J
OURNAL DE
T
HÉORIE DES
N
OMBRES DE
B
ORDEAUX
P
ETER
S
TEVENHAGEN
Frobenius distributions for real quadratic orders
Journal de Théorie des Nombres de Bordeaux, tome
7, n
o1 (1995),
p. 121-132
<http://www.numdam.org/item?id=JTNB_1995__7_1_121_0>
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Article numérisé dans le cadre du programme Numérisation de documents anciens mathématiques
Frobenius
distributions for real
quadratic
orders
par Peter STEVENHAGEN
ABSTRACT. - We present a density result for the norm of the fundamental unit in a real quadratic order that follows from an equidistribution assump-tion for the infinite Frobenius elements in the class groups of these orders.
1. Introduction
This paper deals with the distribution of the Frobenius element of the
in-finite
prime
over the class group in certain families of realquadratic
orders.It contains
precise
results for these distributions that are at this momentmostly conjectural,
butprovide
asatisfactory ’explanation’
for observationsthat have not been understood
otherwise,
such as thoseconcerning
the fre-quency of realquadratic
fieldshaving
fundamental unit of norm -1.They
are somewhat similar inspirit
to theCohen-Lenstrà
heuristics[3],
y which’explain’
the average behavior of class groups of number fields.However,
our
underlying
assumptions
are of a morespecific
nature than those in[3],
and weak versions of our
density
results canactually
beproved.
Ourcon-jectures
answer an old openquestion
that goes back at least toEuler,
but does not seem to appearexplicitly
in the literature any earlier than in a1932 paper
by Nagell
[5].
Nagell’s
question
concerns thesolvability
of the well knownnegative
Pellequation
for non-square d E
Z>1
inintegers
x, y E Z. A necessary condition forsolvability
isobviously
that -1 is a square modulo all divisors ofd,
i.e.that d is not divisible
by
4 or aprime
p = 3 mod 4. This can bephrased
moreconcisely by stating
that d is the sum of twocoprime
squares.Thus,
let us denote
by
S the set ofintegers
that can be written as the sum oftwo
coprime
squares. With S-denoting
the set ofintegers
d for which1991 Mathematics Subject Classification. Primary 11R11, 11R45, 11R65; Secondary
11D09.
Mots clefs : Real quadratic fields, quadratic units, Pell equation.
x2 -
dy2 ~ -1
hasintegral
solutions,
Nagell’s
question
is: does S- have anatural
density
inS,
i.e. does the limitexist? It appears that the well known characterization of S- as the set
of
integers
d > 1 for whichdl
has a continued fractionexpansion
with oddperiod
length
is not of any use inanswering
thisquestion,
and it isnot even known whether the liminf and the
limsup
of thisexpression
are in the open interval(0, 1).
The sameapplies
to the somewhatsimpler
question
that is obtainedby
restricting
tosquarefree d
inNagell’s problem
or,
equivalently, by
posing
theproblem
for realquadratic
fields. Moreprecisely,
let D be the set of realquadratic
fields K for which -1 is inthe norm
image
and D- c D the subset of fields K E D for which the norm of the fundamental unitequals -1.
Then we have D =(Q (U2) :
d E s?
and-eventhough
OK
may not be of the formalso D- =
(Q(v2) :
d ES-}.
Theanalogue
ofNagell’s
question,
which has been studiedextensively by
Rédei[7],
can now bephrased
as: does thelimit
, , r +, - -- , v,, , ., > rr f r _ - A / r
exist
and,
if itdoes,
what is its value?Existing
tables as thoseoccurring
in[1]
and[5]
show that the value of this fraction is around .860 for X= 10~
and decreasesslowly
to assume the value .799 for X=107.
The considerations in this paper make it veryplausible
that the answer to bothquestions
isthe
following.
CONJECTURE. The limit valuers P and
Q
exist and areequal
toand
with vp
denoting
the numbersof factors
2occurring
inp -1,
We will see in the next section
why
the convergence to these limit valuesis
extremely
slow.The densities in our
conjecture give
rise to absolute estimates for thenumber of d E S^ and K E
Dy,
as thecounting
functions for the sets Sand D are known to
satisfy
theasymptotic
relationsand
These relations are consequences of results of
Rieger
[8].
2. The fundamental case .
In this section we reduce the
density problem
for realquadratic
fieldsfrom the introduction to a statement on Frobenius distributions and
explain
how this
gives
rise to the indicated value of P.Suppose
we aregiven
aquadratic
field K E D with discriminantD, ring
ofintegers
C~ and class group Cl. Denoteby
C the narrow class group ofK,
which may be identified with the class group ofbinary quadratic
formsof discriminant D. There is a natural
surjection
C -~ Cl whose kernel isgenerated by
the class~oo
E C of theprincipal
idealgenerated by
m.
If C~ contains a unit E ofnegative
norm, then the idealm.
O can begenerated
by
the elementem
of norm D > 0 and is the unit element in C. If all units in 0 have norm1,
thenFoe
has order 2 in C.Thus,
we have .K ED-if and
only
ifF 00
is the trivial element in C.By
class fieldtheory,
we canidentify
C with the Galois group over Kof the narrow Hilbert class field H of K. The maximal real subextension
H+/K
ofH/K
corresponds
to the factor group Cl ofC,
soF 00
generates
the
decomposition
group of the realprime
in and can be viewed as the Frobenius element atinfinity.
Ourconjecture
for realquadratic
fields tells us that we should
expect
the FrobeniusFao
for thefamily
D ofheuristics on the average behavior of class groups
explicitly
exclude the2-parts
ofquadratic
class groups that we have to deal with here. The reasonfor this is that these
2-parts
are not at all ’random’ in their sense of theword,
andconsequently
we should notexpect
F 00
to behave as a ’random2-torsion element in a random abelian
2-group’.
What we have to take into account when
studying
the average behaviorof the element
F 00 E
C is that this Frobenius element is notonly
in the2-torsion
subgroup
C~2~
ofambigous
idealclasses,
but also in theprincipal
genus
C2
C C of squares in C. If D hasexactly
t distinctprime divisors,
then there are t ramified
prime
ideals ~1, ~2, ... , pt inC~,
and it is a classicaltheorem that the classes of these ideals in C
generate
the 2-torsionsubgroup
C[2]
CC, subject
to asingle
non-trivial relation. Moreprecisely,
if V =F2
is a vector space of dimension t with standard basis over the field of two
elements
and 1/; :
V 2013~C[2]
maps the i-th basis vector in V to the class of pj inC, then o
issurjective
and its kernel is 1-dimensional. As isby
definition the ideal class of pi inC,
we want to know how often= 0 is the non-trivial relation between the classes of the ideals pi, i.e.
how often the element u =
(1)~=1
E Vmapping
togenerates
the kernel of1/;.
We take into account that u lies in thesubspace
V’ =0 -’(C [21
n C2),
and that the dimension of V’
equals
e+ 1,
where e =,log2
( # ( C (2~
nC2))
isthe 4-rank of the class group C.
This reduces the
question
to linearalgebra
on a vector space V’ whosedimension does not
depend
on the 2-rank of C(which,
as we have seen, is one less than the number t ofprime
divisors ofD),
butonly
on the 4-rankof C
(which,
apriori,
ismerely
boundedby
t-1),
Thus for e >0,
we writeD(e)
for the set of realquadratic
fields .K E D for which the 4-rank of the narrow class group Cequals
e. For K ED(e),
we want the non-zeroelement u in the
(e + 1 )-dimensional
vector space V’ to be thegenerator
of the 1-dimensionalsubspace ker 0
C V’. If we assume(somewhat
sloppily,
given
ourpresent
notation)
thatker 0
should behave like a ’random1-dimensional space of
V’,
weexpect
thefollowing
to hold.2.1. CONJECTURE. For every e >
0,
the subsetD(e)-
=D(e)
Cl D- hasnatural
density
(2e+1 _ l)-l
inD(e).
Conjecture
2.1 is a theorem for e =0,
in which case the 2-Hilbert classfield of K
equals
the genus field ofK,
and it suffices to observe that the genus field of a realquadratic
field is real if andonly
if we have K E D.A serious
problem
inproving
2.1 seems to be that we cannot sayanything
without
fixing
the number ofprimes
t in D. Moreprecisely,
the bestthing
that seems to be within reach at the moment is a result for the subsetDt
of Dconsisting
of discriminantshaving exactly
t distinctprime
divisors. SetDt(e)
=Dt
nD(e)
andDt(e)-
= Dt n
D(e)-.
Then 2.1 can be formulatedas follows for the sets
Dt.
2.2. CONJECTURE. For every
pair
(t, e)
of
integers
satisfying
0 et,
the subset
Dt(e)~
has natureldensity
(2e+1 _
1)-1 in
D(e).
So
far,
we canonly
prove upper and lower densities forDt(e)-
inDt (e)
that are not too far from the
conjectured density
(2e+1 _ 1)-1.
Forinstance,
it is shown in[11]
that,
for every t > e, the upperdensity
ofDt(e)-
inDt(e)
is bounded
by
2-e,
so theprobability
for the FrobeniusF 00
E C to be trivial decreases indeedexponentially
with the 4-rank e of C. For the values e = 1and e = 2 there are in addition the non-trivial lower bounds
1/4
and1/32
for the lower
density
ofDt(e)-
inDt(e).
The
problem
ofderiving density
results for D = from results onthe subsets
Dt
also arises when we want to prove that each subsetD(e)
hasa natural
density
inD,
which is necessary to obtain the value of P in 1.1from our
conjecture
2.1.Again,
if we fix the number ofprimes
inD,
thereis the
following
precise
result. For the details of theproof
we referagain
to(11~.
2.3. THEOREM. For each
pair
(t, e)
of
non-negative integers
satisfying
t > e, the set
Dt (e)
has a naturaldensity
insideDt
that isequal
to...-+-1 1 1 - - -*,
In order to
get
rid of thedependence
on t,
one observes that the numberw(D)
of distinctprime
factors of D has a normal order that tends toinfinity
with D. More
precisely,
one can show[4,
theorem431]
that for everye >0,
the set of D
satisfying
has
density
1. It is therefore veryplausible
toexpect
thatD(e)
has aby passing
to the limit t -~ oo in2.3,
yielding
a valueHowever,
the fact that we aredealing
with a countable setD,
which doesnot carry a a-additive measure, makes it unclear how this can be derived
from theorem 2.3.
Combination of theorem 2.3 with our weaker
conjecture
2.2yields
thefollowing.
2.4. THEOREM.
Let t 2:
1 be aninteger,
and suppose thatconjecture
2.2holds
f or
allpairs
(t, e) .
Then the naturaldensity o f Dt
insideDt
exists andequals
t-1 .. ,
e==U
where the rational numbers are as
defined
in theorem 2.3.The proven upper and lower bounds for the densities in
conjecture
2.2lead to unconditional results for the lower
density
P t
and the upperdensity
Pt
ofС
insideDt,
for which we refer to[11].
Thisyields
thefollowing
unconditional estimates for small t.
As we
already explained,
thedensity
resultcorresponding
to 2.4 for the fullset D is not a direct
corollary
of2.1,
since we do not know thatD(e)
has therequired density
in D.However,
under theassumption
that thisis indeed the case, we deduce from 2.1 that the natural
density
of D- in D exists and isequal
toThis is the first half of the
conjecture
in section 1.We
finally
observe that in order to observenumerically
that the naturalin a range where
W ~0 ~K) )
has alarge
average value. In any interval of theform
(1, X)
for which it iscomputationally
feasible to count the number of K ED^,
the slowgrowth
rate oflog log(A(K))
implies
that this willnot be the case. More
precisely,
theproportion
ofprime
discriminants,
which are all in
D~,
will be sohigh
that one findsapproximations
of therequired density
that areconsiderably larger
than P.However,
even whenworking
with small discriminantsonly
one can check the numerical ade-quacy of the basichypotheses
2.1 and 2.2directly
rather than from formalcorollaries as theorem
2.4,
see[11].
Extensive numerical evidence for ourbasic
assumptions
can be found in[2].
3. Thegeneral
caseIn order to answer
Nagell’s original
question,
we need to extend theanalysis
of theprevious
section toarbitrary
realquadratic
orders. We have seen that for the subset E C S ofsquarefree
numbers d withoutprime
divisorscongruent
to 3 mod4,
thedensity
of E- = E n S- in E isconjecturally equal
to the number P defined in the introduction. As Sconsists
by
definition of all non-squareintegers
D > 1 that are not divisibleby
4 or aprime
congruent
to 3 mod4,
standardarguments
show that the subset E ofsquarefree
elements in S has naturaldensity
in S. Now every element D E S can
uniquely
be written as D = withd and
f >
1,
and there is the obviousimplication
D = Ed E ~-. What we propose to do in this section is to define a function
:
Z~i 2013~
[0, 1]
suchthat,
at leastheuristically,
is the fraction of d E E- for which the converseholds,
i.e. thedensity
in E- of those dsatisfying
E S ~ . Inparticular,
we willhave ib( I)
=1and 1b( f)
= 0 iff
is divisibleby
2 or aprime
congruent
to 3 mod 4.The derivation of the heuristical
density Q
of S~ in S is thenstraight-forward. As the
counting
function for S grows like theden-sity
in S of the numbers D =f 2d
E S withgiven
’square part’ f equals
If we
require
in addition that thesquarefree
part
d bein E- ,
thisdensity
gets
multiplied by
P,
and if wefinally
wantf 2 d
E S-there isby
definitionof V)
an additional factoro (f ). Summing
overf ,
weWe will see in a moment
that V)
is amultiplicative
function definedby
ib( f) =
Epi f
prime’ 1)
so the Eulerproduct
expansion
shows that our
expression
forQ
is the same as the oneoccurring
in theintroduction.
In order to define the function
0,
we need to determine for everyf >
1the of those d in E - that
satisfy
f 2 d
E S- . A basicobser-vation,
due to R6dei[6],
is that thisonly depends
on the set ofprimes
dividing f .
He proves thefollowing.
3.1. LEMMA. Let d in E- and
f >
1 begiven,.
Thenf 2d is in
S-if
andonly
if p2d 2s
in S-for
everyprime
number Inaddition,
we have thefollowing.
(1)
if p =
2or p = 3 mod 4,
thenp2d is
not in57 ;
(2)
if p is
odd and dividesd,
thenp2d is
ins-;
(3)
if p -1 mod 4
and(p) _ -1,
then p2d is 2n s-.
We are still left with the case that p = 1 mod 4 is a
prime
thatsplits
completely
inQ(U2) .
This is the most difficult case, and there is nocrite-rion for
solvability
of thenegative
Pellequation
forp2d
that is similar tothose
given
in lemma 3.1.However,
we can prove thefollowing.
3.2. LEMMA. Let d zn E- and a
prime
p -1 mod 4 thatsplits completely
in be
given.
Let Ed be afondamental
unit in 0 =and pip
aprime
in 0. Thenp2d
is in S-if
andonly
if
the order(0/1’)* its
congruent
to 4 mod 8.Proof. Note first that the condition that the order of Ed be
congruent
to4 mod 8 does not
depend
on the choice of the fundamental unit.We have
p2d
E s- if andonly
if the orderOp =
of indexp in C? contains units of
negative
norm, and thishappens
if andonly
if d is in ~~ and thequotient
of unit groupsC~*/C~p,
which is finite andgenerated
by
Ed mod0;,
has odd order. We use the naturalembedding
C~*~C~p ~
In our case, thering
isisomorphic
toalong
thediagonal. Writing R :
() ~ for the reduction modulo aprime
p of C~
lying
over p, we have a naturalisomorphism
It follows that the
image
of ed
for d E E- has odd order in(0/pO)*/(Z/pZ)*
if and
only
if has odd order in(0/p)*.
As the order of isdivisible
by
4,
we arrive at the conclusion of the lemma. 0It follows from the
preceding
two lemmas that theprobability
with whichwe have
f 2d
E S- for fixedf depends strongly
on the residue class ofd E E- modulo
f .
We now invoke a result ofRieger
[8]
that tells us howthe elements of E are distributed over the residue classes modulo a
given
number
f .
3.3. THEOREM. Let
f
> 1 be aproduct of
distinctprirraes
congruent
to1 mod
4,
anddefine
Then the set
E f(a) _
{x
E ~ : x - a modf }
has a naturaldensity
insideE
for
eachinteger
a, and thisdensity equals
In
deriving
the correct value of~{ f ),
we need two ’reasonable’ assump-tions that appear to be correct inpractice,
but areprobably
not so easy toprove. The first
assumption
is that the distribution result in3.3,
which isproved
for Eonly,
remains correct if wereplace E by
~-. This is a naturalassumption
as no relations are known to exist between the residue class ofthe
discriminant A(K)
of a realquadratic
field K modulo an oddprime
p ~ 1 mod 4 and the
sign
of the norm of the fundamental unit of K.With this
assumption,
wetry
to establish for agiven
prime
number pthe natural
density
of the set of d E E- thatsatisfy
p2d
E S- insidelemma 3.1
(1).
For p == 1 mod4,
we knowby
the same lemma thatp2 d
is in S~ if theLegendre symbol
(~)
isequal
to 0 or -1. These d contributeto
by
3.3 and ourassumption.
For theremaining d,
i.e. those dsatisfying
(4)
= 1,
we have to determine in view of lemma 3.2 whether the order of the fundamental unit Ed modulo(a
prime
over)
p iscongruent
to4 mod 8. At this
point
we need a secondassumption,
on which we willcomment in a moment: the
elements Ed
for d E E-satisfying
(4
= 1 areP)
randomly
distributed over the non-zero residue classes modulo p, sothey
have order
congruent
to 4 mod 8 withprobability
21-v
for p aprime
withv ~
2 factors 2 in the factorization of~~Z~pZ)*
=p -1. Thus, writing
vp for the number of factors 2 in
p -1,
weexpect
a contributionto
0 (p)
from the d E ~- that lie in theP 21
residue
classes modulo psatisfying
(.4
= 1.Summarizing,
we see that0(p)
for pprime
has to be definedby
with vp
denoting
the number of factors 2occurring
inp -1.
We nowcom-bine lemma 3.1 and the
independence
of the distributions modulo differentprimes
pimplied by
3.3 to arrive at the definitionfor
arbitrary f >
1. Note that this is themultiplicative
definitionof 0
weused in our Euler
product
expansion.
The second
assumption
in thepreceding
heuristic derivation involves the distribution of the residue class of the fundamentalunit éd
modulo aprime
ideal p
of fixed index p in C~ = when d ranges over certain subsetsof E or E-. We assumed that this residue
class,
which is of courseonly
’equidistributed
over(O /p) * ’
if all theserings
are identified with~Z/pZ)*.
In certain situations similar to ours such
assumptions
have beenproved,
and numerical evidence for it exists in others. We refer to
[10]
forequidis-tribution results when d ranges over the
primes congruent
to 1 mod 4 and p is a power of theprime
over 2. In[9]
there are numerical data related toa
problem
ofEisenstein,
which deals with the case that d is asquarefree
number
congruent
to 5 mod 8and p
is theprime
20. For suchd,
thering
C~/2C~
is the field of 4elements, and Ed
turns out to be the unit element inthe group
(C~~2C~) * ^--’ Z/3Z
inapproximately
1 out of 3 cases. It is shown in[12]
that Ed is in the unit class forinfinitely
manyd,
and that the upperdensity
of the set of such d inside the set of allsquarefree
d = 5 mod 8 is at most1/2.
Unfortunately,
thegeneral
case of ourassumption
does notappear to be
easily
accessible at the moment.4. Generalizations
The
approach
we havegiven
to examine the distribution of the class of afixed
prime
over the class group in afamily
ofquadratic
fields canreadily
be extended to more
general
situations.Already
in the realquadratic
case, one can focus attention on theprecise
relation in the class group that exists between the classes of the
ramifying
primes
rather thanrestricting
one’s attention to thequestion
whetherF 00 =
0 is that relation. For adescription
of theequidistribution phenomenon
thatshould then be
expected
we refer to[11].
For abelian fields of
higher degree,
say ofprime
degree
p, thep-part
ofthe class group can be studied in a way that is
highly
similar to thestudy
of the 2-class group in thequadratic
case. One then studies thep-class
group as a module over thecomplete
cyclotomic
ring
R = In thissituation,
there isagain
anessentially
unique
relation between the classes ofthe
ramifying
primes
whose form can be examined. Its distribution shoulddepend
on them2-rank
of the class group, where m is the maximal ideal of R. We leave it to the reader to extend the heuristics from thequadratic
case to this more
general
situation. Unlike in thequadratic
case, there isto my
knowledge
no numerical material available that could be used to seewhether such heuristics
give
adescription
that is matchedby
the behaviorREFERENCES
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P. Stevenhagen, On a problem of Eisenstein, Acta Arith., (to appear, 1995).Peter STEVENHAGEN
Faculteit Wiskunde en Informatica Universiteit van Amsterdam
Plantage Muidergracht 24
1018 TV Amsterdam, Pays-Bas e-mail: psh©fwi.uva,nl