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# Spectral Geometry and the Kaehler Condition for Hermitian Manifolds with Boundary

## 1. Introduction

The relationship between the spectrum of certain natural operators of Laplace type and the underlying geometry of a Riemannian manifold has been studied by many authors. Let $`(M,g)`$ be a compact Riemannian manifold with smooth boundary $`M`$. Let $`V`$ be a smooth Hermitian vector bundle over $`M`$ and let $`D`$ be a formally self-adjoint operator of Laplace type acting on the space of smooth sections $`C^{\mathrm{}}(V)`$. Let $`D_{}`$ denote the realization of $`D`$ with respect to either the Dirichlet ($`=_D)`$ or the Neumann ($`=_N`$) boundary operators. Then $`D_{}`$ is self-adjoint and has a complete discrete spectral resolution $`𝒮(D_{})=\{(\varphi _\nu ,\lambda _\nu )\}`$. The $`\varphi _\nu C^{\mathrm{}}(V)`$ form a complete orthonormal basis for$`L^2(V)`$ such that

$$D\varphi _\nu =\lambda _\nu \varphi _\nu \text{and}\varphi _\nu =0.$$

We let the spectrum $`\mathrm{Spec}(D_{})=\{\lambda _\nu \}`$ be the collection of eigenvalues. We repeat the eigenvalues according to multiplicity and order the eigenvalues so $`\lambda _1\lambda _2\mathrm{}.`$. For example, if $`M=[0,\pi ]`$ and if $`D=_x^2`$ on $`C^{\mathrm{}}(M)`$, then:

$`𝒮(D__D)=\left\{(\sqrt{\frac{2}{\pi }}\mathrm{sin}(nx),n^2)\right\}_{n=1}^{\mathrm{}}`$
$`\mathrm{Spec}(D__D)=\{1,4,9,\mathrm{}\}`$
$`𝒮(D__N)=\left\{(1,\sqrt{\frac{1}{\pi }})\right\}\left\{(\sqrt{\frac{2}{\pi }}\mathrm{cos}(nx),n^2)\right\}_{n=1}^{\mathrm{}}`$
$`\mathrm{Spec}(D__N)=\{0,1,4,9,\mathrm{}\}.`$
Let $`(M,g,J)`$ be a Hermitian manifold of complex dimension $`\widehat{m}`$ and corresponding real dimension $`m=2\widehat{m}`$; here $`J`$ is an integrable almost complex structure which is unitary with respect to the Riemannian metric $`g`$. Let $`\mathrm{\Lambda }^nM`$ be the bundle of complex $`n`$ forms on $`M`$. Let

$$\mathrm{\Delta }_n:=d^{}d+dd^{}\text{and}_n:=\overline{}^{}\overline{}+\overline{}\overline{}^{}\text{on}C^{\mathrm{}}(\mathrm{\Lambda }^nM)$$

be real and complex form valued Laplacians. We further decompose

$$_n=_{p+q=n}_{(p,q)}\text{on}C^{\mathrm{}}(\mathrm{\Lambda }^{(p,q)}M).$$

We introduce the associated Kaehler form $`\mathrm{\Omega }(X,Y):=g(X,JY)`$. Extend the metric $`g`$ to be Hermitian on the complexified tangent bundle. Let $``$ be the Levi-Civita connection. The following notions are equivalent and any defines the notion of a Kaehler manifold:

1. For every $`P`$ in $`M`$, there exist local holomorphic coordinates so $`dg(P)=0`$.
2. We have $`d\mathrm{\Omega }=0`$.
3. We have $`J=0`$.

Let $`:=\text{int}(\mathrm{\Omega })`$. Let $`\delta ^{}`$ be the formal adjoint of $``$ and$`\delta ^{\prime \prime }`$ be the formal adjoint of $`\overline{}`$. For a Kaehler manifold, one has thefollowing relationships:

1. $`\overline{}\overline{}=\sqrt{1}\delta ^{}`$.
2. $`\overline{}\delta ^{}+\delta ^{}\overline{}=0`$ and$`\delta ^{\prime \prime }+\delta ^{\prime \prime }=0`$.
3. $`d^{}d+dd^{}=\delta ^{}+\delta ^{}+\overline{}\delta ^{\prime \prime }+\delta ^{\prime \prime }\overline{}`$.
4. $`\overline{}\overline{}=\sqrt{1}\delta ^{}`$and $`\overline{}\overline{}=\sqrt{1}\delta ^{}`$.
5. $`\sqrt{1}(\delta ^{}+\delta ^{})=\overline{}\overline{}+\overline{}\overline{}`$.
6. $`\delta ^{}+\delta ^{}=\overline{}\delta ^{\prime \prime }+\delta ^{\prime \prime }\overline{}`$.

The following well known result is now immediate.

###### Theorem 1.1.

Let $`(M,g,J)`$ be a compact Kaehler manifold without boundary of complex dimension $`\widehat{m}`$. Then $`\mathrm{\Delta }=2`$ and so $`\mathrm{Spec}(\mathrm{\Delta }_p)=\mathrm{Spec}(2_p)`$ for all $`p`$.

Conversely, one has the following result to T. Tsujishita (reported by Gilkey ):

###### Theorem 1.2.

Let $`(M,g,J)`$ be a compact Hermitian manifold without boundary. If $`\mathrm{Spec}(\mathrm{\Delta }_0)=\mathrm{Spec}(2_0)`$ and if $`\mathrm{Spec}(\mathrm{\Delta }_1)=\mathrm{Spec}(2_1)`$, then $`(M,g,J)`$ is Kaehler.

Donnelly  established a similar characterization of the Kaehler property using the reduced complex Laplacian. Pak  extended these results to the context of almost isospectral manifolds.

Theorem 1.2 is sharp. We refer to Gilkey  for the proof of the following result:

###### Theorem 1.3.

Let $`ds^2=dz_1d\overline{z}_1+e^{\psi (z_1)}dz_2d\overline{z}_2+e^{\psi (z_1)}dz_3d\overline{z}_3`$ be a Hermitian metric on the torus $`M_3`$ where $`\psi (z_1)`$ is an arbitrary smooth real valued function. Then $`\mathrm{\Delta }_0=2_0`$ but the metric is not Kaehler.

A Riemannian manifold of constant sectional curvature $`c`$ is said to be a space form; a Kaehler manifold of constant holomorphic sectional curvature $`c`$ is said to be a complex space form. Modulo rescaling, any space form is locally isometric to the unit sphere, to flat space, or to hyperbolic space. Similarly, modulo rescaling, any complex space form is locally isometric to complex projective space, to flat space, or to the negative curvature dual. Thus the geometries are very rigid in this context.

Patodi  established the following spectral characterization of space forms:

###### Theorem 1.4.

Let $`(M_i,g_i)`$ be compact Riemannian manifolds without boundary. Assume that $`\mathrm{Spec}(\mathrm{\Delta }_p,M_1)=\mathrm{Spec}(\mathrm{\Delta }_p,M_2)`$ for $`0p2`$. Then:

1. The manifold $`M_1`$ has constant scalar curvature $`c`$ if and only if the manifold $`M_2`$ has constant scalar curvature $`c`$.
2. The manifold $`M_1`$ is Einstein if and only if the manifold $`M_2`$ is Einstein.
3. The manifold $`M_1`$ has constant sectional curvature $`c`$ if and only if the manifold $`M_2`$ has constant sectional curvature $`c`$.

Donnelly  and Gilkey and Sacks  extended Theorem 1.4 to the complex setting – see also related work by Friedland , C.C. Hsuing et. al. , and Pak .

###### Theorem 1.5.

Let $`(M_i,g_i,J_i)`$ be compact Kaehler manifolds without boundary. Assume that $`\mathrm{Spec}(_{p,q},M_1)=\mathrm{Spec}(_{p,q},M_2)`$ for $`0p2`$ and $`0q2`$. Then the manifold $`M_1`$ has constant holomorphic sectional curvature $`c`$ if and only if the manifold $`M_2`$ has constant holomorphic sectional curvature $`c`$.

We can extend Theorem 1.2 to manifolds with boundary:

###### Theorem 1.6.

Let $``$ denote either Dirichlet or Neumann boundary conditions. Let $`(M,g,J)`$ be a compact Hermitian manifold with smooth boundary $`M`$. Assume that $`\mathrm{Spec}(\mathrm{\Delta }_{0,})=\mathrm{Spec}(2_{0,})`$ and that $`\mathrm{Spec}(\mathrm{\Delta }_{1,})=\mathrm{Spec}(2_{1,})`$. Then $`(M,g,J)`$ is Kaehler.

We can also generalize Theorems 1.4 and 1.5 to the category of manifolds with boundary under the additional technical hypothesis that the manifolds in question have constant scalar curvature.

###### Theorem 1.7.

Let $``$ denote either Dirichlet or Neumann boundary conditions. Let $`(M_i,g_i)`$ be compact Riemannian manifolds with smooth boundaries $`M_i`$ which have constant scalar curvatures $`\tau _i`$. Assume that $`\mathrm{Spec}(\mathrm{\Delta }_{p,},M_1)=\mathrm{Spec}(\mathrm{\Delta }_{p,},M_2)`$ for $`0p2`$. Then:

1. $`\tau _1=\tau _2`$.
2. The manifold $`M_1`$ is Einstein if and only if the manifold $`M_2`$ is Einstein.
3. The manifold $`M_1`$ has constant sectional curvature $`c`$ if and only if the manifold $`M_2`$ has constant sectional curvature $`c`$.

###### Theorem 1.8.

Let $``$ denote either Dirichlet or Neumann boundary conditions. Let $`(M_i,g_i,J_i)`$ be compact Kaehler manifolds with smooth boundaries $`M_i`$ which have constant scalar curvatures $`\tau _i`$. Assume that $`\mathrm{Spec}(_{p,q},M_1)=\mathrm{Spec}(_{p,q},M_2)`$ for $`0p2,0q2`$. Then the manifold $`M_1`$ has constant holomorphic sectional curvature $`c`$ if and only if the manifold $`M_2`$ has constant holomorphic sectional curvature $`c`$.

Here is a brief outline to the remainder of this paper. In Section 2, we review some previous results concerning the heat trace asymptotics. In Section 3, we complete the proof of Theorem 1.6 and in Section 4, we complete the proof of Theorems 1.7 and 1.8. In Remark 4.1, we extend Theorems 1.7 and 1.8 to more general boundary conditions of Robin type where the auxiliary endomorphism $`S`$ is ‘universal’ in a certain sense.

It is a pleasant task to thank the referee for helpful suggestions concerning the manuscript.

## 2. Heat trace asymptotics

Let $`M`$ be a compact Riemannian manifold of real dimension $`m`$ with smooth boundary $`M`$ and let $`D_{}`$ be the realization of an operator of Laplace type on $`M`$ with respect to either Dirichlet or Neumann boundary conditions. Let $`e^{tD_{}}`$ be the fundamental solution of the heat equation. This operator is of trace class and as $`t0`$ there is a complete asymptotic expansion with locally computable coefficients in the form:

$$\mathrm{Tr}_{L^2}e^{tD_{}}_{n0}t^{(nm)/2}a_n(D,).$$

To study the heat trace coefficients $`a_n(D,)`$, we must introduce a bit of additional notation. There is a canonically defined connection $`=(D)`$ and a canonically defined endomorphism $`E=E(D)`$ so that

$$D=(\mathrm{Tr}(^2)+E).$$

Let indices $`i`$, $`j`$, $`k`$ range from $`1`$ to $`m`$ and index a local orthonormal frame $`\{e_1,\mathrm{},e_m\}`$ for $`TM`$. Let indices $`a`$, $`b`$, and $`c`$ range from $`1`$ to $`m1`$ and index a local orthonormal frame $`\{e_1,\mathrm{},e_{m1}\}`$ for $`TM`$; on $`M`$, we let $`e_m`$ be the inward unit normal vector field. Let $`\mathrm{\Omega }`$ be the curvature of $``$, let $`\tau :=R_{ijji}`$ be the normalized scalar curvature, let $`\rho _{ij}:=R_{ikkj}`$ be the Ricci tensor, and let $`L_{ab}`$ be the second fundamental form. We adopt the Einstein convention and sum over repeated indices. Let ‘;’ denote multiple covariant differentiation. We refer to  for the proof of the following result:

###### Theorem 2.1.

Let $`D`$ be an operator of Laplace type on the space of sections $`C^{\mathrm{}}(V)`$ to a vector bundle $`V`$ over a compact manifold $`M`$ with smooth boundary $`M`$. Let $`I`$ be the identity endomorphism of $`V`$. With Dirichlet boundary conditions, we have:

1. $`a_0(D,_D)=(4\pi )^{m/2}_M\mathrm{Tr}\{I\}`$.
2. $`a_1(D,_D)=(4\pi )^{(m1)/2}\frac{1}{4}_M\mathrm{Tr}\{I\}`$.
3. $`a_2(D,_D)=(4\pi )^{m/2}\frac{1}{6}_M\mathrm{Tr}\{6E+\tau I\}`$ $`+(4\pi )^{m/2}\frac{1}{6}_M\mathrm{Tr}\{2L_{aa}I\}`$.
4. $`a_3(D,_D)=\frac{1}{384}(4\pi )^{(m1)/2}_M\mathrm{Tr}\{96E+(16\tau +8R_{amam}`$
$`+7L_{aa}L_{bb}10L_{ab}L_{ab})I\}`$.
5. $`a_4(D,_D)=(4\pi )^{m/2}\frac{1}{360}_M\mathrm{Tr}\{60E_{;kk}+60\tau E+180E^2+30\mathrm{\Omega }^2`$
$`+(12\tau _{;kk}+5\tau ^22|\rho |^2+2|R|^2)I\}`$ $`+(4\pi )^{m/2}\frac{1}{360}_M\mathrm{Tr}\{120E_{;m}`$
$`+120EL_{aa}+(18\tau _{;m}+20\tau L_{aa}`$ $`+4R_{amam}L_{bb}12R_{ambm}L_{ab}`$
$`+4R_{abcb}L_{ac}+\frac{40}{21}L_{aa}L_{bb}L_{cc}\frac{88}{7}L_{ab}L_{ab}L_{cc}+\frac{320}{21}L_{ab}L_{bc}L_{ac})I\}`$.

Let $`_m`$ denote the covariant derivative with respect to $`e_m`$ on $`M`$. Let $`S`$ be an auxiliary endomorphism of $`V|_M`$. The Robin boundary operator is then given by:

$$_S\varphi :=(_m\varphi +S\varphi )|_M.$$

We take $`S=0`$ to define Neumann boundary conditions. Again, we refer to  for the proof of the following result:

###### Theorem 2.2.

With Robin boundary conditions, we have:

1. $`a_0(D,_S)=(4\pi )^{m/2}_M\mathrm{Tr}\{I\}`$.
2. $`a_1(D,_S)=(4\pi )^{(1m)/2}\frac{1}{4}_M\mathrm{Tr}\{I\}`$.
3. $`a_2(D,_S)=(4\pi )^{m/2}\frac{1}{6}_M\mathrm{Tr}\{6E+\tau I\}`$
$`+(4\pi )^{m/2}\frac{1}{6}_M\mathrm{Tr}\{2L_{aa}I+12S\}`$.
4. $`a_3(D,_S)=(4\pi )^{(1m)/2}\frac{1}{384}_M\mathrm{Tr}\{96E+(16\tau 8R_{amma}`$ $`+13L_{aa}L_{bb}`$
$`+2L_{ab}L_{ab})I+96SL_{aa}+192S^2\}`$.
5. $`a_4(D,_S)=(4\pi )^{m/2}\frac{1}{360}_M\mathrm{Tr}\{60E_{;kk}+60\tau E+180E^2+30\mathrm{\Omega }^2`$
$`+(12R_{ijji;kk}`$ $`+5\tau ^22|\rho |^2+2|R|^2)I\}`$ $`+(4\pi )^{m/2}\frac{1}{360}_M\mathrm{Tr}\{240E_{;m}`$
$`+120EL_{aa}+(42R_{ijji;m}`$ $`+20\tau L_{aa}+4R_{amam}L_{bb}12R_{ambm}L_{ab}`$
$`+4R_{abcb}L_{ac}`$ $`+\frac{40}{3}L_{aa}L_{bb}L_{cc}+8L_{ab}L_{ab}L_{cc}`$$`+\frac{32}{3}L_{ab}L_{bc}L_{ac})I+120S\tau `$
$`+720SE+144SL_{aa}L_{bb}+48SL_{ab}L_{ab}+480S^2L_{aa}+480S^3\}`$.

## 3. The proof of Theorem 1.6

Let $``$ be the Hodge operator. We introduce the following invariants:

1. Let $`K_1:=(d\overline{}\mathrm{\Omega }\mathrm{\Omega }^{\widehat{m}2})`$ for $`\widehat{m}2`$.
2. Let $`K_2:=\frac{1}{2}|d\mathrm{\Omega }|^2`$ for $`\widehat{m}2`$.
3. Let $`K_3:=(d\mathrm{\Omega }\overline{}\mathrm{\Omega }\mathrm{\Omega }^{\widehat{m}3})`$ for $`\widehat{m}3`$.
4. Let $`\kappa :=L_{aa}`$ be the geodesic curvature of the boundary.

We may then use Theorem 2.1 to extend results of Gilkey  to see:

$`a_2(2_0)=(4\pi )^{\widehat{m}}\frac{1}{6}\{_M2\kappa +_M(\tau +3K_2+3K_3)\}`$

$`a_2(\mathrm{\Delta }_0)=(4\pi )^{\widehat{m}}\frac{1}{6}\{_M2\kappa +_M\tau \}`$

$`a_2(2_{1,0})=(4\pi )^{\widehat{m}}\frac{1}{6}\{_M2\widehat{m}\kappa +(\widehat{m}3)_M(\tau +3K_2+3K_3)`$

$`+_M(6K_1+6K_2+3K_3)\}`$

$`a_2(2_{0,1})=(4\pi )^{\widehat{m}}\frac{1}{6}\{_M2\widehat{m}\kappa +(\widehat{m}3)_M(\tau +3K_2+3K_3)`$

$`+_M(6K_1+6K_2+3K_3)\}`$

$`a_2(\mathrm{\Delta }_1)=(4\pi )^{\widehat{m}}\frac{1}{6}\{_M4\widehat{m}\kappa +2(\widehat{m}3)_M\tau .`$

Since $`a_2(\mathrm{\Delta }_0)=a_2(2_0)`$, we have

(3.1)
$$_M(3K_2+3K_3)=0.$$

We use this relation and the relation $`a_2(\mathrm{\Delta }_1)=a_2(2_1)`$ to see

(3.2)
$$_M(6K_2+3K_3)=0.$$

Equations (3.1) and (3.2) then imply $`_MK_2=0`$ and hence $`M`$ is Kaehler.

If $`\widehat{m}=2`$, we have the formulae:

(3.3)
$$\begin{array}{ccc}a_2(2_0)\hfill & =(4\pi )^{\widehat{m}}\frac{1}{6}\{_M2\kappa \hfill & +_M(\tau +3K_2)\}\hfill \\ a_2(\mathrm{\Delta }_0)\hfill & =(4\pi )^{\widehat{m}}\frac{1}{6}\{_M2\kappa \hfill & +_M\tau \}.\hfill \end{array}$$

Since $`a_2(\mathrm{\Delta }_0)=a_2(2_0)`$, $`_MK_2=0`$ and $`M`$ is Kaehler; the condition relating $`\mathrm{\Delta }_1`$ and $`2_1`$ is not necessary in this instance. Finally, if $`\widehat{m}=1`$, then $`M`$ is automatically Kaehler. $``$

## 4. Proof of Theorems 1.7 and 1.8

We set $`S=0`$. Let $`\epsilon :=\frac{1}{4}`$ for Neumann boundary conditions and $`\epsilon :=\frac{1}{4}`$ for Dirichlet boundary conditions. By Theorems 2.1 and 2.2,

$`\mathrm{Tr}_{L^2}(e^{t\mathrm{\Delta }_{0,}})=(4\pi t)^{m/2}\{\mathrm{Vol}(M)+\epsilon \sqrt{t}\mathrm{Vol}(M)+O(t)\}\text{so}`$
(4.1) $`\mathrm{Vol}(M_1)=\mathrm{Vol}(M_2),\mathrm{Vol}(M_1)=\mathrm{Vol}(M_2),\text{and}`$
$`dim_{}(M_1)=dim_{}(M_2).`$
We set $`m:=dim_{}(M_i)`$ to this common value and compute:

$`a_2(\mathrm{\Delta }_{0,},M_i)=(4\pi )^{m/2}\frac{1}{6}\{_{M_i}\tau _i+_{M_i}2\kappa _i\}`$
$`a_2(\mathrm{\Delta }_{1,},M_i)=(4\pi )^{m/2}\frac{1}{6}\{_{M_i}(m6)\tau _i+_{M_i}2m\kappa _i\}.`$
We may then establish assertion (1) by computing:

$`\tau _1`$ $`=`$ $`(4\pi )^{m/2}\mathrm{Vol}(M_1)^1\{ma_2(\mathrm{\Delta }_{0,},M_1)a_2(\mathrm{\Delta }_{1,},M_1)\}`$
$`=`$ $`(4\pi )^{m/2}\mathrm{Vol}(M_2)^1\{ma_2(\mathrm{\Delta }_{0,},M_2)a_2(\mathrm{\Delta }_{1,},M_2)\}`$
$`=`$ $`\tau _2.`$
For subsequent use, we compute similarly that:

$`_{M_1}\kappa _1`$ $`=`$ $`3(4\pi )^{m/2}a_2(\mathrm{\Delta }_{0,},M_1)\frac{1}{2}_{M_1}\tau _1`$
$`=`$ $`3(4\pi )^{m/2}a_2(\mathrm{\Delta }_{0,},M_2)\frac{1}{2}_{M_2}\tau _2`$
$`=`$ $`_{M_2}\kappa _2.`$
The interior integrands defining $`a_4(\mathrm{\Delta }_p)`$ have been determined by Patodi . Motivated by his work, we introduce constants:

$`c_{m,p}^1=\frac{1}{72}\frac{m!}{p!(mp)!}\frac{1}{6}\frac{(m2)!}{(p1)!(mp1)!}+\frac{1}{2}\frac{(m4)!}{(p2)!(mp2)!},`$
$`c_{m,p}^2=\frac{1}{180}\frac{m!}{p!(mp)!}+\frac{1}{2}\frac{(m2)!}{(p1)!(mp1)!}2\frac{(m4)!}{(p2)!(mp2)!},`$
$`c_{m,p}^3=\frac{1}{180}\frac{m!}{p!(mp)!}\frac{1}{12}\frac{(m2)!}{(p1)!(mp1)!}+\frac{1}{2}\frac{(m4)!}{(p2)!(mp2)!},`$
$`c_{m,p}^4=\frac{1}{30}\frac{m!}{p!(mp)!}\frac{1}{6}\frac{(m2)!}{(p1)!(mp1)!}.`$
The work of Patodi then shows if $`M`$ is empty that:

(4.3)
$$a_4(\mathrm{\Delta }_p)=(4\pi )^{m/2}_M\{c_{m,p}^1\tau ^2+c_{m,p}^2|\rho |^2+c_{m,p}^3|R|^2+c_{m,p}^4\tau _{;ii}\}.$$

To simplify the notation, we introduce reduced invariants

$$\stackrel{~}{a}_n(\mathrm{\Delta }_p,):=a_n(\mathrm{\Delta }_p,)\frac{m!}{p!(mp)!}a_n(\mathrm{\Delta }_0,).$$

The terms

$$\{R_{amma}L_{bb},R_{ammb}L_{ab},R_{abcb}L_{ac}L_{aa}L_{bb}L_{cc},L_{ab}L_{ab}L_{cc},L_{ab}L_{bc}L_{ac}\}$$

appearing in Theorem 2.1 are all multiplied by $`\mathrm{Tr}(I_{\mathrm{\Lambda }^p})=\frac{m!}{p!(mp)!}`$. Thus they do not appear in $`\stackrel{~}{a}_4(\mathrm{\Delta }_{p,})`$; only the terms involving $`E(\mathrm{\Delta }_p)`$ survive in the boundary contributions. One can use the Weitzenböch formula to see that

$$\mathrm{Tr}(E(\mathrm{\Delta }_p))=\frac{(m2)!}{(p1)!(mp1)!}\tau .$$

Using equation (4.3), we see there exist universal constants so

$`\stackrel{~}{a}_4(\mathrm{\Delta }_{p,})`$ $`=`$ $`(4\pi )^{m/2}_M\{\stackrel{~}{c}_{m,p}^1\tau ^2+\stackrel{~}{c}_{m,p}^2|\rho |^2+\stackrel{~}{c}_{m,p}^3|R|^2+\stackrel{~}{c}_{m,p}^4\tau _{;kk}\}`$
$`+`$ $`(4\pi )^{m/2}_M\{\stackrel{~}{c}_{m,p}^5\tau \kappa +\stackrel{~}{c}_{m,p}^6\tau _{;m}\},`$
where, by Patodi’s result, we have:

(4.4) $`\stackrel{~}{c}_{m,p}^1:=c_{m,p}^1\frac{m!}{p!(mp)!}c_{m,0}^1=\frac{1}{6}\frac{(m2)!}{(p1)!(mp1)!}+\frac{1}{2}\frac{(m4)!}{(p2)!(mp2)!},`$
$`\stackrel{~}{c}_{m,p}^2:=c_{m,p}^2\frac{m!}{p!(mp)!}c_{m,0}^2=\frac{1}{2}\frac{(m2)!}{(p1)!(mp1)!}2\frac{(m4)!}{(p2)!(mp2)!},`$
$`\stackrel{~}{c}_{m,p}^3:=c_{m,p}^3\frac{m!}{p!(mp)!}c_{m,0}^3=\frac{1}{12}\frac{(m2)!}{(p1)!(mp1)!}+\frac{1}{2}\frac{(m4)!}{(p2)!(mp2)!},`$
$`\stackrel{~}{c}_{m,p}^4:=c_{m,p}^4\frac{m!}{p!(mp)!}c_{m,0}^4=\frac{1}{6}\frac{(m2)!}{(p1)!(mp1)!}.`$
For $`p=1,2`$, we have, by assumption, that:

$`\stackrel{~}{a}_4(\mathrm{\Delta }_{p,},M_1)=a_4(\mathrm{\Delta }_{p,},M_1)\frac{m!}{p!(mp)!}a_4(\mathrm{\Delta }_{0,},M_1)`$
$`=`$ $`\stackrel{~}{a}_4(\mathrm{\Delta }_{p,},M_2)=a_4(\mathrm{\Delta }_{p,},M_2)\frac{m!}{p!(mp)!}a_4(\mathrm{\Delta }_{0,},M_2).`$
By equation (4), $`_{M_1}\kappa _1=_{M_2}\kappa _2`$. By assertion (1), $`\tau _1=\tau _2`$. Since the scalar curvature is constant, $`\tau _{;m}=0`$. Thus since $`\mathrm{Vol}(M_1)=\mathrm{Vol}(M_2)`$, the boundary integrals are equal. Furthermore, since $`\mathrm{Vol}(M_1)=\mathrm{Vol}(M_2)`$, the interior integrals of $`\tau ^2`$ are equal. Since $`\tau _{;ii}=0`$, we have

(4.6)
$$_{M_1}(\stackrel{~}{c}_{m,p}^2|\rho _1|^2+\stackrel{~}{c}_{m,p}^3|R_1|^2)=_{M_2}(\stackrel{~}{c}_{m,p}^2|\rho _2|^2+\stackrel{~}{c}_{m,p}^3|R_2|^2)$$

for $`n=1,2`$; these two equations are independent since, by display (4.4),

$$det\left(\begin{array}{cc}\stackrel{~}{c}_{m,1}^2& \stackrel{~}{c}_{m,1}^3\\ \stackrel{~}{c}_{m,2}^2& \stackrel{~}{c}_{m,2}^3\end{array}\right)=det\left(\begin{array}{cc}\frac{1}{2}& \frac{1}{12}\\ \frac{m2}{2}2& \frac{m2}{12}+\frac{1}{2}\end{array}\right)=\frac{1}{4}\frac{1}{6}0.$$

Consequently

(4.7)
$$_{M_1}|\rho _1|^2=_{M_2}|\rho _2|^2\text{and}_{M_1}|R_1|^2=_{M_2}|R_2|^2.$$

A manifold $`M`$ has constant sectional curvature $`c`$ if and only if

$$0=_M|R_{ijkl}c(\delta _{il}\delta _{jk}\delta _{ik}\delta _{jl})|^2=_M(|R|^24c\tau +c^2\epsilon _m)$$

where $`\epsilon _m:=|\delta _{il}\delta _{jk}\delta _{ik}\delta _{jl}|^2`$ is polynomial in $`m`$. We use equation (4.1), equation (4.7), and assertion (1) to complete the proof of Theorem 1.7 (3) by computing:

$$_{M_1}(|R_1|^24c\tau _1+c^2\epsilon _m)=_{M_2}(|R_2|^24c\tau _2+c^2\epsilon _m).$$

Note that $`M`$ is Einstein if and only if there is a constant $`c`$ so

$$0=|\rho _{ij}c\delta _{ij}|^2=|\rho |^22c\tau +mc^2.$$

Thus Theorem 1.7 (2) can be established by verifying that:

$`0`$ $`=`$ $`_{M_1}(|\rho _1|^22c\tau _1+mc^2)=_{M_2}(|\rho _2|^22c\tau _2+mc^2).`$
As a similar argument based on the results of  establishes Theorem 1.8, we shall omit the details of the proof of Theorem 1.8 in the interests of brevity.

###### Remark 4.1.

We can generalize Theorems 1.7 and 1.8 to the context of Robin boundary conditions as follows. One could take $`S=c_1+c_2\kappa `$; the same cancellation argument as that given above to establish equation (4.6) shows the additional boundary terms cancel off for the reduced invariant. What is crucial is that the boundary condition be natural and universal in the context in which we are working.


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# Kinetics and Boltzmann kinetic equation for fluctuation Cooper pairs

## I Introduction

For all high temperature superconductors the fluctuation phenomena can be observed and their investigation takes a significant part of the complete understanding of these materials; for a contemporary review on the fluctuation phenomena in superconductors see the review by Larkin and VarlamovLarkin02 . The Ginzburg-Landau (GL) approach of the order parameter is an adequate tool to investigate the low-frequency behavior of fluctuations near to $`T_c;`$ for a review of the Gaussian GL fluctuations see Ref. Mishonov00, . A lot of important papers on the fluctuation phenomena in superconductors and related topics have not been cited in these reviews, see for example Ref. Ausloos, . We wish to point out that the GL approach is the standard tool for the investigation of magnetic field penetration in superconductorsVos:01  and even non-Gaussian approach to critical fluctuations.Tuszynski:91

Amidst all kinetic phenomena the fluctuation conductivity created by the metastable in the normal state Cooper pairs is probably best investigated. The Boltzmann equation is a standard tool for investigation of kinetic phenomena and the purpose of the present paper is to derive the Boltzmann equation for fluctuation Cooper pairs and to illustrate its work on the example of the fluctuation conductivity; a shortened version of the present research was presented in preliminary communications.Mishonov-Damianov  We rederive the frequency dependence of the Aslamazov-Larkin conductivity, fluctuation Hall effect at weak magnetic fields, and magnetoconductivity. We analyze the experimental data for indium oxide films and find significant deviation from the BCS weak coupling prediction. We are coming to the conclusion that a systematic investigation of lifetime of fluctuation Cooper pairs will give important information for our understanding of the physics of superconductivity.

## II From TDGL equation via Boltzmann equation to Newton equation

Our starting point is the time-dependent Ginzburg Landau (TDGL) equation for the superconducting order parameter derived in the classical paper by Abrahams and Tsuneto,Abrahams:66  see also Ref. Abrahams:68,  and references cited in the review by Larkin and VarlamovLarkin02

$$\frac{\left(i\mathrm{}D_r\right)^2}{2m^{}}\mathrm{\Psi }+a\mathrm{\Psi }+b|\mathrm{\Psi }|^2\mathrm{\Psi }=\mathrm{}\gamma \left(D_t\mathrm{\Psi }\zeta \right),$$
(1)
where $`m^{}`$ and $`|e^{}|=2|e|`$ are the mass and charge of the Cooper pairs, parameter $`\gamma `$ describes the dissipation, and $`\zeta (𝐫,t)`$ is the external noise in TDGL equation. Here

$`i\mathrm{}D_r`$ $`=`$ $`i\mathrm{}e^{}𝐀/c,`$
$`i\mathrm{}D_t`$ $`=`$ $`i\mathrm{}_te^{}\phi ,`$
are the operators of kinetic momentum and energy, $`𝐀`$ is a vector-potential, and $`\phi `$ is the potential.

Close to the critical temperature $`a(T)(TT_c)a_0/T_c,`$ and $`b\mathrm{const},`$ where $`a_0=\mathrm{}^2/2m^{}\xi ^2(0),`$ and $`\xi (0)`$ is coherence length.

The correlations of the white noise $`\zeta =0,`$

$$\zeta ^{}(𝐫_1,t_1)\zeta (𝐫_2,t_2)=\mathrm{\Gamma }\delta (t_1t_2)\delta (𝐫_1𝐫_2),$$
(2)
are parameterized by fluctuation parameter $`\mathrm{\Gamma }.`$ The BCS theory gives

$$\gamma _{_{BCS}}=\frac{\pi }{8}\frac{a_0}{T_c},$$

and that is why we parameterize $`\gamma =\gamma _{_{BCS}}\tau _{rel},`$ by the dimensionless parameter $`\tau _{rel}1,`$ which describes the relative life-time of fluctuation Cooper pairs.

The most simple is the case of free particle, which means $`𝐀=0`$, $`\phi =0`$, $`b|\mathrm{\Psi }|^20.`$ Introducing the Fourier transformation

$`\mathrm{\Psi }(𝐫,t)`$ $`={\displaystyle \underset{p}{}}{\displaystyle \frac{e^{i𝐩𝐫/\mathrm{}}}{\sqrt{𝒱}}}\psi _p(t),`$ (3)
$`\zeta (𝐫,t)`$ $`={\displaystyle \underset{p}{}}{\displaystyle \frac{e^{i𝐩𝐫/\mathrm{}}}{\sqrt{𝒱}}}\zeta _p(t),`$ (4)
where

$$\underset{p}{}𝒱\frac{d^Dp}{(2\pi \mathrm{})^D},$$

and

$$\zeta _p^{}(t_1)\zeta _q(t_2)=\mathrm{\Gamma }\delta _{p,q}\delta (t_1t_2),$$

we obtain TDGL equation in momentum representation

$$(\epsilon _p+a)\psi _p=\mathrm{}\gamma (d_t\psi _p\zeta _p).$$
(5)
The solution of this reads

$$\psi _p(t)=e^{t/2\tau _p}\left(_0^te^{t^{}/2\tau _p}\zeta _p(t^{})𝑑t^{}+\psi _p(0)\right),$$
(6)
where

$$\tau _p=\frac{\mathrm{}\gamma }{2(\epsilon _p+a(T))},\epsilon _p=\frac{p^2}{2m^{}}$$
(7)
are momentum-dependent lifetime and kinetic energy of fluctuation Cooper pairs. The number of particles for every momentum can be found by noise averaging

$$n_p=\psi _p^{}(t)\psi _p(t)=n_p(0)e^{t/\tau _p}+(1e^{t/\tau _p})\overline{n}_p,$$
(8)
where $`n_p(0)=|\psi _p(0)|^2`$ is the initial number. The time differentiation of this solution gives the well-known Boltzmann equation

$$\frac{d}{dt}n_p(t)=\frac{1}{\tau _p}(n_p(t)\overline{n}_p),$$
(9)
which can be considered in this physical situation as a consequence of the TDGL equation. The quantity

$$\overline{n}_p=n_p(t=\mathrm{})=\mathrm{\Gamma }\tau _p$$

gives the equilibrium number of particles. The fluctuation parameter $`\mathrm{\Gamma }`$ is related to dissipation parameter $`\gamma `$ by the fluctuation-dissipation theorem, which here takes the form

$$\mathrm{\Gamma }=\frac{2T}{\mathrm{}\gamma }=\frac{\overline{n}_p}{\tau _p}=\frac{T}{a_0\tau _0},$$
(10)
where

$$\overline{n}_p=\frac{T}{\epsilon _p+a(T)}$$

is the Rayleigh-Jeans distribution.

Let us now analyze the influence of a weak electric field in the BoltzmannBoltzmann:12  equation

$$_tn_p+e^{}𝐄_𝐩n_p=\frac{1}{\tau _p}(n_p\overline{n}_p).$$
(11)
Quantum mechanics was born during Halle conference in 1891, when exposed to the ignorant criticism of both statistical methods and atomic physics, Boltzmann suddenly made a remark: ”I see no reason why energy shouldn’t also be regarded as divided atomically” Ref. Flamm:97, . Later on applying the Boltzmann method to the problem of black body radiation Planck found that the constant appearing in the photon spectrum is just the volume of the Boltzmann cells in the phase space. Due to this reason, Planck called the quantity $`2\pi \mathrm{}`$ after Boltzmann - Boltzmann constant.

For the solution we search in the form

$$n_p(t)=n(𝐩,t)\overline{n}\left(𝐩m^{}𝐕(𝐩,t)\right),$$
(12)
and we obtain the Newton equation

$$m^{}d_t𝐕_p(t)=e^{}𝐄\frac{m^{}}{\tau _p}𝐕_p(t)$$
(13)
for the field of drift velocity in momentum space. The general formula for the current gives

$$𝐣_{\mathrm{fl}}=\underset{p}{}e^{}\frac{n_p}{𝒱}𝐯_p=\stackrel{}{\sigma }_{\mathrm{fl}}𝐄,n__\mathrm{D}=\underset{p}{}\frac{n_p}{𝒱},$$
(14)
where $`n_D`$ is the $`D`$-dimensional volume density of the fluctuation Cooper pairs. Substitution here of the shifted equilibrium distribution gives the well-known formula for the conductivity tensorLL:10

$$\stackrel{}{\sigma }_{\mathrm{fl}}=e^2\frac{d^Dp}{(2\pi \mathrm{})^D}\frac{𝐯_p𝐯_p}{1/\tau _pi\omega }\left(\frac{n_p}{\epsilon _p}\right),$$
(15)
where $`𝐯_p=_p\epsilon _p=𝐩/m^{}`$ is the Cooper pairs’ velocity. This is only a small fraction of the total conductivity

$$\sigma (T)=\sigma __\mathrm{N}(T)+\sigma _{\mathrm{fl}}(ϵ),ϵ\mathrm{ln}\frac{T}{T_c}\frac{TT_c}{T_c},\sigma _{\mathrm{fl}}\sigma __\mathrm{N}.$$
(16)
For thin superconducting films $`D=2`$ substituting

$$\frac{dp_xdp_y}{(2\pi \mathrm{})^2}=\frac{d(\pi p^2)}{(2\pi \mathrm{})^2}=\frac{m^{}}{2\pi \mathrm{}^2}d\epsilon _p,\frac{\overline{n}}{\epsilon }=\frac{T}{(\epsilon +a)^2},$$
(17)
we obtain the classical result by Aslamazov and LarkinAslamazov68

$$\sigma _{_{\mathrm{AL}}}(ϵ)=\frac{e^2}{16\mathrm{}}\tau _{\mathrm{rel}}\frac{T_c}{TT_c}=\frac{e^2T}{\pi \mathrm{}^2}\tau (ϵ),$$
(18)
where

$$\tau (ϵ)\tau (𝐩=0,ϵ)=\frac{\pi \mathrm{}}{16T_c}\frac{\tau _{\mathrm{rel}}}{ϵ}=\frac{\tau _0}{ϵ}$$
(19)
is the lifetime for Cooper pairs with zero momentum.

For the two-dimensional (2D) case conductivity is just the inverse resistance $`\sigma ^{(2D)}(T)=R_{\mathrm{}}^1(T).`$ For conventional disordered superconductors normal conductivity can be approximated by residual conductivity far above $`T_c,`$ for example, $`T=3T_c.`$ In this approximation Aslamazov-Larkin conductivity can be rewritten in a convenient for experimental data processing form

$$\left(\frac{1}{R_{\mathrm{}}(T)}\frac{1}{R_{\mathrm{}}(3T_c)}\right)^1\frac{16\mathrm{}}{e^2\tau _{\mathrm{rel}}}\left(\frac{T}{T_c}1\right).$$
(20)
Performing the linear regression fit of the data presented in Ref. Fiory83,  we have obtained that for indium oxide films $`\tau _{\mathrm{rel}}=1.15.`$ This significant 15 % deviation from the weak coupling BCS value is created by strong coupling effects. We conclude that analogous systematic investigations for thin films would be very helpful for our understanding of the dynamics of the order parameter in superconductors. Decreasing the lifetime and $`\tau _{\mathrm{rel}}`$ by depairing impurities or disorder for anisotropic gap superconductors definitely deserves a great attention.

## III Fluctuation conductivity in different physical condition

### III.1 High frequency conductivity

For diagonal components of conductivity taking into account that $`\mathrm{Tr}𝟙=𝔻`$, from the general formula Eq. (15), we obtain

$$\sigma _{\mathrm{fl}}=\frac{e^2}{D}\frac{d^Dp}{(2\pi \mathrm{})^D}\frac{v_p^2}{1/\tau _pi\omega }\left(\frac{n_p}{\epsilon _p}\right).$$
(21)
It is convenient to introduce a dimensionless frequency $`z=\omega \tau (ϵ)`$. In order to derive the dimensionless complex conductivity $`\varsigma (\omega )`$ we need to solve the elementary integral

$`\varsigma (z)`$ $`=`$ $`\varsigma _1(z)+i\varsigma _2(z)`$ (22)
$`=`$ $`2{\displaystyle _1^{\mathrm{}}}{\displaystyle \frac{x1}{x^2(x+y)}}𝑑x`$
$`=`$ $`{\displaystyle \frac{2}{y}}\left[\left(1+{\displaystyle \frac{1}{y}}\right)\mathrm{ln}(1+y)1\right],`$
$`=`$ $`{\displaystyle \frac{2}{iz}}\left[\left(1+{\displaystyle \frac{1}{iz}}\right)\mathrm{ln}(1iz)1\right],`$
where $`x=p^2/2m^{}a(ϵ)+1`$ is the kinetic energy of Cooper pairs taken into account from the “chemical potential” in $`a(ϵ)`$ units, and $`y=iz=i\omega \tau (\epsilon )`$ is the dimensionless Matsubara frequency $`\zeta __\mathrm{M}=i\omega .`$ The integral Eq. (22) is solved considering the Matsubara frequency $`y`$ to be a real variable. Then we can make the analytical continuation to real frequencies substituting $`y=iz`$ in the result Eq. (III.1). This method is very popular in the quantum field theory, but works effectively for classical problems as well. In such a way we obtain

$`\varsigma _1(z)`$ $`=`$ $`{\displaystyle \frac{2}{z^2}}\left[z\mathrm{arctan}(z){\displaystyle \frac{1}{2}}\mathrm{ln}(1+z^2)\right]`$ (24)
$`=`$ $`{\displaystyle \frac{2}{\pi }}𝒫{\displaystyle _0^{\mathrm{}}}{\displaystyle \frac{x\varsigma _2(x)}{x^2z^2}}𝑑x,`$
$`\varsigma _2(z)`$ $`=`$ $`{\displaystyle \frac{2}{z^2}}\left[\mathrm{arctan}(z)z+{\displaystyle \frac{z}{2}}\mathrm{ln}(1+z^2)\right]`$ (25)
$`=`$ $`{\displaystyle \frac{2z}{\pi }}𝒫{\displaystyle _0^{\mathrm{}}}{\displaystyle \frac{\varsigma _1(x)}{x^2z^2}}𝑑x.`$
Then the frequency-dependent conductivity reads

$$\sigma _{_{2\mathrm{D}}}(ϵ,\omega )=\sigma _{_{\mathrm{AL}}}(ϵ)\varsigma (\omega \tau (ϵ)).$$
(26)
The integral Eq. (21) can be solved for arbitrary dimension

$$\sigma __\mathrm{D}(ϵ,\omega )=\sigma __\mathrm{D}(ϵ)\varsigma __\mathrm{D}(z),$$
(27)
cf. the paper by DorseyDorsey

$$\sigma __\mathrm{D}(ϵ)=4\frac{\mathrm{\Gamma }(2D/2)}{(4\pi )^{D/2}}\frac{e^2}{\mathrm{}}\left[\xi (ϵ)\right]^{2D}\frac{T\tau (ϵ)}{\mathrm{}},$$
(28)
where $`\xi (ϵ)\xi (0)/\sqrt{ϵ}`$ is the temperature-dependent coherence length. The conductivity in this case has the form

$`\varsigma _{_{1,\mathrm{D}}}(z)`$ $`=`$ $`{\displaystyle \frac{8}{D(D2)z^2}}[1`$
$`(1+z^2)^{D/4}\mathrm{cos}\left({\displaystyle \frac{D}{2}}\mathrm{arctan}z\right)],`$
$`\varsigma _{_{2,\mathrm{D}}}(z)`$ $`=`$ $`{\displaystyle \frac{8}{D(D2)z^2}}[{\displaystyle \frac{D}{2}}z`$ (29)
$`+(1+z^2)^{D/4}\mathrm{sin}\left({\displaystyle \frac{D}{2}}\mathrm{arctan}z\right)].`$
### III.2 Hall effect

The fluctuation Hall conductivity also can be derived in the framework of the Boltzmann kinetic equation. We have to take into account a small imaginary part $`\alpha `$ of $`\gamma `$ parameter in the TDGL equation, i.e., $`\gamma \gamma +i\alpha ,`$ and $`\alpha \gamma .`$ The solutionMishonov-Damianov  of the kinetic equation gives

$$\sigma _{xy}(ϵ)=\frac{Z}{3}\omega _c\tau (ϵ)\sigma _{\mathrm{AL}}(ϵ)\tau ^2(ϵ),$$
(30)
where $`\omega _c=e^{}B/m^{}c`$ is the “cyclotron” frequency and

$$Z=\text{Im}\frac{1}{\gamma +i\alpha }\frac{\alpha }{\gamma ^2}1.$$
(31)
This result agrees with microscopic calculations.Larkin02  Due to the small value of the parameter $`\alpha `$, fluctuation Hall effect is difficult to observe. With fitting of $`\alpha `$ and $`m^{}`$ from the experimental data finishes the complete determination of parameters of TDGL theory.

### III.3 Magnetoconductivity

It is interesting to mention that the classical formula for the conductivity Eq. (15) correctly works even for strong magnetic fields. We only have to substitute the momentum integration with summation on discrete Landau levels, taking into account the density of Landau magnetic subbands

$$ϵ_pϵ_n=\mathrm{}\omega _c\left(n+\frac{1}{2}\right)=a_0(2n+1)h,$$
(32)
where

$$h=\frac{\mathrm{}\omega _c}{2a_0}=\frac{B_z}{B_{\mathrm{c2}}(0)}$$
(33)
is the dimensionless magnetic field and

$$B_{\mathrm{c2}}(0)=T_c\frac{d}{dT}B_{\mathrm{c2}}(T)|_{T_c}$$
(34)
is the linear extrapolation. In the numerator of Eq. (15) we have to substitute the classical velocity with the oscillator matrix elements of the momentum. Analogously for the energy-dependent lifetime we have to average on neighboring levels. Due to the triviality of the oscillator problem these substitutions can be performed in only one way, and Aslamazov-Larkin conductivity Eq. (18) is substituted by the magnetoconductivity of Abrahams, Prange and StephenAPS  (APS)

$$\sigma _{_{\mathrm{AL}}}(ϵ)=\frac{e^2T\tau _0}{\pi \mathrm{}}\frac{1}{ϵ}\sigma _{_{\mathrm{APS}}}(ϵ,h)=\frac{e^2T\tau _0}{\pi \mathrm{}}f(ϵ,h),$$
(35)
i.e., $`1/ϵ`$ has to be substituted by APS function

$$f(ϵ,h)=\frac{2}{h^2}\left[ϵϝ\left(\frac{1}{2}+\frac{ϵ}{2h}\right)ϵϝ\left(1+\frac{ϵ}{2h}\right)+h\right].$$
(36)
This two-dimensional result can be easily generalized for layered and bulk superconductors using the layering operator introduced in Ref. Mishonov00, .

### III.4 Strong electric fields

Using the optical gauge

$$\phi =0,𝐀=t𝐄,$$

the TDGL equation Eq. (1) reads

$$d_u\psi _q(u)=\frac{1}{2}\left[(q+fu)^2+ϵ\right]\psi _q(u)+\overline{\zeta }_q(u),$$
(37)
where we are introducing dimensionless variables for the $`u=t/\tau _0`$ time, $`q=p\xi (0)/\mathrm{}`$ momentum, $`f=e^{}E\tau _0\xi (0)/\mathrm{}`$ electric field, and $`\overline{\zeta }_q(u)=\tau _o\zeta _p(t)`$ noise. We have a linear ordinary differential equation which can be solved for arbitrary $`f(u),`$ i.e., for arbitrary time dependence of the electric field. For constant electric field the TDGL equation has the solution

$`\psi _q(u)`$ $`=`$ $`\{{\displaystyle _0^u}\mathrm{exp}\left[{\displaystyle \frac{1}{2}}{\displaystyle _0^{u_1}}[(q+fu_2)^2+ϵ]du_2\right]`$ (38)
$`\times \overline{\zeta _q}(u_1)du_1+\psi _q(0)\}`$
$`\times \mathrm{exp}\left[{\displaystyle \frac{1}{2}}{\displaystyle _0^u}\left[(q+fu_3)^2+ϵ\right]𝑑u_3\right].`$
In order to obtain the static \[$`t\tau (ϵ)`$\] momentum distribution we have to perform the noise averaging

$`n_k`$ $`=`$ $`\underset{u\mathrm{}}{lim}\left|\psi _{q+fu}(u)\right|^2`$
$`=`$ $`{\displaystyle \frac{T}{a_0}}{\displaystyle _0^{\mathrm{}}}\mathrm{exp}\left[\left(k^2+ϵ\right)v+fkv^2{\displaystyle \frac{1}{3}}f^2v^3\right]𝑑v,`$
where $`u_1=uv`$ and

$$k=q+fu=\left(pe^{}A\right)\frac{\xi (0)}{\mathrm{}}$$

is the dimensionless kinetic momentum. This distribution can be directly derived from Boltzmann equation Eq. (11) for fluctuation Cooper pairs.Mishonov02  In Ref. Mishonov02,  it was demonstrated that substitution of the momentum distribution Eq. (III.4) in the formula for the current density Eq. (14) gives the result which agrees with the formula by DorseyDorsey ; cf. also the paper by Gor’kovGor'kov

$$j(E_x)=\frac{e^2\tau _{\mathrm{rel}}E_x}{16\mathrm{}\left[2\pi ^{1/2}\xi (0)\right]^{D2}}_0^{\mathrm{}}\frac{\mathrm{exp}\left(ϵugu^3\right)}{u^{(D2)/2}}𝑑u,$$
(40)
where

$$g\frac{f^2}{12},f=\frac{e^{}E_x\xi (0)\tau _0}{\mathrm{}}=\frac{\pi }{8}\frac{eE_x\xi (0)}{T_c}\tau _{\mathrm{rel}}.$$

Differentiating the upper expression we obtain differential conductivity

$`\sigma _{\mathrm{diff}}`$ $`=`$ $`{\displaystyle \frac{dj(E_x)}{dE_x}}={\displaystyle \frac{e^2\tau _{\mathrm{rel}}}{16\mathrm{}(2\sqrt{\pi }\xi (0))^{D2}}}`$ (41)
$`\times {\displaystyle _0^{\mathrm{}}}{\displaystyle \frac{12gu^3}{u^{(D2)/2}}}\mathrm{exp}(ϵugu^3)du.`$
Applying a voltage $`U(t)=U_{_{\mathrm{DC}}}+U_{_{\mathrm{AC}}}\mathrm{cos}\omega t`$ to the nanowire, the differential conductivity can be easily determined measuring the AC component for the current if $`U_{_{\mathrm{AC}}}U_{_{\mathrm{DC}}}`$. Cooling the sample the differential conductivity will decrease, then at some temperature it will be annulated and what will happen at further cooling is an interesting experimental question.

## IV Current functional: self-consistent approximation and energy cut-off

The self-consistent approximation for the reduced critical temperatureMishonov00 ; Dorsey  in the one-dimensional (1D) case reads

$$ϵ_{\mathrm{ren}}=\mathrm{ln}\frac{T}{T_0}+\frac{b}{a_0}n_{_{1D}}=\mathrm{ln}\frac{T}{T_0}+ϵ_{_{1G}}𝒩_1(ϵ_{\mathrm{ren}},f),$$
(42)
where $`n_{_{1D}}`$ is the bulk density of the fluctuation Cooper pairs when we have 1D fluctuations in a wire with cross section $`S\xi ^2(ϵ)`$ and

$$ϵ_{_{1G}}\frac{\mu _0\lambda ^2(0)\xi (0)e^2T_c}{\sqrt{\pi }S\mathrm{}^2}=\frac{k_B}{8\sqrt{\pi }\mathrm{\Delta }C\xi (0)S},$$
(43)
where $`\lambda (ϵ)=\lambda (0)/\sqrt{ϵ}`$ is the temperature-dependent penetration depth and $`\mathrm{\Delta }C`$ is the jump of the specific heat at $`T_c`$ per unit volume. For numerical calculations the function

$$𝒩_1(ϵ,f)_0^{\mathrm{}}\mathrm{exp}(ϵvgv^3)\frac{dv}{\sqrt{v}}$$
(44)
has to be programmed as

$$𝒩_1(ϵ,f)=2_0^{\mathrm{}}\mathrm{exp}(gz^6ϵz^2)𝑑z,z^2=v.$$
(45)
Analogously for the thin superconducting film with thickness $`d_f\xi (ϵ)`$ the equation for reduced temperature at zero electric field takes the formMishonov00

$$ϵ_{\mathrm{ren}}=\mathrm{ln}\frac{T}{T_0}+\frac{b}{a_0}n_{_{2D}}=\mathrm{ln}\frac{T}{T_0}+ϵ_{_{2G}}𝒩_2(ϵ_{\mathrm{ren}}),$$
(46)
where $`n_{_{2D}}`$ is the volume density of the fluctuation Cooper pairs having 2D fluctuations,

$$ϵ_{_{2G}}\frac{k_B}{4\pi \mathrm{\Delta }C\xi ^2(0)d_f}=2\pi \mu _0\frac{T_c}{d_f}\left(\frac{\lambda (0)}{\mathrm{\Phi }_0}\right)^2$$
(47)
is the 2D Ginzburg number and

$$𝒩_2(ϵ)\mathrm{ln}\left(\frac{c+ϵ}{ϵ}\right).$$
(48)
As simplest possible application of these results we have to mention nanostructured superconductors, e.g., nanowiresnanowires , similar to those used for long time for investigation of phase slip centersphase-slip\_centers  of the superconducting phase. We are pointing out that paraconductivity is a property of the normal phase.

For general (nonparabolic) dispersion we can derive from the TDGL equation the formula for the distribution of fluctuation Cooper pairs

$`n_k(u)`$ $`=`$ $`{\displaystyle \frac{T}{a_0}}{\displaystyle _0^u}\mathrm{exp}\left\{{\displaystyle _{u_1}^u}\left[{\displaystyle \frac{\epsilon (k(u_2))}{a_0}}+ϵ\right]𝑑u_2\right\}𝑑u_1`$ (49)
$`+\overline{n}_k(0)\mathrm{exp}\{{\displaystyle _{u_1}^u}\left[{\displaystyle \frac{\epsilon (k(u_2))}{a_0}}+ϵ\right]𝑑u_2\},`$
where the dimensionless kinetic momentum and the vector potential are

$$k(u)=q+\overline{A}(u),\overline{A}(u)=\frac{e^{}\xi (0)}{\mathrm{}}A(t).$$

In the case of parabolic dispersion and arbitrary time dependence of the electric field we can write Eq. (14) for the current functional in the form

$$j[A]=\frac{\sqrt{\pi }\mathrm{}e}{m^{}\xi (0)}\left[\frac{T}{a_0}_0^uF_A[u_1]𝑑u_1+\overline{n}_k(0)F_A[0]\right],$$
(50)
where for brevity we introduce the functionals

$`F_A[u_1]`$ $``$ $`\left({\displaystyle \frac{\overline{A}(u)}{\sqrt{uu_1}}}{\displaystyle \frac{B_A[u_1]}{(uu_1)^{3/2}}}\right)`$ (52)
$`\times \mathrm{exp}\left[{\displaystyle \frac{(B_A[u_1])^2}{uu_1}}G(u_1)\right]`$
and

$$B_A[u_1]_{u_1}^u\overline{A}(u_2)𝑑u_2,$$

$$G_A[u_1]ϵ(uu_1)+_{u_1}^u(\overline{A}(u_2))^2𝑑u_2.$$

Local GL theory with an energy cut-off for the kinetic energy $`\epsilon _p<a_0c`$ \[or for the kinetic energy taken into account from the chemical potential $`\epsilon _p+a(T)<a_0c`$\] is very often used for describing the fluctuation phenomena Mishonov00

$$\epsilon (k)=\{\begin{array}{cc}a_0k^2,& |k|<\mathrm{\Lambda }\\ a_0c,& |k|>\mathrm{\Lambda }\end{array}$$
(53)
where the dimensionless constant $`\mathrm{\Lambda }\sqrt{c}1.`$ For YBa<sub>2</sub>Cu<sub>3</sub>O<sub>7-δ</sub> the recent investigationsSilva:03  of high-frequency fluctuation conductivity determined $`\mathrm{\Lambda }0.5.`$ See also the recent work by Puica and Lang, Ref. Puica, , where the effects of energy cut-off and self-consistent interaction are treated in great details. Then the functional which participates in the formula for the current Eq. (50) takes the form

$`F_A[u_1]={\displaystyle \frac{\mathrm{sinh}(2\mathrm{\Lambda }B_A[u_1])}{\sqrt{uu_1}}}`$
$`\times \mathrm{exp}\left[(uu_1)\left(c+{\displaystyle \frac{(B_A[u_1])^2}{(uu_1)^2}}\right)\right]`$ (54)
$`+\left(\overline{A}(u){\displaystyle \frac{B_A[u_1]}{(uu_1)}}\right)\mathrm{exp}\left({\displaystyle \frac{(B_A[u_1])^2}{uu_1}}G_A[u_1]\right)`$
$`\times {\displaystyle _{\mathrm{\Lambda }A(u)}^{\mathrm{\Lambda }A(u)}}\mathrm{exp}[(uu_1)(q+{\displaystyle \frac{B_A[u_1]}{uu_1}})^2dq].`$
These rather complicated formulas are necessary for investigation of paraconductivity in the THz range. In the next section we will give an illustration for the important one dimensional case.

## V Fluctuation conductivity in nanowires

The recent development of the technology of the performance of nanowires made it possible and even indispensable for the investigation of fluctuation conductivity. In this section we will analyze in detail the general results in 1D case.

The integrants in the momentum distribution Eq. (III.4) is actually age distribution for fluctuation Cooper pairs

$$(v;k,ϵ,f)=\mathrm{exp}\left[\left(k^2+ϵ\right)v+fkv^2\frac{1}{3}f^2v^3\right],$$
(55)
the variable $`v`$ is the age in units $`\tau (ϵ).`$ Time integration returns us to the momentum distribution, which using the dimensional variables

$$k_ϵ\frac{k}{|ϵ|^{1/2}},f_ϵ\frac{f}{|ϵ|^{3/2}}$$
(56)
reads

$$\overline{n}(k;ϵ,f)=\frac{n_T}{|ϵ|}_\pm (k_ϵ,f_ϵ),$$
(57)
where

$$_\pm (k_ϵ,f_ϵ)_0^{\mathrm{}}\mathrm{exp}[(k_ϵ^2\pm 1)x+f_ϵk_ϵx^2\frac{1}{3}f_ϵ^2x^3]𝑑x$$
(58)
and $`x=|ϵ|u.`$

For the case $`ϵ=0`$, $`T=T_c`$ or when $`f\mathrm{}`$, i.e.,

$$f_ϵ=e^{}E_x\xi (ϵ)\tau (ϵ)/\mathrm{}1,\xi (ϵ)=\xi (0)/|ϵ|^{1/2}$$
(59)
we obtain

$$n(k,f)=\frac{n_T}{f^{2/3}}_0(k_f),k_f=\frac{k}{f^{1/3}},$$
(60)
where in

$$_0(k_f)_0^{\mathrm{}}\mathrm{exp}\left[k_f^2y+k_fy^2\frac{1}{3}y^3\right]𝑑y$$
(61)
we use the transformation $`y=f^{2/3}v.`$

For 1D case using Eq. (40), we express the current

$$j(E_x,ϵ)=\frac{\sqrt{\pi }e^2}{8\mathrm{}}\tau _{\mathrm{rel}}\xi (0)E_x𝒥(ϵ,f)$$
(62)
where

$$𝒥(ϵ,f)=_0^{\mathrm{}}\mathrm{exp}(ϵvgv^3)\sqrt{v}𝑑v,g\frac{f^2}{12}.$$
(63)
The fluctuational current for Cooper pairs above and under the critical temperature is

$$j=\frac{\pi e^2\tau _{\mathrm{rel}}\xi (0)E_x}{16\mathrm{}|ϵ|^{3/2}}\varsigma _\pm (f_ϵ),$$
(64)
where

$$\varsigma _\pm (f_ϵ)=\frac{2}{\sqrt{\pi }}_0^{\mathrm{}}\mathrm{exp}(v_ϵg_ϵv_ϵ^3)\sqrt{v_ϵ}𝑑v_ϵ$$
(65)
is the dimensionless function, which depends on the strength of the electric field. For convenience we use $`g_ϵ=f_ϵ^2/12`$ and $`v_ϵ=v|ϵ|.`$ We wish to point out the normalization and the asymptotics

$$\varsigma _+(0)=1,\varsigma _\pm (f_ϵ\mathrm{})\frac{4}{\sqrt{3}f_ϵ}.$$
(66)
Using the strong field asymptotic $`f_ϵ1,`$ we obtain the fluctuational current at $`T_c`$

$$j_{\mathrm{}}j(f_ϵ\mathrm{})=\frac{2}{\sqrt{3}}\frac{eT_c}{\mathrm{}}.$$
(67)
We wish to point out that $`j(f_ϵ\mathrm{})/T_c`$ is universal and contains only fundamental physical constants. All material constants like $`\xi (0),`$ $`\lambda (0)`$ or the cross section of the nanowire $`S`$ are cancelled. For experimental data processing it is necessary to perform linear regression of the IV curve

$$j_{\mathrm{tot}}=\frac{U}{R_N(T_c)}+\mathrm{sign}(U)\times 24.22\mathrm{nA}T_c[\mathrm{K}],$$
(68)
where the second term is the universal fluctuational current at strong electric fields around $`T_c`$. In order to avoid the thermoelectric effect coming from different materials forming the contacts to the nanowire one can analyze the current harmonics predicted by Eq. (68) for $`U(t)=U_0\mathrm{sin}\omega t`$ at $`T=T_c`$

$$j_{\mathrm{tot}}(t)=\frac{U_0}{R_N(T_c)}\mathrm{sin}\omega t+\frac{4}{\pi }j_{\mathrm{}}\underset{l=1}{\overset{\mathrm{}}{}}\frac{\mathrm{sin}[(2l+1)\omega t]}{2l+1}.$$
(69)
This current response is a good approximation even slightly above $`T_c`$ for voltage amplitudes

$$U_0\frac{8}{\pi }\frac{T_c}{e}\frac{L}{\xi (0)}|ϵ|^{3/2},$$
(70)
where $`L`$ is the length of the nanowire. In such a way the investigation of fluctuation current in nanowires can be used as a high accuracy test for applicability of the TDGL equation for nanostructured superconductors. For further references related to harmonic generations close to $`T_c`$ see Ref. Mishonov:02a, ; Cheenne:03, .

Using Eq. (14) and Eq. (III.4) we derive 1D dimensional density

$$n_{1D}=\frac{n_T}{2\sqrt{\pi }\xi (0)S}𝒩_1(ϵ,f),$$
(71)
where $`𝒩_1(ϵ,f)`$ is previously defined in Eq. (44), when we considered without a derivation the self-consistent equation for the reduced temperature. The analysis of temperature and electric field dependence is reduced to two functions of one variable $`f_ϵ`$ above and below the $`T_c`$

$$n_{1D}=\frac{n_T}{2\xi (0)S\sqrt{|ϵ|}}N_\pm (f_ϵ),$$
(72)
where

$$𝒩_\pm (f_ϵ)=\frac{1}{\sqrt{\pi }}_0^{\mathrm{}}e^{v_ϵg_ϵv_ϵ^3}\frac{dv_ϵ}{\sqrt{v_ϵ}},N_+(f_ϵ=0)=1.$$
(73)
Analogously at $`T_c`$, where $`ϵ=0`$ and $`f_ϵ1`$ we obtain

$$n_{1D}(f)=\frac{\mathrm{\Gamma }(1/6)n_T}{2^{2/3}3^{5/6}\sqrt{\pi }\xi (0)S}\frac{1}{f^{1/3}}.$$
(74)
Choosing a typical set of parameters for the Sn nanowire: $`\xi (0)=1000`$ Å, $`\lambda (0)=1000`$ Å, $`D=500`$ Å, $`S=\pi D^2/4`$ according Eq. (43) we obtain for 1D Ginzburg number $`ϵ_{1G}=4.3\times 10^5.`$ This parameter is essential for the numerical solution of the equation for renormalized reduced temperature Eq. (42).

## VI Discussion and Conclusion

Solving in parallel the TDGL equation and the Boltzmann equation we obtained coinciding results: not only for the linear case of Aslamazov-Larkin conductivity, but for the cases of strong electric fields, arbitrary time dependence of the electric field, nonparabolic momentum dependence of energy of Cooper pairs, energy cut-off, self-consistent equation for the renormalized reduced temperature, frequency dependence of the fluctuation conductivity etc. The number of fluctuation Cooper pairs which participates in the Boltzmann equation and the formulas for the current is actually the diagonal element of the order parameter correlatorSilva:03  $`n_k(t)=C\left[p_{\mathrm{kin}}=pe^{}A(t);t,t\right].`$ One can also easily check that the entropy of fluctuation Cooper pairs $`\eta `$ is increasing with the time $`d\eta /dt0;`$ the capital $`\eta `$ in the $`\eta `$-theorem by Boltzmann is often spelled as Latin $`H.`$ Our self-consistent formula for the fluctuation conductivity of a superconducting nanowire can be directly used for the experimental data processing. In such a way we conclude that Boltzmann equation for fluctuation Cooper pairs reproduces the known results of the fluctuation theory in the normal phase and it is a adequate tool to predict new phenomena related to metastable Cooper pairs, like negative differential conductivity in the fluctuation regime predicted in Ref. Mishonov02,  and strong electric field effect in nanostructured superconductors where the heating effects are reduced. Our universal result Eq. (68) for a fluctuational current in a nanowire under strong electric field shows that Boltzmann equation for the fluctuation Cooper pairs will become an indispensable tool for understanding the electronic processes in nanostructured superconductors.

###### Acknowledgements.

Two of the authors T. M. and D. D., would like to thank to M. Ausloos and A. Varlamov for the hospitality in NATO ASI in Trieste where the present results for derivation of the Boltzmann equation, (cf. Ref. Mishonov-Damianov, ) have been presented. The authors are thankful to J. O. Indekeu for the hospitality in K. U. Leuven where the present work was completed. One of the authors, T. M., is thankful to E. Abrahams, M. Ausloos, and L. P. Gor’kov for the correspondence related to his papers and appreciates the discussions on the Boltzmann kinetic equation with J. O. Indekeu, A. I. Larkin, S. Michotte, E. S. Penev, L. P. Pitaevskii, A Rigamonti, E. Silva, and A. Varlamov. He is very much indebted to late L. G. Aslamazov for introducing him long ago in the problem of fluctuation conductivity. This research has been partially supported by Flemish program GOA.


text:
# On the Height of Calabi-Yau varieties in Positive Characteristic

## 1. Introduction

The large measure of attention that complex Calabi-Yau varieties drew in recent years stands in marked contrast to the limited attention for their counterparts in positive characteristic. Nevertheless, we think these varieties deserve a greater interest, especially since the special nature of these varieties lends itself well for excursions into the largely unexplored territory of varieties in positive characteristic. In this paper we mean by a Calabi-Yau variety a smooth complete variety of dimension $`n`$ over a field with $`dimH^i(X,O_X)=0`$ for $`i=1,\mathrm{},n1`$ and with trivial canonical bundle. We study some invariants of Calabi-Yau varieties in characteristic $`p>0`$, especially the height $`h`$ of the Artin-Mazur formal group for which we prove the estimate $`hh^{1,n1}+1`$ if $`h\mathrm{}`$. We show how this invariant is related to the cohomology of sheaves of closed forms.

It is well-known that K3 surfaces do not possess non-zero global $`1`$-forms. The analogous statement about the existence of global $`i`$-forms with $`i=1`$ and $`i=n1`$ on a $`n`$-dimensional Calabi-Yau variety is not known and might well be false in positive characteristic. We show that for a Calabi-Yau variety of dimension $`3`$ over an algebraically closed field $`k`$ of characteristic $`p>0`$ with no non-zero global $`1`$-forms there is no $`p`$-torsion in the Picard variety and $`\mathrm{Pic}/p\mathrm{Pic}`$ is isomorphic to $`NS/pNS`$ with $`NS`$ the Néron-Severi group of $`X`$. If in addition $`X`$ does not have a non-zero global $`2`$-form then $`NS/pNS_{𝐅_p}k`$ maps injectively into $`H^1(X,\mathrm{\Omega }_X^1)`$. This yields the estimate $`\rho h^{1,1}`$ for the Picard number. We also study Calabi-Yau varieties of Fermat type and of Kummer type to illustrate the results.

## 2. The Height of a Calabi-Yau Variety

The most conspicuous invariant of a Calabi-Yau variety $`X`$ of dimension $`n`$ in characteristic $`p>0`$ is its height. There are several ways to define it, using crystalline cohomology or formal groups. In the latter setting one considers the functor $`F_X^r:\mathrm{Art}\mathrm{Ab}`$ defined on the category of local Artinian $`k`$-algebras with residue field $`k`$ by

$$F_X^r(S):=\mathrm{Ker}\{H_{\mathrm{et}}^r(X\times S,𝔾_m)H_{\mathrm{et}}^r(X,𝔾_m)\}.$$

According to a theorem of Artin and Mazur , for a Calabi-Yau variety $`X`$ and $`r=n`$ this functor is representable by a smooth formal group $`\mathrm{\Phi }_X`$ of dimension $`1`$ with tangent space $`H^n(X,O_X)`$. Formal groups of dimension $`1`$ in characteristic $`p>0`$ are classified up to isomorphism by their height $`h`$ which is a natural number $`1`$ or $`\mathrm{}`$. In the former case ($`h\mathrm{}`$) the formal group is $`p`$-divisible, while in the latter case the formal group is isomorphic to the additive formal group $`\widehat{𝔾}_a`$.

For a non-singular complete variety $`X`$ over an algebraically closed field $`k`$ of characteristic $`p>0`$ we let $`W_mO_X`$ be the coherent sheaf of Witt rings of length $`m`$. It has three operators $`F`$, $`V`$ and $`R`$ given by $`F(a_0,\mathrm{},a_m)=(a_0^p,\mathrm{},a_m^p)`$, $`V(a_0,\mathrm{},a_m)=(0,a_0,\mathrm{},a_m)`$ and $`R(a_0,\mathrm{},a_m)=(a_0,\mathrm{},a_{m1})`$ satisfying the relations $`RVF=FRV=RFV=p`$. The cohomology groups $`H^i(X,W_mO_X)`$ with the maps induced by $`R`$ form a projective system of finitely generated $`W_m(k)`$-modules. The projective limit is the cohomology group $`H^i(X,WO_X)`$. Note that this need not be a finitely generated $`W(k)`$-module. It has semi-linear operators $`F`$ and $`V`$.

Let $`X`$ be a Calabi-Yau manifold of dimension $`n`$. The vanishing of the groups $`H^i(X,O_X)`$ for $`i0,n`$ and the exact sequence

$$0W_{m1}O_XW_mO_XO_X0$$

imply that $`H^i(X,W_mO_X)`$ vanishes for $`i=1,\mathrm{},n1`$ and all $`m>0`$, hence $`H^i(X,WO_X)=0`$. We also see that restriction $`R:W_mO_XW_{m1}O_X`$ induces a surjective map $`H^n(X,W_mO_X)H^n(X,W_{m1}O_X)`$ with kernel $`H^n(X,O_X)`$. The fact that $`F`$ and $`R`$ commute implies that if the induced map $`F:H^n(X,W_mO_X)H^n(X,,W_mO_X)`$ vanishes then $`F:H^n(X,W_iO_X)H^n(X,W_iO_X)`$ vanishes for $`i<m`$ too. It also follows that $`H^n(X,W_iO_X)`$ is a $`k`$-vector space for $`i<m`$.

It is known by Artin-Mazur  that the Dieudonné module of the formal group $`\mathrm{\Phi }_X`$ is $`H^n(X,WO_X)`$ with $`WO_X`$ the sheaf of Witt vectors of $`O_X`$. This implies the following result, cf.  where we proved this for K3-surfaces. We omit the proof which is similar to that for K3 surfaces.

###### Theorem 2.1.

For a Calabi-Yau manifold $`X`$ of dimension $`n`$ we have the following characterization of the height:

$$h(\mathrm{\Phi }_X)=\mathrm{min}\{i1:[F:H^n(W_iO_X)H^n(W_iO_X)]0\}.$$

We now connect this with de Rham cohomology. Serre introduced in  a map $`D_i:W_i(O_X)\mathrm{\Omega }_X^1`$ of sheaves in the following way:

$$D_i(a_0,a_1,\mathrm{},a_{i1})=a_0^{p^{i1}1}da_0+\mathrm{}+a_{i2}^{p1}da_{i2}+da_{i1}.$$

It satisfies $`D_{i+1}V=D_i`$, and Serre showed that this induces an injective map of sheaves of additive groups

$`(1)`$
$$D_i:W_iO_X/FW_iO_X\mathrm{\Omega }_X^1$$

The exact sequence $`0W_iO_X\stackrel{F}{}W_iO_XW_iO_X/FW_iO_X0`$ gives rise to an isomorphism

$`(2)`$
$$H^{n1}(W_iO_X/FW_iO_X)\mathrm{Ker}[F:H^n(W_iO_X)H^n(W_iO_X)].$$

###### Proposition 2.2.

If $`h\mathrm{}`$ then the induced map

$$D_i:H^{n1}(X,W_iO_X/FW_iO_X)H^{n1}(X,\mathrm{\Omega }_X^1)$$

is injective, and $`dim\mathrm{Im}D_i=\mathrm{min}\{i,h1\}`$.

###### Proof.

We give a proof for the reader’s convenience. Take an affine open covering $`\{U_i\}`$ of $`X`$. Assuming some $`D_{\mathrm{}}`$ is not injective, we let $`\mathrm{}`$ be the smallest natural number such that $`D_{\mathrm{}}`$ is not injective on $`H^{n1}(W_{\mathrm{}}O_X/FW_{\mathrm{}}O_X)`$. Let $`\alpha =\{f_I\}`$ with $`f_I=(f_I^{(0)},\mathrm{},f_I^{(\mathrm{}1)})\mathrm{\Gamma }(U_{i_0,\mathrm{},i_{n1}},W_{\mathrm{}}O_X)`$ represent a non-zero element of of $`H^{n1}(W_{\mathrm{}}O_X/FW_{\mathrm{}}O_X)`$ such that $`D_{\mathrm{}}(\alpha )`$ is zero in $`H^{n1}(\mathrm{\Omega }_X^1)`$. Then there exists elements $`\omega _J=\omega _{j_0i_1\mathrm{}j_{n2}}`$ in $`\mathrm{\Gamma }(U_{j_0}\mathrm{}U_{j_{n2}},\mathrm{\Omega }_X^1)`$ such that

$$\underset{j=1}{\overset{\mathrm{}}{}}(f_I^{(j)})^{p^\mathrm{}j}d\mathrm{log}f_I^{(j)}=\underset{j}{}\omega _{I_j},$$

where the multi-index $`I_j=\{i_0,\mathrm{},i_{n1}\}`$ is obtained from $`I`$ by omitting $`i_j`$. By applying the inverse Cartier operator we get an equation

$$\underset{j=1}{\overset{\mathrm{}}{}}(f_I^{(j)})^{p^{\mathrm{}j+1}}d\mathrm{log}f_I^{(j)}+df_I^{(\mathrm{})}=\underset{j}{}\stackrel{~}{\omega }_{I_j}$$

for certain functions $`f_I^{(\mathrm{})}`$ and differential forms $`\stackrel{~}{\omega }_{I_j}`$ with $`C(\stackrel{~}{\omega }_{I_j})=\omega _{I_j}`$. Since $`\alpha `$ is an non-zero element of $`H^{n1}(W_{\mathrm{}}O_X/FW_{\mathrm{}}O_X)`$, the element $`\beta =(f_I^{(0)},\mathrm{},f_I^{(\mathrm{}1)},f_I^{(\mathrm{})})`$ gives a non-zero element of $`H^{n1}(W_{\mathrm{}+1}O_X/FW_{\mathrm{}+1}O_X)`$. In view of (2) for $`i=\mathrm{}+1`$ the element $`\beta `$ gives a non-zero element $`\stackrel{~}{\beta }`$ of $`H^n(W_{\mathrm{}+1}O_X)`$ such that $`F(\stackrel{~}{\beta })=0`$ in $`H^n(W_{\mathrm{}+1}O_X)`$. Take the element $`\stackrel{~}{\alpha }`$ in $`H^n(W_{\mathrm{}}O_X)`$ which corresponds to the element $`\alpha `$ under the isomorphism (2) for $`i=\mathrm{}`$. Then we have $`F(\stackrel{~}{\alpha })=0`$ in $`H^n(W_{\mathrm{}}O_X)`$, and $`R^{\mathrm{}}(\stackrel{~}{\alpha })0`$ in $`H^n(X,O_X)`$ by the assumption on $`\mathrm{}`$. Therefore, we have $`R^{\mathrm{}}(\stackrel{~}{\beta })0`$ in $`H^n(X,O_X)`$, and the elements $`V^jR^j(\stackrel{~}{\beta })`$ for $`j=0,\mathrm{},\mathrm{}`$ generate $`H^n(W_{\mathrm{}+1}O_X)`$. Hence the Frobenius map is zero on $`H^n(W_{\mathrm{}+1}O_X)`$. Repeating this argument, we conclude that the Frobenius map is zero on $`H^n(W_iO_X)`$ for any $`i>0`$ and this contradicts the assumption $`h\mathrm{}`$.

###### Corollary 2.3.

If the height $`h`$ of an $`n`$-dimensional Calabi-Yau variety $`X`$ is not $`\mathrm{}`$ then $`hdimH^{n1}(\mathrm{\Omega }_X^1)+1`$.

###### Definition 2.4.

A Calabi-Yau manifold $`X`$ is called rigid if $`dimH^{n1}(X,\mathrm{\Omega }_X^1)=0`$.

Please note that the tangent sheaf $`\mathrm{\Theta }_X`$ is the dual of $`\mathrm{\Omega }_X^1`$, hence by the triviality of the canonical bundle it is isomorphic to $`\mathrm{\Omega }_X^{n1}`$. Therefore, by Serre duality the space of infinitesimal deformations $`H^1(X,\mathrm{\Theta }_X)`$ is isomorphic to the dual of $`H^{n1}(X,\mathrm{\Omega }_X^1)`$.

###### Corollary 2.5.

The height of a rigid Calabi-Yau manifold $`X`$ is either 1 or $`\mathrm{}`$.

## 3. Cohomology Groups of Calabi-Yau Varieties

Let $`X`$ be a Calabi-Yau variety of dimension $`n`$ over $`k`$. The existence of Frobenius provides the de Rham cohomology with a very rich structure from which we can read off characteristic $`p`$ properties. If $`F:XX^{(p)}`$ is the relative Frobenius operator then the Cartier operator $`C`$ gives an isomorphism

$$^j(F_{}\mathrm{\Omega }_{X/k}^{})=\mathrm{\Omega }_{X,d\text{-closed}}^j/d\mathrm{\Omega }_X^{j1}\stackrel{~}{}\mathrm{\Omega }_{X^{(p)}}^j$$

of sheaves on $`X^{(p)}`$. We generalize the sheaves $`d\mathrm{\Omega }_X^{j1}`$ and $`\mathrm{\Omega }_{X,d\text{-closed}}^j`$ by setting (cf. )

$$B_0\mathrm{\Omega }_X^j=(0),B_1\mathrm{\Omega }_X^j=d\mathrm{\Omega }_X^{j1},B_{m+1}\mathrm{\Omega }_X^j=C^1(B_m\mathrm{\Omega }_X^j).$$

and

$$Z_0\mathrm{\Omega }_x^j=\mathrm{\Omega }_X^j,Z_1\mathrm{\Omega }_X^j=\mathrm{\Omega }_{X,d\text{-closed}}^j,Z_{m+1}\mathrm{\Omega }_X^j=\mathrm{Ker}(dC^m).$$

Note that we have the inclusions

$$\begin{array}{c}0=B_0\mathrm{\Omega }_X^jB_1\mathrm{\Omega }_X^j\mathrm{}B_m\mathrm{\Omega }_X^j\mathrm{}\\ \mathrm{}Z_m\mathrm{\Omega }_X^j\mathrm{}Z_1\mathrm{\Omega }_X^jZ_0\mathrm{\Omega }_X^j=\mathrm{\Omega }_X^j\end{array}$$

and that we have an exact sequence

$$0Z_{m+1}\mathrm{\Omega }_X^jZ_m\mathrm{\Omega }_X^j\stackrel{dC^m}{}d\mathrm{\Omega }_X^j0.$$

Alternatively, the sheaves $`B_m\mathrm{\Omega }_X^j`$ and $`Z_m\mathrm{\Omega }_X^j`$ can be viewed as locally free subsheaves of $`(F^m)_{}\mathrm{\Omega }_X^j`$ on $`X^{(p^m)}`$. Grothendieck duality implies that for every $`j0`$ there is a perfect pairing of $`O_{X^{(p^m)}}`$-modules $`F_{}^m\mathrm{\Omega }_X^jF_{}^m\mathrm{\Omega }_X^{nj}\mathrm{\Omega }_{X^{(p^m)}}^n`$ given by $`(\alpha ,\beta )C^m(\alpha \beta )`$. This induces perfect pairings of $`O_{X^{(p^m)}}`$-modules

$$B_m\mathrm{\Omega }_X^jF_{}^m\mathrm{\Omega }_X^{nj}/Z_m\mathrm{\Omega }_X^{nj}\mathrm{\Omega }_{X^{(p^m)}}$$

and

$$Z_m\mathrm{\Omega }_X^jF_{}^m\mathrm{\Omega }_X^{nj}/B_m\mathrm{\Omega }_X^{nj}\mathrm{\Omega }_{X^{(p^m)}}$$

Now we have an isomorphism $`F_{}^m\mathrm{\Omega }_X^j/Z_m\mathrm{\Omega }_X^jB_m\mathrm{\Omega }_X^{j+1}`$ induced by the map $`d`$. Going back to the interpretation of the $`B_m\mathrm{\Omega }_X^j`$ as sheaves on $`X`$ we find in this way for $`1jn`$ and $`m>0`$ perfect pairings

$$B_m\mathrm{\Omega }_X^jB_m\mathrm{\Omega }_X^{n+1j}\mathrm{\Omega }_X^n(\omega _1\omega _2)C^m(\omega _1\omega _2).$$

We first note another interpretation for $`B_m\mathrm{\Omega }_X^1`$: the injective map of sheaves of additive groups $`D_m:W_m(𝒪_X)/FW_m(𝒪_X)\mathrm{\Omega }_X^1`$ induces an isomorphism

$`(3)`$
$$D_m:W_m(𝒪_X)/FW_m(𝒪_X)\stackrel{~}{}B_m\mathrm{\Omega }_X^1.$$

We write $`h^i(X,)`$ for $`dim_kH^i(X,)`$. Note that duality implies $`h^i(B_m\mathrm{\Omega }_X^n)=h^{ni}(B_m\mathrm{\Omega }_X^1)`$.

###### Proposition 3.1.

We have $`h^i(X,B_m\mathrm{\Omega }_X^1)=0`$ unless $`i=n`$ or $`i=n1`$. If $`i=n1`$ or $`i=n`$ we have

$$h^i(B_m\mathrm{\Omega }_X^1)=\{\begin{array}{cc}\mathrm{min}\{m,h1\}\hfill & \text{if }h\mathrm{}\hfill \\ m\hfill & \text{if }h=\mathrm{}\text{.}\hfill \end{array}$$

###### Proof.

The statement about $`h^{n1}(B_m\mathrm{\Omega }_X^1)`$ follows from (3) and the characterization of the height given in Section 2. The other statements follow from the long exact sequence associated with the short exact sequence

$$0𝒪_X\stackrel{F}{}𝒪_X\stackrel{d}{}d𝒪_X0$$

and the exact sequence

$`(4)`$
$$0B_mB_{m+1}\stackrel{C^m}{–\to }B_10.$$

The details can safely be left to the reader. This concludes the proof.

The natural inclusions $`B_i\mathrm{\Omega }_X^j\mathrm{\Omega }_X^j`$ and $`Z_i\mathrm{\Omega }_X^j\mathrm{\Omega }_X^j`$ of sheaves of groups on $`X`$ induce homomorphisms

$$H^1(B_i\mathrm{\Omega }_X^j)H^1(\mathrm{\Omega }_X^j)\mathrm{and}H^1(Z_i\mathrm{\Omega }_X^j)H^1(\mathrm{\Omega }_X^j)$$

whose images are denoted by $`\mathrm{Im}H^1(B_i\mathrm{\Omega }_X^j)`$ and $`\mathrm{Im}H^1(Z_i\mathrm{\Omega }_X^j)`$. Note that we have a non-degenerate cup product pairing

$$,:H^{n1}(X,\mathrm{\Omega }_X^1)H^1(X,\mathrm{\Omega }_X^{n1})H^n(X,\mathrm{\Omega }_X^n)k.$$

###### Lemma 3.2.

The images $`\mathrm{Im}H^{n1}(B_i\mathrm{\Omega }_X^1)`$ and $`\mathrm{Im}H^1(Z_i\mathrm{\Omega }_X^{n1})`$ are orthogonal to each other for the pairing $`,`$.

###### Proof.

From the definitions it follows that for elements $`\alpha H^{n1}(B_i\mathrm{\Omega }_X^1)`$ and $`\beta H^1(Z_i\mathrm{\Omega }_X^{n1})`$ we have $`C^i(\alpha \beta )=0`$. The long exact sequence associated to

$`(5)`$
$$0B_1\mathrm{\Omega }_X^nZ_1\mathrm{\Omega }_X^n\mathrm{\Omega }_X^n0$$

together with the fact that $`H^n(Z_i\mathrm{\Omega }_X^n)=H^n(\mathrm{\Omega }_X^n)`$ for $`i0`$ implies that $`C`$ acts without kernel on $`H^n(\mathrm{\Omega }_X^n)`$. So the pairing is non-degenerate.

###### Lemma 3.3.

If $`h\mathrm{}`$ we have $`dim\mathrm{Im}H^1(X,Z_i\mathrm{\Omega }_X^{n1})=dimH^1(\mathrm{\Omega }_X^{n1})i`$ for $`0ih1`$.

###### Proof.

If the height $`h=1`$ then we have $`H^{n1}(B_i\mathrm{\Omega }_X^1)=0`$ by (4) and moreover the vanishing of $`H^i(X,d\mathrm{\Omega }_X^{n1})`$ and the exact sequence

$`(6)`$
$$0Z_{i+1}\mathrm{\Omega }_X^{n1}Z_i\mathrm{\Omega }_X^{n1}\stackrel{dC^i}{–\to }d\mathrm{\Omega }_X^{n1}0$$

imply that $`\mathrm{Im}H^1(X,Z_i\mathrm{\Omega }_X^{n1})=H^1(X,\mathrm{\Omega }_X^{n1})`$ for $`i1`$. For $`2h<\mathrm{}`$, we know by Proposition 2.2 that $`\mathrm{Im}H^{n1}(X,B_i\mathrm{\Omega }_X^1)H^{n1}(X,\mathrm{\Omega }_X^1)`$ is of dimension $`\mathrm{min}\{i,h1\}`$. The exact sequence (6) gives an exact sequence

$$kH^1(Z_{i+1}\mathrm{\Omega }_X^{n1})\stackrel{\psi _{i+1}}{–\to }H^1(Z_i\mathrm{\Omega }_X^{n1})k$$

from which we deduce that either $`dim\psi _{i+1}(H^1(Z_{i+1}\mathrm{\Omega }_X^{n1}))=dimH^1(Z_i\mathrm{\Omega }_X^{n1})+1`$ or $`dim\psi _{i+1}(H^1(Z_{i+1}\mathrm{\Omega }_X^{n1}))=dimH^1(Z_i\mathrm{\Omega }_X^{n1})`$. By induction $`dim\mathrm{Im}H^1(Z_i\mathrm{\Omega }_X^{n1})`$ is at least $`dimH^1(\mathrm{\Omega }_X^{n1})i`$. On the other hand, by Proposition 3.1 we have $`dim\mathrm{Im}H^1(Z_i\mathrm{\Omega }_X^{n1})dimH^1(\mathrm{\Omega }_X^{n1})i`$ for $`ih1`$.

###### Lemma 3.4.

If $`X`$ is a Calabi-Yau manifold of dimension $`n`$ with $`h=\mathrm{}`$ then

$$(\mathrm{Im}H^{n1}(X,B_i\mathrm{\Omega }_X^1))^{}=\mathrm{Im}H^1(Z_i\mathrm{\Omega }_X^{n1}).$$

###### Proof.

We prove this by induction on $`i`$. By the exact sequence (5) we have $`dimH^i(X,d\mathrm{\Omega }_X^{n1})=1`$ for $`i=0,1`$. Thus, by the exact sequence (6) we see that the difference $`dim\mathrm{Im}H^1(Z_i\mathrm{\Omega }^{n1})dim\mathrm{Im}H^1(Z_{i+1}\mathrm{\Omega }^{n1})`$ is equal to $`0`$ or $`1`$, and we have an exact sequence

$$H^1(Z_{i+1}\mathrm{\Omega }^{n1})\stackrel{\varphi }{}H^1(Z_i\mathrm{\Omega }^{n1})\stackrel{dC^i}{}H^1(d\mathrm{\Omega }_X^{n1}).$$

Assume that $`\mathrm{Im}H^{n1}(B_{j1}\mathrm{\Omega }^1)\mathrm{Im}H^{n1}(B_j\mathrm{\Omega }^1)`$ for $`ji`$ and $`\mathrm{Im}H^{n1}(B_i\mathrm{\Omega }^1)=\mathrm{Im}H^{n1}(B_{i+1}\mathrm{\Omega }^1)`$. By Lemma 3.2,

$$\mathrm{Im}H^1(Z_{i1}\mathrm{\Omega }^{n1})\mathrm{Im}H^1(Z_i\mathrm{\Omega }^{n1})$$

and $`\mathrm{Im}H^1(Z_{i1}\mathrm{\Omega }^{n1})\mathrm{Im}H^1(Z_i\mathrm{\Omega }^{n1})`$ for $`ji`$. Suppose $`\mathrm{Im}H^1(Z_i\mathrm{\Omega }^{n1})\mathrm{Im}H^1(Z_{i+1}\mathrm{\Omega }^{n1})`$. The natural homomorphism $`\varphi :H^1(Z_{i+1}\mathrm{\Omega }^{n1})H^1(Z_i\mathrm{\Omega }^{n1})`$ is not surjective. Since $`H^1(d\mathrm{\Omega }_X^{n1})k`$, we see that $`dC^i:H^1(Z_i\mathrm{\Omega }^{n1})H^1(d\mathrm{\Omega }_X^{n1})`$ is surjective and we factor it as

$$H^1(Z_i\mathrm{\Omega }^{n1})\stackrel{C^i}{}H^1(\mathrm{\Omega }^{n1})\stackrel{d}{}H^1(d\mathrm{\Omega }_X^{n1}).$$

Since $`dC^i`$ is surjective, $`d`$ is not the zero map on $`C^i(H^1(Z_i\mathrm{\Omega }^{n1}))`$. Therefore, we have

$$C^i(H^1(Z_i\mathrm{\Omega }^{n1}))\mathrm{Im}H^1(Z_1\mathrm{\Omega }^{n1}).$$

Take an affine open covering of $`X`$, and take any Čech cocycle $`C^i(\eta )=\{C^i(\eta _{jk})\}`$ of $`C^i(H^1(Z_i\mathrm{\Omega }^{n1}))`$ with respect to this affine open covering. Take any element $`\zeta H^{n1}(B_i\mathrm{\Omega }^1)`$. Then there exists an element $`\stackrel{~}{\zeta }`$ such that $`C^i(\stackrel{~}{\zeta })=\zeta `$. We consider the image of the element $`C^i(\eta )\zeta `$ in $`H^n(X,\mathrm{\Omega }_X^n)`$. Then, we have

$$C^i(\stackrel{~}{\eta })\zeta =C^i(\stackrel{~}{\eta })C^i(\stackrel{~}{\zeta })=C^i(\eta \stackrel{~}{\zeta })$$

Since $`\mathrm{Im}H^{n1}(B_{2i}\mathrm{\Omega }^1)=\mathrm{Im}H^{n1}(B_i\mathrm{\Omega }^1)`$, the image of $`\stackrel{~}{\zeta }`$ in $`H^{n1}(\mathrm{\Omega }_X^1)`$ is contained in $`\mathrm{Im}H^{n1}(B_i\mathrm{\Omega }^1)`$. As $`\mathrm{Im}H^1(Z_i\mathrm{\Omega }^{n1}))`$ is orthogonal to $`\mathrm{Im}H^{n1}(B_i\mathrm{\Omega }^1)`$, we see that $`\eta \stackrel{~}{\zeta }`$ is zero in $`H^n(X,\mathrm{\Omega }_X^n)`$, and we have $`C^i(\eta \stackrel{~}{\zeta })=0`$ in $`H^n(X,\mathrm{\Omega }_X^n)`$. Therefore, we see that the image of $`C^i(H^1(Z_i\mathrm{\Omega }^{n1}))`$ in $`H^1(\mathrm{\Omega }_X^{n1})`$ is orthogonal to $`\mathrm{Im}H^{n1}(B_i\mathrm{\Omega }^1)`$ and we have

$$C^i(H^1(Z_i\mathrm{\Omega }^{n1}))\mathrm{Im}H^{n1}(B_i\mathrm{\Omega }^1)^{}\mathrm{Im}H^1(Z_i\mathrm{\Omega }^{n1})\mathrm{Im}H^1(Z_1\mathrm{\Omega }^{n1}),$$

a contradiction. Hence, we have $`\mathrm{Im}H^1(Z_i\mathrm{\Omega }^{n1})=\mathrm{Im}H^1(Z_{i+1}\mathrm{\Omega }^{n1})`$.

Collecting results we get the following theorem.

###### Theorem 3.5.

If $`X`$ is a Calabi-Yau variety of dimension $`n`$ and height $`h`$ then for $`ih1`$ we have

$$\mathrm{Im}H^{n1}(X,B_i\mathrm{\Omega }_X^1)^{}=\mathrm{Im}H^1(X,Z_i\mathrm{\Omega }_X^{n1}).$$

One reason for our interest in the spaces $`\mathrm{Im}H^1(X,Z_i\mathrm{\Omega }_X^{n1})`$ comes from the fact that they play a role as tangent spaces to strata in the moduli space as in the analogous case of K3 surfaces, cf. . We intend to come back to this in a later paper.

## 4. Picard groups

We suppose that $`X`$ is a Calabi-Yau variety of dimension $`n3`$. We have the following result for the space of regular 1-forms.

###### Proposition 4.1.

All global $`1`$-forms are indefinitely closed: for $`i0`$ we have $`H^0(X,Z_i\mathrm{\Omega }_X^1)=H^0(X,\mathrm{\Omega }_X^1)`$. The action of the Cartier operator on this space is semi-simple.

###### Proof.

Since the sheaves $`B_i\mathrm{\Omega }_X^1`$ have non non-zero cohomology in degree $`0`$ and $`1`$ the exact sequence

$$0B_i\mathrm{\Omega }_X^1Z_i\mathrm{\Omega }_X^1\stackrel{C^i}{}\mathrm{\Omega }_X^10.$$

implies $`dimH^0(Z_i\mathrm{\Omega }_X^1)=dimH^0(\mathrm{\Omega }_X^1)`$. Since the natural map $`H^0(Z_i\mathrm{\Omega }_X^1)H^0(\mathrm{\Omega }_X^1)`$ is injective, we have $`H^0(Z_i\mathrm{\Omega }_X^1)=H^0(\mathrm{\Omega }_X^1)`$. The second assertion follows from $`H^0(B_i\mathrm{\Omega }_X^1)=0`$.

It is well known that for a $`p^1`$-linear semi-simple homomorphism $`\lambda `$ on a finite-dimensional vector space $`V`$ the map $`\lambda \mathrm{id}_V`$ is surjective. This means that we have a basis of logarithmic differential forms $`C\omega =\omega `$.

###### Corollary 4.2.

If $`\mathrm{id}`$ denotes the identity homomorphism on $`H^0(X,\mathrm{\Omega }_X^1)`$ the map $`C\mathrm{id}:H^0(X,\mathrm{\Omega }_X^1)H^0(X,\mathrm{\Omega }_X^1)`$ is surjective.

###### Proposition 4.3.

Suppose that $`X`$ is a smooth complete variety for which all global $`1`$-forms are closed and such that $`C`$ gives a bijection $`H^0(X,Z_1\mathrm{\Omega }_X^1)H^0(X,\mathrm{\Omega }_X^1)`$. Then we have an isomorphism

$$H^0(X,\mathrm{\Omega }_X^1)\mathrm{Pic}(X)[p]_𝐙k.$$

###### Proof.

Let $`L`$ be a line bundle representing an element $`[L]`$ of order $`p`$ in $`\mathrm{Pic}(X)`$. Then there exists a rational function $`gk(X)^{}`$ such that $`(g)=pD`$, where $`D`$ is a divisor corresponding to $`L`$. One observes now by a local calculation that $`dg/g`$ is a regular $`1`$-form and thus defines an element of $`H^0(X,\mathrm{\Omega }_X^1)`$. Conversely, if $`\omega `$ is a global regular $`1`$-form with $`C\omega =\omega `$ then $`\omega `$ can be represented locally as $`df_i/f_i`$ with respect to some open cover $`\{U_i\}`$. From the relation $`df_i/f_i=df_j/f_j`$ we see $`d\mathrm{log}(f_i/f_j)=0`$ and this implies $`d(f_i/f_j)=0`$. Hence we see that $`f_i/f_j=\varphi _{ij}^p`$ form some $`1`$-cocycle $`\{\varphi _{ij}\}`$. This cocycle defines a torsion element of order $`p`$ of $`\mathrm{Pic}(X)`$. These two maps are each others inverse and the result follows.

We denote by $`\mathrm{Pic}(X)`$ (resp. $`NS(X)`$) the Picard group (resp. Néron-Severi group) of $`X`$. If $`L`$ is a line bundle with transition functions $`\{f_{ij}\}`$ then $`d\mathrm{log}f_{ij}`$ represents the first Chern class of $`L`$. In this way we can define a homomorphism

$$\phi _1:\mathrm{Pic}(X)H^1(Z_1\mathrm{\Omega }_X^1),[L]c_1(L)=\{df_{ij}/f_{ij}\}$$

which obviously factors through $`\mathrm{Pic}/p\mathrm{Pic}`$.

###### Proposition 4.4.

The homomorphism $`\phi _1:\mathrm{Pic}(X)/p\mathrm{Pic}(X)H^1(X,Z_1\mathrm{\Omega }_X^1)`$ is injective.

###### Proof.

We take an affine open covering $`\{U_i\}`$. Suppose that there exists an element $`[L]`$ such that $`\phi _1([L])=0`$. Then there exists a d-closed regular 1-form $`\omega _i`$ on an affine open set $`U_i`$ such that $`df_{ij}/f_{ij}=\omega _j\omega _i`$ on $`U_iU_j`$ and we have $`df_{ij}/f_{ij}=C(\omega _j)C(\omega _i)`$. Therefore, we have $`\omega _jC(\omega _j)=\omega _iC(\omega _i)`$ on $`U_iU_j`$. This shows that there exists an regular 1-form $`\omega `$ on $`X`$ such that $`\omega =\omega _iC(\omega _i)`$ on $`U_i`$. By Corollary 4.2, there exists an element $`\omega ^{}H^0(\mathrm{\Omega }_X^1)`$ such that $`(C\mathrm{id})\omega ^{}=\omega `$. Replacing $`\omega _i+\omega ^{}`$ by $`\omega _i`$, we have

$$df_{ij}/f_{ij}=\omega _j\omega _i$$

with $`C(\omega _i)=\omega _i`$. Then, there exists an regular function $`f_i`$ on $`U_i`$ such that $`\omega _i=df_i/f_i`$. So we have $`d\mathrm{log}f_{ij}=d\mathrm{log}(f_j/f_i)`$. Therefore, there exists a regular function $`\phi _{ij}`$ on $`U_iU_j`$ such that $`f_{ij}=(f_j/f_i)\phi _{ij}^p`$. Thus $`[L]`$ is a $`p`$-th power. We conclude that $`\phi _1:\mathrm{Pic}(X)/p\mathrm{Pic}(X)H^1(Z_1\mathrm{\Omega }_X^1)`$ is injective.

###### Proposition 4.5.

The natural homomorphism $`H^1(Z_1\mathrm{\Omega }_X^1)H_{DR}^2(X)`$ is injective.

###### Proof.

Let $`\{U_i\}`$ be an affine open covering of $`X`$. A Čech cocycle $`\{\omega _{ij}\}`$ in $`H^1(Z_1\mathrm{\Omega }_X^1)`$ is mapped to $`\{(0,\omega _{ij},0)\}`$ in $`H_{DR}^2(X)`$. Suppose this element is zero in $`H_{DR}^2(X)`$. Then there exist elements $`(\{f_{ij}\},\{\omega _i\})`$ with $`f_{ij}\mathrm{\Gamma }(U_iU_j,O_X)`$ and $`\omega _i\mathrm{\Gamma }(U_i,\mathrm{\Omega }_X^1)`$ such that

$$f_{jk}f_{ik}+f_{ij}=0\omega _{ij}=df_{ij}+\omega _j\omega _id\omega _i=0.$$

Since $`\{f_{ij}\}`$ gives an element of $`H^1(O_X)`$ and $`H^1(O_X)=0`$, there exists an element $`\{f_i\}`$ such that $`f_{ij}=f_jf_i`$ on $`U_iU_j`$. Therefore, we have $`\omega _{ij}=(df_j+\omega _j)(df_i+\omega _i)`$. Since $`d(df_i+\omega _i)=0`$, we conclude that $`\{\omega _{ij}\}`$ is zero in $`H^1(Z_1\mathrm{\Omega }_X^1)`$.

The results above imply the following theorem.

###### Theorem 4.6.

The natural homomorphism $`\mathrm{Pic}(X)/p\mathrm{Pic}(X)H_{DR}^2(X)`$ is injective.

###### Lemma 4.7.

For a Calabi-Yau manifold $`X`$ of dimension $`n3`$ with non non-zero global $`1`$-forms $`\mathrm{Pic}(X)`$ has no $`p`$-torsion. Moreover, $`NS(X)`$ has no $`p`$-torsion and

$$\mathrm{Pic}(X)/p\mathrm{Pic}(X)NS(X)/pNS(X).$$

###### Proof.

Take an affine open covering $`\{U_i\}`$ of $`X`$. Assume $`\{f_{ij}\}`$ represents an element $`[L]\mathrm{Pic}(X)`$ which is $`p`$-torsion. Then, there exist regular functions $`f_iH^0(U_i,O_X^{})`$ such that $`f_{ij}^p=f_i/f_j`$. The $`df_i/f_i`$ on $`U_i`$ glue together to yield a regular 1-form $`\omega `$ on $`X`$. Since $`H^0(X,\mathrm{\Omega }_X^1)=0`$, we see $`\omega =0`$, i.e., $`df_i=0`$. Therefore, there exist regular functions $`g_iH^0(U_i,O_X^{})`$ such that $`f_i=g_i^p`$. Hence, we have $`\{f_{ij}\}0`$ and we see that $`\mathrm{Pic}(X)`$ has no $`p`$-torsion. Since $`H^1(X,O_X)=0`$, the group scheme $`\mathrm{Pic}(X)`$ is reduced and $`\mathrm{Pic}^0(X)=0`$. Since $`NS(X)=\mathrm{Pic}(X)/\mathrm{Pic}^0(X)\mathrm{Pic}(X)`$, the lemma follows.

###### Lemma 4.8.

Let $`X`$ be a Calabi-Yau manifold $`X`$ of dimension $`n3`$ with no non-zero global $`2`$-forms. Then, the homomorphism

$$NS(X)/pNS(X)\mathrm{Pic}(X)/p\mathrm{Pic}(X)H^1(\mathrm{\Omega }_X^1)$$

defined by $`\{f_{ij}\}\{df_{ij}/f_{ij}\}`$ is injective.

###### Proof.

By the assumption $`H^0(X,\mathrm{\Omega }_X^2)=0`$ we have $`H^0(X,d\mathrm{\Omega }_X^1)=0`$. Therefore, from the exact sequence

$$0Z_1\mathrm{\Omega }_X^1\mathrm{\Omega }_X^1\stackrel{d}{}d\mathrm{\Omega }_X^10,$$

we deduce a natural injection $`H^1(Z_1\mathrm{\Omega }_X^1)H^1(\mathrm{\Omega }_X^1)`$. So the result follows from Lemma 4.4.

###### Theorem 4.9.

Let $`X`$ be a Calabi-Yau manifold $`X`$ of dimension $`n3`$ with $`H^0(X,\mathrm{\Omega }_X^i)=0`$ for $`i=1,2`$. Then the natural homomorphism

$$NS(X)/pNS(X)_{𝐅_p}kH^1(\mathrm{\Omega }_X^1)H_{dR}^2(X)$$

is injective and the Picard number satisfies $`\rho dim_kH^1(\mathrm{\Omega }_X^1)`$.

###### Proof.

Suppose that this homomorphism is not injective. Then with respect to a suitable affine open covering $`\{U_i\}`$. there exist elements $`\{f_{ij}^{(\nu )}\}`$ representing non-zero elements in $`NS(X)/pNS(X)`$, such that

$$\underset{\nu =1}{\overset{\mathrm{}}{}}a_\nu df_{ij}^{(\nu )}/f_{ij}^{(\nu )}=0\text{in }H^1(\mathrm{\Omega }_X^1)$$

for suitable $`a_\nu k`$. We take such elements with the minimal $`\mathrm{}`$. We may assume $`a_1=1`$ and we have $`a_i/a_j𝐅_p`$ for $`ij`$. By Lemma 4.8, we have $`\mathrm{}2`$. There exists $`\omega _iH^1(U_i,\mathrm{\Omega }_X^1)`$ such that

$`(1)`$
$$\underset{\nu =1}{\overset{\mathrm{}}{}}a_\nu df_{ij}^{(\nu )}/f_{ij}^{(\nu )}=\omega _j\omega _i$$

on $`U_iU_j`$. There exists an element $`\stackrel{~}{\omega }_iH^1(U_i,\mathrm{\Omega }_X^1)`$ such that $`C(\stackrel{~}{\omega }_i)=\omega _i`$. Therefore, taking the Cartier inverse, we have

$$\underset{\nu =1}{\overset{\mathrm{}}{}}\stackrel{~}{a}_\nu df_{ij}^{(\nu )}/f_{ij}^{(\nu )}+dg_{ij}=\stackrel{~}{\omega }_j\stackrel{~}{\omega }_i$$

with $`\stackrel{~}{a}_\nu k`$, $`\stackrel{~}{a}_\nu ^p=a_\nu `$, and suitable $`dg_{ij}H^0(U_iU_j,dO_X)`$. Since $`\{df_{ij}^{(\nu )}/f_{ij}^{(\nu )}\}`$ is a cocycle, we see that $`\{dg_{ij}\}H^1(X,dO_X)`$. Since $`H^1(X,dO_X)=0`$, there exists an element $`dg_iH^0(U_i,dO_X)`$ such that $`dg_{ij}=dg_jdg_i`$. Therefore, we have

$`(2)`$
$$\underset{\nu =1}{\overset{\mathrm{}}{}}\stackrel{~}{a}_\nu df_{ij}^{(\nu )}/f_{ij}^{(\nu )}=(\stackrel{~}{\omega }_jdg_j)(\stackrel{~}{\omega }_idg_i).$$

Subtracting (2) from (1) we get a non-trivial linear relation with a smaller $`\mathrm{}`$ in $`H^1(\mathrm{\Omega }_X^1)`$, a contradiction.

Remark. In the case of a K3 surface $`X`$ the natural homomorphism

$$NS(X)/pNS(X)_{𝐅_p}kH_{DR}^2(X)$$

is not injective if $`X`$ is supersingular in the sense of Shioda. Ogus showed that the kernel can be used for describing the moduli of supersingular K3 surfaces, cf. Ogus. So the situation is completely different in dimension $`3`$.

## 5. Fermat Calabi-Yau manifolds

Again $`p`$ is a prime number and $`m`$ a positive integer which is prime to $`p`$. Let $`f`$ be a smallest power of $`p`$ such that $`p^f1\text{mod}m`$ and put $`q=p^f`$. We denote by $`𝐅_q`$ a finite field of cardinality $`q`$. We consider the Fermat variety $`X_m^r(p)`$ over $`𝐅_q`$ defined by

$$X_0^m+X_1^m+\mathrm{}+X_{r+1}^m=0$$

in projective space $`𝐏^{r+1}`$ of dimension $`r+1`$. The zeta function of $`X_m^r`$ over $`𝐅_q`$ was calculated by A. Weil (cf. ). The result is:

$$Z(X_m^r/𝐅_q,T)=\frac{P(T)^{(1)^{r1}}}{(1T)(1qT)\mathrm{}(1q^rT)},$$

where $`P(T)=_\alpha (1j(\alpha )T)`$ with the product taken over a set of vectors $`\alpha `$ and $`j(\alpha )`$ is a Jacobi sum defined as follows. Consider the set

$$A_{m,r}=\{(a_0,a_1,\mathrm{},a_{r+1})𝐙^{r+2}0<a_i<m,_{j=0}^{r+1}a_j0(modm)\},$$

and choose a character $`\chi :𝐅_q^{}𝐂^{}`$ of order $`m`$. For $`\alpha =(a_0,a_1,\mathrm{},a_{r+1})A_{m,r}`$ we define

$$j(\alpha )=(1)^r\chi (v_1^{a_1})\mathrm{}\chi (v_{r+1}^{a_{r+1}}),$$

where the summation runs over $`v_i𝐅_q^{}`$ with $`1+v_1+\mathrm{}+v_{r+1}=0`$. Thus the $`j(\alpha )`$’s are eigenvalues of the Frobenius map over $`𝐅_q`$ on the $`\mathrm{}`$-adic étale cohomology group $`H_{et}^r(X_m^r,𝐐_{\mathrm{}})`$.

Now, let $`\zeta =\mathrm{exp}(2\pi i/m)`$ be a primitive $`m`$-th root of unity, and $`K=𝐐(\zeta )`$ the corresponding cyclotomic field with Galois group $`G=\mathrm{Gal}(K/𝐐)`$. For an element $`t(𝐙/m𝐙)^{}`$ we let $`\sigma _t`$ be the automorphism of $`K`$ defined by $`\zeta \zeta ^t`$. The correspondence $`t\sigma _t`$ defines an isomorphism $`(𝐙/m𝐙)^{}G`$ and we shall identify $`G`$ with $`(𝐙/m𝐙)^{}`$ by this isomorphism. We define a subgroup $`H`$ of order $`f`$ of $`G`$ by $`H=\{p^j\text{mod}m0j<f\}`$

Let $`\{t_1,\mathrm{},t_g\}`$ with $`t_i𝐙/m𝐙^{}`$, be a complete system of representatives of $`G/H`$ with $`g=|G/H|`$, and put

$$A_H(\alpha )=\underset{tH}{}[\underset{j=1}{\overset{r+1}{}}ta_j/m],$$

where $`[a]`$ (resp. $`a`$) means the integral part (resp. the fractional part) of a rational number $`a`$.

Choose a prime ideal $`𝒫`$ in K lying over $`p`$; it has norm $`N(𝒫)=p^f=q`$. If $`𝒫_i`$ denotes the prime ideal $`𝒫^{\sigma _{t_i}^1}`$ we have the prime decomposition $`(p)=𝒫_1\mathrm{}𝒫_g`$ in $`K`$ and Stickelberger’s theorem tells us that

$$(j(\alpha ))=\underset{i=1}{\overset{g}{}}𝒫_i^{A_H(t_i\alpha )},$$

where $`t_i\alpha =(t_ia_0,\mathrm{},t_ia_{r+1})`$. For the details we refer to Lang or Shioda-Katsura.

Now we restrict our attention to Fermat Calabi-Yau manifolds $`X_m^r(p)`$ with $`m=r+2`$.

###### Theorem 5.1.

Assume $`r2`$. Let $`\mathrm{\Phi }^r`$ be the Artin-Mazur formal group of the $`r`$-dimensional Calabi-Yau variety $`X=X_{r+2}^r(p)`$. The height $`h`$ of $`\mathrm{\Phi }^r`$ is equal to either $`1`$ or $`\mathrm{}`$. Moreover, $`h=1`$ if and only if $`p1(modr+2)`$.

Before we give the proof of this theorem we state a technical lemma.

###### Lemma 5.2.

Under the notation above, assume $`[_{j=1}^{r+1}ta_j/(r+2)]=0`$ with $`t(𝐙/(r+2)𝐙)^{}`$. Then $`a_j=t^1`$ in $`(𝐙/(r+2)𝐙)^{}`$ for all $`j=0,1,\mathrm{},r+1`$.

###### Proof.

Since $`t(𝐙/(r+2)𝐙)^{}`$, we have $`ta_j/(r+2)1/(r+2)`$. Suppose there exists an index $`i`$ such that $`ta_i1(modr+2)`$. Then we have the inequality $`ta_i/(r+2)2/(r+2)`$ and thus $`_{j=1}^{r+1}ta_\rho /(r+2)1`$, which contradicts the assumption. So we have $`ta_i1(modr+2)`$ and $`a_jt^1`$ for $`j=1,\mathrm{},r+1`$. Since $`a_0+a_1+\mathrm{}+a_{r+1}0(modr+2)`$, we conclude $`a_0t^1`$.

Proof of the theorem. The Dieudonné module $`D(\mathrm{\Phi }^r)`$ of $`\mathrm{\Phi }^r`$ is isomorphic to $`H^r(X,WO_X)`$. We denote by Q(W) the quotient field of the Witt ring $`W(k)`$ of $`k`$. Then, if $`h<\mathrm{}`$, we have

$$h=dim_{Q(W)}H^r(X,WO_X)_{W(k)}Q(W).$$

and by Illusie  we know we have

$$H^r(X,WO_X)_{W(k)}Q(W)H_{\mathrm{cris}}^r(X)Q(W)_{[0,1[}.$$

According to Artin-Mazur , the slopes of $`H_{\mathrm{cris}}^r(X)Q(W)`$ are given by $`(\mathrm{ord}_𝒫q)/f`$ and the $`(\mathrm{ord}_𝒫j(\alpha ))/f`$. Hence, the height $`h`$ is equal to the number of $`j(\alpha )`$ such that $`A_H(\alpha )<f`$.

First, assume $`p1(modr+2)`$, i.e. $`f=1`$. Then $`H=1`$ and $`A_H(\alpha )<f=1`$ implies $`A_H(\alpha )=0`$. Therefore, by Lemma 5.2, we have $`a_j=1`$ for all $`j=0,1,\mathrm{},r+1`$ and there is only one $`\alpha `$, namely $`\alpha =(1,1,\mathrm{},1)`$, such that $`\mathrm{ord}_𝒫j(\alpha )=0`$. So we conclude $`h=1`$ in this case.

Secondly, assume $`p1(modr+2)`$. By definition, we have $`f2`$. We now prove that there exists no $`\alpha `$ such that $`A_H(\alpha )<f`$. Suppose $`A_H(\alpha )=_{tH}[_{j=1}^{r+1}ta_j/(r+2)]<f`$. Then there exist an element $`tH`$ such that $`[_{j=1}^{r+1}ta_j/(r+2)]=0`$. By Lemma 5.2 we have $`\alpha =(t^1,t^1,\mathrm{},t^1)`$. For $`t^{}H`$ with $`t^{}t`$ we have $`[_{\rho =1}^{r+1}t^{}t^1/(r+2)]0`$. Therefore the inequality yields $`[_{j=1}^{r+1}t^{}t^1/(r+2)]=1`$ for $`t^{}H`$, $`t^{}t`$. Since $`A_H(t\alpha )=A_H(\alpha )`$ for any $`tH`$, by a translation by $`t`$, we may assume $`\alpha =(1,1,\mathrm{},1)`$, i.e., $`t=1`$. Moreover, we can take a representative of $`t^{}H`$ such that $`0<t^{}<r+2`$. Then,

$`1`$ $`=[{\displaystyle \underset{j=1}{\overset{r+1}{}}}t^{}t^1/(r+2)]=[{\displaystyle \underset{j=1}{\overset{r+1}{}}}t^{}/(r+2)]=[{\displaystyle \underset{j=1}{\overset{r+1}{}}}t^{}/(r+2)]`$
$`=[(r+1)t^{}/(r+2)]`$
and we get $`1(r+1)t^{}/(r+2)<2`$. By this inequality, we see $`t^{}=2`$. Therefore, we have $`H=\{1,2\}`$. Since $`H`$ is a subgroup of $`(𝐙/(r+2)𝐙)^{}`$, we see that $`2^21\text{mod}r+2`$. Therefore, we have $`r=1`$, which contradicts our assumption.

Hence there exists no $`\alpha `$ such that $`\mathrm{ord}_𝒫j(\alpha )<1`$ and we conclude $`h=\mathrm{}`$ in this case. This completes the proof of the theorem.

For K3 surfaces we have two notions of supersingularity. We generalize these to higher dimensions.

###### Definition 5.3.

A Calabi-Yau manifold $`X`$ of dimension $`r`$ is said to be of additive Artin-Mazur type (‘supersingular in the sense of Artin’) if the height of Artin-Mazur formal group associated with $`H^r(X,O_X)`$ is equal to $`\mathrm{}`$.

###### Definition 5.4.

A non-singular complete algebraic variety $`X`$ of dimension $`r`$ is said to be fully rigged (‘supersingular in the sense of Shioda’) if all the even degree étale cohomology groups are spanned by algebraic cycles.

By the theorem above, we know that the Fermat Calabi-Yau manifolds are of additive Artin-Mazur type if and only if $`p1\text{mod}m`$ with $`m=r+2`$. As to being fully rigged we have the following theorem.

###### Theorem 5.5 (Shioda-Katsura ).

Assume $`m4`$, $`(p,m)=1`$ and $`r`$ is even. Then the Fermat variety $`X_m^r(p)`$ is fully rigged if and only if there exists a positive integer $`\nu `$ such that $`p^\nu 1\text{mod}m`$.

M. Artin conjectured that a K3 surface $`X`$ is supersingular in the sense of Artin if and only if $`X`$ is supersingular in the sense of Shioda. He also showed that “if part” holds. In the case of the Fermat K3 surface, i.e, $`X_4^2(p)`$, by the two theorems above, we see, as is well-known, that the Artin conjecture holds. However, in the case of even $`r4`$, the above two theorems imply that this straightforward generalization of the Artin conjecture to higher dimension does not hold.

## 6. Kummer Calabi-Yau manifolds

Let $`A`$ be an abelian variety of dimension $`n2`$ defined over an algebraically closed field of characteristic $`p>0`$, and $`G`$ be a finite group which acts on $`A`$ faithfully. Assume that the order of $`G`$ is prime to $`p`$, and that the quotient variety $`A/G`$ has a resolution which is a Calabi-Yau manifold $`X`$. We call $`X`$ a Kummer Calabi-Yau manifold. We denote by $`\pi :AA/G`$ the projection, and by $`\nu :XA/G`$ the resolution.

###### Theorem 6.1.

Under the assumptions above the Artin-Mazur formal group $`\mathrm{\Phi }_X^n`$ is isomorphic to the Artin-Mazur formal group $`\mathrm{\Phi }_A^n`$.

###### Proof.

Since the order of $`G`$ is prime to $`p`$, the singularities of $`A/G`$ are rational, and we have $`R^i\nu _{}O_X=0`$ for $`i1`$. So by the Leray spectral sequence we have $`H^n(A/G,O_{A/G})H^n(X,O_X)k`$ and $`H^{n1}(A/G,O_{A/G})H^{n1}(X,O_X)0`$. It follows that the Artin-Mazur formal group $`\mathrm{\Phi }_{A/G}^n`$ is pro-representable by a formal Lie group of dimension $`1`$ (cf. Artin-Mazur). Since the tangent space $`H^n(A/G,O_{A/G})`$ of $`\mathrm{\Phi }_{A/G}^n`$ is naturally isomorphic to the tangent space $`H^n(X,O_X)`$ of $`\mathrm{\Phi }_X^n`$ as above, the natural homomorphism from $`\mathrm{\Phi }_{A/G}^n`$ to $`\mathrm{\Phi }_X^n`$ is non-trivial. One-dimensional formal groups are classified by their height and between formal groups of different height there are no non-trivial homomorphisms . So the height of $`\mathrm{\Phi }_{A/G}^n`$ is equal to that of $`\mathrm{\Phi }_X^n`$ and we thus see that $`\mathrm{\Phi }_{A/G}^n`$ and $`\mathrm{\Phi }_X^n`$ are isomorphic.

Since the order of $`G`$ is prime to $`p`$, there is a non-trivial trace map from $`H^n(A,O_A)`$ to $`H^n(A/G,O_{A/G})`$. Therefore, $`\pi ^{}:H^n(A/G,O_{A/G})H^n(A,O_A)`$ is an isomorphism. Therefore, as above we see that the height of $`\mathrm{\Phi }_{A/G}^n`$ is equal to the height of $`\mathrm{\Phi }_A^n`$, and that $`\mathrm{\Phi }_X^n`$ is isomorphic to $`\mathrm{\Phi }_A^n`$. Q.e.d.

Though the following lemma might be well-known to specialists we give here a proof for the reader’s convenience.

###### Lemma 6.2.

Let $`A`$ be an abelian variety of dimension $`n2`$ and $`p`$-rank $`f(A)`$. The height $`h`$ of the Artin-Mazur formal group $`\mathrm{\Phi }_A`$ of $`A`$ is as follows:

* $`h=1`$ if $`A`$ is ordinary, i.e., $`f(A)=n`$,
* $`h=2`$ if $`f(A)=n1`$,
* $`h=\mathrm{}`$ if $`f(A)n2`$.

###### Proof.

We denote by $`H_{\mathrm{cris}}^i(A)`$ the $`i`$-th cristalline cohomology of $`A`$ and as usual by $`H_{\mathrm{cris}}^i(A)_{[\mathrm{},\mathrm{}+1[}`$ the additive group of elements in $`H_{\mathrm{cris}}^i(A)`$ whose slopes are in the interval $`[\mathrm{},\mathrm{}+1[`$. By the general theory in Illusie , we have

$$H^n(A,W(O_A))_WQ(W)(H_{\mathrm{cris}}^n(A)_WQ(W))_{[0,1[}$$

with $`Q(W)`$ the quotient field of $`W`$. The theory of Dieudonné modules implies

$$h=dim_{Q(W)}D(\mathrm{\Phi }_A)=dim_{Q(W)}H^n(A,W(O_A))_WQ(W)\text{if }h<\mathrm{},$$

and $`dim_{Q(W)}D(\mathrm{\Phi }_A)=0`$ if $`h=\mathrm{}`$. We know the slopes of $`H_{\mathrm{cris}}^1(A)`$ for each case. Since we have

$$H_{\mathrm{cris}}^n(A)^nH_{\mathrm{cris}}^1(A),$$

counting the number of slopes in $`[0,1[`$ of $`H_{\mathrm{cris}}^n(A)`$ gives the result.

###### Corollary 6.3.

Let $`X`$ be a Kummer Calabi-Yau manifold of dimension $`n`$ obtained from an abelian variety $`A`$ as above. Then the height of the Artin-Mazur formal group $`\mathrm{\Phi }_X^n`$ is equal to either 1, 2 or $`\mathrm{}`$.

###### Example 6.4.

Assume $`p3`$. Let $`A`$ be an abelian surface and $`\iota `$ the map $`AA`$ sending $`aA`$ to its inverse $`aA`$. We denote by $`Km(A)`$ the Kummer surface of A, i.e., the minimal resolution of $`A/\iota `$. Then $`\mathrm{\Phi }_{Km(A)}^2`$ is isomorphic to $`\mathrm{\Phi }_A^2`$.

###### Example 6.5.

Assume $`p5`$, and let $`\omega `$ be a primitive third root of unity. Let $`E`$ be a non-singular complete model of the elliptic curve defined by $`y^2=x^3+1`$, and let $`\sigma `$ be an automorphism of $`E`$ defined by $`x\omega x,yy`$. We set $`A=E^3`$ and put $`\stackrel{~}{\sigma }=\sigma \times \sigma \times \sigma `$. The minimal resolution $`X`$ of $`A/\stackrel{~}{\sigma }`$ is a Calabi-Yau manifold, and the Artin-Mazur formal group $`\mathrm{\Phi }_X^3`$ is isomorphic to $`\mathrm{\Phi }_A^3`$.

Let $`\omega `$ be a complex number with positive imaginary part, and $`L=𝐙+𝐙\omega `$ be a lattice in the complex numbers $`𝐂`$. From here on, we consider an elliptic curve $`E=𝐂/L`$, and we assume that $`E`$ has a model defined over an algebraic number field $`K`$. Then $`A=E\times E\times E`$ is an abelian threefold, and we let $`G\mathrm{Aut}_K(E)`$ be a finite group which faithfully acts on $`A`$. We assume that $`G`$ has only isolated fixed points on $`A`$ and that the quotient variety $`A/G`$ has a crepant resolution $`\nu :XA/G`$ defined over $`K`$, . We denote by $`\pi `$ the projection $`AA/G`$. For a prime $`p`$ of $`K`$, we denote by $`\overline{X}`$ the reduction modulo $`p`$ of $`X`$.

###### Example 6.6.

$`[`$K. Ueno, $`]`$ Assume that $`E`$ is an elliptic curve defined over $`𝐐`$ having complex multiplication $`\sigma :EE`$ by a primitive third root of unity. Then $`G=𝐙/3𝐙=\sigma `$ acts diagonally on $`A=E^3`$. A crepant resolution of $`A/G`$ gives a rigid Calabi-Yau manifold defined over $`𝐐`$. For a prime number $`p5`$ the reduction modulo $`p`$ of $`A`$ is the abelian threefold given in Example 6.5.

###### Theorem 6.7.

Let $`X`$ be a Calabi-Yau obtained as crepant resolution of $`A/G`$ as above. Assume moreover that $`X`$ is rigid. Then the elliptic curve $`E`$ has complex multiplication and the intermediate Jacobian of $`X`$ is isogenous to $`E`$. Moreover, if $`\omega `$ is a quadratic integer, then the intermediate Jacobian of X is isomorphic to $`E`$.

###### Corollary 6.8.

Under the assumptions as in the theorem, we take a prime $`p`$ of good reduction for $`X`$and let $`\overline{X}`$ be the reduction of $`X`$ modulo $`p`$. Then the height of the formal group $`\mathrm{\Phi }_{\overline{X}}`$ is either $`1`$ or $`\mathrm{}`$. It is $`\mathrm{}`$ if and only if the reduction of the intermediate Jacobian variety of $`X`$ at $`p`$ is a supersingular elliptic curve.

###### Example 6.9.

We consider the reduction $`\overline{X}`$ modulo $`p`$ of the variety $`X`$ in the Example 6.6. We assume the characteristic of the residue field of $`p`$ is not equal to $`2`$ and $`3`$. Then the height $`h(\mathrm{\Phi }_{\overline{X}})=\mathrm{}`$ if and only if the reduction modulo $`p`$ of the intermediate Jacobian of $`X`$ is a supersingular elliptic curve, and this is the case if and only if $`p2(mod\mathrm{\hspace{0.17em}3})`$.

Before we prove the theorem we introduce some notation. We have a natural identification $`H_1(E,𝐙)=𝐙+𝐙\omega `$. Fixing a non-zero regular differential form $`\eta `$ on $`E`$ determines a regular three form $`\eta \times \eta \times \eta =\mathrm{\Omega }_A`$ on $`A`$. We have a natural homomorphism

$$H^3(X,𝐙)H_{dR}^3(X)H^3(X,O_X).$$

If $`X`$ is rigid, the corresponding quotient $`H^3(X,O_X)/H^3(X,𝐙)`$ gives the intermediate Jacobian of $`X`$. Since $`dim_𝐂H^3(X,O_X)=1`$, the intermediate Jacobian of $`X`$ is isomorphic to an elliptic curve.

We can define the period map with respect to $`\mathrm{\Omega }_A`$:

$$\pi _A:H_3(X,𝐙)𝐂\gamma _\gamma \mathrm{\Omega }_A.$$

By Poincaré duality we can identify $`\pi _A`$ with the natural projection $`H^3(X,𝐙)H^3(X,𝐂)H^3(X,O_X)=𝐂`$ (cf. Shioda , for instance.) There exists a regular 3-form $`\mathrm{\Omega }_X`$ on $`X`$ such that $`\mathrm{\Omega }_A=(\nu ^1\pi )^{}\mathrm{\Omega }_X`$. We can define $`\pi _X`$ with respect to $`\mathrm{\Omega }_X`$ for the Calabi-Yau manifold $`X`$ as well.

In order to describe the structure of the intermediate Jacobian of $`X`$ we look at the period map of an abelian threefold, following the method in Shioda  (also see Mumford ). Choose a basis $`u_1`$, $`u_2`$ of $`H_1(E,𝐑)`$. This determines a $`𝐂`$-basis $`H_1(E,𝐑)_𝐑𝐂=H_1(E,𝐂)`$. If $`e_i`$ for $`i=1,2,3`$ is the standard basis of $`𝐂^3`$ then $`u_{2i1}=e_i`$ and $`u_{2i}=\omega e_i`$ for $`i=1,2,3`$ form a basis of $`H_1(A,𝐙)`$ and $`A=𝐂^3/M`$ with $`M`$ the lattice generated by $`u_1,\mathrm{},u_6`$. The dual basis is denoted by $`v_i`$. The basis of $`H^1(A,𝐙)`$ determines a canonical basis $`v_iv_jv_k`$ of $`H^3(A,𝐙)`$. The natural homomorphism

$$p_A:H^3(A,𝐙)H_{dR}^3(A)H^3(A,O_A)𝐂.$$

is an element of $`\mathrm{Hom}_𝐂(H^3(A,𝐂),𝐂)`$ and can be considered as an element of $`H^3(A,𝐂)`$ and is given by

$$p_A=\underset{i<j<k}{}det(u_i,u_j,u_k)v^iv^jv^k.$$

Therefore the image of $`p_A`$ in $`𝐂`$ is spanned by the complex numbers $`1`$, $`\omega `$, $`\omega ^2`$ and $`\omega ^3`$ over $`𝐙`$.

###### Lemma 6.10.

Let $`X`$ and $`Y`$ be topological manifolds, and let $`\rho :XY`$ be a unramified surjective continuous map. Then, $`\rho _{}:H^i(X,𝐙)H^i(Y,𝐙)`$ is surjective.

###### Proof.

By Poincaré duality, it suffices to prove that $`\rho _{}:H_i(X,𝐙)H_i(Y,𝐙)`$ is surjective. With a sufficiently small triangulation of $`Y`$, this follows from the fact that $`\rho `$ is a local isomorphism.

We now give the proof of Theorem 6.7. Let $`S`$ be a set of non-free points of the action of $`G`$ on $`A`$. Then the restriction of $`\pi `$ to $`AS`$ is étale on $`A/G\pi (S)`$. Since $`S`$ is of codimension $`3`$ in $`A`$, we have the following diagram:

$$\begin{array}{ccccc}H^3(A,𝐙)& & H^3(AS,𝐙)& \stackrel{p_A}{}& H^3(A,O_A)𝐂\hfill \\ \pi _{}& & (\pi _{AS})_{}& & \pi _{}\hfill \\ H^3(A/G,𝐙)& & H^3(A/G\pi (S),𝐙)& \stackrel{p_{A/G}}{}& H^3(A/G,O_{A/G})𝐂\hfill \\ & & & & \nu ^{}\hfill \\ H^3(X,𝐙)& & & \stackrel{p_X}{}& H^3(X,O_X)𝐂.\hfill \end{array}$$

The vertical arrows on the right hand side give an identification of $`H^3(A,O_A)`$ and $`H^3(X,O_X)`$. Since $`(\pi _{AS})_{}`$ is surjective by Lemma 6.10, $`\pi _{}`$ is also surjective and $`\mathrm{Im}p_A=\mathrm{Im}p_X`$ in $`𝐂`$. Now $`\mathrm{Im}p_X`$ is a lattice in $`𝐂`$, and $`\mathrm{Im}p_A`$ is a lattice in $`𝐂`$ as well. We know that $`\mathrm{Im}p_A`$ is generated by $`1`$, $`\omega `$, $`\omega ^2`$ and $`\omega ^3`$ and thus $`\omega `$ is a quadratic number and the intermediate Jacobian has complex multiplication by $`𝐐(\omega )`$. Hence the intermediate Jacobian $`𝐂/\mathrm{Im}p_X`$ of $`X`$ is isogenous to $`E`$. If $`\omega `$ is a quadratic integer, then we have $`\mathrm{Im}p_X=\mathrm{Im}p_A=𝐙+𝐙\omega `$, and the intermediate Jacobian $`𝐂/\mathrm{Im}p_X`$ of $`X`$ is isomorphic to $`E`$.

## 7. Questions

We close with two natural basic questions that suggest themselves.

Is there a function $`f(n)`$ such that a Calabi-Yau variety in characteristic $`p>0`$ of dimension $`n`$ lifts to characteristic $`0`$ if $`p>f(n)`$? Note that Hirokado constructed a non-liftable Calabi-Yau threefold in characteristic $`3`$, see .

Can a Calabi-Yau variety of dimension $`3`$ in positive characteristic have non-zero regular $`1`$-forms or regular $`2`$-forms?

## 8. Acknowledgement

This research was made possible by a JSPS-NWO grant. The second author would like to thank the University of Amsterdam for hospitality and the first author would like to thank Prof. Ueno for inviting him to Kyoto, where this paper was finished.