Monodromy of the Dwork family, following Shepherd-Barron X n+1. P 1 λ. ζ i = 1}/ (µ n+1 ) H.

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1 Monodromy of the Dwork family, following Shepherd-Barron 1. The Dwork family. Consider the equation (f λ ) f λ (X 0, X 1,..., X n ) = λ(x n X n+1 n ) (n + 1)X 0... X n = 0, where λ is a free parameter. This equation defines an n 1-dimensional hypersurface Y λ P n and, as λ varies, a family: Let where is the diagonal map, and let Y P n P 1 P 1 λ H = µ n+1 n+1 / (µ n+1), H 0 = {(ζ 0,..., ζ n ) i ζ i = 1}/ (µ n+1 ) H. The group H 0 acts on each Y λ and defines an action on the fibration Y/P 1. We examine the H 0 -invariant part of the primitive cohomology P H n 1 (Y λ ) in the middle dimension. The family Y was studied extensively by Dwork, who published articles about the p-adic variation of its cohomology when n = 2 (a family of elliptic curves) and n = 3 (a family of K3 surfaces). Because f λ is of degree n + 1, Y λ, provided it is non-singular, is a Calabi-Yau hypersurface, which means that its canonical bundle is trivial (Y λ has a nowhere vanishing (n 1)-form, unique up to scalar multiples). This follows from standard calculations of cohomology of hypersurfaces. When n = 4, Y is a family of quintic threefolds in P 4. The virtual number n d of rational curves (Gromov-Witten invariants) on Y λ is determined by certain solutions of Picard-Fuchs equations describing monodromy on H 3 (Y λ ) H 0. This is the phenomenon of mirror symmetry, predicted by the physicists Candelas, de la Ossa, Green, and Parkes, relating the Gromov- Witten invariants of Y λ with the Picard-Fuchs equation on H 3 ((Y λ /H 0 ) ), where (Y λ /H 0 ) is a desingularization of (Y λ /H 0 ). In a situation including this one, this mirror symmetry relation was proved by Givental. When λ = 0 Y λ is the union of coordinate hyperplanes; this is the totally degenerate case. In the arithmetic applications I will take t = λ 1, so that this degeneration corresponds to the point t =, which is the interesting singularity from the point of view of monodromy. When t = 0, f λ is the Fermat hypersurface (1.1) X n X n+1 n = 0. This point is of great importance in the applications. For the purposes of this course, we are interested in the fact, highlighted by the mirror symmetry conjectures, that P H n 1 (Y λ ) H 0 has Hodge numbers H p,n 1 p 1

2 2 all equal to one, p = 0, 1,..., n 1, provided Y λ is nonsingular. This is calculated analytically, over C. The singular Y λ are determined in the obvious way. The calculation is valid in any characteristic prime to n + 1: 1 f λ = λxi n n + 1 X i j i X j. Thus (1.2) f λ = 0 λx n+1 i = X i j X j. If Y λ is singular then there is a point (x 0,..., x n ) Y λ satisfying the right-hand side of (1.2) for each i. In particular, if any x i = 0 then all x j = 0, which is impossible. Hence j x j 0. We multiply the equations in (1.2) over i and find λ n+1 i X n+1 i = ( j X j ) n+1 which is true if and only if λ n+1 = 1. Thus the map f λ is smooth over P = P 1 \ {0, µ n+1 n+1 }. If λ = ζ µ n+1, then we have seen that, setting p = i X i, X n+1 i = ζ 1 p for all i, hence x i /x j µ n+1 if (x 0,..., x n ) Y λ. We have also seen that x i 0 for all i. Scaling, we may thus assume x 0 = 1, and then each x i µ n+1 and satisfy x i = ζ. i Conversely, any such point is a singular point. In particular, the singular points in Y λ are isolated if λ µ n+1 and form a single orbit under H 0. Moreover, as λ varies in µ n+1, the set of all singularities of all the singular fibers form a single orbit under H. In particular, all the singularities are isomorphic to the one for λ = 1 at the point X 0 = X 1 = X 2 = = X n = 1. Writing x i = 1 + t i for i > 0 we obtain the local equation n 1 + (1 + t i ) n+1 = (n + 1) (1 + t i ) i and one checks that the constant and linear terms vanish but the term of degree two is a non-degenerate quadratic form. Thus the singularities are ordinary quadratic singularities and can be analyzed by Picard-Lefschetz theory. We return to this point below.

3 3 2. Variation of Hodge structure. Suppose p : Y X is a smooth projective morphism of complex algebraic varieties, X the universal cover of X, which we view as a complex analytic space and therefore a C -manifold, and p : Ỹ = Y X X X the pullback map. Since p is smooth, the implicit function theorem shows it is locally constant as a C -map. In particular, as x varies in X, the cohomology spaces H i (Y x, Z) form a locally constant sheaf. This means that if X is replaced by X, its universal cover, the sheaf R i p (Z) on X is constant, for any i. This is a purely topological argument. The sheaf R i p (Z) on X is determined up to isomorphism by the representation of the fundamental group π 1 (X, x 0 ) on the fiber H i (Y x0, Z). This means in particular that one can differentiate sections with respect to parameters on the base X. If the base is onedimensional and if one chooses a local coordinate λ on the base, one obtains an explicit first-order matrix differential equation df dλ = A(λ)F a basis of whose local solutions is just the (constant) cohomology with coefficients in Z. This is the Picard-Fuchs equation which we will calculate for the Dwork family in 5. Now since each Y x is a smooth projective variety, its cohomology is endowed with a Hodge structure, which we describe as follows: (2.1) H i (Y x, Z) C p+q=i H q (Y x, Ω p ). Here Ω p is the sheaf of (algebraic) p-forms, and the spaces H p,q = H q (Y x, Ω p ) are calculated as sheaf cohomology in the Zariski topology. Complex conjugation acts on the coefficients on the left-hand side of (2.1) and we have H p,q = H q,p. The Hodge decomposition (2.1) is valid for any Kähler manifold and is proved analytically, but it also has an algebraic version. Namely, we consider the de Rham complex (2.2) 0 C Ω 0 = O Yx Ω Ω d 0 where d = dim Y dim X. Since the cohomology of coherent sheaves on a projective variety is the same in the complex topology as in the Zariski topology (Serre s GAGA), one can compute the cohomology of C in terms of the cohomology of the Ω j. The precise statement is that there is a spectral sequence (2.3) E p,q 1 = H q (Y x, Ω p ) H p+q (Y x, C). The Hodge decomposition is then the fact that this spectral sequence degenerates at E 1. This version makes sense in families. Let F q H i (Y x, C) = q qh i q,q.

4 4 For each i these subspaces define a decreasing filtration of the sheaf on X (2.4) R i p C = F 0 F 1 F q F i 0... where the fiber Fx q = F q H i (Y x, C) defined as above. Since the de Rham complex is a resolution of C in the complex topology (by the holomorphic Poincaré lemma), we can write R i p C R i p (Ω Y/X ) as the cohomology of a complex of coherent sheaves (algebraic vector bundles), and (2.4) is a filtration by algebraic vector bundles. This is the variation of Hodge structure studied by Griffiths and others. We will not develop its general properties, notably the Griffiths transversality property that is a condition on the action of differentiation with respect to parameters on the base. 3. Griffiths theory of cohomology of hypersurfaces. Suppose Y n 1 V n is an embedding of smooth projective varieties of the indicated dimensions. For any integer p, we have the following commutative diagram Poincaré H p (Y ) H 2n 2 p (Y ) τ H p+1 (V Y ) Alexander δ H 2n 1 p (V, Y ) = H 2n 1 p c (V Y ) Here τ is the tube map and δ is the connecting homomorphism. We are interested in p = n 1. Suppose V = P n, so the bottom line continues.... H n 1 (P n ) H n 1 (Y ) H n c (P n Y ) H n (P n )... If n 1 is odd, δ is injective because the cohomology of P n is concentrated in even degrees, and surjective because the map H n (P n ) H n (Y ) is non-zero on the appropriate power of the Kähler class. If n 1 is even, δ is surjective with one-dimensional kernel, for the same reasons. In any case, δ is an isomorphism on primitive cohomology, by definition. Here is Griffiths calculation of the Hodge filtration on a hypersurface. Suppose Y is given by the equation f = 0, with f a homogeneous polynomial of degree d. Let S = C[X 0,..., X n ], J = ( f X i, i = 0,... n) S. Let R be the quotient ring S/J. Consider the Hodge filtration on primitive cohomology P H n 1 (Y ) = F 0 F 1 F n = 0. Let t a = (n 1)d (n + 1). Theorem 3.1. Let R j R be the homogeneous piece of degree j. Then for any a, there is an isomorphism R t r a a F a /F a+1 which is equivariant under Aut(Y ).

5 The isomorphism is given as follows. The residue map is adjoint to the tube map Res : H n (P n Y ) H n 1 (Y ) τ : H n 1 (Y ) H n (P n Y ). Any [α] H n (P n Y ) is represented by the differential form α = AΩ/f n where f is the defining equation, Ω = ( 1) i X i dx 0 dx i dx n, i and A S is a homogeneous polynomial of the appropriate degree so that deg(α) = 0. Then Res[α] F a f a A. Now suppose Y = Y λ. By our earlier calculation (1.2), the ring R has a basis of monomials X (j) := X j Xj n n j i n + 1, where (j) = (j 0,..., j n ) can be regarded as an element of (Z/(n + 1)Z) n+1, the Pontryagin dual of µ n+1 n+1. The annihilator of H 0 in (Z/(n + 1)Z) n+1 is Z/(n + 1)Z diagonally embedded in (Z/(n + 1)Z) n+1. In the above calculation, d = n + 1, so t a = (n a 1)(n + 1). We are interested in the H 0 -invariants of R t a = R r (n + 1) if r = n a 1. Proposition 3.2. Assume λ 0, λ / µ n+1. Then (R r(n+1) ) H 0 = C(X 0... X n ) r, r = 0, 1,..., n 1. 5 Proof. The right hand side is obviously contained in the left-hand side. I will show that it defines a non-zero element of R. In the next section I will show that dim F a /F a+1 = 1 for 0 a n 1, which will complete the proof. First, setting Z = i X i, W j = X n+1 j, one verifies that (3.3) C[X 0,..., X n ] H 0 = C[Z, W 0,..., W n ]/(Z n+1 j W j ). Indeed, if X (j) is an H 0 -invariant monomial, dividing by powers of Z we may assume j 0 = 0. Then as polynomial in X 1,..., X n, the result is invariant under µ n n+1, hence every j i must be divisible by n + 1. Now if Z r = 0 as an element of R, it must be in the ideal generated by the partial derivatives of f λ. Thus Z r+1 is in the ideal of R generated by the W j tz, where we have set t = λ 1. Using (3.3), we find that Z r+1 is in the ideal of C[Z, W 0,..., W n ] generated by the W j tz and by Z n+1 j W j. But since r + 1 n, the homogeneous polynomial Z r+1, a priori a sum Z r+1 = φ j (W j tz) + g(z n+1 W j ) j must in fact lie in the ideal of C[Z, W 0,..., W n ] generated by the W j tz (look at the homogeneous part of degree r + 1). Setting Z = 1 and W 0 = W 1 =... W n = t, we find that 1 = 0, a contradiction.

6 6 Proposition 3.3. The cohomology H n 1 (Y λ, Z[ 1 n+1 ])H 0 is torsion free. This is proved in the following section. We can also work with the case where n 1 is even, but it suffices for the applications to consider n 1 odd. Then Poincaré duality defines a perfect symplectic pairing on H n 1 (Y λ, Z), restricting to a perfect pairing on the n-dimensional space P H n 1 (Y λ, Q) H 0 (or even with coefficients in Z[ 1 n+1 ]). 4. Cohomology of the Fermat hypersurface. We consider the point λ 1 = t = 0, so Y is defined by the Fermat equation X n+1 i = 0. The calculation that follows works for more general Fermat hypersurfaces, but we simplify the notation by considering only this one, and moreover taking n 1 odd, so that the cohomology in the middle dimension is all primitive. The action of H 0 on Y extends to a natural action of H. The cohomology H i (Y, Z) is calculated by Deligne (Milne s notes) by an elementary method. Let P P n be the hyperplane defined by the equation X i = 0. There is a finite surjective H-equivariant map π : Y P; (x 0, x 1,..., x n ) (x n+1 0, x n+1 1,..., x n+1 n ). The cohomology of Y is calculated by the Leray spectral sequence, and since π is finite, this is just an isomorphism (4.1) H i 1 (Y, Z[ n + 1 ]) H i 1 (P, π Z[ n + 1 ]). 1 Since π is H-equivariant, π Z[ n+1 ] breaks up according to Gal(Q(µ n+1)/q)-orbits 1 of characters of H. We extend scalars temporarily and let A = Z[µ n+1, n+1 ]. The character group X(H) of H can be identified explicitly: X(H) = {a = (a 0,... a n ) (Z/(n + 1)Z) n+1 ai = 0}. The a-isotypic subspace of cohomology is denoted by [a]. Then we have (4.2) H i (Y, A)[a] H i (P, π A[a]). Now the map π is étale outside the union of the hyperplanes L i defined by X i = 0, hence π A[a] is locally constant and of dimension one away from the union of the hyperplanes. But the group H is a product of H (i) µn+1, corresponding to the different coordinates. The H (i) -invariants in π A are unramified over the hyperplane L i. Thus π A[a] only ramifies over the L i such that a i 0, and at such hyperplanes the stalk is 0. In other words, if j a is the inclusion of P ai 0L i P, then (4.1) π A[a] = j a,! j aπ A[a] We first consider a = 0. Obviously π A[0] = A, so H i (P, π A[0]) = H i (P, A) = A if i is even, = 0 otherwise. This is the same as H i (Y, A) a H i (P, π A[a]) if i n 1, hence It follows that H i (P, π A[a]) = 0 if [a] 0 unless i = n 1.

7 Lemma 4.2. Suppose a 0. Then ( 1) n 1 dim H n 1 (P, π A[a]) equals the Euler- Poincaré characteristic of π A[a] Calculation of the Picard-Fuchs equation. The main theorem of this lecture is the following Theorem 5.1. The monodromy representation of π 1 (P 1 {0, µ n+1 }) on P H n 1 (Y λ, Q) H 0 has Zariski dense image. This is proved by calculating the Picard-Fuchs equation. We begin by finding a solution. This is done in a neighborhood of the singular point λ = 0. Let D be a small disk around λ = 0, D = D \ 0, so that T := π 1 (D, λ 0 ) Z for any base point λ 0. This fundamental group acts on H n 1 (Y λ, Z) as well as H n 1 (Y λ, Z). Take an affine piece X 0 0 and set x i = X i /X 0, S = { x 1 = = x n = 1} (a real torus). For 0 < λ << 1 we have S Y λ =. Indeed, for (x i ) S Y λ λ = n x n+1 i n x n+1 i = 1. Thus S defines a constant family of cycles in H n (P n Y λ, Z) H 0 small circle around 0. In other words, as λ varies in a [S] H n (P n Y λ ) T. Now the tube map τ : H n 1 (Y λ ) H n (P n Y λ ) is equivariant under T and H 0, and since we have seen it is an isomorphism τ 1 [S] = γ λ is a T -invariant cycle in H n 1 (Y λ, Z) H 0. We have seen that the tube map is adjoint to the residue map. Interpreting this in terms of periods of integrals, we have (5.1) F (λ) = 1 (2πi) n S λ(1 + n i=1 xn+1 where ω λ is the Poincaré residue of the integrand. dx 1... dx n i ) (n + 1)(x 1... x n ) = 1 (2πi) n ω λ, γ λ However, we can also calculate the integral explicitly, since it is an integral over a torus, hence an iterated series of residues in C n. Letting c m denote the coefficient of x m i in the expression (1+ x n+1 i ) m, and expanding the integrand in a geometric series, we find the integral equals λ m (5.2) F (λ) = (n + 1) m+1 c m = m 0 p λ ( n + 1)p [(n + 1)p]! (n + 1) (n+1)p+1 (p!) n+1. It is known a priori that the monodromy operator T, acting on H n 1 (Y λ, C) H 0, is quasi-unipotent, which means that some power of T can be realized as a unipotent n n-matrix. More generally, ω λ can be integrated over any cycle in H n 1 (Y λ ) H 0.

8 8 Choosing a basis (in which an appropriate power of T is unipotent) we obtain an n- vector of functions F 1 (λ), F 2 (λ),... F n (λ), in which N = log(t ) is upper-triangular nilpotent. Now there is a classical dictionary identifying the local system on D given by an n-dimensional unipotent representation of π 1 (D ), in other words a unipotent matrix (the action of T ) and a differential equation of order n with regular singular points. (A matrix differential equation of order 1 corresponds to a linear ordinary differential operator of order n in the usual way.) The Picard-Fuchs equation is the corresponding equation for action on cohomology. Under this dictionary, the integral obtained by integrating a cohomology class against an invariant cycle is a solution of the Picard-Fuchs equation, and determines the monodromy matrix. We have found a solution F (λ). Note that F (λ) can be written φ 0 (z), where z = λ n+1 : (5.3) φ 0 (z) = p z p (n + 1) (n+1)p+1 [(n + 1)p]! (p!) n+1. Proposition 5.4. Let θ = z d dz, and let D be the differential operator Then Dφ 0 = 0. D = θ n z(θ + 1 n + 1 )... (θ + n n + 1 ). Proof. Explicit calculation. Verify (Katz: Exponential sums and differential equations, p. 94) that this D is irreducible. Since it is of degree n = dim H n 1 (Y λ, C) H 0, it must be the Picard- Fuchs equation. Note that D is a polynomial in θ, hence has regular singular points at 0. Now D is of the form θ n zq(θ) for some polynomial Q: this means that D is hypergeometric. Such equations have been studied classically. It is known (cf. Whittaker-Watson) that D has singularities only at 0, 1,, and φ 0 is the only solution not involving log(z). It follows by the classification of ordinary differential equations that T acting on H n 1 (Y λ, C) H 0 has a single unipotent Jordan block. Proposition 5.5. The representation ρ D of π 1 (P 1 z \ {0, 1, }, z 0 ) coming from the local system of solutions to the Picard-Fuchs equation is infinite and primitive (cannot be broken up as a sum). This is already clear from the monodromy at zero. Theorem (Beukers-Heckman, 1995). If a hypergeometric differential equation on (P 1 z \ {0, 1, } has primitive monodromy, then (up to homotheties), the Zariski closure of the image is one of the following: (1) A finite group;

9 9 (2) SL(V ); (3) SO(V ); (4) Sp(V ). The first option has been eliminated. We know our cohomology has a symplectic pairing (Poincaré duality), hence we are in case (4). The morphism λ z = λ n+1 defines an inclusion of fundamental groups π 1 (P 1 λ \ {0, µ}, λ 0 ) π 1 (P 1 z \ {0, 1, }, z 0 ). The image of π 1 (P 1 λ \{0, µ}, λ 0) under ρ D is of finite index in ρ D (π 1 (P 1 z\{0, 1, }, z 0 )), since the ramification of D at is all absorbed in the covering given by the n + 1st root of z; in other words, the fiber Y is the Fermat hypersurface, which is smooth. Theorem 5.1 is thus a consequence of the Beukers-Heckman theorem. 6. Monodromy mod l, for l >> 0. Let ρ l : π 1 (P 1 λ \ {0, µ}, λ 0) Sp(n, F l ) be the map defined by the action of the fundamental group on the local system of H n 1 (Y λ (C), F l ). Theorem 6.1. There is an integer N 0 such that, for l > N 0, the map ρ l is surjective. Proof The article [HSBT] refers to a paper of Matthews, Vaserstein, and Weisfeiler which proves a general theorem that derives assertions like Theorem 6.1 whenever the analogue of Theorem 5.1 is true. The proof is complicated and depends on classification of finite groups. As Nick Katz pointed out, in the present situation, we know quite a lot about the image of ρ D itself, and he suggested the following much more direct proof. Step 1. Let Γ GL(n, Q) be a subgroup acting irreducibly on C n. Then by Burnside s theorem, the subalgebra of M(n, Q) generated by Γ is all of M(n, Q). We apply this to Γ = ρ D (π 1 (P 1 λ \ {0, µ}, λ 0), which acts irreducibly by the Beukers- Heckman theorem. Note that Γ is contained in GL(n, Z) and is finitely generated. It follows that, inverting some integer N 1 > n + 1, the Z[ 1 N 1 ]-span of Γ is the whole of M(n, Z[ 1 N 1 ]). Thus for l > N 1, F l -span of the image of ρ l is M(n, F l ), which implies that ρ l is absolutely irreducible. Step 2. The image under ρ D of monodromy around the singularity at λ = 0 is a principal unipotent matrix. It follows that for some N 2 N 1, the image of ρ l of monodromy around λ = 0 is a principal unipotent matrix mod l for l > N 2. Step 3. The image under ρ D of monodromy around the singularity at λ µ n+1 is a non-zero symplectic transvection. This follows from a simple calculation based on the Picard-Lefschetz theorem, because the singularities of Y λ for λ µ n+1 are

10 10 ordinary double points, and the Picard-Lefschetz theorem writes down the matrix of monodromy explicitly. It follows that for some N 0 N 2, the image of ρ l of monodromy around λ µ n+1 is a non-zero symplectic transvection for l > N 0. Step 4. We now know that for l > N 2, the image of ρ l is absolutely irreducible and contains a principal unipotent matrix. The same classification applied by Beukers and Heckman implies that the image of ρ l contains either the symmetric n 1-st power of the standard representation of SL(2, F l ) or the symplectic group Sp(n, F l ). But SL(2, F l ) does not contain a symplectic transvection, so for l > N 0 the first alternative is impossible.

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