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# Log Crepant Birational Maps and Derived Categories

## 1 Introduction

The purpose of this paper is to extend the conjecture stated in the paper  to the logarithmic case and prove some supporting evidences.  Conjecture 1.2 predicts that birationally equivalent smooth projective varieties have equivalent derived categories if and only if they have equivalent canonical divisors.

According to the experience of the minimal model theory, one has to deal with singular varieties instead of only smooth varieties for the classification of algebraic varieties. Moreover, we should consider not only varieties but also pairs consisting of varieties and divisors on them. These pairs are expected to have some milder singularities, the log terminal singularities.

On the other hand, the theory of derived categories works well under the smoothness assumption of the variety. The reason is that the global dimension is finite only in the case of smooth varieties.

In this paper we shall consider pairs of varieties and $``$-divisors which have smooth local coverings (Definition 2.1), and conjecture that, if there is an equivalence of log canonical divisors between birationally equivalent pairs, then there is an equivalence of derived categories (Conjecture 2.2). We note that we need to consider the sheaves on the stacks associated to the pairs instead of the usual sheaves on the varieties in order to have equivalences of derived categories as already notices in . This is a generalization of the conjecture in , and includes the case considered in . We note that crepant resolutions in higher dimensions are rare but there are many log crepant partial resolutions of quotient singularities by finite subgroups of general linear groups. We note also that, even in the case in which there is a birational morphism between varieties, the direction of the inclusion of the category may be different from that of the morphism, but coincides with that of the inequality of the log canonical divisors.

In §3, we consider the problem on recovering the variety from the category. We prove that some basic birational invariants related to the canonical divisors can be recovered from the derived category (Theorem 3.1). In particular, we prove the converse statement of the conjecture. On the other hand, we remark that the variety itself can be reconstructed from the category of coherent sheaves (Theorem 3.2).

In §4, we consider the toroidal varieties and prove that the conjecture holds in this case (Theorem 4.2). This is a generalization of  Theorem 5.2. We note that our result implies the McKay correspondence for abelian quotient singularities as a special case.

We conclude the paper with a remark on the relationship with the non-commutative geometry in Proposition 4.7. We maybe need the moduli theoretic interpretation of the log crepant maps in order to deal with the conjecture in the difficult general case.

The author would like to thank Yong-bin Ruan, Tom Bridgeland, Andrei Caldararu and Kenji Matsuki for useful discussions.

## 2 Derived equivalence conjecture

We shall consider pairs of varieties with $``$-divisors which have local coverings by smooth varieties:

###### Definition 2.1.

Let $`X`$ be a normal variety, and $`B`$ an effective $``$-divisor on $`X`$ whose coefficients belong to the standard set $`\{11/n;n\}`$. Assume the following condition.

(\*) There exists a quasi-finite and surjective morphism $`\pi :UX`$ from a smooth variety, which may be reducible, such that $`\pi ^{}(K_X+B)=K_U`$.

Let $`R=(U\times _XU)\stackrel{~}{}`$ be the normalization of the fiber product. Then the projections $`p_i:RU`$ are etale for $`i=1,2`$, because there is no ramification divisor for $`p_i`$.

We define the associated Deligne-Mumford stack $`𝒳`$ as a $`2`$-functor

$$𝒳:(Sch)(Groupoid)$$

where $`(Sch)`$ is the category of schemes and $`(Groupoid)`$ is the $`2`$-category of groupoids, categories themselves whose morphisms are only isomorphisms. The $`2`$-functor $`𝒳`$ is the sheaf with respect to the etale topology which is defined in the following way. For any scheme $`B`$, an object of the category $`𝒳(B)`$ is an element of the set $`U(B)=\text{Hom}(B,U)`$, and a morphism of the category $`𝒳(B)`$ is an element of the set $`R(B)=\text{Hom}(B,R)`$. For a morphism $`f:B^{}B`$, we have a functor $`f^{}:𝒳(B)𝒳(B^{})`$ given by $`f^{}:U(B)U(B^{})`$ and $`f^{}:R(B)R(B^{})`$.

If we replace $`U`$ by its etale covering, then the category $`𝒳(B)`$ is replaced by an equivalent category so that the stack $`𝒳`$ does not depend on the choice of the covering $`\pi :UX`$ but only on the pair $`(X,B)`$.

###### Conjecture 2.2.

Let $`(X,B)`$ and $`(Y,C)`$ be pairs of quasi-projective varieties with $``$-divisors which satisfy the condition (\*) in Definition 2.1, and let $`𝒳`$ and $`𝒴`$ be the associated stacks. Assume that there are proper birational morphisms $`\mu :WX`$ and $`\nu :WY`$ from a third variety $`W`$ such that $`\mu ^{}(K_X+B)=\nu ^{}(K_Y+C)`$. Then there exists an equivalence as triangulated categories $`D^b(\text{Coh}(𝒳))D^b(\text{Coh}(𝒴))`$.

The pairs considered in the conjecture are very special kind of log terminal pairs. But our assumption is sifficiently general in dimension $`2`$:

###### Proposition 2.3.

(1) Let $`(X,B)`$ be a pair which satisfies the condition (\*) in Definition 2.1. Then the pair $`(X,B)`$ is log terminal.

(2) Let $`X`$ be a normal surface, and $`B`$ an effective $``$-divisor on $`X`$ whose coefficients belong to the standard set $`\{11/n;n\}`$. Assume that the pair $`(X,B)`$ is log terminal. Then the pair satisfies the condition (\*) in Definition 2.1.

###### Proof.

(1) Let $`\mu :YX`$ be a proper birational morphism, and $`E`$ an exceptional prime divisor of $`\mu `$. Then there is a birational morphism $`\nu :VU`$ with a quasi-finite morphism $`\rho :VY`$ and a exceptional prime divisor $`F`$ of $`\rho `$ which dominates $`E`$. We can write $`\mu ^{}(K_X+B)=K_Y+aE+\mathrm{}`$ and $`\nu ^{}K_U=K_V+bF+\mathrm{}`$. If $`e`$ is the ramification index of the morphism $`\rho `$ along $`F`$, then we have $`b=ae+(e1)`$. Since $`b>0`$, we conclude that $`a>1`$.

(2) We may always replace $`X`$ by its open covering in the etale topology in the course of the proof. Fixing a point $`xX`$, we shall construct our covering in a neighborhood of $`x`$. Let $`\{n_1,n_2,\mathrm{}\}`$ be the set of all integers such that the numbers $`11/n_i`$ appear as coefficients of irreducible components of $`B`$ which pass through $`x`$. We may assume that $`n_1>n_2>\mathrm{}`$.

By the classification of log terminal singularities on surfaces, $`X`$ has only quotient singularities in the etale topology. Thus there is a quasi-finite and surjective morphism $`\pi _1:X_1X`$ from a smooth surface which is etale in codimension $`1`$. Let $`B_1=\pi _1^{}B`$. By shrinking $`X_1`$ if necessary, we can take a cyclic Galois covering $`\pi _2:X_2X_1`$ of order $`n_1`$ which ramifies along the irreducible components of $`B_1`$ whose coefficients are equal to $`11/n_1`$. Let $`B_1^{}`$ be the sum of all the other irreducible components. Then we can show that the pair $`(X_2,B_2)`$ with $`B_2=\pi _2^{}B_1^{}`$ is again log terminal by a similar argument as in (1).

Since the set of integers arising from the coefficients of new pair $`(X_2,B_2)`$ is smaller, we obtain our assertion by induction. ∎

###### Example 2.4.

(1) Let $`X=^2/_8(1,3)`$, and $`f:YX`$ the minimal resolution. Then $`f^{}K_X=K_Y+\frac{1}{2}(C_1+C_2)`$ for the exceptional divisors $`C_1`$ and $`C_2`$; $`f`$ is log crepant as a morphism from $`(Y,\frac{1}{2}(C_1+C_2))`$ to $`(X,0)`$. Furthermore, let $`g:ZY`$ be the blowing up at the point $`y_0=C_1C_2`$. Then $`g^{}(K_Y+\frac{1}{2}(C_1+C_2))=K_Z+\frac{1}{2}(C_1^{}+C_2^{})`$, where $`C_i^{}`$ is the strict transform of $`C_i`$ for $`i=1,2`$. Thus $`fg`$ is log crepant as a morphism from $`(Z,\frac{1}{2}(C_1^{}+C_2^{}))`$ to $`(X,0)`$.

(2) Let $`X=^2`$, $`D_i`$ ($`i=1,2`$) the coordinate curves, and $`f:YX`$ the weighted blowing up at the origin $`x_0=D_1D_2`$ with weight $`(1,2)`$. Then $`Y`$ has one ordinary double point, and $`f^{}(K_X+\frac{2}{3}(D_1+D_2))=K_Y+\frac{2}{3}(D_1^{}+D_2^{})`$, where $`D_i^{}`$ is the strict transform of $`D_i`$ for $`i=1,2`$. Thus $`f`$ is log crepant as a morphism from $`(Y,\frac{2}{3}(D_1^{}+D_2^{}))`$ to $`(X,\frac{2}{3}(D_1+D_2))`$.

## 3 Recovery of varieties from categories

The variety cannot be recovered from the derived category, but the canonical divisor can because the Serre functor is categorical:

###### Theorem 3.1.

Let $`(X,B)`$ and $`(Y,C)`$ be pairs of projective varieties with $``$-divisors which satisfy the condition (\*) in Definition 2.1, and let $`𝒳`$ and $`𝒴`$ be the associated stacks. Assume that there is an equivalence as triangulated categories:

$$F:D^b(\text{Coh}(𝒳))D^b(\text{Coh}(𝒴)).$$

Then the following hold:

(1) $`dimX=dimY`$.

(2) $`K_X+B`$ (resp. $`(K_X+B)`$) is nef if and only if $`K_Y+C`$ (resp. $`(K_Y+C)`$) is nef. Moreover, if this is the case, then the numerical Kodaira dimensions are equal

$$\nu (X,\pm (K_X+B))=\nu (Y,\pm (K_Y+C)).$$

(3) If $`K_X+B`$ or $`(K_X+B)`$ is big, then there are birational morphisms $`\mu :WX`$ and $`\nu :WY`$ from a third projective variety $`W`$ such that $`\mu ^{}(K_X+B)=\nu ^{}(K_Y+C)`$.

(4) There is an isomorphism of big canonical rings as graded $``$-algebras

$$\underset{m}{}H^0(X,\mathrm{}m(K_X+B)\mathrm{})\underset{m}{}H^0(Y,\mathrm{}m(K_Y+C)\mathrm{}).$$

###### Proof.

By , there exists an object on the product stack $`eD^b(\text{Coh}(𝒳\times 𝒴))`$ which is the kernel of the equivalence: $`F`$ is isomorphic to the integral functor $`\mathrm{\Phi }_{𝒳𝒴}^e`$ defined by $`\mathrm{\Phi }_{𝒳𝒴}^e(a)=p_2(p_1^{}ae)`$. Then the proofs of the statements (1) through (3) are similar to those in .

(4) This is due to Bridgeland and Caldararu. Let $`e^{}D^b(\text{Coh}(𝒳\times 𝒴))`$ be the kernel of the quasi-inverse of $`F`$. Let $`\mathrm{\Delta }_𝒳:𝒳𝒳\times 𝒳`$ and $`\mathrm{\Delta }_𝒴:𝒴𝒴\times 𝒴`$ be diagonal morphisms. Then $`ee^{}D^b(\text{Coh}(𝒳\times 𝒴\times 𝒳\times 𝒴))`$ is the kernel of an equivalence

$$G:D^b(\text{Coh}(𝒳\times 𝒳))D^b(\text{Coh}(𝒴\times 𝒴))$$

which satisfies

$$G(\mathrm{\Delta }_𝒳\omega _𝒳^m)\mathrm{\Delta }_𝒴\omega _𝒴^m$$

for any integer $`m`$ by . The conclusion follows from the following isomorphisms for $`m,m^{}`$

$$\begin{array}{cc}& \text{Hom}_{𝒳\times 𝒳}(\mathrm{\Delta }_𝒳\omega _𝒳^m,\mathrm{\Delta }_𝒳\omega _𝒳^m^{})\text{Hom}_𝒳(\mathrm{\Delta }_𝒳^{}\mathrm{\Delta }_𝒳\omega _𝒳^m,\omega _𝒳^m^{})\hfill \\ & \text{Hom}_𝒳(\omega _𝒳^m\underset{p=0}{\overset{dimX}{}}\mathrm{\Omega }_𝒳^p[p],\omega _𝒳^m^{})\text{Hom}_𝒳(\omega _𝒳^m,\omega _𝒳^m^{}).\hfill \end{array}$$

The variety can be recovered from the category of sheaves:

###### Theorem 3.2.

Let $`(X,B)`$ and $`(Y,C)`$ be pairs of projective varieties with $``$-divisors which satisfy the condition (\*) in Definition 2.1, and let $`𝒳`$ and $`𝒴`$ be the associated stacks. Assume that there is an equivalence as abelian categories:

$$F:\text{Coh}(𝒳)\text{Coh}(𝒴).$$

Then there exists an isomorphism $`f:XY`$ such that $`f_{}B=C`$. Moreover, if $`X`$ is smooth and $`B=0`$, then there exists an invertible sheaf $`L`$ on $`Y`$ such that $`F`$ is isomorphic to the functor $`f_{}^L`$ defined by $`f_{}^L(a)=f_{}aL`$.

###### Proof.

The functor $`F`$ is extendable to an equivalence as triangulated categories

$$\stackrel{~}{F}:D^b(\text{Coh}(𝒳))D^b(\text{Coh}(𝒴)).$$

By , there exists an object on the product stack $`eD^b(\text{Coh}(𝒳\times 𝒴))`$ such that $`F`$ is isomorphic to the integral functor $`\mathrm{\Phi }_{𝒳𝒴}^e`$. The object $`𝒪_x\text{Coh}(𝒳)`$ for $`xX`$ is simple, i.e, is non-zero and has no non-trivial subobject. Then the image $`p_2(p_1^{}𝒪_xe)`$ is also simple and supported at a point. Therefore, the support of $`e`$ is a graph of a bijection $`f:XY`$, which is an isomorphism by the Zariski main theorem. The coefficient of $`B`$ at any irreducible component is determined by the number of non-isomorphic simple objects above its generic point. It follows that $`C=f_{}B`$.

Under the additional assumption, we have

$$p_2(p_1^{}𝒪_xe)𝒪_{f(x)}$$

for any point $`xX`$. Therefore, $`e`$ is an invertible sheaf on the graph of $`f`$. ∎

## 4 Toroidal case

We confirm our conjecture in the case of toroidal varieties.

###### Definition 4.1.

Let $`X`$ be a normal variety and $`\overline{B}`$ a reduced divisor. The pair $`(X,\overline{B})`$ is said to be toroidal if, for each $`xX`$, there exists a toric variety $`(P_x,Q_x)`$ with a point $`t`$, called a toric chart, such that the completion $`(\widehat{X}_x,\widehat{\overline{B}}_x)`$ at $`x`$ is isomorphic to the completion $`(\widehat{(P_x)}_t,\widehat{(Q_x)}_t)`$ at $`t`$. A toroidal pair is said to be quasi-smooth if it has only quotient singularities. Such a pair always satisfies the condition (\*) in Definition 2.1.

A morphism $`f:(X,\overline{B})(Y,\overline{C})`$ of toroidal pairs is said to be toroidal if, for any point $`xX`$ and any toric chart $`(P_y^{},Q_y^{};t^{})`$ at $`y=f(x)Y`$, there exists a toric chart $`(P_x,Q_x;t)`$ at $`x`$ and a toric morphism $`g_x:(P_x,Q_x)(P_y^{},Q_y^{})`$ such that $`g_x(t)=t^{}`$ and the completion $`\widehat{f}_x:(\widehat{X}_x,\widehat{\overline{B}}_x)(\widehat{Y}_y,\widehat{\overline{C}}_y)`$ is isomorphic to the completion $`\widehat{(g_x)}_t:(\widehat{(P_x)}_t,\widehat{(Q_x)}_t)(\widehat{(P_y^{})}_t^{},\widehat{(Q_y^{})}_t^{})`$ under the toric chart isomorphisms.

A toroidal morphism $`f:(X,B)(Y,C)`$ is said to be a divisorial contraction if it is a projective birational morphism and such that the exceptional locus is a prime divisor. A pair of toroidal morphisms $`\varphi :(X,B)(Z,D)`$ and $`\psi :(Y,C)(Z,D)`$ is said to be a flip if they are projective birational morphisms such that the codimensions of their exceptional loci are at least $`2`$, the composite map $`(\psi )^1\varphi `$ is not an isomorphism, and that the relative Picard numbers $`\rho (X/Z)`$ and $`\rho (Y/Z)`$ are equal to $`1`$.

###### Theorem 4.2.

Let $`X`$ and $`Y`$ be quasi-smooth toroidal varieties, $`B`$ and $`C`$ be effective toroidal $``$-divisors on $`X`$ and $`Y`$, respectively, whose coefficients are contained in the set $`\{11/r|r_{>0}\}`$, and let $`𝒳`$ and $`𝒴`$ be smooth Deligne-Mumford stacks associated to the pairs $`(X,B)`$ and $`(Y,C)`$, respectively. Assume that one of the following holds.

(1) $`X=Y`$ and $`K_X+BK_Y+C`$.

(2) There is a toroidal divisorial contraction $`f:XY`$ such that $`C=f_{}B`$ and

$$K_X+Bf^{}(K_Y+C).$$

(3) There is a toroidal flip $`f:XZY`$ such that $`C=f_{}B`$ and

$$\mu ^{}(K_X+B)\nu ^{}(K_Y+C)$$

for common toroidal resolutions $`\mu :WX`$ and $`\nu :WY`$ with $`f=\nu \mu ^1`$.

(4) There is a toroidal divisorial contraction $`f:YX`$ such that $`B=f_{}C`$ and

$$f^{}(K_X+B)K_Y+C.$$

Setting $`Z=Y`$ in the cases (1) and (2) and $`Z=X`$ in the case (4), let $`𝒲=(𝒳\times _Z𝒴)\stackrel{~}{}`$ be the normalization of the fiber product with the natural morphisms $`\stackrel{~}{\mu }:𝒲𝒳`$ and $`\stackrel{~}{\nu }:𝒲𝒴`$. Then the functor

$$F=\stackrel{~}{\mu }_{}\stackrel{~}{\nu }^{}:D^b(\text{Coh}(𝒴))D^b(\text{Coh}(𝒳)).$$

is fully faithful. Moreover, if the inequality between the log canonical divisors become an equality, then $`F`$ is an equivalence of triangulated categories.

###### Proof.

Since the set of all the point sheaves span the derived categories, our assertion can be proved analytic locally. Hence we may assume that $`X,Y,Z`$ are toric varieties, $`Z`$ is affine, and that $`f`$ is a toric map. We note that the toroidal structure is only necessary near the exceptional locus of the given birational maps for the application of the theorem.

It is sufficient to prove the first assertion. Indeed, if the pull backs of $`K_X+B`$ and $`K_Y+C`$ are equal, then $`F`$ is automatically an equivalence, because it commutes with the Serre functors ().

Let $`N`$ be a lattice in $`^n`$ which contains $`^n`$, $`M`$ its dual lattice. Assume that the standard vectors $`v_1=(1,0,\mathrm{},0)`$, …, $`v_n=(0,\mathrm{},0,1)`$ are primitive in $`N`$. Let $`\{v_i^{}\}_{1in}`$ be the dual basis of $`\{v_i\}_{1in}`$.

(1) Let $`X=Y=Z`$ be the affine toric variety corresponding to the cone $`\sigma N_{}`$ generated by $`v_1,\mathrm{},v_n`$. Let $`D_i`$ be the prime divisors on $`X`$ corresponding to the $`v_i`$. Let $`r_i`$ and $`s_i`$ be positive integers attached to the divisors $`D_i`$ for $`1in`$ such that we have $`B=_i(1\frac{1}{r_i})D_i`$ and $`C=_i(1\frac{1}{s_i})D_i`$. By assumption, we have $`r_is_i`$ for all $`i`$.

The stacks $`𝒳`$ and $`𝒴`$ are defined by the coverings $`\pi _X:\stackrel{~}{X}X`$ and $`\pi _Y:\stackrel{~}{Y}Y`$ which correspond to the sublattices $`N_X`$ and $`N_Y`$ of $`N`$ generated by the $`r_iv_i`$ and $`s_iv_i`$ for $`1in`$, respectively. The stack $`𝒲`$ is defined by the covering $`\pi _W:\stackrel{~}{W}X`$ which correspond to the sublattice $`N_W=N_XN_YN`$. Let $`M_X`$, $`M_Y`$ and $`M_W`$ be the dual lattices of $`N_X`$, $`N_Y`$ and $`N_W`$, respectively. The morphisms $`\stackrel{~}{\mu }:𝒲𝒳`$ and $`\stackrel{~}{\nu }:𝒲𝒴`$ are given by inclusions $`M_XM_W`$ and $`M_YM_W`$, respectively. $`M_X`$ and $`M_Y`$ are generated by the $`\frac{1}{r_i}v_i^{}`$ and $`\frac{1}{s_i}v_i^{}`$, respectively. The dual lattice $`M_W`$ is equal to the sum $`M_X+M_YM_{}`$ generated by the $`\frac{1}{t_i}v_i^{}`$ with $`t_i=\text{LCM}(r_i,s_i)`$.

Let $`m=_{i=1}^n\frac{m_i}{s_i}v_i^{}M_Y`$ for $`m_i`$ be a monomial which generates an invertible sheaf $`L=𝒪_𝒴(_{i=1}^n\frac{m_i}{s_i}D_i)`$ on $`𝒴`$. Then the invertible sheaf $`\stackrel{~}{\nu }^{}L`$ on $`𝒲`$ is generated by the same monomial $`m`$, hence $`F(L)`$ on $`𝒳`$ is by the generator

$$F(m)=\underset{i=1}{\overset{n}{}}\frac{\mathrm{}\frac{m_ir_i}{s_i}\mathrm{}}{r_i}v_i^{}$$

of $`(m+\stackrel{ˇ}{\sigma })M_X`$. Let $`L^{}`$ be another invertible sheaf with the corresponding monomials

$$m^{}=\underset{i=1}{\overset{n}{}}\frac{m_i^{}}{s_i}v_i^{},F(m^{})=\underset{i=1}{\overset{n}{}}\frac{\mathrm{}\frac{m_i^{}r_i}{s_i}\mathrm{}}{r_i}v_i^{}.$$

We have

$$\begin{array}{cc}& \text{Hom}(L^{},L)=^{(mm^{}+\stackrel{ˇ}{\sigma })M}\hfill \\ & \text{Hom}(F(L^{}),F(L))=^{(F(m)F(m^{})+\stackrel{ˇ}{\sigma })M}.\hfill \end{array}$$

We calculate

$$0\mathrm{}\frac{m_im_i^{}}{s_i}\mathrm{}r_i+\mathrm{}\frac{m_i^{}r_i}{s_i}\mathrm{}\frac{m_ir_i}{s_i}(1\frac{1}{s_i})r_i+(1\frac{1}{s_i})<r_i$$

because $`s_ir_i`$. Thus

$$0\mathrm{}\frac{m_im_i^{}}{s_i}\mathrm{}r_i+\mathrm{}\frac{m_i^{}r_i}{s_i}\mathrm{}\mathrm{}\frac{m_ir_i}{s_i}\mathrm{}<r_i$$

hence

$$\mathrm{}\frac{m_im_i^{}}{s_i}\mathrm{}=\mathrm{}\frac{\mathrm{}\frac{m_ir_i}{s_i}\mathrm{}\mathrm{}\frac{m_i^{}r_i}{s_i}\mathrm{}}{r_i}\mathrm{}.$$

Therefore, the homomorphism

$$\text{Hom}(L^{},L)\text{Hom}(F(L^{}),F(L))$$

is bijective.

(2) Let $`Y=Z`$ be the affine toric variety corresponding to the cone $`\sigma N_{}`$ generated by $`v_1,\mathrm{},v_n`$ as in (1). Let $`v_{n+1}=(a_1,\mathrm{},a_n)N`$ be a primitive vector such that $`a_i>0`$ for $`1in^{}`$ and $`a_i=0`$ for $`n^{}<in`$. We assume that $`n^{}2`$. If we put $`a_{n+1}=1`$, then we have

$$\underset{i=1}{\overset{n+1}{}}a_iv_i=0.$$

Let $`\sigma _{i_0}`$ ($`1i_0n^{}`$) be the subcones of $`\sigma `$ generated by the $`v_i`$ for $`1in`$ with $`ii_0`$. Then there is a decomposition $`\sigma =_{i=1}^n^{}\sigma _i`$. Let $`f:XY`$ be the corresponding projective birational toric morphism, let $`D_i`$ be the prime divisors on $`X`$ corresponding to the $`v_i`$ for $`1in+1`$, and $`D_i^{}`$ their strict transforms on $`Y`$. $`D_{n+1}`$ is the exceptional divisor of $`f`$, and we put $`D_{n+1}^{}=0`$. Then we have $`f^{}D_i^{}=D_i+a_iD_{n+1}`$, hence $`D_ia_iD_{n+1}`$. The divisors $`D_i`$ for $`1in^{}`$ are positive for $`f`$.

Let $`r_i`$ be positive integers attached to the divisors $`D_i`$ for $`1in+1`$ such that we have $`B=_i(1\frac{1}{r_i})D_i`$. Our condition

$$K_X+\underset{i=1}{\overset{n+1}{}}\frac{r_i1}{r_i}D_if^{}(K_Y+\underset{i=1}{\overset{n}{}}\frac{r_i1}{r_i}D_i^{}).$$

is equivalent to

$$\underset{i=1}{\overset{n+1}{}}\frac{a_i}{r_i}0$$

because $`K_X+_{i=1}^{n+1}D_i=f^{}(K_Y+_{i=1}^nD_i^{})`$.

The toric variety $`X`$ is covered by the affine toric varieties $`X_{\sigma _{i_0}}`$ for $`1i_0n^{}`$. The stacks $`𝒳`$ and $`𝒴`$ are defined by the coverings $`\pi _{X,i_0}:\stackrel{~}{X}_{\sigma _{i_0}}X_{\sigma _{i_0}}`$ and $`\pi _Y:\stackrel{~}{Y}Y`$ which correspond to the sublattices $`N_{i_0}`$ of $`N`$ generated by the $`r_iv_i`$ for $`1in+1`$ with $`ii_0`$ and $`N_{n+1}`$ generated by the $`r_iv_i`$ for $`1in`$, respectively. The stack $`𝒲`$ above $`X`$ is defined by the coverings $`\pi _{W,i_0}:\stackrel{~}{W}_{\sigma _{i_0}}X_{\sigma _{i_0}}`$ which correspond to the sublattices $`N_{i_0,n+1}=N_{i_0}N_{n+1}N`$. We note that the morphism of stacks $`\stackrel{~}{\mu }:𝒲𝒳`$ is not necessarily an isomorphism. If $`1i_0n`$, then the dual lattice $`M_{i_0}`$ of $`N_{i_0}`$ is generated by $`\frac{1}{r_i}v_i^{}\frac{a_i}{a_{i_0}r_i}v_{i_0}^{}`$ for $`1in`$ with $`ii_0`$ and $`\frac{1}{a_{i_0}r_{n+1}}v_{i_0}^{}`$. The dual lattice $`M_{n+1}`$ of $`N_{n+1}`$ is generated by $`\frac{1}{r_i}v_i^{}`$ for $`1in`$. The dual lattice $`M_{i_0,n+1}`$ of $`N_{i_0,n+1}`$ is equal to the sum $`M_{i_0}+M_{n+1}M_{}`$.

Let $`m=_{i=1}^n\frac{k_i}{r_i}v_i^{}M_{n+1}`$ with $`k_i`$ be a monomial which corresponds to an invertible sheaf $`L`$ on $`𝒴`$. Then the invertible sheaf $`F(L)`$ on $`𝒳`$ is given by the generators $`m_{i_0}`$ of $`(m+\stackrel{ˇ}{\sigma }_{i_0})M_{i_0}`$ given by

$$m_{i_0}=\underset{1in,ii_0}{}\frac{k_i}{r_i}v_i^{}+(\frac{k_{n+1}}{a_{i_0}r_{n+1}}\underset{1in,ii_0}{}\frac{a_ik_i}{a_{i_0}r_i})v_{i_0}^{}$$

where $`k_{n+1}`$ is a smallest integer such that

$$\frac{k_{n+1}}{a_{i_0}r_{n+1}}\underset{1in,ii_0}{}\frac{a_ik_i}{a_{i_0}r_i}\frac{k_{i_0}}{r_{i_0}}$$

that is

$$k_{n+1}=\mathrm{}r_{n+1}\underset{i=1}{\overset{n}{}}\frac{a_ik_i}{r_i}\mathrm{}.$$

We note that $`k_{n+1}`$ is independent of $`i_0`$. Let $`L^{}`$ be another invertible sheaf corresponding to the monomial $`m^{}=_{i=1}^n\frac{k_i^{}}{r_i}v_i^{}`$, and let

$$m_{i_0}^{}=\underset{1in,ii_0}{}\frac{k_i^{}}{r_i}v_i^{}\underset{1in+1,ii_0}{}\frac{a_ik_i^{}}{a_{i_0}r_i}v_{i_0}^{},k_{n+1}^{}=\mathrm{}r_{n+1}\underset{i=1}{\overset{n}{}}\frac{a_ik_i^{}}{r_i}\mathrm{}$$

where we note that $`a_{n+1}=1`$.

Since $`f`$ is birational and $`om(L^{},L)`$ is torsion free, the natural homomorphism

$$\text{Hom}(L^{},L)\text{Hom}(F(L^{}),F(L))$$

is injective. It is also surjective because the complement of the indeterminacy locus of $`f^1`$ in $`Y`$ has codimension at least $`2`$. Since $`\text{Hom}^p(L^{},L)=0`$ for $`p>0`$, it is sufficient to prove that $`\text{Hom}^p(F(L^{}),F(L))=0`$ for $`p>0`$ in order to prove that $`F`$ is fully faithful.

The invertible sheaf $`om(F(L^{}),F(L))`$ is given by the monomials

$$m_{i_0}m_{i_0}^{}=\underset{1in,ii_0}{}\frac{k_ik_i^{}}{r_i}v_i^{}\underset{1in+1,ii_0}{}\frac{a_i(k_ik_i^{})}{a_{i_0}r_i}v_{i_0}^{}.$$

We consider the divisorial reflexive sheaf

$$om(F(L^{}),F(L))_X=𝒪_X(\underset{i=1}{\overset{n+1}{}}\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}D_i)$$

on $`X`$. Since $`f^{}D_i^{}D_i+a_iD_{n+1}`$ for $`1in`$, we have

$$\underset{i=1}{\overset{n+1}{}}\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}D_i\underset{i=1}{\overset{n+1}{}}a_i\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}D_{n+1}.$$

We calculate

$$\begin{array}{cc}& \underset{i=1}{\overset{n+1}{}}\frac{a_i(k_ik_i^{})}{r_i}\hfill \\ & =\underset{i=1}{\overset{n}{}}\frac{a_i(k_ik_i^{})}{r_i}\frac{\mathrm{}r_{n+1}_{i=1}^n\frac{a_ik_i}{r_i}\mathrm{}}{r_{n+1}}+\frac{\mathrm{}r_{n+1}_{i=1}^n\frac{a_ik_i^{}}{r_i}\mathrm{}}{r_{n+1}}\hfill \\ & <\frac{1}{r_{n+1}}\underset{i=1}{\overset{n}{}}\frac{a_i}{r_i}.\hfill \end{array}$$

Therefore we have

$$\underset{i=1}{\overset{n+1}{}}a_i\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}\underset{i=1}{\overset{n+1}{}}\frac{a_i(k_ik_i^{})}{r_i}+\underset{i=1}{\overset{n}{}}\frac{a_i(r_i1)}{r_i}<\underset{i=1}{\overset{n}{}}a_i.$$

On the other hand, we have $`K_X+D_{n+1}(_{i=1}^na_i)D_{n+1}`$. Since $`D_{n+1}`$ is an $`f`$-ample $``$-divisor, we conclude by the vanishing theorem ( Theorem 1.2.5) that

$$\text{Hom}^p(F(L^{}),F(L))H^p(om(F(L^{}),F(L))_X)=0$$

for $`p>0`$.

(3) Let $`v_{n+1}=(a_1,\mathrm{},a_n)N`$ be a primitive vector such that $`a_i>0`$ for $`1in^{}`$, $`a_i=0`$ for $`n^{}<in^{\prime \prime }`$ and $`a_i<0`$ for $`n^{\prime \prime }<in`$. We assume that $`2n^{}`$ and $`n^{\prime \prime }<n`$. If we put $`a_{n+1}=1`$, then we have

$$\underset{i=1}{\overset{n+1}{}}a_iv_i=0.$$

Let $`v_1,\mathrm{},v_{n+1}`$ be the convex cone generated by the $`v_i`$ for $`1in+1`$, and let $`\sigma _{i_0}`$ ($`1i_0n+1`$) be the subcones generated by the $`v_i`$ for $`1in+1`$ with $`ii_0`$. Then there are two decompositions:

$$v_1,\mathrm{},v_{n+1}=\underset{i=1}{\overset{n^{}}{}}\sigma _i=\underset{i=n^{\prime \prime }+1}{\overset{n+1}{}}\sigma _i.$$

Let $`Z`$ be an affine toric variety corresponding to the lattive $`N`$ and the cone $`v_1,\mathrm{},v_{n+1}`$. Let $`g:XZ`$ and $`h:YZ`$ be projective birational toric morphisms corresponding to these subdivisions, and let $`f=hg^1:XY`$ be the composite proper birational map. Let $`D_i`$ be the prime divisors on $`X`$ corresponding to the $`v_i`$ for $`1in+1`$, and $`D_i^{}`$ their strict transforms on $`Y`$. Then we have $`D_ia_iD_{n+1},D_i^{}a_iD_{n+1}^{}`$. The divisors $`D_i`$ ($`1in^{}`$) are positive for $`g`$, and the $`D_i`$ ($`n^{\prime \prime }<in+1`$) negative.

Let $`v_{n+2}=_{i=1}^n^{}\lambda a_iv_i=_{i=n^{\prime \prime }+1}^{n+1}\lambda (a_i)v_i`$, where $`\lambda `$ is the smallest positive number such that $`v_{n+2}`$ becomes a primitive vector in $`N`$. We define the subcones $`\sigma _{i_0i_1}`$ for $`1i_0n^{}`$ and $`n^{\prime \prime }<i_1n+1`$ to be the ones generated by the $`v_i`$ for $`1in+1`$ with $`ii_0,i_1`$ and $`v_{n+2}`$. Then we have two decompositions

$$\sigma _{i_1}=\underset{i=1}{\overset{n^{}}{}}\sigma _{ii_1},\sigma _{i_0}=\underset{i=n^{\prime \prime }+1}{\overset{n+1}{}}\sigma _{i_0i}$$

so that

$$v_1,\mathrm{},v_{n+1}=\underset{1in^{},n^{\prime \prime }+1jn+1}{}\sigma _{ij}.$$

Let $`W`$ be the toric variety corresponding to this subdivision with natural projective birational morphisms $`\mu :WX`$ and $`\nu :WY`$ :

$$\begin{array}{ccc}W& \stackrel{\nu }{}& Y\\ \mu & & h& & \\ X& \underset{g}{}& Z.\end{array}$$

Let $`D_i^{\prime \prime }`$ be the prime divisors on $`W`$ corresponding to the $`v_i`$ for $`1in+2`$. We have

$$\begin{array}{cc}& \mu ^{}D_i=\{\begin{array}{cc}D_i^{\prime \prime }\hfill & \text{ if }1in^{}\hfill \\ D_i^{\prime \prime }+\lambda (a_i)D_{n+2}^{\prime \prime }\hfill & \text{ if }n^{\prime \prime }<in+1\hfill \end{array}\hfill \\ & \nu ^{}D_i^{}=\{\begin{array}{cc}D_i^{\prime \prime }+\lambda a_iD_{n+2}^{\prime \prime }\hfill & \text{ if }1in^{}\hfill \\ D_i^{\prime \prime }\hfill & \text{ if }n^{\prime \prime }<in+1.\hfill \end{array}\hfill \end{array}$$

If $`r_1,\mathrm{},r_{n+1}`$ are the positive integers attached to the divisors $`D_i`$, then our condition

$$\mu ^{}(K_X+\underset{i=1}{\overset{n+1}{}}\frac{r_i1}{r_i}D_i)\nu ^{}(K_Y+\underset{i=1}{\overset{n+1}{}}\frac{r_i1}{r_i}D_i^{}).$$

is equivalent to

$$\underset{i=1}{\overset{n+1}{}}\frac{a_i}{r_i}0$$

because $`\mu ^{}(K_X+_{i=1}^{n+1}D_i)=\nu ^{}(K_Y+_{i=1}^{n+1}D_i^{})=K_W+_{i=1}^{n+2}D_i^{\prime \prime }`$.

The toric varieties $`X`$ and $`Y`$ are covered by the affine toric varieties $`X_{\sigma _{i_0}}`$ for $`1i_0n^{}`$ and $`Y_{\sigma _{i_0}}`$ for $`n^{\prime \prime }<i_0n+1`$, respectively. The stacks $`𝒳`$ and $`𝒴`$ are defined by the coverings $`\pi _{X,i_0}:\stackrel{~}{X}_{\sigma _{i_0}}X_{\sigma _{i_0}}`$ and $`\pi _{Y,i_0}:\stackrel{~}{Y}_{\sigma _{i_0}}Y_{\sigma _{i_0}}`$ which correspond to the sublattices $`N_{i_0}`$ of $`N`$ generated by the $`r_iv_i`$ for $`1in+1`$ with $`ii_0`$. $`W`$ is covered by $`W_{\sigma _{i_0i_1}}`$ for $`1i_0n^{}`$ and $`n^{\prime \prime }<i_1n+1`$, and the stack $`𝒲`$ is defined by the coverings $`\pi _{W,i_0i_1}:\stackrel{~}{W}_{\sigma _{i_0i_1}}W_{\sigma _{i_0i_1}}`$ which correspond to the sublattices $`N_{i_0i_1}=N_{i_0}N_{i_1}N`$. The morphisms $`\mu :WX`$ and $`\nu :WY`$ are covered by morphisms $`\stackrel{~}{\mu }:𝒲𝒳`$ and $`\stackrel{~}{\nu }:𝒲𝒴`$ of stacks. If $`1i_0n`$, then the dual lattice $`M_{i_0}`$ of $`N_{i_0}`$ is generated by $`\frac{1}{r_i}v_i^{}\frac{a_i}{a_{i_0}r_i}v_{i_0}^{}`$ for $`1in`$ with $`ii_0`$ and $`\frac{1}{a_{i_0}r_{n+1}}v_{i_0}^{}`$. The dual lattice $`M_{n+1}`$ of $`N_{n+1}`$ is generated by $`\frac{1}{r_i}v_i^{}`$ for $`1in`$. The dual lattice $`M_{i_0i_1}`$ of $`N_{i_0i_1}`$ is equal to the sum $`M_{i_0}+M_{i_1}M_{}`$.

Let $`L=𝒪_𝒴(_{i=1}^{n+1}\frac{k_i}{r_i}D_i^{})`$ be an invertible sheaf on $`𝒴`$, where $`k_i`$ are integers. We have

$$\begin{array}{cc}& \stackrel{~}{\nu }^{}L=𝒪_𝒲(\underset{i=1}{\overset{n+1}{}}\frac{k_i}{r_i}D_i^{\prime \prime }+\underset{i=1}{\overset{n^{}}{}}\frac{\lambda a_ik_i}{r_i}D_{n+2}^{\prime \prime })\hfill \\ & =\stackrel{~}{\mu }^{}𝒪_𝒳(\underset{i=1}{\overset{n+1}{}}\frac{k_i}{r_i}D_i)𝒪_𝒲(\underset{i=1}{\overset{n+1}{}}\frac{\lambda a_ik_i}{r_i}D_{n+2}^{\prime \prime }).\hfill \end{array}$$

Since

$$K_W+\underset{i=1}{\overset{n+1}{}}\frac{r_i1}{r_i}D_i^{\prime \prime }+D_{n+2}^{\prime \prime }=\mu ^{}(K_X+\underset{i=1}{\overset{n+1}{}}\frac{r_i1}{r_i}D_i)\underset{i=n^{\prime \prime }+1}{\overset{n+1}{}}\frac{\lambda a_i}{r_i}D_{n+2}^{\prime \prime }$$

we have $`R^p\stackrel{~}{\mu }_{}\stackrel{~}{\nu }^{}L=0`$ for $`p>0`$, if $`_{i=1}^{n+1}\frac{a_ik_i}{r_i}<_{i=n^{\prime \prime }+1}^{n+1}\frac{a_i}{r_i}`$ by  Theorem 1.2.5. Thus if

$$0\underset{i=1}{\overset{n+1}{}}\frac{a_ik_i}{r_i}<\underset{i=n^{\prime \prime }+1}{\overset{n+1}{}}\frac{a_i}{r_i}$$
(4.1)
then we have $`F(L)=𝒪_𝒳(_{i=1}^{n+1}\frac{k_i}{r_i}D_i)`$.

Let $`L^{}=𝒪_𝒴(_{i=1}^{n+1}\frac{k_i^{}}{r_i}D_i^{})`$ be another invertible sheaf. We assume that both $`L`$ and $`L^{}`$ are in the range (4.1). Since $`f`$ is isomorphic in codimension $`1`$, the natural homomorphism

$$\text{Hom}(L^{},L)\text{Hom}(F(L^{}),F(L))$$

is bijective. We shall prove that their higher Hom’s vanish on both $`X`$ and $`Y`$.

We have $`om(L^{},L)_Y=𝒪_Y(_{i=1}^{n+1}\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}D_i^{})`$ and

$$\underset{i=1}{\overset{n+1}{}}\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}D_i^{}(\underset{i=1}{\overset{n+1}{}}a_i\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{})D_{n+1}^{}.$$

Since $`_{i=1}^{n+1}a_i\frac{k_ik_i^{}}{r_i}>_{i=n^{\prime \prime }+1}^{n+1}\frac{a_i}{r_i}`$, we have

$$\underset{i=1}{\overset{n+1}{}}a_i\mathrm{}\frac{(k_ik_i^{})}{r_i}\mathrm{}>\underset{i=n^{\prime \prime }+1}{\overset{n+1}{}}\frac{a_i}{r_i}+\underset{i=n^{\prime \prime }+1}{\overset{n+1}{}}a_i\frac{r_i1}{r_i}=\underset{i=n^{\prime \prime }+1}{\overset{n+1}{}}a_i.$$

Since $`K_Y+_{i=1}^n^{}D_i^{}_{i=n^{\prime \prime }+1}^{n+1}D_i^{}(_{i=n^{\prime \prime }+1}^{n+1}a_i)D_{n+1}^{}`$ and $`D_{n+1}^{}`$ is ample, we conclude that

$$\text{Hom}^p(L^{},L)=H^p(Y,om(L^{},L)_Y)=0$$

for $`p>0`$ by  Theorem 1.2.5.

Similarly, we have $`om(F(L^{}),F(L))_X=𝒪_X(_{i=1}^{n+1}\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}D_i)`$ and

$$\underset{i=1}{\overset{n+1}{}}\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}D_i(\underset{i=1}{\overset{n+1}{}}a_i\mathrm{}\frac{(k_ik_i^{})}{r_i}\mathrm{})D_{n+1}.$$

Since $`_{i=1}^{n+1}\frac{a_i(k_ik_i^{})}{r_i}>_{i=n^{\prime \prime }+1}^{n+1}\frac{a_i}{r_i}`$, we have

$$\begin{array}{cc}& \underset{i=1}{\overset{n+1}{}}a_i\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}>\underset{i=n^{\prime \prime }+1}{\overset{n+1}{}}\frac{a_i}{r_i}\underset{i=1}{\overset{n^{}}{}}a_i\frac{r_i1}{r_i}\hfill \\ & \underset{i=1}{\overset{n^{}}{}}\frac{a_i}{r_i}\underset{i=1}{\overset{n^{}}{}}a_i\frac{r_i1}{r_i}=\underset{i=1}{\overset{n^{}}{}}a_i.\hfill \end{array}$$

Since $`K_X+_{i=n^{\prime \prime }+1}^{n+1}D_i_{i=1}^n^{}D_i(_{i=1}^n^{}a_i)D_{n+1}`$ and $`D_{n+1}`$ is ample, we conclude that

$$\text{Hom}^p(F(L^{}),F(L))=H^p(X,om(F(L^{}),F(L))_X)=0$$

for $`p>0`$ by  Theorem 1.2.5. Therefore, the proof of the fully faithfulness of $`F`$ is reduced to the following Lemma 4.3 by using .

(4) We interchange $`X`$ and $`Y`$, and use the notation of (2). The inequality $`K_X+Bf^{}(K_Y+C)`$ implies that

$$\underset{i=1}{\overset{n}{}}\frac{a_i}{r_i}\frac{1}{r_n}.$$

Let $`L=𝒪_𝒳(_{i=1}^{n+1}\frac{k_i}{r_i}D_i)`$ be an invertible sheaf on $`𝒳`$, where $`k_i`$ are integers. Since $`f^{}D_i^{}=D_i+a_iD_{n+1}`$, we have

$$\stackrel{~}{\mu }^{}L=𝒪_𝒲(\underset{i=1}{\overset{n+1}{}}\frac{k_i}{r_i}D_i^{\prime \prime })=\stackrel{~}{\nu }^{}𝒪_𝒴(\underset{i=1}{\overset{n}{}}\frac{k_i}{r_i}D_i^{})𝒪_𝒲(\underset{i=1}{\overset{n+1}{}}\frac{a_ik_i}{r_i}D_{n+1}^{\prime \prime })$$

where we note that $`a_{n+1}=1`$. Since

$$K_X+\underset{i=1}{\overset{n}{}}\frac{r_i1}{r_i}D_i+D_{n+1}=f^{}(K_Y+\underset{i=1}{\overset{n}{}}\frac{r_i1}{r_i}D_i^{})+\underset{i=1}{\overset{n}{}}\frac{a_i}{r_i}D_{n+1}$$

we have $`R^p\stackrel{~}{\nu }_{}\stackrel{~}{\mu }^{}L=0`$ for $`p>0`$ if $`_{i=1}^{n+1}\frac{a_ik_i}{r_i}<_{i=1}^n\frac{a_i}{r_i}`$. Thus if

$$0\underset{i=1}{\overset{n+1}{}}\frac{a_ik_i}{r_i}<\underset{i=1}{\overset{n}{}}\frac{a_i}{r_i}$$
(4.2)
then we have $`F(L)=𝒪_𝒴(_{i=1}^n\frac{k_i}{r_i}D_i^{})`$.

Let $`L^{}=𝒪_𝒳(_{i=1}^{n+1}\frac{k_i^{}}{r_i}D_i)`$ be another invertible sheaf, so that we have $`om(L^{},L)_X=𝒪_X(_{i=1}^{n+1}\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}D_i)`$. We assume that both $`L`$ and $`L^{}`$ are in the range (4.2). Since we have $`_{i=1}^n\frac{a_i}{r_i}\frac{1}{r_n}`$, the homomorphism

$$\text{Hom}(L^{},L)\text{Hom}(F(L^{}),F(L))$$

is bijective.

We have

$$\underset{i=1}{\overset{n+1}{}}\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{}D_i(\underset{i=1}{\overset{n+1}{}}a_i\mathrm{}\frac{k_ik_i^{}}{r_i}\mathrm{})D_{n+1}.$$

Since $`_{i=1}^{n+1}a_i\frac{k_ik_i^{}}{r_i}<_{i=1}^n\frac{a_i}{r_i}`$, we have

$$\underset{i=1}{\overset{n+1}{}}a_i\mathrm{}\frac{(k_ik_i^{})}{r_i}\mathrm{}<\underset{i=1}{\overset{n}{}}\frac{a_i}{r_i}+\underset{i=1}{\overset{n}{}}a_i\frac{r_i1}{r_i}=\underset{i=1}{\overset{n}{}}a_i.$$

Since $`K_X+D_{n+1}_{i=1}^nD_i(_{i=1}^na_i)D_{n+1}`$ and $`D_{n+1}`$ is ample, we conclude that

$$\text{Hom}^p(L^{},L)=H^p(X,om(L^{},L)_X)=0$$

for $`p>0`$. Therefore, $`F`$ is fully faithful by the following Lemma 4.4. ∎

###### Lemma 4.3.

The set of all the invertible sheaves on $`𝒴`$ in the range 4.1 is a spanning class of the category $`D^b(\text{Coh}(𝒴))`$.

###### Proof.

Let $`\mathrm{\Omega }`$ be the set of all such invertible sheaves. We shall prove that the full subcategory $`𝒟`$ spanned by $`\mathrm{\Omega }`$ coincides with $`D^b(\text{Coh}(𝒴))`$. Let $`i_p`$ ($`1pt`$) be integers such that $`n^{\prime \prime }<i_1<\mathrm{}<i_tn+1`$ and $`t<nn^{\prime \prime }`$. Let $`i_0`$ be an integer such that $`n^{\prime \prime }<i_0n+1`$ and $`i_0i_p`$ for any $`p`$. Let $`S`$ be the intersection of the Cartier divisors $`\frac{1}{r_{i_p}}D_{i_p}^{}`$ for $`1pt`$ on $`𝒴`$. We call $`S`$ a stratum. We have an exact Koszul complex

$$0𝒪_𝒴(\underset{p=1}{\overset{t}{}}\frac{1}{r_{i_p}}D_{i_p}^{})\mathrm{}\underset{p=1}{\overset{t}{}}𝒪_𝒴(\frac{1}{r_{i_p}}D_{i_p}^{})𝒪_𝒴𝒪_S0.$$

Let $`k_i`$ ($`1in+1`$, $`ii_0`$) be any choice of integers, and let $`k_{i_0}`$ be an integer such that $`\frac{a_{i_0}}{r_{i_0}}>_{i=1}^{n+1}\frac{a_ik_i}{r_i}0`$. Then we have

$$\underset{i=n^{\prime \prime }+1}{\overset{n+1}{}}\frac{a_i}{r_i}>\underset{i=1}{\overset{n+1}{}}\frac{a_ik_i}{r_i}\underset{p=1}{\overset{t}{}}\frac{a_{i_p}ϵ_p}{r_{i_p}}0$$

if $`ϵ_p=0,1`$. Therefore, $`𝒟`$ does not change if we add all the sheaves of the form $`𝒪_S(_{i=1}^{n+1}\frac{k_i}{r_i}D_i^{})`$ to the set $`\mathrm{\Omega }`$.

Assume that $`t=nn^{\prime \prime }1`$. Then $`S`$ is affine and $`𝒪_S(\frac{1}{r_{i_0}}D_{i_0}^{})𝒪_S`$. Therefore, $`𝒟`$ does not change if we add the invertible sheaves $`𝒪_S(_{i=1}^{n+1}\frac{k_i}{r_i}D_i^{})`$ for all integers $`k_i`$ to the set $`\mathrm{\Omega }`$. Hence any coherent sheaf whose support is contained in $`S`$ belongs to $`𝒟`$.

We claim that, for any staratum $`S`$, $`𝒟`$ does not change if we add the invertible sheaves $`𝒪_S(_{i=1}^{n+1}\frac{k_i}{r_i}D_i^{})`$ for all integers $`k_i`$ to the set $`\mathrm{\Omega }`$. Indeed, we proceed by the descending induction on $`t`$. Let $`S^{}=S\frac{1}{r_{i_0}}D_{i_0}^{}`$. Then our claim follows from the following exact sequence

$$0𝒪_S(\frac{1}{r_{i_0}}D_{i_0}^{})𝒪_S𝒪_S^{}0.$$

Hence any coherent sheaf belongs to $`𝒟`$. ∎

###### Lemma 4.4.

The set of all the invertible sheaves on $`𝒳`$ in the range 4.2 is a spanning class of $`D^b(\text{Coh}(𝒳))`$.

###### Proof.

The proof is similar to that of Lemma 4.3. ∎

###### Corollary 4.5.

Let $`X`$ and $`Y`$ be quasi-smooth projective toric varieties, let $`B`$ and $`C`$ be effective toric $``$-divisors on $`X`$ and $`Y`$, respectively, whose coefficients are contained in the set $`\{11/r|r_{>0}\}`$, and let $`𝒳`$ and $`𝒴`$ be smooth Deligne-Mumford stacks attached to the pairs $`(X,B)`$ and $`(Y,C)`$, respectively. Let $`f:XY`$ be a toric proper birational map which is log crepant in the sense that

$$g^{}(K_X+B)=h^{}(K_Y+C)$$

for toric proper birational morphisms from a common toric variety $`g:ZX`$ and $`h:ZY`$ such that $`f=hg^1`$. Then there is an equivalence of triangulated categories

$$F:D^b(\text{Coh}(𝒴))D^b(\text{Coh}(𝒳)).$$

###### Proof.

By  with some additional argument due to Matsuki, $`f`$ is shown to be decomposed into a sequence of divisorial contractions and flips which are log crepant. ∎

###### Remark 4.6.

(1) We note that the Fourier-Mukai functors for both divisorial contractions and flips are of the same type consisting of pull-backs and push-downs. Indeed, divisorial contractions and flips are of the same kind of operations from the view point of the Minimal Model Program though they look very different geometrically.

(2) In the situation of Theorem 4.2 (1), suppose that there is a third $``$-divisor $`D`$ on $`X`$ with standard coefficients such that $`BCD`$. Let $`𝒵`$ be the stack corresponding to the pair $`(X,D)`$. Then there are fully faithful functors $`F_1:D^b(\text{Coh}(𝒵))D^b(\text{Coh}(𝒴))`$, $`F_2:D^b(\text{Coh}(𝒴))D^b(\text{Coh}(𝒳))`$ and $`F_3:D^b(\text{Coh}(𝒵))D^b(\text{Coh}(𝒳))`$ as proved there. But we have $`F_3\cong ̸F_2F_1`$ in general.

(3) Let $`X=^2`$, $`\overline{B}=B_1+B_2`$ the union of the two coordinate lines, $`f:YX`$ the blowing up at the singular point $`B_1B_2`$ of $`\overline{B}`$, and $`\overline{C}=B_1^{}+B_2^{}+C_3`$ the union of the strict transforms and the exceptional divisor. Let $`𝒳_n`$ and $`𝒴_n`$ be the stacks associated to the pairs $`(X,\frac{1}{2n}(B_1+B_2))`$ and $`(Y,\frac{1}{2n}(B_1^{}+B_2^{})+\frac{1}{n}C_3)`$, respectively. Since $`f^{}(K_X+\frac{1}{2n}(B_1+B_2))=K_Y+\frac{1}{2n}(B_1^{}+B_2^{})+\frac{1}{n}C_3`$, we have equivalences $`\mathrm{\Phi }_n:D^b(\text{Coh}(𝒳_n))D^b(\text{Coh}(𝒴_n))`$ for each $`n`$ by Theorem 4.2 (2). On the other hand, we have fully faithful functors $`\mathrm{\Psi }_{X,nn^{}}:D^b(\text{Coh}(𝒳_n))D^b(\text{Coh}(𝒳_n^{}))`$ and $`\mathrm{\Psi }_{Y,nn^{}}:D^b(\text{Coh}(𝒴_n))D^b(\text{Coh}(𝒴_n^{}))`$ for $`n<n^{}`$ by Theorem 4.2 (1). We have to be careful that the following diagram is not commutative

$$\begin{array}{ccc}D^b(\text{Coh}(𝒳_n))& \stackrel{\mathrm{\Phi }_n}{}& D^b(\text{Coh}(𝒴_n))\\ \mathrm{\Psi }_{X,nn^{}}& & \mathrm{\Psi }_{Y,nn^{}}& & \\ D^b(\text{Coh}(𝒳_n^{}))& \stackrel{\mathrm{\Phi }_n^{}}{}& D^b(\text{Coh}(𝒴_n^{})).\end{array}$$

The reason is that the Serre functors, defined by using different invertible sheaves, are not compatible.

We conclude this paper with a remark on the non-commutative geometry as in . We consider the situation of Theorem 4.2 (3) under the additional assumption that $`\mu ^{}(K_X+B)=\nu ^{}(K_Y+C)`$.

Although the set of all invertible sheaves on $`𝒴`$ in the range (4.1) is infinite, there are only finitely many ismomorphism classes. Let $`P_Y`$ be the direct sum of these representatives, and let $`A_Y=\text{Hom}(P_Y,P_Y)`$ be the non-commutative ring of endomorphisms. We denote by $`\text{Mod}(A_Y)`$ the abelian category of finitely generated right $`A_Y`$-modules.

###### Proposition 4.7.

There is an equivalence of triangulated categories:

$$D^b(\text{Coh}(𝒴))D^b(\text{Mod}(A_Y)).$$

###### Proof.

By the proof of Theorem 4.2 (3), we have $`\text{Hom}^p(P_Y,P_Y)=0`$ for $`p>0`$ and the set $`\{P_Y\}`$ is spanning. We claim that the functors

$$\begin{array}{cc}& G:D^b(\text{Coh}(𝒴))D^b(\text{Mod}(A_Y))\hfill \\ & H:D^b(\text{Mod}(A_Y))D^b(\text{Coh}(𝒴))\hfill \end{array}$$

given by $`G(a)=R\text{Hom}(P_Y,a)`$ and $`H(m)=m_{A_Y}^LP_Y`$ are quasi-inverses each other. Indeed, we have $`G(P_Y)A_Y`$ and $`H(A_Y)P_Y`$. Since $`P_Y`$ and $`A_Y`$ respectively span $`D^b(\text{Coh}(𝒴))`$ and $`D^b(\text{Mod}(A_Y))`$, it follows that $`G`$ and $`H`$ are fully faithful by , hence quasi-inverses each other. ∎

Department of Mathematical Sciences, University of Tokyo,

Komaba, Meguro, Tokyo, 153-8914, Japan

kawamata@ms.u-tokyo.ac.jp


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# A Frictional Cooling Demonstration Experiment with Protons

## 1 Introduction

The basic idea of Frictional Cooling is to bring the charged particles into a kinetic energy range where the energy loss per unit distance increases with kinetic energy. In its application to a possible muon collider, the cooling channel is placed in a solenoidal field to contain the muons. A constant accelerating force can be applied to the muons resulting in an equilibrium energy. A sample dT/dx curve, where T is the kinetic energy, is shown in Fig. 1. The desired condition can be met for kinetic energies below a few KeV or kinetic energies beyond about $`200\mathrm{MeV}`$. At the high energy end, the change in dT/dx with energy is only logarithmic, whereas it is approximately proportional to the speed at low energies. Below the dT/dx peak, muons are too slow to ionize the atoms in the stopping medium. The processes leading to energy loss; excitation, elastic scattering on nuclei and charge exchange reactions, yield differences for $`\mu ^+`$ and $`\mu ^{}`$. Operating in this energy regime, an electric field can be applied which compensates for the energy loss. Several issues become apparent:

* dT/dx is very large in this region of kinetic energy, so we need to work with a low average density (i.e., gas) in order to have a reasonable electric field strength.
* Muonium formation ($`\mu ^++\mathrm{Atom}\mu e+\mathrm{Atom}^+`$) is significant at low $`\mu ^+`$ energies. In fact, the muonium formation cross section, in this energy range, dominates over the electron stripping cross section in all gases except helium.
* There is a measured difference in the $`\mu ^+`$ and $`\mu ^{}`$ energy loss rates near the peak of the dT/dx spectrum (Barkas effect). This effect is assumed to be due to extra processes for $`\mu ^+`$, such as charge exchange.
* A possibly fatal problem for $`\mu ^{}`$ is the efficiency loss resulting from muon capture ($`\mu ^{}+\mathrm{Atom}\mu \mathrm{Atom}+e^{}`$). The cross section for this process has been calculated up to T=80 eV but has not been measured. The measurement of this cross section is a critical path item to the realization of a muon collider based on Frictional Cooling. Hydrogen and helium are the best candidate media.

Despite some reported evidence for Frictional Cooling, it is clear that much more information is needed if this is to become a useful technique for phase space reduction of beams. We have therefore planned a series of experiments to understand the Frictional Cooling process in detail. The results described in this paper are the first measurements in this program.

As a first step, we plan to study the emittance achievable for protons in such a scheme. The behavior exhibited in Fig. 1 is typical for all charged particles. The Frictional Cooling approach should work for a variety of charged particles, including protons (the stopping power for protons in helium is shown in Fig. 2).

An experiment was performed using protons in order to demonstrate the behavior of charged particles in this low energy regime. This experiment had several goals: demonstrating frictional cooling; benchmarking the simulations, and employing many of the experimental components, detectors, etc., which would be needed in future experimentation with muons.

Using protons simplifies the experiment considerably, as they are easily produced and are stable particles. A time of flight experiment was devised employing start and stop detectors, an electric field and a gas cell with thin entrance and exit windows.

## 2 RAdiological Research Accelerator Facility (RARAF)

RARAF is dedicated to research in radio-biology and radiological physics and is located at Nevis Laboratories, in Irvington, N.Y.111http://www.raraf.org RARAF has a $`4\mathrm{MeV}`$ Van de Graaff accelerator, which produces beams of positive light ions. The beam provided by RARAF for this experiment was diatomic hydrogen with one electron stripped ($`H_2^+`$) in the energy range of $`1.31.6\mathrm{MeV}`$. The $`H_2^+`$ breaks up in the first trigger detector resulting in an effective initial beam of protons with energies in the range of $`650800\mathrm{KeV}`$. $`H_2^+`$ was used since the ion source and accelerator tube have higher efficiency for $`H_2^+`$ than for protons at the lower energy reach of the accelerator. The demands made on the beam were not strict. In fact the beam was not focused in order to reduce currents to a level ($`115\mathrm{pA}`$) suitable for our first trigger detector.

## 3 Detailed Simulations

The tracking of protons through various materials was implemented using stand-alone fortran code. Muonium formation, $`\mu ^{}`$ capture, muon decay and processes specifically affecting muon energy loss are included in this simulation. Although the detailed simulations were written with muons in mind, the program can track any charged particle.

The two processes which concern the proton simulations are the electronic and nuclear energy loss processes. Hydrogen formation was not implemented.

The energy loss from nuclear scattering of protons with kinetic energies below $`50\mathrm{KeV}`$ was calculated and coded using the Everhart et al. prescription for generating scattering. Individual nuclear scatters are simulated. For energies above $`50\mathrm{KeV}`$, the Born Approximation is used. This procedure was compared with the dT/dx tables from NIST222http://www.nist.gov and showed excellent agreement. The electronic energy loss is treated as continuous and the data are taken from the NIST tables.

The breakup of the $`H_2^+`$ was not simulated. The SRIM program was used to simulate the energy loss of the protons through the $`9\mu `$m of silicon in the timing detector. The transmitted proton energy spectrum from SRIM was then used as an input to the detailed simulations of the gas cell.

Only a fraction of the delivered protons achieved the equilibrium energy in the amount of gas available. The rest were too energetic or were lost due to acceptance issues.

## 4 Time of Flight (TOF) Experiment Setup

Figure 3 shows the experimental setup. The proton beam was first collimated through a $`1\mathrm{mm}`$ hole separating the RARAF beam line from the experimental section. This collimator, while reducing the delivered current to the experiment, also acted as a baffle protecting the beam line vacuum from degradation as a result of helium gas which leaked from the gas cell.

The proton beam then hit the first timing detector which produced a stop signal for the TOF measurement. The first detector consisted of a D Series planar totally depleted silicon surface barrier detector from ORTEC333ORTEC: http://www.ortec-online.com. Frictional Cooling operates in the region below the ionization peak. Hence from Fig. 2 one can see that only the protons below $`𝒪(100)\mathrm{KeV}`$ had the possibility to be cooled. The silicon detector acted to degrade the beam energy, adding energy spread, while also providing the trigger.

After drifting $`4.4\mathrm{cm}`$ the protons entered the gas cell through a thin window. The windows consisted of a $`20\mathrm{nm}`$ thick carbon film on a nickel grid with a 55$`\%`$ open area ratio and a diameter of $`2.3\mathrm{mm}`$, as specified by SPI444Structure Probe Inc.: http://www.2spi.com. The windows were inspected and it was discovered that in a few grid spacings the carbon was perforated. The windows were epoxied between two precision washers and the sandwich arrangement was further epoxied to the window holders, designed and built at Nevis Laboratories (See Fig. 4).

The gas cell itself and the support structure for the accelerating grid which surrounded the gas cell were made of Teflon (See Fig. 5). The supporting structure needed to be non-conducting and Teflon was selected as it has a low vapor pressure.

The gas flow was controlled through a Piezoelectric valve. A calibration was performed ahead of time, to determine the gas flow rate as a function of applied voltage, but was found to be unstable in situ. During data taking the Piezoelectric valve had to be continuously adjusted manually to maintain a constant cell pressure. There were three feedthroughs into the gas cell: one was used for the pressure measurement, one for the gas intake and one to open the gas cell to the vacuum while evacuation was taking place. The system was in continuous flow as a result of the small imperfections in the windows and the natural permeability of helium. A Pirani gauge was used to measure the pressure in the gas cell. This type of gauge is sensitive to the nature of the gas. Unfortunately its sensitivity for helium pressure measurements is limited in the desired range of operating conditions. As a result, the operating pressure was estimated for values greater than $`0.004\mathrm{atm}`$.

The accelerating grid consisted of 30 copper rings with thin $`(1\mathrm{mm})`$ Teflon separators. The rings were connected in series by a resistor chain resulting in a uniform accelerating field of $`60\mathrm{KV}/\mathrm{m}`$. The distance between the windows in the gas cell was $`9.2\mathrm{cm}`$. The gas cell was shorter than the accelerating grid by $`7.3\mathrm{cm}`$, which provided for a short reacceleration field for protons exiting the gas cell. Those protons which were not sufficiently degraded by the silicon and were not in the energy range suitable for stopping were minimally affected by the small reacceleration field.

The second timing detector, in Fig. 3, was a Micro Channel Plate (MCP) detector555North Night Vision Technology Co., Ltd. Nanjing, China.. There were two plates with a total potential difference across them of $`1600\mathrm{V}`$.

## 5 Trigger and Data Acquisition

The trigger consisted of a coincidence between the two timing detectors. The Data Acquisition (DAQ) chain was based on fast NIM logic modules and a CAMAC TDC (See Fig. 6). The TDC had a maximum range of $`800\mathrm{ns}`$. The silicon detector singles rate was nominally $`40\mathrm{KHz}`$ and was kept below $`100\mathrm{KHz}`$ in order to reduce the effect of pile-up and to avoid potential damage to the detector. The CAMAC readout system could be readout at a maximum rate of $`1\mathrm{KHz}`$. Hence the signal from the silicon detector was discriminated and then digitally delayed by $`700\mathrm{ns}`$, an amount comparable to the range of the TDC, and used as the stop signal. The rate on the MCP detector was much lower since its geometric acceptance is very small. The MCP signal was used to trigger the common start of the DAQ system, thereby removing potential dead time due to the DAQ readout. It was noticed that noise pulses from the MCP were associated with multiple pulses. A veto was introduced to reduce this noise by requiring that the MCP triggered pulse be isolated in a window of 100 ns(see Fig. 6). In other words, the event was rejected if more than one MCP pulse occurred within 100 ns. The trigger is illustrated in Fig. 7.

## 6 Datasets

Table 1 summarizes the datasets taken. $`H_2^+`$ with $`\mathrm{T}=1.44\mathrm{MeV}`$ was the nominal running condition. A higher energy, $`\mathrm{T}=1.6\mathrm{MeV}`$, run was taken for comparison. At the higher energy, no cooled protons were expected. Other lower statistic runs were taken at $`\mathrm{T}=1.3\mathrm{MeV}`$ and $`\mathrm{T}=1.5\mathrm{MeV}`$. Runs were taken with the accelerating grid on and off and the gas flow was turned on and off for calibration and monitoring purposes.

## 7 Calibrations

The TDC was calibrated using a pulse generator and gate delay generator as input to the DAQ chain. The absolute calibration for the time offset, taking into account the time delays introduced by the detectors, electronics and cables, was found from three high statistics data runs corresponding to three different distances separating the two timing detectors. The nominal $`H_2^+`$ beam energy of $`1.44\mathrm{MeV}`$ was used for these three calibration runs. For these data sets the entire gas cell and accelerating grid structures were removed from the experimental section.

As a result of the trigger configuration illustrated in Fig. 7, increasing distance of flight led to a smaller TDC value (see Fig. 8). Figure 8 also indicates a long tail of background which is fit by an exponential with a large time constant. The tails of the distributions were subtracted before proceeding with the analysis. The peaks were then fit with a gaussian and the means were plotted against the separation distance in order to extract the offset for the DAQ system. The calibration is shown in Fig. 9.

The data is compared to the Monte Carlo (MC) expectation in Fig. 10. The data distribution is broader than the MC expectation but there is good agreement on the location of the peak. The peaks of the distributions correspond approximately to the flight time required for a proton with the most probable kinetic energy. The measured time distribution can be better fitted by a convolution of the true time distribution with a gaussian, whose $`\sigma `$ represents the timing resolution of the system.

$$P(t_{measured})=P_{MC}(t_{true})\frac{1}{\sigma \sqrt{2\pi }}exp\left(\frac{(t_{measured}t_{true})^2}{2\sigma ^2}\right)dt_{true}$$
(1)
Fits of the three time distributions determined that $`\sigma 17\mathrm{ns}`$.

## 8 Analysis

The nominal $`H_2^+`$ beam energy for the analysis was $`1.44\mathrm{MeV}`$. Since the breakup of the $`H_2^+`$ is not simulated and there were uncertainties in the beam energy calibration, the first step was to determine the kinetic energy of the incoming protons. This was possible using the calibration runs which were taken without the gas cell and accelerating grid structures. From the calibration plot in Fig. 9 one can extract not only the T0 offset needed to reconstruct the TDC measurements but also the slope of the distribution. The slope of the distribution is representative of a velocity. The slope of $`0.502\mathrm{cm}/\mathrm{ns}`$ represents the velocity for a proton with the most probable kinetic energy after the silicon detector ($`136\mathrm{KeV}`$). The incoming energy was varied in the simulations such that the output of the SRIM calculations agreed with the values observed in the data. As shown in Fig. 11, the transmitted energy is a strong function of the incoming energy. An initial proton energy of $`721\mathrm{KeV}`$ is needed to produce a most probable transmitted energy of $`136\mathrm{KeV}`$.

The next step was to determine the effect of the gas cell windows. With the gas cell and accelerating grid in the beam line, a data run was taken without flowing helium gas in the cell and leaving the grid off. In this way the only difference in the TOF distribution resulted from the extra energy loss of the protons in the entrance and exit windows of the gas cell. This data is plotted in Fig. 12 and compared to the simulation of various window thicknesses. An effective carbon window thickness of $`350\mathrm{nm}`$ reproduced the data much better than the quoted thickness of $`20\mathrm{nm}`$. The apparent thickness of $`350\mathrm{nm}`$ was more than an order of magnitude larger than what was expected. The effect of this thick window was to change the expected TOF distributions by adding an effective lower energy threshold for protons to get through the system. Hence, no protons which would result in a TOF greater than $`400\mathrm{ns}`$ were expected to penetrate the exit window. This greatly reduced the possibility of observing cooled protons.

Finally, the pressure of the gas had to be determined from the data since the pressure gauge was not precise. After adding the gas the MC was tuned to extract the pressure of the helium gas inside the gas cell. This is shown in Fig. 13. The MC was fit to the data under these conditions and the probable pressure of helium gas was found to be $`0.01\mathrm{atm}`$. This was in line with our readings from the pressure gauge. At a pressure of $`0.01\mathrm{atm}`$, only protons with a kinetic energy below $`80\mathrm{KeV}`$ could reach an equilibrium energy in the density of gas provided, as seen from our simulations in Fig. 14.

For the $`H_2^+`$ beam energy of $`1.6\mathrm{MeV}`$, no calibration runs were taken without the gas cell and accelerating grid structures. The window thickness was fixed in the MC at $`350\mathrm{nm}`$, and the proton beam energy was then extracted by fitting the time spectrum for a data run in which the gas was not flowing and the grid was turned off. The proton energy was found to be $`760\mathrm{KeV}`$.

Two additional nominal $`H_2^+`$ energies, $`1.3`$ and $`1.5\mathrm{MeV}`$ were used. However, the conditions were not varied for these energies and single low statistic runs were taken for each energy with the gas flowing and the accelerating field on. For each run, the proton beam energies were varied in the MC and then fit to the data distributions.

Cooled protons were searched for in TOF distributions of data runs with the gas on and the accelerating grid ramped up to produce a field of $`60\mathrm{KV}/\mathrm{m}`$. The results are shown in Fig. 15. The narrow peak in all the distributions at $`167\mathrm{ns}`$ was the result of correlated noise in the DAQ system and was removed from the data. The long tails of background were expected to be flat or a slowly rising exponential with a large time constant. Cooled protons were expected populate a region of large TOF between $`250`$ and $`400\mathrm{ns}`$. The background was fit using an exponential in the region of TOF greater than $`500\mathrm{ns}`$ and TOF less than 10 to $`50\mathrm{ns}`$, depending on the proton beam energy, where no protons were expected from the MC. The $`1.3,1.44`$ and $`1.5\mathrm{MeV}`$ $`H_2^+`$ data background regions were consistent with being flat. The $`1.6\mathrm{MeV}`$ $`H_2^+`$ data set was the only data set with a background exponential fit with a positive time constant. The background (including correlated noise) subtracted data is shown in Fig. 16.

The MC curve was normalized by fitting the data in the time range of 0 to 400 ns, which corresponds to the protons which do not achieve the equilibrium energy. The MC expectation was then calculated by integrating the number of events over a time window. The results are summarized in Table 2. We note that the MC expectations yield a very small number of cooled protons. This is in large part due to the effective thickness of the carbon windows. The data is consistent with no observation of cooled protons, but also compatible with the expectation from the simulations within the statistical errors.

## 9 Experimental Challenges and Outlook

The acceptance (including efficiency) can be estimated from the ratio of the MCP to the Si detector rates, and was about 0.01 %. The factors entering into this number include the geometrical acceptance for passage through the two $`2.3`$ mm windows, possible misalignments of the windows with the MCP, and the MCP detector efficiency. Assuming perfect alignment, a $`100`$ % MCP detector efficiency, and a $`55`$ % transmission probability through the windows due to the Nickel grid, we calculate an acceptance using our detailed simulations of $`0.4`$ % for low energy protons. The remaining loss in acceptance was presumably from misalignment effects and MCP detector inefficiency. A magnetic field would have considerably increased the acceptance. For example, we calculate an acceptance increase of a factor 25 with a $`5`$ T field.

A further improvement in the experiment would be to remove the windows entirely. The effective window thickness measured in this experiment was $`350`$ nm, as obtained from a comparison of data and simulation results for proton energy spectra with and without windows present. The cause of the larger effective window thickness is not known, but may have been due to extensive exposure to the atmosphere. The effective column density seen by the protons from the exit window was similar to that from the helium gas. The exit window therefore set a threshold on the minimum energy which could be extracted from the gas cell and prevented us from observing low energy protons. Those protons which had enough energy to pass through the exit window were too energetic to be cooled in the gas cell.

We are preparing a new experiment in which a gas cell will be placed in a strong solenoidal field. A silicon drift detector will be placed inside the gas cell, and will directly measure the proton energies without the need for windows. The large increase in acceptance and sensitivity to low energies should therefore allow the observation of cooled protons.

## 10 Conclusions

This experiment was performed to study Frictional Cooling using protons. The number of cooled protons observed under various conditions was consistent with zero within large statistical errors. This result was explained by the small acceptance of the system and the large exit window thickness of our gas cell.

The data allowed for the tuning of untested simulation code. The experimental experience and the refined simulations will be used in the design and implementation of future experiments.

## 11 Acknowledgements

This work was funded through an NSF grant number NSF PHY01-04619, Subaward Number 39517-6653. Special thanks to S. Schlenstedt and H. Abramowicz for their contributions to our simulation efforts. We owe special gratitude to the RARAF staff and especially S. Marino, for their efforts in delivering the beam to the experiment.