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Karl Mahlburg
PNAS 2005;102;15373-15376; originally published online Oct 10, 2005;
doi:10.1073/pnas.0506702102
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SEE COMMENTARY
Partition congruences and the
Andrews–Garvan–Dyson crank
Karl Mahlburg†
Department of Mathematics, University of Wisconsin, 418 Van Vleck Hall, E B, 480 Lincoln Drive, Madison, WI 53706
Communicated by George E. Andrews, Pennsylvania State University, University Park, PA, August 4, 2005 (received for review June 1, 2005)
再
partitions of a given integer n.
1 if r ⫽ 0,
Ramanujan’s celebrated congruences for the partition func- crank共 兲 :⫽ [1.6]
o共 兲 ⫺ r if r ⱖ 1.
tion state that
Clearly p(n) ⫽ M(0, N, n) ⫹ 䡠 䡠 䡠 ⫹ M(N ⫺ 1, N, n), and for
p共5n ⫹ 4兲 ⬅ 0 共mod 5兲, the Ramanujan congruences, all of these summands are equal.
p共7n ⫹ 5兲 ⬅ 0 共mod 7兲, [1.1] However, this behavior is atypical, and an unpublished conjec-
p共11n ⫹ 6兲 ⬅ 0 共mod 11兲. ture of Ono asserted that a different approach would show that
congruences for the partition function are related to the crank
Following the spirit of Ramanujan’s own work, Watson and in a universal manner.
Atkin extended these congruences to arbitrary powers of 5, 7,
and 11 (2). Sporadic progress was made in proving congruences Conjecture (Ono). For every prime ᐉ ⱖ 5 and integer ⱖ 1, there are
for primes up to 31, until Ono’s seminal work from 2000 (3) infinitely many non-nested arithmetic progressions An ⫹ B for
achieved a surprising improvement. He proved the existence of which
infinite families of partition congruences for every prime ᐉ ⱖ 5
by developing the p-adic theory of half-integral weight modular M共m, ᐉ, An ⫹ B兲 ⫽ 0 共mod ᐉ 兲,
forms. This result was expanded to include congruences for
for every 0 ⱕ m ⱕ ᐉ ⫺ 1.
every modulus coprime to 6 by Ahlgren and Ono (4, 5). These
In fact, the following theorem shows that the crank function
results are typically much more complicated than Ramanujan’s
actually satisfies congruences beyond those predicted by Ono.
original congruences, as displayed by the example
Theorem 1.1. Suppose that ᐉ ⱖ 5 is prime and that and j are
p共48037937n ⫹ 1122838兲 ⬅ 0 共mod 17兲. [1.2]
positive integers. Then there are infinitely many non-nested arith-
metic progressions An ⫹ B such that
However, there is another side to the story, which began when
Freeman Dyson wondered whether a simple statistic might M共m, ᐉj, An ⫹ B兲 ⬅ 0 共mod ᐉ 兲,
group the partitions into natural classes and explain the Ra-
manujan congruences. The rank of the partition 1 ⫹ 2 ⫹ 䡠 䡠 䡠 ⫹ simultaneously for every 0 ⱕ m ⱕ ᐉ j ⫺ 1.
k, is defined by Remark: The frequency of such congruences is quantified later
in this note by Theorem 4.1. An obvious implication of Theorem
MATHEMATICS
rank共 兲 :⫽ 1 ⫺ k. [1.3]
Dyson (1) observed empirically that this function decomposes See Commentary on page 15277.
the Ramanujan congruences modulo 5 and 7 into classes of equal †E-mail: mahlburg@math.wisc.edu.
size. For example, © 2005 by The National Academy of Sciences of the USA
denote the subsets of matrices that are congruent to (ⴱ0ⴱⴱ) and (10ⴱ1)
(mod N), respectively. If k 僆 21⺪, and ⌫⬘ 傺 ⌫ is such a congruence In Section 4 we will need to simultaneously find congruences
subgroup, then M !k(⌫⬘) denotes the vector space of nearly for two half-integral weight modular forms of different weights
holomorphic modular forms of weight k for the subgroup ⌫⬘ and levels. This situation is partially addressed by Ono’s theorem
(these are holomorphic on the upper half-plane H and mero- 2.2 in ref. 9, Ahlgren and Ono’s proof of lemma 3.1 in ref. 5, and
morphic at the cusps of ⌫⬘). The forms that are holomorphic at Serre’s arguments in ref. 10. The additional ingredients needed
the cusps are denoted by M k(⌫⬘), and the forms that vanish at to prove the next theorem are the integral weight Hecke
the cusps are denoted by S k(⌫⬘). If ⌫⬘ ⫽ ⌫ 0(N), then M !k(⌫ 0(N), operators, the famous Shimura correspondence, and the decom-
), M k(⌫ 0(N), ), or S k(⌫ 0(N), ) denotes the appropriate space position S k(⌫ 1(N)) ⫽ QS k(⌫ 0(N), ), where the sum is over all
of modular forms of weight k on ⌫ 0(N) with Nebentypus even characters .
character .
For a meromorphic function f on the upper half plane H, and Theorem 2.2. Suppose that k i and N i are positive integers for 1 ⱕ i ⱕ
an integer k, the ‘‘slash operator’’ is defined by f(z) 兩 k( ac bd) :⫽ r, and let g 1(z), . . . , g r(z) be half-integer weight cusp forms with
(cz ⫹ d) ⫺k f ((az ⫹ b)兾(cz ⫹ d)), for any ( ac bd) 僆 ⌫. A key algebraic integer coefficients such that g i(z) 僆 S ki⫹1/2(⌫ 1(N i)). If
property is that this is a group action in the sense that for any M 1, M ⱖ 1, then a positive proportion of primes p ⬅ ⫺1 (mod
M 2 僆 ⌫, (f(z) 兩 k M 1) 兩 k M 2 ⫽ f(z) 兩 k M 1M 2. N 1 䡠 䡠 䡠 N rM) have the property that for every i,
Let q :⫽ e 2iz. If f ⫽ ¥ ⬁n⫽0 a(n)q n 僆 M k(⌫ 0(N), ) and is
a Dirichlet character, then the twist of f by is gi共z兲兩T共p2兲 ⬅ 0 共mod M兲.
f共z兲 丢 :⫽ 冘
nⱖ0
共n兲a共n兲q n. [2.1] 3. The Crank Generating Function and Klein Forms
Let M(m, n) be the number of partitions of n such that
crank( ) ⫽ m. Using the generating function found by Andrews
Simple facts about Gauss sums allow one to rewrite the twist and Garvan (8), define
of a modular form using the slash operator in a manner that
冘 冘 冘
is independent of the weight. If p is a prime and ⬁
冘冉 冊
p⫺1
v 2iv/p m⫽⫺⬁ nⱖ0
gp :⫽ e
p
写 1⫺q n
v⫽1
⫽ . [3.1]
共1 ⫺ xq n兲共1 ⫺ x ⫺1q n兲
is the standard Gauss sum, then nⱖ1
冉 冊 冘冉 冊 冉 冊
p⫺1 Consider a positive integer N and set :⫽ e 2i/N. For any
• gp v 1 ⫺v兾p residue class m (mod N), elementary calculations give the
f共z兲 丢 ⫽ f共z兲 兩 . [2.2]
p p p 0 1 generating function for the crank
v⫽1
冘 冘
N⫺1
The half-integral weight Hecke operators are important tools 1
for finding congruences among the coefficients of modular M共m, N, n兲qn ⫽ F共s, z兲⫺ms
N
forms. If f(z) ⫽ ¥ nⱖ0 a(n)q n 僆 M k(⌫ 0(N), ) and k is not an nⱖ0 s⫽0
integer, then for a prime p ⱉ N the Hecke operator is defined by
冘冉 冉冊 冘 冉写 冊
N⫺1
1 共1 ⫺ qn兲
n k⫺3/2 ⫽ ⫺ms ⫺s n .
f共z兲兩T共p 兲 :⫽
2
a共p 2n兲 ⫹ *共p兲 p a共n兲 N 共1 ⫺ q 兲共1 ⫺ sqn兲
p s⫽0 nⱖ1
nⱖ0
冉 冊冊
[3.2]
n
⫹ *共p 兲p2 2k⫺2
a 2 n
q , [2.3] To prove congruences for this function, we need to show that
p
it is a modular form. Recall Dedekind’s eta-function
where
共z兲 :⫽ q 1/24 写 共1 ⫺ q n兲,
冉 冊
[3.3]
共 ⫺ 1兲k⫺1/2 nⱖ1
*共n兲 :⫽ 共n兲 .
n
which is a modular form of weight 1兾2. Perhaps less familiar are
All of these operators act on spaces of modular forms in an the Klein forms, which were studied extensively by Kubert and
easily described manner. Lang (11).
Definition 3.1: Let 1 ⱕ s ⱕ N ⫺ 1. The (0, s)–Klein form is
Proposition 2.1. Suppose that f(z) ⫽ ¥ nⱖ0 a(n)q n 僆 M k(⌫ 0(N), ). given by
exp(z) :⫽ e 2iz. Understanding the action of ⌫ on the Klein forms Et共z兲 :⫽ 僆 M ᐉt⫺1共⌫ 0共ᐉ t兲, ᐉ,t兲. [4.3]
is an important aspect of the proof of Theorem 1.1. The following 共ᐉ tz兲 2
Proposition 3.2. If ( ac bd) 僆 ⌫ 0(N), then also satisfies E t(z) ᐉ ⬅ 1 (mod ᐉ ⫹1) for any ⱖ 0. Similar facts
about eta-quotients, along with Corollary 3.3, show that
t0,s共z兲兩⫺1 冉 冊 a
c
b
d
⫽ 䡠t0,ds共z兲,
P共z兲 ⫽
ᐉ共ᐉz兲
僆 Mᐉ⫺1 ⌫0共ᐉ兲,
•
冉 冉 冊冊 , [4.4]
共z兲 2 ᐉ
where  is a root of unity given by  :⫽ exp(cs⫹(ds⫺ds))兾2N ⫺
cds 2兾2N 2). and
A simple calculation shows that this ‘‘multiplier system’’ is
!
always trivial for a certain congruence subgroup. Gm共z兲 僆 M ᐉ⫹1共⌫1共2N2兲兲. [4.5]
2
Corollary 3.3. If 1 ⱕ s ⱕ N ⫺ 1, then t 0,s(z) 僆 M !⫺1(⌫ 1(2N 2)).
Returning to the crank generating function, for 1 ⱕ s ⱕ N ⫺ For any function f(z) with a q-expansion, define
冉冊
1 Eq. 3.1 becomes
•
f̃共z兲 :⫽ f共z兲 ⫺ ᐉf共z兲 丢 .
1 sq1/24 ᐉ
F共s , z兲 ⫽ 䡠 . [3.4]
共z兲t0,s共z兲 2i
The line of argument in ref. 5 implies that if is sufficiently large,
The generating function for the partition function is ¥ nⱖ0 p(n)q n then there is some integer ⬘ ⱖ 1 and some character such that
⫽ ⌸ nⱖ1 1兾(1⫺q n), which is the s ⫽ 0 term in Eq. 3.2. Hence
P̃共24z兲
䡠 E 共24z兲ᐉ 僆 S⬘⫹1/2共⌫0共576ᐉmax兵3, j⫹1其兲, 兲.
冘 冘 冘 ᐉ共24ᐉz兲 j⫹1
N⫺1 ⫺ms
1 s 1
M共m, N, n兲qn ⫽ 䡠 q1/24 ⫹ p共n兲qn .
2iN 共z兲t0,s共z兲 N [4.6]
nⱖ0 s⫽1 nⱖ0
[3.5] We now show that a similar cusp form exists for G m(z).
4. The Proof of Theorem 1.1 Lemma 4.2. If is sufficiently large, then there is some ⱖ 1 such that
Sᐉ :⫽ 再 0ⱕⱕᐉ⫺1 冏 冉  ⫹ᐉ ␦ 冊 ⫽ 0 or ⫺ 冎 .
ᐉ
ᐉ Proof: Recalling Eq. 4.3, if is sufficiently large, then it only
needs to be shown that G m(z)兾 ᐉ(ᐉz) vanishes at each cusp a兾c
[4.1] with ᐉN 兩 c. If ( ac bd) 僆 ⌫ 0(ᐉN), then the expansion of 1兾 ᐉ(ᐉz)
2
at that cusp is (q ⫺ᐉ /24 ⫹ . . .) up to a root of unity. Thus, it must
The following theorem is a more precise description of the be proven that the expansion of G m(z) at a兾c is (*q h ⫹ . . .) for
congruences satisfied by the crank function, and it clearly implies some h ⬎ ᐉ 2兾24.
Theorem 1.1. Using Proposition 3.2 and Eq. 4.4, calculate
冉 冊 冉冊
Theorem 4.1. Suppose that ᐉ ⱖ 5 is prime, and j are positive
冏 冘
N⫺1
integers, and  僆 S ᐉ. Then a positive proportion of primes Q ⬅ ⫺1 a b 1 d ᐉ共ᐉz兲 s⫺ms
Gm共z兲 ᐉ⫹1 ⫽ , [4.8]
(mod 24ᐉ) have the property that for every 0 ⱕ m ⱕ ᐉ j ⫺ 1 2
c d 2i ᐉ 共z兲 st0,ds共z兲
s⫽1
冉
M m, ᐉj ,
Q 3n ⫹ 1
24
⬅0 冊 共mod ᐉ 兲, where the  s are the roots of unity described by Proposition 3.2.
To find the expansion of
for all n ⬅ 1 ⫺ 24  (mod 24ᐉ) that are not divisible by Q.
For the rest of this section, let N :⫽ ᐉ j be a fixed power of a
fixed prime ᐉ ⱖ 5. Theorem 2.2 applies to modular forms with
Gm共z兲 丢 冉冊
•
ᐉ
,
nⱖ0 nⱖ1
where
冘 冉 冊 冉 冊
N⫺1 ᐉ ⫺ms ᐉ
1 共ᐉz兲 s n 共ᐉz兲 a⬘ b⬘ a ⫺ cv兾ᐉ b ⫺ cvv⬘兾ᐉ2 ⫹ 共av⬘ ⫺ dv兲兾ᐉ
⫽ 䡠 ⫹ . [4.2] :⫽ .
2i 共z兲 t0,s共z兲 共z兲 c⬘ d⬘ c d ⫹ cv⬘兾ᐉ
s⫽1
冉 Gm共z兲 丢 冉 冊冊冏 冉 冊
•
ᐉ
ᐉ⫹1
a
c
b
d
⫽ 冘
n⬅24  ⫺1 共 mod 24ᐉ 兲
冉
NM m, N,
n⫹1 n
24
q . 冊
2
[4.11]
冉 冊 冘 冘冉 冊 冏冉10 冊
N⫺1 ᐉ⫺1
gᐉ d⬘ v ᐉ共ᐉz兲 s⫺ms ⫺v⬘兾ᐉ But Theorem 4.3 implies that
⫽ 䡠 .
2iᐉ ᐉ ᐉ 共z兲 ⬘st0,d⬘s共z兲 1
s⫽1 v⫽1 hm,共z兲 ⬅ Fm,共z兲 ⫹ F⬘共z兲 共mod ᐉ 兲, [4.12]
[4.10] where Fm,(z) and F⬘(z) are defined by restricting Fm(z) and
Since d⬘ ⬅ d (mod N) and ᐉN 兩 c, a short computation verifies that F⬘(z) to only those indices with n⬘ ⬅  ⫹ ␦ᐉ (mod ᐉ).
s⬘ ⫽ s. An additional calculation then shows that the first term of Proposition 2.1 and Theorem 2.2 then show that a positive
Eq. 4.8 is ᐉ times the first term of Eq. 4.10. Thus, the expansion of proportion of primes Q ⬅ ⫺1 (mod 24ᐉ) have the prop-
G̃m(z) has the form (*q␦ᐉ⫹1 ⫹ . . .), and ␦ᐉ ⫹ 1 ⬎ ᐉ2兾24. erty that
The following theorem is now proved, as F⬘(z) is defined by
Fm,共z兲兩T共Q2兲 ⬅ F⬘共z兲兩T共Q2兲 ⬅ 0 共mod ᐉ 兲,
Eq. 4.6, and F m(z) is described by Lemma 4.2.
for all m. Replace n by Qn in Eq. 2.3 to see that
Theorem 4.3. For any ⱖ 0 and 0 ⱕ m ⱕ N ⫺ 1, there is a character
, positive integers and ⬘, and modular forms F m(z) 僆
S ⫹1/2(⌫ 1(576ᐉ 2N 2)) and F⬘(z) 僆 S ⬘⫹1/2(⌫ 0(576ᐉ max{3, j⫹1}), )
such that
冉
NM m, N,
Q 3n ⫹ 1
24
⬅0 冊 共mod ᐉ 兲, [4.13]
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