Chapter 1 Introduction and Background Review [03Y2]
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Chapter 1 Introduction and Background Review
The principal motivation of this paper lies in the metric aspect of the Strominger-Yau-Zaslow (SYZ) conjecture for 3-folds, a strong form of which states
Conjecture 1.1.
[26][16] Let be a degenerating family of (polarized) Calabi-Yau 3-folds near the large complex structure limit, equipped with Calabi-Yau metrics . Then for , the 3-fold admits a special Lagrangian -fibration over a base homeomorphic to a 3-sphere, known as the SYZ fibration. The base is equipped with an affine structure and a compatible metric solving the real Monge-Ampère equation with singularities along a trivalent graph , such that the rescaled Calabi-Yau metrics converge to in Gromov-Hausdorff sense as . Morever, suitably away from the metrics are approximated by a semiflat metric up to exponentially small errors.
The SYZ conjecture stands at the crossroad of algebraic, symplectic, Riemannian and calibrated geometry. In the past two decades following the SYZ proposal there has emerged a sophisticated topological, algebro-geometric and symplectic picture [16][9]. The topological and complex geometric description for SYZ fibrations developed by Gross, Ruan, Joyce and Zharkov will be recalled in Section 1.1.
The prototype result in the metric direction is Gross and Wilson’s description of the degenerating K3 metrics [11]. Crucial in [11] is an explicit metric model for the neighbourhood of the singular SYZ fibres, known as the Ooguri-Vafa metric, constructed via the Gibbons-Hawking ansatz (cf. review Section 1.3). After hyperkähler rotation, the SYZ fibration turns into a holomorphic fibration by elliptic curves over , where the fibres have much smaller diameters compared to the base, a phenomenon known as collapsing. Gross and Wilson construct the collapsing K3 metrics by gluing the Ooguri-Vafa metric to a semiflat metric with exponentially small gluing error. Some features of their construction persist on higher dimensional hyperkähler manifolds with holomorphic Lagrangian Abelian variety fibrations [10]. Variants of the Ooguri-Vafa metric feature prominently in other types of metric degenerations on K3 surfaces [13].
Beyond the hyperkähler case, Zharkov et al [31][32] established a formal differential geometric framework called the generalised Gibbons-Hawking ansatz designed to construct Calabi-Yau metrics with torus symmetry, and pointed out its relevance to the metric aspects of the SYZ conjecture (cf. review Section 1.2 and 1.1.6). Despite all the progress, essentially no analytic result was known concerning the Calabi-Yau metric on a quintic 3-fold near the large complex structure limit, beyond its abstract existence due to Yau’s solution of the Calabi conjecture.
The main accomplishment of this paper is to use the generalised Gibbons-Hawking ansatz to construct two types of analogues for the Ooguri-Vafa metrics on Calabi-Yau 3-folds, corresponding to the positive vertex and the negative vertex, referring to the neighbourhoods of the two types of most singular SYZ fibres in a generic 3-fold SYZ fibration according to the Gross-Ruan-Joyce classification. As a byproduct of our project, we construct a family of new exotic Calabi-Yau metrics on with properties akin to the Taub-NUT metric on .
Here is a crude statement for the main results. A fuller summary can be found in the introductions to individual Chapters.
Theorem 1.2.
(Taub-NUT type metric on , cf. Chapter 2) There is a family of Calabi-Yau metrics on invariant under the diagonal -action, which are parametrised by positive definite rank 2 real symmetric matrices . The base of the -fibration is and the discriminant locus is the trivalent graph
The tangent cone at infinity is the Euclidean . Near spatial infinity suitably away from , the metric is approximately a flat fibration over an open subset of Euclidean , such that the metric on the -fibres is asymptotically given by the inverse matrix in distinguished coordinates. The metric transverse to is modelled on a fibration by Taub-NUT metrics.
Remark 1.1.
Theorem 1.3.
(Ooguri-Vafa type metric on the positive vertex, cf. Chapter 3) There is a family of incomplete Calabi-Yau metrics with -symmetry, which are parametrised by positive definite rank 2 real symmetric matrices , such that
- •
The ambient space has the same topology as the positive vertex predicted by Gross-Ruan-Joyce, namely it is a singular -bundle over a 4-dimensional base contained in with discriminant locus along
- •
The holomorphic structure together with the holomorphic volume form agrees with the Zharkov prediction (cf. Section 1.1.6).
- •
Suitably away from there is a -fibration structure such that the Calabi-Yau metrics decay exponentially to semiflat metrics.
- •
These metrics extend over an exponentially large region, under the unit homological volume normalisation on .
- •
Metric behaviour near the origin is modelled on the Taub-NUT type metrics on mentioned above. Metric behaviour transverse to but suitably away from the origin is modelled on a fibration by Taub-NUT metrics. Metric behaviour suitably away from is approximately a flat -bundle over an open subset of with a Euclidean metric.
- •
These Calabi-Yau metrics admit special Lagrangian -fibrations.
Theorem 1.4.
(Ooguri-Vafa type metric on the negative vertex, cf. Chapter 4) There is a family of incomplete Calabi-Yau metrics with -symmetry, which are parametrised by rank 2 Hermitian matrices , such that
- •
The ambient space is topologically a singular -bundle over a 5-dimensional base contained in , with discriminant locus along
- •
The holomorphic structure together with the holomorphic volume form agrees with the Zharkov prediction (cf. Section 1.1.6).
- •
Suitably away from there is a -fibration structure such that these Calabi-Yau metrics decay exponentially to semiflat metrics.
- •
These metrics extend over an exponentially large region, under the unit homological volume normalisation on .
- •
Metric behaviour transverse to is modelled on a fibration by Taub-NUT metrics. Metric behaviour suitably away from is approximately a flat -bundle over an open subset of with a Euclidean metric.
Remark 1.2.
Loftin, Yau and Zaslow [21] attempted to find semiflat metrics on the vertices by a reduction from the 3-dimensional real Monge-Ampère equation to the elliptic affine sphere. However it is unclear whether their construction has the requisite topology, or how it compares with our construction.
Remark 1.3.
After the completion of this paper, S. Sun and R. Zhang inform the author that they have independently expected the same construction.
Notation.
Summation convention will be used throughout the paper.
We now proceed with an extended review of the necessary backgrounds. Some of the main techniques in this paper will be demonstrated below on the Taub-NUT metric and the Ooguri-Vafa metric.
1.1. Gross-Ruan-Joyce picture of SYZ fibrations
Here we review the expected picture of special Lagrangian -fibrations (=SYZ fibrations) on a Calabi-Yau 3-fold near the large complex structure limit. The primary sources are the work of M. Gross [6][8] and W. D. Ruan [24], with important modifications proposed by D. Joyce (cf. [14] Section 8). The survey of Morrison [22] provides good background reading.
Gross [8] observes that if is a smooth SYZ fibration then the discriminant locus is of Hausdorff codimension 2. Combined with monodromy considerations, this leads to the speculation that for generic such fibrations is a trivalent graph, consisting of smooth edges and two kinds of vertices, which we refer to as positive and negative vertices following [14].
1.1.1. Generic region
In the generic region is a smooth proper submersion with fibres. A torus fibration is called semiflat if the metric restricts to flat metrics on the tori. The Calabi-Yau structure on a semiflat SYZ -fibration can be locally described in action-angle coordinates as
Here is the Hessian of a real valued function on solving the real Monge-Ampère equation:
and defines a metric on the base such that is a Riemannian submersion.
The Calabi-Yau structure induce two sets of affine structures on the base : the symplectic moment coordinates satisfying , and the complex affine coordinates satisfying for cyclic indices . These coordinates are related by the Legendre transform
Semiflat mirror symmetry is the observation that if over the same base we fibrewise replace by the dual tori, then there is a canonical Calabi-Yau structure exhibiting this dual torus fibration as a semiflat SYZ fibration. Furthermore, the base metric is unchanged while the roles of the two affine structures are interchanged.
A major part of the SYZ Conjecture 1.1 is that Calabi-Yau metrics on (polarised) manifolds near the large complex structure limit are asymptotically described by such semiflat SYZ fibrations in the generic region up to exponentially small errors.
1.1.2. Edges
Along an edge , the singular fibres have the topology of with collapsed to , alternatively written as , where refers to the nodal elliptic curve or equivalently with two points identified. Notice the singularity on the fibre is not isolated. These singular fibres have Betti numbers and Euler characteristic 0. The -fibration is locally described as the Kodaira type degenerating family of elliptic curves over a disc , Cartesian product with the trivial -bundle . The monodromy around the edge acting on can be written in a suitable basis as
For an alternative viewpoint which ties in better with the Gibbons-Hawking construction (see later Sections 1.2), the base is , and the total space is a singular -bundle over , where the -fibres collapse to points along the codimension 3 locus . In the 3 transverse directions, the singular -bundle structure is topologically modelled on the Hopf map
| (1.1) |
The Chern class evaluates to 1 on a suitably oriented -cycle linking inside .
Remark 1.4.
In this review Section topology refers to the continuous topology. There are subtleties with extending the smooth structure on the singular -bundle across the discriminant locus (cf. Section 2.3).
1.1.3. Positive vertices
Let be a graph with one vertex emitting 3 edges. Topologically, we can present as
| (1.2) |
The total space is built as a singular -bundle over with discriminant locus . Let denote a basis of , and denote as the subtorus with homology class . Over the space is a principal -bundle, whose Chern class evaluates to respectively on the -cycles linking inside . Over the codimension 3 loci , , inside , the -fibres collapse to circle fibres , , respectively. Finally, over the origin , the -fibre collapses to a point. The singular -bundle over a small neighbourhood of the origin is topologically modelled on
| (1.3) |
whose discriminant locus is compatible with .
By construction fibres over with generic fibre . The singular fibre over has the topology of with collapsed to a point, so has Betti numbers and Euler characteristic (hence the name ‘positive vertex’). A basis of is given by and an -cycle on the total space lifting the cycle . The monodromies around the 3 edges , , acting on are given in the basis as
1.1.4. Negative vertices
We recount here the historical perspective of Gross and Ruan on negative vertices, to be modified in Section 1.1.5. Let be a graph with one vertex emitting 3 edges. Topologically, we present as
Let be a basis of . Let be a ‘pair of pants’ (namely a surface homeomorphic to the complement of 3 points in ) sitting over , such that is a cylinder , where the factor inside has homology class for respectively. The fact that these 3 classes add up to zero means the 3 cylinders can be joined together over . The fibre of over is a ‘figure 8 diagram’.
Then the total space is built as a singular -bundle over , which restricts to a principal -bundle over the complement of the codimension 3 locus , and along the -fibres collapse to points. The first Chern class of the -bundle evaluates trivially on but nontrivially on the -cycle wrapping . In the 3 transverse directions, the fibration is modelled topologically on (1.1).
By construction fibres over with generic fibre , where itself is an -bundle over . The class of this is denoted . The singular fibre of over is obtained by taking the bundle , and collapse down its -fibres over a ‘figure 8 diagram’ inside . This singular fibre has Betti numbers and Euler characteristic (hence the name ‘negative vertex’). The homology classes lift to . The monodromies around the edges acting on are given in the basis of as
1.1.5. Joyce’s critique
Joyce [14] gave reasons that the above topological picture of Gross-Ruan cannot literally describe a special Lagrangian fibration in a generic Calabi-Yau 3-fold, based on his study of local -invariant special Lagrangian submanifolds inside . Joyce’s critique hinges on two geometric observations:
- •
Special Lagrangian fibrations need not be defined by a smooth map, and the discriminant locus needs not have codimension 2.
- •
The singular fibres have non-isolated special Lagrangian singularities, which is an infinite codimensional phenomenon in the parameter space, namely the singularity structure cannot persist under almost any perturbation of the Kähler structure or the boundary data of the special Lagrangian.
Furthermore, in the -invariant setting, Joyce constructed examples illustrating the possibility that fibres with singularities can break up into fibres with a pair of special Lagrangian cones. Such fibres lie over a thickened version of the original edges in , and in particular the discriminant locus of the SYZ fibration now has codimension 1.
As suggested by Morrison [22] this thickening picture is linked to the description of the negative vertex (Section 1.1.4) as follows. We can view as . The ‘pair of pants’ is realised topologically by
The algebraic 2-torus maps to via
The image of in under this map is an amoeba which can be thought as a thickend version of . Along the 3 directions defined by , the asymptotic geometry of near infinity approaches 3 cylinders. In the modified construction is a singular -bundle over whose fibres collapse to points along the codimension 3 locus . The natural smooth map cannot be exactly a special Lagrangian fibration since its discriminant locus is of codimension 1, but it is still possible to be an approximate special Lagrangian fibration.
We also wish to resolve a paradox here in advance. Part of our plan is to construct a family of -symmetric Ooguri-Vafa type Calabi-Yau metrics on the positive vertex, which admit a special Lagrangian fibration with all the topological features predicted by Gross and Ruan, and in particular the singular fibres will have non-isolated singularities. We emphasize there is no contradiction with Joyce’s critique: it is possible for the Ooguri-Vafa type metrics to be a good metric model for a generic Calabi-Yau 3-fold near the large complex structure limit, while the singularity structure of the SYZ fibration changes drastically. Joyce’s critique does not rule out the Gross-Ruan picture as a limiting description of SYZ fibrations.
1.1.6. Degenerating toric Calabi-Yau hypersurfaces
A familiar picture from Riemann surface theory is that higher genus algebraic curves can be obtained topologically by patching together ‘pairs of pants’ along cylindrical necks. There is a similar picture for Calabi-Yau toric hypersurfaces approaching a large complex structure limit, well studied in tropical geometry. The discussions below are loosely based on Zharkov [32][31], and are included to predict the holomorphic structure of the positive and the negative vertices.
Let be a toric manifold whose moment polytope is the reflexive integral polytope in , so the integral points correspond to a basis for anticanonical sections. Let be a (suitably generic) function on whose piecewise linear extension is a convex function on minimized at with minimum value 0. We consider a polarised family of hypersurfaces defined by
| (1.4) |
where are fixed nonzero complex numbers and is a small positive parameter. The holomorphic volume form is determined from the adjunction formula.
The key point is that when is very small, the hypersurface decompose into a finite number of regions, on each of which only a small number of monomial functions dominate the rest. Thus up to scaling coordinates by powers of , there are only a small number of complex geometric local models, typically with some torus symmetry. Furthermore there is some combinatorial structure which controls how these local models patch together to give as a complex manifold.
Example 1.1.
(Generic region) Suppose in some region only and dominate, so the hypersurface locally looks like . After normalising by powers of we may write this as in the coordinates on the algebraic torus . This model has -symmetry under the diagonal action on . The -orbits are the natural candidate for approximate SYZ fibres. Thus we naturally look for a Kähler metric with potential depending only on the logarithms . The holomorphic volume form on the hypersurface is up to a scale factor given by
namely . The complex Monge-Ampère equation naturally reduces to the real Monge-Ampère equation . One can further calculate that such regions take up most of the volume measure on , thus lending some evidence for the SYZ conjecture. We remark that the description only applies to local regions so the metrics are not complete.
Example 1.2.
The real Monge-Ampère equation governs also the region near the intersection of with a smooth component of the toric boundary. Suppose after normalising by powers of , the dominant monomials are in the coordinates on the algebraic torus , so the hypersurface has the local complex geometric model , or equivalently . The adjunction formula
leads to as before. The diagonal -action on provides the candidate for an approximate SYZ fibration, and a solution to the real Monge-Ampère equation in the coordinates induces a local Calabi-Yau metric.
Example 1.3.
Suppose after normalising by powers of , the dominant monomials are , so the hypersurface admits the local complex geometric model , or equivalently . This happens near the intersection of two smooth components of the toric boundary. Up to numerical factors, the holomorphic volume form is given by
namely . This model has a natural -symmetry: one acts trivially on and rotates , while the other acts trivially on and diagonally on . The model is intimately related to the Ooguri-Vafa metric (cf. Section 1.3.2), and we expect this region to coincide with the neighbourhood of edges in the Gross-Ruan-Joyce picture.
In this paper we are primarily interested in the positive and negative vertices. These are relevant for certain regions near the intersection of with some higher depth strata of the toric boundary of .
Example 1.4.
The positive vertex describes a neighbourhood of the point inside . In the toric hypersurface picture, we are looking at a region where the dominating monomials are up to scale factors , so the defining equation of is approximately once we absorb the scale factors into . The holomorphic volume form is up to constant given by
or equivalently . An important feature of this model is the diagonal -symmetry:
We have , where is a holomorphic coordinate with period 1, and takes the value zero at . The relation between this complex geometric perspective and the topological picture in Section 1.1.3 is perhaps clearest with the generalised Gibbons-Hawking construction in mind (cf. Section 1.2 below). Essentially is a singular -bundle over a 4-dimensional base contained in , where are the -moment maps normalised to have value 0 at . We shall notice that the discriminant locus of this singular -bundle is not sensitive to the choice of the Kähler form (cf. Lemma 1.6 and its ensuing Remark). The normalising constant on imply that the SYZ -fibres have .
Example 1.5.
The negative vertex describes an open subset inside . In the toric hypersurface picture, we are looking at a region where the dominating monomials are up to scale factors just , , and 1, so the defining equation of is approximately once we absorb the scale factors into . The holomorphic volume form is given up to constant by
or equivalently This model has -symmetry:
Hence is a singular -bundle over , where is the -moment coordinate which takes the value zero on the singular locus (notice that the degeneracy of the factor implies that the moment map is constant on this singular locus for any choice of Kähler form). This agrees with the modified topological description in Section 1.1.5. We calculate
where the logarithmic coordinates for have period 1. The coordinates provide a family of 2-tori in , and the restriction of the -bundle over these 2-tori defines a family of 3-tori. The normalising constant on imply that .
1.2. Generalised Gibbons-Hawking ansatz
The materials in this Section draws heavily from the presentation of Zharkov [31]. Suppose is a complex -dimensional Kähler manifold with a nonvanishing holomorphic volume form admitting a holomorphic isometric free action. The generalised Gibbons-Hawking ansatz expresses the Kähler and Calabi-Yau conditions in terms of the moment map coordinates and the holomorphic coordinates on the Kähler quotient.
Let denote the Lie algebra of , and let be the natural integral lattice in . A choice of basis in defines linear coordinates on the dual space . Let be either or , and let denote the standard complex coordinates on or the logarithmic coordinates on with period 1 (in which case are the standard coordinates on ). Consider a principal -bundle over an open set in , whose first Chern class is an element . Later we will partially compactify into a singular -bundle. Summation convention will be used throughout.
Theorem 1.5.
(cf. Theorem 2.1 in [31]) Let , respectively , be real symmetric positive definite/Hermitian matrices of smooth functions on , locally given by some potential function :
| (1.5) |
Then the following -valued real 2-form is closed:
| (1.6) |
Suppose further that is in the cohomology class . Then there exists a connection on the principal bundle with curvature for , such that is a Kähler manifold with metric tensor
| (1.7) |
where and form a basis of type (1,0) forms which defines an integrable complex structure. There is a nowhere vanishing holomorphic form on :
| (1.8) |
The Calabi-Yau condition is equivalent to the equation
| (1.9) |
Remark 1.5.
The inverse matrix describes the metric restricted to the torus fibres, and the matrix describes the metric induced on the Kähler quotients. This viewpoint is taken by Pedersen and Poon [23], whose argument shows that Calabi-Yau manifolds with Hamiltonian torus symmetries necessarily arise from this construction locally. The local existence of the potential is equivalent to the linear integrability condition
| (1.10) |
and
| (1.11) |
In particular when , the Calabi-Yau condition is and we recover the usual Gibbons-Hawking equation from (1.11).
Proof.
(Theorem 1.5, sketch) By formula (1.6) and the integrability condition (1.10),
| (1.12) |
so the closedness of is equivalent to (1.11). Since represents the appropriate first Chern class, must be the curvature of a -connection . Modulo gauge admits the local formula
| (1.13) |
Gauge equivalent choices of the connection define the structures on up to holomorphic isometry.
Remark 1.6.
If are the Hamiltonian vector fields dual to , namely , then , namely are the symplectic moment coordinates up to sign. When , namely there is only one coordinate, then , and accordingly we refer to as the holomorphic moment coordinate. In this situation admits a fibration
where fibres are special Lagrangians with phase zero: the Lagrangian condition follows from on fibres, while the special condition is equivalent to .
Remark 1.7.
The information contained in the generalised Gibbons-Hawking ansatz can be encoded by a Riemannian metric on the base, written in distinguished coordinates as
| (1.15) |
such that the map is a Riemannian submersion.
Remark 1.8.
There is an additional freedom to twist the connection by a flat connection. Up to gauge equivalence, the choice of is parametrised by .
1.2.1. Elementary examples
Example 1.6.
(Constant solution) The simplest solution is where and are independent of the base variables and satisfy (1.9). We shall see that many interesting solutions can be thought heuristically as perturbation of the constant solution after introducing some topology. Some important special cases for us are:
- •
- •
, is symmetric positive definite, and . We write . The subcase where takes value in will be relevant for constructing new Taub-NUT type Calabi-Yau metrics on , and the subcase where is a periodic variable will be relevant for the positive vertex. In the periodic case the choice of the connection is parametrised by .
- •
, is Hermitian, and . We write . Here are periodic coordinates with period 1. The choice of the connection is parametrised by . This case will be relevant for the negative vertex. Notice that if we demand that the fibration on induced by is a special Lagrangian fibration with phase zero, then we would need , namely is symmetric.
Example 1.7.
( Harvey-Lawson example) The affine space with the standard Euclidean metric and holomorphic volume form admits a diagonal -action, where the -th circle factor acts by
The corresponding moment coordinates are
This defines a -bundle away from the singular locus . Special cases include (1.1)(1.3). The inverse matrices are
viewed as functions of and . The special Lagrangian fibration described by Remark 1.6 is the well known Harvey-Lawson example.
We notice in particular when that the discriminant locus of the singular -bundle is given by as in (1.2). This is not an accidental feature of the Euclidean metric:
Lemma 1.6.
Let be equipped with the holomorphic volume form above, and let be any -invariant Kähler form with infinite volume on the singular loci for any . Then the discriminant locus of the singular -bundle is in moment coordinates and .
Proof.
The discriminant locus is the image of the singular locus under the moment map. We shall focus on . The holomorphic moment coordinate depends only on and the action, so as before and vanishes on . The symplectic moment coordinates are defined by , and are normalised to be zero at . In particular since the Hamiltonian vector field vanishes on , the moment must be the constant zero on . Furthermore on by considering the weight of the remaining action at the fixed point, so the image of is contained in . The infinite volume condition and the formula
ensure that stretches to infinity, so is the image of . Likewise the image of is and the image of is . ∎
Example 1.8.
(Taub-NUT) We take , and , where is a positive constant. This defines a Calabi-Yau metric whose asymptotic geometry at infinity approaches the constant solution (cf. Example 1.6), with asymptotic circles of length fibred over a flat 3-dimensional base. Different choices of define the same metric up to scaling. The first Chern class of the -bundle over evaluates to on any sphere around the origin in ; equivalently, the 3-current is represented by the origin viewed as a codimension 3 cycle. Written in terms of the delta function,
From the holomorphic perspective, LeBrun [17] observes that the Taub-NUT space is biholomorphic to . To see this, recall and notice the (1,0) form is closed, so locally is the differential of a holomorphic function. The line integrals
define holomorphic functions up to over the regions and respectively, so and are well defined over the respective regions. Since we can normalise to satisfy the functional equation , whence and extend as global holomorphic functions. These coordinates exhibit the biholomorphism to . By considering the Hamiltonian vector field acting on , we idenitfy the action as
The holomorphic volume form is
Thus defines holomorphic fibration of by affine quadrics. The generic quadric fibre is topologically a cylinder, and metrically is also approaching the flat cylindrical metric near spatial infinity. When , the quadric fibre degenerates into a union of two complex lines with simple normal crossing, where each line looks metrically like a cylinder with one capped end.
1.2.2. Compactification and distributional equation
When we partially compactify the principal -bundle over to a singular -bundle over by allowing torus fibres to degenerate, we need to encode the topology into the generalised Gibbons-Hawking ansatz, by changing the RHS of (1.11) into a distributional term reflecting the nontriviality of the first Chern class (cf. the Taub-NUT example 1.8). This has been worked out by Zharkov [31] in general dimensions; here we will focus on the vertices in .
Example 1.9.
(Positive vertex and Taub-NUT type ) Recall from Section 1.1.3 that are the homology classes of the two circle factors in the -fibre, or equivalently an integral basis in . The -valued curvature 2-form satisfies (cf. (1.12))
which is a -valued 3-current supported on the codimension 3 discriminant locus . Now take small 3-balls transverse to respectively. The integrals of over the balls are equal to the integrals of the Chern class representative over the linking , which by Section 1.1.3 are up to orientation issues. Thus
| (1.16) |
where the RHS is a -valued codimension 3 cycle. The orientation here is decided by comparing with the Taub-NUT example. If is an orientation form on , then the orientation forms on are , compatible with the directions pointing to infinity.
In the variant situation where instead of being periodic, to which previous discussions still apply, the generalised Gibbons-Hawking ansatz has a scaling symmetry compatible with the distributional equation (1.16): a new solution may be constructed from an old solution by
| (1.17) |
These solutions are isometric up to a scaling factor, analogous to Taub-NUT metrics with different asymptotic circle lengths. The presence of the periodicty condition (or more abstractly an integral lattice structure) breaks down scaling symmetry by singling out a special scale.
Example 1.10.
(Negative vertex) By a similar argument, in the negative vertex setting (cf. Section 1.1.5) the curvature 2-form satisfies
| (1.18) |
where defines a codimension 3 cycle. Here is endowed with the complex orientation, and the orientation on is defined by the form .
1.3. Ooguri-Vafa metric
In this Section we will review the Ooguri-Vafa metric, based on Gross and Wilson [11]. The recent paper [13] is an influence to our viewpoint, and the author thanks Song Sun for useful discussions.
1.3.1. Gibbons-Hawking viewpoint
The Ooguri-Vafa metric is an incomplete -invariant hyperKähler metric constructed via the Gibbons-Hawking ansatz (cf. Section 1.2 with ). In our normalisation conventions, the metric lives on the singular -bundle where the complex variable has period 1, and the -fibre collapses to a point over the origin . The first Chern class of the -bundle evaluates to on a sphere around the origin in . The composition gives a singular -fibration, and the periodicity condition on amounts to imposing .
Let be a large parameter. The Ooguri-Vafa metric can be thought as a perturbation of the constant solution (cf. Example 1.6) which is encoded by
after incorporating some topology. We denote , and set
| (1.19) |
This series is convergent, 1-periodic in the variable, and satisfies the Laplace equation on with distributional term which encodes simultaneously the Calabi-Yau condition and the topology:
where is the delta measure at the origin in . The metric on
is called the Ooguri-Vafa metric. Strictly speaking, the connection can be twisted by a flat connection, and this choice is parametrised by using that a codimension 3 subset in the base does not affect the fundamental group. We sometimes suppress mentioning this choice as it does not affect the geometry significantly. By Remark 1.6 the coordinates define a special Lagrangian fibration with phase zero on .
The Ooguri-Vafa metric has the important exponential decay property for ,
| (1.20) |
where is the Euler constant. For , the dependence of on the periodic -variable decays exponentially, so up to exponentially small error the Ooguri-Vafa metric is asymptotic to a semiflat metric. This property is the main reason why the Ooguri-Vafa metric is useful for the gluing construction of Gross and Wilson [11]. On the other hand becomes negative roughly when , so the metric is only defined on a bounded set and is incomplete.
1.3.2. Holomorphic viewpoint
As a hyperKähler metric, the Ooguri-Vafa metric admits a 2-sphere of compatible integrable complex structures. There is one distinguished complex structure giving rise to a holomorphic elliptic fibration, which is described in detail in [11]. Here we wish to focus on another distinguished complex structure where is holomorphic and is the symplectic moment map, which is more natural for special Lagrangian fibrations. The author is not aware of explicit references for the content of this Section.
Our main goal is to identify the complex structure on explicitly, which requires us to construct holomorphic functions on . We start with the type form and recall formula (1.14). To turn into a holomorphic differential, we need to subtract a function times , whose differential cancels out . Inspired by the Taub-NUT example 1.8, and taking care of periodicity requirement, we introduce the functions
These series are convergent and 1-periodic in , such that the forms , are closed. The real number is chosen to cancel the asymptotic holonomy of the -connection along the -circle as . We have
where we made use of Euler’s factorisation identity of . The line integrals and are locally holomorphic functions on , defined over the complement of and inside . Their -periods lie in : the periods along the -fibre over is , while the periods along the -cycle in lifting can be evaluated by their asymptotic value as ; in particular if we twist the connection by a flat connection, then we can always use the choice of to cancel that twist. Thus we can define the holomorphic functions without multivalue issues
We are free to choose the multiplicative constants on to satisfy the functional equation , from which we see that extend to global holomorphic functions on , with zero locus and inside respectively. Setting , we obtain a holomorphic map
which is easily seen to be an open embedding.
By looking at the action of the Hamiltonian vector field , we can identify the circle action as
By construction the holomorphic volume form satisfies , which implies or equivalently
The reader is advised to compare this discussion to Section 1.1.6.
Remark 1.10.
The viewpoint taken here starts with geometry, and the algebraic structure on the holomorphic functions only emerges a posteriori as a consequence of functional equations on transcendental integrals. This is conceptually rather similar to elliptic curves where algebraic relations arise from theta functions.
1.3.3. Some conceptual aspects of the Ooguri-Vafa metrics
The Ooguri-Vafa metric comes with an intrinsic parameter , and admits different geometric behaviours at different scales, which can be formalised in terms of blow up limits. Recall by periodicity we may assume lies in some interval . The periodicity condition we chose amounts to the normalisation that .
- •
When , the leading order behaviour is , and the metric is modelled on the Taub-NUT metric with parameter . The length of the circle fibres . After scaling up the metric by a factor and taking the limit , the pointed Gromov-Hausdorff limit based at the origin is the standard Taub-NUT metric with parameter 1. Most Riemannian curvature is concentrated in this region.
- •
When , the leading order behaviour is the constant solution , and the metric is locally modelled on a flat circle bundle over a flat base . A suitable blow up limit space is flat .
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When , the leading order behaviour is still , but the periodicity condition is now visible. The metric is locally modelled on a flat circle bundle over a flat base . The length of the circle factor of the base is approximately . If we scale down the metric by a factor and take the limit , the pointed Gromov-Hausdorff limit based at the origin is the flat .
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When , the metric becomes almost semiflat up to exponentially small errors, and the leading order behaviour is
We remark that the log function grows very slowly. Thus within an exponentially long neck region, the constant solution is a good approximation. If we view as related to the average length of circles, then we can think of as approximated by a family of constant solutions whose parameter slowly drifts down as we move up the logarithmic scale. The author finds it attractive to call this phenomenon running coupling.
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When the incompleteness of the metric is manifested. This is best understood by viewing the Ooguri-Vafa metric as an effective local description of the hyperKähler metric on a family of collapsing K3 surfaces, and incompleteness is an indication that there is a scale beyond which this description must break down. On the other hand, if we are looking at smaller distance scales, then the Ooguri-Vafa metric becomes better approximations of the K3 metric. In particular, the K3 hyperKähler structure involves 60 parameters while the Ooguri-Vafa metric only involves one scaling parameter and a gauge parameter in , but the metric at smaller distance scales are not sensitive to many extra parameters as long as the K3 surfaces are sufficiently collapsed. This phenomenon may be called effective uniqueness or local universality, which is an essential aspect of Gross and Wilson’s gluing construction [11]. The analogy with K. Wilson’s philosophy of effective quantum field theory will be further explained in Section 3.10.
The analysis of the blow up limits reveals the cause d’etre of the Ooguri-Vafa metric. Recall the Taub-NUT metrics arise in a 1-parameter family, which are related by the scaling symmetry. The Ooguri-Vafa metric is obtained conceptually by gluing the Taub-NUT metric to the constant solution. The periodicity condition, which is a kind of integral lattice structure, breaks down the scaling symmetry, and results in an intrinsic gluing parameter . Another major effect of the periodicity condition is the exponential decay of higher Fourier modes, which works via spectral theory, and results in the semiflat asymptotic picture.
A notable feature in the Ooguri-Vafa metric is the appearance of the Green’s function . This is because we are perturbing from the constant solution, and the first order correction to the flat ambient solution natually invovles harmonic functions at least away from the singular locus. The precise nature of the singularity of is dictated by the topology, or more precisely the Chern class, via the distributional equation.
These principles are sufficient to lead to the discovery of the Ooguri-Vafa metric. While the exact linearity of the equation governing the Gibbons-Hawking ansatz in complex dimension 2 is a fortunate simplifying feature, it does not appear essential in our discussions above. A core idea in this paper is that essentially the same principles dictate how to generalise the Ooguri-Vafa metric to dimension 3.
1.4. Synopsis of the new metrics
A central theme running through this paper is the strong analogy between the Taub-NUT type metric on and the Ooguri-Vafa type metrics on the positive/negative vertices (cf. Theorem 1.2, 1.3 and 1.4). The purpose of this Section is to give a unified view on our strategy to produce these three types of new metrics, which involves a geometric part concerning the construction of an ansatz, and an analytic part concerning perturbing the ansatz into a Calabi-Yau metric. Many aspects of these new metrics naturally generalise features of the Taub-NUT metric (cf. Example 1.8) and the Ooguri-Vafa metric (cf. Section 1.3).
1.4.1. Geometric aspects
All three types of metric ansatzs are constructed in the generalised Gibbons-Hawking framework, by perturbing from the constant solution after incorporating topology. The constant solutions in Example 1.6 serve as zeroth order approximations to the metric ansatz, and can be thought as scaling limits (cf. Section 1.3.3). Geometrically they describe a flat torus fibration fibred over a Euclidean base with distinguished coordinates related to moment maps. The choice of this Euclidean metric is parametrised by a positive definite rank 2 real symmetric or Hermitian matrix, depending on the 3 cases. The principal difference between the Taub-NUT type metric on and the Ooguri-Vafa type metrics is that the bases in the latter cases have periodic directions.
In order to build in the Gross-Ruan-Joyce topology (cf. Section 1.1) we need to make first order corrections to the constant solutions. Recall the generalised Gibbons-Hawking construction involves three sets of equations:
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The integrability condition is responsible for the integrability of the complex structure and the Kähler condition.
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The distributional equation captures the topology and the discriminant locus.
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The Calabi-Yau condition is the only nonlinear equation.
It is natural to impose that the first order corrections satisfy the linearised version of these equations; in particular the linearisation of the Calabi-Yau condition gives rise to harmonic functions. These linearised equations combine into a coupled overdetermined system. Our method to solve this system is to first determine by educated guess the singularities of the harmonic functions along the discriminant locus, explicitly construct such harmonic functions using Green’s representation, and then verify the other equations in the overdetermined system by means of Liouville theorem type arguments. The first order corrections we obtain are canonical (up to constants) under mild growth constraints. For the Taub-NUT type case the first order corrections admit elementary formulae. For the Ooguri-Vafa type metrics on the vertices the first order corrections involve infinite series and Green representation integrals, which are a priori divergent but become convergent after subtracting logarithmically divergent terms, much like what happens already for the Ooguri-Vafa metric.
We then extract various asymptotes of the first order ansatz. Transverse to the discriminant locus, the leading asymptotes can be interpreted geometrically as giving rise to Taub-NUT metrics; ultimately this is forced on us by the distributional equation coming from the topology. In the Ooguri-Vafa type situations, we can also perform Fourier analysis in the periodic variables. Suitably away from the discriminant locus, the zeroth Fourier mode is the dominant contribution, giving rise to a semiflat metric. The harmonicity condition implies that the higher Fourier modes satisfy Helmholtz equations, thereby decay exponentially. An additional problem in the Ooguri-Vafa type situations is that the metric ansatzs are only positive definite on a bounded region, whereby metrically incomplete.
The strategy to identify the holomorphic structure is to produce holomorphic differentials with integral periods, in a manner similar to the Taub-NUT metric and the Ooguri-Vafa metric (cf. Section 1.3.2). The functional equation satisfied by the holomorphic functions allows us to identify the holomorphic volume form. It should be emphasized that while topology is built a priori into the generalised Gibbons-Hawking construction, the holomorphic structure is a nontrivial a posteriori consequence.
The first order corrections are small perturbations suitably away from the discriminant locus, but near the discriminant locus they are large compared to the constant solution. This explains why the first order metric ansatz is approximately Calabi-Yau suitably away from the discriminant locus. In the suitable weighted Hölder norms this approximation continues to hold good near the discriminant locus, except on small balls near the origin in the Taub-NUT type case and the positive vertex case. Geometrically this problem is caused by the 3 edges of interacting strongly at their intersection point. The same problem does not appear on the negative vertex because the discriminant locus has no singular point.
Our strategy trifurcates at this point. The small ball is a fully nonlinear region in which linear approximation methods fail completely. In the case of the Taub-NUT type metric on , we instead shift to the complex geometric perspective, and solve the complex Monge-Ampère equation with prescribed asymptotes at infinity. This is viable because the exterior of the small ball does admit an approximately Calabi-Yau ansatz. The output is a Calabi-Yau metric on whose deviation from the first order ansatz satisfies an asymptotically good estimate.
The Ooguri-Vafa type metric on the positive vertex is best thought as the periodic version of the Taub-NUT type metric on , and is obtained by gluing the Taub-NUT type to the first order ansatz on the positive vertex. The periodicity condition breaks down the scaling symmetry of the Taub-NUT type metrics, and instead results in the gluing picture, exactly analogous to the relation between the Taub-NUT metric and the usual Ooguri-Vafa metric. The nonlinear effect on the positive vertex is already fully present on the Taub-NUT type . It is worth comparing with the topological prediction of Gross-Ruan (cf. Section 1.1.3) where the neighbourhood of the origin is modelled on with a fibration related to the Harvey-Lawson example 1.7. But for metric purposes we need to use an exotic Calabi-Yau metric on , rather than the Euclidean .
The Ooguri-Vafa type metric on the negative vertex, on the other hand, is constructed entirely perturbatively from the first order ansatz.
1.4.2. Analytic aspects
The analytic step is aimed at perturbing the first order ansatz into a genuine Calabi-Yau metric, and the techniques involved overlap substantially in all three cases.
A central issue, roughly put, is to produce a parametrix for the right inverse to the Laplacian with accurate control on weighted Hölder norm estimates. Some of the main difficulties are:
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The first order corrected metric is multiscaled, namely it has very different characteristic behaviours in different regions and at different length scales.
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The initial error decays slowly.
The core idea in our methodology is divide and conquer. We decompose the source function according to its support. The contribution supported sufficiently away from the discriminant locus is inverted approximately using the Euclidean Green operator, reflecting the fact that the constant solution is the zeroth order approximation to the metric ansatz. Afterwards the source function is effectively supported near the discriminant locus. We then use a Green operator adapted to the Taub-NUT fibration near the discriminant locus to cure the remaining source.
We now turn to specifics. The 3 cases are arranged in pedagogical order, and each case contains most difficulties of previous cases. As a general policy, detailed proofs will be omitted if the main techniques appeared previously.
In the Taub-NUT type case, the parametrix is used to improve the approximation to the Calabi-Yau condition asymptotically outside a compact region. Once the decay of the approximation error is sufficiently fast, we can appeal to a non-compact version of Yau’s solution to the Calabi conjecture, developed in H-J. Hein’s thesis [12], to turn the ansatz into a genuine Calabi-Yau metric with effective estimates.
Here a difficulty caused by the slow decay of error is that the inverse of the Laplacian is not well behaved in the weighted Hölder spaces. Instead it is preferable to work with the zeroth order operator , which controls how to correct a Kähler metric for a given amount of volume form error. The advantage is that this operator maps between function spaces with the same Hölder weights, the operator norm is not affected by rescaling the metric, and crucially the Schwartz kernel has two extra order of decay compared to .
In the positive vertex case, the main new difficulty is to prove exponential decay of higher Fourier modes. This comes down to mapping properties of the periodic Euclidean Green operator, ultimately thanks to the exponential decay of the higher Fourier modes of the periodic Newtonian potential.
The second new difficulty is that that the volume form error does not decay, and in fact grows logarithmically at large distance, causing problem for perturbation theory over an exponentially long region. The strategy is to first correct the error inside the generic region in the generalised Gibbons-Hawking framework, using the periodic Green operator. We then switch to the complex geometric viewpoint and solve the complex Monge-Ampère equation perturbatively, which avoids the difficulty of the generalised Gibbons-Hawking equation near the discriminant locus.
The third new difficulty comes from metric incompleteness: the Laplacian has no good mapping property in the naïve weighted Hölder spaces. In our approach, this means the parametrix is only defined on compactly supported sources, but the outputs are generally not compactly supported. A formal trick called extension norms [27] effectively allows us to assume the source is compactly supported. This circumvents the need to impose a non-canonical boundary condition.
In the negative vertex case, the main new difficulty comes from the curved nature of the discriminant locus , making it harder to produce a parametrix near . A closely related issue is that there is no obvious a priori choice of smooth topology such that the first order metric ansatz is smooth along . These problems force us to work in weighted Hölder spaces with low regularity, in which it makes no sense to speak of an arbitrarily high order of differentiability. Crucially there is enough regularity to make the Laplacian well defined. The smooth topology emerges a posteriori only after solving the complex Monge-Ampère equation. The solution itself defines a complex structure, hence induces a smooth topology, and the compatibility of the metric with this smooth topology is a consequence of the well known regularity theory for complex Monge-Ampère equation.
1.4.3. Outlook: towards the SYZ conjecture
We now explain how this paper fits into a program to prove the metric version of the SYZ conjecture for Calabi-Yau 3-folds (cf. Conjecture 1.1). This program runs as follows:
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Produce the metric models on the positive and negative vertices.
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The metric structure near the edges in the Gross-Ruan picture are expected to be modelled on a fibration by Ooguri-Vafa metrics. The problem is that Ooguri-Vafa metrics transverse to the edge depend on a moduli parameter which can vary along the edge, possibly governed by an adiabatic equation.
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The SYZ base as an affine manifold with singularity along a trivalent graph, can be produced from algebraic geometry in some degree of generality [32][16]. The central problem is then to solve the real Monge-Ampère equation with some prescribed singularities along the trivalent graph. This would allow us to produce a semiflat metric which models the generic region of the SYZ fibration.
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One then glues together the metric models in various regions to obtain the global Calabi-Yau metric on the Calabi-Yau 3-fold, similar to Gross and Wilson’s work on K3 surfaces [11]. Some Fourier analysis is needed to prove exponential decay estimates for deviation from the semiflat metric.
- (5)
The existence of the SYZ fibration in the generic region is expected to be a straightforward consequence of the gluing construction. To produce the SYZ fibration near the trivalent graph, one needs to produce models for singular SYZ fibrations on the metric models, and set up a Fredholm deformation theory to ensure the SYZ fibration persists when the metric deforms.
The principal contribution of this paper is to carry out Step (1), and our linear analysis is likely to be useful in Step (4). Some informal digressions in this paper go some way towards addressing difficulties in the other Steps:
In Step (3), the singularity of the real Monge-Ampère equation near the trivalent graph in should match up with the asymptotic behaviour of the metric models around the trivalent graph, in order to enable the gluing construction in Step (4). This requires understanding how the Ooguri-Vafa type metrics on the vertices transition into the generic region of the SYZ fibration. We propose a mechanism called running coupling for this transition to take place over an exponentially long neck region (cf. Section 3.10 and 4.13). Starting from the observation that Ooguri-Vafa type metrics naturally arise in a family parametrised by some positive definite rank 2 matrices referred to as coupling constants, we argue semi-heuristically that these coupling constants drift slowly as the logarithmic scale increases, governed by an ODE called the renormalistion flow equation which can be solved exactly.
The behaviour of the special Lagrangian fibrations is discussed in Corollary 2.29, Corollary 3.35 and Section 4.12. In both the Taub-NUT type case and the positive vertex case, the -symmetry provides two symplectic moment coordinates and another real coordinate , which define a map to whose fibres are -invariant special Lagrangians with phase zero. However, Joyce’s critique suggests the singularity structure of this SYZ fibration is not stable under metric perturbation.
In the negative vertex case (cf. Section 4.12), there is a homological constraint for the SYZ fibration to exist, namely the Hermitian matrix needs to be symmetric. When this constraint holds, we outline a speculative description of a -invariant SYZ fibration on the model metric, and explain how it fits with Joyce’s work on -invariant special Lagrangians. The case where this constraint does not hold is possibly relevant for metric degenerations outside the scope of the SYZ conjecture.