Before we get to the scientfic content, allow me to remind you that the location for the seminar has changed to 891 Evans and we meet Wednesdays, 3-4pm.
Definition: A difference field $(K,\sigma)$ is a field given together with a distinguished field endomorphism $\sigma:K \to K$.
The class of difference fields is naturally axiomatized by a first-order theory in the language $\mathcal{L}(+,\cdot,-,0,1,\sigma)$ of rings augmented by a unary function symbol for the endormorphism.
Theorem: The theory of difference fields has a model companion called $\operatorname{ACFA}$ for “Algebraically closed fields with a (generic) automorphism”.
Before we discuss the proof and attributions of this theorem, let us note how this theorem suggests a more general problem on theories of expansions by endomorphisms.
Let $\mathcal{L}$ be some first-order language and let $T$ be a theory which is assumed to be the model companion of it universal consequences $T_\forall$. The example to keep in mind is $T = \operatorname{ACF}$. In the language $\mathcal{L}(\sigma)$ expanding $\mathcal{L}$ by a unary function symbol $\sigma$ let $T_\sigma$ be the theory $T$ together with axioms expressing that $\sigma$ is an $\mathcal{L}$-automorphism. We say that “$T_A$ exists” if $T_\sigma$ has a model companion. On general grounds, if $T_A$ exists, then it is the theory of the class of existentially closed models of $T_\sigma$. The theory on $\operatorname{ACFA}$ says that $\operatorname{ACF}_A$ exists. However, there are many cases in which it is known that $T_A$ does not exist.
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Kikyo, Hirotaka, Model companions of theories with an automorphism, JSL 65 (2000), no. 3, 1215 – 1222 shows that if $T$ is unstable and NIP or stable with the finite cover property, or if $T$ is unstable and $T_\sigma$ has the amalgamation property, then $T_A$ does not exist.
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In the positive direction, Zoé Chatzidakis and Anand Pillay, Generic structures and simple theories, APAL 95 (1998), pp. 71 – 92 show that $T_A$ exists, for instance, when $T$ is strongly minimal and has the definable multiplicity property.
The exact dividing line for when $T_A$ exists remains unknown and there are many cases in which something like $T_A$ may be shown to exist when $T_\sigma$ is strengthened to require further universal conditions on $\sigma$. For example, if $T$ is the theory of nontrivially valued algebraically closed fields of residue characteristic zero and we define $T’_\sigma$ to be $T_\sigma$ together with the axiom that $(\forall x) v(\sigma(x)) = v(x)$, then $T’_\sigma$ has a model companion.
Harper Wells has offered to present details about $T_A$ later this term.
The name “algebraically closed fields with a generic automorphism” suggests that in every model of ACFA, the endomorphism $\sigma$ is an automorphism and that the underlying field is algebraically closed. Both of these asssertions are true, though these two conditions do not suffice to axiomatize ACFA.
Proposition: If $(K,\sigma)$ is an existentially closed difference field, then $K$ is algebraically closed.
Proof: Let $(K,\sigma)$ be an existentially closed difference field. Let $L := K^\text{alg}$ be an algebraic closure of $K$. Then there is an extension $\tau:L \to L$ of $\sigma$ to $L$. To show this it suffices to see (by topological compactness of $\text{Hom}(L,L)$ or the compactness theorem of first-order logic) that for each finite subextension $K \leq M \leq L$ that there is an extension $\tau:M \to L$ of $\sigma$. Working recursively, it suffices to consider the case that $M = K[a]$ is a simple extension. Let $P(x) \in K[x]$ be the minimal monic polynomial of $a$ over $K$. Then $P^\sigma(x) \in K[x]$ is also a monic polynomial and thus has a zero $b$ in $L$. Using the universal mapping property of the polynomial ring, there is a unique homomorphism $\rho:K[x] \to L$ which restricts to $\sigma$ on $K$ and takes $x$ to $b$. The image of $P(x)$ under $\rho$ is $P^\sigma(b) = 0$. Hence, $\rho$ induces a map $\tau:L \cong K[x]/(P) \to L$. Thus, $(K,\sigma)$ extends to an algebraically closed difference field $(K,\tau)$. For any nonconstant polynomial $Q \in K[x]$ there is some $a \in L$ with $Q(a) = 0$. That is, $(L,\tau) \models (\exists x) Q(x) = 0$. As $(K,\sigma)$ is existentially closed, $(K,\sigma) \models (\exists x) Q(x) = 0$. That is, $K$ is algebraically closed. $\Box$
Proposition: If $(K,\sigma)$ is an existentially closed difference field, then $\sigma$ is an automorphism.
Proof: The map $\iota:(K,\sigma) \to (L,\tau) := (K,\sigma)$ given $x \mapsto \sigma(x)$ is an embedding of difference fields. For each $a \in K$, we have that $(L,\tau) \models (\exists x) \sigma(x) = a$ as in $L$, $a$ is interpreted as $\sigma(a)$ and $\tau(a) = \sigma(a) = \iota(a)$. Thus, as $(K,\sigma)$ is existentially closed, $(K,\sigma) \models (\exists x) \sigma(x) =a$. That is, $\sigma(K) = K$ so that on $K$, $\sigma$ is an automorphism. $\Box$
Early in the development of the model theory of difference fields, it was observed (by Lou van den Dries, I think, though let me confirm!) the fixed field $F$ of $\sigma$ in an existentially closed difference field $(K,\sigma)$ is pseudofinite.
Definition: A field $F$ is pseudofinite if it is an infinite model of $\text{Th}(\{ K~:~K \text{ a finite field } \})$, the theory of all finite fields. Equivalently, $F$ is pseudofinite if there is a nonprincipal ultrafilter $U$ on the set of prime powers for which $F \equiv \prod_U \mathbb{F}_q$.
James Ax produces a first-order axiomatization of the theory of pseudofinite fields in The Elementary Theory of Finite Fields, Annals of Mathematics, 88, no. 2, September 1968, pp. 239 – 271.
Theorem (Ax): A field $F$ is pseudofinite if and only if
- $F$ is perfect,
- $\text{Gal}(F^\text{sep}/F) \cong \widehat{\mathbb{Z}}$, and
- $F$ is PAC: pseudo-algebraically closed
The first of these conditions is in the usual sense of field theory: either $F$ has characteristic zero or it has characteristic $p > 0$ and $F^p = F$. In the presence of perfection, the second condition may be re-expressed by saying that for each positive integer $n \in \mathbb{Z}_+$ there is a unique extension of fields $F_n/F$ with $[F_n:F] = n$. Each of these conditions is naturally expressed by a first-order theory. For example, perfection is given by the countably many sentences $$\overbrace{1 + 1 + \cdots + 1}^{p \text{ times }} = 0 \to (\forall x)(\exists y) y^p = x$$ We may describe field extensions of a fixed degree $n$ by quantifying over the coefficients of monic polynomials of degree $n$. For example, to say that there is an extension of degree $n$ we assert that there is an irreducible monic polynomial of degree $n$ which could be expressed as $$(\exists a_0) \cdots (\exists a_{n-1}) \left( \bigwedge_{1 \leq m < n} (\forall b_0) \cdots (\forall b_m) (\forall c_0) \cdots (\forall c_{n-m-1}) \bigvee_{\ell=0}^{n-1} \sum_{i+j=\ell} b_i c_j \neq a_\ell \right)$$ Alternatively, one could more directly work with the family of $F$-algebras of dimension $n$ by describing these with $n \times n \times n$ arrays from $F$ giving the multiplication and then relativize the field axioms to these interpreted structures to isolate the fields. Maps between these field extensions are described by linear maps, that is, by matrices. So, one could express that all degree $n$ extensions are isomorphic.
It is less clear how to express the PAC condition in first-order logic. In the definition of PAC we were a little sloppy about the meaning of “variety”. Nothing would be lost by taking this term to mean “embedded affine variety”. Such varieties are described by systems of polynomial equations, which may be taken to be finite systems of equations by Noetherianity of the polynomial rings. For the natural statement of the PAC condition, one should show that given variables $\mathbf{x} = (x_1, \ldots, x_n)$ and $\mathbf{y} = (y_1, \ldots, y_m)$ and polynomials $F_1(\mathbf{x},\mathbf{y}), \ldots, F_\ell(\mathbf{x},\mathbf{y}) \in \mathbb{Z}[\mathbf{x},\mathbf{y}]$ there is a formula $\theta(\mathbf{y}) = \theta_{\mathbf{F}}$ so that for any field $F$ and tuple $\mathbf{b} \in F^{\mathbf{y}}$ we have $F \models \theta(\mathbf{b})$ if and only if the ideal generated by $F_1(\mathbf{x},\mathbf{b}), \ldots, F_\ell(\mathbf{x},\mathbf{b})$ in $F^\text{alg}[\mathbf{x}]$ is prime. If one proves this assertion in the case that $F = F^\text{alg}$, then using quantifier elimination for algebraically closed fields, one sees that $\theta$ may be taken to be quantifier-free and then it will continue to have the requisite properties for arbitrary fields. That such formulas exist was shown by Lou van den Dries and Karsten Schmidt in Bounds in the theory of polynomial rings over fields: A nonstandard approach, Inventiones Math. 76 (1984), no. 1, 77 – 91. The theorem is proven as a corollary of general result that if $K$ is any field and $U$ is an ultrafilter on some set $I$, then the algebra $(K[x_1,\ldots,x_n])^U$ is a faithfully flat extension of $K^U[x_1, \ldots, x_n]$. An alternative more elementary proof was given by Will Johnson in the appendix to Differential Chow varieties exist, J. LMS (2), 95 (2017), no. 1, 128 – 156.
Theorem: If $(K,\sigma)$ is an existentially closed difference field and $F := \operatorname{Fix}(\sigma,K) := \{ x \in K : \sigma(x) = x \}$, then $F$ is pseudofinite.
Proof: First, we check that $F$ is perfect. If the characteristic of $K$ is zero, there is nothing to check. Suppose that the characteristic of $K$ is $p > 0$. Let $a \in F$. Since $K$ is algebraically closed, there is some $b \in K$ with $b^p = a$. We compute that $\sigma(b)^p = \sigma(b^p) = \sigma(a) = a = b^p$. Since the map $x \mapsto x^p$ is injective on fields of characteristic $p$, we conclude that $\sigma(b) = b$. That is, $b \in F$. As $a \in F$ was arbitrary, we see that $F = F^p$. That is, $F$ is perfect.
For the second condition, let $n \in \mathbb{Z}_+$ and set $R := K[x_0,\ldots,x_{n-1}]$. Let $L := \mathcal{Q}(R) = K(x_0,\ldots,x_{n-1})$ be the field of fractions of $R$. From the universal mapping property of the polynomial ring, there is a unique map $\tau:R \to L$ for which $\tau \upharpoonright K = \sigma$ and $\tau(x_i) = x_{i+1 \mod n }$ for $0 \leq i < n$. More concretely, if $P(x_0, \ldots, x_{n-1}) \in R$, then $\tau(P) = P^\sigma (x_1, x_2, \ldots, x_{n-1}, x_0)$. In particular, if $P \neq 0$, then $\tau(P) \in L^\times$. Thus, from the universal property of the localization, $\tau$ extends uniquely to a map $\tau:L \to L$. That is, $(L,\tau)$ is a difference field extension of $(K,\sigma)$.
The element $x_0 \in L$ satisfies $\tau^n(x_0) = x_0$. Let $P(X) := \prod_{i=0}^{n-1} (X – x_i)$. Then $P \in \operatorname{Fix}(\tau,L)[X]$ and its roots, $\{ x_i : 0 \leq i < n \}$, form one orbit under the action of the subgroup of $\operatorname{Gal}(\operatorname{Fix}(\tau,L)^\text{alg}/\operatorname{Fix}(\tau,L))$. Hence, $[\operatorname{Fix}(\tau,L)(x_0):\operatorname{Fix}(\tau,L)] = n$. That is, $$(L,\tau) \models (\exists x) [\operatorname{Fix}(\sigma)(x):\operatorname{Fix}(\sigma)] = n$$ which implies that the same is true of $(K,\sigma)$ as it is existentially closed in $(L,\tau)$. On general grounds, if $a \in K$ and $[F(a):F] = n$, then $\sigma^n(a) = a$. Indeed, if $P(X) \in F[X]$ is the minimal monic polynomial of $a$, then $0 = \sigma(0) = \sigma(P(a))= P^\sigma(\sigma(a)) = P(\sigma(a))$ where the last equality holds as $P$ is defined over $F$. Thus, the set $\{ \sigma^i(a) : i \in \mathbb{Z} \}$ has size exactly $n$, which implies in particular that $a = \sigma^n(a)$. Therefore, $\operatorname{Fix}(\sigma^n)$ is the unique extension of $F$ of degree $n$.
Finally, let us check that $F$ is PAC. Let $X \subseteq \mathbb{A}_F^n$ be an absolutely irreducible embedded affine variety over $F$. Let $g_1, \ldots, g_m$ be generators of $I(X) \subseteq \mathbb{A}_F^n$. Since $X$ is absolutely irreducible, $(g_1, \ldots, g_m) \subseteq K[x_1, \ldots, x_n]$ remains prime. Let $L := \mathcal{Q}(K[x_1, \ldots, x_n]/(g_1, \ldots, g_m))$ be the field of the ring $K[x_1, \ldots, x_n]/(g_1, \ldots, g_m)$. Define $\tau:K[x_1, \dots, x_n] \to L$ using the universal mapping property of polynomial rings via $\tau \upharpoonright K := \sigma$ and $\tau(x_i) = \frac{x_i + (g_1, \ldots, g_m)}{1}$ for $1 \leq i \leq n$. The kernel of $\tau$ is $(g_1, \ldots, g_m)$ (NOTE: we are using the fact that $X$ is defined over $F$: for $h = \sum h_\alpha x^\alpha \in K[x_1, \ldots, x_n]$, the image of $h$ under $\tau$ is $h^\sigma + (g_1, \ldots, g_m) = \sum \sigma(h_\alpha) x^\alpha + (g_1, \ldots, g_m)$. Thus, $\tau(h) = 0$ if and only if $h^\sigma \in (g_1, \ldots, g_m)$, which, because $\sigma$ is an automorphism of $K$, is equivalent to $h \in (g_1^{\sigma^{-1}}, \ldots, g_m^{\sigma^{-1}}) = (g_1, \ldots, g_m)$.). Thus, $\tau$ extends to a map of fields $\tau:L \to L$. That is, $(K,\sigma) \subseteq (L,\tau)$ is an extension of difference fields. $(L,\sigma) \models (\exists x) x \in X(\operatorname{Fix}(\sigma))$. Hence, as $(K,\sigma)$ is existentially closed, it also satisfies this conclusion. $\Box$
This proposition suggested an ambitious conjecture which was subsequently proven to be true.
Theorem: If $U$ is a nonprincipal ultrafilter on the set of prime power, then $\prod_U (\mathbb{F}_q^\text{alg},x \mapsto x^q)$ is an existentially closed difference field. In fact, if $(K,\sigma)$ is an existentially closed difference field, then there is a nonprincipal ultrafilter $U$ on the set of prime powers for which $\prod_U (\mathbb{F}_q^\text{alg},x \mapsto x^q) \equiv (K,\sigma)$.
This theorem was announced by Macintyre in the late 1990s, though his proof has not been made available. An arXiv posting of Hrushovski, The Elementary Theory of the Frobenius, is devoted to its proof through a twisted version of Deligne’s theorem on rational points on varieties in finite fields proven with a mix of difference geometry, the model theory of valued fields, and étale cohomology, amongst other methods. Shuddhodan and Varshavsky, The Hrushovski-Lang-Weil estimates, Alg. Geom. 9 (2022), no. 6. 651 – 687, prove the estimates with arguments closer to Deligne’s method.