Arithmetic degree and its application to Zariski dense orbit conjecture
Abstract.
We prove that for a dominant rational self-map on a quasi-projective variety defined over , there is a point whose -orbit is well-defined and its arithmetic degree is arbitrary close to the first dynamical degree of . As an application, we prove that Zariski dense orbit conjecture holds for a birational map defined over such that the first dynamical degree is strictly larger than the third dynamical degree. In particular, the conjecture holds for birational maps on threefolds with first dynamical degree larger than .
Key words and phrases:
Arithmetic dynamics, Arithmetic degree, Zariski dense orbit conjecture2020 Mathematics Subject Classification:
Primary 37P15; Secondary 37P551. Introduction
For a dominant rational map on a projective variety defined over , Kawaguchi-Silverman conjecture predicts that height growth rate along a Zariski dense orbit is equal to the first dynamical degree of . More precisely, let be an ample divisor on and let be a Weil height function associated with (we refer [11, 16, 5] for the basics of height functions). For a point , we say the -orbit is well-defined if
(1.1) |
where is the indeterminacy locus of . The set of such points is denoted by :
(1.2) |
For ,
(1.3) |
is called the arithmetic degree of at , provided the limit exists. By the basic properties of height function, it is easy to see that the limit is independent of the choice of and . The existence of the limit is proven for surjective self-morphisms on projective varieties [14, Theorem 3] (it is stated for normal projective varieties, but the general case easily follows from normal case by taking normalization), and for arbitrary dominant rational self-maps and points with generic orbit [19, Theorem 1.3]. (A orbit is generic if it converges to the generic point with respect to Zariski topology. More generally, the convergence of arithmetic degree is proven for orbits satisfying dynamical Mordell-Lang conjecture.)
For , the -th dynamical degree of is
(1.4) |
where the -th degree is defined as follows. Let be the graph of and let be the projections ():
(1.5) |
Then we define
(1.6) |
It is known that the limits exist and independent of the choice of (cf. [8, 7, 28]).
Now let us state Kawaguchi-Silverman conjecture.
Conjecture 1.1 (Kawaguchi-Silverman conjecture [26, 15]).
Let be a dominant rational map on a projective variety defined over . Let . Then exists (i.e. the limit exists), and if the orbit is Zariski dense in , then .
We refer [18] for introduction and recent advances on this conjecture. It is known that for any , the limsup version of arithmetic degree is bounded above by the first dynamical degree [17, Theorem 1.4] [12, Theorem 3.11]:
(1.7) |
Thus the conjecture asserts that the arithmetic degree would take its maximal value at points with dense orbit. Although there is no logical implications, it is natural to ask that if there is always a point such that . The answer is yes for surjective morphisms on projective varieties [20, Theorem 1.6] (it is stated only for smooth projective varieties, but the proof works for any projective varieties; just find a point at which the nef canonical height does not vanish), and also for some classes of rational maps [13, Theorem 3]. See [21, 23, 24] for related works. In this paper, we prove the following.
Theorem 1.2.
Let be a projective variety over . Let be a dominant rational map defined over . Then for any , the set
(1.8) |
is Zariski dense in .
Remark 1.3.
The set eq. 1.8 is actually dense in with respect to the adelic topology (in the sense of [29]). See Theorem 3.1.
Remark 1.4.
We prove the same statement for quasi-projective varieties (Theorem 3.1). The arithmetic degree and the dynamical degrees are defined as follows. Take a projective closure , i.e. open immersion into a projective variety over . Then a dominant rational map can be regraded as that of on , denoted by . Then , and we define for (cf. [18, Definition 2.3]). The well-definedness, i.e. independence of the embedding follows from [12, Lemma 3.8], the same trick as in Remark 2.2. The dynamical degrees are defined in the same way: . By the birational invariance of dynamical degrees (cf. [8, 7, 28]), this definition is also independent of the embedding .
In the proof of [12, Theorem 8.4], they find an application of arithmetic degree to the following Zariski dense orbit conjecture.
Conjecture 1.5 (Zariski dense orbit conjecture [22, Conjecture 7.14], cf. [31, Conjecture 4.1.6] as well).
Let be a projective variety over an algebraically closed field of characteristic zero, and let be a dominant rational self-map. If every -invariant rational function on is constant, then there exists whose orbit is Zariski dense in .
Here is the set of points with well-defined -orbit, defined in the same way as eq. 1.2. We refer [29] for the history of this conjecture and known results. We remark that the conjecture is proven when the ground field is uncountable [1, 2]. The conjecture remains open over countable fields, in particular over .
The idea in [12, Theorem 8.4] is, roughly speaking, that a point with must have Zariski dense orbit under some conditions on the map . Using the same idea, in [21, Theorem C], the conjecture is proven for cohomologically hyperbolic birational self-maps on smooth projective threefolds. In this paper, we weaken the assumption “cohomologically hyperbolic” to “”. More generally, we prove the following.
Theorem 1.6.
Let be a projective variety over . Let be a birational map. If , then Zariski dense orbit conjecture holds for . That is, if does not admit invariant non-constant rational functions, then there is a point with being Zariski dense.
Remark 1.7.
Under the assumption of Theorem 1.6, if does not admit invariant non-constant rational functions, then the set of points with Zariski dense orbit is dense in with respect to the adelic topology (in the sense of [29]). See Theorem 4.1.
As a corollary, we have:
Corollary 1.8.
Let be a projective variety of dimension three over . Let be a birational map with . Then the Zariski dense orbit conjecture holds for .
Proof.
Since , the assumption of Theorem 1.6 is satisfied. ∎
Idea of the proof.
The idea of the proof of Theorem 1.2 is as follows. By a recent work of the second author [30], we roughly have
(1.9) | ||||
(1.10) |
for some (after replacing with its iterate). The main problem is that we do not know in general if for some . To find such a point , we consider a curve such that the degrees of grow as fast as possible, i.e. in the order of . Then for a point , we expect inequality hold. This is justified for points with large height, but we also need some additional good properties of , including well-definedness of its -orbit. The latter property is satisfied for any points in some adelic open subset (in the sense of [29]). We ensure the existence of with all desired properties by proving that height function is unbounded on a non-empty adelic open subset Proposition 2.3. Once we find such a point, eq. 1.9 shows .
The idea of the proof of Theorem 1.6 is as follows. By Theorem 1.2, there is a point such that . It is known that if birational does not admit invariant non-constant rational function, then there are only finitely many totally invariant hypersurfaces. Thus we may assume the orbit closure is either or has codimension at least two. If it is , we are done. If it has codimension , then we can show roughly , and this is contradiction.
Convention.
-
•
An algebraic scheme over a field is a separated scheme of finite type over .
-
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A variety over is an algebraic scheme over which is irreducible and reduced.
-
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For a self-morphism of an algebraic scheme over and a point of (scheme point or -valued point where is a field containing ), the -orbit of is denoted by , i.e. . The same notation is used for dominant rational map on a variety defined over and . Here is the indeterminacy locus of .
-
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Let be a dominant rational map on a variety over a field . For a point , we say satisfies DML property if for any closed subset , the return set is a finite union of arithmetic progressions.
-
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Let be an algebraically closed field of characteristic zero. For a dominant rational map on a variety over , denotes the -th dynamical degree of for . The cohomological Lyapunov exponent is denoted by for . We set .
Acknowledgements.
The essential part of the work was done during the Simons symposium “Algebraic, Complex, and Arithmetic Dynamics (2024)”. The authors would like to thank Simons Foundation, Laura DeMarco, and Mattias Jonsson for hosting and organizing the symposium. The authors also would like to thank Joe Silverman and Long Wang for helpful comments. The first author is supported by JSPS KAKENHI Grant Number JP22K13903. The second author is supported by the NSFC Grant No.12271007.
2. Height unboundedness on adelic open sets
In this section, we prove that height function associated with an ample divisor is unbounded on a non-empty adelic open subset. For an algebraic scheme over , the adelic topology is a topology on introduced by the second author in [29]. The definition involves several steps, so we do not write down it here and refer [29, section 3] for the definition and basic properties. The point of the topology is that it allows us to discuss analytic local properties of -points (because it is defined by using -adic open sets) while keeping coarseness of Zariski topology; if is irreducible, then is irreducible with respect to the adelic topology.
Definition 2.1.
Let be a quasi-projective scheme over . A subset is said to be height bounded if the following condition holds. For any immersion into a projective scheme defined over , any ample Cartier divisor on , and any logarithmic Weil height function associated with , the subset
(2.1) |
is bounded.
Remark 2.2.
The set is always bounded below since so is . The definition remains equivalent if we require the boundedness only for some , , and . Indeed, if is another immersion to projective scheme, is ample Cartier divisor on , and is a height associated with , form the following diagram:
(2.2) |
where is the scheme theoretic closure of in . Take so that
(2.3) |
is globally generated. Note that . Then the base locus of is contained in , and hence on . Similarly, there is such that on . Thus we are done.
We use the notation and terminologies on adelic open subsets from [29, section 3].
Proposition 2.3.
Let be a quasi-projective variety over with . Let be a non-empty adelic open subset in the sense of [29]. Then is not height bounded.
To prove this proposition, we prepare some terminologies and a lemma.
Definition 2.4.
Let be a number field. For an algebraic scheme over and , we define
(2.4) |
where each is regarded as a subset of via the inclusion .
Lemma 2.5.
Let be a quasi-projective variety over with . Let be a non-empty basic adelic subset in the sense of [29, section 3]. Let be a number field and a model of over . Then there is such that is Zariski dense in .
This follows from the proof of [29, Proposition 3.9]. We include here a proof for the completeness.
Proof.
By replacing with a finite extension and replacing with an appropriate subset, we may assume is a basic adelic subset over with respect to . Moreover, we may assume
(2.5) |
where are field embeddings such that are distinct absolute values on , and as usual are non-empty -adic open subsets. (cf. the beginning of the proof of [29, Proposition 3.9]. ) Let be the closure of in . By further replacing with a finite extension, we may assume . Note that this in particular implies is Zariski dense in .
By Noether normalization, there is a non-empty open subscheme with finite étale morphism
(2.6) |
to an open subscheme of an affine space. By taking a connected Galois étale covering of dominating (cf. [10, Proposition 3.2.10]) and applying it to [25, Proposition 3.3.1], there is a thin subset such that for all , the scheme theoretic inverse image is integral, i.e. it is of the form .
Let , which is a non-empty open subset of .
Claim 2.6.
The set
(2.7) |
is Zariski dense in .
Proof of Claim 2.6.
Suppose it is contained in a proper Zariski closed subset . Let be the diagonal embedding. Then we have
(2.8) |
Since are Zariski dense in ,
(2.9) |
is a non-empty open subset of . But by the same proof of [29, Lemma 3.11], is dense in . Thus we get a contradiction. ∎
Let . Then for some finite field extension of . Note that . Fixing a field embedding over and we get a point :
(2.10) |
Since , there is such that . Then we get the following diagram
(2.11) |
where the dashed arrow is induced by extending to . This embedding restricted on agrees with . This means . Therefore we proved . Since is arbitrary element of , which is Zariski dense in , these ’s are Zariski dense in and we are done.
∎
Proof of Proposition 2.3.
We may assume is a general adelic subset, i.e. there is a flat morphism from a reduced algebraic scheme over and a basic adelic subset such that . By replacing with a small open affine subscheme of an irreducible component intersecting with , we may assume is a quasi-projective variety. Let be a number field such that , and are defined over . Let be their model. Now suppose is height bounded. Then for all , are finite sets because of Northcott’s theorem. Since , is flat, and , is not Zariski dense in for all . This contradicts to Lemma 2.5. ∎
Remark 2.7.
The proof also shows the following. Let be a quasi-projective variety over and let be a non-empty adelic open subset. Let be a number field and a model of over . Then there is such that is Zariski dense in .
3. Arithmetic degree can be arbitrary close to dynamical degree
In this section, we prove Theorem 1.2. We show the following stronger statement.
Theorem 3.1.
Let be a quasi-projective variety over . Let be a dominant rational map defined over . Then for any , the set
(3.1) |
is dense in with respect to the adelic topology.
Proof.
By replacing with its smooth locus, we may assume is smooth. Let us take a projective closure , i.e. is a projective variety over and is an open immersion. By replacing with its normalization, we may assume is normal. Let be a very ample divisor on . We take so that the embedding by the complete linear system is not an isomorphism. We regard as a dominant rational self-map on . Let us write and . To prove the theorem, we may assume . Take such that
(3.2) |
Let be arbitrary positive number. Let be an arbitrary non-empty adelic open subset. We will construct a point such that .
Take , which is close to , such that
(3.3) |
By [30, Remark 3.7], there is such that for all ,
(3.4) |
is big as elements of . Here is the colimit of where runs over birational models of . See [30] for the detail. We fix an so that
(3.5) |
holds. Such exists because of eq. 3.3. Let us fix a Weil height function associated with . We choose so that . By eq. 3.4, there are and a Zariski open dense subset such that
(3.6) | |||
(3.7) |
Then by eq. 3.5, we have
(3.8) |
or, equivalently
(3.9) |
on . If we take so that , then we have
(3.10) | ||||
(3.11) |
on . This recursive inequality almost shows that the arithmetic degree is at least . What we need to show is that there is at least one initial point at which is strictly positive. We will find such point on a curve whose forward iterates by have maximal degree growth. But we first need to guarantee that there are plenty of points whose orbits are well-defined and have nice properties.
By [29, Proposition 3.24, Proposition 3.27] (cf. proof of [21, Proposition 3.2]), there is a non-empty adelic open subset such that for all , we have
(3.12) | |||
(3.13) | has DML property. |
Here the last condition means that for any closed set , the return set is a finite union of arithmetic progressions.
Now set . Let . Since , we have
(3.14) |
(Here is the one defined as an element of . So is the intersection number. ) We choose close to and large enough so that
(3.15) | |||
(3.16) | |||
(3.17) |
We can choose such and because of eq. 3.3.
Let us pick a point such that
-
•
is smooth at ;
-
•
the projection from , , is generically finite on .
(Recall we chose so that the embedding defined by is not an isomorphism. In particular, is not contained in a hyperplane of and thus projection from a general point of is generically finite on . Such exists because a non-empty adelic open set is Zariski dense.) By the choice of , we have . Note also that since is normal projective. Let be the sub-linear system consisting of all hypersurfaces passing through . If , by Lemma 3.3, there is such that is irreducible and reduced, smooth at , , and is generically finite on . If , apply the same argument to the restriction of to and get such that is irreducible and reduced, smooth at , , and is generically finite on . Repeat this and we get passing through such that
(3.18) | is an irreducible and reduced curve; | ||
(3.19) |
Moreover, the local equations of form a regular sequence at each point of .
Let us consider
(3.20) |
where is the graph of the rational map . Then we have
(3.21) |
(Here for the second equality, we use the equality of schemes to see that the cycle class is represented by the cycle . )
Thus we get (use [11, Theorem B.5.9] on the normalization of )
(3.22) | ||||
(3.23) |
on where is the normal locus of and is a constant depends on .
By the construction of (namely ), is a non-empty adelic open set of . By Proposition 2.3, there is a point such that
(3.24) | |||
(3.25) |
where is a large constant that we choose below. Then we have
(3.26) |
Thus there is such that
(3.27) |
Since , . We have
(3.28) | |||
(3.29) | |||
(3.30) | |||
(3.31) |
If we chose so that this quantity is strictly positive, then we get
(3.32) |
Since , we have . Thus by eq. 3.10, we get
(3.33) | |||
(3.34) |
for and thus
(3.35) |
By [21, Lemma 2.7],
(3.36) |
Since satisfies DML property, by [19], the arithmetic degree exists, i.e. . Thus we are done. ∎
Remark 3.2.
In the setting of Theorem 3.1, the set
(3.37) |
is dense in with respect to the adelic topology. This follows directly from the proof or [29, Proposition 3.27] and Theorem 3.1.
Lemma 3.3.
Let be a projective variety of dimension over an algebraically closed field of characteristic zero. Let be a very ample line bundle, a smooth closed point, and a closed subset such that . Suppose is a sub-linear system of the complete linear system consisting of hypersurfaces passing through . If
-
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at least one member of does not contain any of the irreducible component of ;
-
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the base locus of is ;
-
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at least one member of is smooth at ;
-
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the rational map defined by is generically finite,
then a general member satisfies:
-
(1)
is irreducible and reduced;
-
(2)
any irreducible component is not contained in ;
-
(3)
is smooth at .
Proof.
First note that since containing an irreducible component of is a closed condition, general member of does not contain any irreducible component of .
Next, note that the restriction of to has no base point. By [9, Corollary 3.4.9], for a general member , we have is reduced. Moreover, since being singular at is a closed condition, for a general , is smooth at . In particular, general is reduced.
Finally, since , satisfies the assumption of [9, Theorem 3.4.10], and thus general member of is irreducible. ∎
Question 3.4.
Is it possible to remove from the statement of Theorem 3.1? That is, are there always points such that ?
If there is a family of rational maps
(3.38) |
such that is strictly larger than any of , where is the fiber over , then the answer to the above question is no. But we do not know if such rational map exists or not for now.
4. Zariski dense orbit conjecture for birational maps under certain conditions
In this section, we prove Theorem 1.6. We prove the following stronger statement.
Theorem 4.1.
Let be a projective variety over . Let be a birational map. If , then Zariski dense orbit conjecture holds for . That is, if does not admit invariant non-constant rational functions, then the set
(4.1) |
is dense in with respect to the adelic topology.
Proof.
Let us take non-empty Zariski open subsets such that are smooth and induces an isomorphism :
(4.2) |
Let us consider the induced dominant rational self-map .
Suppose does not admit invariant non-constant rational function. Then does not also admit invariant non-constant rational function. By [3, Corollary 1.3] or [6, Theorem B], there are only finitely many totally invariant hypersurfaces of . Here a hypersurface means closed subset of pure codimension one, and a closed subset is said to be totally invariant under if
(4.3) |
as sets. Let be the union of all of such invariant hypersurfaces.
By Theorem 3.1, for any given non-empty adelic open subset , there is a point such that . We prove is Zariski dense. Let be the Zariski closure in and suppose . Since , is dense in and . As is an open immersion, acts on the set of generic points of transitively. Thus is pure dimensional and totally invariant under . Since , we have and thus , where .
Let us fix an irreducible component of containing and take such that . Note that since , . Also is isomorphic at the generic point of . Thus by [21, Lemma 2.3], we have
(4.4) |
Since and , by the log concavity of dynamical degrees, we have . Thus we get
(4.5) |
Then we get
(4.6) |
where the first inequality follows from [12, Proposition 3.11]. This inequality contradicts to the choice of . ∎
Remark 4.2.
Under the assumption of Theorem 4.1, when does not admit invariant non-constant rational function, the proof actually shows the following: for any , the set
(4.7) |
is dense in with respect to the adelic topology. In particular, for any , there are such that satisfies DML property, is Zariski dense in , and (cf. [29, Proposition 3.27]). In this case, the orbit is generic. By [19, Theorem 2.2], can take only the values from . Thus if we take small enough, our point satisfies .
Remark 4.3.
Long Wang pointed out us that Remark 4.2 and [4] give us an example of birational map with a -point whose arithmetic degree is a transcendental number. Indeed, by [4], there is a birational map whose first dynamical degree is a transcendental number. This map does not admit non-constant rational function. Indeed, if it is the case, the first dynamical degree of is equal to the first relative dynamical degree with respect to a non-constant rational map to a curve, which is equal to the first dynamical degree of a very general fiber (take base change to to find such a fiber). Since the relative dimension is two, the first dynamical degree on the fiber is algebraic, as birational map on surfaces are always algebraically stable. This is a contradiction. Therefore, by Remark 4.2, there is a point such that , which is a transcendental number.
We note that the existence of transcendental arithmetic degree is first proven in [21]. The map in the example was not birational, and finding an example with birational map was left as a problem. Such example was recently constructed by Sugimoto in [27]. The above argument gives another construction of such example.
Corollary 4.4.
Let be a projective variety over of dimension four. Let be a birational map with . Then Zariski dense orbit conjecture holds for . More strongly, if does not admit invariant non-constant rational function, then the set is dense in with respect to the adelic topology.
Proof.
If , then this is exactly the same with Theorem 4.1. Suppose . Since for , we have . Moreover, if does not admit invariant non-constant rational function, then neither does . Thus by Theorem 4.1, the set
(4.8) |
is dense in with respect to the adelic topology. As before, let us take non-empty Zariski open subsets such that induces an isomorphism :
(4.9) |
Let us consider the induced dominant rational self-map . Then by [29, Proposition 3.27], the set
(4.10) |
contains non-empty adelic open subset of , hence of . Therefore the set
(4.11) |
is dense in with respect to the adelic topology. Now we claim that any point in this set has the property and is Zariski dense in . The first property is obvious as . By the choice of , we see that . Let be a top dimensional irreducible component with the property . Here the closure is taken in . Then . Thus has the same property as . We can repeat this process and eventually end up with the original . Noticing , we conclude
(4.12) |
for all . Since is Zariski dense in , we have is Zariski dense in , and hence Zariski dense in . ∎
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