SOME PATHOLOGIES OF FANO MANIFOLDS IN POSITIVE
CHARACTERISTICILYA KARZHEMANOVAbstract. We construct examples of Fano manifolds, which are defined overa field of positive characteristic, but not over C.

1. Introduction
1.1. Let X be a Fano variety defined over a ground field k = k̄ (see [12] or [16,Ch. V] for the basic notions and facts). We will also assume X to be smooth.
The main concern of the present note is the following:
Question. Suppose p := char k > 0. Does there exist X non-liftable to char = 0(hence, in particular, H 2 (X, TX ) 6= 0), i.e. is it true that there is always somevariety X0 , defined over a Z-subalgebra R ⊂ C of finite type, so that X = X0 ⊗R k
for k := R/p and a prime ideal p ⊂ R with p ∩ Z = (p)?
The problem is trivial for dim X = 1, a bit trickier when dim X = 2 (but still
one does not obtain any new del Pezzo surfaces in positive characteristic due to e.g.
[19, Ch. IV,§2]), and does not seem to get much attention in the case of dim X ≥ 3.
Remark 1.2. In [5], many (both non- and algebraic) Calabi-Yau 3-folds, defined overFp , have been constructed. The idea was to take a rigid (i.e. with H 1 (T ) = 0) nodal
CY variety X , defined over Z, in such a way that its mod p reduction Xp := X ⊗Z Fp
acquires an additional node. Then the needed CY 3-fold X is constructed via asmall resolution X −→ Xp (see [5, Theorem 4.3]). We will discuss other (generaltype) examples in Remark 1.5 below.
Recall that partial classification of Fano 3-folds X, subject to the “numerical”
constraints rk Pic = 1 and either p > 5 or D · c2 (X) > 0 for any ample divisor D
on X, was obtained in [30].1) As it turns out, all these X do admit a lifting to C,
which is insufficient for us (cf. [1], [7], [20], [29]).
Thus, in order to find X with an interesting behavior in positive characteristic
one should turn to the “qualitative” properties of Fano varieties, as the following
example suggests (compare with Remark 1.2):
P
Example 1.3. The hypersurface Yp := ( xpi yi = 0) ⊂ Pn × Pn (see [16, (1.4.3.2)])
is a Fano variety iff p ≤ n. Furthermore, Yp is an (obvious) SL(n + 1)-homogeneous
space, which can deform to a non-homogeneous variety. This violates a similar
property of homogeneous spaces defined over k ⊆ C. On the other hand, one1)Actually, in the light of Corollary 1.7 below, for the arguments in [30] to carry on (cf. [30,
Theorem 1.4]) one has to assume in addition that H 1 (X, OX (−D)) = 0 for any (or at least thoseconsidered in [30]) ample divisors D on X.
1

may consider quotient schemes G/P , where G is a semi-simple algebraic group andP ⊂ G is its non-reduced parabolic subgroup. (These G/P are rational for p > 3
due to [35].) Yet, unfortunately, both of the examples lift to characteristic 0, at least
when rk Pic = 1 (cf. the discussion in [30]).2) Finally, let us mention p-coverings X
of Fano hypersurfaces in Pn+1 , for which ∧n−1 Ω1X contains a positive line subbundle(see [15]). But again, even though this property of ∧n−1 Ω1X is specific to positive
characteristic (see e.g. [3]), X is (obviously) liftable to C.
We answer our Question via the next
Theorem 1.4. For any p ≥ 3 and d, N À 1, there exists a flat family X −→ Bd of
Fano 3-folds, parameterized by an algebraic variety Bd of dimension 2d, such that• the fiber X := Xb is non-liftable to char = 0 for generic b ∈ Bd ;• the fibers Xb and Xb0 are non-isomorphic for generic b ∈ Bd , b0 ∈ Bd0 , with
d 6= d0 ;3• (−KX) ≥ N for the anticanonical degree of X = Xb .
bRemark 1.5. Examples of manifolds (in arbitrary dimension) of general type violating Kodaira vanishing – more precisely, having H 1 (L−1 ) 6= 0 for an ample line
bundle L, – have been constructed in [22]. This was a development of the methodfrom [28], where a surface S of general type (with H 1 (S, L−1 ) 6= 0) is constructed
together with a morphism S −→ C onto a curve, so that the k(C)-curve S violates
the Mordell-Weill property. We follow these trends starting from 2.6 below, for the
3-fold X we need is constructed by finding a P1 -bundle W over S first, with −KW
nef, and then taking a p-covering X −→ W à la [9].
Next corollary complements the results mentioned in Remarks 1.2, 1.5:
Corollary 1.6. For generic X as in Theorem 1.4 and m À 1, there is a cyclic
m-covering πm : Xm −→ X such that Xm is smooth, KXm is nef, and Xm is
non-liftable to char = 0.
The proof of Theorem 1.4 also yields (compare with [31])Corollary 1.7. In the notations from Corollary 1.6, irregularity q(X) 6= 0, as wellas q(Xm ) 6= 0.
(Both of Corollaries 1.6, 1.7 are proved at the end of Section 2.)
1.8. Theorem 1.4 and Corollaries 1.6, 1.7 seem to be the “minimal” illustrations ofpathological behavior of Fano varieties in positive characteristic (cf. the discussion
after Remark 1.2). Note also that Theorem 1.4 provides an unbounded familyof (smooth) Fano 3-folds (cf. [17], [26]). Furthermore, it follows easily from thearguments after Lemma 2.13 below that the cones N E(Xb ), with varying b ∈ Bd ,admit infinitely many “jumps” (compare with [34], [6], [36]).
2)Another possible approach to answer Question affirmatively is via the wild conic bundle
structures (for p = 2) on Fano manifolds (see [30, Theorem 5.5]). But again one does not getanything new in characteristic 2 due to [21, Theorem 7] (see also [33] for some discussion andresults on (birational) geometry of wild conic bundles).
2Thus, one can see that essentially every “standard” property of Fano manifolds
breaks in positive characteristic, the fact which is due (in our opinion) to the following principle behind (compare with Remark 2.11 below):every object over k, char k > 0, is defined only up to the Frobenius twist.3)(This was probably first exploited in [32], while the ultimate reading on the subject
are [23], [24] and [25] of course.)
Finally, it would be interesting to work out the constructions in 2.8, taking a(supersingular) Kummer surface in place of S (cf. [4]).
2. The construction
2.1. Fix a smooth projective surface S. We will denote by E (resp. F) a vector
bundle (resp. a coherent sheaf) on S. Let us recall some standard notions and facts
about E and F (see e.g. [8], [10], [27]).
First of all, one defines the Chern classes ci := ci (E) ∈ Ai (S) for E (and similarly
for F, using a locally free resolution), with c1 = det E. In fact, letting W := P(E)there is a natural inclusion A∗ (S) ,→ A∗ (W ) of groups of cycles induced by the
projection π : W −→ S, and the following identity (called the Hirsch formula)holds:
H 2 + H · c1 + c2 = 0.
1
Here H := O(1) ∈ A (W ) is the Serre line bundle on W and ci are identified withπ ∗ (ci ) (cf. Remark 2.2). In particular, for r := rk E = 2 we have
H 3 = −c21 − c2 ,which together with the Euler’s formula
KW = −rH + π ∗ (KS + c1 )gives
3
) = 6KS2 + 10c21 + 24KS · c1 − 8c2 .
(−KWRemark 2.2. When k ⊆ C (so that ci ∈ H 2i (S, Z)) and the structure group of E
is not SU (2) (or H 1 (S, Z) 6= 0), the previous formulae (except for the Euler’s one
3
and with suitably corrected (−KW)) should be read with all the ci up to ±. In∗
fact, when E ' E (the dual of E) and ' is non-canonical, there is no preference inchoosing π ∗ (ci ) or −π ∗ (ci ) as one may change the orientation in the fibers of E. In
particular, the Hirsch formula turns into H 2 ± H · c1 ± c2 = 0, with both ci having
a definite sign at once.
Further, let Z ⊂ S be a 0-dimensional subscheme supportedPat a finite numberof points p1 , . . . , pm . Put `i := dim OS,pi /IZ,pi and `(Z) := i `i (the length ofZ) for the defining ideal IZ of Z. One can show that c2 (j∗ OZ ) = −`(Z) ∈ A2 (S),where j : Z −→ X is the inclusion map. In particular, if E admits a splitting(2.3)

0 → L → E → L 0 ⊗ IZ → 0

for some line bundles L, L0 ∈ Pic(S), we obtain (using the Whitney’s formula)(2.4)

c1 = c1 (L) + c1 (L0 ),c2 = c1 (L) · c1 (L0 ) + `(Z).

3)As, for example, the hyperelliptic curve y 2 = xp − a, a ∈ k, of genus (p − 1)/2, covered (after
Frobenius twist) by a rational curve (see [32, Corollary 1]).
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Example 2.5. Let s ∈ H 0 (S, E) be a section. Assume for simplicity that the zero
locus (s)0 ⊂ S of s has codimension ≥ 2. Then one gets an exact sequence ofs∧s V2
sheaves 0 → OS −→ E −→E ⊗ I(s)0 → 0 (cf. (2.3)).
Suppose now that r = 2. Let L ⊂ E be a line subbundle such that the sheaf E/L
is torsion-free. Then by working locally it is easy to obtain an exact sequence (2.3).
All such sequences (extensions of E) are classified by the group Ext1 (L0 ⊗ IZ , L),
which in the case when Z is a locally complete intersection coincides with OZ .
(More precisely, since L, L0 , etc. are defined up to the k∗ -action, the classifying
space for the extensions is the projectivization P(Ext1 (L0 ⊗ IZ , L)) = P(OZ ).) Notealso that (2.3) provides a locally free extension when H 2 (S, L0−1 ⊗ L) = 0 (Serre’s
criterion).
2.6. Let Y be a smooth projective variety with a line bundle L ∈ Pic(Y ). Frobenius F : Y −→ Y induces a homomorphism
F ∗ : H 1 (Y, L−1 ) → H 1 (Y, L−p )and one has
Ker F ∗ ' {df ∈ Ωk(Y ) | f ∈ k(Y ), (df ) ≥ pD}
once L = OY (D) for D ≥ 0 (see [22, Theorem 1]). We may assume that Ker F ∗ 6= 0
(see [22, Theorem 2]), H 1 (Y, OY (−pD)) = 0 for an ample D (cf. the proof of [30,
Theorem 1.4]), which yields a non-split extension
0 → OY (−D) → EL,Y → OY → 0such that the corresponding extension for F ∗ EL,Y splits. This defines a Ga -torsor
over Y (w.r.t. the line bundle L−1 ) and a subscheme X ⊂ P(EL,Y ) which projects“p-to-1” onto Y . More precisely, the morphism φ : X −→ Y is purely inseparableof degree p, so that X is regular and KX = φ∗ (KY − (p − 1)D) (see [22, Proposition
1.7, (16)]).
Example 2.7. Let P (y) be a polynomial of degree e and C ⊂ A2 a plane curve
given by the equation P (y p ) − y = z pe−1 (see [22, Example 1.3]). One easily checks
that (dz) = pe(pe − 3)(∞) for C ⊂ P2 identified with its projectivization and∞ ∈ C. Then, taking y p z (with d(y p z) = y p dz) and e À 1, we obtain dim Ker F ∗ =h1 (C, (3 − pe)(∞)) ≥ 2 for D := (pe − 3)(∞). Moreover, [22, Propositions 2.3, 2.6]
shows that instead of C we may take Y as above, with h1 (Y, L−1 ) ≥ 2, ample KY(for p ≥ 3) and arbitrary dim Y ≥ 2.
2.8. Now let S := Y be the Raynaud surface. Recall that S can be realized as a
double cover of the P1 -bundle P(EL,C ) over the curve C from Example 2.7, ramified
along a section and the p-cover X of C as above (run the constructions in [22, 2.1]
with k := 2). Let ψ : S −→ C be the induced rational curve fibration.
Proposition 2.9. In the previous setting, there exists a vector bundle E on S suchthat
• r = 2, c2 = 0 and c1 = −nKS for an arbitrary n À 1;
• the divisor −KW is nef on W = P(E) (cf. 2.1).
4

Proof. In the exact sequence (2.3), take L an arbitrary ample, L0 := −L − nKS andZ any finite with `(Z) = −c1 (L)·c1 (L0 ). Then from (2.4) we get c1 = −nKS , c2 = 0,
and the Euler’s formula gives−KW = 2H + π ∗ (n − 1)KS .4)
We will deduce that this −KW is nef from the two forthcoming lemmas.
¯
Consider l ⊂ S, a general fiber of ψ, and put Σl := π −1 l = P(E ¯l ).
Lemma 2.10. We have (Ω2Σl )∗∗ ' ωΣl /l ⊗ L−1 ⊗ L0 for the double dual of Ω2Σl .
Proof. Note that l is a rational curve with unique singular point o := Sing(l) suchthat l is given by the equation y 2 = z p (affine) locally near o. This shows that thesheaf Ω1l has torsion, with support in o, for 2ydy = pz p−1 dz = 0. In particular, weget (Ω1l )∗∗ = Ol · dz near o, with dy being the second (torsion) generator of Ω1l .
This easily yields(p − 1)(p − 2) (p − 2)(p − 3)−
− 1 ≥ 0.
2
2
Indeed, if ˜l ⊂ P2 is the closure of the curve (y 2 = z p ), then Sing(˜l) = {o, ∞} andthere is a natural morphism l −→ ˜l. The above estimate h0 (l, (Ω1l )∗∗ ) ≥ 0 now
follows because l −→ ˜l is the normalization near ∞ and mult∞ (˜l) = p − 2.
Further, we have¯¯¯P(E ¯l ) = P(L¯l ⊕ L0 ¯l )h0 (l, (Ω1l )∗∗ ) ≥with a local fiber coordinate t, so that (Kähler)
dt induces a section τ of (Ω2Σl )∗∗ .
¯Namely, given the indicated properties of E ¯l and Ω1l , we obtain¯¯
dt ∧ ξ = τ ¯U ∩U 0 = f dt ∧ ξ ¯U 0 ∩U
for some ξ ∈ H 0 (l, (Ω1l )∗∗ ) and f ∈ O(U ∩ U 0 ∩ l) generating a cycle in H 1 (l, Ol∗ ).
(Here U, U 0 ⊂ Σl are arbitrary open charts pulled
backfrom l, and the latter is¯¯identified with the zero-section of restrictions E ¯U , E ¯U 0 .)¯More precisely, we get that τ lifts to a section of (L−1 ⊗ L0 )¯l , which gives(Ω2Σl )∗∗ ' ωΣl /l ⊗ L−1 ⊗ L0 .
¤Remark 2.11. The proof of Lemma 2.10 illustrates the following phenomenon
typical to char > 0: the sheaf Ω1X may be rank 1 torsion, thus not equal toHom(TX , OX ), where dim TX,x ≥ 2 for some x ∈ Sing(X). Let us also pointout that the interrelation between Ω2Σl and canonical bundle of the normalizationof Σl is not clear (meaning the conductor cycle need not be effective) because Σlviolates the S2 -property (for the curve l obviously does, – the rational function
y 1/p : l −→ P1 is defined at every point near o, but is not regular at o).
¯Lemma 2.12. The linear system | − KW ¯Σ | is basepoint-free.
l

Proof. It follows from Lemma 2.10 that the line bundle (Ω2Σl )∗ satisfies
H 0 (Σl , (Ω2Σl )∗ ) ⊇ H 0 (Σl , L ⊗ L0−1 ).
Indeed, since P1 normalizes l, we get Ω1P1 = OP1 · dz near (the preimage of) o(cf. the proof of Lemma 2.10). Hence the sheaf ωΣl /l pulls back to ωΣ/P1 for the4)Note also that H 2 (S, L0−1 ⊗ L) = H 2 (nK ) = 0 and so E ∈ Ext1 (L0 ⊗ I , L) is locally free.
S
Z
5

¯
ruled surface Σ := P(E ¯P1 ). It remains to notice that (the class of) (ωΣ/P1 )∗ =2[minimal section on Σ] + 2[fiber] is ample.
On the other hand, for s ∈ H 0 (Σl , (Ω2Σl )∗ ) we get¯¯−KW ¯Σ = (s = 0) + Σl ¯Σ = (s = 0)ll

by adjunction, and the claim follows.

¤

Lemma 2.13. H 1 (W, −KW − Σl ) = 0.
Proof. Notice that¡¡¢¢
H 1 W, π∗ (2H + π ∗ (n − 1)KS − Σl ) = H 1 S, S 2 E ⊗ OS ((n − 1)KS − l) = 0
by Serre vanishing (for KS is ample). Furthermore, we have
R1 π∗ (2H + π ∗ (n − 1)KS − Σl ) = 0
by Grothendieck comparison, since the divisor 2H + π ∗ (n − 1)KS − Σl is π-ample.
The assertion now follows from the Leray spectral sequence.
¤
From the defining exact sequence for Σl and Lemma 2.13 we get a surjection¯
H 0 (W, −KW ) ³ H 0 (Σl , −KW ¯Σ ).
lThen by Lemma 2.12 the base locus of | − KW | is contained in the fibers of π. Thisshows that −KW is nef and finishes the proof of Proposition 2.9.
¤
Recall that H 1 (S, L−1 ) 6= 0 for L = OS (D) (cf. the beginning of 2.8). One
can also observe that H 1 (W, π ∗ L−1 ) ' H 1 (S, L−1 ). Hence, setting Y := W (resp.
L := π ∗ L) in the notations of 2.6, we can pass to the corresponding p-cover φ : X =P(Eπ∗ L,W ) −→ W . The divisor −KX is ample by Proposition 2.9 and Kleiman’s
criterion (see [11, Ch. I, Theorem 8.1]).
Finally, since W = P(E) for E constructed as an extension (cf. 2.1), to complete
the proof of Theorem 1.4 it suffices to vary L and Z as above in such a way thatboth c1 (E) = −nKS , c2 (E) = 0 remain fixed, while `(Z) → ∞ (cf. (2.4) and theproperties of E in Proposition 2.9). The assertion then follows from the formula for3(−KW) in 2.1 and the fact that the cone N E(X) is finite polyhedral (see e.g. [14],[13]). More precisely, we have obtained that X = Xb surjects onto W = P(E), withE ∈ Ext1 (L0 ⊗ IZ , L) varying together with Z (or b ∈ Bd ). Then it follows from thediscussion after Example 2.5 that for different E the 3-folds W are non-isomorphic.
This gives Xb 6' Xb0 for generic b0 ∈ Bd0 , d0 6= d, and proves the second claim ofTheorem 1.4, whereas the other two are evident from the construction of X.
Remark 2.14. Alternatively, one could show that already W is Fano, by applying
3
the results in [2], [37] (and the formula for (−KW
) of course).
We now pass on to the proof of Corollaries:
Proof of Corollary 1.6. Xm is obtained by the cyclic covering of X with ramification at a smooth surface from | − mKX | (see e.g. [18]). This gives µm ∈ Aut(Xm )(with X = Xm /µm ) and (m, p) = 1. We may assume the µm -action on Xm comesfrom a cyclic projective action on some PN ⊃ Xm .
Now, if Xm were liftable to C, the µm -action on Xm ⊂ PN must also lift. Thenwe would get that X = Xm /µm is liftable to C, a contradiction.
¤
6

Proof of Corollary 1.7. Suppose that q(X) = 0. We are going to find an ample line
∗ −1∗bundle L on X such that H 1 (Xm , πm
L ) 6= 0 and (p − 1)πm
L − KXm is ample.
This will contradict [16, Ch. II, Corollary 6.3]
The description of Ker F ∗ in 2.6 and the fact that h1 (W, π ∗ L−1 ) = h1 (S, L−1 ) ≥2 (cf. Example 2.7) yield h1 (X, (φ ◦ π)∗ L−1 ) ≥ 2 – for not every element in
H 1 (W, π ∗ L−1 ) is a p-power (when lifted to X). Furthermore, the same argument∗ −1
shows that H 1 (Xm , πm
L ) 6= 0, provided we have found L on X as needed.
Now set L := OX (−KX + (π ◦ φ)∗ D). This is obviously ample. Moreover, by
the vanishing in [30, Proposition 6.1] and results from [30, §§3,4] we may assume
generic surface SX ∈ | − KX | to be smooth (hence K3-like), which leads to an exact
sequence¯
0 → H 1 (X, −SX − (π ◦ φ)∗ D) → H 1 (X, −(π ◦ φ)∗ D) → H 1 (S, −(π ◦ φ)∗ D¯S ).
¯Here H 1 (S, −(π ◦ φ)∗ D¯S ) = 0 by [22, Proposition 3.4], H 1 (X, −(π ◦ φ)∗ D) 6= 0 by
the previous considerations, OX (KX − (π ◦ φ)∗ D) = L−1 , and thus we are done.5)
Hence we get q(X) 6= 0. Then also q(Xm ) 6= 0 for the flat morphism πm .
¤Acknowledgments. I am grateful to C. Birkar, A. I. Bondal, S. Galkin, M.
Kontsevich, Yu. G. Prokhorov, and N. Shepherd-Barron for their interest and helpful conversations. Also the referee’s suggestions helped me to improve the exposition. Some parts of the paper were prepared during my visits to AG Laboratory(HSE, Moscow) and University of Miami (US). I am grateful to both Institutions for
hospitality. The work was supported by World Premier International Research Initiative (WPI), MEXT, Japan, and Grant-in-Aid for Scientific Research (26887009)
from Japan Mathematical Society (Kakenhi).
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Kavli IPMU (WPI), The University of Tokyo, 5-1-5 Kashiwanoha,
Kashiwa, 277-8583, Japan
E-mail address: ilya.karzhemanov@ipmu.jp

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