^{}(𝐤+𝐪)]f[E_\sigma (𝐤)]}{\mathrm{}\mathrm{\Omega }+E_\sigma ^{}(𝐤+𝐪)E_\sigma (𝐤)+i\delta }$$
$`(5)`$
is the pair bubble in the absence of e-e coupling with $`f(E)`$ being the Fermi-Dirac function. In Eq. (5),

$$E_\sigma (𝐤)=E_\sigma (k)=\mathrm{}^2k^2/2m^{}+\sigma \alpha _Rk$$
$`(6)`$
is the energy spectrum of a 2DEG in the presence of SOI, with $`m^{}`$ being the electron effective mass and $`\alpha _R`$ the Rashba parameter which measures the strength of the SOI.

For a 2DEG with SOI, the effective e-e interaction and dielectric function matrix depend not only on q but also on k, in contrast to a C2DEG. After summing $`ϵ_{\alpha \beta }(𝐤,𝐪;\mathrm{\Omega })`$ over k and setting $`1=(++)`$, $`2=(+)`$, $`3=(+)`$ and $`4=()`$, the dielectric function matrix for a 2DEG with Rashba spin splitting in the presence of e-p scattering is obtained as

$$ϵ=\left(\begin{array}{cccc}1+a_1+b_1& 0& 0& a_4\\ 0& 1+a_2+b_2& a_3& 0\\ 0& a_2& 1+a_3+b_3& 0\\ a_1& 0& 0& 1+a_4+b_4\end{array}\right).$$
$`(7)`$
In Eq. (7), $`a_j=[V_qF_0(q)/2]B_j(𝐪,\mathrm{\Omega })`$ and $`b_j=_{q_z}D_0(\omega _Q,\mathrm{\Omega })|W_𝐐|^2G_0(q_z)B_j(𝐪,\mathrm{\Omega })`$ are induced respectively by e-e and e-p interaction. $`B_j(𝐪,\mathrm{\Omega })=_𝐤(1\pm A_{\mathrm{𝐤𝐪}})\mathrm{\Pi }_j(𝐤,𝐪;\mathrm{\Omega })`$, where upper (lower) case refers to $`j=1`$ or $`4`$ for intra-SO transitions ($`j=2`$ or $`3`$ for inter-SO transitions). The determinant of the dielectric function matrix is then given by

$$|ϵ|=[(1+a_1+b_1)(1+a_4+b_4)a_1a_4][(1+a_2+b_2)(1+a_3+b_3)a_2a_3]$$
$`(8)`$
which results from intra- and inter-SO electronic transitions. Thus, the modes of coupled plasmon-phonon excitation are determined by $`\mathrm{Re}|ϵ|0`$.

In the present study, we consider an InGaAs-based 2DEG in which electrons interact strongly with longitudinal optical (LO) phonons through the Fr̈ohlich coupling. For electron interaction with LO-phonons, $`\omega _Q\omega _{LO}`$ the LO-phonon frequency at long-wavelength limit, $`|W_𝐐|^2=2\pi e^2\mathrm{}\omega _{LO}(ϵ_{\mathrm{}}^1ϵ_s^1)/Q^2`$ with $`ϵ_s`$ and $`ϵ_{\mathrm{}}`$ being respectively the static and high-frequency dielectric constants. At a long-wavelength (i.e., $`q1`$) and a low-temperature (i.e., $`T0`$) limit, we have

$$\mathrm{Re}|ϵ|\left[1\frac{\omega _p^2}{\mathrm{\Omega }^2}\frac{\mathrm{\Omega }^2\omega _{TO}^2}{\mathrm{\Omega }^2\omega _{LO}^2}\left(1\frac{\omega _{}\omega _+}{\omega _0/2}\right)\right]\left[1\frac{\omega _p^2}{\omega _0\mathrm{\Omega }}\frac{\mathrm{\Omega }^2\omega _{TO}^2}{\mathrm{\Omega }^2\omega _{LO}^2}\mathrm{ln}\left(\frac{\mathrm{\Omega }+\omega _{}}{\mathrm{\Omega }\omega _{}}\frac{\mathrm{\Omega }\omega _+}{\mathrm{\Omega }+\omega _+}\right)\right].$$
$`(9)`$
Here, the first (second) term on the right-hand side is induced by intra-SO (inter-SO) transitions, $`\omega _{TO}=\sqrt{ϵ_{\mathrm{}}/ϵ_s}\omega _{LO}`$ is the TO-phonon frequency, $`\omega _\pm =4\alpha _R\sqrt{\pi n_\pm }/\mathrm{}`$ with $`n_\pm `$ being the electron density in the $`\pm `$ spin channel, $`\omega _0=16\pi n_e\mathrm{}/m^{}`$, and $`\omega _p=(2\pi e^2n_eq/ϵ_{\mathrm{}}m^{})^{1/2}`$ is the plasmon frequency of a 2DEG in the absence of SOI with $`n_e=n_++n_{}`$ being the total electron density of the system. Moreover, it can be shown that at low-temperature limit, electron density in different SOs is

$$n_\pm =(n_e/2)(k_\alpha /2\pi )\sqrt{2\pi n_ek_\alpha ^2}$$
$`(10)`$
for case of $`n_e>k_\alpha ^2/\pi `$ with $`k_\alpha =m^{}\alpha _R/\mathrm{}^2`$. When $`n_ek_\alpha ^2/\pi `$, only spin-down states are occupied by electrons and, therefore, $`n_+=0`$ and $`n_{}=n_e`$.

In the presence of SOI, the collective excitation from a 2DEG can be achieved via electron transitions in different spin channels. From Eq. (9), we see that the coupled plasmon-phonon frequency induced by intra-SO excitation is given by

$$\mathrm{\Omega }_+=\omega _{LO}+\frac{a}{2}\left(1\frac{ϵ_{\mathrm{}}}{ϵ_s}\right)\frac{\omega _p^2}{\omega _{LO}}\mathrm{and}\mathrm{\Omega }_{}=\omega _p\sqrt{a\frac{ϵ_{\mathrm{}}}{ϵ_s}},$$
$`(11)`$
where $`a=12(\omega _{}\omega _+)/\omega _0`$; those induced by inter-SO transitions can be obtained by solving

$$\mathrm{ln}(\frac{\mathrm{\Omega }+\omega _{}}{\mathrm{\Omega }\omega _{}}\frac{\mathrm{\Omega }\omega _+}{\mathrm{\Omega }+\omega _+})=\frac{\omega _0\mathrm{\Omega }}{\omega _p^2}\frac{\mathrm{\Omega }^2\omega _{LO}^2}{\mathrm{\Omega }^2\omega _{TO}^2}.$$
$`(12)`$
Thus, two (four) branches of the coupled plasmon-phonon excitation can be observed via intra-SO (inter-SO) electronic transitions.

Now we present the results of our calculations for InGaAs-based quantum well structures. The material parameters are known :

1) the electron effective mass $`m^{}=0.042m_e`$ with $`m_e`$ being the rest-electron mass;

2) the high-frequency and static dielectric constants are respectively $`ϵ_{\mathrm{}}=12.3`$ and $`ϵ_s=14.6`$; and

3) the LO-phonon energy $`\mathrm{}\omega _{LO}=30.9`$ meV.

The dependence of coupled plasmon-phonon frequencies induced by intra- (in (a)) and inter-SO (in (b)) excitation on $`\omega _p=(2\pi e^2n_eq/ϵ_{\mathrm{}})^{1/2}`$ or $`q`$, on Rashba parameter $`\alpha _R`$ and on total electron density $`n_e`$ are shown respectively in Figs. 2 - 4. From these results and from Eqs. (11) and (12), it can be found that at a long-wavelength limit, excitations with frequency about $`\omega _{LO}`$ can be generated via both intra- ($`\mathrm{\Omega }_+\omega _{LO}`$) and inter-SO ($`\mathrm{\Omega }_4\omega _{LO}`$) transitions and they depend very weakly on $`q`$ and sample parameters (such as $`\alpha _R`$ and $`n_e`$). Another mode induced by intra-SO transition, $`\mathrm{\Omega }_{}\omega _pq^{1/2}`$, is acoustic-like and depends weakly on $`\alpha _R`$ and $`n_e`$. The excitation with frequency about $`\mathrm{\Omega }_3\omega _{TO}`$ can only be generated via inter-SO transitions and its dependance on $`q`$, $`\alpha _R`$ and $`n_e`$ are negligible, which implies that the TO-phonon mode can be excited via inter-SO transitions in a InGaAs-based 2DEG. Although $`\mathrm{\Omega }_1`$ and $`\mathrm{\Omega }_2`$ induced by inter-SO transitions should, in principle, depend on $`q`$ via $`\omega _p`$ (see Eq. (12)), the numerical results shown in Fig. 2 suggest that at long-wavelength limit, over a wide regime of $`\omega _p`$ or $`q`$, $`\mathrm{\Omega }_1\omega _+=4\alpha _R\sqrt{\pi n_+}/\mathrm{}`$ and $`\mathrm{\Omega }_2\omega _{}=4\alpha _R\sqrt{\pi n_{}}/\mathrm{}`$ depend very little on $`q`$ and can differ significantly from the phonon frequencies and from $`\omega _p`$. This indicates that $`\mathrm{\Omega }_1`$ and $`\mathrm{\Omega }_2`$ are optic-like and they rely very strongly on sample parameters such as $`\alpha _R`$ and $`n_e`$ (see Figs. 3 and 4).

The important conclusions drawn from this work are, for a 2DEG with SOI,

(1) LO-phonon excitation can be achieved via intra- and inter-SO electronic transitions;

(2) TO-phonon mode can only be generated via inter-SO excitation; and

(3) $`\mathrm{\Omega }_1`$ and $`\mathrm{\Omega }_2`$ induced by inter-SO excitations are optic-like and very sensitive to sample parameters.

There are many investigations on the coupled plasmon-phonon modes in semiconductor-based 2DEG systems without including SOI . In comparing these results with those obtained in our present study (where SOI is present), we note some interesting features in the collective excitation modes, especially those excited through inter-SO transitions. It may be noted that the state-of-the-art material engineering and micro- and nano-fabrication techniques have made it possible to achieve an experimentally observable Rashba spin-splitting in, e.g., InGaAs-based 2DEG systems. Very recent experimental results  in this system show that the Rashba parameter $`\alpha _R`$ can reach up to $`34\times 10^{11}`$ eVm. Our results shown in Figs. 2 - 4 indicate that when $`\alpha _R10^{11}`$ eVm, a significant separation between $`\mathrm{\Omega }_{1,2}`$ induced by inter-SO transition can be achieved.

At present, magneto-transport measurement is a powerful and most popularly used experimental technique to identify Rashba spin-splitting in a 2DEG . Using this technique to determine the Rashba parameter and electron density in different spin branches, one needs to apply high magnetic fields at low-temperatures so that Shubnikov-de Hass oscillations are observed. From our investigations we suggest that the Rashba spin splitting can be probed by optical measurements. It should be noted that the dispersion of the coupled plasmon-phonon energies (or frequencies) is of the same order of magnitude as energy splitting in different spin branches. Together with a fact that it is not so easy to measure the dispersion relation of the coupled plasmon-phonon modes in a 2DEG even without inclusion of SOI, we think it may be difficult to measure optically the dispersion relation of the coupled plasmon-phonon mode in a 2DEG with SOI. In the absence of SOI, the dispersion of the coupled plasmon-phonon mode can only be determined by using techniques, such as grating couplers . However, Raman scattering  and ultrafast pump-and-probe experiments  have been carried out recently to study coupled plasmon-phonon modes in semiconductor-based 2DEG systems without SOI. These optical experiments conveniently measure optic-like excitation modes. Thus, we propose here coupled plasmon-phonon modes in a spin split 2DEG to be detected optically because most of them are optic-like. In particular, if we can measure $`\omega _\pm =4\alpha _R\sqrt{\pi n_\pm }/\mathrm{}`$ (the magnitude of the frequencies and their separation are of the order of THz), we can determine the Rashba parameter and total electron density of the system. We see from Figs. 2 - 4 that when $`\alpha _R10^{11}`$ eVm, $`\mathrm{\Omega }_2\mathrm{\Omega }_1`$ is much larger than $`\mathrm{\Omega }_4\mathrm{\Omega }_3\omega _{LO}\omega _{TO}`$. Because even $`\omega _{LO}`$ and $`\omega _{TO}`$ in InGaAs can be resolved in, e.g., Raman spectra , $`\mathrm{\Omega }_{1,2}`$ induced by inter-SO transition can be more easily resolved in an optical experiment. Finally we suggest these theoretical predictions require experimental verification.

Acknowledgment: One of us (W. X.) is a Research Fellow of the Australian Research Council. This work is also partly supported by the National Natural Science Foundation of China.

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FIGURE CAPTIONS

Fig. 1. Effective e-e interaction (double-solid-lines) in the presence of phonon scattering. Here, the dashed-line is the bare e-e interaction, the dotted-line is induced by electron-phonon scattering, and the bubble refers to the bare pair-bubble.

Fig. 2. Dependence of the coupled plasmon-phonon frequency induced by intra- (in (a)) and inter-SO (in (b)) excitation on $`\omega _p=(2\pi e^2n_eq/ϵ_{\mathrm{}}m^{})^{1/2}`$ for fixed Rashba parameter $`\alpha _R`$ and total electron density $`n_e`$. Here, $`\omega _{LO}`$ and $`\omega _{TO}`$ are respectively the LO- and TO-phonon frequencies and $`\omega _\pm =4\alpha _R\sqrt{\pi n_\pm }/\mathrm{}`$.

Fig. 3. Coupled plasmon-phonon frequency induced by intra- (in (a)) and inter-SO (in (b)) transitions as a function of Rashba parameter for fixed $`\omega _p`$ and $`n_e`$ as indicated.

Fig. 4. Coupled plasmon-phonon frequency caused by intra- (in (a)) and inter-SO (in (b)) excitations versus total electron density for fixed $`\alpha _R`$ and $`\omega _p`$.

W. Xu et. al. Figure 1.

W. Xu et. al. Figure 2.

W. Xu et. al. Figure 3.

W. Xu et. al. Figure 4.