Reidemeister torsion in Floer-Novikov theory and counting pseudo-holomorphic tori. I (Q2369454)

The author defines a Floer-theoretic torsion \(I_F=\tau_F\zeta_F\), \(\tau_F\) is the Reidemeister torsion of the Floer-Novikov complex of symplectomorphisms and \(\zeta_F\) is a Floer-theoretic zeta function, of general symplectic isotopies of monotone symplectic manifolds \(M\). \(\tau_F\) is not invariant under Hamiltonian isotopies, but to correct by multiplying \(\zeta_F\), which is obtained by counting perturbed pseudo-holomorphic tori in a way very similar to the genus 1 Gromov invariant, it becomes an bivariant under Hamiltonian isotopies. Definiton of \(I_F\) and outline of the proof of invariance are given in this Part I. In Part II [\textit{Y. Lee}, J. Symplectic Geom. 3, 385--480 (2006; Zbl 1093.53092)], a series of gluing theorems are given. They are used detailed bifurcation analysis, which are used in the proof of invariance in Part I. Because \(I_F\) is not a homotopy invariant, instead of the continuation method, the detailed bifurcation analysis is necessary to show invariance. The outline of the paper is as follows: In \S1, Introduction, first give examples of manifolds whose Floer homology vanishes, and necessity giving more refined invariant of Floer complex is emphasized. Then analogous natures between \(I_F\) and Gromov invariants [cf. \textit{M. Bershadsky} et al., Commun. Math. Phys. 165, 311--427 (1994; Zbl 0815.53082)] and the Morse-Novikov-theoretic picture of \(I_F\) are explained. According to the author, Floer theoretic torsion \(\zeta_F\) or torsion on sympletic side is nearly equal to the generating series of genus 1 Gromov invariants. It is also noted that torsion on complex side is nearly equal to holomorphic torsion (\S1.1.3). Floer theory in this paper requires an absolute \(\mathbb Z/2 \mathbb Z\)-grading. It is basic ingradient is the 5-tuple \(({\mathcal C},{\mathfrak H}, \text{ind};{\mathcal Y}_\chi,{\mathcal V}_\chi)\). Here \({\mathcal C}\) is a Banach manifold, \({\mathcal Y}_\chi\) is a closed 1-form on \({\mathcal C}\), \({\mathcal V}_\chi\) is the dual vector field of \({\mathcal Y}_\chi\), where \(\chi\) is the parameter of the theory. Let \({\mathcal P}_\chi\) be the zero locus of \({\mathcal V}_\chi\), and let \({\mathcal P}_{\chi,\text{ndg}}\) be the set of non-degenerate elements, then by the spectral flow from certain standard operator to the linearization of \({\mathcal V}_\chi\) at \(x\in{\mathcal P}_{\chi, \text{ndg}}\), the \(\mathbb Z/2\mathbb Z\)-grading \(\text{ind}:{\mathcal P}_{\chi, \text{ndg}}\to\mathbb Z/2\mathbb Z\) is defined. \({\mathfrak H}\) is an abelian covering group of the regular covering \({\mathcal C}\) of \({\mathcal C}\) with the monodromy homomorphism im: \(\pi_1({\mathcal C})\to{\mathfrak H}\). \({\mathcal P}_\chi\) is the moduli space of critical points. Moduli spaces of non-constant closed orbits \({\mathcal M}_O(\chi)\) and the moduli space of connecting flow lines \({\mathcal M}_P(\chi)\) are defined for the flow line \(u\); \(\partial_su+ {\mathcal V}_\chi(u)=0\), \(s\in\mathbb{R}\), or \(\in S^1\). Expected properties (Conditions of Floer system) of these moduli spaces are summarized in \S2.1.3 (As for expected property on orientation, precise statement is given in \S4.3.7 as (RHFS4) (cf. \S7.2 of Part II). Let Nov\(( G,N;R)\) be the Novikov ring, a completion of the group ring \(R[G]\) by a homomorphism \(N:G\to\mathbb{R}\), and let \(\widetilde{\mathcal P}_\chi\) be the lift of \({\mathcal P}_\chi\) to \(\widetilde{\mathcal C}\). To define boundary map by using moduli of connecting flow lines to the chain group \(\widetilde{CF}\), the free Nov(\({\mathfrak H},-\langle{\mathcal Y}_\chi \rangle;\mathbb Z)\)-module generated by elements in \(\widetilde{\mathcal P}_\chi\), the Floer-Novikov complex is defined. By using Floer-Novikov complex, the Reidemeister torsion of the Floer complex \(\tau_F\) is defined as an element of \(Q (\lambda_F)/(\pm\ker\psi)\), \(\Lambda_F=\text{Nov}(\ker\psi,-\langle {\mathcal Y}_\chi);\mathbb{Z})\), where \(\psi:{\mathfrak H}\to 2\mathbb Z\) is called the SF-homomorphism (\S2.2.3) (cf. \textit{V. Turaev} [Math. Res. Lett. 4, No. 5, 679--695 (1997; Zbl 0891.57019)]. Imitating the definition of the dynamical zeta function, the Floer theoretic zeta function \(\zeta_F\) is defined by \[ \begin{aligned} \zeta_F & =\exp\left( \sum_{A\in\ker\psi,A\neq 0}\chi \bigl(\overline{\mathcal M}_O(A)\bigr)A\right)=\exp \eta_F,\\ & = \exp\left( \sum_{A\in\ker\psi,A\neq 0}\sum_{u\in\widetilde{\mathcal M}_O (A)}\frac {\text{sign}(u)}{\text{mult}(u)}A\right)\in\text{Nov}^1(\ker\psi,-\langle Y_\chi\rangle;\mathbb{Q}),\end{aligned} \] where \(\chi\) is the orbifold Euler number. By definition, (\S2.2.4) \(I_F=\zeta_F\tau_F\) belongs to \[ Q(\text{Nov} (\ker\psi,-\langle{\mathcal Y}_\chi);\mathbb Q))/\pm\ker\psi. \] The author remarks, ideally, \(I_F\) should be defined in \(Q(\Lambda_F/\pm \ker\psi\). But to show this it would require to prove a product formula (cf. \textit{M. Hutchings} and \textit{Y.-C. Lee} [Geom. Topol. 3, 369--396 (1999; Zbl 0929.57019)]. Taking \({\mathcal C}={\mathfrak L}_fM_{\gamma_0}\), \((M,\omega)\) is a symplectic manifold, \({\mathfrak H}= \text{Image(im)} \subset H_2(T_f)\), ind a variant of the Conner-Zehnder index, \({\mathcal Y}_\chi,{\mathcal V}_\chi\) are parametrized by \(\chi=(J,X)\), \(J\) a \(\omega\)-compatible complex structure of \(K\), the subbundle of \(TT_f\) consisting of tangent vectors to the fibre and \(X_t\) is a symplectic vector field or all \(t\), \(I_F=I_F^{f,[\gamma_0]}(M;J,x)\) is defined for generic \((J,X)\), which is called regular pairs. Detailed constructions and definition of regular pairs are given \S3. Then the main results (Th. 2.3.3) of this series of papers are stated as follows; Theorem. (a) If \((M,\omega)\) is a \(\omega^+\)-monotonic symplectic manifold, \(f\) a symplectomorphism, and \((J_1,X+\chi H_1)\), \(J_2,X+\chi H_2)\) are regular pair, then \(I_F\) is invariant under Hamiltonian isotopies, that is \[ I_F^{f,[\gamma_0]}(M;J_1,X+\chi H_1)=I_F^{f,[\gamma_0]}(M;J_2, X+\chi H_2). \] (b) If \((M,\omega)\) is monotone, then there exists symplectic isotopy invariant \(I_F\), that is, there exists \(I_F^{f, [\gamma_0]}(M)\in Q(\mathbb Z[\ker\psi])/ \pm \ker\psi\) such that \[ I_F^{f,[\gamma_0]}(M;J,X)=i_{-[{\mathcal Y}_\chi]}I_F^{f, [\gamma_0]}(M). \] A \(2n\)-dimensional symplectic manifold \((M, \omega)\) is said to be \(w^+\)-monotonic if \(\omega(A)>0\) for \(A\in H_2(M)\) whose image of \(\pi_2(M)\) under Hurwicz map satisfying \(0<c_1(TM)(A)\leq n-2\). If assumptions on \(A\) is charged \(0<c_1(TM) <n-2\), \(M\) is said to be weakly monotonic (\S2.3.1). Since Fano and Calabi-Yau manifolds are \(w^+\)-monotonic, results of this paper can be applied for these manifolds. As an application of these results, if \(f\) is connected to the identity via the symplectic-isotopy, \(\gamma_0(t)=f_t (p_0)\) and \(M\) is monotonic, then \[ I_F^{f.[\gamma_0]}(M)=\iota_* \tau(M),\quad\iota:H_1(M, \mathbb Z)\to\ker\psi. \] So we can compute \(I_F^{f,[\gamma_0]}(M)\) in this case (Cor. 2.3.4). It also shows if \(\iota_*(M)\neq 1\), then \(f\) has a fixed point. The author says this leads to except that the critical points of the Floer theory can be removed via Hamiltonian isotopy when both the Floer homology and the Floer-theoretic torsion vanish (Fukaya's symplectic \(s\)-coborism conjecture. \textit{K. Fukaya}, Lect. Notes Pure Appl. Math. 184, 209--219 (1997; Zbl 0871.57032)]). Floer homology of a general symplectomorphism was constructed for monotone symplectic manifolds by using virtual moduli method [\textit{S. Dostoglu, D. Salamon}, Self-dual instantons and holomorphic curves, Ann. Math. (2) 139, No. 3, 581--640 (1994; Zbl 0812.58031)]. In \S, an alternative construction of Floer homology of a general symplectomorphism for weakly monotone symplectic manifolds is presented in \S3 without using vietnal moduli method. To show the associated formal flow for regular \((J,X)\) is a Floer system, precise analysis on the structure of the moduli spaces is done. Especially, translating the problem of transversality for multiple covers into the simultaneous surjectivity of a sequence of differential operators over simple orbits, transversality for moduli spaces of closed orbits in homology class \(A,\widetilde{\mathcal M}-0_O(A)\), simultaneously for all \(A\), is established \S3.3. (cf. \textit{C. H. Taubes}, [J. Differ. Geom. 44, 818--893 (1996; Zbl 0883.57020)], \textit{A. Floer, H. Hofer} and \textit{D. Salomon}, Transversality in elliptic Morse theory for the symplectic action, Duke Math. J. 80, No. 1, 251--292 (1995; Zbl 0846.58025)]. The exponential weighted Sobolev space \[ L^p_{k:(\sigma_-,\sigma_+)}=\bigl\{\xi| \zeta^{\sigma_-,\sigma_+} \xi\in L_k^p\bigr\},\zeta^{\sigma_-,\sigma_+}(s)=e^{-(s\beta(s) \sigma_+s\beta(-s)\sigma_-)}, \] which is useful in later estimates, also introduced in this \S. In \S4, to say \(\{X_\lambda\}_{\lambda\in[1,2]}\) to be \(H^1\)-codirectional if \[ \langle{\mathcal Y}_{X_\lambda}\rangle |_{\ker\psi}= \alpha_\lambda\langle{\mathcal Y}\rangle|_{\ker\psi}, \] for some \(\langle{\mathcal Y} \rangle\in\Hom({\mathfrak H}\mathbb{R})\) and \(\alpha_\lambda\geq 0\), the following general invariance Theorem (Th. 4.1.1) is presented. Theorem If \(M\) is \(w^+\)-monotone, \((J_1, X_1)\), \((J_2,X_2)\) are regular pairs such that \(X_1\) and \(X_2\) are connected by \(H^1\)-codirected path \(\{X_\lambda\}_{\lambda\in [1,2]}\), then \(I_F(J_1,X_1)=I_F(J_2,X_2)\), if \(\alpha_1>0\), \(\alpha_2 >0\) or \(\alpha_1=\alpha_2 =0\), \(i_{-\langle{\mathcal Y}\rangle}I_F(J_1, X_1)=I_F(J_2,X_2)\) if \(\alpha_1=0\), \(\alpha_2>0\), and \(i_{-\langle {\mathcal Y}\rangle}I_F(J_2,X_2)=I_F(J_1,X_1)\) if \(\alpha_2=0\), \(\alpha_1 >0\). Proof of Th. 2.3.3 from Th. 4.1.1 is described in \S4.1. Summarizing the expected bifurcation behavior of a generic 1-parameter family of Floer system into the notion of a regular homotopy of Floer systems (RHFS, \S4.3), it is shown that the existence of an RHFS with the extra property (Existence of non-equivariant perturbation (NEP); \S4.4.5) implies Th. 4.1.1. Rest of this paper and Part II are devoted to establish the existence of such an RHFS. In \S5, detailed description of the behaviors of various flows in the loop near a minimally degenerate critical point \(y\). Decay estimates of a flow in \({\mathcal M}_P\) ending at \(y\) (Prop. 5.1.3) are applied together with Fredholmness of certain operators (Prop. 5.2.2) to obtain the structure theory of moduli spaces (Prop. 5.2.6). Estimates for the new critical points \(y_+,y_-\) are given in \S5.3. Quadratic bound of the nonlinear part of \({\mathcal F}=\partial+{\mathcal V}\) is also derived by using polynomially weighted Sobolev spaces, whose weights on the ``transversal directions'' and the ``longitudinal directions'' are different (\S5.2). These results are important for the proofs of the gluing theorems in Part II. In \S6, the last \S, the notion of admissible \((J,X)\)-homotopy is introduced (Def. 6.2.1), and show given a path \(\{X_\lambda\}_{\lambda\in \Lambda}\) as in the statement of Th. 4.1.1, and an arbitrary path \(\{J_\lambda\}_{\lambda\in\Lambda}\) connecting \(J_1,J_2\), the path \(\{J_\lambda,X_\lambda\}_{\lambda\in \Lambda}\) can be perturbed into an admissible \((J,X)\)-homotopy fixing the end points (Prop. 6.2.2). Th. 4.1.1 follow from this fact (cf. \textit{M. Hutchings} [Forum Math. 14, No. 2, 209--244 (2002; Zbl 0990.57011)]. Proofs of RHFS and NEP for this homotopy are given in Part II.