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# The Henize sample of S stars

## 1 Introduction

The defining spectral properties of symbiotic and S stars are very different, and do not a priori hint at a possible relationship between them. Symbiotic stars exhibit at the same time spectral features typical of cool stars (like molecular bands), of hot stars (like an ultraviolet continuum) and of nebulae (like forbidden emission lines) (see Kenyon 1986). Stars of type S are red giants with ZrO bands in their spectra. However, technetium-poor111Tc-rich (also called ‘intrinsic’) S stars are genuine asymptotic giant branch stars that, unlike Tc-poor S stars, are not necessarily binaries, and are therefore not relevant to the present study (or ‘extrinsic’) S stars (see Jorissen et al. 1998; Van Eck & Jorissen 2000b, for recent reviews) and symbiotic stars share similarities in that they are two classes of binary stars involving a red giant and a white dwarf companion in relatively wide systems with orbital periods larger than about 200 d. This similarity naturally raises the question of the relationship between these two families, or in other words, why do those binary systems seem to appear in two different flavours? This question is actually twofold: (i) Do symbiotic systems exhibit the same kind of abundance peculiarities as S stars, namely enhanced carbon and elements heavier than Fe produced by the s-process of nucleosynthesis? (ii) Do Tc-poor S stars exhibit symbiotic activity?

To answer the first question, it is necessary to distinguish yellow symbiotics (i.e., involving a G or K giant) from red symbiotics (i.e., involving an M giant). All detailed abundance studies performed so far for yellow symbiotics have revealed heavy-element overabundances resembling those observed in S stars (Schmid 1994; Smith et al. 1996, 1997; Pereira & Porto de Mello 1997; Pereira et al. 1998; Smith et al. 2001; Pereira et al. 2003). On the contrary, not a single red symbiotic star from the catalogue of Mürset & Schmid (1999) seems to exhibit the ZrO distinctive spectral features of S-type stars. This puzzling situation is reviewed by Jorissen (2003).

The present paper deals with the question of the possible symbiotic activity among S stars. Several previous studies have indeed identified S stars with symbiotic activity (as will be reviewed in Sect. 4.3), but those previously known cases were isolated cases, not resulting from a systematic search. Hence they do not provide much insight into the frequency of this phenomenon among S stars. In this paper, we report the result of a search for Hα emission among a sample of 29 supposedly binary S stars identified by Van Eck & Jorissen (2000a, b) (hereafter denoted by Papers II and III, respectively) in the Henize sample of 205 S stars.

## 2 Binary S stars among the Henize sample

The Henize sample of S stars has been assembled by K. Henize from the objective-prism plates of the Michigan-Mount Wilson survey of the southern sky for Hα emission objects. Besides this primary aim, Henize readily realized that the plates could also be used to identify S stars (not necessarily with Hα in emission). His list of S stars, that he never published however, can be traced through Stephenson’s General Catalogue of Galactic S Stars (Stephenson 1984), where they appear as Henun nnn222In SIMBAD, they are referred to as Hen 4-nnn (with $`nnn205`$). The major advantage of the Henize sample is that it is not restricted to the galactic plane, since it comprises the 205 S stars south of declination $`25^{}`$ that are brighter than $`R=10.5`$ (the completeness of the sample has been discussed in Paper III). Therefore, the sample is not biased against extrinsic, Tc-poor, binary S stars, which are not as concentrated along the galactic plane as are intrinsic S stars (Paper III). The identification of the extrinsic S stars in the Henize sample has been performed in Papers II and III using multivariate classification analysis relying on the radial-velocity dispersion, the $`UB`$, $`BV`$, $`VK`$, and IRAS $`K[12]`$ color indices, as well as on the ZrO and TiO band strengths, on the presence/absence of Tc and on the photometric variability. This classification procedure yielded 66 extrinsic S stars out of 199 S stars with available data (see Table 6 of Paper II). The binary nature of those stars is strongly suggested by the large dispersion of their radial velocities (Fig. 10 of Paper III), while orbits are available for 5 of those stars (Table 1 of Paper II).

Among these 66 binary stars, two (namely Hen 18 and Hen 121) stand out because of their very blue colors (see Sect. 3.2 and Fig. 3 of Paper III). Fig. 1 presents the evolution of the color indices of these two stars in the dereddened333the dereddening procedure applied to the data of Table 1 to obtain Fig. 1 has been described in Sect. 3.3 of Paper II $`(UB,BV)`$ diagram. This evolution is very similar to the one of classical symbiotic stars (see e.g., Arkhipova & Noskova 1985). Table 1 lists the individual photometric measurements in the Geneva system, which are too sparse to derive a meaningful lightcurve. For Hen 121, our photometric data nevertheless contain the clear signature of an eclipse of the ultraviolet Balmer continuum by the S star. This is clearly visible in Table 1 (numbers in bold face) and in the inset of Fig. 1, which reveal that the $`UB`$ color of Hen 121 becomes much redder at JD = 2 449 053.76, 2 449 068.75 and 2 449 074.73, and is then typical of non-symbiotic, extrinsic S stars. The orbital elements listed in Paper II indicate that these measurements were taken at phases 0.70, 0.72 and 0.73 ($`\pm 0.01`$), while the spectroscopic ephemeris predicts the eclipse of the companion by the S star to be central at phase 0.75. This provides a clear indication that the Balmer continuum observed in the Hen 121 system is tied to the companion. Hen 121 is thus the second eclipsing binary star discovered among extrinsic S stars (the first one is HD 35155; Jorissen et al. 1992).

The time of first contact (which occurred between JD= 2 449 044.83 and JD=2 449 053.76 according to Table 1 and Fig. 1, corresponding to phases 0.69 and 0.70, respectively) makes it possible to estimate the S-star radius. Adopting $`\varphi =0.695`$ for the phase of first contact, $`\mathrm{sin}i=1`$, $`M_\mathrm{S}=1`$ M and $`M_{\mathrm{WD}}=0.6`$ M for the S-star and WD masses, respectively (as suggested by Fig. 3 below and consistent with the mass function 0.092 M for the system; see Paper I), the radius of the S star amounts to $`R=153`$ R, and its Roche lobe to 180 R. Hence Hen 121 is close to filling its Roche lobe.

This radius, combined with an effective temperature of $`3400\pm 100`$ K, as derived from the \[$`T_{\mathrm{eff}},(VK)_0`$\] calibration of Plez et al. (2003) with $`(VK)_0=6.1`$, yields $`M_{\mathrm{bol}}`$$`=3.9`$. This combination of bolometric magnitude and effective temperature locates Hen 121 among the most evolved extrinsic S stars, according to Fig. 2 of Van Eck et al. (1998). The mass loss rate of Hen 121 may concomittantly be expected to be large, a fundamental requirement to trigger symbiotic activity as discussed in Sect. 4.3.

The high-resolution Hα spectroscopic survey of extrinsic S stars presented in this paper confirms that the two stars standing out in the $`(UB,BV)`$ diagram of Fig. 1, namely Hen 18 and Hen 121, are the only two stars exhibiting clear symbiotic activity (two marginal cases – Hen 134 and Hen 137 – will be discussed in Sect. 4). In fact, when the multivariate classification analysis described in Paper III is allowed to go beyond the simple extrinsic/intrinsic dichotomy, the extrinsic sample is further subdivided in three subgroups, one of these (cluster # 3 in Table 2 of Paper III) comprising the two symbiotic S stars with exceptionally blue and variable colors (see also Fig. 9 below).

## 3 Observations

High-resolution spectra (with $`R=\lambda /\mathrm{\Delta }\lambda =\mathrm{80\hspace{0.17em}000}`$) were obtained between February 21 and 27, 1998, with the 1.4m CAT telescope of the European Southern Observatory (ESO, La Silla, Chile), equipped with the Coudé Echelle Spectrograph (CES) and the $`f/4.7`$ long camera. The CCD detector (ESO # 38) is a Loral/Lesser back-illuminated, UV flooded thin chip with 2688 $`\times `$ 512 pixels of 15 by 15 $`\mu `$m. Spectra covering about 6 nm around the Hα line ($`\lambda `$ 657.3 nm) have been obtained for 29 extrinsic S stars. For the two symbiotic candidates (Hen 18 and 121), spectra were also obtained at the central wavelength $`\lambda `$669.7 nm, covering \[N II\] $`\lambda 654.8`$ and $`\lambda 658.3`$, He I $`\lambda 667.8`$, and \[S II\] $`\lambda 671.6`$ and $`\lambda 673.1`$. Spectra with these two settings were also obtained for the S stars HD 35155 and HD 49368 that were previously reported to exhibit some symbiotic activity (see Sect. 4.3). At least two radial-velocity standard stars were observed each night to tie our wavelength scale to the IAU one.

## 4 Analysis

### 4.1 Hα profiles

Strong and broad Hα emission lines were only observed for the two extrinsic S stars already suspected to be symbiotics from their $`UBV`$ color indices (Sect. 2 and Fig. 1). The corresponding profiles, compared to those of a typical Mira, intrinsic S star (Hen 80) and of a typical extrinsic S star (Hen 6), are shown in Fig. 2. The Hen 18 and Hen 121 profiles are indeed very different from those of Mira stars \[see also Woodsworth (1995) for a discussion of Hα emission profiles of Mira S stars\], both in terms of the relative strengths of the red and blue emission peaks, and in terms of the base width. The Hen 18 and 121 profiles consist of a broad emission (half width at the base of about 250 km s-1, and FWHM of 70 km s-1) with a central absorption core exactly centered on the emission (Fig. 3). Those Hα profiles are similar to the S-3 types identified by Van Winckel et al. (1993) in symbiotic stars. No He I, \[N II\] or \[S II\] emission lines are recorded in Hen 18 and 121, as expected for symbiotic stars with Hα profiles of the S-3 kind \[Table 6 of Van Winckel et al. (1993)\]. The absence of these lines suggests that the associated nebula has a high density and a rather low excitation state. The S-3 class contains mainly recurrent and symbiotic novae.

Fig. 4 compares the Hα emission profiles of Hen 18 and Hen 121, and reveals striking similarities. The slight difference between these two profiles is reminiscent of the variations observed with orbital phase in symbiotic systems (for one particular example, see Fig. 4 of Mürset et al. 2000). Thus, similar formation mechanisms for Hα must be operating in classical symbiotic stars and in symbiotic S stars. This mechanism is still debated. Two different processes have been proposed: (i) the whole Hα profile is formed in the accretion disc forming around the accreting companion (see e.g., Robinson et al. 1994), (ii) the central dip of the Hα profile results from absorption by the red-giant wind (Schwank et al. 1997; Mürset et al. 2000) while the broad Hα wings are caused by Raman scattering of Lyβ photons from the hot component (Lee 2000).

The data available for Hen 18 and Hen 121 are too scarce to distinguish between these two formation processes, especially since the variation of the profile with orbital phase is not known. Let us just remark that, in Hen 121, the broad emission is almost exactly centered on the velocity of the companion star (see Fig. 3), provided that $`M_\mathrm{S}=1`$ M and $`M_{\mathrm{WD}}=0.6`$ M. This pair is consistent with the mass function of the system ($`0.092\pm 0.013`$ M; see Table 1 of Paper II), which predicts $`M_\mathrm{S}=0.93\pm 0.1`$ M for an eclipsing system with $`\mathrm{sin}i1`$ and $`M_{\mathrm{WD}}=0.6`$ M. Moreover, despite its blueshifted appearance, the absorption core is exactly centered on the emission (the false impression that it is blueshifted is actually caused by the presence of Hα and TiO absorptions formed in the atmosphere of the S star and which mutilate the red wing of the Hα emission). These properties of the Hα profile tend to support the hypothesis that the Hα emission originates from gas close to the companion. However, the similarity between the velocity of the emission and absorption components in Hen 18 and Hen 121, as revealed by Fig. 4, is difficult to understand in that framework, since it is very unlikely that the orbital phases at the time of observation – and hence the velocity of the companion star – were identical in these two systems (this can unfortunately not be checked as orbital elements are not available for Hen 18).

### 4.2 More symbiotic stars among Henize S stars

In an attempt to find weaker cases of symbiotic activity among binary S stars from the Henize sample, their Hα profiles have been scrutinized in two different ways: (i) by deriving the residual profile after subtraction of the Hα absorption normally present in S stars, and (ii) by examining the line bisector.

Fig. 5 presents a few representative examples of the residual Hα profile obtained after subtracting the spectrum of Hen 6, chosen as a template because its bisector appears to be very clean (see Fig. 6 below). Two new cases of S stars with symbiotic-like Hα profiles emerge from this figure: Hen 134 and 137. The case of Hen 129 and Hen 138, also shown in Fig. 5, is less clear: the weak emission remaining after subtraction of the Hen 6 template (Fig. 5) is more likely due to a template mismatch than to a real Hα emission.

The P-Cygni shape of the residual Hα profile appearing on Fig. 5 for Hen 134 and 137 may also be inferred from their line bisectors displayed on Fig. 6, which are quite different from those of non-symbiotic stars. Almost vertical, straight bisectors are found for the G giant HD 36079 and the early M giant $`\gamma `$ Cru, as well as for the extrinsic S star Hen 6 (leftmost column of Fig. 6). TiO lines mutilating the red wing of the Hα line – as confirmed by synthetic spectra – are responsible for the slanted appearance of the bisectors in the second to leftmost column in Fig. 6. This column includes intrinsic S stars and cool extrinsic S stars where TiO bands are strong. In all these cases, the bisector in the core of the line is nevertheless located very close to the Hα wavelength, as expected. On the contrary, the bisectors of Hen 18 and 121 are strongly blueshifted in the line core. A similar trend is also clearly apparent in the case of Hen 134 and 137, which we therefore tag as weak symbiotic stars. All S stars for which our Hα profiles are indicative of symbiotic activity have been collected in the four bold frames of Fig. 6. The analysis of the normalized Hα profiles (Fig. 5) and of the line bisector (Fig. 6) thus yields the same set of symbiotic S stars among the Henize sample.

### 4.3 Correlation of symbiotic activity with orbital period

The present data offer a unique opportunity to correlate the symbiotic activity (diagnosed by the presence of Hα emission) with the orbital period (Fig. 7). Neither the binaries with the shortest periods nor those with the longest do exhibit any Hα emission. Symbiotic activity seems instead restricted to a rather narrow period range around 800 d ($`\pm 200`$ d; see Table 2). This conclusion is consistent with the distribution of orbital periods known so far among Henize S stars. There are 8 orbital periods available (Table 1 of Paper II), among which only 3 (Hen 18, 121, 183) fall in the symbiotic period range. Two of them are indeed symbiotics. The third one (Hen 183) does not seem to show any sign of symbiotic activity (normal $`UBV`$ color indices but no data available on Hα; Paper II); its case is further discussed below. The other 5 systems have orbital periods either shorter or larger than the symbiotic period range. Since binaries with short periods are the easiest to discover, it is likely that all short-period systems existing among the Henize extrinsic S stars have been found. Thus, the small number of symbiotics among the Henize sample just reflects their orbital-period distribution.

The reason why symbiotic S stars seem restricted to the period range 600 – 1000 d should now be understood, and in particular why systems with shorter orbital periods are not symbiotics. This question may actually be addressed by identifying the parameters required to trigger symbiotic activity (see also the discussion in Jorissen 2003). The key factor in this respect is the high luminosity of the compact companion, that should exceed 10 L (e.g., Yungelson et al. 1995), in order to provide the high-energy photons necessary to excite atoms in the red-giant wind. This requirement in turn sets a constraint on the accretion rate by the compact star, which should be large enough to deliver such a luminosity, either through nuclear burning at the white dwarf surface or directly through accretion luminosity. Detailed hydrodynamical simulations of mass transfer in symbiotic binaries (Theuns et al. 1996; Mastrodemos & Morris 1998) have shown that the Bondi-Hoyle accretion regime generally predicts accretion rates that are an order of magnitude too large. It provides however a convenient analytical formulation of the mass accretion rate that may be used to identify key parameters:     $`\dot{M}_{acc,BH}`$ $`=`$ $`\dot{M}_{\mathrm{wind}}{\displaystyle \frac{\eta }{A^2}}\left({\displaystyle \frac{GM_2}{v_{\mathrm{wind}}^2}}\right)^2`$      $`\times {\displaystyle \frac{1}{\left[1+(\frac{v_{\mathrm{orb}}}{v_{\mathrm{wind}}})^2+\left(\frac{c}{v_{\mathrm{wind}}}\right)^2\right]^{3/2}}}`$    where $`M_2`$ is the mass of the accreting star, $`\eta 1`$ if the Bondi-Hoyle accretion regime applies (i.e., $`v_{\mathrm{wind}}/v_{\mathrm{orb}}>>1`$), $`\eta 0.1`$ otherwise (if $`v_{\mathrm{wind}}/v_{\mathrm{orb}}1`$).

Eq. 4.3 thus shows that three parameters are of prime importance in fixing the accretion rate: the wind velocity of the giant star $`v_{\mathrm{wind}}`$, which according to van Loon (2000) is proportional to $`L_1^{1/4}\sqrt{Z}`$ ($`Z`$ is the metallicity and $`L_1`$ the luminosity of the giant), the orbital period $`P`$ which is related to both the orbital separation $`A`$ and the orbital velocity $`v_{\mathrm{orb}}`$, and the wind mass loss rate $`\dot{M}_{\mathrm{wind}}`$.

The supposedly low mass-loss rates characterizing S stars in short-period systems probably account for their absence of symbiotic activity. Indeed, only compact, i.e, warm and low-luminosity giants may be hosted by the shortest-period (200 – 500 d) systems. More evolved giants are too big to hold within their Roche lobe in short-period systems. This statement is confirmed by the empirical correlation between spectral types and orbital periods observed among symbiotic systems by Mürset & Schmid (1999), late spectral types being restricted to systems with the longest periods. It is also apparent from the comparison of the period distributions of K and M giants (Fig. 8): no system with an orbital period shorter than about 400 d is observed among M giants, whereas the lower period cutoff for K giants is only about 40 d.

Fig. 8 moreover reveals that the period range 600 – 1000 d where most symbiotic S stars are found is also where most red symbiotic stars are located (when excluding symbiotic novae and symbiotic Miras). Those red symbiotic stars are in turn found in the short-period tail of the distribution of M giants. Similarly, yellow symbiotic stars occupy the short-period tail of the distribution of Ba stars (Fig. 8). Symbiotic stars are thus found among binaries having the shortest allowed periods given the evolutionary stage of the cool component. Binary S stars with the longest orbital periods do not exhibit Hα emission (Fig. 7 and Table 2) since, for a given mass loss rate, the accretion rate is smaller in wider systems (Eq. 4.3). Table 2 reveals, however, that very long-period systems like HR 363 and HD 49368 nevertheless exhibit other signatures of symbiotic activity (for instance, in the form of X-rays or UV continuum), despite the absence of Hα emission. This is not surprising since Hα emission is not as sensitive a diagnostic of symbiotic activity as are the UV or X-ray emissions, as confirmed for instance by the absence of Hα emission at some epochs for the classical – albeit rather weak – symbiotic star EG And.

Fig. 9 compares the properties of intrinsic S stars, symbiotic S stars and non-symbiotic extrinsic S stars, and provides an indirect confirmation of the above qualitative conclusion that symbiotic S stars ought to lose more mass than non-symbiotic, binary S stars, and thus presumably be somewhat more evolved. The $`VK`$ index is a good temperature indicator, and Fig. 9 indicates that the symbiotic S stars (group 3b in Fig. 9) are among the coolest extrinsic S stars. Observable diagnostics of luminosity include the CORAVEL $`Sb`$ and $`PR`$ parameters, which measure the average line width and depth, respectively (see Paper II for a more detailed description of these indicators). Fig. 9 shows that the symbiotic S stars have values of $`Sb`$ and $`1PR`$ that are the largest among binary S stars, even close to those characterizing the more evolved intrinsic S stars. Thus, both the temperature and luminosity indicators suggest that the symbiotic S stars are the most evolved among the binary S stars, and thus may indeed be expected to suffer from the largest mass loss rates. The above analysis also justifies why Hen 183 does not show any sign of symbiotic activity, despite an orbital period of about 890 d. With $`Sb=4.7`$ km s-1, $`PR=0.37`$ and $`(VK)_0=4.77`$, Hen 183 appears somewhat less evolved than symbiotic S stars (Fig. 9).

## 5 Conclusions

Two strong (Hen 18 and Hen 121) and two weak (Hen 134 and Hen 137) symbiotic stars were found among the binary S stars from the Henize sample, as revealed by their strong or moderate Hα emission. Their Hα profiles are typical of symbiotic stars, more precisely of class S-3 as defined by Van Winckel et al. (1993). Hen 18 and Hen 121 are also characterized by very blue $`BV`$ and $`UB`$ indices. The eclipse of the Balmer ultraviolet continuum observed for Hen 121 clearly indicates that the emission region is tied to the companion. The symbiotic S stars, when diagnosed by their Hα emission, are restricted to the period range 600 – 1000 d, also typical of red symbiotic stars (excluding symbiotic novae and symbiotic Miras), and which represents the short-period tail of the distribution of binary M giants. Moreover, there is compelling evidence that symbiotic S stars are somewhat more evolved than non-symbiotic binary S stars. These properties may be easily understood since the cool components in symbiotic systems need to lose mass at a rate large enough to power the high luminosity ($`L>10`$ L) of the compact companion and thereby to trigger the observed symbiotic activity.

###### Acknowledgements.

We thank G. Burki and M. Burnet for securing the photometric observations, M. Kürster for help with the computation of line bisectors, and H.M. Schmid for enlightening discussions about the physics of symbiotic stars.


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# Birational smooth minimal models have equal Hodge numbers in all dimensions

## 1. Introduction

Smooth minimal models play an important role in birational geometry. In this paper, we study Hodge numbers of smooth minimal models by an arithmetic method. Here we recall the definition of smooth minimal models. A divisor $`D`$ on a smooth projective variety $`X`$ is called nef if $`DC0`$ for all curves $`C`$ in $`X`$. A smooth minimal model is a smooth projective variety $`X`$ whose canonical bundle $`K_X=\mathrm{\Omega }_X^{dimX}`$ is nef.

The purpose of this paper is to prove the following theorem.

###### Theorem 1.1.

Let $`X`$ and $`Y`$ be smooth minimal models over $``$. Assume that $`X`$ and $`Y`$ are birational over $``$. Then, $`X`$ and $`Y`$ have equal Hodge numbers:

$$dim_{}H^i(X,\mathrm{\Omega }_X^j)=dim_{}H^i(Y,\mathrm{\Omega }_Y^j)\text{for all}i,j.$$

In this paper, we firstly compute the number of rational points of reduction modulo $`p`$ of $`X`$ and $`Y`$ by $`p`$-adic integration. Then we apply the following proposition which is proved in §4 by combining the Weil conjecture, the Chebotarev density theorem and $`p`$-adic Hodge theory (for a variant in terms of zeta functions, see Corollary 4.8).

###### Proposition 1.2.

Let $`K`$ be a number field. Let $`𝔛`$ and $`𝔜`$ be schemes of finite type over the ring of integers $`𝒪_K`$ of $`K`$ whose generic fibers $`X=𝔛_{𝒪_K}K`$ and $`Y=𝔜_{𝒪_K}K`$ are proper and smooth over $`K`$. If $`|𝔛(𝒪_K/𝔭)|=|𝔜(𝒪_K/𝔭)|`$ for all but a finite number of maximal ideals $`𝔭`$ of $`𝒪_K`$, then $`X`$ and $`Y`$ have equal Hodge numbers:

$$dim_KH^i(X,\mathrm{\Omega }_X^j)=dim_KH^i(Y,\mathrm{\Omega }_Y^j)\text{for all}i,j.$$

A similar statement for Betti numbers of proper smooth varieties over a finite field is a well-known consequence of the Weil conjecture (see Proposition 4.1). We use $`p`$-adic Hodge theory to get information on Hodge numbers from Galois representations. It is likely that Proposition 1.2 is well-known only for specialists in arithmetic geometry. We expect that Proposition 1.2 has further interesting applications in algebraic geometry.

Here we say a few words about the history of Theorem 1.1. The case $`dim=1`$ is trivial since birational projective smooth curves are automatically isomorphic. The case $`dim=2`$ is also automatic because $`X`$ and $`Y`$ are isomorphic by uniqueness of the minimal models for surfaces. The case $`dim=3`$ is more interesting. By the minimal model program for threefolds, $`X`$ and $`Y`$ are not necessarily isomorphic, but connected by a sequence of flops. Hence we conclude, by basic properties of flops, that $`X`$ and $`Y`$ have equal Hodge structures (\[KMM\],\[Ka1\],\[Kol\]). However, we can’t do the same if $`dim4`$ since the minimal model program in $`dim4`$ is still under construction. On the other hand, Batyrev found a new way to get cohomological properties of birational varieties in all dimensions. He proved that birational smooth Calabi-Yau manifolds have equal Betti numbers in all dimensions (\[Ba1\]). He used $`p`$-adic integration and the Weil conjecture. Wang generalized Batyrev’s result for Betti numbers of smooth minimal models (\[Wa1\]).

We sketch the outline of this paper. In §2, we prove certain geometric properties of minimal models needed for our purpose. In §3, we recall Weil’s $`p`$-adic integration which computes the number of rational points of reduction modulo $`p`$ by integrating a gauge form on a $`p`$-adic manifold. In §4, we recall several facts on Galois representations and prove Proposition 1.2. Finally, in §5, we prove Theorem 1.1 by combining above results.

###### Remark 1.3.

After this work was completed, François Loeser pointed out to the author that Theorem 1.1 can be obtained by the theory of motivic integration developed by Kontsevich \[Kon\] and Denef-Loeser \[DL\] (see also \[Ba2\], \[Ve\], \[Wa1\], \[Wa2\]). Willem Veys kindly informed the author that Theorem 1.1 is already written in his paper \[Ve\], Corollary of Theorem 2.7. Moreover, Chin-Lung Wang kindly informed the author that he independently obtained the same result in 2000. The author knew it in his talk at Tokyo on February 2002. The author would like to thank them for information.

###### Remark 1.4.

Recently, the author generalized the results of this paper and obtained an application of $`p`$-adic Hodge theory to stringy Hodge numbers for singular varieties (for details, see \[It\]). Stringy Hodge numbers were introduced by Batyrev in \[Ba2\] where he studied them by motivic integration.

Acknowledgments. The author is grateful to Takeshi Saito and Kazuya Kato for their advice and support. He also would like to thank Takeshi Tsuji and Shinichi Mochizuki for invaluable suggestion on $`p`$-adic Hodge theory, Keiji Oguiso, Yujiro Kawamata, and Victor Batyrev for invaluable comment and encouragement, Yasunari Nagai for discussion about the minimal model program, Yoichi Mieda for carefully reading a manuscript.

## 2. Geometry of minimal models

Let $`X`$ and $`Y`$ be birational projective smooth algebraic varieties over $``$. Recall that $`X`$ and $`Y`$ are called $`K`$-equivalent if there exists a projective smooth variety $`Z`$ over $``$ and proper birational morphisms $`f:ZX,g:ZY`$ such that $`f^{}K_X=g^{}K_Y`$.

Recently the notion of $`K`$-equivalence plays an important role in birational geometry (\[Ka2\], \[Wa2\]).

Although the following property of birational smooth minimal models seems well-known for specialists in birational geometry, we write it for the reader’s convenience (\[Kol\], \[Fu\], \[Wa1\]).

###### Proposition 2.1.

Birational smooth minimal models over $``$ are $`K`$-equivalent.

###### Proof.

Let $`X`$ and $`Y`$ be birational smooth minimal models over $``$. By taking a resolution of singularities of the closure of the graph of the birational map, there exists a projective smooth variety $`Z`$ over $``$ and proper birational morphisms $`f:ZX,g:ZY`$.

To see $`f^{}K_X=g^{}K_Y`$, we write the canonical bundle relation:

$$K_Z=f^{}K_X+F+G,K_Z=g^{}K_Y+F^{}+G^{}$$

Here $`F,G,F^{},G^{}`$ are effective divisors such that $`F,F^{}`$ are exceptional for both $`f`$ and $`g`$, $`G`$ is exceptional for $`f`$ but not for $`g`$, and $`G^{}`$ is exceptional for $`g`$ but not for $`f`$.

By symmetry, it is enough to show $`F+GF^{}+G^{}`$. To show this, it is enough to show $`FF^{}G^{}0`$. Write $`FF^{}G^{}=AB`$ such that $`A,B`$ are effective divisors and they have no common component. It is enough to show $`B=0`$. To show this, we assume $`B0`$. Then we have

$$g^{}K_Y=f^{}K_X+G+(FF^{}G^{})=f^{}K_X+G+(AB).$$

By taking suitable hyperplane sections and using the Hodge index theorem, we can take a curve $`C`$ in $`Z`$ such that $`BC<0`$, $`g(C)`$ is a point and $`C`$ is not contained in $`G+A`$ (\[Fu\], 1.5). Recall that $`B`$ is exceptional for $`g`$. Since $`g^{}K_YC=K_Yg(C)=0`$, we have

$$0=g^{}K_YC=f^{}K_XC+GC+ACBC.$$

We examine the right hand side. $`f^{}K_XC=K_Xf(C)0`$ since $`K_X`$ is nef. $`GC0,AC0`$ since $`C`$ is not contained in $`G+A`$. Since $`BC<0`$, we conclude that the right hand side must be positive. This is contradiction. Hence $`B=0`$ and the proof is completed. ∎

## 3. $`p`$-adic integration

### 3.1. General definitions

Let $`p`$ be a prime number and $`_p`$ be the field of $`p`$-adic numbers. Let $`F`$ be a finite extension of $`_p`$, $`RF`$ be the ring of integers in $`F`$, $`mR`$ be the maximal ideal of $`R`$, $`𝔽_q=R/m`$ be the residue field of $`F`$ with $`q`$ elements, where $`q`$ is a power of $`p`$. For an element $`xF`$, we define the $`p`$-adic absolute value $`|x|_p`$ by

$$|x|_p=\{\begin{array}{cc}q^{v(x)}\hfill & x0\hfill \\ 0\hfill & x=0\hfill \end{array}$$

where $`v:F^\times `$ is the normalized discrete valuation of $`F`$.

Let $`𝔛`$ be a smooth scheme over $`R`$ of relative dimension $`n`$. We can compute the number of $`𝔽_q`$-rational points $`|𝔛(𝔽_q)|`$ by integrating certain $`p`$-adic measure on the set of $`R`$-rational points $`𝔛(R)`$. We note that $`𝔛(R)`$ is a compact and totally disconnected topological space with respect to its $`p`$-adic topology.

Let $`\omega \mathrm{\Gamma }(𝔛,\mathrm{\Omega }_{𝔛/R}^n)`$ be a regular $`n`$-form on $`𝔛`$, where $`\mathrm{\Omega }_{𝔛/R}^n`$ is the relative canonical bundle of $`𝔛/R`$. We shall define the $`p`$-adic integration of $`\omega `$ on $`𝔛(R)`$ as follows. Let $`s𝔛(R)`$ be a $`R`$-rational point. Let $`U𝔛(R)`$ be a sufficiently small $`p`$-adic open neighborhood of $`s`$ on which there exists a system of local $`p`$-adic coordinates $`\{x_1,\mathrm{},x_n\}`$. Then $`\{x_1,\mathrm{},x_n\}`$ defines a $`p`$-adic analytic map

$$x=(x_1,\mathrm{},x_n):UR^n$$

which is a homeomorphism between $`U`$ and a $`p`$-adic open set $`V`$ of $`R^n`$. By using the above coordinates, $`\omega `$ can be written as

$$\omega =f(x)dx_1\mathrm{}dx_n.$$

We can consider $`f(x)`$ as a $`p`$-adic analytic function on $`V`$. Then we define the $`p`$-adic integration of $`\omega `$ on $`U`$ by the equation

$$_U|\omega |_p=_V|f(x)|_p𝑑x_1\mathrm{}𝑑x_n,$$

where $`|f(x)|_p`$ is the $`p`$-adic absolute value of the value of $`f`$ at $`xV`$ and $`dx_1\mathrm{}dx_n`$ is the Haar measure on $`R^n`$ normalized by the condition

$$_{R^n}𝑑x_1\mathrm{}𝑑x_n=1.$$

By patching the above integration, we get the $`p`$-adic integration of $`\omega `$ on $`𝔛(R)`$

$$_{𝔛(R)}|\omega |_p.$$

### 3.2. $`p`$-adic integration of a gauge form

A gauge form $`\omega `$ on $`𝔛`$ is a nowhere vanishing global section $`\omega \mathrm{\Gamma }(𝔛,\mathrm{\Omega }_{𝔛/R}^n)`$. Clearly, a gauge form exists if and only if $`\mathrm{\Omega }_{𝔛/R}^n`$ is trivial. Therefore a gauge form exists at least Zariski locally. The most important property of $`p`$-adic integration is that the $`p`$-adic integration of a gauge form computes the number of $`𝔽_q`$-rational points.

###### Proposition 3.1 (\[We2\], 2.2.5).

Let $`𝔛`$ be a smooth scheme over $`R`$ of relative dimension $`n`$ and $`\omega `$ be a gauge form on $`𝔛`$. Then we have

$$_{𝔛(R)}|\omega |_p=\frac{|𝔛(𝔽_q)|}{q^n}.$$

###### Proof.

Let

$$\phi :𝔛(R)𝔛(𝔽_q)$$

be the reduction modulo $`m`$ map. For $`\overline{x}𝔛(𝔽_q)`$, $`\phi ^1(\overline{x})`$ is a $`p`$-adic open set of $`𝔛(R)`$. Therefore, it is enough to show

$$_{\phi ^1(\overline{x})}|\omega |_p=\frac{1}{q^n}.$$

Let $`\{x_1,\mathrm{},x_n\}𝒪_{𝔛,\overline{x}}`$ be a regular system of parameters at $`\overline{x}`$. Then $`\{x_1,\mathrm{},x_n\}`$ defines a system of local $`p`$-adic coordinates on $`\phi ^1(\overline{x})`$ and

$$x=(x_1,\mathrm{},x_n):\phi ^1(\overline{x})m^nR^n$$

is a $`p`$-adic analytic homeomorphism. Let $`\omega `$ be written as $`\omega =f(x)dx_1\mathrm{}dx_n`$. Since $`\omega `$ is a gauge form, $`f(x)`$ is a $`p`$-adic unit for all $`x\phi ^1(\overline{x})`$. Therefore $`|f(x)|_p=1`$. Then we have

$$_{\phi ^1(\overline{x})}|\omega |_p=_{m^n}𝑑x_1\mathrm{}𝑑x_n=\frac{1}{q^n}$$

since $`m^n`$ is an index $`q^n`$ subgroup of $`R^n`$. ∎

### 3.3. A slight generalization — $`p`$-adic integration of local generators of a lattice

We shall consider Proposition 3.1 if $`\mathrm{\Omega }_{𝔛/R}^n`$ is not necessarily trivial. By a lattice of $`\mathrm{\Omega }_{𝔛/R}^n`$, we mean a locally free subsheaf $`\mathrm{\Omega }_{𝔛/R}^n`$ of rank 1. We can define the $`p`$-adic integration of local generators of a lattice $``$ as follows. If both $``$ and $`\mathrm{\Omega }_{𝔛/R}^n`$ are free, take a generator $`\omega `$ of $``$. Then we have the $`p`$-adic integration

$$_{𝔛(R)}|\omega |_p.$$

This value is independent of $`\omega `$ since $`\omega `$ is unique up to multiplication by a unit $`f𝒪_𝔛^{}`$ and such $`f`$ takes $`p`$-adic absolute value 1 as a $`p`$-adic analytic function. Therefore we can patch them and get the $`p`$-adic integration of local generators of $``$ which we denote by

$$_{𝔛(R)}||_p.$$

Note that if $`=\mathrm{\Omega }_{𝔛/R}^n`$ and $`\mathrm{\Omega }_{𝔛/R}^n`$ is trivial, the above value is nothing but the $`p`$-adic integration of a gauge form in §3.2. Therefore, we have the following generalization of Proposition 3.1

###### Corollary 3.2.

Let $`𝔛`$ be a smooth scheme over $`R`$ of relative dimension $`n`$. Then we have

$$_{𝔛(R)}|\mathrm{\Omega }_{𝔛/R}^n|_p=\frac{|𝔛(𝔽_q)|}{q^n}.$$

### 3.4. An application to $`K`$-equivalent varieties

###### Proposition 3.3 (\[Ba1\], \[Wa1\]).

Let $`𝔛,𝔜,`$ be smooth schemes over $`R`$ of relative dimension $`n`$. Assume that there exist proper birational morphisms $`\stackrel{~}{f}:𝔛,\stackrel{~}{g}:𝔜`$ such that $`\stackrel{~}{f}^{}\mathrm{\Omega }_{𝔛/R}^n=\stackrel{~}{g}^{}\mathrm{\Omega }_{𝔜/R}^n`$. Then $`|𝔛(𝔽_q)|=|𝔜(𝔽_q)|`$.

###### Proof.

By Corollary 3.2, we have

$$_{𝔛(R)}|\mathrm{\Omega }_{𝔛/R}^n|_p=\frac{|𝔛(𝔽_q)|}{q^n},_{𝔜(R)}|\mathrm{\Omega }_{𝔜/R}^n|_p=\frac{|𝔜(𝔽_q)|}{q^n}.$$

Since $`\stackrel{~}{f}^{}\mathrm{\Omega }_{𝔛/R}^n=\stackrel{~}{g}^{}\mathrm{\Omega }_{𝔜/R}^n`$, we compute

$`{\displaystyle \frac{|𝔛(𝔽_q)|}{q^n}}`$ $`={\displaystyle _{𝔛(R)}}|\mathrm{\Omega }_{𝔛/R}^n|_p={\displaystyle _{(R)}}|\stackrel{~}{f}^{}\mathrm{\Omega }_{𝔛/R}^n|_p={\displaystyle _{(R)}}|\stackrel{~}{g}^{}\mathrm{\Omega }_{𝔜/R}^n|_p`$
$`={\displaystyle _{𝔜(R)}}|\mathrm{\Omega }_{𝔜/R}^n|_p={\displaystyle \frac{|𝔜(𝔽_q)|}{q^n}}`$
by using the change of variable formula for $`p`$-adic integration twice. Hence we have $`|𝔛(𝔽_q)|=|𝔜(𝔽_q)|`$. ∎

###### Remark 3.4.

By combining Proposition 2.1, Proposition 3.3, and the Weil conjecture (see §4.1), we can prove the equality of Betti numbers for birational smooth minimal models over $``$ as in \[Ba1\], \[Wa1\]. However, to show the equality of Hodge numbers, we need further arithmetic results such as the Chebotarev density theorem and $`p`$-adic Hodge theory which will be explained in §4.

## 4. Review of Galois representations

In this section, we recall several facts on Galois representations and prove Proposition 1.2.

### 4.1. The Weil conjecture

Let $`X`$ be a proper smooth variety over a finite field $`𝔽_q`$ of dimension $`n`$. Fix a prime number $`l`$ prime to $`q`$. Let $`H_{\text{ét}}^i(X_{\overline{𝔽}_q},_l)`$ be the $`i`$-th $`l`$-adic étale cohomology of $`X_{\overline{𝔽}_q}=X_{𝔽_q}\overline{𝔽}_q`$, where $`\overline{𝔽}_q`$ denotes an algebraic closure of $`𝔽_q`$. Let $`F:X_{\overline{𝔽}_q}X_{\overline{𝔽}_q}`$ be the $`q`$-th power Frobenius morphism. Note that the set of fixed points of $`F`$ is precisely the set of $`𝔽_q`$-rational points $`X(𝔽_q)`$. Then, by the Lefschetz fixed point formula for étale cohomology, we have

(4.1) $`|X(𝔽_q)|={\displaystyle \underset{i=0}{\overset{2n}{}}}(1)^i\text{Tr}(F^{};H_{\text{ét}}^i(X_{\overline{𝔽}_q},_l)).`$
Moreover, by the Weil conjecture proved by Deligne, all eigenvalues of $`F^{}`$ acting on $`H_{\text{ét}}^i(X_{\overline{𝔽}_q},_l)`$ are algebraic numbers and all conjugates of them have complex absolute value $`q^{i/2}`$. This is an analogue of the Riemann hypothesis for a proper smooth variety over a finite field.

The Hasse-Weil zeta function $`Z(X,t)`$ is a formal power series with coefficients in $``$ defined by

$$Z(X,t)=\mathrm{exp}\left(\underset{r=1}{\overset{\mathrm{}}{}}\frac{|X(𝔽_{q^r})|}{r}t^r\right).$$

Then, by (4.1), we have the following expression of $`Z(X,t)`$

$$Z(X,t)=\frac{P_1(X,t)\mathrm{}P_{2n1}(X,t)}{P_0(X,t)P_2(X,t)\mathrm{}P_{2n}(X,t)},$$

where

$$P_i(X,t)=det(1F^{}t;H_{\text{ét}}^i(X_{\overline{𝔽}_q},_l)).$$

Although the following application of the Weil conjecture is well-known and weaker than our key proposition (Proposition 1.2), we note it here for reader’s convenience.

###### Proposition 4.1.

Let $`X`$ and $`Y`$ be proper smooth varieties over $`𝔽_q`$. If $`|X(𝔽_{q^r})|=|Y(𝔽_{q^r})|`$ for all $`r`$, then $`P_i(X,t)=P_i(Y,t)`$. In particular, by comparing the degrees, we have

$$dim__lH_{\text{ét}}^i(X_{\overline{𝔽}_q},_l)=dim__lH_{\text{ét}}^i(Y_{\overline{𝔽}_q},_l).$$

Therefore, if such $`X`$ (resp. $`Y`$) comes from a proper smooth variety $`\stackrel{~}{X}`$ (resp. $`\stackrel{~}{Y}`$) over a number field $`K`$ by modulo $`p`$ reduction, then $`\stackrel{~}{X}_K`$ and $`\stackrel{~}{Y}_K`$ have equal Betti numbers:

$$dim_{}H^i(\stackrel{~}{X}_K,)=dim_{}H^i(\stackrel{~}{Y}_K,)\text{for all}i.$$

###### Proof.

We have $`Z(X,t)=Z(Y,t)`$ by definition. Hence $`P_i(X,t)=P_i(Y,t)`$ for all $`i`$ because we can recover $`P_i(X,t)`$ (resp. $`P_i(Y,t)`$) from $`Z(X,t)`$ (resp. $`Z(Y,t)`$) by the Weil conjecture. The rest follows from basic properties of étale cohomology. ∎

### 4.2. An application of the Chebotarev density theorem

In this section, we don’t need the Chebotarev density theorem itself but need its application to $`l`$-adic Galois representations. For details, we refer Serre’s book \[Se\].

###### Proposition 4.2 (\[Se\], I.2.3).

Let $`K`$ be a number field, $`m,m^{}1`$ be integers, and $`l`$ be a prime number. Let

$$\rho :\text{Gal}(\overline{K}/K)\text{GL}(m,_l),\rho ^{}:\text{Gal}(\overline{K}/K)\text{GL}(m^{},_l)$$

be continuous $`l`$-adic $`\text{Gal}(\overline{K}/K)`$-representations such that $`\rho `$ and $`\rho ^{}`$ are unramified outside a finite set $`S`$ of maximal ideals of $`𝒪_K`$. If

$$\text{Tr}(\rho (\text{Frob}_𝔭))=\text{Tr}(\rho ^{}(\text{Frob}_𝔭))\text{for all maximal ideals}𝔭S,$$

then $`\rho `$ and $`\rho ^{}`$ have the same semisimplifications as $`\text{Gal}(\overline{K}/K)`$-representations. Here $`\text{Frob}_𝔭`$ denotes a geometric Frobenius element at $`𝔭`$ which specializes to the inverse of the $`|𝒪_K/𝔭|`$-th power map on the residue field at $`𝔭`$.

###### Proof.

We only give a sketch of the proof. By the Chebotarev density theorem (\[Se\] I.2.2), the set of conjugates of $`\text{Frob}_𝔭`$ for all $`𝔭S`$ is dense in $`G^{}=\text{Gal}(\overline{K}/K)/(\text{Ker}\rho \text{Ker}\rho ^{})`$. Since $`\rho `$ and $`\rho ^{}`$ are continuous representations, $`\text{Tr}\rho `$ and $`\text{Tr}\rho ^{}`$ are continuous maps from $`G^{}`$ to $`_l`$ which coincide on a dense subset of $`G^{}`$. Hence they are equal. Therefore, we have $`\text{Tr}(\rho (\sigma ))=\text{Tr}(\rho ^{}(\sigma ))`$ for all $`\sigma \text{Gal}(\overline{K}/K)`$. Then we have the conclusion by representation theory (see, for example, Bourbaki, Algèbre, Ch. 8, §12, n 1, Prop 3.). ∎

### 4.3. $`p`$-adic Hodge theory

In this section, we recall $`p`$-adic Hodge theory. Especially, we recall Hodge-Tate decomposition which is a $`p`$-adic analogue of Hodge decomposition over $``$.

Let $`p`$ be a prime number and $`F`$ be a finite extension of $`_p`$. Let $`_p`$ be a $`p`$-adic completion of an algebraic closure $`\overline{F}`$ of $`F`$. We define the $`p`$-adic Tate twists as follows. We define $`_p(0)=_p,_p(1)=\left(\underset{}{\mathrm{lim}}\mu _{p^n}\right)__p_p`$, and, for $`n1`$, $`_p(n)=_p(1)^n,_p(n)=\text{Hom}(_p(n),_p)`$. Moreover, we define $`_p(n)=_p__p_p(n)`$, on which $`\text{Gal}(\overline{F}/F)`$ acts diagonally. It is known that $`(_p)^{\text{Gal}(\overline{F}/F)}=F`$ and $`(_p(n))^{\text{Gal}(\overline{F}/F)}=0`$ for $`n0`$ (\[Ta\], Theorem 2).

Let $`B_{HT}=_n_p(n)`$ be a graded $`_p`$-module with an action of $`\text{Gal}(\overline{F}/F)`$. For a finite dimensional $`\text{Gal}(\overline{F}/F)`$-representation $`V`$ over $`_p`$, we define a finite dimensional graded $`F`$-module $`D_{HT}(V)`$ by $`D_{HT}(V)=(V__pB_{HT})^{\text{Gal}(\overline{F}/F)}.`$ The graded module structure of $`D_{HT}(V)`$ is induced from that of $`B_{HT}`$. In general, it is known that

$$dim_FD_{HT}(V)dim__pV.$$

If the equality holds, $`V`$ is called a Hodge-Tate representation (\[Ta\], \[Fo\]).

###### Theorem 4.3 (Hodge-Tate decomposition, \[Fa1\],\[Ts\]).

Let $`X`$ be a proper smooth variety over $`F`$ and $`k`$ be an integer. The $`p`$-adic étale cohomology $`H_{\text{ét}}^k(X_{\overline{F}},_p)`$ of $`X_{\overline{F}}=X_F\overline{F}`$ is a finite dimensional $`\text{Gal}(\overline{F}/F)`$-representation over $`_p`$. Then, $`H_{\text{ét}}^k(X_{\overline{F}},_p)`$ is a Hodge-Tate representation. Moreover, there exists a canonical and functorial isomorphism

$$\underset{i+j=k}{}H^i(X,\mathrm{\Omega }_X^j)_F_p(j)H_{\text{ét}}^k(X_{\overline{F}},_p)__p_p$$

of $`\text{Gal}(\overline{F}/F)`$-representations, where $`\text{Gal}(\overline{F}/F)`$ acts on $`H^i(X,\mathrm{\Omega }_X^j)`$ trivially and the right hand side diagonally.

For a finite dimensional $`\text{Gal}(\overline{F}/F)`$-representation $`V`$ over $`_p`$, we define

$$h^n(V)=dim_F(V__p_p(n))^{\text{Gal}(\overline{F}/F)}.$$

The following lemma seems well-known for specialists in $`p`$-adic Hodge theory. But we write it here for reader’s convenience.

###### Lemma 4.4.

Let $`W_2`$ be a Hodge-Tate representation and

$$\begin{array}{ccccccccc}0& & W_1& & W_2& & W_3& & 0\end{array}$$

be an exact sequence of finite dimensional $`\text{Gal}(\overline{F}/F)`$-representations over $`_p`$. Then, $`W_1`$ and $`W_3`$ are Hodge-Tate representations and

$$h^n(W_2)=h^n(W_1)+h^n(W_3)=h^n(W_1W_3)$$

for all $`n`$.

###### Proof.

Since

$$\begin{array}{ccccccc}0& & D_{HT}(W_1)& & D_{HT}(W_2)& & D_{HT}(W_3)\end{array}$$

is exact by definition, we have $`dim_FD_{HT}(W_2)dim_FD_{HT}(W_1)+dim_FD_{HT}(W_3).`$ On the other hand, since $`W_2`$ is a Hodge-Tate representation, we have

$`dim_FD_{HT}(W_2)`$ $`=dim__pW_2=dim__pW_1+dim__pW_3`$
$`dim_FD_{HT}(W_1)+dim_FD_{HT}(W_3).`$
Therefore, we have $`dim_FD_{HT}(W_1)+dim_FD_{HT}(W_3)=dim__pW_1+dim__pW_3`$ and hence $`W_1`$ and $`W_3`$ are Hodge-Tate representations. Then,

$$\begin{array}{ccccccccc}0& & D_{HT}(W_1)& & D_{HT}(W_2)& & D_{HT}(W_3)& & 0\end{array}$$

is exact. If we take the dimension of each graded quotient of the above exact sequence, we have $`h^n(W_2)=h^n(W_1)+h^n(W_3)=h^n(W_1W_3)`$. ∎

By combining above results, we can recover the Hodge numbers from the semisimplifications of the $`p`$-adic étale cohomology as follows.

###### Corollary 4.5.

Let $`X`$ be a proper smooth variety over $`F`$. Then, we have

$$dim_FH^i(X,\mathrm{\Omega }_X^j)=h^j(H^{i+j}(X_{\overline{F}},_p)^{ss})\text{for all}i,j,$$

where $`H^{i+j}(X_{\overline{F}},_p)^{ss}`$ denotes the semisimplification of $`H^{i+j}(X_{\overline{F}},_p)`$ as a $`\text{Gal}(\overline{F}/F)`$-representation.

###### Proof.

By Theorem 4.3, if we take the dimension of the $`\text{Gal}(\overline{F}/F)`$-invariant of $`H^{i+j}(X_{\overline{F}},_p)__p_p(j)`$, we have

$$dim_FH^i(X,\mathrm{\Omega }_X^j)=h^j(H^{i+j}(X_{\overline{F}},_p)).$$

On the other hand, since $`H^{i+j}(X_{\overline{F}},_p)`$ is a Hodge-Tate representation,

$$h^j(H^{i+j}(X_{\overline{F}},_p))=h^j(H^{i+j}(X_{\overline{F}},_p)^{ss})$$

by Lemma 4.4. Hence Corollary 4.5 is proved. ∎

###### Remark 4.6.

A proof of Theorem 4.3 was firstly given by Faltings (\[Fa1\], for recent developments of Faltings’ theory of almost étale extensions, see also \[Fa2\]). Tsuji gave another proof by using de Jong’s alteration (\[Ts\]). In this paper, we don’t need the full version of Theorem 4.3. For example, the theorem of Fontaine-Messing is enough for our purpose who proved Theorem 4.3 in the case $`F`$ is unramified over $`_p`$, $`dimX<p`$ and $`X`$ has good reduction (\[FM\]).

### 4.4. An application to Hodge numbers

Here we prove Proposition 1.2. It is a standard consequence of the above results.

###### Proof of Proposition 1.2.

Let notation be as in Proposition 1.2. Fix a prime number $`l`$. Let $`S`$ be a sufficiently large finite set of maximal ideals of $`𝒪_K`$ such that $`𝔛`$ and $`𝔜`$ are proper and smooth over $`(\text{Spec}𝒪_K)\backslash S`$, $`|𝔛(𝒪_K/𝔭)|=|𝔜(𝒪_K/𝔭)|`$ for all $`𝔭S`$, and $`S`$ contains all $`𝔭`$ dividing $`l`$. Let $`H_{\text{ét}}^i(X_{\overline{K}},_l)`$ (resp. $`H_{\text{ét}}^i(Y_{\overline{K}},_l)`$) be the $`i`$-th $`l`$-adic étale cohomology of $`X_{\overline{K}}=X_K\overline{K}`$ (resp. $`Y_{\overline{K}}=Y_K\overline{K}`$) on which $`\text{Gal}(\overline{K}/K)`$ acts.

Let $`𝔭`$ be a maximal ideal of $`𝒪_K`$ outside $`S`$ and $`𝔽_q=𝒪_K/𝔭`$ be the residue field at $`𝔭`$. Then $`𝔛_{\overline{𝔽}_q}=𝔛_{𝒪_K}\overline{𝔽}_q`$ is a proper smooth variety over $`\overline{𝔽}_q`$. Let $`F:𝔛_{\overline{𝔽}_q}𝔛_{\overline{𝔽}_q}`$ be the $`q`$-th power Frobenius morphism as in §4.1. Note that $`𝔭`$ doesn’t divide $`l`$ here. Then, by basic properties of étale cohomology, $`H_{\text{ét}}^i(X_{\overline{K}},_l)`$ is canonically isomorphic to $`H_{\text{ét}}^i(𝔛_{\overline{𝔽}_q},_l)`$ and the action of $`F^{}`$ on $`H_{\text{ét}}^i(𝔛_{\overline{𝔽}_q},_l)`$ corresponds to the action of $`\text{Frob}_𝔭^{}`$ on $`H_{\text{ét}}^i(X_{\overline{K}},_l)`$, where $`\text{Frob}_𝔭`$ is a geometric Frobenius element at $`𝔭`$ as in Proposition 4.2. Therefore, by the Lefschetz fixed point formula for étale cohomology (§4.1, (4.1)), we have

$$|𝔛(𝒪_K/𝔭)|=\underset{i=0}{\overset{2dimX}{}}(1)^i\text{Tr}(\text{Frob}_𝔭^{};H_{\text{ét}}^i(X_{\overline{K}},_l)).$$

The same is true for $`𝔜`$. Therefore, for $`𝔭S`$, we have

$$\underset{i=0}{\overset{2dimX}{}}(1)^i\text{Tr}(\text{Frob}_𝔭^{};H_{\text{ét}}^i(X_{\overline{K}},_l))=\underset{j=0}{\overset{2dimY}{}}(1)^j\text{Tr}(\text{Frob}_𝔭^{};H_{\text{ét}}^j(Y_{\overline{K}},_l)).$$

Hence, by Proposition 4.2,

$$V=\underset{i=0}{\overset{dimX}{}}H_{\text{ét}}^{2i}(X_{\overline{K}},_l)\underset{j=0}{\overset{dimY1}{}}H_{\text{ét}}^{2j+1}(Y_{\overline{K}},_l)$$

and

$$W=\underset{i=0}{\overset{dimX1}{}}H_{\text{ét}}^{2i+1}(X_{\overline{K}},_l)\underset{j=0}{\overset{dimY}{}}H_{\text{ét}}^{2j}(Y_{\overline{K}},_l)$$

have the same semisimplifications as $`\text{Gal}(\overline{K}/K)`$-representations.

Fix a maximal ideal $`𝔭`$ of $`𝒪_K`$ outside $`S`$. Let $`V^{}`$ be a simple subquotient of $`V`$ as a $`\text{Gal}(\overline{K}/K)`$-representation. Then $`V^{}`$ comes from one of $`H_{\text{ét}}^i`$’s. By the Weil conjecture (§4.1), we can determine which cohomology group has $`V^{}`$ as a subquotient by looking at the complex absolute value of the eigenvalues of $`\text{Frob}_𝔭^{}`$ acting on $`V^{}`$. The same is true for $`W`$. Therefore, since $`H_{\text{ét}}^{2dimX}(X_{\overline{K}},_l)0`$ and $`H_{\text{ét}}^{2dimY}(Y_{\overline{K}},_l)0`$ by Poincaré duality, we have $`dimX=dimY`$. Moreover, for each $`i`$, we conclude that $`H_{\text{ét}}^i(X_{\overline{K}},_l)`$ and $`H_{\text{ét}}^i(Y_{\overline{K}},_l)`$ have the same semisimplifications as $`\text{Gal}(\overline{K}/K)`$-representations.

Now, take a maximal ideal $`𝔮`$ of $`𝒪_K`$ dividing $`l`$. Let $`F`$ be the completion of $`K`$ at $`𝔮`$. Fix an embedding $`\overline{K}\overline{F}`$. Then we have an inclusion $`\text{Gal}(\overline{F}/F)\text{Gal}(\overline{K}/K)`$. Since $`\overline{F}/\overline{K}`$ is an extension of algebraically closed fields of characteristic $`0l`$, by basic properties of étale cohomology, we have canonical isomorphisms $`H_{\text{ét}}^i(X_{\overline{K}},_l)H_{\text{ét}}^i(X_{\overline{F}},_l)`$ and $`H_{\text{ét}}^i(Y_{\overline{K}},_l)H_{\text{ét}}^i(Y_{\overline{F}},_l)`$ as $`\text{Gal}(\overline{F}/F)`$-representations, where $`\text{Gal}(\overline{F}/F)`$ acts on $`H_{\text{ét}}^i(X_{\overline{K}},_l)`$ and $`H_{\text{ét}}^i(Y_{\overline{K}},_l)`$ by restriction. Therefore, $`H_{\text{ét}}^i(X_{\overline{F}},_l)`$ and $`H_{\text{ét}}^i(Y_{\overline{F}},_l)`$ have the same semisimplifications as $`\text{Gal}(\overline{F}/F)`$-representations. By Corollary 4.5, we finally conclude that $`X`$ and $`Y`$ have equal Hodge numbers. ∎

###### Remark 4.7.

If we take a sufficiently large $`l`$ in the above proof, we can use the theorem of Fontaine-Messing (Remark 4.6, \[FM\]). Therefore, we don’t need the full version of Theorem 4.3 in this paper.

The following corollary is a variant of Proposition 1.2 in terms of zeta functions.

###### Corollary 4.8.

Let $`X`$ and $`Y`$ be proper smooth varieties over a number field $`K`$. If local zeta functions $`\zeta _𝔭(X,s)`$ and $`\zeta _𝔭(Y,s)`$ are the same for all but a finite number of maximal ideals $`𝔭`$ of $`𝒪_K`$, then $`X`$ and $`Y`$ have equal Hodge numbers:

$$dim_{}H^i(X,\mathrm{\Omega }_X^j)=dim_{}H^i(Y,\mathrm{\Omega }_Y^j)\text{for all}i,j.$$

###### Proof.

Let $`Z_𝔭(X,t)`$ be the Hasse-Weil zeta function of $`X`$ modulo $`𝔭`$ as in §4.1 for all but finitely many $`𝔭`$. Then $`\zeta _𝔭(X,s)=Z_𝔭(X,|𝒪_K/𝔭|^s)`$ by definition. The same is true for $`Y`$. Therefore, Corollary 4.8 is an immediate consequence of Proposition 1.2. ∎

###### Remark 4.9.

Here we note a practical difference between Proposition 1.2 and Proposition 4.1. In Proposition 4.1, it is sometimes possible to compute the Hasse-Weil zeta function $`Z(X,t)`$ and hence Betti numbers explicitly (for example, see \[We1\]). However, it seems very difficult to compute the number of rational points $`|𝔛(𝒪_K/𝔭)|`$ for all but finitely many $`𝔭`$ for $`X`$. Even if they are computed, there seems no way to compute Hodge numbers explicitly. Nevertheless, we expect that Proposition 1.2 has further interesting applications in algebraic geometry.

## 5. Proof of the main theorem

In this section, we give a proof of Theorem 1.1. By Proposition 2.1, it is enough to show the following statement on Hodge numbers of $`K`$-equivalent varieties.

###### Proposition 5.1.

Let $`X`$ and $`Y`$ be birational projective smooth algebraic varieties over $``$. Assume that $`X`$ and $`Y`$ are $`K`$-equivalent (see §2), then $`X`$ and $`Y`$ have equal Hodge numbers:

$$dim_{}H^i(X,\mathrm{\Omega }_X^j)=dim_{}H^i(Y,\mathrm{\Omega }_Y^j)\text{for all}i,j.$$

###### Proof.

Since $`X`$ and $`Y`$ are $`K`$-equivalent, there exists a projective smooth variety $`Z`$ over $``$ and proper birational morphisms $`f:ZX,g:ZY`$ such that $`f^{}K_X=g^{}K_Y`$. $`X,Y,Z,f,g`$ are defined over a subfield $`K^{}`$ of $``$ which is finitely generated over $``$. Take a number field $`K`$ and a variety $`T`$ over $`K`$ such that the function field $`K(T)`$ of $`T`$ is isomorphic to $`K^{}`$ over $`K`$. Then, we can take varieties $`X^{},Y^{},Z^{}`$ over $`K`$, morphisms $`X^{}T,Y^{}T,Z^{}T`$ over $`K`$, and morphisms $`f^{}:Z^{}X^{},g^{}:Z^{}Y^{}`$ over $`T`$ such that the generic fibers of $`X^{},Y^{},Z^{},f^{},g^{}`$ tensored with $``$ are $`X,Y,Z,f,g`$ respectively. Then, by shrinking $`T`$ if necessary, we may assume $`X^{},Y^{},Z^{}`$ are projective and smooth over $`T`$, $`f^{},g^{}`$ are proper birational morphisms, and $`f_{}^{}{}_{}{}^{}\mathrm{\Omega }_{X^{}/T}^n=g_{}^{}{}_{}{}^{}\mathrm{\Omega }_{Y^{}/T}^n`$, where $`n=dimX=dimY`$. Moreover, by replacing $`K`$ by its finite extension, we may assume $`T`$ has a $`K`$-rational point $`sT(K)`$. Since, for a proper smooth family of varieties in characteristic 0, all fibers have equal Hodge numbers (\[De1\], 5.5), we may replace $`X,Y,Z,f,g`$ by the fibers of $`X^{},Y^{},Z^{},f^{},g^{}`$ at $`s`$.

Therefore, by changing notation, we may assume $`X,Y,Z,f,g`$ are defined over a number field $`K`$. Take schemes of finite type $`𝔛,𝔜,`$ over $`𝒪_K`$ with generic fiber $`X,Y,Z`$. Let $`S`$ be a sufficiently large finite set of maximal ideals of $`𝒪_K`$ such that $`𝔛,𝔜,`$ are proper and smooth over $`𝔘=(\text{Spec}𝒪_K)\backslash S`$, and $`f:ZX,g:ZY`$ extend to proper birational morphisms $`\stackrel{~}{f}:_{𝒪_K}𝔘𝔛_{𝒪_K}𝔘,\stackrel{~}{g}:_{𝒪_K}𝔘𝔜_{𝒪_K}𝔘`$ over $`𝔘`$ satisfying $`\stackrel{~}{f}^{}\mathrm{\Omega }_{(𝔛_{𝒪_K}𝔘)/𝔘}^n=\stackrel{~}{g}^{}\mathrm{\Omega }_{(𝔜_{𝒪_K}𝔘)/𝔘}^n`$.

Then for a maximal ideal $`𝔭`$ of $`𝒪_K`$ outside $`S`$, the completion of $`𝔛,𝔜,,\stackrel{~}{f},\stackrel{~}{g}`$ at $`𝔭`$ satisfy the condition of Proposition 3.3. Therefore, we have $`|𝔛(𝒪_K/𝔭)|=|𝔜(𝒪_K/𝔭)|`$ for all $`𝔭S`$. By Proposition 1.2, we conclude that $`X`$ and $`Y`$ have equal Hodge numbers. ∎


text:
# 1 The level density of the RNS model. The points are from ref. []; the continuous curve is the best fit to the level density as explained in the text.

JHU-TIPAC-020020

June 2002

Low Scale String Unification and the Highest Energy Cosmic Rays111Paper submitted to ICHEP2002, Amsterdam
William S. Burgetta, G. Domokosb and S. Kovesi-Domokosb

a Department of Physics, University of Texas at Dallas;

e-mail: burgett@utdallas.edu

b Department of Physics and Astronomy, The Johns Hopkins University;

e-mail: skd@jhu.edu

Abstract. String unification at a scale of a few tens of TeV explains the existence of cosmic ray interactions beyond the Greisen-Zatsepin-Kuzmin (GZK) cutoff. Trans-GZK cosmic rays are neutrinos which can penetrate the cosmic microwave background. In interactions with atmospheric nuclei they have sufficient energy for exciting string modes. We present a model for the description of such interactions and discuss the properties of the resulting extensive air showers. Presently available data on trans-GZK cosmic rays suggest a string scale around 80 TeV.

It has been realized by Witten  some time ago that in certain strongly coupled string models, the multidimensional (d=10 or 11) string scale and the four dimensional Planck scale are less rigidly coupled than it was previously believed. This insight gave rise to a flurry of papers: several authors pointed out that in such a scenario, the string scale could be of the order of a few TeV see for the original papers. Hence, even experiments at the LHC could provide some evidence for the existence of extra dimensions and string excitations. Along the same lines, we pointed out that in such a scenario the problem of the trans-GZK cosmic ray interactions may be resolved assuming that they are caused by high energy neutrinos . In fact, a neutrino penetrates the cosmic microwave background radiation (CMBR) essentially uninhibited. The CMS energy in a collision with a CMBR photon is of the order of 100 MeV: the interaction mfp in the collision is essentially infinite. By contrast, in an interaction with a nucleus in the atmosphere, the CMS energy is of the order of a few hundred TeV: hence, string modes are excited and the cross section grows to a hadronic size.

Currently there is no string model known to be in agreement with experimental data. In particular, it is hard to calculate within the framework of a strongly coupled theory222By means of an explicit calculation, it was shown that weakly coupled string models cannot explain the trans-GZK cosmic ray interactions, cf  and . For this reason, we abstract features of current models which are likely to be present in future, phenomenologically successful theories.

The following basic ingredients are used:

* Unitarity of the $`S`$-matrix.
* A rapidly rising level density of resonances in dual models.
* Unification of interactions at around the string scale, hereafter denoted by $`M`$.
* Duality between resonances in a given channel and Regge exchanges in crossed channels.

Concerning the last item, it should be kept in mind that duality between resonances and Regge poles is exact only in the tree approximation to a string amplitude. It is unclear what the precise form of a generalization to world sheets of higher genus is: probably, resonances of finite width are dual to Regge cuts. Thus, our formulæ are likely to be valid to logarithmic accuracy. Using these ingredients and the optical theorem, one obtains that the total cross section in a neutrino-parton interaction is333All energies are assumed to be large compared to the rest energies of the incoming particles:

$$\widehat{\sigma }(\widehat{s})=\frac{8\pi }{\widehat{s}}\underset{j}{\overset{N\left(\widehat{s}\right)}{}}(2j+1)\left(1\eta _j\mathrm{cos}\left(2\delta _j\right)\right),$$
(1)
where, as usual, $`\eta `$ and $`\delta `$ stand for the elasticity coefficient and phase shift of a given partial wave, respectively. The quantity $`N\left(\widehat{s}\right)`$ is the level of the resonance, equal to the maximal angular momentum.

For elastic resonances, $`\eta =1`$ and $`\delta \pi /2`$ within the width of the resonance. In that case, on resonance the total cross section is just proportional to the number of states at a given level. Due to the finite widths of resonances in any realistic model, it makes sense to average the cross section over an energy interval comparable to the widths of the resonances. In such an approximation, one can introduce the density of states, $`d\left(\widehat{s}\right)`$ and regard $`N`$ a continuous variable, such that $`N\widehat{s}/M`$444In the last formula, the Regge intercept has been neglected. However, we shall see shortly that the excitations begin to contribute significantly to the cross section for $`N10`$ or so; hence this approximation is justified.. Using this, one gets from eq. (1):

$$\widehat{\sigma }\frac{16\pi }{\widehat{s}}d\left(\widehat{s}\right)$$
(2)
Clearly, as inelastic channels open up, the elasticity coefficients in eq. (1) become less than unity and eq. (2) is no longer valid. Without any detailed knowledge of the inelastic channels (world sheets of a higher genus in present day string models), one can estimate the behavior of the cross section as $`\widehat{s}\mathrm{}`$. Duality tells us that the leptoquark excitations should be dual to the exchange of the $`Z`$-trajectory in the $`t`$-channel. Hence, apart from logarithmic corrections,

$$\widehat{\sigma }\widehat{s}^{(\alpha (0)1)},$$
(3)
where $`\alpha (0)`$ is the intercept (branch point, respectively) of the $`Z`$ trajectory. Apart from corrections of the order of $`(M_Z/M)^2`$, one has $`\alpha (0)=1`$, so that the neutrino-parton cross section tends to a constant. (We verify a posteriori that $`M_Z/M1`$, so that the power corrections to the cross section are insignificant at all energies of interest.)

The level density is a rapidly rising function of $`\widehat{s}`$. It is known that asymptotically it rises as $`\mathrm{exp}(a\sqrt{\widehat{s}/M})`$, with $`a`$ being some constant; see, for instance . At the beginning of the spectrum, however, the rise is more rapid. The first few levels of the RNS model ( (loc.cit)can be well interpolated by the function

$$d(N)\mathrm{exp}1.24N,N\widehat{s}/M,$$
(4)
see Figure 1. In this figure, the points have been calculated from the generating function of the level density,  eq. (4.3.64). Other string models exhibit a similar rapid rise of the level density.

Due to one’s inability to carry out detailed calculations in a strongly coupled string model, we chose to interpolate between the low excitation regime, eq (2) and the asymptotic one, eq.(3. There are infinitely many functions, of course, interpolating between those limits: we were guided by a requirement of simplicity. Having experimented with a number of functional forms, we came to the conclusion that, after averaging over the parton distribution within the nucleon, the results are rather insensitive to the precise form of the $`\nu `$-quark cross section. For that reason, we chose a simple form satisfying the limits at low and high excitations:

$$\widehat{\sigma }=\mathrm{\Theta }\left(\widehat{s}M^2\right)\frac{16\pi }{M^2}\frac{40\mathrm{exp}1.24N_0}{1+\frac{\widehat{s}}{M^2}\mathrm{exp}1.24\left(N_0\widehat{s}/M^2\right)}$$
(5)
In eq. (5), $`M`$ is the string scale and $`N_0`$ is a parameter measuring the onset of the “new physics”. In fact, one can convert that dimensionless parameter into an energy scale. Using our previous relations, one can write $`N_0\widehat{s_0}/M`$, or in terms of a laboratory energy of the incoming neutrino, $`N_02m\widehat{E_0}/M`$, $`m`$ being the mass of the nucleon. In all these equations, the “hat” over the energies involved serves as a reminder that the quantities have to be integrated over the parton distribution. As usual, the conversion is carried out by means of substitutions such as, $`\widehat{s}=xs`$ $`x`$ being the momentum fraction of a parton within the nucleon. The step function is inserted because the cross section of the “new physics” vanishes at CM energies below the mass of the first resonance.

Finally, the neutrino-nucleon cross section has to be constructed by integrating eq. (5) over the parton distribution in the atmosphere. In order to do so, one takes into account the fact that the dominant nuclei in the atmosphere (N, O) contain an equal number of protons and neutrons. The parton distributions have been taken from CTEQ6, . The dominant contribution comes from valence quarks; gluons do not contribute, since no presently known unification scheme contains “leptogluons”. Finally, the contribution of the sea is negligibly small, since the latter is concentrated around $`x=0`$.

With the limited amount of information currently available on trans-GZK cosmic ray interactions, it is impossible to precisely determine the two parameters entering eq. (5). Nevertheless, the parameters can be bounded by the data. From a qualitative point of view, the limitations come from the facts that

* No deep showers have been observed by Fly’s Eye and HiRes.
* The trans-GZK showers reported by AGASA, Fly’s Eye and Hi Res appear to be “hadron-like”, i.e. they originate high in the atmosphere and appear to exhibit a development resembling proton induced showers.

Those constraints were analyzed by Sigl et al. and Weiler, . In essence, the absence of deep showers excludes a region of the neutrino cross section, approximately, 0.02mb $`\sigma `$ 1mb. The cross section has to grow to roughly hadronic size around the “ankle” in the cosmic ray spectrum, approximately at $`5\times 10^{19}`$eV and stay of this size or grow slightly. Unless these conditions are satisfied, the neutrino model of trans-GZK cosmic rays fails.

A search of the parameter space yields reasonable values for $`E_0`$ and $`M`$: $`E_05\times 10^{10}`$GeV and $`M80`$TeV gives a cross section which is rising sufficiently rapidly: thus it avoids the deep shower bound and at the same time, it gives sufficiently large cross sections in the trans-GZK energy region. These values of $`E_0`$ and $`M`$ give $`N_015.6`$ confirming the intuitive expectation. The neutrino-nucleon cross section with these values of the parameters is shown in Fig. (2).

It is to be remarked that, due to the exponential dependence of eq. (5) on the parameters, one cannot vary their values over a broad range without getting a contradiction either with the bound on deep showers and/or with the required value of the cross section for trans-GZK showers.

Neutrino induced showers were simulated using the ALPS (Adaptive Longitudinal Profile Simulation) Monte Carlo package authored by Paul T. Mikulski,. Similarly to earlier studies, see, e.g.  it was assumed that quarks and leptons are created in comparable numbers in an interaction as long as the CM energy of an interaction remains above $`M`$. Once the energy drops below $`M`$, the usual Standard Model cross sections govern the further development of the shower. A qualitative consequence of this feature is that, statistically, neutrino induced showers exhibit larger fluctuations than proton induced ones, see 555This is a consequence of the fact that, once in the standard model regime, leptonic interactions have a lower average multiplicity than hadronic ones.. Detailed results of such a simulation are deferred to a forthcoming publication. Here we show an important characteristic of the model: the depth of the initial interaction and its rms deviation.

It is clear from Fig. 3 that once the cross section becomes larger than about 20 mb or so, the shower starts high in the atmosphere. Hence, on an event by event basis, such showers are virtually indistinguishable from hadron induced showers. One will be able to test the validity of the scenario outlined here by a statistical study of the events observed in future detectors, such as EUSO, OWL and the Pierre Auger Observatory.


text:
# 1 The schematic plot of the exchange coupling (bonds represents ϵ_{𝛼𝛽}=1) modulation. The system contains 16 dots, each of them consists of 25 spins.

NEURAL NETWORK ANALYSIS OF THE MAGNETIZATION REVERSAL IN MAGNETIC DOT ARRAYS

Martin GMITRA and Denis HORVÁTH

Department of Theoretical Physics and Astrophysics, Faculty of Natural Science
University of P.J.Šafárik, Moyzesova 16, 040 01 Košice, tel. 055/622 22 21,
E-mails: gmitra@host.sk, horvath@kosice.upjs.sk

SUMMARY

We simulated the remagnetization dynamics of the ultra-dense and ultra-thin magnetic dot array system with dipole-dipole and exchange coupling interactions. Within the proposed 2D XY superlattice model, the square dots are modeled by the spatially modulated exchange-couplings. The dipole-dipole interactions were approximated by the hierarchical sums and dynamics was reduced to damping term of the Landau-Lifshitz-Gilbert equation. The simulation of $`40000`$ spin system leads to nonequilibrium nonuniform configurations with soliton-antisoliton pairs detected at intra-dot and inter-dot scales. The classification of intra-dot magnetic configurations was performed using the self-adaptive neural networks with varying number of neurons.

$`𝑲𝒆𝒚𝒘𝒐𝒓𝒅𝒔\mathbf{:}`$ dot array, neural network model, XY model, numerical simulation

1. INTRODUCTION

Many interesting applications of the periodic magnetic dot arrays are expected in the field of the magnetic recording  and magnetic sensors. The typical properties brought by the array geometry is the limited length of the spin chains coupled by the exchange coupling and the uniqueness of the magnetostatic interactions at the scales comparable or larger than dot size.

The powerful tools to study the static and dynamic properties of magnetic nanostructures including the thin films and isolated small particles represent micromagnetic , and Monte Carlo  simulations. They are focussed to the analysis of the nonuniform magnetization states. On a purely qualitative level the intra-dot nonuniformities can be characterized as a mixtures of vortices, flowers, domain walls, etc.. Our recent activity is related to the search for the tools allowing the systematic classification of the simulated magnetic structures.

The methodology presented in this paper is inspired by the progress in the theory of artificial neural networks, that are nonlinear models suitable to reduce, classify or interpolate the information involved in the systems of the complex patterns . In the previous paper  we suggested the implementation of radial basis function networks to model the magnetic dot array magnetization processes. The lack of this proposition was the absence of the network learning which needs the data support from physically acceptable micromodel simulations.

The above reasons led us to make some progress towards the opposite direction by using the neural network analysis of the configurations generated by the remagnetization processes described by the XY superlattice model of the ultra-dense array of the square dots limited to in-plane spin polarization. The motivation for the study of ultra-dense spin structures is the special interest for the interfacial inter-dot effects. The experimental studies of the magnetization reversal are generally not in agreement with the familiar model of coherent rotation. Instead, complex processes such as curling and buckling are observed. The model structures were obtained by simulations based on the numerical solving of Landau-Lifshitz-Gilbert equation. The simulations bring the usual problem of effective data post-processing . In the present paper the data were treated by means of so called adaptive resonance neural network ART, which is introduced in section 3. This tool was used to classify the intra-dot magnetic configurations, which are the transients of the magnetization reversal process. The ART choice is connected with its ability to vary the number of neurons (network topology) according to complexity of treated inputs, which are in our case activated by the intra-dot magnetic configurations. In the section 4 we concentrate to the analysis of data provided by the simulated magnetization reversal.

2. XY MODEL OF ULTRA-DENSE
ARRAY

The details of the remagnetization dynamics are studied by means of the model of finite magnetic superlattice system described by the XY spin Hamiltonian

$$\begin{array}{c}=\frac{K}{2}\underset{\genfrac{}{}{0pt}{}{\alpha ,\beta }{\xi ,\zeta =x,y}}{}S_\alpha ^\xi D_{\alpha \beta }^{\xi \zeta }S_\beta ^\zeta \hfill \\ \hfill \frac{J}{2}\underset{\alpha ,\beta }{}ϵ_{\alpha ,\beta }𝐒_\alpha 𝐒_\beta H\underset{\alpha }{}𝐒_\alpha 𝐞_x\end{array}$$
(1)
The first sum of Eq.(1) represents the dipolar contribution controlled by the constant $`K`$, where $`𝐒_\alpha `$ ($`|𝐒_\alpha |=1`$) is the planar spin variable and $`D_{\alpha \beta }^{\xi \zeta }`$ is the demagnetization tensor of superlattice; $`\alpha ,\beta `$ are site indices. The second sum represents the exchange energy contribution with periodically modulated nearest-neighbor exchange coupling interaction $`Jϵ_{\alpha \beta }`$, where $`ϵ_{\alpha \beta }\{0,1\}`$ (see Fig. 1). The third sum represents standard Zeeman term where $`𝐞_x`$ is the Cartesian unit vector oriented along the main axis of superlattice. Presented model belongs to the idealized structure, where the patterning attains the maximum geometric filling independent of dot size ($`L_0`$ linear size of dot).

The model dynamics was described by the Landau-Lifshitz-Gilbert equation, that in 2D case reduces to relaxation term. The numerical integration scheme was derived from the recursive propagator form

$$𝐒_\alpha (t+\mathrm{\Delta }t)=\widehat{𝐔}\left(_t^{t+\mathrm{\Delta }t}\omega _\alpha (\tau )\text{d}\tau \right)𝐒_\alpha (t),$$
(2)
where $`\omega _\alpha (t)=(𝐒_\alpha (t)𝐞_x)(𝐡_\alpha (t)𝐞_y)(𝐒_\alpha (t)𝐞_y)(𝐡_\alpha (t)𝐞_x)`$ is the instant angular frequency of the spin rotation, $`𝐡_\alpha (t)=\delta /\delta S_\alpha `$ is the local effective field; $`t`$ is the time, $`\mathrm{\Delta }t`$ is the integration step. The unitarity of the spin rotation matrix

$$\widehat{𝐔}(\phi )=\left(\begin{array}{cc}\mathrm{cos}\phi \hfill & \hfill \mathrm{sin}\phi \\ \mathrm{sin}\phi \hfill & \hfill \mathrm{cos}\phi \end{array}\right)$$
(3)
implies that numerical integration scheme conserves the spin vector size independently of additional approximation of integral in Eq.(2). The computationally demanding task of the integration is the calculation of the dipolar fields, where essential reduction brings the hierarchical summation . In the case of array, the most natural hierarchy level choice is the block association with the single intra-dot moment.

3. THE ART CLASSIFICATION OF
INTRA-DOT CONFIGURATIONS

The artificial neural network models are inspired by the physiology, and mimic the neurons and synaptic connections of a brain. They can be considered as mappings  constructed from given activation functions. The unknown parameters of these functions called synaptic weights are adjusted by training. The fascinating feature of the neural systems is the associative recognition of complex structures. In this paper we deal with the ART networks developed by Carpenter and Grossberg , originally as a model to explain the adaptive phenomena in visual systems. The family of ART algorithms belongs to group of unsupervised learning algorithms based on the theory of adaptive resonance motivated by the need to construct network sufficiently flexible to novel inputs and preserving previously learned patterns. ART model represents simple clustering algorithm, which has been complemented with the ability to generate new neurons if necessary. This is done by using a so called vigilance parameter. For the summary of the key results and examples of ART network applications see e.g.

These properties led us to the opinion that ART network should be powerful to classify and compress the magnetic intra-dot configurations generated during the reversal. First, we must encode the magnetic structure into network input format. We used encoding, where each dot magnetization field is replaced by $`N_\mathrm{c}`$ effective magnetic moments located at interaction centers. The moments income into $`2N_\mathrm{c}`$ dimensional vectors  named as $`\stackrel{~}{m}_i`$, where $`i`$ is the dot label. The vectors $`\stackrel{~}{m}_i`$ represent inputs of ART which compresses this information into $`N_\mathrm{w}`$ output neurons named $`\stackrel{~}{w}_j`$. Their structure is

$`\stackrel{~}{m}_i`$ $``$ $`[𝐦_{i1},𝐦_{i2},\mathrm{},𝐦_{iN_\mathrm{c}}]`$
$`\stackrel{~}{w}_j`$ $``$ $`[𝐰_{j1},𝐰_{j2},\mathrm{},𝐰_{jN_\mathrm{c}}]`$
where $`i\{1,2,\mathrm{}N_\mathrm{d}\}`$, $`j\{1,2,\mathrm{}N_\mathrm{w}\}`$ and

$$𝐦_{in}=\frac{1}{N_\mathrm{S}}\underset{l\mathrm{}_{in}}{}𝐒_l,$$
(4)
index $`n`$ enumerates the spin blocks; $`𝐦_{in}`$ represents locally averaged dot microstate over the $`N_\mathrm{S}`$ spins (see Fig. 1) belonging to the square element $`\mathrm{}_{in}`$ of $`i`$th dot. The match between ART input $`\stackrel{~}{m}_i`$ and output $`\stackrel{~}{w}_j`$ is measured by the ”magnetic” Euclidean distance

$$\stackrel{~}{w}_j\stackrel{~}{m}_i=\sqrt{\underset{n=1}{\overset{N_\mathrm{c}}{}}(𝐰_{jn}𝐦_{in})(𝐰_{jn}𝐦_{in})^\mathrm{T}}$$
(5)
($`\mathrm{T}`$ is superscript denotes the transposition).

The learning algorithm is described in the following points

1. Initialization setting $`N_\mathrm{w}=1`$, $`\stackrel{~}{w}_1=\stackrel{~}{m}_i`$ for random selection $`i\{1,2,\mathrm{}N_\mathrm{d}\}`$.
2. Loop through the set of the intra-dot magnetic patterns. For each randomly selected dot $`i`$ follows:
3. Presentation $`\stackrel{~}{m}_i`$ to the network. The learning is repeated for iteration steps $`k=1,2,\mathrm{}`$
4. Computing of the actual index $`j^{}(k,i)`$ of the winning neuron $`\stackrel{~}{w}_{j^{}(k,i)}(k)`$ trained by $`\stackrel{~}{m}_i`$ according to the competitive rule

$$\begin{array}{ccc}\hfill j^{}(k,i)=& \text{arg\hspace{0.17em} min}& \stackrel{~}{w}_j(k)\stackrel{~}{m}_i\hfill \\ & ^{j=1,2,\mathrm{},N_\mathrm{w}}& \end{array}$$
(6)
5. Comparing $`\stackrel{~}{w}_{j^{}(k,i)}(k)\stackrel{~}{m}_i`$ to the vigilance parameter $`\rho `$.
6. Update of the weights via the Hebbian learning rule

$$\begin{array}{c}\stackrel{~}{w}_{j^{}(k,i)}(k+1)=\stackrel{~}{w}_{j^{}(k,i)}(k)+\hfill \\ \hfill \eta (k)\left(\stackrel{~}{m}_i\stackrel{~}{w}_{j^{}(k,i)}(k)\right),\end{array}$$
(7)
is applied if $`\stackrel{~}{w}_{j^{}(k,i)}\stackrel{~}{m}_i\rho `$ with the $`k`$-dependent learning rate parameter $`\eta (k)=\eta _0\mathrm{exp}\left(k/\tau _{\mathrm{learn}}\right)`$.
7. Creation of the new neuron $`\stackrel{~}{w}_{N_\mathrm{w}+1}\stackrel{~}{m}_i`$, $`N_\mathrm{w}N_\mathrm{w}+1`$ if $`\stackrel{~}{w}_{j^{}(k,i)}(k)\stackrel{~}{m}_i>\rho `$.
8. Annihilation of the neuron pair $`[\stackrel{~}{w}_{z_1^{}}(k),\stackrel{~}{w}_{z_2^{}}(k)]`$, $`z_1^{}<z_2^{}`$ selected according to relation

$$\begin{array}{ccccc}\hfill [z_1^{},z_2^{}]=& \text{arg \hspace{0.17em}min}& \stackrel{~}{w}_{z_1}\stackrel{~}{w}_{z_2}\hfill & & \\ & ^{z_1,z_2}& & & \end{array}$$
(8)
if $`\stackrel{~}{w}_{z_1^{}}\stackrel{~}{w}_{z_2^{}}<\rho `$.

The product of annihilation $`[z_1^{},z_2^{}]z_1^{}`$, $`N_\mathrm{w}N_\mathrm{w}1`$ is the neuron $`\stackrel{~}{w}_{z_1^{}}`$ determined by the midpoint rule $`\stackrel{~}{w}_{z_1^{}}\frac{1}{2}(\stackrel{~}{w}_{z_1^{}}+\stackrel{~}{w}_{z_2^{}})`$. After $`\stackrel{~}{w}_{z_1^{}}`$ update $`\stackrel{~}{w}_{j>z_2^{}}`$ neurons undergo to collapse: $`\stackrel{~}{w}_{j1}\stackrel{~}{w}_j`$.
9. Stop criterion is represented by the inequality

$$\frac{1}{N_\mathrm{d}}\underset{i=1}{\overset{N_\mathrm{d}}{}}\stackrel{~}{w}_{j^{}(k,i)}(k+1)\stackrel{~}{w}_{j^{}(k,i)}(k)<\epsilon ,$$
(9)
where $`\epsilon `$ is small parameter. If the above inequality is not fulfilled the algorithm follows from the step 2 with $`k`$ incremented by $`1`$.

The fulfillment of the last criterion means that network attains a fixed point. By this way fixed neurons $`w_j,j=1,2,\mathrm{},N_\mathrm{w}`$ represent the collection of the basic types of the extracted intra-dot configurations. In the case of magnetization reversal, the ART network has been applied independently to arrays at different time steps. The typical intra-dot and inter-dot remagnetization transient states are presented in the next section.

4. RESULTS OF SIMULATION

The computations were performed for system of 100 dots which each dot consists of 400 spins in external field $`H/J=1`$ and $`K/J=0.1`$ with initial saturated state $`𝐌(t=0)𝐞_x=1`$, where $`𝐌`$ is the magnetization of array.

In the array simulations we observed the homogeneously magnetized dots as well as dots showing the nonuniform remagnetization. At the beginning of reversal the opposite external magnetic field forms domain nucleation centers at the dot corners. The domains inclined by the external field then grow and pass towards the dot centers by diminishing the area of the opposite domains. If the same polarity domains originating at different parts (corners or edges) of the dot are separated by the domain of opposite polarity, the domain growth causes the formation of two-fold domain wall - so called soliton-antisoliton pairs .

The homogenization of intrinsic dot region is attained by the driving effect of external magnetic field which leads to wall motion annihilating the soliton-antisoliton pairs (see model Fig. 1). The coherent rotation occurs only at the early stages of the remagnetization for the sufficiently small dots when the exchange length is sufficiently greater than size of dot. This coherence locates nearly the corners of array. The formation of the soliton-antisoliton domain walls is typical for the central parts of the array and later stages of the remagnetization.

The main point of analysis of intra-dot magnetization configurations deals with the implementation of ART network treating the subsequent stages of the remagnetization. The ART training was realized for the configurations at times separated by the time step $`\mathrm{\Delta }t`$ for training parameters $`\eta _0=0.1`$, $`\tau _{\mathrm{learn}}=20`$ and $`\epsilon =10^6`$, $`\rho =1.15`$. The optimized choice of vigilance ($`\rho =1.15`$) stems from the preliminary quasistatic calibration simulations (see Fig. 1), where vigilance was slowly decreased from the initial large value $`\rho =1.5`$ (stabilizing one neuron) to the small values pushing the network to the incorporation of many neurons. The view point mediated by ART leads to the intra-dot taxonomy depicted by Fig. 1, where the nearest neurons \[in the sense of distance Eq.(5)\] belonging to different times are connected by arrows. The ART model clearly distinguishes between coherently rotating monodomain dots and

dots including complex domains structures. The increasing diversity of configurations occurring immediately after the switching time is self-adaptively reflected by the extended population of neurons. The ART compression for later reversal transient states is clearly caused by the small intra-dot diversity within the array. The details can be studied by means of the parameter $`\rho `$, which represents the virtual ”magnifying glass” capable to focus to the most interesting final intra-dot transients (see Fig. 1 for $`\rho =0.8`$).

5. CONCLUSIONS

The magnetization reversal has been simulated for superlattice model of ultra-dense magnetic dot array. Results of ART classification demonstrated that details of reversal are determined by the interplay of exchange and magnetostatic couplings, inter-dot domain wall couplings and finite-size effects. The consequence of periodic exchange-coupling cuts is the formation of intra-dot soliton-antisoliton pairs.

The neural network is a new type of model which allow studying of systems with many interacting pieces. We have shown that ART diagrammatic viewpoint is helpful in thinking how a dot switches from one state to another within the large time intervals, and how to extract the typical channels of intra-dot evolution. The computational experience creates also believe that advantages of ART paradigm should be valued namely in 3D case, where visual classification meets human recognition bounds.

ACKNOWLEDGMENT

The work was supported by the grant No. 1/6020/99 (Slovak Grant Agency).