Locally nilpotent derivation

In mathematics, a derivation \partial of a commutative ring A is called a locally nilpotent derivation (LND) if every element of A is annihilated by some power of \partial.

One motivation for the study of locally nilpotent derivations comes from the fact that some of the counterexamples to Hilbert's 14th problem are obtained as the kernels of a derivation on a polynomial ring.{{cite web |last=Daigle |first=Daniel |title=Hilbert's Fourteenth Problem and Locally Nilpotent Derivations |url=http://aix1.uottawa.ca/~ddaigle/articles/H14survey.pdf |website=University of Ottawa |access-date=11 September 2018}}

Over a field k of characteristic zero, to give a locally nilpotent derivation on the integral domain A, finitely generated over the field, is equivalent to giving an action of the additive group (k,+) to the affine variety X = \operatorname{Spec}(A). Roughly speaking, an affine variety admitting "plenty" of actions of the additive group is considered similar to an affine space.{{cite journal| last1=Arzhantsev|first1=I.|last2=Flenner|first2=H.|last3=Kaliman|first3=S.|last4=Kutzschebauch|first4=F.| last5=Zaidenberg|first5=M.|title=Flexible varieties and automorphism groups|journal=Duke Math. J.|date=2013|volume=162| issue=4|pages=767–823|doi=10.1215/00127094-2080132|arxiv=1011.5375|s2cid=53412676 }}

Definition

Let A be a ring. Recall that a derivation of A is a map \partial\colon\, A\to A satisfying the Leibniz rule \partial (ab)=(\partial a)b+a(\partial b) for any a,b\in A . If A is an algebra over a field k, we additionally require \partial to be k-linear, so k\subseteq \ker \partial.

A derivation \partial is called a locally nilpotent derivation (LND) if for every a \in A, there exists a positive integer n such that \partial^{n}(a)=0.

If A is graded, we say that a locally nilpotent derivation \partial is homogeneous (of degree d) if \deg \partial a=\deg a +d for every a\in A.

The set of locally nilpotent derivations of a ring A is denoted by \operatorname{LND}(A). Note that this set has no obvious structure: it is neither closed under addition (e.g. if \partial_{1}=y\tfrac{\partial}{\partial x}, \partial_{2}=x\tfrac{\partial}{\partial y} then \partial_{1},\partial_{2}\in \operatorname{LND}(k[x,y]) but (\partial_{1}+\partial_{2})^{2}(x)=x, so \partial_{1}+\partial_{2}\not\in \operatorname{LND}(k[x,y])) nor under multiplication by elements of A (e.g. \tfrac{\partial}{\partial x}\in \operatorname{LND}(k[x]), but x\tfrac{\partial}{\partial x}\not\in\operatorname{LND}(k[x])). However, if [\partial_{1},\partial_{2}]=0 then \partial_{1},\partial_{2}\in \operatorname{LND}(A) implies \partial_{1}+\partial_{2}\in \operatorname{LND}(A) and if \partial\in \operatorname{LND}(A), h\in\ker\partial then h\partial\in \operatorname{LND}(A).

Relation to {{math|'''G'''<sub>''a''</sub>}}-actions

Let A be an algebra over a field k of characteristic zero (e.g. k=\mathbb{C}). Then there is a one-to-one correspondence between the locally nilpotent k-derivations on A and the actions of the additive group \mathbb{G}_{a} of k on the affine variety \operatorname{Spec} A, as follows.{{cite book|last1=Freudenburg|first1=G.|title=Algebraic theory of locally nilpotent derivations|date=2006|publisher=Springer-Verlag|location=Berlin| isbn=978-3-540-29521-1| citeseerx=10.1.1.470.10}}

A \mathbb{G}_{a}-action on \operatorname{Spec} A corresponds to a k-algebra homomorphism \rho\colon A\to A[t]. Any such \rho determines a locally nilpotent derivation \partial of A by taking its derivative at zero, namely \partial=\epsilon \circ \tfrac{d}{dt}\circ \rho, where \epsilon denotes the evaluation at t=0.

Conversely, any locally nilpotent derivation \partial determines a homomorphism \rho\colon A\to A[t] by \rho = \exp (t\partial)=\sum_{n=0}^{\infty}\frac{t^{n}}{n!}\partial^{n}.

It is easy to see that the conjugate actions correspond to conjugate derivations, i.e. if \alpha\in \operatorname{Aut} A and \partial\in \operatorname{LND}(A) then \alpha\circ\partial \circ \alpha^{-1}\in \operatorname{LND}(A) and \exp(t\cdot \alpha\circ\partial \circ \alpha^{-1})=\alpha \circ \exp(t\partial)\circ \alpha^{-1}

The kernel algorithm

The algebra \ker \partial consists of the invariants of the corresponding \mathbb{G}_{a}-action. It is algebraically and factorially closed in A. A special case of Hilbert's 14th problem asks whether \ker \partial is finitely generated, or, if A=k[X], whether the quotient X/\!/\mathbb{G}_{a} is affine. By Zariski's finiteness theorem,{{cite journal|last1=Zariski|first1=O.|title=Interprétations algébrico-géométriques du quatorzième problème de Hilbert|journal=Bull. Sci. Math. (2)|date=1954|volume=78|pages=155–168}} it is true if \dim X\leq 3. On the other hand, this question is highly nontrivial even for X=\mathbb{C}^{n}, n\geq 4. For n\geq 5 the answer, in general, is negative.{{cite journal|last1=Derksen|first1=H. G. J.|title=The kernel of a derivation|journal=J. Pure Appl. Algebra|date=1993|volume=84|issue=1|pages=13–16|doi=10.1016/0022-4049(93)90159-Q|doi-access=free}} The case n=4 is open.

However, in practice it often happens that \ker\partial is known to be finitely generated: notably, by the Maurer–Weitzenböck theorem,{{cite journal|last1=Seshadri|first1=C.S.|title=On a theorem of Weitzenböck in invariant theory|journal=J. Math. Kyoto Univ.|date=1962|volume=1|issue=3|pages=403–409|doi=10.1215/kjm/1250525012|url=https://projecteuclid.org/download/pdf_1/euclid.kjm/1250525012|doi-access=free}} it is the case for linear LND's of the polynomial algebra over a field of characteristic zero (by linear we mean homogeneous of degree zero with respect to the standard grading).

Assume \ker \partial is finitely generated. If A=k[g_1,\dots, g_n] is a finitely generated algebra over a field of characteristic zero, then \ker\partial can be computed using van den Essen's algorithm,{{cite book|last1=van den Essen|first1=A.|title=Polynomial automorphisms and the Jacobian conjecture|date=2000|publisher=Birkhäuser Verlag|location=Basel|isbn=978-3-7643-6350-5|doi=10.1007/978-3-0348-8440-2|s2cid=252433637 }} as follows. Choose a local slice, i.e. an element r\in \ker \partial^{2}\setminus \ker \partial and put f=\partial r\in \ker\partial. Let \pi_{r}\colon\, A\to (\ker \partial)_{f} be the Dixmier map given by \pi_{r}(a)=\sum_{n=0}^{\infty}\frac{(-1)^{n}}{n!}\partial^{n}(a)\frac{r^{n}}{f^{n}}. Now for every i=1,\dots, n, chose a minimal integer m_{i} such that h_{i}\colon = f^{m_{i}}\pi_{r}(g_{i})\in \ker\partial, put B_{0}=k[h_{1},\dots, h_{n},f]\subseteq \ker \partial, and define inductively B_{i} to be the subring of A generated by \{h\in A: fh\in B_{i-1}\}. By induction, one proves that B_{0}\subset B_{1}\subset \dots \subset\ker \partial are finitely generated and if B_{i}=B_{i+1} then B_{i}=\ker \partial, so B_{N}=\ker \partial for some N. Finding the generators of each B_{i} and checking whether B_{i}=B_{i+1} is a standard computation using Gröbner bases.

Slice theorem

Assume that \partial\in\operatorname{LND}(A) admits a slice, i.e. s\in A such that \partial s=1. The slice theorem asserts that A is a polynomial algebra (\ker\partial) [s] and \partial=\tfrac{d}{ds}.

For any local slice r\in\ker\partial \setminus \ker\partial^{2} we can apply the slice theorem to the localization A_{\partial r}, and thus obtain that A is locally a polynomial algebra with a standard derivation. In geometric terms, if a geometric quotient \pi\colon\,X\to X//\mathbb{G}_{a} is affine (e.g. when \dim X\leq 3 by the Zariski theorem), then it has a Zariski-open subset U such that \pi^{-1}(U) is isomorphic over U to U\times \mathbb{A}^{1}, where \mathbb{G}_{a} acts by translation on the second factor.

However, in general it is not true that X\to X//\mathbb{G}_{a} is locally trivial. For example,{{cite journal|last1=Deveney|first1=J.|last2=Finston|first2=D.|title=A proper \mathbb{G}_{a}-action on \mathbb{C}^{5} which is not locally trivial|journal=Proc. Amer. Math. Soc.|date=1995|volume=123|issue=3|pages=651–655| doi=10.1090/S0002-9939-1995-1273487-0 |doi-access=free|jstor=2160782}} let \partial=u\tfrac{\partial}{\partial x}+v\tfrac{\partial}{\partial y}+(1+uy^2)\tfrac{\partial}{\partial z}\in \operatorname{LND}(\mathbb{C}[x,y,z,u,v]). Then \ker\partial is a coordinate ring of a singular variety, and the fibers of the quotient map over singular points are two-dimensional.

If \dim X=3 then \Gamma=X\setminus U is a curve. To describe the \mathbb{G}_{a}-action, it is important to understand the geometry \Gamma. Assume further that k=\mathbb{C} and that X is smooth and contractible (in which case S is smooth and contractible as well{{cite journal|last1=Kaliman|first1=S|last2=Saveliev|first2=N.|title=\mathbb{C}_{+}-Actions on contractible threefolds|journal=Michigan Math. J.|date=2004|volume=52|issue=3|pages=619–625|doi=10.1307/mmj/1100623416|url=https://projecteuclid.org/download/pdf_1/euclid.mmj/1100623416|arxiv=math/0209306|s2cid=15020160}}) and choose \Gamma to be minimal (with respect to inclusion). Then Kaliman proved that each irreducible component of \Gamma is a polynomial curve, i.e. its normalization is isomorphic to \mathbb{C}^{1}. The curve \Gamma for the action given by Freudenburg's (2,5)-derivation (see below) is a union of two lines in \mathbb{C}^{2}, so \Gamma may not be irreducible. However, it is conjectured that \Gamma is always contractible.{{cite book| last1=Kaliman|first1=S.| contribution=Actions of \mathbb{C}^{*} and \mathbb{C}_{+} on affine algebraic varieties| date=2009|title=Algebraic geometry-Seattle 2005. Part 2|volume=80| pages=629–654|doi=10.1090/pspum/080.2/2483949|contribution-url=http://www.math.miami.edu/~kaliman/library/seattle.paper.pdf|series=Proceedings of Symposia in Pure Mathematics|isbn=9780821847039}}

Examples

= Example 1 =

The standard coordinate derivations \tfrac{\partial}{\partial x_i} of a polynomial algebra k[x_1,\dots, x_n] are locally nilpotent. The corresponding \mathbb{G}_a-actions are translations: t\cdot x_{i}=x_{i}+t, t\cdot x_{j}=x_{j} for j\neq i.

= Example 2 (Freudenburg's (2,5)-homogeneous derivation) =

Source:{{cite journal|last1=Freudenburg|first1=G.|title=Actions of \mathbb{G}_a on \mathbb{A}^{3} defined by homogeneous derivations|journal=Journal of Pure and Applied Algebra|date=1998|volume=126|issue=1|pages=169–181|doi=10.1016/S0022-4049(96)00143-0|doi-access=free}}

Let f_1=x_1x_3-x_2^2, f_2=x_3f_1^2+2x_1^2x_2f_1+x^5, and let \partial be the Jacobian derivation \partial(f_{3})=\det \left[\tfrac{\partial f_{i}}{\partial x_{j}}\right]_{i,j=1,2,3}. Then \partial\in \operatorname{LND}(k[x_1,x_2,x_3]) and \operatorname{rank}\partial=3 (see below); that is, \partial annihilates no variable. The fixed point set of the corresponding \mathbb{G}_{a}-action equals \{x_1=x_2=0\}.

= Example 3 =

Consider Sl_2(k)=\{ad-bc=1\}\subseteq k^{4}. The locally nilpotent derivation a\tfrac{\partial}{\partial b}+c\tfrac{\partial}{\partial d} of its coordinate ring corresponds to a natural action of \mathbb{G}_a on Sl_2(k) via right multiplication of upper triangular matrices. This action gives a nontrivial \mathbb{G}_a-bundle over \mathbb{A}^{2}\setminus \{(0,0)\}. However, if k=\mathbb{C} then this bundle is trivial in the smooth category{{cite journal|last1=Dubouloz|first1=A.|last2=Finston|first2=D.|title=On exotic affine 3-spheres|journal=J. Algebraic Geom.|date=2014|volume=23| issue=3|pages=445–469| doi=10.1090/S1056-3911-2014-00612-3| arxiv=1106.2900|s2cid=119651964 }}

LND's of the polynomial algebra

Let k be a field of characteristic zero (using Kambayashi's theorem one can reduce most results to the case k=\mathbb{C}{{cite journal|last1=Daigle|first1=D.|last2=Kaliman|first2=S.|title=A note on locally nilpotent derivations and variables of k[X,Y,Z]|journal=Canad. Math. Bull.|date=2009|volume=52|issue=4| pages=535–543|doi=10.4153/CMB-2009-054-5|doi-access=free|url=http://www.math.miami.edu/~kaliman/library/canada.daigle-kaliman.pdf}}) and let A=k[x_1,\dots, x_n] be a polynomial algebra.

= {{math|1=''n'' = 2}} ({{math|'''G'''<sub>''a''</sub>}}-actions on an affine plane)=

{{math theorem | name = Rentschler's theorem | math_statement =

Every LND of k[x_1,x_2] can be conjugated to f(x_1)\tfrac{\partial}{\partial x_2} for some f(x_1)\in k[x_1]. This result is closely related to the fact that every automorphism of an affine plane is tame, and does not hold in higher dimensions.{{cite journal|last1=Rentschler|first1=R.|title=Opérations du groupe additif sur le plan affine|journal=Comptes Rendus de l'Académie des Sciences, Série A-B|date=1968|volume=267|pages=A384–A387}}}}

= {{math|1=''n'' = 3}} ({{math|'''G'''<sub>''a''</sub>}}-actions on an affine 3-space)=

{{math theorem | name = Miyanishi's theorem | math_statement =

The kernel of every nontrivial LND of A=k[x_1,x_2,x_3] is isomorphic to a polynomial ring in two variables; that is, a fixed point set of every nontrivial \mathbb{G}_{a}-action on \mathbb{A}^{3} is isomorphic to \mathbb{A}^{2}.{{cite book|last1=Miyanishi|first1=M.|contribution=Normal affine subalgebras of a polynomial ring|title=Algebraic and Topological Theories (Kinosaki, 1984)|date=1986|pages=37–51|url=https://www.researchgate.net/publication/41754985}}{{cite book|last1=Sugie|first1=T.|chapter=Algebraic Characterization of the Affine Plane and the Affine 3-Space |title=Topological Methods in Algebraic Transformation Groups (New Brunswick, NJ, 1988)|volume=80|date=1989| pages=177–190|doi=10.1007/978-1-4612-3702-0_12|isbn=978-1-4612-8219-8|publisher=Birkhäuser Boston|series=Progress in Mathematics}}

In other words, for every 0\neq \partial \in \operatorname{LND}(A) there exist f_{1},f_{2}\in A such that \ker\partial=k[f_{1},f_{2}] (but, in contrast to the case n=2, A is not necessarily a polynomial ring over \ker \partial). In this case, \partial is a Jacobian derivation: \partial(f_{3}) = \det\left[\tfrac{\partial f_{i}}{\partial x_{j}}\right]_{i,j=1,2,3}.{{cite journal|last1=D.|first1=Daigle|title=On kernels of homogeneous locally nilpotent derivations of k[X,Y,Z]|journal=Osaka J. Math.|date=2000|volume=37|issue=3|pages=689–699|url=https://projecteuclid.org/download/pdf_1/euclid.ojm/1200789363}}}}

{{math theorem | name = Zurkowski's theorem | math_statement =

Assume that n=3 and \partial\in \operatorname{LND}(A) is homogeneous relative to some positive grading of A such that x_1,x_2,x_3 are homogeneous. Then \ker\partial=k[f,g] for some homogeneous f,g. Moreover, if \deg x_{1},\deg x_{2},\deg x_{3} are relatively prime, then \deg f,\deg g are relatively prime as well.{{cite web|last1=Zurkowski|first1=V.D.|title=Locally finite derivations|url=http://www.math.ru.nl/~maubach/Research/zurkowski.pdf}}}}

{{math theorem | name = Bonnet's theorem | math_statement =

A quotient morphism \mathbb{A}^{3}\to \mathbb{A}^{2} of a \mathbb{G}_{a}-action is surjective. In other words, for every 0\neq \partial \in \operatorname{LND}(A), the embedding \ker\partial\subseteq A induces a surjective morphism \operatorname{Spec}A\to \operatorname{Spec}\ker\partial.{{cite journal|last1=Bonnet|first1=P.|title=Surjectivity of quotient maps for algebraic (\mathbb{C},+)-actions and polynomial maps with contractible fibers|journal=Transform. Groups|date=2002|volume=7|issue=1|pages=3–14|doi=10.1007/s00031-002-0001-6|arxiv=math/0602227}}

This is no longer true for n\geqslant 4, e.g. the image of a quotient map \mathbb{A}^{4}\to\mathbb{A}^{3} by a \mathbb{G}_{a}-action t\cdot (x_1,x_2,x_3,x_4)=(x_1,x_2,x_3-tx_2,x_4+tx_1) (which corresponds to a LND given by x_1\tfrac{\partial}{\partial x_4}-x_2\tfrac{\partial}{\partial x_3}) equals \mathbb{A}^{3}\setminus \{(x_1,x_2,x_3): x_{1}=x_{2}=0,x_{3}\neq 0\}.}}

{{math theorem | name = Kaliman's theorem | math_statement =

Every fixed-point free action of \mathbb{G}_{a} on \mathbb{A}^{3} is conjugate to a translation. In other words, every \partial \in \operatorname{LND}(A) such that the image of \partial generates the unit ideal (or, equivalently, \partial defines a nowhere vanishing vector field), admits a slice. This results answers one of the conjectures from Kraft's list.{{cite journal|last1=Kaliman|first1=S.|title=Free \mathbb{C}_{+}-actions on \mathbb{C}^3 are translations|journal=Invent. Math.|date=2004|volume=156|issue=1|pages=163–173|doi=10.1007/s00222-003-0336-1|url=http://www.math.miami.edu/~kaliman/library/Ka.invent.2004.c+.pdf|arxiv=math/0207156|s2cid=15769378 }}

Again, this result is not true for n\geqslant 4:{{cite journal|last1=Winkelmann|first1=J.|title=On free holomorphic \mathbb{C}-actions on \mathbb{C}^n and homogeneous Stein manifolds|journal=Math. Ann.|date=1990|volume=286|issue=1–3|pages=593–612|doi=10.1007/BF01453590|doi-access=free|url=http://gdz.sub.uni-goettingen.de/pdfcache/PPN235181684_0286/PPN235181684_0286___LOG_0038.pdf}} e.g. consider the x_1\tfrac{\partial}{\partial x_2}+ x_2\tfrac{\partial}{\partial x_3}+(x_2^2-2x_1 x_3-1)\tfrac{\partial}{\partial x_{4}}\in \operatorname{LND}(\mathbb{C}[x_{1},x_{2},x_{3},x_{4}]). The points (x_1,1,0,0) and (x_1,-1,0,0) are in the same orbit of the corresponding \mathbb{G}_a-action if and only if x_{1}\neq 0; hence the (topological) quotient is not even Hausdorff, let alone homeomorphic to \mathbb{C}^{3}.}}

{{math theorem | name = Principal ideal theorem | math_statement =

Let \partial\in\operatorname{LND}(A). Then A is faithfully flat over \ker\partial. Moreover, the ideal \ker \partial \cap \operatorname{im}\partial is principal in A.}}

= Triangular derivations =

Let f_1,\dots,f_n be any system of variables of A; that is, A=k[f_1,\dots, f_n]. A derivation of A is called triangular with respect to this system of variables, if \partial f_1\in k and \partial f_{i} \in k[f_1,\dots,f_{i-1}] for i=2,\dots,n. A derivation is called triangulable if it is conjugate to a triangular one, or, equivalently, if it is triangular with respect to some system of variables. Every triangular derivation is locally nilpotent. The converse is true for \leq 2 by Rentschler's theorem above, but it is not true for n\geq 3.

;Bass's example

The derivation of k[x_1,x_2,x_3] given by x_1\tfrac{\partial}{\partial x_2}+2x_2x_1\tfrac{\partial}{\partial x_3} is not triangulable.{{cite journal|last1=Bass|first1=H.|title=A non-triangular action of \mathbb{G}_{a} on \mathbb{A}^{3}|journal=Journal of Pure and Applied Algebra|date=1984|volume=33|issue=1|pages=1–5|doi=10.1016/0022-4049(84)90019-7|doi-access=free}} Indeed, the fixed-point set of the corresponding \mathbb{G}_{a}-action is a quadric cone x_2x_3=x_2^2, while by the result of Popov,{{cite book|last1=Popov|first1=V. L.|title=Algebraic Groups Utrecht 1986 |chapter=On actions of \mathbb{G}_a on \mathbb{A}^n |volume=1271|pages=237–242|doi=10.1007/BFb0079241|series=Lecture Notes in Mathematics|year=1987|isbn=978-3-540-18234-4}} a fixed point set of a triangulable \mathbb{G}_{a}-action is isomorphic to Z\times \mathbb{A}^{1} for some affine variety Z; and thus cannot have an isolated singularity.

{{math theorem | name = Freudenburg's theorem | math_statement =

The above necessary geometrical condition was later generalized by Freudenburg.{{cite journal|last1=Freudenburg|first1=G.|title=Triangulability criteria for additive group actions on affine space|journal=J. Pure Appl. Algebra|date=1995|volume=105|issue=3|pages=267–275|doi=10.1016/0022-4049(96)87756-5|doi-access=free}} To state his result, we need the following definition:

A corank of \partial\in \operatorname{LND}(A) is a maximal number j such that there exists a system of variables f_1,\dots, f_n such that f_1,\dots, f_j\in\ker\partial. Define \operatorname{rank}\partial as n minus the corank of \partial.

We have 1\leq \operatorname{rank}\partial \leq n and \operatorname{rank}(\partial)=1 if and only if in some coordinates, \partial=h\tfrac{\partial}{\partial x_{n}} for some h\in k[x_1,\dots,x_{n-1}].

Theorem: If \partial\in \operatorname{LND}(A) is triangulable, then any hypersurface contained in the fixed-point set of the corresponding \mathbb{G}_{a}-action is isomorphic to Z\times \mathbb{A}^{\operatorname{rank} \partial}.

In particular, LND's of maximal rank n cannot be triangulable. Such derivations do exist for n\geq 3: the first example is the (2,5)-homogeneous derivation (see above), and it can be easily generalized to any n\geq 3.}}

Makar-Limanov invariant

{{Main|Makar-Limanov invariant}}

The intersection of the kernels of all locally nilpotent derivations of the coordinate ring, or, equivalently, the ring of invariants of all \mathbb{G}_{a}-actions, is called "Makar-Limanov invariant" and is an important algebraic invariant of an affine variety. For example, it is trivial for an affine space; but for the Koras–Russell cubic threefold, which is diffeomorphic to \mathbb{C}^{3}, it is not.{{cite journal|last1=Kaliman|first1=S.|last2=Makar-Limanov|first2=L.|title=On the Russell-Koras contractible threefolds|journal=J. Algebraic Geom.|date=1997|volume=6|issue=2|pages=247–268}}

References

{{reflist}}

Further reading

  • A Nowicki, [http://www-users.mat.umk.pl/~anow/ps-dvi/061-fou.pdf the fourteenth problem of hilbert for polynomial derivations]

Category:Differential algebra