Rigid cohomology and p-adic point counting
par ALAN G.B. LAUDER
RÉSUMÉ. Je
présente quelques algorithmes
pour calculer la fonc- tion zêta d’une variétéalgébrique
sur un corps fini qui sont baséssur la
cohomologie rigide.
Deux méthodes distinctes sont élaborées à 1’ aide d’unexemple.
ABSTRACT. I discuss some
algorithms
for computing the zetafunction of an
algebraic
variety over a finite field which are based uponrigid cohomology.
Two distinctapproaches
are illustrated with a workedexample.
1. Introduction
I consider the
problem
ofcomputing
the zeta function of analgebraic variety
defined over a finite field. Thisproblem
has beenpushed
into thelimelight
in recent years because of itsimportance
incryptography,
at leastin the case of curves. Wan’s excellent survey article
gives
an overviewof what has been
achieved,
and what remains to bedone,
on thetopic
[16].
The purpose of thisexpository
article is to extract the essential con-tent of
previous results,
and contrast this with some newdevelopments
inp-adic point counting.
All of thep-adic algorithms
I discussrely
uponrigid cohomology
in someincarnation,
and the alternativeapproaches pioneered by
Mestre and Satoh are not touched upon.Moreover,
little attention ispaid
to theprecise running
times ofalgorithms,
the focus insteadbeing
onthe
qualitative
nature of thecomplexities
ofalgorithms.
For this reason, muchsignificant
recent workusing rigid cohomology, by Denef, Gaudry, Gerkmann, Gurel,
Vercauteren andothers,
is not mentioned.Let
IFq
be a finite fieldwith q
elements of characteristic p. Let X be analgebraic variety
defined overFog.
For eachpositive integer 1~,
denoteby Nk
the number of
JFqk-rational points
on X . The zeta functionZ(X, T)
of Xis the formal power series
The author is a Royal Society University Research Fellow. He wishes to thank Hendriks Hubrechts and Elmar Grosse-Kl6nne for their help.
By
a famous theorem ofDwork,
this power series is known to be a rational functionP(T)/Q(T),
whereP(T), Q(T)
E 1 +TZ[T]
withgcd(P, Q)
= 1.Thus the zeta function of X can be
finitely described,
and ameaningful question
to ask then is: Can one compute it? To address thisquestion,
let us for
simplicity
assume that X is an affinevariety,
definedby
thecommon
vanishing
of a finite set of n-variatepolynomials.
The obviousapproach
is to determineNk
for k =1, 2, ... , 2D by evaluating
all thedefining polynomials
at allpoints
in affine n-space over Here D is any upper bound ondeg(P)
+deg(Q).
Thisgives
the first 2D + 1 coefficients in the localexpansion
of the rational function around theorigin,
and it canthen be recovered
using
linearalgebra.
This worksprovided
one knows apriori
an upper bound D.Fortunately,
Bombieri hasproved
such a bound interms
of n,
the number ofdefining polynomials,
and theirdegrees [2].
Thusthe answer to our first
question
for affine varieties is "Yes"[16, Corollary 2.7].
Moregeneral
varieties can bedecomposed
into affinepieces,
and thesame
approach
thenapplies.
A much more
interesting question
to ask is: Is there an efficientalgorithm
for
computing Z(X, T), i.e.,
analgorithm
whoserunning
time is boundedby
apolynomial
function in theinput
size? Forexample,
let us considerthe case of a
projective hypersurface
definedby
ahomogeneous polynomial f
ofdegree
d > 2 in n > 2 variables overFq.
* A workable measure of the"size" of this
polynomial
isdn-l lg(q) bits,
wherelg(q)
:=(L’092(q)]
+1).
We then
require
analgorithm
whoserunning
time is bitoperations,
or put moresimply, (dn lg(q))0(1)
bitoperations.
It is notdifficult to check that the
running
time of our naivealgorithm
forcomputing
the zeta function is
actually exponential
in d~lg(q).
Thuscertainly
a moresophisticated approach
isrequired,
as discussed in the next section.2.
Cohomological
formulae andprevious
resultsCohomological
formulae allow one to express the zeta function as analternating product
of characteristicpolynomials
of maps on certain finite dimensional spaces.Specifically
one hasHere
Frobq
is thegeometric
Frobeniusacting
oncohomology.
The cohomol- ogy spaceH*(X) depends
upon whichcohomology theory
one uses. Forexample,
onemight
take =Het,c(X, Qt),
f-adic 6talecohomology
with compact
support
where~
p. In thissituation,
if one cancompute
the reduction modulo of the characteristic
polynomials
forenough
"smallprimes" £,
the Chinese Remainder Theorem can be used to recover the zeta function.Unfortunately,
the methods usedby
Grothendieck to prove hisf-adic formula do not seem suited to
algorithmic applications. However,
forcurves and abelian
varieties,
the more constructiveapproach
of Weil doeslead to
algorithms [13, 14]:
Theorem 2.1
(Schoof Pila).
The zetafunction of
a smoothprojective
curvebirational to a
plane
curveof degree
d overIFQ
can becomputed
determi-nistically
inlg(q)cd
bitoperations, for
someexponent Cd depending
on d.In the
original
work of Schoof and Pila theexponent Cd depends
at leastexponentially
on d.Huang
and Ierardi have a different but relatedalgo-
rithm for which
Cd
=do(’),
but thisalgorithm requires
some randomisation[7].
Forelliptic
curves,significant improvements
have been found to theseapproaches,
mostnotably through
the work of Elkies and Atkin[6].
A more fruitful
approach
when the characteristic p is "small" is to use ap-adic
formula. Forexample,
one can take =Hrig,,(X, Qq), rigid
cohomology
withcompact support,
where~p
ofdegree Rigid cohomology
has anexplicit description
in termsof de Rham
complexes.
This allows one tocompute
therequired
matrices.Specifically,
first one observes thatFrobq
= whereFrobp
is theabsolute Frobenius map. The matrix of
Frobp
can becomputed
modulosome
suitably large
power of pby lifting
to the de Rhamcomplex,
whereits action is
given
veryexplicitly,
andperforming
some kind ofcohomologi-
cal reduction. This
approach
was firstexplored by Kedlaya,
and seems very useful for curves[8].
An evensimpler approach
is to use a trace formulawhich is defined on the de Rham
complex itself,
as then one can avoid coho-mology altogether.
Forexample
the Dwork TraceFormula,
which describes the zeta function in terms of the Fredholm determinant of a certain com-pletely
continuousoperator
on an infinite dimensionalp-adic
Banach space[4].
This formula was used to obtain thefollowing
result[12,
Theorem1].
Theorem 2.2. The zeta
function of
anaffine hypersurface defined by
apolynomials of degree
d in n variables over1Fq
can becomputed
determinis-tically
in(pdn
bitoperations.
Here p is the characteristicof
thefield IE’Q.
Working
on the de Rhamcomplex
allows one to circumvent anyprob-
lems caused
by singularities.
Fornon-singular hypersurfaces
the more prac- ticalapproach
describedby Kedlaya
isbetter,
but thecomplexity
remainsbit
operations.
The reason for this is that in bothalgo-
rithms one
computes
the Frobenius action on the de Rhamcomplex.
InKedlaya’s algorithm
one then reduces back intocohomology.
The elementsone
computes
on the de Rhamcomplex
are truncated power series ofdegree log(q))
in n variables. Such power series take up bits of space, and this dominates thecomplexity
of bothapproaches.
To makefurther progress with
p-adic cohomology
one needs a method offinding
theabsolute Frobenius matrix which
entirely
avoidscomputations
on the deRham
complex itself,
and workssolely
on thehomology
of thecomplex.
Such a method is introduced in the next section.
3. The deformation
algorithm
Recently
I haveproved
thefollowing
theorem[11,
Theorem 1 and Note21~.
Theorem 3.1. The zeta
function of
a smoothprojective hypersurface
de-fined by
ahomogeneous polynomial of degree
d in n variables overIFQ
can becornputed deterrrainistically
in(pdn lg(q))0(1)
bitoperations, provided p ~
2and p does not divide d. Here p is the characteristic
of
thefield IFQ.
*The
improvement
is that theexponent
nolonger depends
upon n. Infact,
the exponent is rather small: forexample,
thedependence
onlg(q)
isessentially
third powerregardless
of the dimension.Although
an undesiredfactor
po(l)
still occurs, it is of interest to note that thealgorithm
doesgive
a non-trivial result even for
prime
fields[11,
Theorem 2 and Note21].
Theorem 3.2. Let
f
EZ[Xl,..., Xn]
behomogeneous of degree
d andassumes that the
projective hypersurface defined by
theequation f
= 0 issmooth. For any E >
0,
there exists anexplicit
deterministicalgorithm
which takes as
input
aprime
p,outputs
the numberof
solutions to theequations f
= 0 mod p, andrequires
bitoperations.
Note that the hidden constant in the
big-Oh
notationdepends
now uponf,
whereas in allprevious
results it was an absolute constant. A naiveapproach
to thisproblem
wouldrequire O(pn-2+ê)
bitoperations.
The theorems are
proved
in a very indirect manner which isinspired by
the beautiful paper of Dwork
[5].
Here is a sketch of the method: Thehyper-
surface is embedded in a one-dimensional
family
over a subset of the affine line whose fibre at theorigin
is a smoothdiagonal hypersurface. Specifi- cally,
one definesf (F) = Xd
+fh(Xl,..., Xn),
so thatf (1)
is theoriginal polynomial
which defines the smoothprojective hypersurface
overFq
andf (0)
is adiagonal
form. The relativerigid cohomology
of thisfamily
has the structure of an
overconvergent F-isocrystal
with connection.(I
ac-tually
work with an older version of thiscohomology theory
due toDwork.) Concretely,
thisjust
means that one has a relative Frobenius mapFrobp(F)
and a linear differential
operator acting
on the middle-dimensionalpiece
ofcohomology,
andthey
commute in anappropriate
sense. Thiscommutativity gives
a local factorisation of the Frobeniusoperator
around theorigin
in terms of its value at theorigin
and the local solution matrix of the differentialoperator
around theorigin.
The differentialoperator
canbe constructed and solved
locally
within therequired
time.Similarly,
theFrobenius matrix at the
origin
can begiven explicitly,
since it is the Frobe- nius matrix of adiagonal hypersurface. Finally,
one needs to recover amatrix for
Frobp(l),
which is the Frobenius matrix of the initialhypersur- face,
from the localexpansion of Frobp (F)
around theorigin. Unfortunately
this
expansion
will not ingeneral
converge on the closedp-adic
unitdisk,
because of
singular
fibres in thefamily. However,
one can calculate boundson the domain of
holomorphy
of the entries in a matrix forFrobp(h),
asp-adic holomorphic
functions in the sense of Krasner. These bounds allowone to
compute
a matrix forFrobp(l)
in an indirect manner from the localexpansion.
This laststep
can bethought
of as some kind of"p-adic analytic
continuation" .
The
technique
ofdeforming
onepolynomial
into another is reminiscent of the"homotopy
methods" used in numericalanalysis [3,
Section4.2].
Itseems
quite
remarkable that such methods also lead topowerful algorithms
for
polynomials
over finite fields! Theapproach
should extend toquite general
smoothvarieties,
thekey difficulty being
that one needsexplicit
estimates on the domain of
holomorphy
of the relative Frobenius matrixFrobp(r). Rigid cohomology itself just
tells one that the matrix is overcon-vergent.
I like to call the
approach
used above thedeformation algorithm.
Tomy
knowledge,
thetechnique
was first introduced in[10],
andapplied
inthat paper to the easier case of L-functions of certain additive character
sums. Nobuo Tsuzuki from Hiroshima
University
has alsoindependently
been
exploring quite
similar ideas forcomputing
L-functions of some one-dimensional Kloosterman sums. His results are
presented
in[15], along
with details of a
computer implementation.
4. Some details for
hyperelliptic
curvesThe purpose of this section is to
give
the reader an idea of the theoretical constructionsunderlying
the deformationalgorithm.
Rather thanworking
with Dwork’s version of
rigid cohomology
for smoothprojective hypersur- faces,
I believe it is morehelpful
to the reader if I discuss how one canapply
similar ideas to certain smooth afline curves. For in the case of affine curves, one can work in thesetting
ofMonsky-Washnitzer cohomology,
anolder
special
case ofrigid cohomology.
Thiscohomology theory
is ap-adic analytic
version ofalgebraic
de Rhamcohomology,
and thealgebraic
struc-tures needed then turn out to be rather
pretty
"commutative squares and cubes" . I have not worked out any of the essentialp-adic analytic
details inthis
setting.
This is rather hardwork,
and Icompletely
avoid this aspect in the discussion below.Consider the case of a smooth affine curve X defined
by
thesystem
ofequations
- -over a finite field
Fq
of odd characteristic p. HereQ
is apolynomial
overIF9
of
degree 2g + 1
with distinct roots. This isexactly
the situation discussed in detail in the paper ofKedlaya [8].
Let A :=1Fq[X, Y, Y-1)/(Y2 - Q(X))
be the coordinate
ring
of X. Letp-adic
fieldQp
ofdegree
andZq
thering
ofintegers
ofQq-
Choosea
p-adic
liftQ
EZq [X]
ofdegree 2g
+ 1 of thepolynomial Q.
DefineThis
ring
is the meakcompletion
of ap-adic
lift ofA,
see[9]
for a moredetailed discussion of such
rings.
The module of continuousQq-linear
dif-ferentials
S2(At)
can be identified with the set of elements of the form *dX for * EAt.
We shalljust
writeAtdX
forQ(At).
The universal deriva- tion d :At ~ AtdX
maps a series r to We need to lift thepth
power Frobeniusring monomorphism Frobp
from A toAt.
We cando this
by
firstdefining Frobp(X)
:=XP,
andFrobp(c)
= c’ for c Ewhere a is the
automorphism
ofQq lifting
thepth
power Frobenius au-tomorphism
onIFq.
NowFrobp
can be definedby continuity
on elementsin
At provided
we can work out where it sends We must have that=
Frobp(Q)
=0"(XP). Defining
does the trick. The
righthand-side
squares toQU(XP)
and sincepl(Q(X)P- Q’(XP))
it can beexpanded
as a series inAt.
It isprecisely
theproblem of defining
which forced us to take somelarger "completion"
ofa
p-adic
lift of A.The next
diagram
commutes:Here we define
Frobp(dX)
:=d(XP)
=pXP-ldX. Kedlaya
showed that tocompute the zeta function of X it is
enough
to find a matrix for the actionof
Frobp
on the cokernel of the map£dX, i.e.,
on the space :==(Note
thatFrobp
is a a-linear map on this space, rather thana linear
map.)
This space has finite dimension4g+ 1 over Qq.
Itsplits
intopositive
andnegative eigenspaces
under the map inducedby
of dimension
2g+1
and2g respectively.
Eacheigenspace
is stable under the map inducedby Frobp,
andKedlaya
showed that one needonly
considerthe action on the
negative eigenspace. However,
to saveintroducing
toomuch
notation,
we shalljust ignore
this observation.A basis for is
given by
the formsWe reduce elements of
AtdX
to linear combinations of these basis elements modulo as follows. For B E sincegcd(Q, Q’)
=1,
whereQ’
=#,
we can write B =RQ
+SQi
for somepolynomials R
and Swhose
degrees
may beexplicitly
bounded. For m > 1Hence in
homology:
This reduces all "rational forms" to the
shape *dX / Qj /2, for j
=1, 2
and* E Reduction of * to a
polynomial
of theappropriate degree
iseasier: A form
*dX/ VQ
with * ofdegree rn
>2g
can be reduced indegree by subtracting
anappropriate
constantmultiple
ofd(Xm-2gVQ);
a form*dX/Q
with * ofdegree
m >2g
can be reduced indegree by subtracting
an
appropriate
constantmultiple
ofd(X "2-29 ) .
Forms inAt
arep-adic
limits of rational
forms,
and since derivation is continuous we can reduce elements inAt
to the limits of reduced rational forms. It isprecisely
the"weak
completion"
condition that ensures these limitsactually
exist.To compute the Frobenius
action, following Kedlaya,
one computes itexplicitly
on the basis ofgiving
a series inAtdX ,
and reduces this series back to a linear combination of the basis elements. Of course, all this is done to somerequired p-adic
accuracy. Thisapproach
is excellent for curves;however,
forhigher
dimensional varieties theexplicit computation
ofthe Frobenius map on the "de Rham
complex" impacts
on thecomplexity.
I will now sketch how the deformation
algorithm gets
around thisproblem.
(Admittedly,
my sketch is in the case of curves, where theproblem
is notso
significant anyway.)
Let r be a new
parameter,
and letQ(X, r)
EZq [X, r~
be such thatQ(X, 1)
is our oldpolynomial Q.
AssumeQ(X, T)
is monic in X ofdegree 2g + 1.
Definethe resultant with
respect
to X ofQ
and~.
LetCp
be thecompletion
ofan
algebraic
closure of,
andIFQ
be the residue class field ofCp. For
EIF9 let 7
ECp
denote the Teichmuller lift of 1. Foreach y
EIFQ,
letX,
be theaffine curve over
Fq(y)
definedby
theequations y2
=Q(X,7)
mod p, 0 mod p.Forty
EIF’q
withr(~y) ~
0 mod p, the curveX7
is smooth. Thuswe have a
family
of smooth affine curves over the linef 7-
EFq I r(7) ~
0 mod
p}.
Let us denote thefamily by
X and the base spaceby
S. Assumethat
Q(X, 0)
mod p issquare-free
ofdegree 2g + 1,
so thatr(0) ~
0 mod p.We wish to
compute
the zeta function of the smooth fibreXi.
We assumethat the Frobenius matrix of
X6
isalready known,
thatis,
the matrix for the actionof Frobp
onHÄtw(Xõ).
Forexample,
as in the case in[11],
it maybe that there is an
explicit
formula for the entries in the Frobenius matrix which iseasily computed.
Oralternatively,
we may havecomputed
theFrobenius matrix for this fibre
using Kedlaya’s algorithm
and now wantto find that of other fibres.
(There
isactually
some sense inthis,
sincefor families of curves defined over
prime
fields the spacecomplexity
of thedeformation
algorithm
isquadratic
inlog(q),
rather than cubic as in thecase of
Kedlaya’s algorithm.
Note that forgeneral
curves the deformationalgorithm
does not appear toimprove
uponKedlaya’s approach,
the clearbenefit
being
forhigher
dimensionalvarieties.)
We need relative versions of the
rings
and modules we worked withabove, i.e.,
modules of continuous relative differentials etc. Care must be taken indefining
thesealgebraic
structures, to ensure that finitedimensionality
ofquotients
is retained. Define S to be the weakcompletion
ofQq[f,
and T to be the weak
completion Y, Y-1, T, T)).
Define
Frobp(F)
:= FP andFrobp(dF)
:=prp-ldf
and letFrobp
act on allother
symbols
we encounterexactly
as before. Notethough
that nowFrobp
acts on
y’Q(X,f)
via the formula(4.1),
but with"QU(XP)" replaced by TP)’~ .
.The next
diagram
commutes:Here TdX is
just
the "module of continuous relative differentialsSZ(T/,S’)" .
As
before,
we need to understand the map induced on the cokernelTdX/~dX by Frobp.
Call this cokernelHÂ1wCX/S).
Iclaim,
but do notprove, that this is a free S-module with basis the set
(4.3).
To seewhy
thisshould be true,
observe, using resultants,
that for any EZq [X, r~
we can find
R, S
E such thatr(T)B
= So formulae similar to(4.4)
reduce rational forms toQg[F, 1/r(r)]-linear
combinations of the basis set - thekey
difference is that a factorr(T)
is introduced onthe denominator on each reduction
step.
To ensure this process converges in thep-adic limit,
one must define therings
S and T withgreat
care in the firstplace.
I believe that my definitions for S and T should ensure this.In any case, let us
proceed
under theassumption
that my claim is true.Let
(Frobp(T))
be the matrix with respect to the basis(4.3)
for the map whichFrobp
induces on the free S-moduleHÂ1weK/S). (Note
that it is not a linear map, but is additive withFrobp(c(T)m)
=cO"(rP)Frobp(m)
forc(r)
E S and m E This matrix contains entries which areelements in
S,
that is of the formwith linear
decay
conditions onord(ai)
andord(bj ())
asi, j
~ oo. More-over,
by
ourconstruction, (Frobp(-y)) equals
the Frobenius matrix for the fibreX,
for any Teichmfllerpoint
q, for in those cases Our aim in the deformationalgorithm
is tocompute
this matrix(Frobp(f)),
for then we may recover the Frobenius matrix of any fibre
by specialisa-
tion. We
compute (Frobp(F))
from(Frobp(O))
and the fact that it satisfiesa differential
equation,
as we now describe.We have another commutative
diagram:
It commutes
by
thecommutativity
ofpartial
differentiation.Along
withthe
previous diagram (4.5), diagram (4.6)
fits into a "commutative cube".Specifically,
the front face of cube isdiagram (4.5),
and the back face dia- gram(4.5)
with thesymbol
drappended
to all modules. The top face isdiagram (4.6)
and the bottom face alsodiagram (4.6).
The left andright
faces of the cube are also commutative
diagrams,
since the Frobenius map commutes withpartial
differentiationby
T.Descending
tohomology
on therighthand
face of the cube weget
anothercommutative
diagram:
Let V denote the map rhe
map V
is called the connection and the
pair (k’robp, V)
theoverconvergent F-isocrystal
definedby taking
the "relativeMonsky-Washnitzer
cohomo-logy"
of thefamily
in the middle dimension. Themap V
is additive and satisfies the Leibnizrule, i.e.,
= + for c E S andThe action of V on the basis
(4.3)
ofHMyj,(X/S)
can becomputed
explicitly by differentiating
the basis elements withrespect
to r andusing
the reduction formulae. This
gives
amatrix, B(F)
say, for the differential operator V. Thecommutativity V
oFrobp
=Frobp
o V of the connectionand
Frobenius,
as indiagram (4.7), yields
the differentialequation
To compute
(Frobp(r))
one could solve thislocally
around thenon-singular point
f =0, using
theforegiven knowledge
of(FrobP(0))
as the initialcondition,
and then recover the matrix(Frobp(F)) globally
from its localexpansion.
The latter can be done rathereasily, although
one must havea
priori
bounds on thedecay
of the entries in the matrix(Frobp(f)),
see[11,
Section8].
An alternative
approach
is tocompute
a basis of local solutions to the dif- ferentialequation V
= 0 around theorigin. Specifically,
solve the differen-tial
equation
where the matrix
C(T)
has entries inDiagram (4.7)
shows thatFrobp
is stable on the basis of localsolutions,
which leads to theequation
Thus we
get
a local factorisation of the Frobenius matrixaround the
origin.
Onceagain,
one can recover the Frobenius matrixglo- bally
from its localexpansion.
This wasactually
theapproach
taken in[10, 11].
In[10]
the localexpansion actually converged
on the closedp-adic
unit
disk,
which was ahelpful simplification.
Whether one uses the first
approach
or thesecond,
the essentialpoint
isthat the matrix can be
computed easily.
Infact,
if we take a"lifting"
of our
family
to thecomplex numbers,
it isjust
the classical Picard-Fuchs matrix for thefamily
ofcomplex
curves. Allsubsequent computations
inboth
approaches
involve rational functions in thesingle parameter F,
andnowhere does one have to
compute
the Frobenius map on the de Rhamcomplex. (Note
that elements in S reduce to rational functions when oneworks to a finite
p-adic precision.)
This is the reason that thecomplexity
of the deformation
algorithm
does not increase with the dimension of thevariety.
This
completes
my sketch of the deformationalgorithm
for the case ofhyperelliptic
curves in odd characteristic. Ihope
the expert inp-adic
co-homology
has found the sketch useful inidentifying precisely
how Iexploit
the
theory,
and the non-expert found it a readable introduction to a very beautifulpart
of numbertheory.
References
[1] P. BACHMANN, Zur Theory von Jacobi’s Kettenbruch-Algorithmen. J. Reine Angew. Math.
75 (1873), 25-34.
[2] E. BOMBIERI, On exponential sums in finite fields II. Invent. Math. 47 (1978), 29-39.
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Available at: http://www.math.uci.edu/~dwan/preprint.html
Alan G.B. LAUDER Mathematical Institute Oxford University
24-29 St Giles Oxford OX1 3LB
E-mail : lauder@maths . ox . ac . uk
URL: http : //www . maths . ox . ac . uk/Nlauder/