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Generalized Ricci Flow
Generalized Ricci Flow
Chapter 1. Introduction 1
1.1. Outline 2
1.2. On pedagogy 4
1.3. Acknowledgements 5
Introduction
The Ricci flow is a nonlinear parabolic partial differential equation for a Rie-
mannian metric that has yielded new results and insights in topology, Riemann-
ian geometry, complex geometry, partial differential equations, and mathematical
physics. The equation was introduced by Hamilton [92], who used it to classify
compact Riemannian 3-manifolds with positive Ricci curvature. In the ensuing
decades Hamilton went on to prove various results and formulate precise conjec-
tures on the Ricci flow in low dimensions. The importance of Ricci flow was then
permanently enshrined by Perelman, in his spectacular resolution of the Poincarè
Conjecture and Thurston Geometrization Conjecture [140, 141, 142].
Parallel to the story of Ricci flow in Riemannian geometry is that of Kähler-
Ricci flow in complex geometry. The fundamental result of Cao [35] gave a proof
of the classical celebrated theorems of Aubin-Yau [9, 186] and Yau [186] using
Ricci flow. Since then the Kähler-Ricci flow has yielded many further results in
complex geometry. In recent years the “Analytic minimal model program” of Song-
Tian [154] has attracted much attention, aiming at fundamental breakthroughs in
complex and algebraic geometry. A third parallel thread informs the study of
Ricci flow, coming from mathematical physics. In the thesis of Friedan [68], it
was observed that the Ricci flow equation arises in the context of renormalization
group flow for nonlinear sigma models, and this connection was strengthened by
Perelman, who noted [140] that this physical point of view loosely suggests some
of his fundamental monotone quantities.
More recently a natural extension of the Ricci flow equation has appeared in
the context of generalized geometry, a relatively new subject drawing inspiration
from Poisson geometry, complex geometry, and mathematical physics. An early
appearance of this subject was the discovery of generalized Kähler structure in
the seminal work of Gates-Hull-Roček [74] in mathematical physics. Twenty years
later these structures were rederived by Gualtieri [88] within the general frame-
work of Hitchin’s generalized geometry program. Like generalized geometry itself,
the generalized Ricci flow equation also has several different origins coming from
considerations in classical geometry, complex geometry, and mathematical physics.
The relationships between these points of view, and the realization that a priori
different extensions of the Ricci flow equation are unified by a single equation, the
generalized Ricci flow, have only been achieved recently. Thus,
Our focus is mostly on foundational results, although we will discuss some more
technical global existence and convergence results in the penultimate chapter. As
the mathematical study of the generalized Ricci flow equation is more nascent,
the results described inevitably fall short of the depth of results attained for the
Ricci flow. However it seems apparent that such depth of results are waiting to be
attained in the context of generalized geometry, beyond tautologically recapturing
what is known for Ricci flow. Thus,
1.1. Outline
We begin in Chapter 2 by introducing fundamental concepts of generalized
Riemannian geometry. The starting point is to extend the smooth structure of a
manifold, in the form of the Lie bracket on the tangent bundle, to new structures
on the direct sum of the tangent and cotangent bundle, specifically the Dorfman
and Courant brackets. These brackets come equipped with a symmetry group that
includes the natural action of diffeomorphisms, but is enlarged by the action of B-
fields. We then introduce generalized Riemannian metrics from the point of view
of reducing the structure group of T ⊕ T ∗ to a maximal compact subgroup. We
show the equivalence between a generalized metric and a pair (g, b) consisting of a
classical Riemannian metric and skew-symmetric two-form b.
Having introduced the fundamental properties of generalized geometry, in Chap-
ter 3 we introduce and analyze special generalized metrics. We begin with the
theory of generalized connections, leading eventually to a derivation of natural
curvature quantities associated to a generalized metric that naturally involve the
curvature of the classical Bismut connection. Given this, we seek to define a class
of canonical geometries through a variational principle generalizing the derivation
of the classical Einstein equation. Specifically we generalize the Einstein-Hilbert
action using a scalar curvature quantity natural to generalized geometry. Critical
points of this functional satisfy a natural coupling of the classical Einstein equation
with the equations for a harmonic three-form, again expressed naturally in terms
of the Ricci curvature of the Bismut connection. With this in mind, we give the
classification of Bismut-flat connections. This is a special case of a classical result
of Cartan-Schouten, and we show that all examples are covered by semisimple Lie
groups with bi-invariant metrics and torsion tensor determined by the Lie bracket.
In Chapter 4 we introduce the generalized Ricci flow equation as a tool for con-
structing canonical generalized geometric structures, specifically generalized Ein-
stein structures. We first introduce the equation, as expressed in terms of both
classical and generalized objects. We explain the invariance properties of the equa-
tion, and introduce natural classes of solutions, illustrated with basic examples.
We discuss self-similar solutions of generalized Ricci flow, called solitons, and de-
rive some of their basic properties. We end by discussing special properties satisfied
by generalized Ricci flow in low dimensions, and special classes of solutions that
illustrate connections to further extensions of the Ricci flow equation.
1.1. OUTLINE 3
the classic estimates of Evans-Krylov and Calabi/Yau for the complex parabolic
Monge-Ampère equation to the system of equations determined by the pluriclosed
flow. We then give geometric settings where these uniform parabolicity estimates
can be verified, leading to sharp global existence and convergence results for the
flow. First we prove the theorem of Tian-Zhang on the sharp existence time for
Kähler-Ricci flow. In the case of pluriclosed flow we prove global existence on com-
plex manifolds admitting Hermitian metrics of nonpositive bisectional curvature,
and prove exponential convergence to a flat, Kähler, metric on complex tori. This
result includes a complete description of the generalized Kähler-Ricci flow, and
yields a classification result for generalized Kähler structures on tori.
We finish in Chapter 10 by describing the relationship between the generalized
Ricci flow and the physical phenomenon of T-duality. While T-duality first arose
in physics, we recall the relatively recent, purely mathematical, formulation of this
concept, focusing on the most fundamental topological and geometric aspects. We
then show that T-duality naturally transforms solutions to the generalized Ricci
flow. As corollaries we immediately obtain some global existence and convergence
results for the generalized Ricci flow by applying T-duality to Ricci flow solutions
whose behavior is known.
1.2. On pedagogy
This book assumes a working familiarity with fundamental concepts of Rie-
mannian geometry, i.e. smooth manifolds, tangent/cotangent/tensor bundles, dif-
ferential forms, Lie groups, Riemannian metrics, connections, and curvature. We
direct the reader to e.g. [121, 122, 143, 184] for background in these areas. We
also assume some mild familiarity with the language and basic results of ordinary
and partial differential equations, and direct the reader to e.g. [61] for general back-
ground in the area. We also assume familiarity with complex geometry, although
we briefly review some of this material at a more basic level within. We refer to
[47, 87, 136] for further background.
Notably, we will not assume familiarity with the Ricci flow equation itself, and
instead will introduce the fundamental concepts of generalized Ricci flow whole
cloth, without an independent discussion of the classical Ricci flow concepts in-
evitably carried within. This choice is made in part to save space, but also since by
now there are many excellent introductory texts on the Ricci flow e.g. [5, 26, 50,
52, 135]. Having said all of this, we will at times refer back to and discuss results
specific to the Ricci flow when it aids in exposition. Moreover, prior familiarity with
the Ricci flow equation would of course help in reading this text, as would reading a
Ricci flow text in parallel. Ultimately we aim to make the text self-contained given
the stated prerequisites, which will of course entail some overlap with existing texts.
Generalized geometry employs many structures (e.g. Dirac structures, Courant
algebroids) which have a rich history and outlook of their own, independent of the
role they play in generalized geometry. Moreover, generalized geometry as a subject
by itself appears related to a variety of questions in algebraic geometry, Poisson
geometry, mathematical physics, etc. We will make no attempt at an exhaustive
exploration of these various avenues, rather focusing on the aspects which are most
relevant to understanding the analysis of generalized Ricci flow. One imagines that
there are likely fruitful further generalizations of Ricci flow incorporating yet more
1.3. ACKNOWLEDGEMENTS 5
structure from generalized geometry. We point out some possibilities for this as
well as some preliminary results in the literature.
1.3. Acknowledgements
The first named author is grateful to his collaborators Luis Álvarez Cónsul,
Raúl González Molina, Roberto Rubio, Carl Tipler, and Carlos Shahbazi for useful
conversations and insight on different aspects of this text. He would like to specially
thank Nigel Hitchin and Marco Gualtieri for introducing him into the subject of
generalized geometry. He would like also to thank Gil Cavalcanti, Pedram Hek-
mati, Pavol Ševera, Rafael Torres, Fridrich Valach, and Dan Waldram for helpful
and inspiring conversations. He acknowledges support from the Spanish MICINN
via the ICMAT Severo Ochoa project No. SEV-2015-0554, and under grants No.
PID2019-109339GA-C32 and No. MTM2016-81048-P.
The second named author is grateful to Vestislav Apostolov, Matthew Gibson,
Joshua Jordan, Man-Chun Lee, Yury Ustinovskiy, and Micah Warren, for collab-
orations underpinning many results in this text. Furthermore, his understanding
of this subject has benefitted greatly from conversations with Jess Boling, Ryushi
Goto, Paul Gauduchon, Marco Gualtieri, Nigel Hitchin, Chris Hull, and Martin
Roc̆ek. He would like to thank David Streets for a careful proofreading. Finally, he
would like to offer greatest thanks to Mark Stern and Gang Tian for their support,
encouragement, guidance, and collaboration regarding this subject. He gratefully
acknowledges support from the National Science Foundation via DMS-1454854,
DMS-1301864, DMS-1006505, and from the Alfred P. Sloan Foundation.
CHAPTER 2
7
8 2. GENERALIZED RIEMANNIAN GEOMETRY
The main structural property of the Dorfman bracket is the Jacobi identity:
Lemma 2.5. Given a, b, c ∈ Γ(T ⊕ T ∗ ) one has
[a, [b, c]] = [[a, b], c] + [b, [a, c]].
2.1. COURANT ALGEBROIDS 9
Despite these favorable properties, unlike the Lie bracket of vector fields, the
Dorfman bracket is not skew-symmetric. In fact, one can easily show that
(2.3) [a, b] + [b, a] = 2d ha, bi .
The skew-symmetrization of the Dorfman bracket, called the Courant bracket, will
be useful for some calculations.
Definition 2.6. The Courant bracket on sections of T ⊕ T ∗ is defined by
[a, b]c = 12 ([a, b] − [b, a]).
Notice that
(2.4) [a, b]c = [a, b] − d ha, bi .
Furthermore, a straightforward calculation leads to the following explicit formula:
[X + ξ, Y + η]c = [X, Y ] + LX η − LY ξ + 12 d (ξ(Y ) − η(X)) .
We summarize the main properties of the Courant bracket in the following lemma.
Lemma 2.7. The following hold:
(1) Given a, b ∈ Γ(T ⊕ T ∗ ) and f ∈ C ∞ (M ), the Courant bracket satisfies
[a, f b]c = f [a, b]c + π(a)f b − ha, bi df.
(2) Given a, b, c ∈ Γ(T ⊕ T ∗ ), one has
[a, [b, c]c ]c + [c, [a, b]c ]c + [b, [c, a]c ]c
= 13 d (h[a, b]c , ci + h[b, c]c , ai + h[c, a]c , bi)
As for (2), using Lemma 2.3 and the fact that [ξ, c] = 0 for any closed one-form
ξ, we obtain
[[a, b]c , c]c = [[a, b]c , c] − d h[a, b]c , ci
= [([a, b] − d ha, bi), c] − d h[a, b]c , ci
= [[a, b], c] − d h[a, b]c , ci .
Using these properties we compute
[[a, b]c , c]c + [[c, a]c , b]c + [[b, c]c , a]c
1
= 4 ([[a, b], c] − [c, [a, b]] − [[b, a], c] + [c, [b, a]] + cyclic)
1
= 4 ([a, [b, c]] − [b, [a, c]] − [c, [a, b]]
−[b, [a, c]] + [a, [b, c]] + [c, [b, a]] + cyclic)
1
= 4 ([a, [b, c]] − [b, [a, c]] + cyclic)
1
= 4 ([[a, b], c] + cyclic)
1
= 4 ([[a, b]]c c]c + d h[a, b]c , ci + cyclic)
1
= 4 ([[a, b]c , c]c + [[c, a]c , b]c + [[b, c]c , a]c
+d (h[a, b]c , ci + h[b, c]c , ai + h[c, a]c , bi)) ,
from which the claim follows.
∗
The structure (T ⊕ T , h, i , [, ], π) was formalized into a general definition, that
of a Courant algebroid, first given in [130].
Definition 2.8. A Courant algebroid 1 is a vector bundle E → M together
with a nondegenerate symmetric bilinear form h, i a bracket [, ] on Γ(E), and a
bundle map π : E → T M such that, given a, b, c ∈ Γ(E) and f ∈ C ∞ (M ), one has
(1) [a, [b, c]] = [[a, b], c] + [b, [a, c]]
(2) π[a, b] = [πa, πb]
(3) [a, f b] = f [a, b] + π(a)f b
(4) π(a) hb, ci = h[a, b], ci + hb, [a, c]i
(5) [a, b] + [b, a] = D ha, bi,
where D : C ∞ (M ) → Γ(E) denotes the composition of three maps: the exterior dif-
ferential d acting on functions, the natural map π ∗ : T ∗ → E ∗ , and the isomorphism
E ∗ → E provided by the symmetric product.
In the sequel, we will abuse notation and denote by π ∗ the composition of
π ∗ : T ∗ → E ∗ with the natural isomorphism E ∗ → E provided by the symmetric
product. The fact that our explicit structure (T ⊕ T ∗ , h, i , [, ], π) fulfills the con-
ditions of a Courant algebroid follows from Lemma 2.3, Lemma 2.4, Lemma 2.5,
equation (2.3), and the definition of π. Note that, in this explicit situation, we have
that
Df = 2df.
We leave as an exercise to check from the previous axioms that the image of π ∗
is isotropic. To finish this section, we unravel Definition 2.8 for the particular class
of Courant algebroids which is of primary interest for the present book.
1We retain the term Courant algebroid despite the fact that all brackets appearing in this
definition are Dorfman brackets, not Courant brackets.
2.1. COURANT ALGEBROIDS 11
The third term of (2.8) is similar, where using axiom (5) we conclude
[ξ, Y ]E = −[Y, ξ]E + 2d hξ, Y i = −LY ξ + dξ(Y ) = −iY dξ.
Finally, we decompose the first term on the right hand side of (2.8) into tangent and
cotangent pieces with respect to F . From axiom (2) it follows that π[σX, σY ] =
[X, Y ]. We define a tensor H ∈ (T ∗ )⊗3 via
H(X, Y, Z) = 2 h[σX, σY ], σZi ,
and then it follows that
[σX, σY ] = σ[X, Y ] + 21 π ∗ H(X, Y )
It is an exercise to show that H is indeed a tensor, and moreover is totally skew-
symmetric. Putting the above observations back into (2.8) shows that
[X + ξ, Y + η]E = [X, Y ] + LX η − iY dξ + iY iX H,
as claimed. The Jacobi identity of axiom (1) for [X + ξ, Y + η]E ensures that
dH = 0.
f
M /M
Here, the vertical arrows denote the bundle projections.
Definition 2.11. Given M a smooth manifold, a bundle automorphism (f, F )
of T ⊕ T ∗ is said to be a Courant automorphism if F is orthogonal and the natural
action of (f, F ) on sections of T ⊕ T ∗ preserves the Dorfman bracket.
Given a diffeomorphism f of M , we can define an orthogonal bundle automor-
phism via (f, f ), where
f∗ 0
(2.9) f := .
0 (f ∗ )−1
2.2. SYMMETRIES OF THE DORFMAN BRACKET 13
It follows from naturality of the various operations in formula (2.2) that f preserves
the Dorfman bracket. We next discuss a natural class of Courant automorphisms,
given by (closed) B-field transformations, which are not associated to diffeomor-
phisms of the manifold.
Definition 2.12. Given M a smooth manifold and B ∈ Λ2 T ∗ , define the
associated B-field transformation via
1 0 X
eB (X + ξ) = = X + ξ + iX B.
B 1 ξ
Notice that the proof of Proposition 2.15 implies that a Courant automorphism
(f, F ) is automatically compatible with the anchor map, in the sense that
π ◦ F = f ◦ π.
Proposition 2.10 and Proposition 2.14 make clear an elementary way to construct
new Courant algebroids, by ‘twisting’ the standard Dorfman bracket by a three-form
H. This is key to Ševera’s classification of exact Courant algebroids in Theorem
2.21 below.
Definition 2.16. Given M a smooth manifold and H ∈ Λ3 T ∗ , we define the
H-twisted Dorfman bracket on sections of T ⊕ T ∗ via
[X + ξ, Y + η]H := [X + ξ, Y + η] + iY iX H.
Proof. Most of the axioms in the definition of Courant algebroid are routine
to check. The main difficulty is to verify axiom (1). Since H is closed and the
computation is local, we can assume H = dB. We note that we can rephrase
equation (2.10) as
e−B [eB (X + ξ), eB (Y + η)] = [X + ξ, Y + η] + e−B iY iX dB
= [X + ξ, Y + η] + iY iX dB
= [X + ξ, Y + η]H .
2.2. SYMMETRIES OF THE DORFMAN BRACKET 15
Using this, Lemma 2.5, and Lemma 2.13 we compute for any a, b, c ∈ Γ(T ⊕ T ∗ )
[[a, b]H , c]H + [[c, a]H , b]H + [[b, c]H , a]H
= e−B [eB [a, b]H , eB c] + e−B [eB [c, a]H , eB b] + e−B [eB [b, c]H , eB a]
= e−B [[eB a, eB b], eB c] + e−B [[eB c, eB a], eB b] + e−B [[eB b, eB c], eB a] = 0.
The proposition follows.
Our next goal is to provide a classification of exact Courant algebroids due to
Ševera [150], which follows from Proposition 2.10 and Proposition 2.17. We first
give the following abstract definition.
Definition 2.18. Given M a smooth manifold and E and E ′ Courant alge-
broids over M , an isomorphism between E and E ′ is a pair (f, F ), where f is a
diffeomorphism of M and F : E → E ′ is an orthogonal Courant automorphism,
which fit into a commutative diagram
F / E′
E
f
M /M
We say that (f, F ) is small if f lies in the identity component of Diff(M ). We say
that E and E ′ are in the same small isomorphism class if E and E ′ are isomorphic
via a small isomorphism.
Theorem 2.19. Given M a smooth manifold, the small isomorphism classes
of exact Courant algebroids on M are in one-to-one correspondence with the coho-
mology group H 3 (M, R).
Proof. Let E be an exact Courant algebroid over M . By Proposition 2.10
we can choose an isotropic splitting σ of E, such that E is isomorphic via a small
isomorphism to (T ⊕ T ∗ , h, i , [, ]Hσ , π), for Hσ the closed three-form on M given by
(2.7). To the small isomorphism class of E we want to associate the Ševera class
[Hσ ] ∈ H 3 (M, R).
Let us check that this is well-defined. First, if σ ′ is a different choice of isotropic
splitting, via the orthogonal automorphism E ∼ = T ⊕ T ∗ induced by σ we can
identify
σ ′ (X) = eB (X)
for some B ∈ Λ2 T ∗ . Therefore, from (2.10)
Hσ′ = Hσ + dB,
and the class [Hσ ] is independent of the choice of isotropic splitting.
Let E ′ be another exact Courant algebroid over M , that we can identify with
(T ⊕ T ∗ , h, i , [, ]H ′ , π) for a closed three-form H ′ on M . If E ′ is isomorphic to E
there exists (f, F ) : E → E ′ which exchanges the brackets on E and E ′ . Without
loss of generality, we identify E with (T ⊕ T ∗ , h, i , [, ]H , π), where we set H = Hσ .
−1
We denote Φ = f ◦ F , and arguing as in the proof of Proposition 2.15 we have
that π ◦ Φ = π and that Φ acts as the identity on T ∗ . Thus, Φ = (Id, eB ) for some
B ∈ Λ2 T ∗ . Since (f, F ) exchanges the brackets we obtain
−1
eB [a, b]H = f [f eB a, f eB b]H ′ .
16 2. GENERALIZED RIEMANNIAN GEOMETRY
Combined with
−1
f [f a, f b]H ′ = [a, b]f ∗ H ′
for any a, b ∈ Γ(T ⊕ T ∗ ), we are led to
(2.11) f ∗ H ′ = H − dB.
If E ′ is in the same small isomorphism class as E, then f is in the identity component
of Diff(M ) and by definition there exists a one-parameter group of diffeomorphisms
ft generated by X ∈ Γ(T ) such that f = f1 . Thus, using that H is closed
Z 1 Z 1
d ∗
f ∗H − H = ft Hdt = ft∗ (diX H)dt = db,
0 dt 0
R1 d ∗ 2 ∗
where b = 0 dt ft (iX H)dt ∈ Λ T , and we conclude that
H ′ = H − dB ′ ,
for B ′ = f∗ (B + b), which implies [H ′ ] = [H].
By Proposition 2.17 the map that associates to any small isomorphism class of
exact Courant algebroids its Ševera class is surjective. Finally, if E and E ′ yield the
same cohomology class, taking isotropic splittings as before we obtain H = H ′ + dB
and therefore by Proposition 2.14 we have that E and E ′ are isomorphic via the B-
field transformation eB , and consequently their small isomorphism classes coincide.
Proof. By the proof of Theorem 2.19, the isomorphism classes of exact Courant
algebroids on M are in one-to-one correspondence with H 3 (M, R)/ Diff(M ). Since
the action of Diff 0 (M ) on H 3 (M, R) is trivial, the proof follows.
Proof. The characterization of the group follows from (2.11) and the proof of
Theorem 2.19. Following the notation in the statement, the composition law can
be obtained from
H = f∗ (f∗′ (H − dB ′ ) − dB).
Using the previous result, we can also give an explicit description of the Lie
algebra of infinitesimal automorphisms of an exact Courant algebroid E.
Corollary 2.22. Given M a smooth manifold and H ∈ Λ3 T ∗ a closed three-
form, the Lie algebra of the group of automorphisms of the twisted Courant algebroid
(T ⊕ T ∗ , h, i , [, ]H , π) is given by
Lie Aut(E) = {X + B | X ∈ T, B ∈ Λ2 T ∗ , LX H = −dB},
together with the Lie bracket given by
(2.12) [X + B, X ′ + B ′ ] = [X, X ′ ] + LX B ′ − LX ′ B.
Proof. Let Ft = f t ◦ eBt be a one-parameter family in Aut(E) with F0 = IdE .
Taking derivatives in ft∗ H = H − dBt at t = 0, it follows that
! !
∂ ∂
X := ft , B= Bt
∂t ∂t
|t=0 |t=0
2 ∗
satisfies LX H = −dB. Conversely, given X+B ∈ T ⊕Λ T satisfying LX H = −dB,
we define
Ft = f t ◦ eB t ∈ Aut(E)
where ft is the one-parameter family of diffeomorphisms generated by X and
Z t
Bt = fs∗ Bs ds.
0
Notice that
Z t Z t
dB t = fs∗ dBs ds =− fs∗ LXs Hds = H − ft∗ H
0 0
and hence Ft is well-defined.
To calculate the Lie bracket, by Proposition 2.21 we have
−1
ft f )∗ B
F −1 ◦ Ft ◦ F = f −1 ◦ ft ◦ f ◦ eB+f∗ Bt −(f ,
and hence the adjoint action is
F −1 (X ′ + B ′ ) = f ∗ X ′ + f ∗ B ′ − Lf ∗ X ′ B.
Setting F = Ft and taking derivatives in this expression we obtain (2.12). Observe
that we use the convention of right invariant vector fields for the Lie bracket.
We next provide a different view on the group Aut(E) in Proposition 2.21. As
we will see, this is an infinite-dimensional Lie group which arises naturally from
a 2-dimensional variational problem [150]. Here, we will avoid entering into any
details about the theory of infinite-dimensional manifolds and Lie groups, but rather
focus on formal aspects of the construction. Let M be a smooth manifold. Let Σ
be a smooth compact surface (without boundary, say). To be consistent with our
notation, we will denote the tangent and cotangent bundles of M by T and T ∗ ,
while those of Σ will be denoted T Σ and T ∗ Σ. Consider the infinite-dimensional
18 2. GENERALIZED RIEMANNIAN GEOMETRY
and the Jacobi identity in Lemma 2.5 is a direct consequence of the GH -equivariance
of the map Ψ. The map Ψ determines special elements X + ξ ∈ Γ(T ⊕ T ∗ ) such
that Ψ(X + ξ) = X, that is, iX H = dξ. The geometric content of this condition
is that the classical infinitesimal action of the vector field X on T ⊕ T ∗ via the
Lie derivative is realized through the twisted Dorfman bracket via the differential
operator [X + ξ, ·]H . Going back to our original variational problem, elements
X + ξ ∈ Γ(T ⊕ T ∗ ) such that iX H = dξ provide tangent directions in the space
of smooth maps C ∞ (Σ, M ) along which SH is constant. The condition iX H = dξ
appears also naturally in the context of reduction of Courant algebroids by the
action of a Lie group in [31].
the map π : V± → V has no kernel. Since both are vector spaces of dimension n it
follows that π : V± → V is an isomorphism.
Definition 2.28. Given G a generalized metric on W , define isomorphisms
−1
(2.17) σ± := π|V±
: V → V± .
Using now either σ+ or σ− , we can define an isotropic splitting of (2.16) (see
(2.5))
(2.18) σ = σ± − 12 π ∗ τ± ,
where τ± ∈ Sym2 V ∗ is defined by τ± (X, Y ) = hσ± X, σ± Y i. Recall that, similar to
Proposition 2.10, the isotropic splitting σ determines an isometry F : V ⊕ V ∗ → W
defined by
F (X + ξ) = σX + 21 π ∗ ξ
for the symmetric product (2.1).
Lemma 2.29. A generalized metric G on W is equivalent to pair (g, σ), where g
is a positive definite metric on V and σ : V → W is an isotropic splitting of (2.16),
such that
−1 0 g −1
(2.19) F GF = , F −1 (V± ) = {X ± g(X) : X ∈ V }.
g 0
22 2. GENERALIZED RIEMANNIAN GEOMETRY
To conclude our study of the linear theory, we next characterize the tangent
space to the space of generalized metrics. It will convenient to go back to the
abstract setup at the beginning of this section (see (2.16)). We denote
G(W ) ⊂ End(W )
the space of generalized metrics on W .
Lemma 2.31. The tangent space at G to the space of generalized metrics G(W )
is given by
GΦ ∈ End(W ) | Φ ∈ Λ2 W, ΦG + GΦ = 0 .
Proof. By Lemma 2.31, the linear map Φ → Φ|V− is well-defined and injective.
Given R+ ∈ Hom(V− , V+ ), we can define R− ∈ Hom(V+ , V− ) by
hR− a+ , b− i := − ha+ , R+ b− i
for any a+ ∈ V+ and b− ∈ V− . Then it follows that Φ = R+ + R− ∈ End(W ) is
tangent to G, and furthermore Φ|V− = R+ .
Using Lemma 2.29 and Proposition 2.30, we unravel our previous discussion in
terms of the vector space V in (2.16). By Lemma 2.29, the space of generalized
metrics G(W ) is in one-to-one correspondence with
M(V ) × S(W ),
24 2. GENERALIZED RIEMANNIAN GEOMETRY
where M(V ) denotes the space of positive definite metrics on V and S(W ) denotes
the space of isotropic splittings σ : V → W of the sequence (2.16). Upon a choice
of an element (g, σ) ∈ M(V ) × S(W ), the space G(W ) is bijective to
GL(V )/O(V ) × Λ2 V ∗ ,
where O(V ) denotes the space of orthogonal transformations of (V, g). Thus, the
tangent space at G = G(g, σ) can be canonically identified with
Sym2 V ∗ ⊕ Λ2 V ∗ ∼
= V ∗ ⊗ V ∗.
Lemma 2.33. Let G = G(g, σ) be a generalized metric, and consider the induced
identification W = V ⊕ V ∗ as in Lemma 2.29. Given a one-parameter family of
generalized metrics Gt = G(gt , σt ) with G0 = G,
−1
d 0 −g −1 ġg −1 −g ḃ −g −1 ġg −1
(2.22) Ġ = Gt = [1 − eḃ , G0 ] + = ,
dt t=0 ġ 0 ġ ḃg −1
where
d d
gt = ġ ∈ Sym2 V ∗ , σt = ḃ ∈ Λ2 V ∗ .
dt t=0 dt t=0
if and only if
(f ∗ g)−1 (B(X) + ξ) = g −1 ξ, (f ∗ g)(X) = B(g −1 ξ) + g(X)
for all X + ξ ∈ Γ(T ⊕ T ∗). Setting e.g. ξ = 0 this implies f ∗ g = g, and consequently
B = 0, as claimed. Returning again to Proposition 2.21 it follows that f ∗ H =
H.
We will use the notation Da b = ha, Dbi for the natural pairing between elements in
E ∗ and elements in E.
Lemma 3.2. Given E an exact Courant algebroid, the space of generalized con-
nections is a nonempty affine space modeled on the vector space
Γ(E ∗ ⊗ o(E)),
where
o(E) = {Φ ∈ End(E) : hΦ, i = −h, Φi}.
Proof. Fix a standard orthogonal connection ∇E on E, and then one can
check that the formula
(3.2) Da b = ∇E
π(a) b
defines a generalized connection on E. The proof that the difference of two gen-
eralized connections lies in Γ(E ∗ ⊗ o(E)) is a straightforward exercise using the
axioms (3.1).
Example 3.3. Using Proposition 2.10, choose an isotropic splitting σ : T → E,
with corresponding isomorphism F : E → T ⊕ T ∗ . Fix an affine connection ∇ on
T , with connection ∇∗ naturally induced on T ∗ by enforcing
X(α(Y )) = α(∇X Y ) + (∇∗X α)(Y ).
Then it is straightforward to check that the connection
∇E = ∇ ⊕ ∇∗
on T ⊕ T ∗ is orthogonal with respect to h, i, and thus will define a generalized con-
nection via (3.2). Finally, pulling-back D via F , we obtain the desired generalized
connection on E.
Definition 3.4. Given E an exact Courant algebroid and D a generalized
connection on E, the torsion TD of D is defined by
(3.3) TD (a, b, c) = hDa b − Db a − [a, b], ci + hDc a, bi,
for any a, b, c ∈ Γ(E).
Using the axiomatic definition of Courant algebroid and the Leibniz rule for
a generalized connection (see Definition 2.8 and Definition 3.1), one can easily
prove that formula (3.3) defines a three-tensor TD ∈ Γ(E ⊗3 ). Another elementary
calculation using that D is compatible with h, i shows that, indeed,
(3.4) TD ∈ Γ(Λ3 E ∗ ).
Further computations show that this definition is equivalent to other formulations
which have appeared (eg. [3, 89]). Rather than giving an abstract proof of the sym-
metries of the generalized torsion, we derive these by means of an explicit formula
in the next result. We will use σ(a, b, c) to denote sum over cyclic pertumutations
on a, b, c.
Lemma 3.5. Given M a smooth manifold let E = T ⊕ T ∗ with H-twisted
Dorfman bracket (2.6). Let ∇ be an affine connection on M , and let ∇E = ∇⊕ ∇∗ .
Given χ ∈ Γ(E ∗ ⊗ o(E)), the torsion of D = ∇E π(·) + χ is given by
X
(3.5) TD (a, b, c) = hT∇ (πa, πb), ci + hχa b, ci − 16 H(πa, πb, πc) .
σ(a,b,c)
3.1. GENERALIZED CONNECTIONS 35
Proof. Denoting D0 = ∇E
π(·) , we have that
With the previous result at hand, we can provide some Lie theoretic motiva-
tion for Definition 3.4. Suppose for a moment that we have an abstract Courant
algebroid E and assume that M is just one point. Then, the axioms in Definition
2.8 tell us that E is a quadratic Lie algebra, that is, a Lie algebra endowed with
an invariant bilinear form h, i. In this setup, a generalized connection is simply an
element χ ∈ E ∗ ⊗ o(E) and the torsion
X
Tχ (a, b, c) = hχa b, ci − 13 h[a, b], ci
σ(a,b,c)
3 ∗
measures the difference in Λ E between the total skew-symmetrization of χ and
the canonical Cartan three-form on the quadratic Lie algebra E.
In order to study torsion-free generalized connection compatible with a general-
ized metric in the next section, we finish this section with a detailed analysis of the
space of generalized connections with fixed torsion, and its relation with divergence
operators in Definition 2.44. Let T be an element in Γ(Λ3 E ∗ ), and consider the set
DT of generalized connections on E with fixed torsion T
DT ⊂ D.
36 3. GENERALIZED CONNECTIONS AND CURVATURE
Proof. Exercise.
Here, 2n is the rank of E (twice the dimension n of the smooth manifold M ), {ei }
is an orthogonal local frame for E and the {e ei } are sections of E defined so that
hei , eej i = δij .
More explicitly, given an arbitrary element χ ∈ Γ(E ∗ ⊗ o(E)) we have a unique
decomposition
(3.9) χ = χ0 + χe ,
where
χea b = ha, bie − he, bia
with
2n
1 X
e= χe eei .
2n − 1 i=1 i
It follows by construction that χ − χe ∈ Σ0 .
The E ∗ -valued skew-symmetric endomorphism χe in the decomposition (3.9)
is reminiscent of the ‘1-form valued Weyl endomorphisms’ in conformal geometry,
which appear in the variation of a metric connection with fixed torsion upon a
conformal change of the metric. Similarly, our E ∗ -valued Weyl endomorphisms χe
enable us to deform a generalized connection D with fixed torsion T inside the space
DT . For later applications in this work, it is important to study the interaction
between the space DT and the notion of divergence operator. This will allow us
to ‘gauge-fix’ the Weyl degrees of freedom in the space of generalized connections
DT corresponding to Γ(E) in (3.7). The basic observation is that any generalized
connection determines a divergence operator as in §2.4. Given this, one can show
that the divergence constrains the Weyl degrees of freedom in the space generalized
connections with fixed torsion, as required.
Definition 3.8. The divergence operator of a generalized connection D on E
is
divD (a) = tr Da ∈ C ∞ (M ).
3.2. METRIC COMPATIBLE CONNECTIONS 37
Lemma 3.9. Given E an exact Courant algebroid fix T ∈ Γ(Λ3 E ∗ ) and div : Γ(E) →
∞
C (M ) a divergence operator on E. Then
DT (div) := {D ∈ D | TD = T, divD = div} ⊂ DT
is an affine space modeled on Σ0 , as defined in (3.8).
Proof. Given D′ , D ∈ DT , we denote D′ = D + χ with χ ∈ Σ (see (3.6)).
Then, we have
2n
X
divD′ (a) = divD (a) − hχeei ei , ai.
i=1
Decomposing χ = χ0 + χe as in (3.9), for e ∈ Γ(E), we obtain
2n
X
χeei ei = (2n − 1)e.
i=1
Imposing now divD′ = divD = div, implies e = 0, which concludes the proof.
±
The next lemma shows that the mixed-type operators D∓ are fixed, if we vary
a generalized connection D inside D(G) while preserving the torsion TD . And
±
furthermore when the torsion is of pure-type then D∓ are uniquely determined by
the generalized metric and the bracket on E.
Lemma 3.11. Let D ∈ D(G) with torsion T ∈ Γ(Λ3 E ∗ ).
(1) If D′ ∈ D(G) and TD′ = T , then (D′ )± ±
∓ = D∓ .
±
(2) Furthermore, T is of pure-type if and only if the mixed-type operators D∓
are
(3.10) Da− b+ = [a− , b+ ]+ , Da+ b− = [a+ , b− ]− .
Proof. Given a, b, c ∈ Γ(E), we have
(3.11) T (a− , b+ , c+ ) = (Da− b+ − [a− , b+ ], c+ ),
and therefore (2) follows. To prove (1), we subtract from (3.11) the analogous
expression for TD′ (a− , b+ , c+ ).
The second part of the previous lemma provides a weak analogue of the Koszul
formula in Riemannian geometry. The canonical mixed-type operators (3.10) were
first considered in [100] and further studied in [89], and relate to the following
classical connections with skew-symmetric torsion.
Definition 3.12. Let (M n , g, H) be a Riemannian manifold and H ∈ Λ3 T ∗ .
The Bismut connections associated to (g, H) are defined via
(3.12) ∇± 1
X Y, Z = h∇X Y, Zi ± 2 H(X, Y, Z),
where ∇ denotes the Levi-Civita connection of g. These are the unique metric-
compatible connections with torsion ±H.
Our next goal is to show that the canonical mixed type operators in Lemma 3.11
are determined by the classical Bismut connections associated to the generalized
metric via Proposition 2.40, first observed in [100, Theorem 2]. Thus, the Bismut
connection plays a fundamental role in generalized Riemannian geometry. To see
this, we will work with the explicit presentation of the Courant algebroid E given
by G. Recall that G determines an isometry F : T ⊕ T ∗ → E (Proposition 2.40),
and for any X ∈ T we have isomorphisms σ± : T → V± given by (see Definition
2.28)
F (X ± gX) = σ± X.
We need the following basic identity.
Lemma 3.13. Given a generalized metric G on E, consider the associated closed
three-form H ∈ Λ3 T ∗ and isometry F : T ⊕ T ∗ → E in Proposition 2.40. Then,
one has the equality
(3.13) F −1 [σ− X, σ+ Y ] = [X, Y ] + iY iX H + LX iY g + LY iX g − diX iY g.
Proof. We directly compute, using (2.17) and the definition of the twisted
Courant bracket,
F −1 [σ− X, σ+ Y ] = [X − gX, Y + gY ]H
= [X, Y ] + [X, iY g] − [iX g, Y ] + iY iX H
= [X, Y ] + LX iY g − 21 diX iY g + LY iX g − 12 diY iX g + iY iX H
= [X, Y ] + (LX iY g + LY iX g − diX iY g) + iY iX H.
3.2. METRIC COMPATIBLE CONNECTIONS 39
Proposition 3.14. Given a generalized metric G on E, consider the associated
closed three-form H ∈ Λ3 T ∗ with associated Bismut connections ∇± . Then one has
the equality
∇±
X Y = π ◦ [σ∓ X, σ± Y ]± .
where the first summand corresponds to ‘trace-free’ elements, in analogy with (3.7).
To see this, fix {e+ + ∗
i } an orthonormal local frame for V+ . Given χ ∈ Γ(V+ ⊗o(V+ )),
set
n
1 X
e+ := χ + e+ .
n − 1 i=1 ei i
Then, on V+ the splitting (3.17) corresponds to the following direct sum decompo-
sition
e
(3.18) χ+ = χ+ +
0 + χ+ ,
where χ+
0 is such that
n
X
(χ+ +
0 )e+ ei = 0,
i
i=1
and
e
(3.19) (χ++ )a+ b+ = ha+ , b+ ie+ − he+ , b+ ia+ .
3.2. METRIC COMPATIBLE CONNECTIONS 41
Example 3.16. Using the above discussion we can produce finally an explicit
example of a torsion-free generalized connection compatible with a generalized met-
ric. Let G be a generalized metric on an exact Courant algebroid E over a manifold
M of dimension n. The generalized metric induces an isomorphism E ∼ = T ⊕ T ∗,
∗
where the twisted bracket on T ⊕ T is given by a closed 3-form H in the Ševera
class of E in H 3 (M, R). Via this isomorphism, the generalized metric takes the
simple form:
V± = {X ± g(X) : X ∈ T },
where g is the Riemannian metric induced by the isomorphism π|V+ : V+ → T .
Using Lemma 3.11 and Proposition 3.14, we see that the initial step of the
construction is forced upon us, where we must use the Bismut connections ∇± to
define the mixed type operators. As in the proof of Proposition 3.15, we must
choose metric compatible connections to define the pure-type operators, and it is
natural to still use the Bismut connections. Doing so we obtain the Gualtieri-Bismut
connection DB , introduced in [89], with pure-type operators
πDσB+ X σ+ Y = ∇+
X Y,
πDσB− X σ− Y = ∇−
X Y.
where ∇±1/3 denotes the metric connection with skew-symmetric torsion (cf. (3.12))
D E
±1/3
∇X Y, Z = h∇X Y, Zi ± 16 H(X, Y, Z).
In the next result we show that D0 (G, div) is non-empty. Recall from Definition
2.46 that a generalized metric has an associated Riemannian divergence divG .
Lemma 3.17. Let (G, div) be a pair given a generalized metric G and a di-
vergence operator div on E. Denote divG − div = he+ , ·i + he− , ·i, for e± ∈ V± .
Then,
(1) D0 ∈ D0 (G, divG ), where D0 is defined as in Example 3.16.
42 3. GENERALIZED CONNECTIONS AND CURVATURE
Our first result gives a formula for the curvatures of the Bismut connection
in terms of the Riemann curvature tensor. Throughout this section ∇ will denote
the Levi-Civita connection of a fixed Riemannian metric g. Given H ∈ Λ3 T ∗ , we
will denote by ∇+ the associated Bismut connection as in Definition 3.12. We will
denote by Rm+ , Rc+ , and R+ , the curvature tensor, the Ricci tensor, and the scalar
curvature of ∇+ , respectively. Similarly, we will use the notation Rm, Rc, and R
for the curvatures associated to the metric via ∇. We denote by d∗ the adjoint of
the exterior differential acting on differential forms with respect to the metric g.
Proposition 3.18. Let (M n , g, H) be a Riemannian manifold with H ∈ Λ3 T ∗ ,
dH = 0. Then
Rm+ (X, Y, Z, W ) = Rm(X, Y, Z, W )
+ 21 ∇X H(Y, Z, W ) − 12 ∇Y H(X, Z, W )
1 1
(3.22) − 4 hH(X, W ), H(Y, Z)i + 4 hH(Y, W ), H(X, Z)i ,
+
Rc = Rc − 41 H 2 − 21 d∗ H,
2
R+ = R − 14 |H| ,
where
X
(3.23) H 2 (X, Y ) := hXyH, Y yHi = H(X, ei , ej )H(Y, ei , ej ).
i,j
Proof. It suffices to establish the first formula for local normal coordinate
vectors, i.e. ∇X Y (p) = 0 and [X, Y ] = 0 etc. Using the definition of the Bismut
connection we thus directly compute
Rm+ (X, Y, Z, W )
D E
= ∇+ ∇
X Y
+
Z − ∇+ +
∇
Y X Z − ∇+
[X,Y ] Z, W
= ∇X (∇+ 1 +
Y Z), W + 2 H(X, ∇Y Z, W )
− ∇Y (∇+ 1 +
X Z), W − 2 H(Y, ∇X Z, W )
= ∇X (∇Y Z + 21 g −1 H(Y, Z, ·)), W + 12 H(X, ∇Y Z + 21 g −1 H(Y, Z, ·), W )
− ∇Y (∇X Z + 21 g −1 H(X, Z, ·))W − 21 H(Y, ∇X Z + 12 g −1 H(X, Z, ·), W )
= Rm(X, Y, Z, W ) + 21 ∇X H(Y, Z, W ) − 12 ∇Y H(X, Z, W )
1 1
− 4 hH(X, W ), H(Y, Z)i + 4 hH(Y, W ), H(X, Z)i ,
as required. Taking the trace of this with respect to the first and fourth indices,
we obtain
Rc+ (Y, Z) = Rm+ (ei , Y, Z, ei )
= Rm(ei , Y, Z, ei ) + 21 ∇ei H(Y, Z, ei ) − 12 ∇Y H(ei , Z, ei )
1 1
− 4 hH(ei , ei ), H(Y, Z)i + 4 hH(Y, ei ), H(ei , Z)i
= Rc(Y, Z) − 14 H 2 (Y, Z) − 1 ∗
2 d H(Y, Z),
∗
as required. A final trace, using that the trace of d H is zero, yields the formula
for the scalar curvature.
The classical Bianchi identities in Riemannian geometry reflect the diffeomor-
phism invariance of the curvature tensor. More general forms of these identities
44 3. GENERALIZED CONNECTIONS AND CURVATURE
hold for connections with torsion as well (cf. [114, Theorem 5.3]), and play a fun-
damental role in the study of the generalized Ricci flow. We begin with an identity
on the divergence operator acting on the tensor H 2 , and then prove the Bianchi
identity for connections with torsion.
Proof. We choose local normal coordinates for g at some point and compute,
suppressing some appearances of the metric tensor and using that H is closed
2
div H 2 j = ∇i Hij
= ∇i (Himn Hjmn )
= − (d∗ H)mn Hjmn + Himn ∇i Hjmn
= − (d∗ H)mn Hjmn + Himn (∇j Himn − ∇m Hijn + ∇n Hijm )
2
= − (d∗ H)mn Hjmn + 21 ∇j |H| − 2Himn ∇i Hjmn ,
where in the last line we rearranged indices. Comparing the third and fifth lines
2
above yields that Himn ∇i Hjmn = 61 ∇j |H| , and so the lemma follows.
and
X
(3.25) (∇+ +
X R)(Y, Z) + R (H(X, Y ), Z) = 0,
σ(X,Y,Z)
and
X
0= (∇+
X H)(Y, Z, U ) + 2g(H(X, Y ), H(Z, U ))
(3.26) σ(X,Y,Z)
− (∇+
U H)(X, Y, Z),
and
X
(3.27) R+ (X, Y, Z, U ) − R+ (Z, U, X, Y ) = − 1
2 ∇+
U H(X, Y, Z).
σ(X,Y,Z,U)
Proof. The first two formulas are exercises. The third formula follows from
X
dH(X, Y, Z, U ) = (∇+ +
X H)(Y, Z, U ) + 2g(H(X, Y ), H(Z, U )) − (∇U H)(X, Y, Z),
σ(X,Y,Z)
3.3. THE CLASSICAL BISMUT CONNECTION 45
One observes that the first and third columns of curvature terms collectively cancel,
as do the terms of type H 2 , yielding
0 = 2R+ (X, Z, U, Y ) − 2R+ (U, Y, X, Z)
− ∇+ + + +
U H(X, Y, Z) − ∇Z H(U, X, Y ) − ∇Y H(Z, U, X) − ∇X H(Y, Z, U ).
Our next result (cf. [18] Theorem 1.6) gives an analogue of the first Bianchi
identity for Levi-Civita connection, which relates the curvature tensors of the Bis-
mut connections ∇+ and ∇− .
Proposition 3.21. Let (M n , g) be a Riemannian manifold and fix H ∈ Λ3 T ∗ ,
dH = 0. Then
R+ (X, Y, Z, W ) = R− (Z, W, X, Y ).
Proof. Using the formula for the Bismut curvature in Proposition 3.18 sepa-
rately for ∇± and the symmetry of the Riemann curvature tensor we see
R+ (X, Y, Z, W ) − R− (Z, W, X, Y )
1
= 2 (∇X H(Y, Z, W ) − ∇Y H(X, Z, W ) + ∇Z H(W, X, Y ) − ∇W H(Z, X, Y ))
1
+ 4 (− hH(X, W ), H(Y, Z)i + hH(Y, W ), H(X, Z)i
+ hH(Z, Y ), H(W, X)i − hH(W, Y ), H(Z, X)i)
1
= 2 dH(X, Y, Z, W )
= 0,
as required.
46 3. GENERALIZED CONNECTIONS AND CURVATURE
we also obtain
1
D[σ+ X,σ− Y ] σ+ Z = σ+ ∇[X,Y ] Z + g −1 H(2[X, Y ] + ∇X Y + ∇Y X, Z, ·)
6
1
− g −1 H(g −1 H(X, Y, ·), Z, ·)
6
1
− ϕ(Z)([X, Y ] − ∇gY X − ∇X Y + g −1 H(X, Y, ·))
4(n − 1)
!
1
+ (g(Z, [X, Y ] − ∇Y X − ∇X Y ) + H(X, Y, Z))ϕ .
4(n − 1)
Finally, the identity
(∇X H)(Y, Z, ·) = ∇X (H(Y, Z, ·)) − H(∇X Y, Z, ·) − H(Y, ∇Z, ·)
leads us to the following expression for the curvature
+
πRD (σ+ X, σ− Y )σ+ Z
(3.29) 1
e Y )Z − (g(X, Z)g −1 ∇+ +
= R(X, Y ϕ − iZ (∇Y ϕ)X)
2(n − 1)
where
e 1 1
R(X, Y )Z = R(X, Y )Z + g −1 (∇X H)(Y, Z, ·) − (∇Y H)(X, Z, ·)
2 6
1 1
+ H(X, g −1 H(Y, Z, ·), ·) − H(Y, g −1 H(X, Z, ·), ·)
12 ! 12
1
− H(Z, g −1 H(X, Y, ·), ·) .
6
The tensor Re is a hybrid of the second covariant derivatives for ∇+ , ∇1/3 , and ∇− ,
and can be identified with the generalized curvature of D0 . More invariantly, it can
be written as
e 1/3 1/3 1/3
R(X, Y )Z = ∇ ∇+ Z − ∇+ ∇ Z + ∇ + Z − ∇+ − Z.
X Y Y X ∇Y X ∇X Y
From the previous formulae, it is transparent that the generalized curvature oper-
ators R±
D depend on the choice of torsion-free compatible connection D.
Our next goal is to define curvature quantities which only depend on the gen-
eralized metric G. Before we address this question in §3.5, we prove an algebraic
property of the curvatures of a torsion-free generalized connection, that we will use
later in Lemma 3.44.
Proposition 3.24 (First Bianchi identity). Let D be a torsion-free generalized
connection compatible with V+ . Then, for any e± , a± , b± , c± ∈ Γ(V± ) we have
X
(3.30) hR±
D (a± , e∓ )b± , c± i = 0.
σ(a,b,c)
where
X
I= hDa+ ([e− , b+ ]+ ), c+ i,
σ(a,b,c)
X
J =− h[e− , Da+ b+ ], c+ i,
σ(a,b,c)
X
K =− hD[a+ ,e− ] b+ , c+ i.
σ(a,b,c)
where in the last equality we used property (C4) of the bracket (see Definition 2.8)).
From this, using property (C5) of the bracket, which implies [e− , a+ ] = −[a+ , e− ],
we obtain
I + J + K = −h[[a+ , e− ], b+ ], c+ i + h[[b+ , e− ], a+ ], c+ i − h[[c+ , e− ], a+ ], b+ i
+ π(b+ )(h[c+ , e− ], a+ i) − π(a+ )(h[c+ , e− ], b+ i) − π(c+ )(h[b+ , e− ], a+ i)
− π(e− )(TD (a+ , b+ , c+ )) − π(e− )(h[a+ , b+ ], c+ i).
Finally, using again (C5) we have an equality
π(c+ )(h[e− , b+ ], a+ i) = hc+ , [a+ , [e− , b+ ]] + [[e− , b+ ], a+ ]i,
and from TD = 0 we conclude
I + J + K = h[[e− , a+ ], b+ ] + [a+ , [e− , b+ ]] − [e− , [a+ , b+ ]], c+ i,
which vanishes by the Jacobi identity (property (C1)).
The algebraic Bianchi identity (3.30) for torsion-free generalized connections is
a remarkable property, as their construction typically involves standard connections
with skew-torsion in the tangent bundle of M . Recall from Proposition 3.20 that a
torsionful connection on a manifold satisfies complicated Bianchi identities which
involve first-order derivatives of its torsion, as well as quadratic terms in H. To
illustrate this, we compare now the generalized curvature operator in Example 3.23
with the curvature of the torsionful generalized connection DB in Example 3.16.
Proposition 3.25. Given G a generalized metric on E, let DB denote the
associated Gualtieri-Bismut connection in Example 3.16. One has
πR± B (σ± X, σ∓ Y )σ± Z ∼
D = Rm± (X, Y )Z,
3.5. GENERALIZED RICCI CURVATURE 49
where Rm± denotes the curvature of the standard Bismut connection in (3.22).
Rc± ±
D (a∓ , b± ) = tr(e± → RD (e± , a∓ )b± ),
for e± ∈ Γ(V± ).
Our next result investigates the variation of the Ricci tensors when we de-
form a torsion-free generalized connection in D(G), while preserving the pure-type
condition of the torsion and the divergence (see Definition 2.44).
Proposition 3.27. Let (G, div) be a pair given by a generalized metric and a
divergence operator on E. Let D, D′ ∈ D(G) with divergence divD = div = divD′ .
If TD = 0 and TD′ is of pure-type then Rc± ± ± ±
D = RcD′ . In particular, RcD = RcD′
for any pair D, D′ ∈ D0 (G, div) (see (3.20)).
χ = χ+ + χ− ,
χ± = χ± ± ± 3
0 + σ ∈ Σ0 ⊕ Λ (V± ).
50 3. GENERALIZED CONNECTIONS AND CURVATURE
Let {e+ n
i }i=1 an orthonormal frame for V+ . Given e± ∈ Γ(V± ) we calculate
(3.31)
n
X
Rc+
D′ (a− , b+ ) = he+ + +
i , RD′ (ei , a− )b+ i
i=1
n
X
= Rc+
D (a− , b+ ) + he+ + + +
i , χe+ (Da− b+ ) − Da− (χe+ b+ ) − χ[e+ ,a b+ i
i i i − ]+
i=1
Xn
= Rc+
D (a− , b+ ) + − hχ+ e+ , Da− b+ i + hχ+
e+ i
b , D a− e +
e+ + i i
i i
i=1
+ ιπ(a− ) dhχ+ e+ , b+ i − hχ+
e+ i [a + e+
i , b + i
i − ,ei ]+
n
X
= Rc+
D (a− , b+ ) + hχ+ b , [a− , e+
e+ +
+
i ]i − hχ[a + e+
i , b+ i ,
i − ,ei ]+
i=1
Xn
= Rc+
D (a− , b+ ) + h(χ+ )
0 e
+
i
+
+ b+ , [a− , e ]+ i − h(χ ) + e
0 [a− ,e ]+ i
+
, b + i
i i
i=1
Pn
where have used i=1 χ+e+
e+ ± 3
i = 0, Lemma 3.11, and that σ ∈ Λ V± . To conclude,
i
given x ∈ M and a− ∈ V−|x , using the previous formula we shall prove that
Rc+ +
D′ (a− , b+ ) = RcD (a− , b+ ),
of the pair (G, div) are defined by Rc± = Rc± D for any choice of generalized con-
nection D ∈ D(G, div). This is well-defined by Proposition 3.27.
In the next result we calculate the variation of the Ricci tensors Rc± when
we fix the generalized metric G and vary the divergence operator div. Recall from
Definition 2.46 that a generalized metric has an associated Riemannian divergence
divG .
Lemma 3.29. Let (G, div) be a pair as in Definition 3.28. Denote divG − div =
he, ·i, for e ∈ Γ(E). Then, setting e± = π± e, we have
Proof. We argue for Rc+ , as the other case is symmetric. Let D0 ∈ D(G, divG )
and D ∈ D(G, div) as in Lemma 3.17. Let {e+ n
i }i=1 be an orthonormal frame for
V+ . Then,
Rc+ (G, div)(a− , b+ )
= Rc+
D (a− , b+ )
= Rc+
D0 (a− , b+ )
n
1 X + e e e
+ he , (χ++ )e+ (Da0− b+ ) − Da0− ((χ++ )e+ b+ ) − (χ++ )[e+ ,a− ]+ b+ i
n − 1 i=1 i i i i
1 X
n
= Rc+ (G, divG )(a− , b+ ) + − hχ+
e+
e+
i , [a− , b+ ]+ i
n − 1 i=1 i
e e+ e+
+ h(χ++ )e+ b+ , [a− , e+
i ] + i + ιπ(a − ) dh(χ + )e
+
+ e , b+ i + h(χ
i + ) + e
[a− ,e ]+ i
+
, b + i
i i i
+ G
= Rc (G, div )(a− , b+ ) − he+ , [a− , b+ ]i + ιπ(a− ) dhe+ , b+ i + C
= Rc+ (G, divG )(a− , b+ ) + h[a− , e+ ], b+ i + C,
where
1 X e+
n
e
C= h(χ+ )e+ b+ , [a− , e+
i ]+ i + h(χ++ )[a− ,e+ ]+ e+
i , b+ i .
n − 1 i=1 i i
Arguing as in the proof of Proposition 3.27, we can now choose a point x ∈ M and
{e+ +
i } which satisfies [a− , ei ]+ = 0 at x. Thus, C = 0 and the statement follows
from axiom (5) in Definition 2.8.
Our next result provides an explicit formula for the Ricci tensors Rc± associated
to a pair (G, div). We follow the notation in Definition 2.46 and Lemma 3.29.
Proposition 3.30. Let (G, div) be a pair as in Definition 3.28. Denote divG − div =
he, ·i, and set ϕ± = g(πe± , ·) ∈ T ∗ . Then, one has
1 1
Rc+ (σ− X, σ+ Y ) = Rc − H 2 − d∗ H + ∇+ ϕ+ (X, Y ),
(3.32) 4 2
1 2 1 ∗
Rc (σ+ X, σ− Y ) = Rc − H + d H − ∇− ϕ− (X, Y ).
−
4 2
Proof. First, observe that Rc± (G, divG ) = Rc± DB by Proposition 3.27. Now,
by Proposition 3.25 we have that Rc± DB
can be identified with the Ricci tensor for
the classical Bismut connection in (3.22). More precisely, we have
1 2 1 ∗
Rc±
D B (σ∓ X, σ± Y ) = Rc − H ∓ d H (X, Y ).
4 2
Applying now Lemma 3.29, we obtain
Rc± (σ∓ X, σ± Y ) := Rc± (G, div)(σ∓ X, σ± Y )
1 1
= Rc − H 2 ∓ d∗ H (X, Y ) − h[e± , σ∓ X], σ± Y i.
4 2
The statement follows from
h[e± , σ∓ X], σ± Y i = − hσ± ∇±
X (g
−1
ϕ± ), σ± Y i
= ∓ g(∇±
X (g
−1
ϕ± ), Y ) = ∓(∇± ϕ± )(X, Y ).
52 3. GENERALIZED CONNECTIONS AND CURVATURE
Remark 3.33. By Lemma 3.32, the generalized Ricci tensor Rc(G, divG ) as-
sociated naturally to a generalized metric G is an element in so(E). From the
classical point of view, this tensor incorporates the Ricci curvatures of both Bismut
connections (associated to ±H). The more general quantity Rc(G, div) considered
here, with varying divergence operator div, plays an important role in the interplay
between the generalized Ricci flow and pluriclosed flow in Chapter 9, as well as
T-duality in Chapter 10.
Remark 3.34. When the divergence div in Proposition 3.30 is such that e =
4df , for some smooth function f (so that ϕ+ = −ϕ− = 2df ), the pair (G, div)
is automatically compatible (see Proposition 2.53). In this case, the two natural
quantities h and k which arise from the generalized Ricci tensor agree exactly with
the leading order term in α′ expansion of the so-called β-functions for the graviton
and antisymmetric tensor fields in the sigma model approach to type II string theory
[34]. This establishes an identification between the 1-loop renormalization group
flow of this physical theory and the generalized Ricci flow in the next chapter.
spin connections
S S
(3.35) D++ : Γ(S+ ) → Γ(V+∗ ⊗ S+ ), D−− : Γ(S− ) → Γ(V−∗ ⊗ S− ).
Recall that we denote by D0 (G) the space of torsion-free generalized connections
compatible with G, while D0 (G, div) ⊂ D0 (G) denotes the subspace compatible with
a given divergence operator div.
Definition 3.35. With the assumptions above, given a generalized connection
D ∈ D0 (G), define a pair of Dirac-type operators
/ + : Γ(S+ ) → Γ(S+ ),
D / − : Γ(S− ) → Γ(S− ),
D
given explicitly by
n
X
± S
/ α=
D e± ±
i · De± α,
i
i=1
for α ∈ Γ(S± ), and a choice of orthonormal basis {e± n
i }i=1 of V± , i.e. such that
± ±
ei , ej = ±δij .
Lemma 3.38. The spinor Laplacian (∇± )∗ ∇± and the square of the cubic Dirac
±1/3 2
operator ∇/ are related by
2 1 1
/ ±1/3
∇ − (∇± )∗ ∇± = ∓ R ± |H|2 .
4 48
The following lemma provides the structural property for the definition of the
generalized scalar curvatures. Observe that the canonical mixed-type operators
associated to G in Lemma 3.11 induce canonical spin connections as in (3.35)
S S
D−+ : Γ(S+ ) → Γ(V−∗ ⊗ S+ ), D+− : Γ(S− ) → Γ(V+∗ ⊗ S− ).
We follow the notation in Definition 2.46, Lemma 3.29, and Lemma 3.36.
Proposition 3.39. Let (G, div) be a pair given by a generalized metric G and
a divergence operator div on the exact Courant algebroid E. Denote divG − div =
he, ·i, and set ϕ± = g(πe± , ·) ∈ T ∗ . Then, for any spinor η ∈ Γ(S± ) one has
2 ∗
/ S±± η − D∓
D
S± S
D∓± η
!
(3.36)
1 1 ±
= ∓ R − |H|2 ∓ 2d∗ ϕ± − |ϕ± |2 + 2dϕ± ± 4∇g−1 ϕ± η.
4 12
e is as in (3.28):
acting on sections of the fixed spinor bundle for g, where ∇
e X Y = ∇+1/3 Y + 1
∇ X (g(X, Y )g −1 ϕ+ − ϕ+ (Y )X).
n−1
Let {e1 , . . . , en } be a local orthonormal frame for (T, g). An endomorphism A ∈
End(T ) satisfies
Xn
A= g(Aei , ej )ei ⊗ ej ,
i,j=1
and hence,
1 X
e
/ =∇
∇η /
+1/3
η+ ϕ+ (ej )ei ej ei η − ϕ+ (ei )ej ej ei η
4(n − 1) i,j
1 X
/ +1/3 η +
=∇ ϕ+ (ej )(2δij − ej ei )ei η − ϕ+ (ei )ei η
4(n − 1) i,j
+1/3 1
/
=∇ η − ϕ+ η.
2
From this, we calculate
2 1X 1X 1
e +1/3 2
/ η= ∇
∇ / η− ej ∇e+1/3 (ϕ+ η) − ϕ+ ej ∇e+1/3 η + |ϕ+ |2 η
2 j j
2 j j
4
1X 1X
+1/3 2 1
= ∇ / η− ej (∇e+1/3 ϕ+ )η − (ej ϕ+ + ϕ+ ej )∇e+1/3 η + |ϕ+ |2 η
2 j j
2 j j
4
2 1X 1
= ∇ / +1/3 η − (iek ∇e+1/3
+1/3
ϕ+ )ej ek η − ∇g−1 ϕ+ η + |ϕ+ |2 η,
2 j
4
j,k
2 1 1 1
= ∇ / +1/3 η + (d∗ ϕ+ )η − (dϕ+ )η + |ϕ+ |2 η
2 2 4
1 X −1
− H(ej , g ϕ+ , ek )ej ek η − ∇g−1 ϕ+ η
12
j,k
1 X
− H(g −1 ϕ+ , ej , ek )ek ej η
24
j,k
2 1 1 1
= ∇/ +1/3 η + (d∗ ϕ+ )η − (dϕ+ )η + |ϕ+ |2 η − ∇+
g−1 ϕ+ η,
2 2 4
where we used that ej α+ αej = 2α(ej ) for any α ∈ T ∗ , combined with the standard
formulae
X
d∗ α = − iej ∇ej α,
j
Observe that the right hand side of (3.36) defines a differential operator of order
1 acting on spinors. The degree zero part of this operator has a scalar component
and a component of degree two, the latter given by ∓dϕ± . If we insist in defining
a scalar out of (3.36), there are two natural conditions forced upon us. The first
condition is that ∓∇± g−1 ϕ± is a natural operator, depending only on (G, div), so
that it can be absorbed in the left hand side of (3.36). This is achieved provided
that πe = 0, which implies ϕ+ = −ϕ− and (see Lemma 3.11 and Proposition 3.14)
∇± ± S±
g−1 ϕ± = −∇g−1 ϕ∓ ≡ −De∓ .
Definition 3.40. Let (G, div) be a pair given by a generalized metric G and a
divergence operator div on the exact Courant algebroid E. We say that (G, div) is
closed if e ∈ Γ(E), defined by divG − div = he, ·i, satisfies πe = 0 and de = 0.
By Proposition 2.53, it follows immediately that if (G, div) is closed, then it is
a compatible pair in the sense of Definition 2.52. We are ready to introduce our
definition of the scalar curvatures for a closed pair (G, div).
Definition 3.41. Let (G, div) be a closed pair on the exact Courant algebroid
E. The generalized scalar curvature
S = S(G, div) ∈ C ∞ (M )
of the pair (G, div) is defined by
S := S + − S −
where S± ∈ C ∞ (M ) are defined by the following Lichnerowicz type formulae
1 2 ∗
− S + := D / S++ − D− S+ S
D−+ − DeS−+ ,
(3.37) 2
1 2 ∗
S S− S
− S − := D / −− − D+ D+− − DeS+− .
2
This is well-defined by Lemma 3.11, Lemma 3.36, and Proposition 3.39
Remark 3.42. More explicitly, if (G, div) is a closed pair and we denote
divG − div = hϕ, i, for a closed one-form ϕ ∈ Γ(T ∗ ), one has
1 1
(3.38) S = R − |H|2 − d∗ ϕ − |ϕ|2 .
12 4
An important fact that we will use later in §3.7 is that S(G, div) does not coincide
with the trace of the Ricci tensors Rc± in (3.32). Note also that we can regard
(3.37) as a local formula on M , so that there is no obstruction for the existence
of the spinor bundles. Therefore we can define the generalized scalar curvature for
exact Courant algebroids over any smooth manifold.
Remark 3.43. When the divergence div in Proposition 3.30 is such that e =
4df , for some smooth function f (so that ϕ+ = −ϕ− = 2df ), the generalized scalar
curvature is given by
1
(3.39) S = R − |H|2 + 4∆f − 4|∇f |2 ,
12
where ∆f = −d∗ df = trg ∇2 f . Formula (3.39) agrees exactly with the leading
order term in α′ expansion of the so-called β-function for the dilaton field in the
sigma model approach to type II string theory [34] (cf. Remark 3.34).
We finish this section with an alternative point of view on the Ricci tensor, using
the canonical Dirac operators as above (formula (3.40) below corrects a factor of two
in the statement of [70, Lemma 4.7], taking into account the different normalization
for the Dirac operators).
Lemma 3.44. Assume that M is positive-dimensional. Let V+ ⊂ E be a gener-
alized metric and let div be a divergence operator on E. Then the generalized Ricci
tensors in Definition 3.28 can be calculated by
r±
1 ± S± ± X S±
(3.40) ±
± ιa∓ Rc · η = D S
/ D a∓ − D a∓ D
± / − e±
i · D[e± ,a∓ ]∓ η,
2 i=1
i
58 3. GENERALIZED CONNECTIONS AND CURVATURE
20th century and have played a central role in the development of Riemannian
geometry and general relativity. By means of our analysis in generalized geometry
we will introduce a more general, flexible class of metrics which can yield useful
geometric structure on a wider class of manifolds. To begin we consider a certain
generalization of the Einstein-Hilbert functional for generalized metrics.
Definition 3.46. Let E be an exact Courant algebroid on an oriented smooth
manifold M . Define the generalized Einstein-Hilbert functional for a generalized
metric G via
Z Z
EH(G) := S(G)dVg = Rg − 121
|H|2g dVg .
M M
Here we abuse of the notation and denote S(G) := S(G, div G ) (see Definition
3.41). As we show in the next proposition, the critical point equation is naturally
expressed in terms of the generalized scalar curvature S(G) and the generalized
Ricci tensor Rc(G) := Rc(G, divG ) (see Definition 3.31).
Proposition 3.47. Let E be an exact Courant algebroid over an oriented
smooth manifold M n , with n ≥ 3. A generalized metric G on E is a critical point
for the generalized Einstein-Hilbert functional if and only if
GRc(G) = 21 S(G)G.
Equivalently, in terms of the associated pair (g, H), the critical points of the func-
tional are given by solutions of the equation
2
Rc+ − 21 Rg − 1
12 |H| g = 0.
Proof. The proof involves computing variation formulas for the different pieces
of the integrand, and these are carried out in §5.1 below. Specifically, using Lemmas
5.2, 5.3 and 5.4, and applying the divergence theorem one derives
Z
d
EH(gs , bs ) = {(−∆ trg h + div div h − hh, Rci)
ds s=0 M
2
o
1
− 12 2 hH, dKi − 3 h, H 2 + R − 12 1
|H| 1
2 trg h dVg
Z nD E o
2
= h, − Rc + 14 H 2 + 21 R − 12
1
|H| g − 23 hd∗ H, Ki dVg .
M
Thus this variation vanishes for all choices of (h, K) if and only if
2
Rc − 41 H 2 − 21 R − 12
1
|H| g = 0, d∗ H = 0.
The first part of the statement follows combining Proposition 3.30, equation (3.38),
and Lemma 2.33. As for the second part, by Proposition 3.18, the vanishing of d∗ H
is equivalent to vanishing of the skew-symmetric part of Rc+ . We reinterpret the
scalar piece of the first equation in terms of the Bismut scalar curvature to obtain
the equivalent equation
2
Rc+ − 21 Rg − 1
12 |H| g = 0,
as required.
60 3. GENERALIZED CONNECTIONS AND CURVATURE
Observe the strong analogy between the critical point equation for this func-
tional, formulated in the generalized geometry language, and the classical Einstein
equation. While these generalized Einstein metrics are of interest, it turns out to be
more useful to adopt a more flexible functional, where we allow for the divergence
operator to vary independent of the generalized metric. Following the definition of
the scalar curvature in Definition 3.41, we introduce the class of compatible pairs
(G, div) of main interest.
Definition 3.48. Let (G, div) be a pair given by a generalized metric G and a
divergence operator div on an exact Courant algebroid E. We say that (G, div) is
exact if e ∈ Γ(E), defined by divG − div = he, ·i, satisfies πe = 0 and e = 2df for
some smooth function f ∈ C ∞ (M ).
Being a special case of the closed pairs in Definition 3.40, an exact pair (G, div)
is automatically compatible in the sense of Definition 2.52. Exact pairs are closely
related to the notion of density in the smooth manifold M . For our purposes it will
be sufficient to assume that the manifold M is orientable and deal with the case
of volume forms. Given a volume form µ on M , there is an associated divergence
operator on the exact Courant algebroid E defined by (cf. 2.46)
Lπe µ
divµ (e) = .
µ
Given now a generalized metric G on E we can write
µ = e−f dVg
for some smooth function f ∈ C ∞ (M ), and therefore we obtain
divG (e′ ) − divµ (e′ ) = π(e′ )f = h2df, e′ i
for any e′ ∈ Γ(E). Therefore (G, divµ ) is exact. Conversely, any exact pair (G, div)
is of the form div = divµ , for some volume form µ uniquely determined up to a
positive multiplicative constant.
Definition 3.49. Let E be an exact Courant algebroid on an oriented smooth
manifold M . Define the generalized Einstein-Hilbert functional for exact pairs
(G, divµ ) via
Z
EH(G, divµ ) = S(G, divµ )µ
(3.41) ZM
1
= R − |H|2g + 2∆g f − |∇f |2g e−f dVg .
M 12
The last explicit formula in (3.41) follows directly from (3.38) taking ϕ = 2df .
Using the identity
∆g (e−f ) = e−f |∇f |2g − e−f ∆g f
and integration by parts, we obtain the more amenable formula
Z
µ 1
(3.42) EH(G, div ) = R − |H| + |∇f |g e−f dVg .
2 2
M 12
This functional is known in the mathematical physics literature as the low energy
string effective action in the sigma model approach to type II string theory [34]. It
will play a key role as an energy functional for the generalized Ricci flow in Chapter
6.
3.7. GENERALIZED EINSTEIN-HILBERT FUNCTIONAL 61
by H. To define a closed pair (G, div), we fix x ∈ R a non-zero constant, and define
the bi-invariant metric
g = k(e1 ⊗ e1 + e2 ⊗ e2 + e3 ⊗ e3 + x2 e4 ⊗ e4 ),
and the closed form
ϕ = −xe4 .
Then we define our pair (G, div) taking the generalized metric G determined by g
and the standard isotropic splitting T ⊂ E, and the divergence
div = divG −hϕ, i.
We leave as an exercise to check that this pair satisfies the equations (3.43). As a
hint, observe that g is the product of invariant metrics on the simple group SU (2)
and the Abelian group U (1). Then, arguing as in Proposition 3.53 below it follows
that ∇± are flat. Thus, (3.43) reduces to check that (see (3.32) and (3.38))
1 1
∇± ϕ = 0, |H|2 − d∗ ϕ − |ϕ|2 = 0.
6 4
As we will see in Chapter 6, by considering variations of EH which fix a back-
ground volume element, the critical point equation no longer includes the scalar
curvature vanishing, and we obtain an Euler equation determined only by the
vanishing of the generalized Ricci tensor. We thus adopt the following general
definition:
Definition 3.52. Given an exact Courant algebroid E over a smooth manifold
M n , we say that a generalized metric G, with compatible divergence operator div,
is generalized Einstein if
Rc(G, div) = 0.
It is elementary to see that a special case of such metrics occurs for (G, divG ), where
the associated pair (g, H) has vanishing classical Bismut Ricci tensor.
To finish this section we give examples of generalized Einstein metrics. A basic
source of Einstein metrics in Riemannian geometry arises from the famous uni-
formization theorem. This classical result classifies complete metrics with constant
sectional curvature, showing they are all quotients of the three classical model spaces
of the round sphere (S n , gS n ), the flat Euclidean plane (Rn , gEucl ) and hyperbolic
space (Hn , gHyp ). In generalized geometry, the presence of torsion gives a wider
class of examples. In the examples below we will always have div = divG , so that
the generalized Einstein equation reduces to asking for the classical Bismut Ricci
tensor to vanish, which will in particular be satisfied when the Bismut connection
is flat. We begin with the explicit construction of flat generalized metrics on simple
Lie groups.
Proposition 3.53. Let G be a Lie group with bi-invariant metric g. Define
connections ∇± as the unique metric connections with torsion T (X, Y ) = ±[X, Y ],
acting on left-invariant vector fields. Then ∇± are flat.
Proof. Recall that left-invariant vector fields on a Lie group with bi-invariant
metric g satisfy
g([X, Y ], Z) = g(X, [Y, Z]).
3.7. GENERALIZED EINSTEIN-HILBERT FUNCTIONAL 63
Using this, a direct calculation shows that the Levi-Civita connection takes the
form
∇X Y = 12 [X, Y ].
Furthermore, it follows that the tensor H(X, Y, Z) := g(T (X, Y ), Z) is skew-symmetric,
since it is obviously skew-symmetric in X and Y , while
H(X, Z, Y ) = g(T (X, Z), Y ) = ±g([X, Z], Y )
= ∓ g([Z, X], Y ) = ∓g(Z, [X, Y ]) = −H(X, Y, Z).
Thus we can express the connection with torsion T as
∇± 1
X Y, Z = h∇X Y, Zi + 2 H(X, Y, Z) =
1
2 h[X, Y ], Zi ± 1
2 h[X, Y ], Zi .
It is clear that ∇− +
X Y, Z vanishes identically, and is thus flat. For ∇ , this formula
easily yields
R(X, Y )Z = ∇X (∇Y Z) − ∇Y (∇X Z) − ∇[X,Y ] Z
= ∇X [Y, Z] − ∇Y [X, Z] − [[X, Y ], Z]
= [X, [Y, Z]] − [Y, [X, Z]] − [[X, Y ], Z]
= 0,
by the Jacobi identity.
First note that since the connection is flat, combining (3.24) and (3.26) and using
that dH = 0 we obtain
(3.44) 0 = dH(X, Y, Z, V ) = σH (X, Y, Z, U ) − (∇+
U H)(X, Y, Z).
This implies a splitting of the torsion tensor in the presence of a metric splitting.
In particular, if the metric splits as a product M = M1 × M2 g = g1 ⊕ g2 , then for
2
Xi ∈ T Mi unit we obtain 0 = K(X1 , X2 ) = |H(X1 , X2 )| , hence H = H1 ⊕ H2 .
Thus we may reduce to analyzing the case that (M, g) is irreducible.
Now fix an orthonormal basis {ei } for some point p ∈ M . Since ∇ is flat, by
parallel transport we can extend this to a global orthonormal frame on M . By the
identity
[ei , ej ] = −T∇+ (ei , ej ).
it follows directly that {ei } are Killing fields and also
0 = ∇ei H(ej , ek , el ) = −ei (h[ej , ek ], el i),
in other words the functions h[ei , ej ], el i are constant. Thus {ei } are the basis for
a Lie algebra. The corresponding simply-connected Lie group is a simple, compact
Lie group isometric to (M, g).
We next turn to low dimensional examples, and in the next proposition give a
classification of solutions in dimension n = 3.
Proposition 3.55. Let (M 3 , g, H) be a generalized Einstein three-manifold.
Then there exists λ ∈ R such that H = λdVg , and (M 3 , g) is isometric to a space
form with either zero sectional curvature if λ = 0, and positive sectional curvature
otherwise.
Proof. From the generalized Einstein equation we know that H is harmonic.
But since H ∈ Λ3 and M is three-dimensional this means that
H
0 = d ∗ H = d dV g
,
H
hence dVg ≡ λ, as claimed. Given this it follows that H 2 = 2λ2 g, and hence by the
vanishing of Rc+ we obtain
λ2
Rc = Rc+ + 41 H 2 = 2 g.
Hence g is an Einstein metric. Expressing the Ricci curvature in terms of an
orthonormal frame, one observes that R1212 + R1313 = R2121 + R2323 = R3131 +
R3232 , which implies that R1212 = R1313 = R2323 . Since this holds for an arbitrary
orthonormal frame it follows that the metric has constant sectional curvature, and
so g is a space form, as claimed.
Example 3.56. Note that in the previous proposition that a generalized Ein-
stein structure can be associated to a classical Einstein metric with nonzero Einstein
constant. In particular, consider the example of (S 3 , gS 3 ), the three sphere with
the round metric of constant sectional curvature 1. This metric is Einstein, in
particular RcgS3 = 2gS 3 . Now set H = 2dVg . This is a parallel three-form, and
a direct calculation shows that H 2 = 8g, and hence it follows that Rc+ ≡ 0, and
so the structure (gS 3 , H) is generalized Einstein. This example is actually Bismut
flat, and is left-invariant on the Lie group S 3 , in line with Theorem 3.54.
3.7. GENERALIZED EINSTEIN-HILBERT FUNCTIONAL 65
Proof. By [143, Lemma 49] we know that at the center of a harmonic coor-
dinate chart one has
∂ 2 gij
Rcij = − 21 g kl + Q(g, ∂g)
∂xk ∂xl
for some quadratic expression Q(g, ∂g) in first derivatives of g. As the term H 2 in
the definition of generalized Ricci flow is expressed as a quadratic in H0 and first
4.1. THE EQUATION AND ITS MOTIVATION 69
where Rc+ denotes the Ricci curvature tensor associated to the Bismut connection
∇+ = ∇ + 21 g −1 H.
Proof. This follows directly from the evolution equations (4.1) and the for-
mulas for the symmetric and skew-symmetric parts of the Bismut Ricci curvature
exhibited in Proposition 3.18.
These formulations make it clear that the generalized Ricci flow equations in-
volve precisely the data of a generalized metric on an exact Courant algebroid,
namely a Riemannian metric and a skew-symmetric two-form. Furthermore, it is
clear from Lemma 4.6 that the fixed points of the generalized Ricci flow are pre-
cisely Bismut Ricci-flat structures. It is thus natural to express the flow equations
directly in these terms, which is carried out next.
We fix a generalized metric G0 on an exact Courant algebroid E over the smooth
manifold M . Using the splitting determined by G0 (see Proposition 2.40), we can
identify E = T ⊕ T ∗ endowed with the H0 -twisted Courant bracket. Given now a
one-parameter family of generalized metrics Gt on E, via Proposition 2.38 we can
identify Gt with a one-parameter family of pairs (gt , bt ). Recall from Lemma 2.33
that we have the following explicit formula for the derivative of Gt along the family
−1
−1 ∂ g h g −1 kg −1
(4.3) G G= ,
∂t −k −hg −1
where
∂ ∂
g = h, b = k.
∂t ∂t
Notice that G −1 = G by definition of generalized metric. It is also important to
observe that (4.3) is written in the isotropic splitting induced by the metric Gt .
To state the next result, we denote Rc(G) = Rc(G, divG ) the generalized Ricci
tensor associated to a generalized metric G via its Riemannian divergence (see
Definition 3.31 and Definition 2.46).
Proof. Notice that Rc(G) defines a tangent vector to the space of generalized
metrics at G by Lemma 2.31 and Lemma 3.32. Then, (4.4) follows directly from
Lemma 2.35, Lemma 4.6, and Proposition 3.30.
4.2. Examples
Before delving into the analysis of generalized Ricci flow, we record some fun-
damental examples which give context to the analysis to follow and also indicate
the role the torsion tensor H plays in affecting the qualitative behavior of the flow.
We first record some terminology for certain kinds of entire solutions.
Definition 4.9. We say that a solution (gt , Ht ) to generalized Ricci flow is
(1) ancient if it is defined on M × (−∞, 0),
(2) immortal if it is defined on M × (0, ∞),
(3) eternal if it is defined on M × (−∞, ∞).
Example 4.10. Consider (S 3 , gS 3 ) the three-dimensional sphere with round
metric of constant sectional curvature 1. As noted in Example 3.56, this metric
satisfies RcgS3 = 2gS 3 . What is more, due to the scale invariance of the Ricci
tensor, for any λ > 0 one has RcλgS3 = 2gS 3 . Fix now a constant η ∈ R and let
H = ηdVgS3 . Note that for any pair of the form (g, H) = (λgS 3 , ηdVgS3 ) one has
2
that d∗g H = d∗λg 3 ηdVgS3 = 0, and H 2 = 2 λη2 gS 3 , hence
S
2
(4.5) RcB = Rcg − 41 H 2 − 12 d∗g H = 2 − 21 λη 2 gS 3 .
We now construct solutions to the generalized Ricci flow within this ansatz, i.e.
(gt , Ht ) = (λt gS 3 , ηt dVgS3 ). Using (4.5), we see that it will always be the case that
∂
∂t η = 0, and so our flow reduces to the evolution of λ, which we obtain from (4.1)
and (4.5) via
∂ ∂ 1 2 η02
λ gS 3 = (λgS 3 ) = −2 Rc + 2 H = −4 + 2 gS 3 ,
∂t ∂t λ
which implies
∂ η2
(4.6) λ = −4 + 02 .
∂t λ
Here the analysis splits into two cases, whose behavior is markedly different.
∂
In particular, in the case η0 = 0, we simply obtain ∂t λ = −4, and so the solution
λ0
to the flow exists on the time interval [0, 4 ), with explicit solution (gt , Ht ) =
((λ0 − 4t)gS 3 , 0). Note that, as H = 0 along the flow, the generalized Ricci flow
has reduced to the classical Ricci flow equation, and this example indicates one
of the basic qualitative behaviors of the Ricci flow, namely that the round sphere
shrinks homothetically at a constant rate until its diameter goes to zero at the finite
time λ40 . This solution in fact can be extended for all negative times, giving a basic
example of an ancient solution.
In the case η0 6= 0, i..e when the H field is present, the generalized Ricci
flow behaves quite differently. In particular, we see in this case that there is a
unique fixed point of (4.6), namely when λ = |η20 | . Furthermore, this fixed point
is attractive in the sense that for λ < |η20 | one has ∂t∂
λ > 0 and for λ > |η20 | one
∂
has ∂t λ < 0. Elementary calculus arguments show that for any choice of λ0 , the
solution to (4.6) exists on [0, ∞), and λt converges as t → ∞ to the value |η20 | . Thus
we see a striking difference in the qualitative behavior in this example depending
on the presence of H, where in some rough sense the presence of H attenuates
the otherwise singular behavior of the flow, turning what was once a finite time
72 4. FUNDAMENTALS OF GENERALIZED RICCI FLOW
singularity into a flow with infinite existence time and convergence at infinity. One
may argue that, in the case when H = 0, a simple rescaling in space and time
to normalize the volume along the flow suffices to recover global existence and
convergence at infinity to gS 3 , but nonetheless this example gives a sense of what
can be expected conjecturally in more general cases, where the overall behavior
is not as elementary. We note that, if λ − |η20 | > 0 initially, the solution extends
backwards in time to be an eternal solution, otherwise it will only be immortal.
Example 4.11. Consider (M 3 , gHyp ) a compact hyperbolic 3-manifold with
constant sectional curvature −1. Then RcgHyp = −2gHyp. Fix a constant η ∈ R
and let H = ηdVgHyp . Note that for any pair of the form (g, H) = (λgS 3 , ηdVgS3 )
2
one has that d∗g H = d∗λgHyp ηdVgHyp = 0, and H 2 = 2 λη2 gHyp , hence
2
(4.7) RcB = Rcg − 41 H 2 − 12 d∗g H = −2 − 21 λη 2 gHyp .
We now construct solutions to the generalized Ricci flow within this ansatz, i.e.
(gt , Ht ) = (λt gHyp , ηt dVgHyp ). Using (4.7), we see that it will always be the case
∂
that ∂t η = 0, and so our flow reduces to the evolution of λ, which we obtain from
(4.1) via
∂ ∂ 1 2 η02
λ gHyp = (λgHyp ) = −2 Rc + 2 H = 4 + 2 gHyp ,
∂t ∂t λ
which implies
∂ η2
λ = 4 + 02 .
∂t λ
It follows from elementary arguments that for arbitrary λ0 > 0 this solution exists
for [0, ∞), and λt is asymptotic to 4t in the sense that limt→∞ λtt = 4. These
solutions extend backwards to be immortal, but are not eternal solutions.
We now address the issue of how to appropriately renormalize this flow to
obtain some form of convergence. In particular, we set
gt e t = Ht ,
get = , H
t t
and define a new time parameter via s = log t. Then we compute
∂ ∂ gt ∂g gt e2 − e
ge = t = − = −2 Rc + 21 H 2 − ge = −2 Rceg + 21 H g,
∂s ∂t t ∂t t
where the last equality follows since the Ricci tensor is scale invariant, as is the
quantity H 2 . A similar calculation yields
∂ e e − H.
e dH e
H=∆
∂s
Thus this scaling has the effect of adding normalizing terms to the original equa-
tions. Since H was fixed under the original flow, it follows easily that H e → 0,
whereas since λtt approaches 4, we will obtain e g → 4gHyp.
Example 4.12. The presence of the torsion term H will of course not remove
all singular behavior. One only expects the term H to prevent the collapse of the
length of vectors v for which vyH 6= 0, a condition which is difficult to verify in
general along a solution to the flow, but which we can illustrate with a simple exam-
ple. In particular, as in Example 3.56, on S 3 , the structure (g, H) = (gS 3 , 21 dVgS3 )
4.2. EXAMPLES 73
S 3 above, the initial cohomology class chosen for H can have a significant effect on
the qualitative behavior of the generalized Ricci flow. In fact, even for the case of
Ricci flow (H ≡ 0), there is not a general picture of the behavior of Ricci flow in
this setting. However, as described in Proposition 3.53, there are canonical Bismut-
flat structures given by the unique bi-invariant metric g together with torsion H =
±g([·, ·], ·).
Conjecture 4.14. Let G denote a compact semisimple Lie group with bi-
invariant metric g∞ . Given g0 a left-invariant metric and
H0 = ±g∞ ([·, ·], ·),
the generalized Ricci flow with initial condition (g0 , H0 ) exists on [0, ∞) and con-
verges to the Bismut-flat structure (g∞ , H0 ).
Example 4.15. We prove Conjecture 4.14 in the case of S 3 ∼ = SU(2). Recall
we constructed generalized Ricci flat structures on SU(2) × S 1 in Example 3.51,
using a left-invariant frame. Here we choose a slightly different frame, in particular
we choose left-invariant vector fields X1 , X2 , X3 such that
[X1 , X2 ] = −2X3 , [X2 , X3 ] = − 2X1 , [X3 , X1 ] = −2X2 .
Such a basis is called a Milnor frame, and we refer to [134] for further information
on the geometry of left-invariant metrics on Lie groups. This frame induces a global
coframe {µi }, and we can consider left-invariant metrics of the form
g = Aµ1 ⊗ µ1 + Bµ2 ⊗ µ2 + Cµ3 ⊗ µ3 .
The bi-invariant metrics occur exactly when A = B = C. An exercise shows that
the only nonvanishing components of the Ricci tensor are
2
Rc(X1 , X1 ) = A2 − (B − C)2 ,
BC
2
Rc(X2 , X2 ) = B 2 − (C − A)2 ,
CA
2
Rc(X3 , X3 ) = C 2 − (A − B)2 .
AB
Furthermore we can compute, up to a positive multiple,
H0 = µ 1 ∧ µ 2 ∧ µ 3 ,
and hence associated to g and H0 we have that the only nonvanishing components
of H02 are
2 2 2
H02 (X1 , X1 ) = , H02 (X2 , X2 ) = , H02 (X3 , X3 ) = .
BC CA AB
As remarked above, the generalized Ricci flow with initial condition (g0 = g, H0 )
will preserve Ht = H0 for all times. It follows from the above computations that
the flow reduces to the following system of ODE for the positive numbers A, B, C:
1
Ȧ = −4A2 + 4(B − C)2 + 1 ,
BC
1
Ḃ = −4B 2 + 4(C − A)2 + 1 ,
CA
1
Ċ = −4C 2 + 4(A − B)2 + 1 .
AB
4.3. MAXIMUM PRINCIPLES 75
Then
sup u ≤ sup u
M×{t} M×{0}
Proof. Fix ǫ > 0, and set uǫ := u − ǫ(1 + t). One obviously has that
supM×{0} uǫ < supM×{0} u =: λ. We will show that supM×{t} uǫ < λ, which
will finish the proposition by sending ǫ to zero. If this claim was false, there exists
a point such that uǫ ≥ λ. Since M is compact, we can choose (x, t) ∈ M × (0, T )
such that uǫ (x, t) = λ, and uǫ (y, s) ≤ λ for all y ∈ M , 0 ≤ s ≤ t. Hence (x, t) is
a spacetime maximum for uǫ on M × [0, t], and so it follows that ∆gt uǫ ≤ 0 and
∂
∂t uǫ ≥ 0 at (x, t). We conclude that, at (x, t) we have
∂
0≤ uǫ ≤ ∆gt uǫ − ǫ < 0,
∂t
a contradiction. Hence supM×{t} uǫ < λ for all t ∈ [0, T ), and the proposition
follows.
Then
sup (v − u) ≤ 0
M×{t}
Proof. We set w(x, t) = u(x, t) − v(x, t), and aim to show that w ≥ 0 at all
points. Fix a time τ ∈ [0, T ). Since the function F is locally Lipschitz in space and
the region M × [0, τ ] is compact, there exists a constant K such that
|F (u(x, t), t) − F (v(x, t), t)| ≤ K |u(x, t) − v(x, t)| .
for all (x, t) ∈ M × [0, τ ]. Now fix ǫ > 0 and let
wǫ (x, t) = u(x, t) − v(x, t) + ǫe2Kt .
4.3. MAXIMUM PRINCIPLES 77
Thus we conclude
∂wǫ
0≥ ≥ −Kǫe2Kt0 + 2Kǫe2Kt0 ≥ Kǫe2Kt0 > 0,
∂t
a contradiction. Thus wǫ > 0 for all ǫ > 0 and thus w ≥ 0 on M × [0, τ ], finishing
the proof.
Proof. Suppose the solution exists on [0, T ), fix some τ < T and let
K := sup |Rmg | .
M×[0,τ ]
Using Lemma 4.4 and the Bochner formula (cf. 5.20 below) we obtain the differen-
tial inequality
∂
− ∆ |H|2 ≤ CK |H|2 .
∂t
2 ∂
In particular, if we define Φ := e−CKt |H| , we easily obtain ∂t − ∆ Φ ≤ 0.
Applying the maximum principle (Proposition 4.17) we see that for all t ∈ [0, τ ]
one has
sup e−CKt |H|2 ≤ sup e−CKt |H|2 = 0,
M×{t} M×{0}
and so H vanishes on [0, τ ]. This argument applies for arbitrary τ < T and so H
vanishes identically wherever the flow is defined. The fact that gt is a solution to
Ricci flow now follows directly from (4.1).
78 4. FUNDAMENTALS OF GENERALIZED RICCI FLOW
Then
−Bt + LXt b = kt + iXt H0 + iXt db = kt + iXt H,
and we obtain the following alternative description of the flow:
∂
g = − 2 Rc + 12 H 2 + LXt g,
(4.13) ∂t
∂
b = − d∗g H + iXt H + kt .
∂t
We will at times refer to this as (Xt , kt )-gauge-fixed generalized Ricci flow. Observe
that in either formulation the evolution of the three-form is
∂ ∂
H = (H0 + db) = −dd∗g H + LXt H.
∂t ∂t
It turns out that it is possible to interpret the gauge-fixed flow naturally in
terms of the generalized Ricci tensor Rc+ associated to a particular choice of di-
vergence operator.
Proposition 4.24. Let E be an exact Courant algebroid over a smooth man-
ifold M . Let Xt be a one-parameter family of vector fields Xt on M . Then, a
one-parameter family Gt of generalized metrics satisfies
∂
G −1 G ◦ π− = −2Rc+ (G, div) ◦ π− ,
∂t
where div = divG + h2iXt gt , i, if and only if the one-parameter family of pairs (gt , bt )
determined by Gt and the initial splitting associated to G0 satisfies the (Xt , kt )-
gauge-fixed generalized Ricci flow (4.13) with kt = −d(iXt gt ).
Proof. Let ϕ ∈ T ∗ a one-form. From Proposition 3.30, the generalized Ricci
tensor Rc+ with divergence div = divG − h2ϕ, i is given by
Rc+ (σ− X, σ+ Y ) = Rc − 14 H 2 + 12 Lϕ♯ g − 21 d∗ H + 12 dϕ − 12 iϕ♯ H (X, Y ),
For the case of a gradient vector field the divergence div = divG + h2iXt gt , i
is exact (see Definition 3.48) and we can express the gauge-fixed generalized Ricci
flow (4.13) as generalized Ricci flow with divergence operator.
Proposition 4.25. Let E be an exact Courant algebroid over a smooth mani-
fold M . Let ft be a one-parameter family of functions on M . Then, a one-parameter
family Gt of generalized metrics satisfies
∂
G −1 G = −2Rc(G, divµt ),
∂t
where µt = e−ft dVgt , if and only if the one-parameter family of pairs (gt , bt ) deter-
mined by Gt and the initial splitting associated to G0 satisfies the (−∇ft , 0)-gauge-
fixed generalized Ricci flow (4.13).
4.4. INVARIANCE GROUP AND SOLITONS 81
Proof. Recall from Definition 3.48 that divµt = divG − h2df, i. Thus, by
Proposition 4.24 and Lemma 3.32, Gt satisfies generalized Ricci flow with diver-
gence operator divµt as above if and only if (gt , bt ) satisfies (4.13) with (Xt , kt ) =
(−∇ft , 0).
4.4.2. Generalized Ricci solitons. In understanding geometric evolution
equations, a key role is played by the fixed points of the equation in determining
the possible existence and regularity behavior of the flow. Initially we would say
that the fixed points of the equation must satisfy Rc ≡ 0, and so are generalized
Ricci flat structures. More generally though, it is possible for the flow to evolve
along a one-parameter family of Courant symmetries, so that while the pairs (g, H)
are indeed evolving, at each time slice they are geometrically indistinguishable, and
these solutions are called solitons.
To begin we recall the derivation of the Ricci soliton equations. In particular,
Ricci solitons arise as special solutions of the gauge-fixed Ricci flow, upon impos-
ing two conditions: the first is that gt evolves in a self-similar way, that is, by
homotheties via the canonical dilation of a fixed metric
gt = (1 − 2tλ)g.
Here λ ∈ {−1, 0, 1} is a constant which determines the character of the soliton.
Second is that
−1
Xt = X
1 − 2λt
for a vector field X which is constant in time. From these conditions and (4.9), we
get the Ricci soliton equation
Rc + 21 LX g = λg,
which is expanding, steady, or shrinking depending on whether λ = −1, 0, 1, respec-
tively.
To adapt these ideas to generalized Ricci flow, we first observe that the space
of generalized metrics is not invariant under scaling. However, we can define a
canonical variation which corresponds to scaling the underlying metric.
Definition 4.26. Let λ ∈ {−1, 0, 1}. The canonical variation of a generalized
metric G on E is given by
0 (1 − 2tλ)−1 g −1
Gt,λ =
(1 − 2tλ)g 0
in the splitting determined by G. Note that
1 − 2tλ 0
GGt,λ =
0 (1 − 2tλ)−1
is the canonical dilation in the splitting determined by G.
Definition 4.27. Given (E, [, ], h, i) an exact Courant algebroid, we say that
G is a generalized Ricci soliton if there exists λ ∈ {−1, 0, 1} such that the canonical
variation Gt,λ solves the gauge-fixed generalized Ricci flow (4.11) with
−1
ζt = (X + B),
1 − 2λt
where X + B ∈ Lie Aut(E) is constant in time. We again call the soliton expanding,
steady, or shrinking depending on whether λ = −1, 0, 1, respectively.
82 4. FUNDAMENTALS OF GENERALIZED RICCI FLOW
Question 4.32. Bryant has shown the existence of steady Ricci solitons with
rotational symmetry [28]. Are there examples of steady generalized Ricci solitons
with rotational symmetry and nontrivial torsion H?
One fundamental consequence of Perelman’s energy formula for Ricci flow is
that compact steady solitons for Ricci flow are automatically gradient. As we will
see below in Chapter 6, by adapting these energy functionals to generalized Ricci
flow, we can show that steady generalized Ricci solitons on compact manifolds are
automatically gradient, and moreover satisfy k = 0. It is an interesting question to
probe the possibilities for X and k in the noncompact setting. We end this section
with some further structural results on solitons. First, we show that generalized
Ricci solitons satisfy fundamental differential equations which generalize the fact
that Einstein manifolds automatically have constant scalar curvature using the
Bianchi identity.
Proposition 4.33. Let (M n , g, H, f ) be a gradient generalized Ricci soliton
with k = 0. Then
1 2
4 |H| + ∆f = 0,
(1) R −
(2) ∇ R − 125
|H|2 + |∇f |2 = 0,
1 2 2
(3) ∇ R − 12 |H| + 2∆f − |∇f | = 0.
Proof. The first equation follows by tracing the first equation of (4.15) with
g. For the second we begin by differentiating and applying (4.15) to yield
5 2 2 5 2
∇i R − 12 |H| + |∇f | = ∇i R − 12 ∇i |H| + 2∇i ∇j f ∇j f
(4.16)
2
= ∇i R − 125
∇i |H| + 12 H 2 − 2 Rc ij ∇j f.
But, using the Bianchi identity and property (1) we obtain
2
∇i R = 14 ∇i |H| − ∇i ∆f
2
= 14 ∇i |H| − ∇j ∇i ∇j f + Rcij ∇j f
2
(4.17) = 14 ∇i |H| + ∇j Rc − 41 H 2 ij + Rcij ∇j f
= 14 ∇i |H|2 + 21 ∇i R − 41 (div H 2 )i + Rcij ∇j f
2
= 21 ∇i |H| − 21 (div H 2 )i + 2 Rcij ∇j f,
where the last line follows by combining the ∇R terms and multiplying by 2. Also,
using Lemma 3.19 and the skew-symmetric piece of the soliton equation we obtain
2
− 21 (div H 2 )i = − 1
12 ∇i |H| + 21 (d∗ H)mn Himn
(4.18)
= − 1
12 ∇i |H|2 − 21 Hij
2
∇j f.
Plugging (4.17) and (4.18) into (4.16) yields the second claim. Taking twice the
gradient of (1) and subtracting (2) gives claim (3).
Remark 4.34. For the third equation in Proposition 4.33 it is possible to give
a more conceptual argument using the F functional to be introduced in Chapter
6. In particular, we know that a generalized steady soliton is a critical point for λ,
but by definition the relevant f extremizes the F -functional, thus by deforming f
84 4. FUNDAMENTALS OF GENERALIZED RICCI FLOW
1 2 2
by R − 12 |H| + 2∆f − |∇f | and perturbing the metric by scaling to preserve the
unit volume condition, the claim of Proposition 4.33 (3) follows from (6.6).
In the next result we prove that compact steady gradient Ricci solitons are
Einstein. Recall that, as a consequence of Perelman’s energy formula for Ricci
flow, compact steady solitons for Ricci flow are automatically gradient. Thus any
compact Ricci soliton is Einstein. However, there are compact steady generalized
Ricci solitons with nontrivial H and nontrivial f (cf. Remark 8.28). This shows
that the class of steady generalized Ricci solitons is strictly larger than the class of
generalized Ricci flat structures.
Proposition 4.35. Compact steady gradient Ricci solitons are Einstein.
Proof. In the case of H ≡ 0 we have the simplified soliton equation
Rc +∇2 f = 0.
Taking the divergence of this equation and using the Bianchi identity yields
0 = 12 ∇j R + ∇i (∇j ∇i f )
p
= 12 ∇j R + ∇j ∆f − Riji ∇p f
= 12 ∇j R + ∇j ∆f + Rcpj ∇p f.
Using the first item of Proposition 4.33 yields
0 = 12 ∇j R − ∇j R + Rcpj ∇p f.
Rearranging and taking another divergence yields
∆R = 2∇j Rcpj ∇p f
= h∇R, ∇f i + 2 Rc, ∇2 f
2
= h∇R, ∇f i − 2 |Rc|
≤ h∇R, ∇f i .
Since M is compact, R is constant by the strong maximum principle (Proposition
4.16).
Remark 4.37. A complete picture of the Ricci flow on compact Riemann sur-
faces was first completed by Chow/Hamilton [49, 93]. In all cases, the volume-
normalized flow converges exponentially fast to a constant scalar curvature metric
g∞ . Later a different proof using energy methods from conformal geometry was
given by Struwe [174]. Using this result, and being slightly overpedantic, we could
observe that the generalized Ricci flow converges up to a generalized gauge trans-
formation to (g∞ , 0), where by an overall b-field action we can set b to zero.
In dimension n = 3, all three-forms are closed, and Λ3 T ∗ is a rank 1 bundle,
thus we can reduce the tensor H to an equivalent scalar function. We formalize
this and derive the relevant evolution equations in the next proposition.
Proposition 4.38. Let M 3 be a three-manifold, fix H0 ∈ Λ3 T ∗ and let (gt , bt )
be a solution of generalized Ricci flow on M . Define φt ∈ C ∞ (M ) by
Ht
φt = .
dVgt
Then
∂
g = − 2 Rc +φ2 g,
∂t
∂
φ = ∆φ + Rφ − 32 φ3 .
∂t
Proof. By direct computations in normal coordinates and expressing dVg =
dx1 ∧ dx2 ∧ dx3 one obtains
2
Hij = Hipq Hjrs g pr g qs = 2φ2 gij , |H|2 = 6φ2 .
Furthermore we can differentiate, using the generalized Ricci flow equation and
Lemma 5.2,
∂ ∂ H
φ=
∂t ∂t dVg
∆d H 1 ∂ H
= − 2 trg g
dVg ∂t dVg
2
= ∆φ + R − 41 |H| φ
= ∆φ + Rφ − 23 φ3 ,
where the penultimate line follows since, using that ⋆dVg = 1,
∆d H = −(d ⋆ d⋆)(φdVg ) = −d ⋆ dφ = − ⋆ d∗ dφ = ∆φdVg .
If we impose some symmetries on the underlying structure, it turns out that
we can realize other naturally occurring geometric evolution equations as special
cases of generalized Ricci flow.
Proposition 4.39. Let S 1 → P → M 2 be a principal S 1 bundle, and suppose
(gt , θt ) is a solution to
∂
g = − 2 Rc +2F 2 ,
(4.20) ∂t
∂
θ = − d∗g F.
∂t
86 4. FUNDAMENTALS OF GENERALIZED RICCI FLOW
∂
gs = h, g0 = g,
∂s s=0
then
∂ 1
dVgs = 2 (trg h) dVg .
∂s s=0
p
Proof. Recall the local coordinate formula dVgs = det gij (s)dx1 ∧ · · · ∧ dxn .
Also, for a one-parameter family of positive definite symmetric matrices
As with
∂ ∂ −1
variation ∂s s=0
As = B, one has ∂s s=0 det(A s ) = det(A0 ) tr A0 B . Combining
87
88 5. LOCAL EXISTENCE AND REGULARITY
as required.
then
∂ 2
|H| = − 3 h, H 2 + 2 hdK, Hi .
∂s s=0
as required.
then
∂
(∇)kij = 21 g kl (∇i hjl + ∇j hil − ∇l hij ) ,
∂s s=0
∂ h i
l p p
Rijk = 21 g ql ∇i ∇k hjq − ∇i ∇q hjk − ∇j ∇k hiq + ∇j ∇q hik − Rijk hpq − Rijq hkp ,
∂s s=0
∂
Rjk = 21 g qi (∇i ∇j hkq + ∇i ∇k hjq ) − ∆hjk − ∇j ∇k trg h
∂s s=0
∂
R = − ∆ trg h + div div h − hh, Rci .
∂s s=0
5.1. VARIATIONAL FORMULAS 89
∂ ∂
(∇gs )kij = 1 kl
2g (∂i gjl + ∂j gil − ∂l gij )
∂s s=0 ∂s s=0
= 12 g kl (∂i hjl + ∂j hil − ∂l hij )
= 12 g kl (∇i hjl + ∇j hil − ∇l hij ) ,
as required.
For the variation of the curvature tensor we recall the coordinate formula and
differentiate, again using the vanishing of ∂i gjk (p) and Γkij (p), to yield
∂ ∂
l
Rijk = ∂i Γljk − ∂j Γlik + Γpjk Γlip − Γpik Γljp
∂s s=0 ∂s s=0
= 2 ∂i g ql (∇j hkq + ∇k hjq − ∇q hjk ) − ∂j g ql (∇i hkq + ∇k hiq − ∇q hik )
1
where the last line follows using the definition of the curvature tensor.
Given this, the variational formula for the Ricci tensor follows directly by con-
tracting. Finally we use this formula to obtain the variation of scalar curvature
via
∂ ∂
R= g jk Rjk
∂s s=0 ∂s s=0
= − g jp hpq g qk Rjk + 21 g jk g qi (∇i ∇j hkq + ∇i ∇k hjq ) − ∆hjk − ∇j ∇k trg h
= − ∆ trg h + div div h − hh, Rci ,
as required.
∂ ∂
gs = h, g0 = g, Hs = dK, H0 = H,
∂s s=0 ∂s s=0
∂ i i i
˙+ ˙+ p ˙+
R+ = ∇+
i ∇ − ∇+
j ∇ + Hij ∇ ,
∂s s=0 jk jk ik pk
i i i
∂ ˙+ ˙+ p ˙+
R+ = − h, Rc+ + g jk ∇+ i ∇ − ∇+
j ∇ + H ij ∇ .
∂s s=0 jk ik pk
90 5. LOCAL EXISTENCE AND REGULARITY
Hence
∇i hjl + ∇j hil − ∇l hij = ∇+ + +
i hjl + ∇j hil − ∇l hij
+ 21 g pq (Hijp hql + Hilp hjq + Hjip hql + Hjlp hiq − Hlip hqj − Hljp hiq )
= ∇+ + +
i hjl + ∇j hil − ∇l hij + g
pq
(Hilp hjq + Hjlp hiq ) .
Similarly we have
(dK)ijl = ∇i Kjl + ∇l Kij + ∇j Kli
= ∇+ + +
i Kjl + ∇l Kij + ∇j Kli
p
+ 12 Hij Kpl + Hilp Kjp + Hlip Kpj + Hljp Kip + Hjl
p p
Kpi + Hji Klp
p p p
= ∇+ + +
i Kjl + ∇l Kij + ∇j Kli + Hij Kpl + Hil Kjp + Hlj Kip
as required.
5.2. SHORT TIME EXISTENCE 91
a zeroth order operator which we can ignore. To address the Lie derivative term,
we fix normal coordinates for g at some point p ∈ M we compute
d d k k
ds s=0 (LX(g,g0 ) g) = ds s=0 ∇i X gkj + ∇j X gki
d
= ds s=0
∂i X k gkj + Γ(g) ⋆ X + ∂j X k gki + Γ(g) ∗ X
= ∂i 12 g pq (∇p hqj + ∇q hpj − ∇j hpq ) + ∂j 12 g pq (∇p hqi + ∇q hpi − ∇i hpq )
= 12 g pq (∇i ∇p hqj + ∇i ∇q hpj + ∇j ∇p hqi + ∇j ∇q hpi − ∇i ∇j hpq − ∇j ∇i hpq )
= ∇i div hj + ∇j div hi − ∇i ∇i trg h + l.o.t,
where “l.o.t” denotes any term involving at most one derivative of h or K. Com-
bining this calculation with Lemma 5.4, we obtain that
d
(5.3) ds s=0 O1 (gs , H) = ∆d h + l.o.t.
On the other hand, examining O1 it is clear that the only dependence on b occurs
in the term H 2 , which is first-order in b, and hence one immediately obtains
d
(5.4) ds s=0 O1 (g, Hs ) = l.o.t.
Next, let
O2 (g, H) := ∆d H + LX(g,g0 ) H.
We compute, using the Bochner formula,
d
(5.5) ds s=0 O2 (g, Hs ) = ∆K + l.o.t.
Also, note that the variation of O2 with respect to g will be a certain second-
order differential operator, due to the second derivative terms appearing in ∆d H
and LX(g,g0 ) H. However, the precise form of this operator is not relevant to the
argument. In particular, combining this observation with (5.3)-(5.5) we obtain
h ∆ 0 h
σ D(g,H) (O1 , O2 ) = .
K ⋆ ∆ K
This shows that the system of equations
∂
g = O1 (g, H) = −2 Rc + 12 H 2 + LX(g,g0 ) g
(5.6) ∂t
∂
H = O2 (g, H) = ∆d H + LX(g,g0 ) H
∂t
is strictly parabolic. Applying the general result on existence of short-time solutions
to strictly parabolic evolution systems on compact manifolds, we conclude that
there exists ǫ > 0 and a unique solution to (5.6) on [0, ǫ).
Remark 5.7. An alternative proof of the short-time existence of generalized
Ricci flow could possibly be obtained directly from the gauge-fixed flow (4.10), for
X as above and B = dξt − iXt H0 for a suitable one-parameter family of one-forms
ξt ∈ T ∗ . This gauge fixing by inner symmetries of the exact Courant algebroid
is very natural, and we expect that it would provide a conceptual explanation of
Lemma 4.3.
= ∆d,g H.
We can now recover the 2-form potential b by direct integration. That is, we are
given b0 and define bt via
∂
bt = − d∗g t H.
∂t
It follows directly by comparing the evolution equations that H0 + dbt = H t for
all t. Thus we have proved that (g t , bt ) is a solution to generalized Ricci flow, as
claimed.
Step 3: Uniqueness via coupled harmonic map heat flow
A beautiful trick for establishing uniqueness of the Ricci flow equation reverses
the above procedure, by connecting solutions to the Ricci flow to the appropriately
gauge-fixed Ricci flow. The subtlety is to discover the appropriate gauge transfor-
mation, which arises by expressing the ODE defining φt in terms of the metric g,
after which it follows that φt is a solution to the harmonic map heat flow.
In particular, given (gt , bt ) a solution to generalized Ricci flow, let φt be the
one-parameter family of diffeomorphisms which is the unique solution to
∂
φt = ∆g t ,g0 φt
(5.8) ∂t
φ0 = Id .
Here ∆g t ,g 0 denotes the harmonic map Laplacian with source metric g t and target
metric g 0 . As this is a strictly parabolic equation and M is compact, solvability of
94 5. LOCAL EXISTENCE AND REGULARITY
this equation for some short-time ǫ > 0 follows. A fundamental computation (cf.
[52] Remark 2.50) shows that, letting Id denote the identity map of M ,
Now set
gt = (φ−1 ∗
t ) gt
Ht = (φ−1 ∗
t ) Ht
A standard computation using the generalized Ricci flow equation and (5.9) shows
that gt satisfies the gauge-fixed generalized Ricci flow of (5.6).
i
To finish the uniqueness argument, we suppose (g it , bt ), i = 1, 2, are two so-
lutions to generalized Ricci flow with the same initial data. These have induced
i
torsions H t . By employing the gauge-fixing procedure described above, we pro-
duce two solutions (gti , Hti ) of the gauge-fixed system (5.6) with the same initial
data. This system is strictly parabolic, and enjoys uniqueness of solutions, thus
gt1 = gt2 , Ht1 = Ht2 for all times where either is defined. As discussed above, we can
now interpret the relevant diffeomorphisms used to gauge-fix, φit , as solutions to the
ODE (5.7). Since the two metrics gti agree, it follows that φ1t = φ2t for all relevant
1 2 ∂ 1 ∂ 2
times, and thus g 1t = g 2t , H t = H t for all times t. It follows then that ∂t bt = ∂t bt
1 2
for all times, and thus bt = bt for all t.
∂
Proof. We insert the evolution equation ∂t g = −2 Rc + 21 H 2 into the varia-
tional formula of Lemma 5.4, and compute the two terms separately. Formulaically
this takes the form
p
∂ ∂ ∂
Rmijkl = Rm gpl + Rmpijk g
(5.11) ∂t ∂t ijk ∂t pl
n p
o
= ∇2 Rc +∇2 H 2 ijk gpl + Rmpijk −2 Rcpl + 12 Hpl 2
.
To see that the second derivative terms above are really ∆ Rm in disguise, we need
to use the Bianchi identity. In particular, using several applications of the Bianchi
identity, commuting derivatives and noting the definition of Q (5.10) we see
(5.13)
∆Rijkl = ∇p ∇p Rijkl
= − ∇p ∇j Rpikl − ∇p ∇i Rjpkl
= − ∇j ∇p Rpikl − Rjppq Rqikl − Rjpiq Rpqkl − Rjpkq Rpiql − Rjplq Rpikq
− ∇i ∇p Rjpkl − Ripjq Rqpkl − Rippq Rjqkl − Ripkq Rjpql − Riplq Rjpkq
= − ∇j ∇p Rklpi − Rcjq Rqikl + Rjpiq (Rplqk + Rpklq ) − Qjkil + Qjlik
− ∇i ∇p Rkljp + Ripjq (Rqlpk + Rqklp ) − Rciq Rjqkl + Qikjl − Qiljk
= ∇j ∇l Rpkpi + ∇j ∇k Rlppi − Rcjq Rqikl + Qjilk − Qjikl − Qjkil + Qjlik
+ ∇i ∇l Rpkjp + ∇i ∇k Rlpjp − Rciq Rjqkl + Qijkl − Qijlk + Qikjl − Qiljk
= − ∇j ∇l Rcki +∇j ∇k Rcli +∇i ∇l Rckj −∇i ∇k Rclj + Rcjq Riqkl + Rciq Rqjkl
+ 2 (Qijkl − Qjikl + Qikjl − Qiljk ) .
Next, plugging directly into the result of Lemma 5.4 we simply record
p 2
∇2 H 2 ijk gpl = 41 ∇i ∇k Hjl 2
− ∇i ∇l Hjk − ∇j ∇k Hil2 + ∇j ∇l Hik
2
(5.14) 2 2
−Rijkq Hql − Rijlq Hkq .
2 2
= 41 ∆Hjk − 41 ∇j ∇k |H| + 14 ∇j (div H 2 )k + 41 g qi ∇k ∇i Hjq
2
(5.17) p p
+ 14 g qi Rkij (H 2 )pq + 41 g qi Rkiq 2
Hjp
h
2 2
= 41 ∆Hjk − ∇j ∇k |H| + ∇j (div H 2 )k + ∇k (div H 2 )j
i
p p
+g qi Rkij (H 2 )pq + g qi Rkiq 2
Hjp .
5.4. Specifically, plugging the generalized Ricci flow equation into the variation
formula and applying Bianchi identities and Lemma 3.19 yields
∂
R = − ∆ trg −2 Rc + 21 H 2 + div div −2 Rc + 21 H 2 − Rc, −2 Rc + 21 H 2
∂t
2
= ∆R − 21 ∆ |H| + 12 div div H 2 + 2 Rc, Rc − 41 H 2 ,
as claimed.
Xk
∂
− ∆ ∇k Rm = ∇k+2 H 2 + ∇j Rm +H 2 ⋆ ∇k−j Rm,
∂t j=0
∂ 2 2
− ∆ ∇k Rm gt = − 2 ∇k+1 Rm gt + ∇k+2 H 2 ⋆ ∇k Rm
∂t
k
X
+ ∇j Rm +H 2 ⋆ ∇k−j Rm ⋆∇k Rm .
j=0
∂ k ∂
∇ Rm = {(∂ + Γ) . . . (∂ + Γ) Rm}
∂t ∂t
k−1
X
∂ ∂
= ∇j Γ ⋆ ∇k−1−j Rm + ∇k Rm
j=0
∂t ∂t
k−1
X
= ∇j ∇ Rc +H 2 ⋆ ∇k−1−j Rm + ∇k ∆ Rm + Rm⋆2 + Rm ⋆H 2 + ∇2 H 2
j=0
k
X
= ∇k ∆ Rm +∇k+2 H 2 + ∇j Rm +H 2 ⋆ ∇k−j Rm
j=0
k
X
k k+2 2
= ∆∇ Rm +∇ H + ∇j Rm +H 2 ⋆ ∇k−j Rm,
j=0
where the last line follows by commuting derivatives. This yields the first equation,
and the second follows as an elementary exercise, noting that the terms arising
from the variation of the inner product yield more terms of the form j = 0 in the
final sum.
98 5. LOCAL EXISTENCE AND REGULARITY
Xk Xk
∂
− ∆ ∇k H = ∇j Rm ⋆∇k−j H + ∇j H 2 ⋆ ∇k−j H,
∂t j=0 j=1
k
X
∂ 2 2
− ∆ ∇k H gt
= − 2 ∇k+1 H + ∇j Rm ⋆∇k−j H ⋆ ∇k H
∂t j=0
k
X
+ ∇j H 2 ⋆ ∇k−j H ⋆ ∇k H.
j=1
Proof. We compute, using the result of Lemma 4.4 and the Bochner formula,
∂ k ∂
∇ H= {(∂ + Γ) . . . (∂ + Γ) H}
∂t ∂t
k−1
X
j ∂ k−1−j k ∂
= ∇ Γ⋆∇ H +∇ H
j=0
∂t ∂t
k−1
X
= ∇j ∇ Rc +H 2 ⋆ ∇k−1−j H + ∇k (∆H + Rm ⋆H)
j=0
k−1
X k
X
= ∇k ∆H + ∇j+1 Rm +H 2 ⋆ ∇k−1−j H + ∇j Rm ⋆∇k−j H
j=0 j=0
k
X k
X
= ∆∇k H + ∇j Rm ⋆∇k−j H + ∇j H 2 ⋆ ∇k−j H,
j=0 j=1
where in the last line we have reindexed one sum and commuted derivatives. This
proves the first formula, and again we leave the derivation of the second equation
as an exercise.
+
∆+ Rijkl = − ∇+ + + + + + + + + + + +
j ∇l Rcik +∇j ∇k Rcil +∇i ∇l Rcjk −∇i ∇k Rcjl
− Rc+ + + + + +
jq Rqikl − Rjpiq Rpqkl − Qjkil + Qjlik
+
− Ripjq +
Rqpkl − Rc+ + + +
iq Rjqkl + Qikjl − Qiljk
where
Q+ + +
ijkl = Rpijq Rpklq ,
X X
T1 (∇+ ∇+ H 2 )ijkl = ∇+ +
i ∇p Hkpq Hljq − ∇+ +
j ∇p Hkpq Hliq ,
σ(kpl) σ(kpl)
T2 (∇+ (H ⋆ R+ ))ijkl =
q + q + q +
− ∇+p Hij Rqpkl + Hpi Rqjkl + Hjp Rqikl
q q + q
+ ∇+j Hpk +
Rqlpi + Hlp Rqkpi + Hkl Rc+ + + +
qi − Rckq Hqli + Rpklq Hpqi + Rpkiq Hplq
+ +
+Rpliq Hqkp + Rplkq Hiqp − Rc+ lq Hikq
q q + q
+ ∇+i Hpk +
Rqljp + Hlp Rqkjp − Hkl Rc+ + + +
qj + Rckq Hqlj − Rpklq Hpqj − Rpkjq Hplq
+
−Rpljq +
Hqkp − Rplkq Hjqp + Rc+ lq Hjkq .
Using Proposition 3.20 and (5.18) we obtain, with all objects associated to the
Bismut connection,
(5.19)
∆Rijkl = ∇p ∇p Rijkl
q q q
= ∇p −∇j Rpikl − ∇i Rjpkl − Hij Rqpkl − Hpi Rqjkl − Hjp Rqikl
= − ∇j ∇p Rpikl − Rjppq Rqikl − Rjpiq Rpqkl − Rjpkq Rpiql − Rjplq Rpikq
− ∇i ∇p Rjpkl − Ripjq Rqpkl − Rippq Rjqkl − Ripkq Rjpql − Riplq Rjpkq
q q q
− ∇p Hij Rqpkl + Hpi Rqjkl + Hjp Rqikl
X
= − ∇j ∇p Rklpi + ∇k Hpli + ∇l Hikp + Hkpq Hliq
σ(kpl)
X
− ∇i ∇p Rkljp − ∇k Hplj − ∇l Hjkp − Hkpq Hljq
σ(kpl)
− Rcjq Rqikl − Rjpiq Rpqkl − Qjkil + Qjlik
− Ripjq Rqpkl − Rciq Rjqkl + Qikjl − Qiljk
q q q
− ∇p Hij Rqpkl + Hpi Rqjkl + Hjp Rqikl .
100 5. LOCAL EXISTENCE AND REGULARITY
We next analyze the highest order terms appearing in the first line of the final
equality above. First,
q q q
∇p Rklpi = − ∇l Rpkpi − ∇k Rlppi − Hpk Rqlpi − Hlp Rqkpi − Hkl Rqppi
q q q
= ∇l Rcki −∇k Rcli −Hpk Rqlpi − Hlp Rqkpi − Hkl Rcqi .
Next
q q q
∇p Rkljp = − ∇l Rpkjp − ∇k Rlpjp − Hpk Rqljp − Hlp Rqkjp − Hkl Rqpjp
q q q
= − ∇l Rckj +∇k Rclj −Hpk Rqljp − Hlp Rqkjp + Hkl Rcqj .
Next
∇p ∇k Hpli = ∇k ∇p Hpli − Rpkpq Hqli − Rpklq Hpqi − Rpkiq Hplq
= − ∇k d∗ Hli − Rpkpq Hqli − Rpklq Hpqi − Rpkiq Hplq
= ∇k (Rcli − Rcil ) − Rpkpq Hqli − Rpklq Hpqi − Rpkiq Hplq .
Next
∇p ∇l Hikp = ∇l ∇p Hikp − Rpliq Hqkp − Rplkq Hiqp − Rplpq Hikq
= − ∇l d∗ Hik − Rpliq Hqkp − Rplkq Hiqp − Rplpq Hikq
= ∇l (Rcik − Rcki ) − Rpliq Hqkp − Rplkq Hiqp − Rplpq Hikq .
Next
∇p ∇k Hplj = ∇k ∇p Hplj − Rpkpq Hqlj − Rpklq Hpqj − Rpkjq Hplq
= − ∇k d∗ Hlj − Rpkpq Hqlj − Rpklq Hpqj − Rpkjq Hplq
= ∇k (Rclj − Rcjl ) − Rpkpq Hqlj − Rpklq Hpqj − Rpkjq Hplq .
Lastly
∇p ∇l Hjkp = ∇l ∇p Hjkp − Rpljq Hqkp − Rplkq Hjqp − Rplpq Hjkq
= − ∇l d∗ Hjk − Rpljq Hqkp − Rplkq Hjqp − Rplpq Hjkq
= ∇l (Rcjk − Rckj ) − Rpljq Hqkp − Rplkq Hjqp − Rplpq Hjkq .
= − Rc+ + + +
ij − Rcji + Rcij − Rcji
= − 2 Rc+
ji
Plugging this into the result of Lemma 5.5 gives the result.
5.4. SMOOTHING ESTIMATES 101
Ricci flow exhibits this behavior, where a bound on the curvature tensor implies a
smoothing effect for all derivatives of the curvature. This result sets the stage for
obtaining long time existence results for the flow, indicating that a bound on the
curvature tensor suffices to completely control the flow, which we prove in the next
section.
Theorem 5.18. Let (E, [, ], h, i) → M be an exact Courant algebroid with M
α
compact. Let Gt be a solution to generalized Ricci flow on [0, T0 ], 0 < T0 ≤ K
satisfying
n o
2
(5.20) sup |Rm| + |∇H| + |H| ≤ K.
M×[0,T0 ]
where P ≥ 1 is to be chosen below. Combining Lemmas 5.12, 5.13, and the Cauchy-
Schwarz inequality yields
X1
∂ 2
− ∆ F = t −2 ∇2 Rm + ∇3 H 2 ⋆ ∇ Rm + ∇j Rm +H 2 ⋆ ∇1−j Rm ⋆∇ Rm
∂t j=0
X2 X 2
2
+ t −2 ∇3 H + ∇j Rm ⋆∇2−j H ⋆ ∇2 H + ∇j H 2 ⋆ ∇2−j H ⋆ ∇2 H
j=0 j=1
2 2 2
+ (1 − 2P ) |∇ Rm| + (1 − 2P ) ∇ H
+ P ∇2 H 2 ⋆ Rm + Rm ⋆ Rm ⋆(Rm +H 2 )
1
X
j 1−j 2
+P ∇ Rm ⋆∇ H ⋆ ∇H + ∇H ⋆ H ⋆ ∇H
j=0
1
X
2
≤ t C ∇3 H |H| |∇ Rm| + C |∇ Rm| |Rm| + ∇j H 2 ∇1−j Rm |∇ Rm|
j=0
2
X 2
X 2
+ ∇j Rm ∇2−j H ∇2 H + ∇j H 2 ∇2−j H ∇2 H − 2 ∇3 H
j=0 j=1
2
2 3 2 2
− P |∇ Rm| − P ∇2 H + P ∇2 H 2 |Rm| + |Rm| + |Rm| |H|
2
+ P |Rm| |∇H| + |∇ Rm| |H| |∇H| + ∇H 2 |H| |∇H| .
α
Using that t ≤ K, we can choose P large with respect to universal constants and
α to obtain
∂
− ∆ F ≤ CK 3 .
∂t
α
Applying the maximum principle on this time interval we obtain, for t ≤ K,
2 2
k−1
X 2 2
k k k+1
F =t ∇ Rm + ∇ H + tj Pj ∇j Rm + ∇j+1 H .
j=0
We will derive the relevant differential inequality for F in stages. First of all we
apply Lemmas 5.12 and 5.13 to obtain, for times t > 0,
(5.22)
∂ 2 2
−∆ ∇k Rm + ∇k+1 H
∂t
k
X
2
≤ − 2 ∇k+1 Rm + ∇k+2 H 2 ⋆ ∇k Rm + ∇j Rm +H 2 ⋆ ∇k−j Rm ⋆∇k Rm
j=0
k+1
X k+1
X
2
− 2 ∇k+2 H + ∇j Rm ⋆∇k+1−j H ⋆ ∇k+1 H + ∇j H 2 ⋆ ∇k+1−j H ⋆ ∇k+1 H.
j=0 j=1
We now estimate some terms in (5.12), using the induction hypothesis. First
(5.23)
k
X
∇k+2 H 2 ⋆ ∇k Rm ≤ C ∇k+2 H |H| + ∇k+1 H |∇H| + ∇j H ∇k+2−j H ∇k Rm
j=2
1 k+2 2 2
2 2
≤ ∇ H + C |H|2 ∇k Rm + CK ∇k+1 H + ∇k Rm
2
K K
+ C (j−1)/2 (k+1−j)/2 ∇k Rm
t t
1 k+2 2 2 2
K3
≤ ∇ H + CK ∇k+1 H + ∇k Rm +C k .
2 t
104 5. LOCAL EXISTENCE AND REGULARITY
Similarly we estimate
(5.24)
k+1
X
∇j Rm ⋆∇k+1−j H ⋆ ∇k+1 H
j=0
k−1
X
≤ C ∇k+1 Rm |H| + ∇k Rm |∇H| + ∇j Rm ∇k+1−j H ∇k+1 H
j=0
2 2
2 2
2
≤ 1
2 ∇k+1 Rm + C |H| ∇k+1 H + CK ∇k Rm + ∇k+1 H
K K 2
+C
j/2 (k−j)/2
∇k+1 H
t t
2
2 2
K3
≤ 21 ∇k+1 Rm + CK ∇k Rm + ∇k+1 H +C k .
t
We leave as an elementary exercise to estimate the two remaining terms of (5.22)
using the induction hypothesis via
(5.25)
k
X 2 2
K3
∇j Rm +H 2 ⋆ ∇k−j Rm ⋆∇k Rm ≤ CK ∇k Rm + ∇k+1 H +C k ,
j=0
t
k+1
X 2 2
K3
∇j H 2 ⋆ ∇k+1−j H ⋆ ∇k+1 H ≤ CK ∇k Rm + ∇k+1 H +C .
j=1
tk
existence can certainly be finite. In this section we provide a basic criterion for de-
termining the singular time of a solution to generalized Ricci flow, namely showing
that at a singular time for generalized Ricci flow, the norm of the Riemann curva-
ture tensor must blow up. Verifying global existence of a solution to generalized
Ricci flow thus reduces to establishing a bound on the Riemann curvature tensor.
Lemma 5.19. Let M n be a smooth manifold. Given H ∈ Λ3 T ∗ and g a Rie-
mannian metric on M , one has
2 4
H2 g
≥ 1
n |H|g .
Proof. Combining Lemma 4.4 with the Bochner formula and the estimate of
Lemma 5.19 yields the differential inequality
∂ ∂
|H|2 = 2 h∆d H, Hi − 3 g , H2
∂t ∂t
= 2 h∆H + Rm ⋆H, Hi − 3 −2 Rc + 21 H 2 , H 2
2 2 2
= ∆ |H| − 2 |∇H| + Rm ⋆H ⋆2 − 3
2 H2
≤ ∆ |H|2 − 2 |∇H|2 + CK |H|2 − 3
2n |H|4 ,
α
where C depends only on n. As a direct consequence we obtain, using that t ≤ K,
∂ 2 2 3 4
− ∆ t |H| ≤ (1 + CtK) |H| − 2n t |H|
∂t
3 2 4
≤ C max{α, 1} |H| − 2n t |H|
2 3 2
≤ |H| C max{α, 1} − 2n t |H| .
106 5. LOCAL EXISTENCE AND REGULARITY
2
We note that at any point where t |H| ≥ 2C max{α,1}
3n =: C1 , the right hand side is
2
nonpositive. Since supM×{0} t |H| is obviously zero, it follows from the maximum
α
principle that the estimate supM×{t} ≤ C1 is preserved for t ∈ [0, K ].
α
Then there exists a constant C = C(n) such that for all t ∈ [0, K ],
sup t |∇H| ≤ C max{α, 1}.
M×{t}
Proof. First we establish the existence of the limiting metric gT . Fix a vector
V ∈ Tp M , 0 ≤ t1 ≤ t2 < T and observe
Z t2
g(p, t2 )(V, V ) ∂g V V
log = , dt
g(x, t2 )(V, V ) t1 ∂t (p,t) |V | |V |
Z T
∂g
≤ dt
t1 ∂t (p,t) g(t)
≤ C(T − t1 ).
This shows that limt→T gt (V, V ) exists, and by polarization we obtain gT = limt→T gt .
With this uniform equivalence of g established we can obtain the limit HT . In
particular we fix V, X, Y ∈ Tp M , 0 ≤ t1 ≤ t2 < t and estimate
Z t2
∂H
H(p,t2 ) (V, X, Y ) − H(p,t1 ) (V, X, Y ) = (V, X, Y )dt
t1 ∂t (p,t)
Z t2
∂H
≤ |V |g(t) |X|g(t) |Y |g(t) dt
t1 ∂t (p,t) g(t)
≤ C(T − t1 ).
This shows limt→T H(V, X, Y ) exists, defining a continuous 3-form HT .
Showing strong convergence to and regularity of (gT , HT ) requires inductively
proving stronger estimates on the derivatives of g and H with respect to some fixed
background connection. These technical details are identical to that for Ricci flow,
and we refer the reader to ([51] Proposition 6.48) for the proof.
Theorem 5.23. Let (E, [, ], h, i) → M be an exact Courant algebroid. Given
G0 a generalized metric, let T ∈ R>0 ∪ {∞} denote the maximal extended real
number such that the solution to generalized Ricci flow with initial condition G0
exists smoothly on [0, T ). If T < ∞, then
lim sup sup |Rm| = ∞.
t→T M×{t}
Fix some 0 < δ < T . As the flow is smooth on [0, δ], for all m ∈ N there exists a
constant Cm such that
sup |∇m Rm| + ∇m+1 H + |H| |∇m H| ≤ Cm .
M×[0,δ]
Thus there is a uniform bound on the curvature, torsion, and all their covariant
derivatives on [0, T ). With these uniform estimates in place, we can apply Lemma
5.22 to obtain the existence of a pair (gT , HT ) such that
lim (gt , Ht ) = (gT , HT ).
t→T
108 5. LOCAL EXISTENCE AND REGULARITY
As M is compact, we may apply Theorem 5.6 to claim that there exists ǫ > 0 and
a smooth solution to generalized Ricci flow with initial condition (gT , HT ) on [0, ǫ).
Concatenating this solution with the original solution yields a smooth solution to
generalized Ricci flow on [0, T + ǫ), contradicting the maximality of T . Thus (5.27)
cannot hold, finishing the proof.
What is most relevant for studying generalized Ricci flow is to take limits not
just of generalized metrics, but of one-parameter families of generalized metrics.
The relevant notion from Riemannian geometry was introduced by Hamilton [94].
Given the clear relationship between Definitions 5.24 and 5.25, in the interest of
space we only state the definition in the context of generalized metrics.
Definition 5.30. We say that a sequence {(Ek , Mk , Gkt , Ok )} of one-parameter
families of complete pointed generalized Riemannian manifolds converges in the C ∞
t
generalized Cheeger-Gromov topology to a limiting one-parameter family (E∞ , M∞ , G∞ , O∞ ),
defined for t ∈ (α, ω), if there exists an exhaustion of M∞ by open sets Uk contain-
ing O∞ and a sequence of diffeomorphisms φk : Uk → Vk ⊂ Mk covered by Courant
automorphisms Fk such that
(1) φk (O∞ ) = Ok ,
(2) Fk−1 (Gk )t Fk → G∞ t
uniformly on compact subsets of M∞ × (α, ω) in the
∞
C topology.
As before, if gkt and Hkt denote the families of metrics and three-forms canonically
t
associated to (Ek , Gkt ) by Proposition 2.40, with g∞ t
, H∞ similarly defined, then
(1) φk gk → g∞ uniformly on compact subsets of M∞ × (α, ω) in the C ∞
∗ t t
topology,
(2) φ∗k Hkt → H∞ t
uniformly on compact subsets of M∞ × (α, ω) in the C ∞
topology.
Theorem 5.31. Let {(Ek , Mk , Gkt )} be a sequence of complete solutions to
generalized Ricci flow defined on time intervals Ik = (αk , ωk ) ⊂ R. Suppose
αk → α, ωk → ω, and for all j ∈ N there exists Cj < ∞ such that
n o
sup ∇jgk Rmgk g + ∇j Hk g ≤ Cj .
k k
Mk ×Ik
In the previous two chapters we motivated the generalized Ricci flow by show-
ing that it is a well-posed evolution equation with generalized Einstein metrics as
fixed points, and establishing fundamental analytic structure along the flow stem-
ming from its parabolic structure. For deeper applications it is natural to seek
monotone quantities along the flow which provide further control of the metric, as
well as convergence results for smooth long-time solutions. For the Ricci flow equa-
tion the discovery of such quantities was among the fundamental breakthroughs
of Perelman [140]. By the explicit incorporation of extra terms involving H, it is
possible to modify these constructions to yield energy and entropy functionals for
the generalized Ricci flow.
Remark 6.2. Note that we have chosen to define the functional F using the
three-form H directly, as opposed to freezing a background H0 and defining the
functional using b ∈ Λ2 T ∗ , with the convention that H = H0 + db, as is done for
instance in [138].
Lemma 6.3. Given (M n , g, H) a smooth compact Riemannian manifold with
H ∈ Λ3 T ∗ , dH = 0, the infimum defining λ(g, H) is uniquely achieved, and is the
lowest eigenvalue of the Schrödinger operator
(6.1) − 4∆ + R − 1
12 |H|2 .
f
Proof. We note that we may reexpress the functional F in terms of u = e− 2
as
Z h i
2 2
F (g, H, u) = R− 1
12 |H| u2 + 4 |∇u| dV.
M
111
112 6. ENERGY AND ENTROPY FUNCTIONALS
R
If we minimize this functional over u satisfying M u2 dV = 1, a direct variational
computation with Langrange multipliers shows that u must satisfy
1 2
−4∆ + R − 12 |H| u = λu.
Remark 6.4. The Schrödinger operator (6.1), introduced in [138], has been re-
cently interpreted in [152] as an operator on half-densities to provide an alternative
definition of the entropy functional F in Definition 6.1.
6.1.2. Conjugate heat equation. Note that the definition of F requires
the extra parameter f , whereas the infimum in the definition of λ removes this
parameter. Obtaining evolution equations for λ is challenging to achieve directly
due to this infimum, since the function f achieving this infimum can change in a
discontinuous way as g and H change. For this reason it is more effective to work
with F directly. It is natural then to couple an evolution equation for the parameter
f to the generalized Ricci flow, the most natural choice being the conjugate heat
equation, which will preserve the unit volume condition.
Definition 6.5. Let (M n , gt , Ht ) be a solution to generalized Ricci flow. A
one-parameter family ut ∈ C ∞ (M ) is a solution to the conjugate heat equation if
∂ 2
(6.2) + ∆gt u = Ru − 14 |H| u.
∂t
We summarize this equation in terms of the conjugate heat operator ∗ , where
∂ 2
(6.3) ∗ := − − ∆gt + R − 41 |H| .
∂t
In particular, a function u solves the conjugate heat equation if and only if ∗ u = 0.
The operator ∗ is the L2 adjoint of the time-dependent heat operator (cf. Lemma
6.6 below)
∂
:= − ∆gt .
∂t
It is convenient to phrase many results below in terms of the generalized Ricci
flow in a general gauge (cf. Remark 4.23). Given a solution to (Xt , kt )-gauge-fixed
generalized Ricci flow, the relevant conjugate heat equation becomes
∂ 2
(6.4) + ∆gt − X u = Ru − 41 |H| u.
∂t
Observe that the sign on the left hand side of (6.2) indicates that, as a heat
equation, it is evolving in reverse time of the generalized Ricci flow. This is nat-
ural from the point of view of understanding monotonicity for F , as one wants to
construct a test function at some forward time, and pass it in a natural way to an
earlier time, where one has some geometric understanding. The next lemma shows
that the conjugate heat equation preserves the evolving f -weighted volume, and is
the L2 adjoint of the heat equation with respect to the evolving metric.
Lemma 6.6. Let (M n , gt , Ht ) be a solution to generalized Ricci flow.
d
R
(1) If φt is a solution of ∗ φ = 0, then dt M φdVg = 0.
6.1. GENERALIZED RICCI FLOW AS A GRADIENT FLOW 113
Proof. For statement (1), differentiate directly using (6.2) and Lemma 5.2 to
see
Z Z
d ∂ 1 2
dt φdV = φ + φ −R + 4 |H| dV
M M ∂t
Z
= (−∆φ)dV
M
= 0.
Similarly we compute for general φ, ψ using the self-adjointness of the Laplacian,
Z Z
d ∂ ∂ 1 2
φψdV = φ ψ+φ ψ + φψ −R + 4 |H| dV
dt M M ∂t ∂t
Z
∂ ∂
= − ∆ φ ψ − φ − − ∆ + R − 14 |H|2 ψ dV
∂t ∂t
ZM Z
= (φ) ψdV − φ (∗ ψ) dV.
M M
Integrating this result over [0, T ] and applying the boundary condition yields the
result.
Then
(6.6)
Z
d
F (gs , Hs , fs ) = − Rc + 41 H 2 − ∇2 f, h + 12 (−d∗ H − ∇f yH) , K
ds s=0 M
i −f
1 2 2 1
+ R − 12 |H| + 2∆f − |∇f | 2 trg h − φ e dV.
Finally we are ready to establish the monotonicity of F . The proof exploits the
diffeomorphism invariance of F in an essential way, and we refer back to Remark
4.23 for the notion of the general (Xt , kt )-gauge-fixed generalized Ricci flow.
Proposition 6.8. Let (M n , gt , Ht ) be a solution to the (Xt , kt )-gauge-fixed
generalized Ricci flow equations. Let ut denote a solution to the (Xt , kt )-gauge-
fixed conjugate heat equation, and let ft = − log ut . Then
Z h i
d 2
F (gt , Ht , ft ) = 2 Rc − 41 H 2 + ∇2 f + 21 |d∗ H + ∇f yH|2 e−f dV.
dt M
Proof. Since the functional F is gauge invariant, it suffices to prove the for-
mula for a specific choice of gauge. In particular, given ut and ft = − log ut as
in the statement, we can pull back g, H and f by time-dependent diffeomorphisms
to produce a solution of the (−∇f, 0)-gauge-fixed generalized Ricci flow. Using
equations (4.13) and (6.2) we see that this system of equations takes the form
∂
g = − 2 Rc − 21 H 2 + ∇2 f ,
∂t
∂
(6.11) H = − d d∗g H + ∇f yH ,
∂t
∂ 2
f = − ∆f − R + 14 |H| .
∂t
1 ∂ ∂
Observing that, for this variation, 2 trg ∂t g − ∂t f = 0, Lemma 6.7 implies the
result.
one could consider that µt evolves by the generalized scalar curvature in Definition
3.41 and then by Lemma 6.7 we still have monotonicity of F along the flow.
Corollary 6.10. Suppose M is compact and let (M, gt , Ht ) be a solution to
the (Xt , kt )-gauge-fixed generalized Ricci flow equations. Then for all t1 < t2 , one
has
λ(gt1 , Ht1 ) ≤ λ(gt2 , Ht2 ).
The case of equality holds if and only if (gt1 , Ht1 ) is a steady generalized Ricci
soliton with f realizing the infimum in the definition of λ. Moreover, the flow on
[t1 , t2 ] evolves by diffeomorphism pullback by the family generated by ∇f .
R
Proof. Choose ft2 such that M e−ft2 dVgt2 = 1, and F (gt2 , Ht2 , ft2 ) = λ(gt2 , Ht2 ),
which exists by Lemma 6.3. As M is compact, there exists a unique solution to
the conjugate heat equation on [t1 , t2 ] with boundary condition ut2 = −eft2 . Using
Proposition 6.8 we obtain
λ(gt1 , Ht1 ) ≤ F (gt1 , Ht1 , ft1 )
= F (gt2 , Ht2 , ft2 )
Z t2 Z h i
2 2
− 2 Rc − 41 H 2 + ∇2 f + 1
2 |d∗ H + ∇f yH| e−f dV
t1 M
= λ(gt2 , Ht2 )
Z t2 Z h i
2 2
− 2 Rc − 41 H 2 + ∇2 f + 1
2 |d∗ H + ∇f yH| e−f dV.
t1 M
The final term appearing above is manifestly nonpositive, so the claimed inequality
follows, with equality if and only if this term vanishes, which implies the soliton
equations hold.
Proof. As a steady soliton, the solution to generalized Ricci flow with initial
condition (g, H) evolves by pullback by a one-parameter family of diffeomorphisms.
Thus λ(gt , Ht ) is constant, and the result follows from Corollary 6.10.
6.1.4. Steady Harnack. The classical Harnack estimate for the heat equa-
tion yields a definite improvement in the oscillation of the solution over certain
domains in spacetime, and is a crucial point in establishing the regularity of this
equation. In the setting of Ricci flow Harnack-type estimates were discovered by
Perelman as pointwise versions of his energy and entropy monotonicity formulas,
and again play a crucial role in understanding the singularity formation of Ricci
flow. We extend these here to the setting of generalized Ricci flow.
Theorem 6.12. Let (M n , gt , Ht ) be a solution to generalized Ricci flow and
suppose ut satisfies the conjugate heat equation. Let f = − log u and let v = Su
where (cf. (3.39))
2 1 2
S = 2∆f − |∇f | + R − |H| .
12
116 6. ENERGY AND ENTROPY FUNCTIONALS
Then
" #
2
1 1 ∗ 2
v = − 2 Rc − H 2 + ∇2 f
∗
+ |d H − ∇f yH| u.
4 2
1 1 1 2 1 2
div div H 2 − h∆d H, Hi − ∆ |H| = |d∗ H| ,
2 6 12 2
and
1 1D E
∇ |H|2 − div H 2 , ∇f = ∇ |H|2 , ∇f − hd∗ H, ∇f yHi .
2 3
2 2
∆ |∇f | − 2 ∇2 f − 2 hRc, ∇f ⊗ ∇f i = 2 h∇∆f, ∇f i .
Therefore
2
∂ 1 1 ∗
(6.13) + ∆ S = 2 Rc − H 2 + ∇2 f + |d H − ∇f yH|2 + 2 h∇S, ∇f i .
∂t 4 2
It follows that
∂ ∂
+∆ v = + ∆ (Su)
∂t ∂t
∂ ∂
= +∆ S u+S + ∆ u + 2 h∇S, ∇ui
∂t ∂t
" #
2
1 2 2 1 ∗ 2
= 2 Rc − H + ∇ f + |d H − ∇f yH| u
4 2
2 1 2 2
+ S ∆f − |∇f | + R − |H| u + S −∆f + |∇f | u
4
" #
2
1 2 2 1 ∗ 2 1 2
= 2 Rc − H + ∇ f + |d H − ∇f yH| u + v R − |H| ,
4 2 4
as claimed.
∂ ∂
S= − S
∂τ ∂t
2
1 1 2 1 2
= − 2 Rc − H 2 + ∇2 f − |d∗ H − ∇f yH| − RS + |H| S
4 2 4
∆v S 2 1 2
+ + ∆f − |∇f | + R − |H| u
u u 4
2 2
h∇v, ∇ui v |∇u| 1
= ∆S + 2 2
−2 3
− 2 Rc − H 2 + ∇2 f
u u 4
1 ∗
− |d H − ∇f yH|2
2
2
h∇u, ∇Si 1 1 ∗ 2
= ∆S + 2 − 2 Rc − H 2 + ∇2 f − |d H − ∇f yH| .
u 4 2
Remark 6.14. We observe that Proposition 6.8 follows immediately from The-
∂ 2
orem 6.12. In particular, since ∂t dV = −R + 14 |H| along a solution to generalized
Ricci flow, it follows from Theorem 6.12 that
( " # )
2
∂ 1 2 2 1 ∗ 2
(SudV ) = −∆(Su) + 2 Rc − H + ∇ f + |d H − ∇f yH| u dV.
∂t 4 2
2 1 2
v+ = (t − T ) 2∆f+ − |∇f+ | + R − |H| − f+ + n u.
12
6.2. EXPANDER ENTROPY AND HARNACK ESTIMATE 119
Then
!
2
1 g 1
∗ v+ = − 2(t − T ) Rc − H 2 + ∇2 f+ + + |d∗ H − ∇f+ yH|2 u
4 2(t − T ) 4
1 2
− |H| u.
6
Proof. We assume without loss of generality that T = 0. Let V := 2∆f+ −
2 1 2
|∇f+ | + R − 12 |H| . To compute the relevant evolution equation for V we first
observe that f+ satisfies
∂f+ 1 n
(6.14) = −∆f+ + |∇f+ |2 − R + |H|2 − .
∂t 4 2t
Note that this differs from the variation of f in the steady setting only by the
∂
addition of the constant term (see (6.12), the computation of ( ∂t + ∆)V is identical
to that in Theorem 6.12, thus we may jump to line (6.13) to yield
(6.15)
2
∂ 1 1 ∗ 2
+ ∆ V = 2 Rc − H 2 + ∇2 f+ + |d H − ∇f+ yτ | + 2 h∇V, ∇f+ i .
∂t 4 2
Now let W := tV − f+ + n. Using (6.15) we get
2
∂ 1 t ∗ 2
+ ∆ W = V + 2t Rc − H 2 + ∇2 f+ |d H − ∇f+ yH|
+
∂t 4 2
2 1 2 n
+ 2t h∇V, ∇f+ i − |∇f+ | + R − |H| −
4 2t
1 2 n
= 2∆f+ + 2R − |H| + + 2 h∇W, ∇f+ i
3 2t
2
1 t 2
2t Rc − H 2 + ∇2 f+ + |d∗ H − ∇f+ yH| .
4 2
2
1 g t 2
= 2t Rc − H 2 + ∇2 f+ + + |d∗ H − ∇f+ yH|
4 2t 2
1
+ |H|2 + 2 h∇W, ∇f+ i .
6
Finally we can compute
∂ ∂
+ ∆ v+ = + ∆ (W u)
∂t ∂t
∂ ∂
= +∆ W u+W + ∆ u + 2 h∇W, ∇ui
∂t ∂t
2
1 g t
= 2t Rc − H 2 + ∇2 f+ + + |d∗ H − ∇f+ yH|2
4 2t 2
1 2 1 2
+ |H| + 2 h∇W, ∇f+ i u + W Ru − |H| u − 2 h∇W, ∇f+ i u
6 4
2
1 g t ∗ 2 1 2
= 2t Rc − H 2 + ∇2 f+ + u+ |d H − ∇f+ yH| u + |H| u
4 2t 2 6
1 2
+ Rv+ − |H| v+
4
120 6. ENERGY AND ENTROPY FUNCTIONALS
Furthermore, let
µ+ (g, H, σ) := n R
inf n o W+ (g, H, f+ , σ) ,
f+ | M
e−f+ (4πσ)− 2 dV =1
and
d
W+ (g, H, f+ , t − T )
dt
Z " 2
! #
g 1 2 1 2
= (t − T ) 2 Rc − 41 H 2 + ∇2 f+ + + |d∗ H + ∇f+ yH| + |H| udV.
M 2(t − T ) 2 6
Proof. As in the proof of Proposition 6.8, it suffices to consider the flow in any
∂ 2
specific gauge, and in this case we pick the standard gauge. Since ∂t dV = R− 41 |H|
along a solution to generalized Ricci flow, it follows from Theorem 6.15 that
" ! #
2
∂ g 1 2 1 2
(v+ dV ) = (t − T ) 2 Rc − 14 H 2 2
+ ∇ f+ + + |d∗ H + ∇f+ yH| + |H| udV.
∂t 2(t − T ) 2 6
and
ν− (g, H) := sup µ− (g, H, τ ) .
τ >0
Proof. We compute
Z Z h i
∂ 1 2
φudV = φ̇u + φu̇ + φu −R + 4 |H| dV
∂t M
ZM
= [(∆φ + ψ) u + φ∆u]
ZM
= ψudV,
M
as required.
Definition 6.25. Let (M n , gt , Ht ) be a solution to generalized Ricci flow on
a compact manifold, and suppose furthermore that φt is a smooth one-parameter
family of functions. Let the augmented entropy be
W− (g, H, φ, f− , τ )
Z
2 1 2 −n
:= τ |∇f− | + R − |H| − φ + f− − n (4πτ ) 2 e−f− dV.
M 12
Moreover, let
µ− (g, H, φ, τ ) = R inf n W− (g, H, φ, f− , τ )
{f− | M
(4πτ )− 2 e−f− =1}
Remark 6.31. (1) This definition differs slightly from the classical def-
inition of nonsingular solution which asks for bounded curvature along
the normalization which fixes the volume. In many cases nonsingular so-
lutions in this sense will approach constant scalar curvature, rendering
them nonsingular in our sense. However, in general the two notions are
different.
(2) Solitons are examples of nonsingular solutions.
(3) From the point of view of analysis, it is natural to modify the flow of
H as we have done, so that the resulting family (gt , Ht ) is a spacetime
scaling of the corresponding unnormalized flow. Note however that this
operation will of course change the cohomology class of H, thus altering
the underlying Courant algebroid structure.
126 6. ENERGY AND ENTROPY FUNCTIONALS
It follows that the terms in the sum must go to zero, and then in particular there
exists tj ≤ t′j ≤ tj + 1 such that
Z h i
2 2
(6.16) lim 2 Rc − 41 H 2 + ∇2 f + 21 |d∗ H + ∇f yH| e−f dV = 0.
j→∞ M
It remains to take a smooth limit of (M n , gtj , Htj , ftj , pj ). To obtain this,
first observe that for all t ≥ 1, we can apply Theorem 5.18 on [t − 1, t] to conclude
uniform estimates on all derivatives of curvature and of H. Since we have a uniform
estimate on ∂g
∂t , the first part of the argument of Lemma 5.22 applies to yield uniform
equivalence of all metrics gt , tj ≤ t ≤ tj + 1. Since injgtj (pj ) ≥ δ, it follows that
6.4. COROLLARIES ON NONSINGULAR SOLUTIONS 127
there exists δ ′ > 0 so that injgt′ (pj ) ≥ δ ′ . We next sketch an argument that the
j
functions ft′j satisfy estimates of the form
First, given the uniform curvature and derivative estimates, at any point we can
work on the universal cover of the unit ball, which is then uniformly equivalent to
a Euclidean ball by Jacobi field estimates. Since utj +1 = e−ftj +1 by construction
realizes the infimum of λ, it satisfies the elliptic equation (cf. Lemma 6.3)
1 2
−4∆ + R − 12 |H| − λ utj +1 = 0
Since all derivatives of curvature and H are bounded and ∆ is uniformly elliptic,
we can apply elliptic regularity to obtain estimates on all derivatives of utj +1 on
any unit ball as described above. Moreover, the conjugate heat equation ∗ u = 0
2
is uniformly parabolic, and the linear term R − 14 |H| has uniform estimates, so we
can invoke parabolic regularity results to obtain uniform control over all derivatives
of ut , tj ≤ t ≤ tj +1. We can now apply Theorem 5.31 to conclude that the sequence
of pointed solutions to generalized Ricci flow determined by {(M n , gt , Ht , pj ), t ∈
[tj , tj+1 ]} admits a convergent subsequence, and that the associated functions f as
defined above converge as well. It follows from (6.16) that this limit is a generalized
Ricci soliton.
Remark 6.33. (1) In the first case above where the injectivity radius
goes to zero everywhere, the manifolds are collapsing with bounded cur-
vature. Convergence results for the Ricci flow which yield geometric limits
in this setting were proved by Lott [131, 132]. Further rigidity results
for the generalized Ricci flow appeared in [84].
(2) The limit space M∞ need not be diffeomorphic to M . An elementary
example occurs for hyperbolic three-manifolds (cf. Example 4.11), where
the limit of the unrescaled flow will be flat R3 with H ≡ 0 (noting that
while H is fixed in time as a tensor its gt -norm goes to zero along the flow).
As described there the appropriately rescaled flow will converge back to
the hyperbolic metric with H ≡ 0. Taking products of this example with
a Bismut-flat structure on a semisimple Lie group yields examples with
a nontrivial limit for the unrenormalized flow, where the topology of the
base manifold has changed.
(3) A similar result can be obtained in the case Λ = 1, under the further
assumption of the existence of a torsion-bounding subsolution, using the
shrinking entropy.
Remark 6.34. Perelman’s energy and entropy quantities are also related to
certain formal metric constructions on the whole spacetime of a solution to Ricci
flow. A related spacetime geometry approach for generalized Ricci flow was taken
in [45], yielding certain canonical solitons associated to any solution.
CHAPTER 7
We assume that W is endowed with a metric h, i of split signature (n, n) such that
the image of the first arrow in (7.1), given by 12 π ∗ : V ∗ → W ∗ ∼
= W , is isotropic.
Definition 7.1. A generalized complex structure on W is an endomorphism
J of W such that
(1) J 2 = − Id.
(2) J is orthogonal with respect to the symmetric inner product h, i on W .
When W = V ⊕ V ∗ and h, i is given by (2.1), we will simply say that J is a
generalized complex structure on V .
Of course, any generalized complex structure on W defines a generalized com-
plex structure on V upon a choice isotropic splitting of the sequence (7.1). Nonethe-
less, in our discussion we will often find generalized complex structures interacting
with generalized metrics, which determine a preferred isotropic splitting, and the
abstract definition above will be useful.
We next discuss two central examples which will inform the entire discussion,
illustrating that classical complex structures as well as symplectic structures admit
interpretations as generalized complex structures.
Example 7.2. Let W = V ⊕ V ∗ and h, i given by (2.1). Let J : V → V be a
complex structure, and define
−J 0
JJ := ,
0 J∗
where the block diagonal structure comes from the natural decomposition of V ⊕V ∗
and J ∗ α is the natural induced action of J on V ∗ , i.e. J ∗ α(v) = α(Jv). The
equation JJ2 = − Id is immediate, and we can furthermore compute
hJJ (X + ξ), JJ (Y + η)i = h−JX + J ∗ ξ, −JY + J ∗ ηi
= 1
2 (−J ∗ ξ(JY ) − J ∗ η(JX))
1
= 2 (ξ(Y ) + η(X))
= hX + ξ, Y + ηi .
Thus JJ defines a generalized complex structure on V .
Example 7.3. Let ω ∈ Λ2 V ∗ be a symplectic structure on V . Observe that ω
defines a canonical map ω : V → V ∗ using interior product, i.e ω(v) := iv ω. By
assumption this map is invertible, and we denote the inverse map as ω −1 : V ∗ → V .
7.1. LINEAR GENERALIZED COMPLEX STRUCTURES 131
Now set
0 −ω −1
Jω := .
ω 0
The equation Jω2 = − Id is immediate, and we can furthermore compute
hJω (X + ξ), Jω (Y + η)i = −ω −1 ξ + ω(X), −ω −1 η + ω(Y )
= 12 −ω(X, ω −1 η) − ω(Y, ω −1 ξ)
1
= 2 (η(X) + ξ(Y ))
= hX + ξ, Y + ηi .
Thus Jω defines a generalized complex structure on V .
Example 7.4. Given vector spaces Vi with generalized complex structures Ji ,
i = 1, 2, one defines the direct product J = J1 ⊕ J2 . A simple check shows that
this defines a generalized complex structure on V1 ⊕ V2 . Using this construction in
conjunction with the two previous examples, one immediately obtains generalized
complex structures which are not determined solely by a complex or symplectic
structure.
Example 7.5. An important generalization of these basic examples exploits
b-field symmetries. Let V be a vector space with generalized complex structure
J . Given b ∈ Λ2 (V ∗ ), let Jb := eb J e−b . An elementary calculation shows that
Jb2 = − Id. Moreover, since b-field transformations are orthogonal for h, i by Lemma
2.13, as is J , it follows immediately that Jb is orthogonal with respect to h, i,
showing that Jb defines a new generalized complex structure. Observe that the
different choices of b ∈ Λ2 (V ∗ ) can be regarded as different isotropic splittings of
the sequence (7.1) and therefore Jb is, in a sense, equivalent to J .
Remark 7.6. Since every even-dimensional vector space V admits both com-
plex and symplectic structures, it follows from the above examples that they admit
generalized complex structures as well. In fact, if V admits a generalized complex
structure J , then V must be even dimensional. To see this, fix X + ξ ∈ V ⊕ V ∗
a vector which is null for the neutral inner product. As J is a complex structure
on V ⊕ V ∗ orthogonal with respect to the neutral inner product, it follows that
J (X + ξ) is null, and orthogonal to X + ξ. These two vectors span a J -invariant
isotropic plane S, and so we can choose a new vector X ′ +ξ ′ orthogonal to this plane
and obtain that J (X ′ + ξ ′ ) is null, and orthogonal to S and X ′ + ξ ′ . Repeating
this inductively we eventually construct a maximal isotropic subspace, which has
even dimension. Since the inner product has signature (n, n) with n = dim V , it
follows that V is even dimensional.
Using this fact we can give the characterization of generalized complex struc-
tures in terms of reduction of structure groups. Given W as in (7.1) we denote by
O(2n, 2n) := O(W ) the group of linear isometries of W .
Lemma 7.7. If W as in (7.1) admits a generalized complex structure, then
dim V = 2n. Furthermore, a generalized complex structure on W is equivalent to a
choice of maximal compact subgroup U (n, n) ≤ O(2n, 2n).
Proof. The first part follows from Remark 7.6 by identifying W = V ⊕ V ∗ via
a choice of isotropic splitting of (7.1). As for the second part, endomorphisms which
132 7. GENERALIZED COMPLEX GEOMETRY
preserve J will lie in GL(2n, C), and so a choice of generalized complex structure
on W determines a maximal compact O(2n, 2n) ∩ GL(2n, C) = U (n, n).
Also the map is skew-symmetric with respect to the neutral inner product since,
using that L is isotropic,
hπV ∗ (X + η), πV (Y + µ)i + hπV ∗ (Y + µ), πV (X + η)i
= η(Y ) + µ(X) = hX + η, Y + µi = 0.
The tensor φ is canonically identified with a section of Λ2 U ∗ , and it follows from
the construction that L = L(U, φ).
Proof. We compute
(X + ξ) · (X + ξ) · ρ = iX (iX ρ + ξ ∧ ρ) + ξ ∧ (iX ρ + ξ ∧ ρ)
= (iX ξ) ρ
= hX + ξ, X + ξi ρ,
as required.
As a spin representation, the exterior algebra decomposes into a direct sum
Λ∗ V ∗ = Λeven V ∗ ⊕ Λodd V ∗
corresponding to irreducible representations. Note that we have the double cover
homomorphism
ψ : Spin(V ⊕ V ∗ ) → SO(V ⊕ V ∗ )
defined by
ψ(x)(v) = x · v · x−1 ,
for x ∈ Spin(V ⊕ V ) and v ∈ V ⊕ V ∗ . Using this map, a Lie algebra element of
∗
the form
A 0
(7.3) ζ= ∈ so(V ⊕ V ∗ )
B −A∗
acts on Λ∗ V ∗ via
ζ · ρ = −B ∧ ρ − A∗ ρ + 1
2 tr Aρ.
Here, A ∈ End(V ) and B ∈ Λ2 V ∗ , and we have used the natural identification
so(V ⊕ V ∗ ) = Λ2 (V ⊕ V ∗ ) = End(V ) ⊕ Λ2 V ∗ ⊕ Λ2 V.
Observe that elements of the form (7.3) are precisely those which preserve the flag
(7.1), and will appear later as infinitesimal Courant algebroid automorphisms (see
Proposition 2.15).
Exponentiating ζ above we obtain spin group elements corresponding to B-field
transformations, given by
eB · ρ = e−B ∧ ρ = (1 − B + 21 B ∧ B + . . .) ∧ ρ.
We also obtain spin group elements corresponding to linear automorphisms A ∈
GL+ (V ) ⊂ GL(V ) with positive determinant,
√
A · ρ = det A(A−1 )∗ ρ.
This indicates that, as a GL+ (V ) representation, the spinors decompose as
S = Λ∗ T ∗ ⊗ (det V )1/2 .
We turn next to the study of linear Dirac structures on V in terms of spinors.
Definition 7.17. Given ρ ∈ Λ∗ V ∗ , define the associated null space by
Lρ := {v ∈ V ⊕ V ∗ | v · ρ = 0} .
Note that Lρ is isotropic, since for v1 , v2 ∈ Lρ , we have
1
hv1 , v2 i ρ = 2 (v1 v2 + v2 v1 ) · ρ = 0,
thus hv1 , v2 i = 0. The spinor ρ is called pure if Lρ is maximal, that is, has dimension
equal to dim V .
7.1. LINEAR GENERALIZED COMPLEX STRUCTURES 135
The previous result generalizes the fundamental fact that a complex structure
can be thought of as a tensor field, a reduction of structure groups, or in terms of
certain subbundles. Notice that (ρ, ρ) ∈ det T ∗ defines an orientation independent
of the choice of ρ, giving a global orientation on the manifold.
Example 7.23. Continuing the discussion in Example 7.2, suppose M 2n admits
an almost complex structure J, and then define an almost generalized complex
structure on M via
−J 0
JJ = .
0 J∗
√
It is clear by definition that the −1-eigenbundle takes the form
L = T 0,1 ⊕ T1,0
∗
.
The pure spinor line in Proposition 7.22 corresponds to Λn,0 and is generated,
locally, by a choice of non-vanishing (n, 0)-form.
Example 7.24. Continuing the discussion in Example 7.3, suppose M admits
an almost symplectic form ω, and then define an almost generalized complex struc-
ture on M via
0 −ω −1
Jω = .
ω 0
Given X ∈ T ⊗ C, note that
√
Jω √ X =
−1X
,
− −1ω(X) ω(X)
√
and hence such vectors lie in the −1-eigenspace of Jω . Since the complex dimen-
sion of√the space of such vectors is n, it follows that such vectors determine the
entire −1-eigenspace L, i.e.
√
L = e− −1ω T.
Observe that L is given by a B-field transformation of the tangent bundle, which
is a Dirac structure with pure spinor line generated by 1 ∈ (Λ∗ T ∗ ) ⊗ C. Thus,
by naturality of the Clifford action with respect to orthogonal transformations it
follows that the pure spinor line in Proposition 7.22 is generated in this case by the
global section
√ √
e− −1ω · 1 = e −1ω ∈ (Λ∗ T ∗ ) ⊗ C.
7.2.2. Integrability. We now turn to the question of integrability of almost
generalized complex structures. Recall that the classical
√ definition of integrabil-
ity of an almost complex structure J asks for the −1-eigenbundle to be closed
under the Lie bracket. For√integrability of generalized complex structures we will
ask for involutivity of the −1-eigenbundle under the Dorfman bracket. As this
eigenbundle is an example of an almost Dirac structure by Proposition 7.14, we
briefly work in greater generality and record fundamental definitions and results
concerning Dirac structures on exact Courant algebroids. Our exposition follows
[55, 88] closely.
Definition 7.25. Let E be an exact Courant algebroid over a smooth manifold
M . An almost Dirac structure on E is a subbundle L ⊂ E which is maximally
138 7. GENERALIZED COMPLEX GEOMETRY
P li ∇l P jk + P lj ∇l P ki + P lk ∇l P ij = 0.
Proof. Exercise.
dφ = X + ξ + X + ξ,
where the answer lies in L since L is involutive. The vector field component Z is
pure imaginary, hence Z + Z = 0, whereas
µ + µ = LXφ (η + η) − iXψ dξ + dξ
= LXφ dψ − iXψ ddφ
= diXφ dψ
= d{φ, ψ}.
Hence (Z, µ) is the canonical section of L associated to the smooth function {φ, ψ},
and so 7.8 follows.
Example 7.48. Let K denote a compact semisimple Lie group with dim K =
2n. Let g denote the unique bi-invariant metric on K. By a classical result of
Samelson [149], we can choose a complex structure on the corresponding Lie algebra
k compatible with g, and we obtain a left-invariant complex structure J. We claim
that (g, J) is pluriclosed with
−dc ω(X, Y, Z) = H(X, Y, Z) = g([X, Y ], Z).
Using the invariance properties and the integrability of J we compute
−dc ω(X, Y, Z) = dω (JX, JY, JZ)
X
= − ω ([JX, JY ], JZ)
σ(X,Y,Z)
X
= − g ([JX, JY ], Z)
σ(X,Y,Z)
X
= − g (J[JX, Y ] + J[X, JY ] + [X, Y ], Z)
σ(X,Y,Z)
X
= − 3H(X, Y, Z) + 2 g ([JX, JY ], Z)
σ(X,Y,Z)
c
= − 3H(X, Y, Z) + 2d ω(X, Y, Z).
Rearranging yields −dc ω = H. It is left as an exercise to show dH = 0.
Example 7.49. Consider the compact four-dimensional manifold M = SU (2)×
U (1) as in Example 3.51. Using the same notation, for every non-zero constant
x ∈ R we define a left-invariant complex structure on M by
Jx e4 = xe1 , Jx e 2 = e 3 .
146 7. GENERALIZED COMPLEX GEOMETRY
The isotropic condition for (7.12) implies that g is a symmetric tensor of type (1, 1).
Denote the associated (1, 1) form by
ω = g(J·, ·) ∈ Λ1,1
R .
Proof. By Lemma 7.55, the pair (E, ℓ) determines ω > 0 and an isomorphism
E ∼
= (T ⊕ T ∗ , h, i , [, ]−dc ω ). By definition, Eℓ = E−2√−1∂ω and, by Theorem 7.58,
the isomorphism ϕ : Eℓ → EH0 corresponds to
√
for β ∈ Λ2,0 satisfying dβ = H0 + 2 −1∂ω. We refer to [72] for further details.
We close this section indicating how the fairly abstract Definition 7.60 produces
a Hermitian metric on the holomorphic vector bundle underlying E, in the classical
sense. Let E be an exact Courant algebroid endowed with a metric (E, ℓ, ϕ). By
Lemma 7.55 the pair (E, ℓ) determines a pluriclosed Hermitian metric g. Define a
Hermitian metric G on Eℓ = E−2√−1∂ω by
gij 0
G= .
0 g lk
This metric has an associated Chern connection, and associated Chern curvature.
As we will discuss in §9.6, there a striking relationship between the curvature of
the Chern connection associated to G and the curvature of the Bismut connection
associated to the underlying pluriclosed structure, an idea which is briefly discussed
in [18, Theorem 2.9]. This will play an important role in the higher regularity for
the pluriclosed flow in Chapter 9 (cf. [160, 108]).
7.4.1. Definitions and equivalences. We will begin with the classical for-
mulation of generalized Kähler geometry in terms of biHermitian geometry, a con-
dition not obviously motivated from the point of view of classical complex and
Kähler geometry.
Definition 7.62. Given M 2n a smooth manifold and H0 ∈ Λ3 T ∗ , dH0 = 0, a
generalized Kähler structure is a quadruple (g, b, I, J) consisting of a Riemannian
metric g, b ∈ Λ2 T ∗ , and two integrable complex structures I, J, such that
(1) The metric g is compatible with I and J.
(2) One has
−dcI ωI = H0 + db = dcJ ωJ .
As the tensor b can be absorbed by redefining H0 , at times we will refer to a
generalized Kähler structure only using the data (g, I, J).
Remark 7.63. We note that the definition allows for the possibility that [H0 ] 6=
0. In some literature, including [88], this is referred to as a twisted generalized
Kähler structure, an extra distinction we will not make.
We next give the definition of Gualtieri [88], expressed in terms of generalized
complex geometry, and motivated from the point of view of reduction of structure
groups. On a 2n-manifold, a choice of complex structure gives a reduction of the
structure group to GL(n, C), whereas a Kähler metric is a reduction to the maximal
compact subgroup U (n). Similarly, as explained in Lemma 7.7, the presence of
a single generalized complex structure, together with the neutral inner product,
reduces the structure group of E to U (n, n). By seeking a further reduction to
the maximal compact subgroup U (n) × U (n), it is possible to derive the following
definition.
Definition 7.64. Let E be an exact Courant algebroid over a smooth manifold
M 2n . A generalized Kähler structure is a pair (J1 , J2 ) of generalized complex
structures such that
(1) [J1 , J2 ] = 0,
(2) G = −J1 J2 defines a generalized metric.
The fundamental theorem of Gualtieri shows that Definitions 7.62 and 7.64 are
equivalent. Before showing this we record some further basic structure associated
to generalized Kähler structures as per Definition 7.64. In particular, given J1 , J2
a generalized Kähler structure, the generalized metric G = −J1 J2 determines an
isotropic splitting of E, and therefore an isomorphism E ∼= (T ⊕ T ∗ , [, ]H , h, i , π) for
3 ∗
a uniquely determined√H ∈ Λ T , dH = 0. We also obtain two maximal isotropic
subspaces L1 , L2 , the −1-eigenbundles of J1 , J2 , such that
(T ⊕ T ∗ ) ⊗ C = L1 ⊕ L1 = L2 ⊕ L2 .
Furthermore,
√ as J1 and J2 commute, L1 itself must admit a decomposition into
the ± −1-eigenspaces for J2 , yielding
+ −
(T ⊕ T ∗ ) ⊗ C = L+ −
1 ⊕ L1 ⊕ L1 ⊕ L1 .
Proof. To begin we define the relevant maps connecting the two definitions,
then prove that the integrability conditions are the same. We begin by mapping
a generalized Kähler pair (J1 , J2 ) on an exact Courant algebroid identified with
(T ⊕T ∗, [, ]H0 , h, i , π), to a biHermitian structure (g, b, I, J). Let G = −J1 J2 denote
the generalized metric associated to this pair. As described in §2.3, associated to
G is an eigenspace decomposition E = V+ ⊕ V− of E. Observe that since V+ is
positive definite for the neutral inner product, whereas T is a null space, it follows
that
π : V± → T
√
L+
1 = {X + (b − −1ωI )X| X ∈ TI1,0 },
(7.15) √
L−
1 = {X + (b + −1ωJ )X| X ∈ TJ1,0 }.
7.4. GENERALIZED KÄHLER GEOMETRY 153
Proof. It already follows as discussed above that σ has the claimed algebraic
structure, but we check this directly using the definition of σ. Given α, β ∈ T ∗ M ,
using that I anticommutes with the commutator [I, J], and that g is compatible
with I we obtain
√
σI2,0 (α, β) = σ(α, β) + −1σ(Iα, β).
Thus to√compute ∂ I σI2,0 it suffices to take the I-Chern derivative in the direction
of X + −1IX. We again refer to §8.1 for fundamental properties of the relevant
Chern connections associated to (g, I) and (g, J). Taking the real part of this it
suffices to check that
0=g ∇C,I
X [I, J] + I∇ C,I
IX [I, J] Y, Z
= g I∇X J − (∇X J)I + I I∇C,I
C,I C,I C,I
IX J − (∇IX J)I Y, Z
(7.16)
= − g (∇C,I
X J)Y, IZ − g (∇ C,I
X J)IY, Z
C,I C,I
− g (∇IX J)Y, Z + g (∇IX J)IY, IZ .
D E
(∇C,I
X J)(Y ), Z
Using that H is of type (2, 1)+ (1, 2) (cf. Lemma 7.68), one observes that A1 + A4 +
A9 +A12 = 0, A2 +A3 +A14 +A15 = 0, A5 +A8 +A13 +A16 = 0, A6 +A7 +A10 +A11 =
0, finishing the claim.
Now we can show that σ is a Poisson tensor. First note that P = πJ1 is a
Poisson tensor, and we have the type decomposition
P = PI2,0 + PI1,1 + PI0,2 = σI2,0 I + PI1,1 + σI0,2 I.
Since P is Poisson, item (1) of Lemma 7.42 holds for P , choosing the Levi-Civita
connection of an arbitrarily chosen metric. The (3, 0) piece of that equation has
terms of the form σI2,0 ⋆ ∇σI2,0 and also of the form PI1,1 ⋆ ∇σ 2,0 . Since σI2,0 is
I-holomorphic, the terms of the form PI1,1 ⋆ ∇σ 2,0 vanish, thus it follows that item
(1) of Lemma 7.42 holds for σI2,0 . Thus σI2,0 is Poisson, as is σ. A similar argument
holds for σJ2,0 .
7.4.3. Examples. We give here some fundamental examples of generalized
Kähler structure which will guide the discussion to follow.
Example 7.70. If (M 2n , g, J) is Kähler, it is clear that this also represents a
generalized Kähler structure with H0 = 0, b = 0 and I = ±J. Note from (7.14)
one has that one of the associated generalized complex structures comes from the
complex structure I = J as in Example 7.32, whereas the other is associated to the
Kähler form ω as in Example 7.33. Also, for this structure one has σ = 0.
Example 7.71. Let (Mi2ni , gi , Ki ), i = 1, 2 be two Kähler manifolds. Let
M = M1 × M2 , g = π1∗ g1 + π2∗ g2 . Note that each Ki defines in a natural way
an endomorphism of T Mi ⊂ T M , and thus we may define
K1 0 K1 0
I= , J= .
0 K2 0 −K2
It is easy to check that these define integrable complex structures on M , which more-
over are both compatible with g. One easily computes that dωI = dπ1∗ ω1 + dπ2∗ ω2 =
0 and dωJ = dπ1∗ ω1 − dπ2∗ ω2 = 0 (note the sign change due to the sign change in
the definition of J), and so this defines a generalized Kähler structure. Here again
the underlying pairs (g, I) and (g, J) are Kähler, but we will show in §7.4.4 below
how to deform this example in general to produce non-Kähler structures.
7.4. GENERALIZED KÄHLER GEOMETRY 157
Going further, this yields a splitting of all form spaces Λp,q . In particular, we define
∧p ∧r ∧q ∧s
1,0
Λp,q
r,s := Λ+ ∧ Λ1,0
− ∧ Λ0,1
+ ∧ Λ0,1 − .
Using the natural projection operators, it follows that there is a further refinement
of the exterior derivative d = ∂ + ∂ into
d : Λp,q p+1,q
r,s → Λr,s ⊕ Λp,q+1
r,s ⊕ Λp,q p,q
r+1,s ⊕ Λr,s+1
d = ∂+ + ∂ + + ∂− + ∂ − ,
where
∂+ = πp+1,q,r,s ◦ d, ∂ + = πp,q+1,r,s ◦ d,
∂− = πp,q,r+1,s ◦ d, ∂ − = πp,q,r,s+1 ◦ d.
A basic example of these structures occurs by taking products of Kähler mani-
folds and changing the orientations of some factors, as in Example 7.71. More gen-
erally we can take quotients of such examples to yield nontrivial, i.e. non-Kähler,
examples. The first such occurs on Hopf surfaces.
Definition 7.75. By definition, a Hopf surface is a compact complex sur-
face whose universal cover is biholomorphic to C2 \{0}. The surface is primary if
π1 (M ) = Z, and is otherwise secondary. For primary Hopf surfaces the fundamental
group is generated by
γ(z1 , z2 ) = (αz1 , βz2 + λz1m )
where 0 < |α| ≤ |β| < 1, and
(α − β m ) λ = 0.
The map γ is obviously a biholomorphism, and thus one obtains a well-defined
complex structure on the quotient, which by an exercise is always diffeomorphic
7.4. GENERALIZED KÄHLER GEOMETRY 159
gE (X, Y )
(7.17) g(X, Y )(z1 ,z2 ) = 2 2,
|z1 | + |z2 |
then the standard complex structure I on C2 \{0} can be expressed with respect to
the standard coordinate basis {∂x1 , ∂y1 , ∂x2 , ∂y2 } as the block diagonal matrix
J 0
I= .
0 J
This is easily checked to be integrable, and moreover the map γ(z1 , z2 ) = (αz1 , βz2 ),
the generator of the group of Deck transformations for the Hopf surface, is certainly
holomorphic for the complex structure J as well as I. It follows that both I and J
descend to the quotient surface.
We claim that if g denotes the metric of (7.17), then the triple (g, I, J) is
generalized Kähler. The compatibility of g with I and J is immediate. Note that I
and J commute, and so already we obtain the decomposition d = ∂+ +∂ + +∂− +∂ − ,
and we observe that
√ √
dcI = −1(∂ I − ∂I ) = −1(∂ − + ∂ + − ∂− − ∂+ ),
√ √
dcJ = −1(∂ J − ∂J ) = −1(∂ − − ∂ + − ∂− + ∂+ ).
Thus we compute
!
√ 1
dcI ωI = −1(∂ − + ∂ + − ∂− − ∂+ ) 2 2 (dz1 ∧ dz 1 + dz2 ∧ dz 2 )
|z1 | + |z2 |
√
−1
= 2 2 ((z2 dz 2 − z 2 dz2 )dz1 ∧ dz 1 + (z1 dz 1 − z 1 dz1 ) ∧ dz2 ∧ dz 2 )
(|z1 | + |z2 | )2
160 7. GENERALIZED COMPLEX GEOMETRY
and
!
√ 1
dcJ ωJ = −1(∂ − − ∂ + − ∂− + ∂+ ) (dz1 ∧ dz 1 − dz2 ∧ dz 2 )
|z1 |2 + |z2 |2
√
−1
= ((z 2 dz2 − z2 dz 2 ) ∧ dz1 ∧ dz 1 − (z1 dz 1 − z 1 dz1 ) ∧ dz2 ∧ dz 2 )
(|z1 |2 + |z2 |2 )2
= − dcI ωI ,
verifying that dcI ωI = −dcJ ωJ . We leave the computation that ddcI ωI = 0 to Propo-
sition 8.25. This example is notable since while every generalized Kähler manifold
with [I, J] = 0 admits an integrable splitting of the tangent bundle, the manifold
itself need not split as a product according to these leaves. Note that the S 1 leaves
are the projection of radial lines through the origin, the tangent space to which
does not lie in either T± .
A key structural feature of Kähler metrics is the √ ∂∂-lemma, which says that
locally every Kähler metric can be described as ω = −1∂∂f for a potential func-
tion f . It turns out that generalized Kähler metrics with vanishing Poisson tensor
also admit local scalar potentials [164], and potential functions determine natural
global deformations of generalized Kähler structures of this type [7].
Lemma 7.77. Let (M 2n , g, I, J) be a generalized Kähler manifold with [I, J] =
0. Given p ∈ M there exist local complex coordinates (z, w) such that T+ =
∂
span{ ∂z∂ i }, T− = span{ ∂w i } and a smooth function f defined in this coordinate
chart so that
√
ωI = −1 ∂+ ∂ + − ∂− ∂ − f.
Furthermore, given f ∈ C ∞ (M ), suppose
√
ωIf := ωI + −1 ∂+ ∂ + − ∂− ∂ − f > 0,
and let g f := ωIf (I, ·). Then (M 2n , g f , I, J) is a generalized Kähler structure.
Proof. Using Theorem 7.74 we can choose local complex coordinates (z, w)
near p as claimed in the statement. To derive f we first note that since d+ ω+ = 0, on
each w ≡ const
√ plane we can apply the usual ∂∂-lemma to obtain a function ψ+ (z)
such that −1∂+ ∂ + ψ+ = ω+ on that plane. Since ω+ is smooth, we can moreover
choose these on√ each slice so that the resulting function ψ+ (z, w) is smooth, and
thus satisfies −1∂+ ∂ + ψ+ = ω+ on all of√U . Arguing similarly on the z ≡ const
planes we obtain a function ψ− such that −1∂− ∂ − ψ− = ω− everywhere on U .
Using that ω is pluriclosed we obtain
√ √
0 = −1∂+ ∂ + ω− + −1∂− ∂ − ω+ = −∂+ ∂ + ∂− ∂ − (ψ+ + ψ− ) .
We next claim that, as an element in the kernel of the operator ∂+ ∂ + ∂− ∂ − , the
function ψ+ + ψ− , can be expressed as
(7.18) ψ+ + ψ− = λ1 (z, z, w) + λ1 (z, z, w) + λ2 (w, w, z) + λ2 (w, w, z).
To see this we first note that for φ such that ∂+ ∂ + ∂− ∂ − φ = 0, any component
of ∂− ∂ − φ can be expressed as the real part of a ∂ + -holomorphic function, so
(∂− ∂ − φ)wi wj = µij (w, w, z) + µij (w, w, z), where the indices on the µ refer to
the fact that each component of the ∂− ∂ − -Hessian can be expressed this way. It
7.4. GENERALIZED KÄHLER GEOMETRY 161
√
follows that ∆− φ := −1φ,wi wi is the real part of a ∂ + -holomorphic function.
Applying the Greens function on each z-slice it follows that φ can be expressed
as the real part of a ∂ + -holomorphic function, up to the addition of an arbitrary
∂ − -holomorphic function. Thus (7.18) follows.
We√ claim that f = ψ+ −λ2 −λ2 is the required
√ potential function. In particular,
since −1∂+ ∂ + λ2 + λ2 = 0 it follows that −1∂+ ∂ + f = ω+ . Also, we compute
using (7.18),
√ √
− −1∂− ∂ − f = − −1∂− ∂ − −ψ− + λ1 + λ1
√
= −1∂− ∂ − ψ−
= ω− .
The first claim follows.
To show the second claim we first observe that
√
ωJf := ωJ + −1 ∂+ ∂ + + ∂− ∂ − f.
It is clear by construction that d± (ωIf )± = d± (ωJf )± = 0. Also, since I = J along
the leaves of T− , we have (dcI )− = (dcJ )− , while (ωIf )+ = −(ωJf )+ , so
dcI (ωIf )+ = (dcI )− (ωIf )+ = −(dcJ )− (ωJf )+ = −dcJ (ωJf )+ .
A similar computation shows that dcI (ωIf )− = −dcJ (ωJf )− . It is elementary to check
ddcI ωIf = 0, finishing the proof.
Question 7.78. The natural global analogue of this scalar reduction is still
open. Given (M 2n , g, I, J) a compact generalized Kähler manifold such that [I, J] =
0, suppose one has φ1 , φ2 ∈ Λ2 T ∗ such that
(1) φi ∈ Λ1,1 1,1
I ∩ ΛJ ,
(2) d+ φ+ = 0 = d− φi− ,
i
(3) ddcI φi = 0,
(4) [φ1 ] = [φ2 ],
where the final equality is an equation of Aeppli cohomology classes (cf. Definition
9.14) on (M 2n , I) (equivalently J). Conjecturally there exists f ∈ C ∞ (M ) such
that
√
φ1 = φ2 + −1 ∂+ ∂ + − ∂− ∂ − f.
Remark 7.79. Lemma 7.77 shows that a generalized Kähler metric is deter-
mined by a local potential function in the special case [I, J] = 0. These local
potentials conjecturally exist in full generality, with suggestive results appearing in
[17, 129] dealing with most cases.
7.4.5. Generalized Kähler manifolds with nondegenerate Poisson struc-
ture. The other extreme case of generalized Kähler geometry occurs when the
Poisson structure σ defines a nondegenerate pairing on T ∗ . In this setting we can
consider the inverse tensor Ω = σ −1 . We make this definition for an arbitrary gen-
eralized Kähler structure, where one interprets it as existing on the locus where σ
is invertible.
Definition 7.80. Let (M 2n , g, I, J) be a generalized Kähler structure, with
associated Poisson tensor σ as in Definition 7.67. We set
Ω = σ −1 ,
162 7. GENERALIZED COMPLEX GEOMETRY
This is a real symplectic form which, by condition (2), tames the complex structure
I. We thus obtain
(7.19) F (X, IY ) = g(X, Y ) + b(X, Y ),
as the decomposition of −IF into its symmetric part, which is positive, and a skew-
symmetric part b. Now observe, using that Ω is type (2, 0) + (0, 2) with respect to
I, that
F I = 2(IΩI − JΩI) = 2(Ω + JIΩ) = JF.
It is an exercise to show using this that g is J-invariant, and furthermore
(7.20) F (X, JY ) = g(X, Y ) − b(X, Y ).
Having constructed the metric and shown that it is biHermitian, we turn to the
integrability condition.
I J
First, let ωI = π1,1 F and ωJ = π1,1 F denote the Kähler forms of (g, I) and
(g, J), respectively. Note that we can re-express (7.19) and (7.20) as
F = ωI + Ib = ωJ − Jb.
Since F is closed we obtain
dωI = −dIb ∈ ΛI2,1+1,2 , dωJ = dJb ∈ ΛJ2,1+1,2 .
Carrying out the pairing with the complex structure and using the type decompo-
sition, it follows that
dcI ωI = db, dcJ ωJ = −db,
as required.
With this description in place we are now ready to exhibit a natural class of
deformations of nondegenerate generalized Kähler structures.
Proposition 7.83. Let (M 2n , g, I, J) be a nondegenerate generalized Kähler
manifold. Let ft ∈ C ∞ (M ) be a one-parameter family of smooth functions M , and
let Xft be the one-parameter family of Ω-Hamiltonian vector fields associated to ft ,
i.e.
dft = − Xft y Ω.
Let φt be the one-parameter family of diffeomorphisms of M generated by Xf . Then
for all t such that
I
π1,1 −Im(Ωφ∗t J ) > 0,
the triple (I, φ∗t J, Ω) are the complex structures and symplectic structure associated
to a unique nondegenerate generalized Kähler structure.
Proof. For the given nondegenerate generalized Kähler structure, we first
construct the (2, 0) pieces of Ω via
√ √
ΩI = Ω + −1IΩ, ΩJ = Ω + −1JΩ.
For φt as in the statement, let (ΩJ )t = φ∗t (ΩJ ). The pair (φ∗t J, φ∗t ΩJ ) is certainly
holomorphic symplectic, and since φt is Ω-Hamiltonian, it follows that
√ √
(ΩJ )t = φ∗t (Ω + −1JΩ) = Ω + −1(φ∗t J)Ω.
Thus Re((ΩJ )t ) = Re(ΩI ) for all t, and the result follows from Proposition 7.82.
164 7. GENERALIZED COMPLEX GEOMETRY
Remark 7.84. (1) Observe that while the complex structure J is acted
on by a diffeomorphism, the metric gt will be expressed as per Proposition
7.82) via
gt = −2Im(Ωφ∗t J )I,
which is not a diffeomorphism pullback, and so these deformations are in
general nontrivial for g.
(2) This proposition is directly analogous to the ∂∂-lemma in Kähler geome-
try, whereby a single scalar function naturally determines a deformation
of Kähler structure. However, as remarked above, the scalar potentials
drive a one-parameter family of Hamiltonian diffeomorphisms, and so we
do not in general have an explicit description of gt in terms of ft alone,
rather it is determined by the whole path fs , 0 ≤ s ≤ t.
(3) Even when starting at a hyperKähler structure, as long as the functions f
are not constant the deformation arising from Proposition 7.83 will yield
structures which are not hyperKähler. This can be checked by showing
1
that the angle function p = − 4n tr(IJt ) becomes nonconstant, ruling out
that the structure is hyperKähler.
7.4.6. Generalized Kähler structures with Poisson tensor of mixed
rank. In general, the rank of the associated Poisson tensor σ can vary across the
manifold. Our first example of this is a different generalized Kähler structure on
diagonal Hopf surfaces, where the Poisson tensor σ is nondegenerate away from a
set of real codimension 2.
Example 7.85. Let (g, I) denote the metric and complex structure as in Ex-
ample 7.76. Whereas in that example the complex structure J was easily obtained
by changing orientation on the z2 plane, here the second complex structure J is
quite different. Consider the complex 1-forms on M ,
µ1 = z 1 dz1 + z2 dz 2 ,
µ2 = z 1 dz2 − z2 dz 1 .
The complex structure J is defined by declaring TJ0,1 = ker µ1 ∩ker µ2 . This is indeed
integrable, as direct computations show that dµ1 ∧ µ1 ∧ µ2 = dµ2 ∧ µ1 ∧ µ2 = 0.
The plane spanned by µ1 , µ2 is easily checked to be isotropic with respect to g −1 ,
hence g is compatible with J. Further direct computations yield
√
−1
ωJ = 2 2 (µ1 ∧ µ1 + µ2 ∧ µ2 ) .
(|z1 | + |z2 | )2
Using this the integrability condition dc ωI = −dc ωJ can be checked by a tedious
but straightforward computation.
We can interpret the standard complex structure I analogously via TI0,1 =
ker dz1 ∩ker dz2 . This makes clear that on the elliptic curve {z2 = 0}, one has I = J,
whereas along the elliptic curve {z1 = 0}, one has I = −J. It follows that σ has rank
4 away from these two elliptic curves, where it has rank 0. Furthermore, observe
that the Hopf metric is compatible with the standard hypercomplex structure on
C2 , but that the complex structure J is not part of this hypercomplex structure.
By adapting the methods of the previous subsection we can produce deforma-
tions of this structure by taking the vanishing locus of σ into account explicitly.
7.4. GENERALIZED KÄHLER GEOMETRY 165
Having defined the basic objects and deformations in pluriclosed and gener-
alized Kähler geometry, we now turn to the question of motivating and defining
notions of canonical pluriclosed and generalized Kähler structures. We begin by
taking the classical point of view, defining connections associated to a given Her-
mitian manifold, then analyzing their torsion and curvature. We use this to define
an Einstein-type equation for certain Hermitian metrics, and then show that these
structures define generalized Ricci solitons. We end the chapter by giving examples
and classification results for these structures.
Also, it is useful to express the Chern connection in terms of the Bismut torsion.
Using that dc ω(X, Y, Z) = −dω(JX, JY, JZ) we obtain
(8.1) ∇C 1 c
X Y, Z = h∇X Y, Zi + 2 d ω(X, JY, JZ).
(1) The Chern connection is the unique Hermitian connection such that
T 1,1 ≡ 0,
T g ∈ Λ3 T ∗ .
Proof. Exercise.
T = ∂ω ∈ Λ2,1
for the (2, 1) piece of the torsion tensor of the Chern connection, while
H = −dc ω ∈ Λ3
Remark 8.4. Note that of course the connection ∇B is the same as the Bismut
connection ∇+ of Definition 3.12, with H = −dc ω. We keep the notation ∇B in
the context of Hermitian geometry to emphasize the distinction between it and the
Chern connection, and also since a ± duality appears in relation to many other
constructions as well. Furthermore, in the context of generalized Kähler geometry,
we see that the two Bismut connections ∇± associated to H = −dcI ωI = dcJ ωJ are
in fact the Bismut connections associated to the two pluriclosed structures (g, I)
and (g, J). Here again we will adopt specialized notation and name the associated
Bismut connections ∇I and ∇J , i.e.
θ = −d∗ ω ◦ J.
We furthermore adopt the standard notation for the (4, 0)-curvature tensor,
RB,C (X, Y, Z, W ) = RB,C (X, Y )Z, W .
It is an elementary exercise to show that
RB ∈ Λ2 ⊗ Λ1,1 , RC ∈ Λ1,1 ⊗ Λ1,1 ,
where RC is type (1, 1) in the first indices due to the torsion having no (1, 1)
component.
As with the Riemannian curvature tensor, there is only one natural trace (up
to sign), yielding the Ricci tensor. We have already derived a formula for the
Bismut Ricci curvature tensor in Proposition 3.18. In the complex setting, due to
the complex structure many different traces are possible, and several are relevant
to the sequel.
Definition 8.8. Let (M 2n , g, J) be a Hermitian manifold. Let
ρB,C (X, Y ) := 1
2 RB,C (X, Y )Jei , ei ,
SB,C (X, Y ) := 1
2 RB,C (Jei , ei )X, Y ,
where {ei } is any orthonormal basis for the tangent space at a given point. The ten-
sors ρB,C are referred to as the (first) Bismut/Chern Ricci curvatures, and SB,C are
the (second) Bismut/Chern Ricci curvatures. Furthermore we define the associated
Bismut/Chern scalar curvatures
sB,C = ρB,C (Jei , ei ) = SB,C (Jei , ei ).
The tensors ρB,C admit a different interpretation which makes clearer their
topological significance. Since the connections ∇B,C preserve J, it is clear that they
induce connections on Λn,0 T , the anticanonical line bundle associated to (M 2n , J).
The two forms ρB,C are the curvature tensors of these connections, and as such are
170 8. CANONICAL METRICS IN GENERALIZED COMPLEX GEOMETRY
closed and determine representatives of πc1 (M, J). Furthermore, as noted above,
for Kähler manifolds both the Chern and Bismut connections agree with the Levi-
Civita connection, and moreover the tensors ρ and S are equal to each other, and
satisfy
ρ(X, Y ) = S(X, Y ) = Rc(JX, Y ) = − Rc(X, JY ).
In the general non-Kähler setting the tensors ρB,C and SB,C are all different, but
useful for different purposes. In the lemmas below we derive relationships between
these different Ricci-type tensors needed for the sequel (cf. [107] for related formu-
las, although with different conventions).
Lemma 8.9. Let (M 2n , g, J) be a pluriclosed structure. Then
ρB (X, Y ) = dd∗ ω(X, Y ) + ρC (X, Y ),
(8.2)
ρB (X, Y ) = − RcB (X, JY ) − ∇B
X θ(JY ).
Proof. To compute the first item of (8.2) it suffices to compute the induced
connection on the canonical bundle. To that end we compute, using (8.1) and
Lemma 8.6,
(∇B − ∇C )X Jei , ei = − 21 dc ω(X, Jei , ei ) − 12 dc ω(X, JJei , Jei )
= − dc ω(X, Jei , ei )
= 2d∗ ω(X).
Using this and the definitions of ρB,C gives the first item of (8.2). For the second
item of (8.2) we first use the Bianchi identity for RB with H = −dc ω, specifically
combining (3.24) and (3.26), to obtain
X
RB (X, Y, Z, U )
σ(X,Y,Z)
X
= H(H(X, Y ), Z, U ) + (∇B
X H)(Y, Z, U )
σ(X,Y,Z)
X
= {H(H(X, Y ), Z, U ) − 2g(H(X, Y ), H(Z, U ))} + (∇B
U H)(X, Y, Z)
σ(X,Y,Z)
X
= (∇B
U H)(X, Y, Z) − g(H(X, Y ), H(Z, U )).
σ(X,Y,Z)
1
Adding back 2 times (3.26) and using dH = 0 yields
(8.3)
X X
RB (X, Y, Z, U ) = 1
2
(∇B B
X H)(Y, Z, U ) + (∇U H)(X, Y, Z) .
σ(X,Y,Z) σ(X,Y,Z)
Tracing the left hand side of this over Z and U with respect to J and using that
RB takes values in (1, 1) forms, we obtain
RB (X, Y, ei , Jei ) + RB (Y, ei , X, Jei ) + RB (ei , X, Y, Jei )
= − 2ρB (X, Y ) − RB (Y, ei , JX, ei ) − RB (ei , X, JY, ei )
= − 2ρB (X, Y ) + RcB (Y, JX) − RcB (X, JY ).
8.1. CONNECTIONS, TORSION, AND CURVATURE 171
Also, the right hand side of (8.3), when traced over Z and U with respect to J
yields
1
2 (∇B B B B
X H)(Y, ei , Jei ) + (∇Y H)(ei , X, Jei ) + (∇ei H)(X, Y, Jei ) + (∇Jei H)(X, Y, ei )
= 21 (∇B 1 B
X H)(Y, ei , Jei ) + 2 (∇Y H)(ei , X, Jei )
= ∇B B
X θ(JY ) − ∇Y θ(JX),
where the last line follows from Lemma 8.6. Putting these computations together
yields
(8.4) −2ρB (X, Y ) + RcB (Y, JX) − RcB (X, JY ) = −∇B B
Y θ(JX) + ∇X θ(JY ).
− 21 ∇B 1 B
ei H(Y, X, Jei ) + 2 ∇Y H(ei , X, Jei )
= − ∇B B
X θ(JY ) − ∇Y θ(JX).
(8.7) ρ1,1 1 2 1
B (·, J·) = Rc − 4 H + 2 Lθ ♯ g,
2,0+0,2 B
ρB (·, J·) = − 12 d∗ H + 21 d∇ θ.
Proof. The first item is left as an exercise. For the second item we compute
using Lemma 8.9,
ρ1,1
B (X, JY ) =
1
2 (ρB (X, JY ) − ρB (JX, Y ))
= 1
2 RcB (X, Y ) + ∇B B B
X θ(Y ) + Rc (JX, JY ) + ∇JX θ(JY ) .
To show the last claim we again use Lemma 8.9 and line (8.5) and compute
2,0+0,2
ρB (X, Y ) = 12 ρB (X, Y ) − ρB (JX, JY )
= − 21 RcB (X, JY ) + ∇B B B
X θ(JY ) + Rc (JX, Y ) + ∇JX θ(Y )
= 12 RcB (Y, JX) − RcB (JX, Y ) + ∇B B
Y θ(JX) − ∇JX θ(Y )
B
= 12 d∗ H(JX, Y ) − 21 d∇ θ(JX, Y ),
where the last line follows using Proposition 3.18. The final claimed formula follows
easily from this.
be constant by the maximum principle. For these reasons we focus here only on
the equation ρB = 0.
Lemma 8.13. Let (M 2n , J) be a complex manifold. The Bismut Hermitian-
Einstein equation is a strictly elliptic equation for a pluriclosed metric g.
Proof. Using the first equation of Proposition 8.10, we can rewrite the (1, 1)
piece of the Bismut Hermitian-Einstein equation as
SC − Q = 0.
Since Q is a first-order differential operator in g, and ω is zeroth order in g, we
only need to consider the quantity SC . In local complex coordinates the Chern
connection has Christoffel symbols
Γkij = g lk ∂i gjl ,
and then one directly computes the curvature
√ √ √
(SC )ij = −1g lk Rklij
C
= − −1g lk gjm ∂l Γm lk ⋆2
ki = − −1g ∂l ∂k gij + ∂g ,
which is manifestly a strictly elliptic operator for g, and the lemma follows.
The next proposition indicates the key linkage between the Bismut Hermitian-
Einstein condition and the generalized Ricci flow, namely that Bismut Hermitian-
Einstein structures are automatically steady generalized Ricci solitons.
Proposition 8.14. Let (M 2n , g, J) be Bismut Hermitian-Einstein. Then (g, H)
is a steady generalized Ricci soliton with X = θ♯ , B = dθ − iθ♯ H.
Proof. Pairing the (1, 1) part of the Bismut Hermitian-Einstein equation with
J and using the second equation of (8.7) gives
Rc − 41 H 2 + 21 Lθ♯ g = 0,
which is the metric component of the steady generalized Ricci soliton equation with
2,0+0,2
vector field X = θ♯ . Using the vanishing of ρB and the third equation of (8.7)
we obtain
B
0 = d∗ H − d∇ θ = d∗ H − dθ + iθ♯ H.
Thus we have verified the equations (4.14) of Proposition 4.28 for X = θ♯ and
B = dθ − iθ♯ H, as claimed.
8.2.2. Bismut Ricci curvature in generalized Kähler geometry. In this
subsection we derive explicit formulas for the Bismut Ricci curvature of a general-
ized Kähler manifold. A central role is played by a natural scalar quantity associated
to a generalized Kähler structure:
Definition 8.15. Let (E, [, ], h, i) be an exact Courant algebroid. Suppose
(J1 , J2 ) is a generalized Kähler structure defined by pure spinors ψ1 , ψ2 . The
Bismut Ricci potential is
(ψ1 , ψ 1 )
Φ = log ,
(ψ2 , ψ 2 )
where (, ) is the Mukai pairing (cf. §7.1.3).
174 8. CANONICAL METRICS IN GENERALIZED COMPLEX GEOMETRY
As holomorphic line bundles over M , these have first Chern classes with respect
to the complex structure I, and we refer to these as c± 1 := c1 (K± , I). Given
a Hermitian metric g on M , we obtain induced metrics on K± , and therefore
representatives of c±
1 . We refer to these curvature representatives as
ρ± = ρC (g, K± , I).
These curvature tensors are real two-forms of type (1, 1) with respect to I. It will
be useful for us to refer to the different components of these curvature operators
with respect to the decomposition induced by T = T+ ⊕ T− . In particular we set
ρ+
± = πΛ1,1 T±
+
∗ρ , ρ−
± = πΛ1,1 T±
−
∗ρ .
Proof. The proof of (8.9) is left as a fairly lengthy but straightforward exer-
1,1
cise. The simplest way is to derive a general formula for ρB in arbitrary complex
coordinates, choose split coordinates as per Lemma 7.77, and then compare against
the usual formula for the curvature of a determinant line bundle. See [165, Propo-
sition 3.2] for details.
To check (8.10), we use the definitions as well as the transgression formula for
the first Chern class (Proposition 8.16) to compute
n o n o
P (h) − P (eh) = ρ+ (h+ ) − ρ+ (eh+ ) − ρ− (h+ ) − ρ− (e h+ )
n o n o
+ ρ− (h− ) − ρ− (e
h− ) − ρ+ (h− ) − ρ+ (e h− )
( ) ( )
√ h ∧k √ h ∧k
(ω+ ) (ω+ )
= πΛ1,1∗ − −1∂∂ log e − πΛ1,1∗ − −1∂∂ log e
T
+ (ω+h )∧k T
−
h )∧k
(ω+
( ) ( )
√ h ∧l √ h ∧l
(ω− ) (ω− )
+ πΛ1,1∗ − −1∂∂ log e − πΛ1,1∗ − −1∂∂ log e
T
− (ω− h )∧l T
+ (ω− h )∧l
e
√ (ω h )∧k ∧ (ω−h l
)
= − −1 ∂+ ∂ + − ∂− ∂ − log e+ ,
h h
(ω+ ) ∧ (ω− )∧l
∧k
as claimed.
The formula can in fact be globalized in case the split canonical bundles admit
global sections. We do this next, summarizing the computations above.
Proof. A computation using (7.14) shows that the two associated generalized
complex structures are generated by the pure spinors
√ √
−1ω−
ψ1 = e ∧ Ω+ , ψ2 = e− −1ω+
∧ Ω− .
It follows that Φ takes the claimed form. We note that by Lemma 8.18, we have
θJ − θI = 0, and also σ = 0 by definition, so the claimed torsion formula follows
immediately. (We have chosen to express the result of Lemma 8.18 in this seem-
ingly overcomplicated way to draw a similarity to the nondegenerate case below).
Furthermore, by Proposition 8.20 it follows that
√ ω−∧l
∧ Ω+ ∧ Ω+
(ρIB )1,1 = − −1 ∂+ ∂ + − ∂− ∂ − log ∧k
ω + ∧ Ω− ∧ Ω−
1 1,1
= − 2 (dJdΦ)I .
Checking the (2, 0) + (0, 2) piece of the Bismut Ricci curvature formula is left as an
exercise.
Next we address the nondegenerate setting, where it turns out that once again
the quantity Φ determines several key formulas relevant to the Lee forms and Bismut
Ricci curvature, and in fact will determine the generalized Kähler-Ricci flow lines
in this setting (cf. §9.3).
Proposition 8.23. Let (M 2n , g, I, J) be a nondegenerate generalized Kähler
manifold. Then one has
det(I + J)
Φ = log .
det(I − J)
and
♯
(θI − θJ ) = σdΦ,
ρIB = − 21 dJdΦ.
By comparing the discusion of the Ricci curvature in the Kähler setting, and
the results of Proposition 8.22 and 8.23, the general formula is now apparent. We
give the statement here, the proof of which can be obtained by a combination
of the different cases above. This can be thought of as a generalization of the
classical transgression formula for the Ricci curvature on a Kähler manifold to the
generalized Kähler setting.
178 8. CANONICAL METRICS IN GENERALIZED COMPLEX GEOMETRY
(θI − θJ )♯ = σdΦ,
ρIB = − 21 dJdΦ.
Proof. The invariance under γ is easily computed using |α| = |β|. Next we
can compute
√
−1
ω= 2 2 (dz1 ∧ dz 1 + dz2 ∧ dz 2 ) ,
|z1 | + |z2 |
hence
√
−1 2 2
dω = − 2 d |z1 | + |z2 | ∧ (dz1 ∧ dz 1 + dz2 ∧ dz 2 )
|z1 |2 + |z2 |2
√
−1
= − 2 [(z 2 dz2 + z2 dz 2 ) ∧ dz1 ∧ dz 1 + (z 1 dz1 + z1 dz 1 ) ∧ dz2 ∧ dz 2 ]
2 2
|z1 | + |z2 |
8.3. EXAMPLES AND RIGIDITY RESULTS 179
dc ω = − dω(J1 , J1 , J1 )
1
= − 2 [(z 2 dz2 − z2 dz 2 ) ∧ dz1 ∧ dz 1 + (z 1 dz1 − z1 dz 1 ) ∧ dz2 ∧ dz 2 ] .
2 2
|z1 | + |z2 |
Thus lastly
2
2 2
ddc ω = 3 d |z1 | + |z2 | ∧
2 2
|z1 | + |z2 |
[(z 2 dz2 − z2 dz 2 ) ∧ dz1 ∧ dz 1 + (z 1 dz1 − z1 dz 1 ) ∧ dz2 ∧ dz 2 ]
4
+ 2 [dz1 ∧ dz 1 ∧ dz2 ∧ dz 2 ]
2 2
|z1 | + |z2 |
= 0,
Proof. Using the curvature identities of Proposition 8.10, we see that the
condition ρ1,1
B ≡ 0 implies the equations
0 = Rc − 41 H 2 + 12 Lθ♯ g,
(8.12)
0 = dd∗ H + 21 Lθ♯ H.
However, since the real dimension is 4 we may apply Lemma 8.6 to conclude that
⋆θ = H and thus θ♯ yH = 0. Thus dd∗ H = 0, and by pairing with H and integrating
by parts we conclude d∗ H = 0. Thus H is harmonic, and using again that ⋆θ = H it
follows that θ is harmonic. Using the Bochner formula for 1-forms and integrating
180 8. CANONICAL METRICS IN GENERALIZED COMPLEX GEOMETRY
However we further observe, using that the Lee form is divergence-free since the
metric is pluriclosed,
Z Z
Lθ♯ g(θ, θ)dVg = (∇i θj + ∇j θi ) θi θj dVg
M M
Z
=2 ∇i θj θj θi dVg
M
Z
2
= ∇i |θ| θi dVg
M
Z
2
= − |θ| ∇i θi dVg
M
= 0.
Plugging this into (8.13) we conclude that ∇θ = 0. If θ vanishes, then the metric
is Kähler, and Ricci flat, yielding case (1). Assuming θ 6= 0, we have found a
nontrivial parallel vector field. By the de Rham decomposition theorem, it follows
that the universal cover with the pullback Hermitian structure splits isometrically
as a product N × R. It follows that H = ⋆θ is a multiple of the volume form on
N , and so examining the curvature equation of 8.12, it follows that the slice has
constant positive Ricci curvature, and is thus isometric to a multiple of the round
3-sphere. It follows that the original structure (M 4 , g) is isometric to a quotient of
(S 3 × S 1 , gS 3 ⊕ λgS 1 ) for an appropriate constant λ.
In particular, it follows that (M 4 , J) is a Hopf surface. To obtain the precise
complex structure, we note that, as a Hopf surface, it is first of all covered by a
primary Hopf surface, and the universal cover is biholomorphic to C2 \{0}. We lift
the metric, which is now cylindrical, to this space. The unit vector tangent to the
∂
S 1 factor lifts to a global coordinate vector field ∂t . Setting r = et , we obtain the
∂
radial vector field r ∂r , as well as an associated flat metric g0 = r−2 g. Furthermore,
the generator of the fundamental group takes the form
where (s, p) ∈ R × S 3 , and ψ ∈ SO(4), as the map must preserve the cylindrical
metric. Since γ is also a biholomorphism, it follows that in fact ψ ∈ U (2). The map
ψ will be conjugate to an element of the maximal torus in U (2), in other words is
conjugate to a map
Remark 8.43. Theorem 8.42 can be used to give a precise description of all
compact Bismut flat Hermitian manifolds of complex dimension n = 2, 3. In par-
ticular, in complex dimension n = 2 one recovers the standard Hopf surfaces as
described in Theorem 8.26. Of course the result of Theorem 8.26 is stronger, giv-
ing a classification among the a priori larger class of Bismut-Ricci flat metrics.
In
complex dimension 3, the universal cover is either a product of C2 \{0} × C, with
metric a product of the Hopf metric (7.17) and the flat metric, or a central Calabi-
Eckmann manifold, defined as SU (2) × SU (2) with left-invariant complex structure
and bi-invariant metric.
Question 8.44. What further restrictions apply if we ask that a Bismut flat
pluriclosed metric is also part of a generalized Kähler structure? Note that as
observed in §7.4.3, the Hopf metric is part of a generalized Kähler structure in two
distinct ways. Furthermore, the Calabi-Eckmann metrics are compatible with a
commuting-type generalized Kähler structure, with the second complex structure
given by changing the orientation on the T 2 fiber.
Question 8.45. Note that the final stage of the proof of Theorem 8.26 identifies
the possible complex structures compatible with a particular flat Bismut connec-
tion. It is natural to ask this question in higher dimensions: given an even dimen-
sional Bismut flat structure (M 2n , g, H), can we describe all complex structures J
(necessarily left-invariant) which are compatible with g, and satisfy ∇B J ≡ 0?
CHAPTER 9
185
186 9. GENERALIZED RICCI FLOW IN COMPLEX GEOMETRY
R
But if η was the Kähler form associated to a metric h one would have M η =
Vol(h) > 0. It follows that the Kähler cone is precisely the half-line {λ[ω] | λ > 0}.
The structure of the Kähler cone plays a fundamental role in understanding
the singularity formation of the Kähler-Ricci flow, and first of all gives an upper
bound for the possible smooth existence time of the flow.
Lemma 9.6. Let (M 2n , g0 , J) be a complex manifold with Kähler metric. Let
τ ∗ (g0 ) := sup{t ≥ 0 | [ω0 ] − tc1 ∈ K},
and let T denote the maximal smooth existence time for the Kähler-Ricci flow with
initial condition g0 . Then T ≤ τ ∗ (g0 ).
In view of this lemma, the natural question arises which is, given a Kähler
metric g0 , is τ ∗ (g0 ) the maximal existence time of the flow? In other words, is the
flow smooth until the Kähler class reaches the boundary of the Kähler cone? The
answer is yes, and this is proved in Theorem 9.62 below.
of time by a factor of 2). Another interesting aspect of the flow (9.2) is that, if we
fix H̃0 ∈ Λ3,0+2,1 , dH̃0 = 0, then the condition
∂ωt + dβt = H̃0
is preserved along the flow. Thus, pluriclosed flow can be regarded as a natural
flow for metrics on a fixed holomorphic Courant algebroid, as defined in §7.3.3.
Proposition 9.8. Let (M 2n , gt , J) be a solution to pluriclosed flow. Then
(1) The associated Kähler forms ωt satisfy
∂ ∗
ω = −∂∂ω∗ ω − ∂∂ ω ω − ρC (ω).
∂t
(2) The associated Kähler forms ωt satisfy
∂
(9.3) ω = −SC + Q,
∂t
where Q is as in (8.6).
(3) The associated pairs (gt , bt ) satisfy
∂
g = − Rc + 14 H 2 − 12 Lθ♯ g,
(9.4) ∂t
∂
b = − 21 d∗ H + 12 dθ − 21 iθ♯ H.
∂t
In particular, pluriclosed flow is a solution of (−θ♯ , dθ)-gauge-fixed gener-
alized Ricci flow (cf. 4.13).
(4) The associated generalized metrics G = G(gt , bt ) on (T ⊕ T ∗ , h, i , [, ]H0 , π)
satisfy
∂
G −1 G ◦ π− = −Rc+ (G, div) ◦ π− ,
∂t
where div = divG −2 hθ, i.
Proof. The first equivalence follows directly by projecting the first equation
from Lemma 8.9 onto the (1, 1) component. The second formulation follows directly
from Proposition 8.10. For the third formulation, the evolution equation for the
metric follows directly from Proposition 8.10, where the evolution equation for b
follows from the third equation of Proposition 8.10 and the computations of Propo-
sition 8.14. As for the last formulation, it follows from (3) and direct application
of Proposition 4.24.
Corollary 9.9. Let (M 2n , gt , J) be a solution to pluriclosed flow, and let φt
denote the one-parameter family of diffeomorphisms generated by 12 θt♯ . Then for all
t such that gt and φt are defined, let
gt′ = φ∗t gt , Ht′ = φ∗t Ht , Jt′ = φ∗t J
Then (gt′ , Ht′ ) is a solution of generalized Ricci flow, and Jt′ satisfies
∂ ′
J = 12 Lθ♯ J ′ = 21 ∆J ′ + Rm′ ⋆H ′ + H ′ ⋆ H ′ .
∂t
Proof. The claim that (gt′ , Ht′ ) is a solution of generalized Ricci flow is a direct
consequence of (9.4) and the naturality properties of Lie derivatives. The claim that
∂ ′ 1 ′
∂t J = 2 Lθ ♯ J also follows by definition. The final formula is an exercise using
properties of the Lee form on complex manifolds with pluriclosed metric.
9.2. PLURICLOSED FLOW 189
Remark 9.10. The fact that the Lie derivative operator Lθ♯ J is actually a
heat operator in disguise is an interesting feature of pluriclosed flow, which plays
an essential role in the generalized Kähler-Ricci flow to come. An explicit formula
for the lower-order terms Rm ⋆H and H ⋆ H was computed in [169, Proposition
3.1], although it is quite unwieldy. It would be interesting to derive estimates for
the pluriclosed flow directly from this formula.
Remark 9.11. In view of Corollary 9.9, it is natural at times to express pluri-
closed flow explicitly as a solution to generalized Ricci flow. The system of equations
indicated there is
∂
g = − Rc + 41 H 2 ,
∂t
∂
(9.5) b = − 12 d∗g H,
∂t
∂
J = 12 Lθ♯ J,
∂t J
At times we will refer to solutions to this system also as “pluriclosed flow,” even
though it is related to the original definition by a nontrivial gauge transformation.
Remark 9.12. Item (2) of Proposition 9.8 expresses pluriclosed flow in terms
of the second Ricci curvature of the Chern connection, denoted SC in Definition
8.8, and a certain quadratic expression Q in the torsion of the Chern connection.
Thus the pluriclosed flow fits into a general family of geometric flows of Hermitian
metrics introduced in [168], which take the form
∂
ω = − SC + Q,
∂t
where Q is an arbitrary quadratic expression in the torsion. This general family
of equations is referred to as Hermitian curvature flow. Fundamental analytic
properties such as short-time existence, smoothing estimates, and stability results
were shown for this family of flows in [168]. Furthermore, a certain expression for
Q was identified from the point of view of seeking a fixed-point equation for the
flow which arises as the Euler-Lagrange equation for a Hilbert-type functional in
the context of Hermitian geometry.
Given the rich variety within Hermitian geometry, it seems natural to expect
that different choices of Q may be better suited for different questions. In particular,
recent work of Ustinovskiy [181] identifies a particular choice of Q such that the
resulting flow preserves nonnegative holomorphic bisectional curvature, yielding
a natural extension of the classic Frankel conjecture. This flow is also related to
recent work on the Hull-Strominger system [63]. Also Lee [123] has shown that with
Q = 0 the flow can be used to show that compact complex manifolds admitting a
metric of non-positive bisectional curvature and nonpositive Chern-Ricci curvature
which is negative at one point have ample canonical bundle. In a different direction,
flowing a Hermitian metric by the Chern-Ricci curvature directly has been explored
in [83, 179].
9.2.2. Short-time existence. The proposition below establishes short-time
existence for pluriclosed flow for smooth initial data on compact manifolds.
Proposition 9.13. Given M a smooth compact manifold and (g, H, J) a pluri-
closed structure, there exists a unique maximal solution (gt , Ht , J) to pluriclosed
190 9. GENERALIZED RICCI FLOW IN COMPLEX GEOMETRY
flow with this initial condition on [0, T ) for some T ∈ R ∪ {∞}. Also, if g0 is
Kähler then Ht ≡ 0, and gt is the unique solution to Kähler-Ricci flow with initial
condition g.
Proof. Using Proposition 9.8 and the expression for the Chern curvature in
complex coordinates we see that the pluriclosed flow can be expressed as
∂
ω = − (SC )ij + Qij
(9.6) ∂t ij
= g qp ∂p ∂q ωij + ∂ω ⋆ ∂ω.
This is a strictly parabolic equation on the open cone of positive tensors in the linear
space of pluriclosed (1, 1)-forms, and so by the theory of strictly parabolic PDE we
can obtain unique short-time solution on compact manifolds. If g0 is Kähler, then
let e
gt denote the unique solution of Kähler-Ricci flow with initial data g0 , whose
existence is guaranteed by Proposition 9.3. As the metrics e gt are all Kähler, it
follows easily by Lemma 8.9 that ρC (e gt ) = ρ1,1
B (e
g t ), and thus get is a solution of
pluriclosed flow as well. Since solutions to pluriclosed flow are unique on compact
manifolds, it follows that gt = get is the solution to Kähler-Ricci flow.
In other words, this cone consists precisely of the (1, 1)-Aeppli cohomology classes
which contain pluriclosed metrics.
Remark 9.15. We observe here that in complex manifolds there is a natural
map
1,1 1,1
ι : HBC,R → HA,R ,
In particular we can apply this map to the first Chern class, yielding a well-defined
1,1
class in HA,R . In what follows we will not make a notational distinction between
the first Chern class thought of in these two different contexts, as we will mean the
1,1
element of HA,R unless otherwise specified.
9.2. PLURICLOSED FLOW 191
and give the proof that it does indeed preserve generalized Kähler geometry (cf.
[169]). Following that we will describe the flow in terms of generalized metrics and
complex structures.
9.3.1. BiHermitian formulation.
Definition 9.22. Let M be a smooth manifold, we say that a one-parameter
family of generalized Kähler structures (gt , Ht , It , Jt ) is a solution of generalized
Kähler-Ricci flow if
∂
g = − Rc + 41 H 2 ,
∂t
∂
b = − 12 d∗g H,
(9.7) ∂t
∂
I = 12 Lθ♯ I,
∂t I
∂
J = 12 Lθ♯ J.
∂t J
Observe that this system of equations is in a certain sense two copies of the pluri-
closed flow system (9.5) running simultaneously. Indeed this was how it was dis-
covered, as we will indicate in Theorem 9.23 below. This formulation, while it has
a pleasing symmetry to it, has the disadvantage that both complex structures are
evolving. When it comes time to estimate solutions of this system, it will be to
our advantage to freeze one of these complex structures by a gauge transformation.
Of course it is not possible to fix both, since I and J are evolving by (in general)
distinct gauge transformations. Gauge-fixing the flow to freeze I and comparing
against Proposition 9.8 yields
∂ ∂
g = − Rc + 41 H 2 − 21 Lθ♯ g, ωI = − (ρIB )1,1
∂t I ∂t
∂ ∂
(9.8) b = − 12 d∗g H + 12 dθI − 21 iθ♯ H, ←→ βI = − (ρIB )2,0
∂t I ∂t
∂ ∂
J = 21 L(θ♯ −θ♯ ) J. J = 12 L(θ♯ −θ♯ ) J.
∂t J I ∂t J I
√ 2,0
where βI = −1bI . We will refer to this system as generalized Kähler-Ricci flow
in the I-fixed gauge. Of course one can also study the flow in the J-fixed gauge as
well.
9.3.2. Short-time existence.
Theorem 9.23. Given M a smooth compact manifold and (g, H, I, J) a gener-
alized Kähler structure, there exists a unique maximal solution (gt , Ht , It , Jt ) to gen-
eralized Kähler-Ricci flow with this initial condition on [0, T ) for some T ∈ R∪{∞}.
Moreover, the pair (gt , Ht ) is the unique solution to generalized Ricci flow with ini-
tial condition (g, H).
Proof. We know from the definition of generalized Kähler structure that
(g, H, I) is a pluriclosed structure. Thus by Proposition 9.13 we obtain a solu-
tion (gt , Ht , I) to pluriclosed flow on a maximal time interval [0, T ). This can be
gauge-fixed as in Remark 9.11 to obtain (gt , Ht , It ) a solution to pluriclosed flow
in the form of (9.5). Similarly, the triple (g, −H, J) is a pluriclosed structure, and
so we obtain (e e t , Jt ) a solution to gauge-fixed pluriclosed flow, where (e
gt , H e t ) is
gt , H
194 9. GENERALIZED RICCI FLOW IN COMPLEX GEOMETRY
the unique solution to generalized Ricci flow with initial condition (g, −H). We use
the notation ge, H e to emphasize that we do not yet know the relationship between
(gt , Ht ) and (e e t ).
gt , H
To link these two families, we make a trivial yet crucial observation: if (gt , Ht ) is
a solution to generalized Ricci flow, so is (gt , −Ht ). This follows since the evolution
equation for H is linear in H, whereas the evolution equation for g is quadratic in
H. In other words,
∂
g = − Rc + 41 H 2 = − Rc + 14 (−H)2 ,
∂t
∂ 1
(−H) = − 2 (∆d H) = 21 ∆d (−H).
∂t
Therefore, (egt , −He t ) is the unique solution to generalized Ricci flow with initial
condition (g, H), and thus (e e t ) = (gt , Ht ). Examining the construction it
gt , −H
follows that (gt , Ht , It , Jt ) is a one-parameter family of generalized Kähler structures
which satisfies (9.7).
RI ∈ Λ1,1 1,1
J ⊗ ΛI , RJ ∈ Λ1,1 1,1
I ⊗ ΛJ .
Proof. We give the proof for RI , the case of RJ being directly analogous.
Since ∇I preserves I it is easy to show that RI is of type (1, 1) with respect to I
in the last two indices. Using Remark 8.4, we know that if we set H = −dcI ωI then
∇I = ∇+ , ∇J = ∇− in the notation of Definition 3.12. Thus using Proposition
3.21 we see
as required.
ρIB (X, [I, J]Y ) = g Lθ♯ −θ♯ J X, Y .
J I
where ∇ denotes the Levi-Civita connection. We will compute the symmetric and
skew parts of the identity separately. First note, using that ρIB ∈ Λ1,1
J by Lemma
9.26,
Now we compute using Lemma 8.9, Proposition 8.10 and equation (9.10),
2,0+0,2 2,0+0,2
2 ρIB (JX, IY ) + ρIB (IX, JY )
I I
= − d∗ HI (JX, Y ) + d∗ HI (JY, X) + d∇ θI (JX, Y ) − d∇ θI (JY, X)
I I
= d∗ HJ (JX, Y ) − d∗ HJ (JY, X) + d∇ θI (JX, Y ) − d∇ θI (JY, X)
J J
= − 2(ρJB )2,0+0,2 (X, Y ) + d∇ θJ (JX, Y ) + 2(ρJB )2,0+0,2 (Y, X) − d∇ θJ (JY, X)
I I
+ d∇ θI (JX, Y ) − d∇ θI (JY, X)
= − dθJ (JX, Y ) + dθJ (JY, X) + dθI (JX, Y ) − dθI (JY, X)
= g Lθ♯ −θ♯ J X, Y − g Lθ♯ −θ♯ J Y, X .
J I J I
Adding together the two pieces above and rearranging yields the result.
Proof. We first assume that equations (9.9) hold. Using Lemma 9.25 with
K = −ρIB one notes that I is fixed and one easily derives the evolution equation
9.3. GENERALIZED KÄHLER-RICCI FLOW 197
then the one-parameter family of metrics ωtα is the unique solution to pluriclosed
flow with initial condition ω0 .
Proof. Fix some background volume form Ω. Since τ < τ ∗ by hypothesis, we
may fix µ ∈ Λ1,0 such that ωτ := ω0 − τ ρC (Ω) + ∂µ + ∂µ > 0. Now set ωt =
t τ −t
τ ωτ + τ ω0 , which certainly satisfies ωt ∈ [ω0 ] − tc1 , interpreted as an equation
of Aeppli cohomology classes. Now suppose αt satisfies (9.12). By construction it
is clear that ω0α = ω0 . Furthermore we compute
∂ α ∂
ωt = ωt + ∂α + ∂α
∂t ∂t
n
1 ∗ α
√
−1 (ωtα ) µ
= − ρC (Ω) + (∂µ + ∂µ) + ∂ −∂ ωtα ωt − 2 ∂ log −
τ Ω τ
√ α n
(ω ) µ
+ ∂ −∂ω∗ tα ωtα + 2−1 ∂ log t −
Ω τ
√ α n
∗ (ω )
= − ∂∂ω∗ tα ωtα − ∂∂ ωtα ωtα + −1∂∂ log t − ρC (Ω)
Ω
∗
= − ∂∂ω∗ tα ωtα − ∂∂ ωtα ωtα − ρC (ωtα )
= − ρ1,1 α
B (ωt ),
as required.
Remark 9.39. We note that the local potential α in Proposition 9.38 also
recovers the flow for the (2, 0)-form β. In particular, if the initial condition satisfies
(9.13) ∂ω0 + dβ0 = H̃0 ,
for H̃0 ∈ Λ , dH̃0 = 0, and we set βt = β0 + ∂ α + t µτ then condition (9.13)
3,0+2,1
It follows that
D C
E
β, ∆ β = β, ∆C β − p hSC , trg (β ⊗ β)i .
Plugging these computations into (9.15) yields the result.
Proposition 9.45. Let (M 2n , gt , J) be a solution to pluriclosed flow. Fix back-
ground data ĝt , Ω, µ as in Proposition 9.38 and a solution αt to (9.12). Then
∂ α
− ∆C ∂α = − trgα ∇g Tĝ + ∂µ,
∂t
∂ 2 2 2
− ∆C |∂α| = − |∇∂α| − ∇∂α − 2 Q, tr ∂α ⊗ ∂α
∂t
D α
E
− 2ℜ trgα ∇g Tĝ + ∂µ, ∂α .
Proof. The first equation follows directly from a lengthy computation using
(9.12), see [160] for details. The second equation follows from the first and Lemma
9.44.
Proposition 9.46. Let (M 2n , gt , J) be a solution to pluriclosed flow. Fix back-
ground data ĝt , Ω, µ = 0 as in Proposition 9.38 and a solution αt to (9.12). Suppose
furthermore that there exists η ∈ Λ2,0 such that
(9.16) ∂ ω̂t = ∂ ω̂0 = ∂η.
Let φ = ∂α − η. Then
∂ C
−∆ φ = 0,
∂t
(9.17)
∂
− ∆C |φ|2 = − |∇φ|2 − |Tgt |2 − 2 Q, φ ⊗ φ .
∂t
Proof. We observe that
(trgα ∇gα Tĝ )ij = gαqp ∇p ∂ ω̂ijq = gαqp ∇p ∇q ηij = ∆gα ηij .
Thus using Proposition 9.45 and the assumption that µ = 0 we obtain
∂ ∂
φ= ∂α = ∆gt ∂α − trg ∇g Tĝ = ∆gt (∂α − η) = ∆gt φ.
∂t ∂t
This yields the first claimed equation, and then the second follows from Lemma
9.44 and the fact that
∇φ = ∂φ = ∂ (∂α − η) = −Tgt .
Remark 9.47. We observe that, in the setting of Proposition 9.46, the hypoth-
esis of (9.16) will automatically be satisfied if the initial torsion ∂ω0 has vanishing
Čech cohomology class in H 1 (Λ2,0cl ), so that the pluriclosed metrics are naturally
defined on the trivial holomorphic Courant algebroid √ (cf. Theorem 7.58). One
special case occurs when (M 2n , J) satisfies the −1∂∂ lemma. In this case we
observe that ∂ ω̂0 represents the zero cohomology class in H∂1,2 , and thus by the
√
−1∂∂ lemma, it represents the zero cohomology class √ in the Bott-Chern
√ cohomol-
1,2
ogy HBC . Thus there exists ξ ∈ Λ1,0 such that ∂ ω̂0 = −1∂∂ξ = ∂ − −1∂ξ . It
is easy to see from the construction of Proposition 9.38 that since µ = 0, we have
204 9. GENERALIZED RICCI FLOW IN COMPLEX GEOMETRY
√ 2
∂ ω̂t = ∂ ω̂0 = ∂ − −1∂ξ . It furthermore follows in this setting that |φ| serves
as a torsion-bounding subsolution in the sense of §6.3.
denote the difference of the Chern connections associated to g and ge. Furthermore,
let
k
X 2
fk (g, e
g) := ∇jg Υ(g, e
g) 1+j
.
j=0
e This is a nat-
denote the difference of the Chern connections associated to G and G.
ural tensor which measures the first derivatives of G with respect to a background
e Furthermore, let
choice G.
k
X 2
∇jg,G Υ(G, G)
1+j
e :=
fk (G, G) e .
g,G
j=0
The connection ∇g,G denotes the Chern connection on T 1,0 ⊗ End(T 1,0 ⊕ T1,0 ∗
)
1,0
induced naturally by the Chern connection of g on T and the Chern connnection
associated to G on End(T 1,0 ⊕ T1,0
∗
). The quantity fk is a natural measure of the
(k + 1)-st derivatives of the generalized metric which scales as the inverse of the
metric.
206 9. GENERALIZED RICCI FLOW IN COMPLEX GEOMETRY
For the proof, which comprises the remainder of this section, we will assume
that our solution to pluriclosed flow satisfies
∂ω0 + ∂β0 = 0,
which implies that this equation holds at all times as discussed above. This is
not necessary for the proof but simplifies the exposition (cf. Remark 9.47). The
proof Theorem 9.51 relies principally on a very clean evolution equation for G
along pluriclosed flow. To state this we note that given G as in (9.18), we have an
associated curvature tensor ΩG ∈ Λ1,1 ⊗ End(T 1,0 ⊕ T1,0∗
). Akin to Definition 8.8,
we define the tensor
S G = trω ΩG ∈ End(T 1,0 ⊗ T1,0
∗
).
Amazingly, while the evolution equations for g and β along pluriclosed flow are
determined by the curvature of the Bismut connection, the evolution equation for
the metric G is determined by the curvature of its associated Chern connection in
a very simple way:
Proposition 9.52. Given (M 2n , J) a complex manifold, suppose (ωt , βt ) is
a solution of pluriclosed flow (9.2). Let Gt denote the one-parameter family of
associated generalized metrics as in (9.18). Then
∂
G−1 G = − SG.
∂t
Proof. We leave this lengthy but straightforward computation as an exercise,√
see [108] for details. The principal fact is that, by the proof of Lemma 7.61, e2 −1β
can be regarded as defining an homomorphism of holomorphic Courant algebroids
√
e2 −1β
: E−2√−1∂ω → T 1,0 ⊗ T1,0
∗
,
where the right hand-side is equipped with the trivial structure. Thus, for the
calculation of the Chern connection of G we can assume β = 0, provided that
we work with the twisted holomorphic structure in Definition 7.59. A lengthy
calculation then shows that
1,1
G ρB ρ2,0
B g −1
S G= −1 .
g −1 ρ0,2
B −g −1 ρ1,1
B g
Remark 9.53. The tensor S G as defined above is the same as that appearing in
the Hermitian-Yang-Mills equations [113]. In that setting one chooses a background
Hermitian metric ω on a given complex manifold, then solves for a Hermitian metric
h on an associated holomorphic vector bundle E such that Sω,h = trω Ωh = λ IdE ,
9.6. HIGHER REGULARITY FROM UNIFORM PARABOLICITY 207
∂ e = ∂ (GBA G
e ) = GCA GBD S Ge
trG G AB DC AB .
∂t ∂t
Furthermore,
e = g nm ∇m ∇n (GBA G
∆ trG G e )
AB
e ΥC
= − g nm GBA ∇m (GAC nB )
C
nm BA
=g G e D e C e C
GDC ΥmA ΥnB + GAC (ΩnmB − ΩnmB )
e
= |Υ|2g−1 ,G−1 ,Ge + GCA GBD SDC G nm BA e
AB − g G ΩmnAB .
Proof. We work in local complex coordinates, and adopt the convention that
lower-case letters will be used for indices ranging over T 1,0 and capital letters will
be used to represent indices ranging over all T 1,0 ⊕ T1,0
∗
. A general calculation for
the variation of the Chern connection associated to a Hermitian metric yields
∂ B ∂
Υ = ∇i GB .
∂t iA ∂t A
Using Proposition 9.52 we obtain
∂ B B
(9.19) Υ = −∇i SA .
∂t iA
208 9. GENERALIZED RICCI FLOW IN COMPLEX GEOMETRY
(9.20) = g kl ∇i ΩB
klA
+ g kl Tilp ΩB
kpA
eB
+ g kl ∇l Ω ikA
kl p B kl e e B
= ∂t ΥB
iA − g Til ΩpkA + g ∇l ΩikA
+ g kl Υqli Ω
e B + ΥD
qkA
e
Ω B
lA ikD − Υ B eD
Ω
lD ikA .
We furthermore compute
D
∆C |Υ|2g−1 ,G−1 ,G = g kl g ji GCA GBD ∇l ∇k (ΥB
iA ΥjC )
+T ⋆Υ⋆Ω e +Υ⋆∇
e +Υ⋆Υ⋆Ω e Ω.
e
9.7. METRIC EVOLUTION EQUATIONS 209
Then, observing that the second through fifth terms above form a perfect square
we arrive at
∂ e +Υ⋆Υ⋆Ω e +Υ⋆∇ e Ω,
e
− ∆C |Υ|2 = −|∇Υ|2 − |∇Υ + T · Υ|2 + T ⋆ Υ ⋆ Ω
∂t
as claimed.
Proof of Theorem 9.51. To begin we prove the case k = 1. Fix a constant
A > 0 and let
2 e
Φ = t |Υ| + A trG G.
Combining Proposition 9.55 and Lemma 9.54 we obtain
∂ C e +Υ∗Υ∗Ω e +Υ∗∇
eΩe
−∆ Φ = t −|∇Υ|2 − |∇Υ + T · Υ|2 + T ∗ Υ ∗ Ω
∂t
2 e
+ |Υ| + A −|Υ|2g−1 ,G−1 ,Ge + g nm GBA Ω mnAB
2
≤ |Υ| (1 + tC − A) + CA
≤ CA,
where the last line follows using that t ≤ 1 and choosing A = C + 1. Applying the
maximum principle we obtain
sup Φ ≤ C(1 + t) ≤ C.
M×{t}
2
Since Φ ≥ |Υ| , the case k = 1 follows.
Having established the case k = 1, there are two ways to finish the general proof.
Beginning with (9.19) one can derive natural heat equations for all derivatives ∇j Υ,
and derive smoothing estimates for these quantities in a manner similar to Theorem
5.18. Alternatively one can use the scale invariance of the quantity tfk and apply a
rescaling argument as carried out in [108]. We leave the details to the reader.
Also
C det g qp det g
∆ log =g log
det h det h ,pq
h i
= g qp g ji gij,p − hji hij,p
,q
h i
= g qp g ji gij,pq − g jk gkl,q g li gij,p − hji hij,pq + hjk hkl,q hli hij,p .
Combining the above calculations and comparing against the transgression formula
of Proposition 8.16 yields
∂ C det g 2
−∆ log = |T | − trg ρC (h),
∂t det h
as required.
∂ ∂ ji
trg h = g hij
∂t ∂t
jk ∂
= −g g g li hij
∂t kl
h i
= − g jk g li hij g qp gkl,pq − g qp g sr gks,p grl,q + Qkl .
i
−g jk gkl,p g li hij,q − g jk gkl,q g li hij,p + g ji hij,pq .
9.7. METRIC EVOLUTION EQUATIONS 211
∂ hh, Qig
− ∆C log trg h ≤ − + K trg h,
∂t trg h
where K = sup K(h), i.e. the supremum of all holomorphic bisectional curvatures.
2
∂ ∂ |∇f |
− ∆C log f = f −1
− ∆C f+ .
∂t ∂t f2
where we have labeled the four terms appearing on the right hand side. To estimate
the term T4 , we first pick special coordinates at some given point p ∈ M . In partic-
ular, we can choose complex coordinates for which hij = δij and g is diagonalized.
We furthermore observe then that, at the point p,
∇i trg h = ∂i g lk hkl
i j k l
!−1 12 ! 21 21 ! 21
X X X X X
ii jj kk
≤ g g g Υkjk Υkjk g kk jj ll
g g Υljl Υljl g ll
i j,k k j,l l
i
−hjk hkl,p hli gij,q − hjk hkl,q hli gij,p + hji gij,pq .
9.8. SHARP EXISTENCE AND CONVERGENCE RESULTS 213
as required.
Lemma 9.60. Let (M 2n , gt , J) be a solution to pluriclosed flow, and let h denote
another Hermitian metric on (M, J). Then
∂ trh Q
− ∆C log trh g ≤ + K trg h,
∂t trh g
where K = − inf K(h), i.e. the negative of the infimum of all holomorphic bisec-
tional curvatures.
Proof. The proof follows that of Lemma 9.58 closely, building off of Lemma
9.59.
has an a priori upper bound and thus trωtu ωh is bounded above, giving an a priori
lower bound for the metric ωtu . The smooth existence now follows from Proposition
9.61, finishing the proof.
Note that Theorem 9.62 is confirmation of Conjecture 9.18 in the case the initial
metric is Kähler, and was the inspiration for making Conjecture 9.18 in the first
place.
9.8.3. Pluriclosed flow.
Theorem 9.63. Let (M 2n , J) be a compact complex manifold admitting a Her-
mitian metric h with nonpositive holomorphic bisectional curvature. Given g0 a
pluriclosed metric on M , the solution to pluriclosed flow with initial condition g0
exists on [0, ∞).
Proof. We first note that the formal existence time of the flow is infinite.
In particular, using that h has nonpositive holomorphic bisectional curvature, it
follows that
ρC (h)ij = hlk Ωijkl
is also nonpositive. Thus for any τ ≥ 0 we have ω0 − τ ρC (h) ≥ 0, and hence
[ω0 ] − tc1 ∈ P, thus the formal existence time is infinite, as claimed.
Using that h has nonpositive holomorphic bisectional curvature, and that Q ≥
0, we observe using Lemma 9.57 that
∂ 2
− ∆C trg h = − |Υ(g, h)|g−1 ,g−1 ,h − hh, Qig + Ωh (g −1 , g −1 )
∂t
≤ 0.
From the maximum principle we conclude that for all times t such that the flow is
defined, we have
sup trg h ≤ sup trg h.
M×{t} M×{0}
Having established a uniform lower bound for the metric for all times t, the result
follows from Proposition 9.61
In general, the convergence behavior at infinity in the setting of Theorem 9.63
can be fairly complicated. In the case (M 2n , J) admits a Kähler-Einstein metric
of negative scalar curvature, we should expect the normalized flow to converge to
this Kähler-Einstein metric. Similar results are shown in the case the background
metric has nonpositive curvature operator in [124]. The flow in these settings can
also exhibit collapsing behavior at infinity. For instance, if Σ denotes a Riemann
surface of genus g ≥ 2, consider the product manifold T 2 × Σ with the product
complex structure. The product of a flat metric on T 2 with a hyperbolic metric on
Σ has nonpositive holomorphic bisectional curvature. The normalized pluriclosed
flow (actually Kähler-Ricci flow) with this initial data will remain a product metric,
keeping the metric on Σ fixed while homothetically shrinking the metric on T 2 at
an exponential rate. In some cases the hypothesis of nonpositive curvature can be
weakened to a topological condition, and global existence and convergence results
can be obtained (cf. [161]).
In the case (M 2n , J) is a torus, there is a Hermitian metric with vanishing
Chern curvature, and the solution to (unnormalized) pluriclosed flow will converge
216 9. GENERALIZED RICCI FLOW IN COMPLEX GEOMETRY
Proof. The global existence of the flow, as well as an a priori lower bound
for the metric, follows from Theorem 9.63. We claim that there exists a uniform a
priori upper bound for the metric for all times t. To see this we can choose h to be
the given flat metric, set ω̂t = ω̂0 , µ = 0, and obtain a solution αt to the reduced
2n
pluriclosed flow
√ equation (9.12) using Proposition 9.38. Furthermore, since T is
Kähler, the −1∂∂-lemma holds, and thus following Remark 9.47, we can verify
the hypotheses of Proposition 9.46, and obtain φ = ∂α−η satisfying (9.17). Setting
det g 2
Φ = log det h + |φ| , combining Lemma 9.56 with (9.17) yields
∂ C 2
−∆ Φ ≤ − |∇φ| − 2 Q, φ ⊗ φ ≤ 0.
∂t
Thus by the maximum principle we conclude
sup Φ ≤ sup Φ.
M×{t} M×{0}
It follows that the determinant of g is bounded above, and thus since there is an a
priori lower bound, it follows that there is an a priori upper bound for the metric.
It follows that we can apply Theorem 9.49 to obtain uniform C ∞ estimates for the
metric at all times as well.
Given these estimates, for any sequence {tj } → ∞ there exists a subsequence,
also denoted {tj }, such that {gtj } converges in C ∞ to a smooth limiting metric
g∞ . Corollary 6.10 implies that λ(gt , Ht ) is monotonically increasing and more-
over bounded above due to the C ∞ control of g, thus there exists λ such that
limt→∞ λ(gt , Ht ) = λ. Choose a sequence {e tj } such that λ − λ(getj , Hetj ) ≤ j −1 . Let
fetj +1 denote the unique minimizer of F (getj +1 , Hetj +1 , ·), and let u = e−ft denote the
−f
unique solution to the conjugate heat equation on [e tj , e
tj + 1] with uet +1 = e tej +1 .
j
9.8. SHARP EXISTENCE AND CONVERGENCE RESULTS 217
Applying the argument above, the sequence {gtj } admits a further subsequence
which converges in C ∞ to a limiting metric g∞ . Furthermore, the subsequence
can be chosen so that the functions {ftj }, which admit C ∞ estimates by elliptic
regularity, also converge to a limit f∞ . By (9.24), the limit (g∞ , H∞ , f∞ ) is a
steady generalized Ricci soliton. Since c1 (T 2n , J) = 0 in Bott-Chern cohomology,
it follows from Proposition 9.64 that the limit g∞ is actually Kähler-Einstein, with
f∞ constant. As all Kähler-Einstein metrics on T 2n are flat, we have established
subsequential convergence to a flat Kähler metric. To finish the proof of exponential
convergence of the entire flow we appeal to a general stability result for pluriclosed
flow [168, Theorem 1.2] near Kähler, Ricci-flat metrics, which in this setting implies
that the pluriclosed flow starting sufficiently close to a flat metric on a torus will
converge exponentially to a flat metric, as required.
Proof. Choose a time τ < τ ∗ (g0 ), and choose background partial volume
forms Ω± = det(ωh )± , a family of background metrics ω̂t , and ut a solution of the
reduced equation (9.14) by Proposition 9.40. Note that, by applying the maximum
principle to (9.14), it follows that there exists a uniform constant C such that
inf u ≥ inf u − tC.
M×{t} M×{0}
In particular, on the compact time interval [0, τ ] there is a uniform lower bound for
u.
218 9. GENERALIZED RICCI FLOW IN COMPLEX GEOMETRY
Next we obtain a lower bound for the metric. The first step is to estimate the
metric on T− . A general computation for the generalized Kähler-Ricci flow in this
setting, closely related to Lemma 9.56, shows that the partial volume forms satisfy
∂ C det g± 2
(9.25) −∆ log = 21 |T | − trg ρC (h± ),
∂t det h±
where h± are background Hermitian metrics on T± . As c1 (T−1,0 ) ≤ 0, we can choose
h− such that ρC (h− ) ≤ 0. For such h− it follows from the maximum principle
applied to (9.25) that
det g− det g−
(9.26) inf ≥ inf .
M×{t} det h− M×{0} det h−
∂u
Next we obtain a lower bound for ∂t .
Using (9.25) we compute
∂ C ∂u ∂ C det g+ det h−
−∆ = −∆ log − log
∂t ∂t ∂t det h+ det g−
(9.27)
= trg (ρC (h− ) − ρC (h+ ))
= − trg+ P (h) + trg− P (h).
Together with the uniform estimate for u, this yields a uniform lower bound for ∂u
∂t
on [0, τ − ǫ] for any ǫ > 0.
Finally we are ready to establish the lower bound for g. Fix a large constant
A to be determined, and let Φ2 = log trg h − Au. Using Lemma 9.57 and 9.28, we
9.8. SHARP EXISTENCE AND CONVERGENCE RESULTS 219
estimate
∂ ∂
− ∆C Φ2 ≤ K trg h − A u + A k − 1 − trg+ ĝ+ + trg− ĝ−
∂t ∂t
≤ (C − A) trg+ ĝ+ + CA
≤ CA,
where the second line uses the equivalence of ĝ and h, the lower bound for ∂u
∂t , and
the lower bound for g− , and the final line follows by choosing A sufficiently large.
It follows from the maximum principle that
sup trg h ≤ sup trg h + Ct.
M×{t} M×{0}
Thus we have established a uniform lower bound for the metric on all time inter-
vals of the form [0, τ − ǫ]. Proposition 9.61 implies that the solution has uniform
estimates and hence exists on such intervals. Letting τ → τ ∗ (g0 ) and ǫ → 0, we
obtain that the solution exists on [0, τ ∗ (g0 )), as required.
The proof of Theorem 9.66 makes clear a key difficulty in establishing a full
confirmation of Conjecture 9.34, namely the fact that the resulting scalar PDE of
(9.14) is not convex, which makes directly applying the classical Pogorelov method
impossible. This is the reason for the topological hypotheses of Theorem 9.66,
which give some a priori partial control over the metric, after which the Pogorelov
method can be applied. We note that a global viscosity solution in this setting was
established in [164]. We next establish convergence on tori.
Corollary 9.67. Given (T 2n , g0 , I, J) a generalized Kähler structure on the
torus satisfying [I, J] = 0, the solution to generalized Kähler-Ricci flow with initial
condition g0 exists on [0, ∞), and converges exponentially to a flat metric. In
particular, if gE denotes
√ a flat metric compatible
with I and J, given any function
u0 such that ωE + −1 ∂+ ∂ + − ∂− ∂ − u > 0, the solution to
E
√ k E l
∂ ω+ + −1∂+ ∂ + u ∧ (ω− )
u = log √ l
,
(9.31) ∂t (ω E )k ∧ ω E − −1∂− ∂ − u
+ −
u(0) = u0 ,
exists on [0, ∞) and converges to u∞ = const.
Proof. Since the solution to generalized Kähler-Ricci flow in the I-fixed gauge
is the same as the solution to pluriclosed flow (cf. §9.3.1), the claims of long time
existence and convergence to a flat metric follow directly from Theorem 9.65. Using
that I|T± = ∓J|T± , it is easy to see that there exist flat metrics compatible with both
I and J. Choosing one such, gE , and using this as the choice of background metric
in Proposition 9.40, we see that equation (9.31) is the resulting scalar reduction of
generalized Kähler-Ricci flow, and so the claims of global existence and convergence
follow.
9.8.5. Generalized Kähler-Ricci flow: Nondegenerate case.
Corollary 9.68. Given (T 2n , g0 , I, J) a generalized Kähler structure on the
torus such that [I, J] is nondegenerate, the solution to generalized Kähler-Ricci
flow with initial condition g0 in the I-fixed gauge exists on [0, ∞), and converges
220 9. GENERALIZED RICCI FLOW IN COMPLEX GEOMETRY
exponentially to a triple (g∞ , I, J∞ ) such that g∞ is flat and (I, J∞ ) are part of a
hyperKähler sphere of complex structures compatible with g∞ .
Proof. Since the solution to generalized Kähler-Ricci flow in the I-fixed gauge
is the same as the solution to pluriclosed flow (cf. §9.3.1), the claims of long time
existence and convergence to a flat Kähler metric follow directly from Theorem
9.65. By hypothesis, the initial Poisson tensor σ = 12 g −1 [I, J] is nondegenerate,
and we denote its inverse by Ω. By Proposition 9.29 we know that σ, and hence Ω,
remain fixed along the flow, and so we can express Ω = 2g∞ [I, J∞ ]−1 . This form
is of type (2, 0) − (0, 2) with respect to both I and J∞ , with the respective (2, 0)
parts each holomorphic with respect to the corresponding complex structure by
Proposition 7.69. By the Beauville-Bogomolov-Yau decomposition [13, 19, 186],
the data (g∞ , I, J∞ ) are part of a hyperKähler structure.
This corollary shows the power of generalized Kähler-Ricci flow to prove classifi-
cation results for problems in complex and symplectic geometry. On the one hand,
we have shown contractibility of the space of nondegenerate generalized Kähler
structures on tori to the space of structures (g, I, J) with g flat, and I and J part of a
compatible hyperKähler structure. Using the interpretation of generalized Kähler-
Ricci flow in this setting in terms of positive Ω-Hamiltonian diffeomorphisms in
Proposition 9.42, we have determined the global topology of this nonlinear space
as well. In principle one expects generalized Kähler-Ricci flow to be able to yield
further results on the structure of natural spaces arising in symplectic geometry.
Despite the long time existence and convergence results described above, the
global existence and convergence properties of pluriclosed flow and generalized
Kähler-Ricci flow are still largely open. The main existence Conjecture 9.18 has
only been established in special cases, the key missing point being to establish uni-
form parabolicity of the equation in the positive cone. At the conjectural singular
time τ ∗ (g0 ) we expect a wide variety of behavior including convergence, blowdown
of complex subvarities, collapse to a lower dimensional space, etc. In the setting of
complex surfaces, a conjectural framework for the convergence properties of pluri-
closed flow was described in [167, 170, 156]. In principle the limiting structure
of pluriclosed flow can be used to detect the complex structure of the underlying
complex manifold, resulting in a kind of geometrization conjecture for complex
surfaces.
CHAPTER 10
T-duality
M❅
q ⑦⑦⑦ ❅❅❅ q̂
⑦ ❅❅
⑦⑦ ❅❅
~⑦
⑦
M❆ M̂
❆❆ ⑥⑥
❆❆ ⑥⑥
p ❆❆❆ ⑥⑥
~ ⑥ p̂
⑥
B
Definition 10.1. We say that two pairs (M, τ ) and (M̂ , τ̂ ) as above are T-dual
if there exist invariant representatives H ∈ τ and Ĥ ∈ τ̂ such that
(10.1) q̂ ∗ Ĥ − q ∗ H = dB,
221
222 10. T-DUALITY
Proof. Using the filtrations (10.3) applied to q and q̂, we can write the two-
form B in Definition 10.1 as
B = q ∗ B + q̂ ∗ B̂ + B 0 ,
k k k
×T̂ k
where B ∈ Γ(Λ2 T ∗ M )T , B̂ ∈ Γ(Λ2 T ∗ M̂ )T̂ and B 0 ∈ Γ(Λ2 T ∗ M )T satisfies
B | Ker dq⊗Ker dq̂ = B 0 | Ker dq⊗Ker dq̂
and furthermore B 0 is in F 1 for both fibrations q and q̂. Hence, we have that B 0
is non-degenerate on Ker dq ⊗ Ker dq̂ and
dB 0 = q̂ ∗ (Ĥ + dB̂) − q ∗ (H − dB).
Using the last equation and the fact that B 0 is in F 1 for the fibration q, we leave
as an exercise to see that H − dB is in F 1 for the fibration p, and similarly for
Ĥ + dB̂.
The condition H ∈ F 1 in the previous result means that, for a choice of con-
nection θ on M , we can write (see (10.4))
(10.5) H = p∗ h − hĉ ∧ θi
for suitable ĉ ∈ Γ(Λ2 T ∗ B ⊗ t∗ ) satisfying dĉ = 0 and h ∈ Γ(Λ3 T ∗ B). Here, h, i
denotes the natural duality pairing between t and t∗ . With this observation in
hand, we can present a result about the existence of T-duals due to Bouwknegt,
Hannabuss, and Mathai [25].
Proposition 10.6. Given a principal T k -bundle M over a base manifold B
k
and a closed three-form H ∈ F 1 ∩Γ(Λ3 T ∗ M )T representing an integral cohomology
class [H] ∈ H 3 (M, Z), there exists a T-dual for (M, [H]).
Proof. Choose a connection θ on p : M → B so that H is given by (10.5). The
condition [H] ∈ H 3 (M, Z) implies that the closed t∗ -valued two-form ĉ represents
an integral cohomology class in H 2 (B, t∗ ). Consider the dual torus T̂ k with Lie
algebra t∗ and let M̂ be a principal torus bundle over B with Chern class [ĉ]. Let
θ̂ be a connection on p̂ : M̂ → B such that dθ̂ = ĉ, and define
Ĥ = p̂∗ h − hc ∧ θ̂i
where c = dθ. We leave as an exercise to check that dĤ = 0 and that (M, [H])
and (M̂ , [Ĥ]) are T-dual, taking B = −hθ ∧ θ̂i in (10.1).
We are ready to present two basic examples of topological T-duality, for a
positive dimensional base (cf. Example 10.3). The first illustrates the topology
change on the manifold M under T-duality.
Example 10.7. Consider the Hopf fibration p : M = S 3 → B = S 2 with H = 0.
Choose a connection θ such that dθ = ωS 2 is the standard symplectic structure on
S 2 (suitably normalized). We claim that (M, 0) is T-dual to (S 2 × S 1 , [Ĥ]), where
Ĥ = −θ̂ ∧ ωS 2 , where θ̂ is the line element on S 1 . To see this, take B = −q ∗ θ ∧ q̂ ∗ θ̂
and calculate
dB = −q ∗ dθ ∧ q̂ ∗ θ̂ = −q ∗ p∗ ωS 2 ∧ q̂ ∗ θ̂ = q̂ ∗ Ĥ.
The next example shows that T-duality is sensitive to the choice of cohomology
class of the three-form H, as is implicit in the proof of Proposition 10.6.
224 10. T-DUALITY
Example 10.8. Consider again the Hopf fibration in the previous example, but
regarding M as the compact Lie group M = SU (2). Consider generators for the
Lie algebra su(2) = he1 , e2 , e3 i as in Example 3.51 and the Cartan three-form
H = −e123 .
We claim that (M, [H]) is self T-dual. Notice that e1 generates the circle action on
the fibers of p : M → S 2 and hence e1 is a connection on M with de1 = e23 = p∗ ωS 2 .
Consider
B = −q ∗ e1 ∧ q̂ ∗ ê1
where ê1 is a left-invariant one-form dual to the generator of the circle in M̂ =
SU (2). Then,
dB = −q ∗ p∗ ωS 2 ∧ q̂ ∗ ê1 + q ∗ e1 ∧ q̂ ∗ p̂∗ ωS 2 = p̂∗ Ĥ − p∗ H,
and hence B satisfies the conditions in 10.1. More generally, following the pre-
vious argument one can prove that any semi-simple Lie group equipped with the
cohomology class of its Cartan 3-form is self T-dual (see [39, Example 2.4]).
with differential dH in (7.5). The following result is due to Bouwknegt, Evslin, and
Mathai [24].
Theorem 10.10 ([24]). Let (M, τ ) and (M̂ , τ̂ ) be T-dual. Let H ∈ τ and
Ĥ ∈ τ̂ be representatives as in Lemma 10.5 with q̂ ∗ Ĥ − q ∗ H = dB. Then there is
an isomorphism of differential complexes
Z
k k
τ : (Γ(S)T , dH ) → (Γ(Ŝ)T , dĤ ), τ (ρ) = eB ∧ q ∗ ρ,
Tk
Then, τ is defined taking the component of eB ∧ q ∗ ρ which has degree k along the
fiber of p̂ and integrating, that is,
Xm Z
1 k−m+j
τ (ρ) = B ∧ q ∗ ρj .
j=0
(k − m + j)! T k
To write this expression, we have used that H and Ĥ are as in Lemma 10.5, and
therefore B belongs to F 1 in the filtration (10.3) for p : M → B. We prove next
that τ is a morphism of differential complexes:
Z
dĤ (τ (ρ)) = dĤ (eB ∧ ρ)
Tk
Z
= (Ĥ − H) ∧ eB ∧ ρ + eB ∧ dρ − Ĥ ∧ eB ∧ ρ
k
ZT
= eB ∧ dρ − H ∧ eB ∧ ρ
Tk
= τ (dH ρ)
where, for simplicity, we have omitted pull-backs in the formula above. It remains
to show that τ so defined is an isomorphism. For this, one can work on a local
coordinate patch U on the base manifold B, so that M |U = U × T k × T̂ k , and take
a global frame for T ∗ T k and T ∗ T̂ k . We leave the details as an exercise.
We are ready for the main result of this section, which states that T-duality
induces an isomorphism of equivariant Courant algebroids, upon reduction to the
base. Let (E, M, T k ) be an equivariant Courant algebroid with base B. Consider
the vector bundle
E/T k → B,
whose sheaf of sections is given by the invariant sections of E, that is, Γ(E/T k ) =
k
Γ(E)T . We can endow E/T k with a natural Courant algebroid (E/T k , h, i , [, ], πE/T k )
as in Definition 2.8, with anchor πE/T k : E/T k → T B and pairing and Dorf-
man bracket given by the restriction of the neutral pairing and the Dorfman
226 10. T-DUALITY
k
bracket on E to Γ(E)T . Observe that E/T k has the same rank as E, and hence
E/T k is not an exact Courant algebroid over B (see Definition 2.9). We will call
(E/T k , h, i , [, ], πE/T k ) the simple reduction of E by T k .
ψ : E/T k → Ê/T̂ k
which exchanges the twisted differentials in Lemma 7.37 and which is compatible
with Clifford multiplication, that is,
τ (d /ˆ0 (τ ρ),
/0 ρ) = d and τ (e · ρ) = ψ(e) · τ (ρ)
k k
for all e ∈ Γ(E)T and ρ ∈ Γ(S)T .
Due to this condition the form q ∗ ξ − B(X, ·) is basic for the bundle determined by
q̂, and can therefore be pushed forward to M̂ . We define a map
Let us see next that ψ is independent of the choice of isotropic splittings. For a
different choice of isotropic splittings we have
H ′ = H + dB, Ĥ ′ = Ĥ + dB̂,
and hence
′
q̂ ∗ Ĥ ′ − q ∗ H ′ = d(B + q̂ ∗ B̂ − q ∗ B) = dB
′
for B = B − q ∗ B + q̂ ∗ B̂. Moreover, the action of q ∗ B and q̂ ∗ B̂ on t ⊗ t̂ is trivial.
′
Hence when lifting vectors to the configuration space, using either B or B yields
the same result, as claimed.
We check next that ψ preserves the Courant structure. First, ψ is an isometry
by
hψ(X + ξ), ψ(X + ξ)i = q̂∗ (X + q ∗ ξ − B(X, ·)), q̂∗ (X + q ∗ ξ − B(X, ·))
= q̂∗ (q ∗ ξ − B(X, ·))(q̂∗ (X))
= (q ∗ ξ − B(X, ·))(X)
= ξ(X).
To see that ψ preserves the Dorfman bracket, we prove first that it is compatible
with Clifford multiplication
τ (e · ρ) = ψ(e) · τ (ρ).
10.3. GEOMETRIC T-DUALITY 227
k
For e = X + ξ ∈ Γ(T M ⊕ T ∗ M )T , we have
Z
ψ(e) · τ (ρ) = ψ(e) · eB ∧ ρ
T k
Z
= (X + q ∗ ξ − B(X, ·)) · (eB ∧ ρ)
Tk
Z
= iX B ∧ eB ∧ ρ + eB ∧ iq∗ X ρ + (q ∗ ξ − iX B) ∧ eB ∧ ρ
Tk
Z
= eB ∧ (iX ρ + ξ ∧ ρ)
Tk
= τ (e · ρ).
k
Applying now Theorem 10.10 and Lemma 7.37, for any a, b ∈ Γ(T M ⊕ T ∗ M )T ,
we have
ψ([a, b]) · τ (ρ) = τ ([v1 , v2 ] · ρ)
/0 , a·], b·](ρ))
= τ ([[d
/̂0 , ψ(a)·], ψ(b)·](τ (ρ))
= [[d
= [ψ(a), ψ(b)] · τ (ρ).
The fact that ψ preserves the anchor map is left as an exercise.
Remark 10.12. Given T-dual pairs (M, [E]) and (M̂ , [Ê]), the isomorphism ψ
in Theorem 10.11 is not unique, as it depends on the choice of two-form B as in
Definition 10.1. For instance, there is the freedom to modify B by adding a closed
two-form on M ×B M̂ . The change of ψ can be seen explicitly in Example 10.31 by
introducing an extra parameter multiplying the second summand in the definition
of B.
k
T
Similarly, the space DE is non-empty, since T k is compact and hence we can
k
T Tk
construct D ∈ DE by averaging an arbitrary element in DE . The affine spaces DE
k
and DE/T k are both modeled on Γ(E ∗ ⊗ o(E))T , via the identification Γ(E/T k ) =
k
Γ(E)T , and therefore it is enough to prove that a generalized connection on E/T k
induces an invariant connection on E. For this, we note that E is locally generated
k
by Γ(E)T , and therefore given Ď ∈ DE/T k we can define a generalized connection
k
D on E by extending its action from Γ(E)T to Γ(E) imposing the Leibniz rule
with respect to the anchor πE . The generalized connection D is compatible with
the pairing, as for f ∈ C ∞ (M ) and a, b, c ∈ Γ(E)T we have
πE (a)hf b, ci = df (πE (a)) hb, ci + f πE/T k (a)(hb, ci)
= hdf (πE (a)) + f Ďa b, ci + f hb, Ďa ci
= hDa (f b), ci + hb, Da ci.
For the first equality we have used that hb, ci is the pull-back of a function on B
and consequently
πE (a) hb, ci = πE/T k (a) hb, ci .
The next result shows that the generalized Ricci tensor in Definition 3.31 is
naturally exchanged under T-duality.
Proposition 10.15. Let (E, M, T k ) and (Ê, M̂ , T̂ k ) be equivariant exact Courant
algebroids over the same base M/T k = B = M̂ /T̂ k . Assume that (M, [E]) is T-dual
10.3. GEOMETRIC T-DUALITY 229
Remark 10.16. A proof of the fact that generalized Ricci flat metrics are ex-
changed under T-duality has been obtained by several authors and with different
methods [12, 70, 162], some including an extension to more general Courant al-
gebroids. A more general result, for Poisson-Lie T-duality, in the sense of Klimčik
and Ševera [112], was proved in [151].
Our next goal is to understand the behavior of the scalar curvatures S ± in
(3.37) under T-duality. The reason why we do not consider here the generalized
scalar curvature S in Definition 3.41 is that, in principle, this would require showing
that T-duality preserves the notion of closed pair in Definition 3.40. This turns out
to be a delicate question, related to a phenomenon known in the literature as dilaton
shift, which will be discussed in the next section.
Proof. Given a point on the base manifold B, we can consider a local spinor
bundle S± for the bundle V± /T k . Via the duality isomorphism ψ in Theorem 10.11
k
we can identify S± with a local spinor bundle for V̂± /T̂ k . Let D ∈ D0 (G, div)T
k
ˆ T̂ the induced generalized connection on Ê via ψ, as
and consider D̂ ∈ D0 (Ĝ, div)
in the proof of Proposition 10.15. Then, (10.8) follows by Definition 3.37, using D
and D̂ to evaluate the scalar curvatures S ± and applying Lemma 3.11 and Lemma
3.36.
Rc+ = 0, S+ = 0
are exchanged under T-duality was first given in [110, 152] for the case of exact
ˆ and
pairs. Notice that when (G, div) is a compatible pair, so is the T-dual (Ĝ, div),
in this case the equation Rc+ = 0 is equivalent to Rc = 0 (see Lemma 3.32).
We state next our main result of this section, which follows as a consequence
of the proof of Proposition 10.15.
It is important to notice that, in the strictest sense, the generalized Ricci flow
(4.1) is not necessarily preserved under T-duality, since it is formulated in terms of
the generalized Ricci tensor for the special class of pairs (G, divG ). This is due to
the fact that the Riemannian divergence divG of a generalized metric is defined in
terms of the anchor map πE : E → T M (see Definition 2.46), which is not preserved
under T-duality. Instead, a solution of (4.1) is typically exchanged with a solution
of the gauge-fixed generalized Ricci flow, corresponding to an exact pair (G, div) (see
Definition 3.48). This is again related to the dilaton shift, which will be discussed
in the next section.
where Y + ζ ∈ Γ(T B ⊕ T ∗ B), and θ⊥ Y denotes the horizontal lift with respect to
θ, and fX , fξ ∈ C ∞ (B). Going back to the definition of ψ in the proof of Theorem
10.11, the vector X on M satisfying (10.6) is given by
X = θ̂⊥ X + fξ eθ̂ ,
and therefore
ˆ
ψ(X + ξ) = θ̂⊥ Y + fξ eθ̂ + p̂∗ ζ + fX θ̂ = X̂ + ξ.
Using now that
eb (X + g(X)) = θ⊥ Y + fX eθ + (fX g1 + iY g2 − fX b1 + iY b2 )
+ (fX g0 + g1 (Y ) + b1 (Y ))θ,
it is not difficult to see that
ψ(eb (X + g(X))) = eb̂ (X̂ + ĝ(X̂)),
where (ĝ, b̂) are as in (10.11). The explicit calculation is left as an exercise.
For the calculations to come later, it will be useful to give the T-duality rela-
tionship explicitly in terms of the canonical decomposition of an S 1 -invariant pair
(g, b) on a principal bundle which we recall next.
Lemma 10.23. Given M a principal S 1 bundle over B with canonical vector
field eθ , an S 1 -invariant metric on M is uniquely determined by a metric h on B, a
smooth function φ ∈ C ∞ (B), and a principal connection θ. More precisely, g may
be expressed
g = φθ ⊙ θ + p∗ h,
where
g(eθ , ·)
φ = g(eθ , eθ ), θ= , h(·, ·) = g(π θ ·, π θ ·),
g(eθ , eθ )
and π θ is the horizontal projection determined by θ, i.e.
π θ (X) = X − θ(X)eθ .
Also, an S 1 -invariant two-form b is uniquely determined by basic forms η, µ. More
precisely, b may be expressed
b = θ ∧ η + µ,
where
η = eθ yb, µ = b − θ ∧ η.
Proof. Exercise.
exact Courant algebroids over the same base M/T k = B = M̂ /T̂ k . Assume that
ˆ
(M, [E]) is T-dual to (M̂ , [Ê]) and consider T-dual pairs (G, div) and (Ĝ, div). As
in Proposition 10.24, the T k -invariant metric g on M induced by G is equivalent
to a triple (gV , θg , hg ), where hg is a metric on B, θ is a principal connection on
M → B, and gV is a family of metrics on the fibers of M , that is,
g = gV (θg , θg ) + p∗ hg .
Using the Riemannian divergence divG of G (see Definition 2.46), we can express
div(a) = divG (a) − he, ai
k
for a suitable e ∈ Γ(E)T . We denote by ν ∈ Γ(| det V M ∗ |) the density induced by
gV on the vertical bundle V M ⊂ T M . Identifying
VM ∼ = M × t,
we regard ν = | det gV | as an equivariant map ν : M → | det t∗ | and, using that T k
is unimodular, we obtain a well-defined map
ν : B → | det t∗ |.
Observe that the following expression defines a well-defined one-form on the base
manifold
d log ν := ν −1 dν ∈ Γ(T ∗ B).
Similarly, we denote by (ê, ĝ, hĝ , θĝ , ĝV , ν̂) the corresponding data associated to
ˆ
(Ĝ, div). By Proposition 10.24, we have an equality h = hg = hĝ for the induced
metric on the base manifold B.
Proposition 10.25 (Dilaton shift). Let (E, M, T k ) and (Ê, M̂ , T̂ k ) be equi-
variant exact Courant algebroids over the same base M/T k = B = M̂ /T̂ k . Assume
ˆ
that (M, [E]) is T-dual to (M̂ , [Ê]) and consider T-dual pairs (G, div) and (Ĝ, div).
Then,
(10.12) ê = ψ(e) + 2d log(ν̂/ν),
where d log(ν̂/ν) := d log ν̂ − d log ν is regarded as a section of Ê/T̂ k using the
anchor map.
Proof. We denote π = πE/T k . The statement follows from the formula
Lπ(a) µh
div(a) = + 2hν −1 dν, ai − he, ai,
µh
k
for any a ∈ Γ(E)T , since the metric h on B induced by g and ĝ coincide and ψ
is the identity along the kernel of the anchor map π. To prove this formula, we
calculate
LπE (a) µg Lπ(e′ ) µh
= + ν −1 dν(π(e′ )),
µg µh
using the natural decomposition µg = µh ⊗ ν.
Note that if e = ϕ and ê = ϕ̂ for invariant 1-forms ϕ on M and ϕ̂ on M̂ ,
respectively, then (10.12) is equivalent to
!
| det gV |
(10.13) ϕ̂ = ϕ − 2d log = ϕ − 4d log | det gV |.
| det ĝV |
10.5. EINSTEIN-HILBERT ACTION 235
as claimed.
The equality (10.14) gives geometric content to the dilaton shift equation
(10.12), and provides a conceptual explanation of why critical points of the gener-
alized Einstein-Hilbert functional (3.41), given by generalized Ricci flat and scalar
flat metrics with exact divergence (3.43), are exchanged under T-duality. From
the point of view of the analysis in Chapter 6, Theorem 10.28 implies that the
energy functional and the invariant of generalized metrics λ(G) in Definition 6.1
are compatible with topological T-duality.
Remark 10.29. In the context of type II string theory (see Remark 3.43),
Theorem 10.28 shows that the low-energy string effective action functional (3.42) is
invariant under T-duality, as observed originally in [15]. In this physics setup, T-
duality is regarded as a symmetry of the Σ-model action (2.25), while the functional
(3.42) is obtained from (2.25) via a complicated Feynman diagram expansion. Thus,
Theorem 10.28 can be regarded as a ‘quantum effect’ of T-duality.
10.6. EXAMPLES 237
10.6. Examples
We start with examples of T-dual generalized Ricci flat and scalar flat metrics.
The first example is classical, and shows that T-duality recovers ‘topological mirror
symmetry’ for semi-flat Calabi-Yau metrics.
Example 10.30. Consider the non-compact manifold M = D × T k , where
D ⊂ Rk is the unit disk. We wish to endow M with a T k -invariant Ricci flat
metric and apply T-duality to it. For this, we take coordinates (x1 , . . . xk ) on D
and (y 1 , · · · , y k ) on T k , so that {dy 1 , . . . , dy k } is a global frame for T ∗ T k . By a
theorem by Cheng and Yau [46], given a positive constant C there exists a unique
solution
φ: D → R
to the real Monge-Ampère equation
!
∂2φ
det = C,
∂xi ∂xj
satisfying the boundary condition and convexity property
!
∂2φ
φ|∂D = 0, > 0.
∂xi ∂xj
k k
on M = D × T × T̂ , it follows directly from Definition 10.1 that (M, 0) is T-dual
to (M̂ , 0). Arguing as in the proof of Lemma 10.22, the isomorphism ψ in the proof
of Theorem 10.11 is given by
! !
∂ ∂ j j ∂ ∂
ψ j
= j
, ψ(dx ) = dx , ψ j
= −dŷ j , ψ(dy j ) = − j .
∂x ∂x ∂y ∂ ŷ
238 10. T-DUALITY
Consider next the pair (G, divG ), where G is the generalized metric above and divG
is the associated Riemannian divergence (see Definition 2.46). By Propositions
3.30 and 3.39, this pair is trivially Ricci flat and scalar flat, and hence so is the
ˆ by Propositions 10.15 and 10.26. We already
corresponding T-dual pair (Ĝ, div)
ˆ applying the dilaton shift formula in
have a formula for Ĝ, so let us calculate div
Proposition 10.25. For this, notice that
ν = det(φij )1/2 dy1 ∧ . . . dyk = C 1/2 dy1 ∧ . . . ∧ dyk ,
ν̂ = det(φij )1/2 dŷ1 ∧ . . . ∧ dŷk = C −1/2 dŷ1 ∧ . . . ∧ dŷk ,
and therefore by (10.12)
ê = −2d log C = 0.
By Proposition 3.30, we conclude that ĝ is a Ricci flat metric in the standard sense.
To see this more explicitly, we apply the Legendre transform to the base coor-
dinates, defining new coordinates x̂j on the disk D by
∂ x̂i
= φij .
∂xj
In these new coordinates, the T-dual metric reads
X
ĝ = φij (dx̂i ⊗ dx̂j + dŷ i ⊗ dŷ j ),
i,j
√
and taking complex coordinates ẑ j = x̂j + −1ŷ j we conclude as before that ĝ is
a semi-flat Calabi-Yau metric on M̂ .
Our second example shows the effect of T-duality on the generalized Ricci flat
and scalar flat metrics on S 3 × S 1 considered in Example 3.51.
Example 10.31. Consider the compact four-dimensional manifold M = SU (2)×
U (1) in Example 3.51. We regard M as a principal T 2 -bundle over S 2 ∼
= U (1)\SU (2),
via the natural left action of the abelian subgroup
T 2 = U (1) × U (1) ⊂ SU (2) × U (1).
Consider the T 2 -equivariant Courant algebroid (T M ⊕ T ∗ M, h, i , [, ]H ) over M ,
where
H = −ke123
10.6. EXAMPLES 239
for k ∈ R.
We claim that (M, [H]) is self-T-dual. To see this, we regard the correspondence
space M in Definition 10.1 inside the Lie group
ι : M ֒→ M × M̂ ,
where M̂ denotes another copy of M endowed with the three-form Ĥ = −kê123 .
Then, define B as the pull-back to M of a left-invariant two-form
B = −ι∗ (ke1 ∧ ê1 + e4 ∧ ê4 ).
Then, we have
dB = −ι∗ (ke23 ∧ ê1 − ke1 ∧ ê23 ) = −ι∗ (kê123 − ke123 ) = p̂∗ Ĥ − p∗ H
where we used that ι∗ de1 = ι∗ e23 = ι∗ ê23 = ι∗ dê1 , since e23 and ê23 are basic.
Consider now the Ricci flat and scalar flat closed pair (G, div) defined in Exam-
ple 3.51. By Propositions 10.15 and 10.17 the corresponding T-dual pair (Ĝ, div) ˆ
±
is also Ricci flat, and has vanishing scalar curvatures S = 0. Let us calculate the
T-dual pair explicitly. A direct calculation as in the proof of Lemma 10.22 shows
that the isomorphism ψ in Theorem 10.11 satisfies
ψ(ej ) = êj , ψ(ej ) = êj , for j = 2, 3.
1
ψ(e1 ) = kê1 , ψ(e4 ) = ê4 , ψ(e1 ) = ê1 , ψ(e4 ) = ê4 .
k
By definition of G we have
V+ = he2 + ke2 , e3 + ke3 , e1 + ke1 , e4 + kx2 e4 i ⊂ T M ⊕ T ∗ M,
and therefore the T-dual generalized metric Ĝ is
V̂+ := ψ(V+ ) = hê2 + kê2 , ê3 + kê3 , ê1 + kê1 , kx2 ê4 + ê4 i ⊂ T M̂ ⊕ T ∗ M̂ .
Notice that
V̂+ := {X + ĝ(X) | X ∈ T M̂ },
where
ĝ = k(ê1 ⊗ ê1 + ê2 ⊗ ê2 + ê3 ⊗ ê3 + (kx)−2 e4 ⊗ e4 ).
Finally, we calculate the T-dual divergence
ˆ = divĜ − hê, ·i
div
applying the dilaton shift formula in Proposition 10.25. Note that
ν = kxe14 , ν̂ = x−1 ê14 ,
and therefore ν and ν̂ are constant on B = S 2 . By (10.12) we conclude
ê = ψ(ϕ) = ψ(−xe4 ) = −xê4 .
ˆ is a compatible pair, but it is no longer closed. Similarly as
Observe that (Ĝ, div)
ˆ is Ricci flat,
in Example 3.51, one can check now explicitly that the pair (Ĝ, div)
and has vanishing scalar curvatures S ± = 0. We leave this last part as an exercise
for the reader.
We finish this section with two explicit examples of T-dual solutions of the
generalized Ricci flow.
240 10. T-DUALITY
hence (M, H, θ) and (M̂ , Ĥ, θ̂) are topologically T-dual. Let gS 2 denote the round
metric on S 2 and consider an S 1 -invariant metric on S 3 of the form
g = Kθ ⊗ θ + LgS 2 .
Observe that by applying Proposition 10.24 we obtain that (g, 0) is T-dual to (ĝ, b̂)
with
ĝ = K −1 θ̂ ⊗ θ̂ + LgS 2 ,
(10.16)
b̂ = 0.
The solution to generalized Ricci flow with initial condition (g, 0) on S 3 has b ≡ 0
for all time, and takes the form
K2 K
K̇ = − , L̇ = −2 + .
L2 L
Expressing the T-dual data as ĝ = K̂ θ̂ ⊗ θ̂ + L̂gS 2 and using (10.16) we obtain the
evolution equation for ĝ as
˙ 1 ˙ 1
K̂ = , L̂ = −2 + ,
L̂ 2 K̂ L̂
which one can check is a solution to generalized Ricci flow. Observe that S 3 shrinks
to a round point under the flow, whereas on S 2 × S 1 the S 2 shrinks to a point while
the S 1 fiber blows up.
Example 10.33. Let M ∼ = S 2n+1 and consider the Hopf fibration S 1 →
2n+1
S → CP , and let θ denote the connection one-form on S 2n+1 satisfying
n
dimension (for instance [27], [92]) can be applied to invariant metrics satisfying
curvature positivity conditions to generate similar examples.
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