1. Introduction
The purpose of this paper is to construct regular models of hyperelliptic curves and to describe a basis of integral differentials attached to them. Moreover, we want these constructions explicit and easy to compute.
1.1. Overview
To describe the arithmetic of curves over global fields, for example in the study of the Birch & Swinnerton-Dyer conjecture, it is essential to understand regular models and integral differentials over all primes, including those with very bad reduction. Constructing regular models of curves over discrete valuation rings is not an easy problem, even in the hyperelliptic curve case. In fact, there is no practical algorithm able to determine a model, unless the genus of the curve is $1$ or we have some tameness or nondegeneracy hypothesis.
One possible approach to tackle this problem is giving a full classification of possible regular models in a fixed genus, as done by the Kodaira–Néron [Reference Kodaira7, Reference Néron19] and Namikawa–Ueno [Reference Liu10, Reference Namikawa and Ueno18] classifications for curves of genera $1$ and $2$ , respectively. However, this strategy seems impractical in general, since the number of models grows fast with the genus. Recently, new approaches based on clusters [Reference Dokchitser, Dokchitser, Maistret and Morgan14], Newton polytopes [Reference Dokchitser1], and MacLane valuations [Reference Obus and Wewers21], have been developed (see Section 1.5 for more detail).
On one side, clusters define nice and clear invariants from which one can extract information on the local arithmetic of hyperelliptic curves. Such invariants turn out to be particularly useful from a Galois theoretical point of view. However, for describing regular models, restrictions on the reduction type of the curve and on the residue characteristic of its base field [Reference Faraggi and Nowell5, Reference Dokchitser, Dokchitser, Maistret and Morgan14] need to be imposed. On the other side, Newton polytopes and MacLane valuations have a potential to solve the problem in general, but the respective constructions are more algorithmic and so do not give the result in closed form. Furthermore, they often depend on the chosen equation rather than on the curve itself.
In this paper, we present a new approach that preserves both positive aspects from the above and provides a link between the two sides. We describe a model from simple invariants defined from what we call rational cluster picture (Definition 1.10). This object modifies the theory in [Reference Dokchitser, Dokchitser, Maistret and Morgan14] and appears to be more suitable for our purpose (see Section 1.3). In fact, the rational cluster picture also carries intrinsic connections with the other presented approaches, as it is closely related to Newton polygons and to degree $1$ MacLane valuations (see [Reference Fernández, Guárdia, Montes and Nart3]). When these valuations are enough to describe a regular model we say that the curve has an almost rational cluster picture (Definition 1.1; see also Corollary 3.29, Proposition 3.31). It turns out that the approach even works in residue characteristic 2, under an extra assumption that the curve is $y$ -regular (Definition 1.4). Our main result is:
Let $K$ be a complete Footnote 1 discretely valued field with $\textrm{char}(K)\neq 2$ , and let $K^{nr}$ be its maximal unramified extension. Let $C/K$ be a hyperelliptic curve, having an almost rational cluster picture over $K^{nr}$ . If the residue characteristic of $K$ is $2$ , assume that $C_{K^{nr}}$ is $y$ -regular. Then via the rational cluster picture we determine:
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(i) the minimal regular model with normal crossings $\mathcal{C}^{\textrm{min}}$ ,
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(ii) a basis of integral differentials of $C$ .
This result applies to a wide class of curves, covering wild cases and base fields with even residue characteristic. For example, if $g=2$ , then $107$ out of $120$ Namikawa-Ueno types [Reference Namikawa and Ueno18] arise from hyperelliptic curves satisfying the conditions of our theorem. In addition, the author believes it has a potential to solve the problem in general. Heuristically speaking, the rational clusters invariants are expected to extend to general MacLane valuations. This approach could eventually lead to a full characterisation of minimal models with normal crossings of hyperelliptic curves (over any discretely valued field).
1.2. Main results
We will now present (a simplified version of) the main results of this paper. We will then illustrate them with an explicit example in Section 1.4.
Let $K$ be a complete discretely valued field of residue characteristic $p$ , with normalised discrete valuation $v$ and ring of integers $O_K$ . We require $\textrm{char}(K)$ to be not $2$ , but we allow $p=2$ and $p=0$ . In this subsection we will assume for simplicity that $K=K^{nr}$ . Extend the valuation $v$ to an algebraic closure $\bar{K}$ of $K$ . Let $C/K$ be a hyperelliptic curve, that is a geometrically connected smooth projective curve, double cover of ${\mathbb{P}}^1_K$ . Let $g$ be the genus of $C$ . Assume $g\geq 1$ . Fix a Weierstrass equation
Let $\mathfrak{R}$ be the set of roots of $f$ in $\bar{K}$ . Thus
For any $r,r'\in \mathfrak{R}$ , with $r\neq r'$ , denote by $\mathcal{D}_{r,r^{\prime}}$ the smallest $v$ -adic disc containing $r$ and $r'$ .
Definition 1.1 (Definition 3.26). We say that $C$ has an almost rational cluster picture if for any roots $r,r'\in \mathfrak{R}$ with $r\neq r'$ , either
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(a) $\mathcal{D}_{r,r^{\prime}}\cap K\neq \varnothing$ , or
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(b) $p\gt 0$ and $|\mathcal{D}_{r,r^{\prime}}\cap \mathfrak{R}|\leq |v(r-w)|_p$ for some $w\in K$ ,
where $|\cdot |_p$ denotes the canonical $p$ -adic absolute value on $\mathbb{Q}$ .
Definition 1.2. A rational cluster is a non-empty subset $\mathfrak{s}\subset \mathfrak{R}$ of the form $\mathcal{D}\cap \mathfrak{R}$ , where $\mathcal{D}$ is a $v$ -adic disc $\mathcal{D}=\{x\in \bar{K}\mid v(x-w)\geq \rho \}$ for some $w\in K$ and $\rho \in \mathbb{Q}$ . We denote by $\Sigma _K$ the set of rational clusters.
In the following definition we introduce most of the notation and quantities, associated with rational clusters, needed in order to state our main theorems.
Definition 1.3. For any $\mathfrak{s}\in \Sigma _K$ we say:
$\mathfrak{s}$ proper, | $|\mathfrak{s}|\gt 1$ |
$\mathfrak{s}^{\prime}$ is a child of $\mathfrak{s}$ , | $\mathfrak{s}^{\prime}\in \Sigma _K$ and $\mathfrak{s}^{\prime}\subsetneq \mathfrak{s}$ is a maximal subcluster |
$\mathfrak{s}$ minimal, | $\mathfrak{s}$ has no proper children |
$\mathfrak{s}$ übereven, | $\mathfrak{s}=\bigcup _{\mathfrak{s}^{\prime}\text{ child of }\mathfrak{s}}\mathfrak{s}^{\prime}$ and $|\mathfrak{s}^{\prime}|$ even for all children $\mathfrak{s}^{\prime}$ of $\mathfrak{s}$ |
Moreover, we write $\mathfrak{s}^{\prime}\lt \mathfrak{s}$ , or $\mathfrak{s}=P(\mathfrak{s}^{\prime})$ , for a child $\mathfrak{s}^{\prime}\in \Sigma _K$ of $\mathfrak{s}$ , and $r\wedge \mathfrak{s}$ for the smallest rational cluster containing the root $r\in \mathfrak{R}$ and $\mathfrak{s}$ .
Let $\Sigma _K$ be the set of proper rational clusters. For any $\mathfrak{s}\in \Sigma _K$ , define its radius
and the following quantities:
$b_{\mathfrak{s}}$ | denominator of $\rho_{\mathfrak{s}}$ |
$\epsilon _{\mathfrak{s}}$ | $v(c_f) + \sum _{r\in \mathfrak{R}} \rho _{r\wedge \mathfrak{s}}$ |
$D_{\mathfrak{s}}$ | $1$ if $b_{\mathfrak{s}}\epsilon _{\mathfrak{s}}$ odd, $2$ if $b_{\mathfrak{s}}\epsilon _{\mathfrak{s}}$ even |
$m_{\mathfrak{s}}$ | $(3-D_{\mathfrak{s}})b_{\mathfrak{s}}$ |
$p_{\mathfrak{s}}$ | $1$ if $|\mathfrak{s}|$ is odd, $2$ if $|\mathfrak{s}|$ is even |
$s_{\mathfrak{s}}$ | $\frac 12(|\mathfrak{s}|\rho _{\mathfrak{s}}+p_{\mathfrak{s}}\rho _{\mathfrak{s}}-\epsilon _{\mathfrak{s}})$ |
$\gamma _{\mathfrak{s}}$ | $2$ if $|\mathfrak{s}|$ is even and $\epsilon _{\mathfrak{s}}\!-\!|\mathfrak{s}|\rho _{\mathfrak{s}}$ is odd, $1$ otherwise |
$p_{\mathfrak{s}}^0$ | $1$ if $\mathfrak{s}$ is minimal and $\mathfrak{s}\cap K\neq \varnothing$ , $2$ otherwise |
$s_{\mathfrak{s}}^0$ | $-\epsilon _{\mathfrak{s}}/2+\rho _{\mathfrak{s}}$ |
$\gamma _{\mathfrak{s}}^0$ | 2 if $p_{\mathfrak{s}}^0=2$ and $\epsilon _{\mathfrak{s}}$ is odd, 1 otherwise |
Definition 1.4 (Definition 4.10). We say that the hyperelliptic curve $C$ is $y$ -regular if either $p\neq 2$ or $D_{\mathfrak{s}}=1$ for any $\mathfrak{s}\in \Sigma _K$ .
Definition 1.5. Let $\mathfrak{s}\in \Sigma _K$ and let $c\in \{0,\dots,b_{\mathfrak{s}}-1\}$ such that $c\rho _{\mathfrak{s}}-\frac{1}{b_{\mathfrak{s}}}\in \mathbb{Z}$ . Define
where $\varnothing \lt \mathfrak{s}$ if $\mathfrak{s}$ is minimal and $p_{\mathfrak{s}}^0=2$ .
The genus $g(\mathfrak{s})$ of a rational cluster $\mathfrak{s}\in \Sigma _K$ is defined as follows:
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If $D_{\mathfrak{s}}=1$ , then $g(\mathfrak{s})=0$ .
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If $D_{\mathfrak{s}}=2$ , then $2g(\mathfrak{s})+1$ or $2g(\mathfrak{s})+2$ equals $\dfrac{|\mathfrak{s}|-\sum _{\mathfrak{s}^{\prime}\lt \mathfrak{s}}|\mathfrak{s}^{\prime}|}{b_{\mathfrak{s}}}+|\tilde{\mathfrak{s}}|$ .
Notation 1.6. Let $\alpha \in \mathbb{Z}_+$ , $a,b\in \mathbb{Q}$ , with $a\gt b$ , and fix $\frac{n_i}{d_i}\in \mathbb{Q}$ so that
and $r$ minimal. We write ${\mathbb{P}}^1(\alpha,a,b)$ for a chain of ${\mathbb{P}}^1$ s (Notation 4.16) of length $r$ and multiplicities $\alpha d_i,\dots,\alpha d_r$ . Denote by ${\mathbb{P}}^1(\alpha,a)$ the chain ${\mathbb{P}}^1(\alpha,a,\lfloor \alpha a-1\rfloor/\alpha )$ .
The following theorem describes the special fibre of a regular model of $C$ with strict normal crossings.Footnote 2 It follows from a more general result constructing a proper flat model of $C$ unconditionally (Theorem 4.18). For the special fibre $\mathcal{C}^{\textrm{min}}_s$ of the minimal regular model with normal crossings, the reader can refer to Theorem 4.23, where we also describe a defining equation for all components of $\mathcal{C}_s^{\textrm{min}}$ and discuss the Galois action (for general $K$ ). Finally, note that all these models are constructed in Section 5 by giving an explicit open affine cover (see Sections 5.1–5.3).
Theorem 1.7 (Regular SNC model). Suppose $C$ is $y$ -regular and has almost rational cluster picture. Then we can explicitly construct a regular model with strict normal crossings $\mathcal{C}/O_{K}$ of $C$ (Sections 5.1–5.3 ). Its special fibre $\mathcal{C}_s/k$ is given as follows.
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(1) Every $\mathfrak{s}\in \Sigma _K$ gives a $1$ -dimensional closed subscheme $\Gamma _{\mathfrak{s}}$ of multiplicity $m_{\mathfrak{s}}$ . If $\mathfrak{s}$ is übereven and $\epsilon _{\mathfrak{s}}$ is even, then $\Gamma _{\mathfrak{s}}$ is the disjoint union of $\Gamma _{\mathfrak{s}}^{-}\simeq{\mathbb{P}}^1$ and $\Gamma _{\mathfrak{s}}^{+}\simeq{\mathbb{P}}^1$ , otherwise $\Gamma _{\mathfrak{s}}$ is a smooth geometrically integral curve of genus $g(\mathfrak{s})$ (write $\Gamma _{\mathfrak{s}}^{-}=\Gamma _{\mathfrak{s}}^{+}=\Gamma _{\mathfrak{s}}$ in this case).
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(2) Every $\mathfrak{s}\in \Sigma _K$ with $D_{\mathfrak{s}}=1$ gives $(|\mathfrak{s}|-\sum _{\mathfrak{s}^{\prime}\in \Sigma _K,\,\mathfrak{s}^{\prime}\lt \mathfrak{s}}|\mathfrak{s}^{\prime}|+p_{\mathfrak{s}}^0-2)/b_{\mathfrak{s}}$ open-ended ${\mathbb{P}}^1$ s of multiplicity $b_{\mathfrak{s}}$ from $\Gamma _{\mathfrak{s}}$ .
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(3) Finally, for any $\mathfrak{s}\in \Sigma _K$ draw the following chains of ${\mathbb{P}}^1$ s:
Conditions | Chain | From | To |
$\mathfrak{s}$ minimal | ${\mathbb{P}}^1(\gamma _{\mathfrak{s}}^0,-s_{\mathfrak{s}}^0)$ | $\Gamma _{\mathfrak{s}}^-$ | open-ended |
$\mathfrak{s}$ minimal, $p_{\mathfrak{s}}^0/\gamma _{\mathfrak{s}}^0=2$ | ${\mathbb{P}}^1(\gamma _{\mathfrak{s}}^0,-s_{\mathfrak{s}}^0)$ | $\Gamma _{\mathfrak{s}}^+$ | open-ended |
$\mathfrak{s}\neq \mathfrak{R}$ | ${\mathbb{P}}^1(\gamma _{\mathfrak{s}},s_{\mathfrak{s}},s_{\mathfrak{s}}-p_{\mathfrak{s}}\cdot \frac{\rho _{\mathfrak{s}}-\rho _{P(\mathfrak{s})}}{2})$ | $\Gamma _{\mathfrak{s}}^-$ | $\Gamma _{P(\mathfrak{s})}^-$ |
$\mathfrak{s}\neq \mathfrak{R}$ , $p_{\mathfrak{s}}/\gamma _{\mathfrak{s}}=2$ | ${\mathbb{P}}^1(\gamma _{\mathfrak{s}},s_{\mathfrak{s}},s_{\mathfrak{s}}-p_{\mathfrak{s}}\cdot \frac{\rho _{\mathfrak{s}}-\rho _{P(\mathfrak{s})}}{2})$ | $\Gamma _{\mathfrak{s}}^+$ | $\Gamma _{P(\mathfrak{s})}^+$ |
$\mathfrak{s}=\mathfrak{R}$ | ${\mathbb{P}}^1(\gamma _{\mathfrak{s}},s_{\mathfrak{s}})$ | $\Gamma _{\mathfrak{s}}^-$ | open-ended |
$\mathfrak{s}=\mathfrak{R}$ , $p_{\mathfrak{s}}/\gamma _{\mathfrak{s}}=2$ | ${\mathbb{P}}^1(\gamma _{\mathfrak{s}},s_{\mathfrak{s}})$ | $\Gamma _{\mathfrak{s}}^+$ | open-ended |
Definition 1.8. For any $\mathfrak{s}\in \Sigma _K$ , an element $w_{\mathfrak{s}}\in K$ is called rational centre of $\mathfrak{s}$ if $\min _{r\in \mathfrak{s}}v(r-w_{\mathfrak{s}})=\rho _{\mathfrak{s}}$ .
If $\mathfrak{s}^{\prime}\lt \mathfrak{s}$ and $w_{\mathfrak{s}^{\prime}}$ is a rational centre of $\mathfrak{s}^{\prime}$ , then $w_{\mathfrak{s}^{\prime}}$ is also a rational centre of $\mathfrak{s}$ . For any minimal rational cluster $\mathfrak{s}^{\prime}$ fix a rational centre $w_{\mathfrak{s}^{\prime}}$ . For any $\mathfrak{s}\in \Sigma _K$ fix $w_{\mathfrak{s}}=w_{\mathfrak{s}^{\prime}}$ for some minimal rational cluster $\mathfrak{s}^{\prime}\subseteq \mathfrak{s}$ .
The following result gives a basis of integral differentials when $K=K^{nr}$ . In Theorem 6.4 we extend it to the case $K\neq K^{nr}$ .
Theorem 1.9 (Theorem 6.3). Suppose $C$ is $y$ -regular and has almost rational cluster picture. For $i=0,\dots,g-1$ , inductively
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(i) define $e_i\;:\!=\;\displaystyle \max _{\mathfrak{t}\in \Sigma _K}\bigg \{\frac{\epsilon _{\mathfrak{t}}}{2}-\rho _{\mathfrak{t}}-\sum _{j=0}^{i-1}\rho _{\mathfrak{s}_j\wedge \mathfrak{t}}\bigg \}$ ;
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(ii) let $\Sigma _i=\displaystyle \bigg \{\mathfrak{t}\in \Sigma _K\mid \,e_i=\frac{\epsilon _{\mathfrak{t}}}{2}-\rho _{\mathfrak{t}}-\sum _{j=0}^{i-1}\rho _{\mathfrak{s}_j\wedge \mathfrak{t}}\bigg \}$ ;
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(iii) choose a maximal element $\mathfrak{s}_i$ of $\Sigma _i$ freely.
Then a basis of integral differentials is given by
Note that given $e_i$ as in the previous theorem, the sum $\sum _{i=0}^{g-1}\lfloor e_i \rfloor$ is the quantity, often denoted by $v({\omega ^\circ }/{\omega })$ , appearing in the period in the Birch and Swinnerton-Dyer conjecture (for more details see [Reference Flynn, Leprévost, Schaefer, Stein, Stoll and Wetherell4], [Reference van Bommel25, §1.3]).
1.3. Rational cluster picture
In this subsection we define the rational cluster picture and compare it with the classical cluster picture defined in [Reference Dokchitser, Dokchitser, Maistret and Morgan14]. We will show, via a simple example, in which sense the new object we introduce appears to be more suitable for the study of regular models.
Definition 1.10 (Definition 3.9). Let $K$ and $C$ as before. The rational cluster picture of $C$ is the collection of its rational clusters $\Sigma _K$ together with their radii.
Example 1.11. Let $p$ be any prime number and set $K=\mathbb{Q}_p^{nr}$ . Let $E_p/\mathbb{Q}_p^{nr}$ given by $y^2=x^3-p$ . Then $E_p$ is an elliptic curve with Kodaira-Néron reduction type II. Therefore, the minimal regular model (with normal crossings) of $E_p$ does not depend on $p$ . This is in accordance with the fact that the rational cluster picture of $E_p$ is the same for all $p$ . Indeed, the set of roots of the polynomial $x^3-p$ is $\mathfrak{R}=\{\sqrt [3]{p}, \zeta _3\sqrt [3]{p}, \zeta _3^2\sqrt [3]{p}\}$ , where $\zeta _3$ is a primitive $3$ rd of unity. Hence the rational cluster picture of $E_p$ is
where we denoted with bullet points the roots in $\mathfrak{R}$ , with a surrounding oval the only rational cluster $\mathfrak{R}$ , and with the subscript the radius $\rho _{\mathfrak{R}}$ of $\mathfrak{R}$ .
A different behaviour is observed when we consider the cluster picture [Reference Dokchitser, Dokchitser, Maistret and Morgan14 , Definition 1.26] of $E_p$ , collection of its clusters together with their depths. The cluster picture of $E_p$ is
where the subscripts represent the depth of the cluster $\mathfrak{R}$ . It does depend on $p$ and differs from the rational cluster picture when $p=3$ . Thus, although the cluster picture is particularly useful for Galois theoretical problems, the rational cluster picture appears to be a more suitable object for the study of regular models of the curve.
Finally, note that $E_p$ has an almost rational cluster picture. For any two distinct roots $r,r'\in \mathfrak{R}$ , the smallest $v$ -adic disc $D_{r,r^{\prime}}$ containing them also contains the whole $\mathfrak{R}$ . The element $0\in \mathbb{Q}_p^{nr}$ belongs to $D_{r,r^{\prime}}$ when $p\neq 3$ , while $|D_{r,r^{\prime}}\cap \mathfrak{R}|=3=|v(r)|_p$ , if $p=3$ .
The advantages of the rational cluster picture discussed in this subsection can also be observed in the following example where we study a more complex family of hyperelliptic curves having almost rational cluster picture.
1.4. Example
In this subsection we are going to present an example of a family of hyperelliptic curves $C_p$ satisfying the hypothesis of Theorems 1.7 and 1.9. Via those results we will then describe the special fibre of the minimal regular model and a basis of integral differentials of $C_p$ . All the computations involved are explained in detail in Examples 3.32, 4.25 and 6.5.
For any prime number $p$ , let $a\in \mathbb{Z}_p$ , $b\in \mathbb{Z}_p^\times$ such that the polynomial $x^2+ax+b$ is not a square modulo $p$ . Let $C_p/\mathbb{Q}_p$ be the hyperelliptic curve of genus $4$ given by $y^2=f(x)$ , where $f(x)=(x^6+ap^4x^3+bp^8)((x-p)^3-p^{11})$ . The curve $C_p/\mathbb{Q}_p^{nr}$ has an almost rational cluster picture and is $y$ -regular when $p=2$ . Its rational cluster picture is
where $\rho _{\mathfrak{t}_3}=\frac{4}{3}$ , $\rho _{\mathfrak{t}_4}=\frac{11}{3}$ , and $\rho _{\mathfrak{R}}=1$ . From Theorem 1.7 we can construct a regular model with strict normal crossings of $C_p$ with special fibre
over $\bar{\mathbb{F}}_p$ . Computing the self-intersection of each irreducible component we easily see that this model coincides with the minimal regular model $\mathcal{C}^{\textrm{min}}$ . Theorem 4.23 also describes the action of the Galois group $\textrm{Gal}(\bar{\mathbb{F}}_p/{\mathbb{F}}_p)$ on the special fibre $\mathcal{C}_s^{\textrm{min}}$ of $\mathcal{C}^{\textrm{min}}$ . If the roots of $x^2+ax+b\mod p$ are in ${\mathbb{F}}_p$ then the absolute Galois group acts trivially on each component, otherwise it swaps the $2$ irreducible components of multiplicity $3$ intersecting $\Gamma _{\mathfrak{t}_3}$ .
From Theorem 1.9 it follows that, for any $p$ , a basis of integral differentials of $C_p/\mathbb{Q}_p^{nr}$ is given by
In fact, this is also a basis of integral differentials of $C_p/\mathbb{Q}_p$ since they are all defined over $\mathbb{Q}_p$ (see Proposition B.2).
Below we will present related works of other authors concerning regular models and integral differentials of hyperelliptic curves. Note that the example presented here is not covered by [Reference Dokchitser, Dokchitser, Maistret and Morgan14] and [Reference Dokchitser1] since the curve $C_p$ is not semistable and not $\Delta _v$ -regular. In fact, if $p=3$ the curve $C_p$ does not even have tamely potential semistable reduction. The results in [Reference Faraggi and Nowell5] assume $p\gt 2$ and $C_p$ with tamely potential semistable reduction, hence they cannot be used when $p=2,3$ . Finally, there is no classification for genus $4$ curves.
1.5. Related works of other authors
Let $K$ be a discretely valued field with residue field $k$ of characteristic $p$ and let $C/K$ be a hyperelliptic curve of genus $g$ .
In genus $1$ , when $k$ is perfect, thanks to Tate’s algorithm, one can describe the minimal regular model and the space of integral differentials of an elliptic curve $C$ (see e.g., [Reference Silverman24, IV.8.2], [Reference Liu9, Theorem 9.4.35]).
If $K={\mathbb{C}}(t)$ and $C$ has genus $2$ , then Namikawa and Ueno [Reference Namikawa and Ueno18] and Liu [Reference Liu12] give a full classification of the possible configurations of the special fibre of the minimal regular model of $C$ .
If $p\neq 2$ , then Liu and Lorenzini show in [Reference Liu and Lorenzini13] that regular models of $C$ can be seen as double cover of well-chosen regular models of ${\mathbb{P}}^1_K$ . Since the latter can be found by using the MacLane valuations [Reference MacLane15] approach in [Reference Obus and Wewers21], this argument gives a way to describe any regular model of a hyperelliptic curve. At the moment there is no known closed form description of a regular model based on this approach and it has not been generalised to the $p=2$ case.
If $p\gt 2$ , $k$ finite, and $C$ is semistable, then in [Reference Dokchitser, Dokchitser, Maistret and Morgan14] the authors explicitly construct a minimal regular model in terms of the cluster picture of $C$ . Under the same assumptions, Kunzweiler [Reference Kunzweiler8] gives a basis of integral differentials rephrasing [Reference Kausz6, Proposition 5.5] in terms of the cluster invariants introduced in [Reference Dokchitser, Dokchitser, Maistret and Morgan14]. These results can be recovered from Theorem 4.23 (see Corollary 4.27) and Theorem 6.3.
If $p\gt 2$ and $C$ is semistable over some tamely ramified extension $L/K$ , then Faraggi and Nowell [Reference Faraggi and Nowell5] find the special fibre of the minimal regular model of $C$ with strict normal crossings taking the quotient of the stable model of $C_L$ and resolving the (tame) singularities. However, since they do not describe the charts of the model, their result does not immediately yield all arithmetic invariants, such as a basis of integral differentials.
The last work we want to recall represents an important ingredient of the strategy we will use in this paper (described more precisely in the next subsection). T. Dokchitser in [Reference Dokchitser1] shows that the toric resolution of $C$ gives a regular model in case of $\Delta _v$ -regularity [Reference Dokchitser1, Definition 3.9]. This result, used also in [Reference Faraggi and Nowell5], holds for general curves and in any residue characteristic. In his paper, Dokchitser also describes a basis of integral differentials since his model is given as open cover of affine schemes. In Corollary 3.25 and Theorem 6.1, we will rephrase his results for hyperelliptic curves by using rational cluster picture invariants from Section 3.
1.6. Strategy and outline of the paper
In [Reference Dokchitser1], Dokchitser not only describes a regular model of $C$ in case of $\Delta _v$ -regularity, but also constructs a proper flat model $\mathcal{C}_\Delta$ without any assumptions on $C$ . Assume $C$ is $y$ -regular and has an almost rational cluster picture over $K^{nr}$ with rational centres $w_1,\dots, w_m\in K^{nr}$ . Our approach to construct the minimal regular model with normal crossings of $C$ is composed by the following steps:
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Consider the $x$ -translated hyperelliptic curves $C^{w_h}/K^{nr}:y^2=f(x+w_h)$ , for $h=1,\dots,m$ . For each $h$ , [Reference Dokchitser1, Theorem 3.14] constructs a proper flat model $\mathcal{C}_\Delta ^{w_h}$ , possibly singular.
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We glue regular open subschemes of these models along common opens, and show that the result is a proper flat regular model $\mathcal{C}$ of $C_{K^{nr}}$ with strict normal crossings.
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We give a complete description of what components of the special fibre of $\mathcal{C}$ have to be blown down to obtain the minimal model with normal crossings $\mathcal{C}^{\textrm{min}}$ of $C_{K^{nr}}$ .
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Finally, we describe the action of the absolute Galois group $G_k$ of $k$ on the special fibre of $\mathcal{C}^{\textrm{min}}$ .
We will explicitly describe both the models $\mathcal{C}_\Delta ^{w_h}$ and $\mathcal{C}$ . This allows us to study the global sections of its relative dualising sheaf $\omega _{\mathcal{C}/O_K}(\mathcal{C})$ .
In Section 2, we present some results on Newton polygons used in the following sections. In Section 3, we recall the basic objects and notation of [Reference Dokchitser, Dokchitser, Maistret and Morgan14] and define the rational cluster picture. Moreover, we relate it with the notions given in Section 2. This comparison allows us to rephrase the objects in [Reference Dokchitser1] in terms of rational clusters invariants in Section 4. In the same section we also state the theorems which describe the special fibres of a proper flat model (Theorem 4.18) and of the minimal regular model with normal crossings (Theorem 4.23) of $C$ . The construction of these models, from which the two theorems above follow, is presented in Section 5. Finally, in Section 6, Theorems 6.3 and 6.4 describe a basis of integral differentials of $C$ , in terms of rational clusters invariants defined in Section 3.
1.7. Notation
In the following, we present the main notation used for fields, hyperelliptic curves and Newton polytopes.
$K,v$ | complete field with normalised discrete valuation $v$ |
$O_k,\pi,k,p$ | ring of integers, uniformiser, residue field, $\textrm{char}(k)$ |
$\bar{K},\bar{k}$ | fixed algebraic closure of $K$ , residue field of $\bar{K}$ |
$K^{\textrm{s}}, K^{nr}$ | separable closure, maximal unramified extension of $K$ in $\bar{K}$ |
$O_{K^{nr}},k^{\textrm{s}}$ | ring of integers of $K^{nr}$ , residue field of $K^{nr}$ |
$F$ | extension of $K$ in $\bar{K}$ , unramified in Section 4 |
$G_K, G_k$ | absolute Galois groups $\textrm{Gal}(K^{\textrm{s}}/K), \textrm{Gal}(k^{\textrm{s}}/k)$ |
$f(x)$ | $=\sum a_i x^i$ , polynomial in $K[x]$ , separable from Section 3 |
$\texttt{NP}(f)$ | Newton polygon of $f$ , lower convex hull of $\{(i,v(a_i))\mid i\}$ |
$f|_L,\overline{f|_L}$ | restriction and reduction of $f$ to an edge $L$ of $\texttt{NP}(f)$ (Definition 2.5) |
$g(x,y)$ | $=y^2-f(x)$ , polynomial in $K[x,y]$ defining $C$ |
$C$ | hyperelliptic curve defined over $K$ by $g(x,y)=0$ |
$f_w(x), f_h(x)$ | $=f(x+w), f(x+w_h)$ , for a given rational centre $w_h$ |
$g_w(x,y), g_h(x,y)$ | $=y^2-f_w(x), y^2-f_h(x)$ |
$C^w$ | $\simeq C$ , hyperelliptic curve given by $g_w(x,y)=0$ |
$\Delta ^w, \Delta _v^w$ | Newton polytopes attached to $C^w$ as in [Reference Dokchitser1, §1.1] (Notation 4.1) |
$F_{\mathfrak{t}}^w,L_{\mathfrak{t}}^w,V_{\mathfrak{t}}^w,V_0^w$ | $v$ -faces and $v$ -edges of $\Delta ^w$ (Notation 4.4) |
$s_1^\lambda, s_2^\lambda, r_\lambda$ | $s_1^\lambda, s_2^\lambda \in \mathbb{Q}$ , $r_\lambda \in \mathbb{Z}_{\geq 0}$ , attached to a $v$ -edge of $\Delta ^w$ (Notation 4.2) |
For a separable polynomial $f\in k[x]$ or a hyperelliptic curve $C/K:y^2=f(x)$ as above, the following is the main notation for clusters.
$c_f, \mathfrak{R}$ | leading coefficient and set of roots of $f$ |
$\Sigma _f,\Sigma _C$ | cluster picture, the set of clusters of $f$ , $C$ (Definition 3.2) |
$\mathfrak{s}\in \Sigma _C$ | cluster, $\mathfrak{s}=\mathcal{D}\cap \mathfrak{R}$ , for a $v$ -adic disc $\mathcal{D}$ (Definition 3.1) |
$G_{\mathfrak{s}}, K_{\mathfrak{s}}, k_{\mathfrak{s}}$ | $G_{\mathfrak{s}}=\textrm{Stab}_{G_K}({\mathfrak{s}})$ ; $K_{\mathfrak{s}}=\left ( K^{\textrm{s}}\right )^{G_{\mathfrak{s}}}$ ; $k_{\mathfrak{s}}$ residue field of $K_{\mathfrak{s}}$ |
$d_{\mathfrak{s}}$ | $=\min _{r,r^{\prime}\in \mathfrak{s}}v(r-r')$ is the depth of a cluster $\mathfrak{s}$ (Definition 3.1) |
$\mathfrak{s}^{\prime}\lt \mathfrak{s}=P({\mathfrak{s}}^{\prime})$ | $\mathfrak{s}^{\prime}$ is a child of $\mathfrak{s}$ and $\mathfrak{s}$ is the parent of $\mathfrak{s}^{\prime}$ (Definition 3.3) |
$\mathfrak{s}\wedge \mathfrak{t}$ | smallest cluster containing $\mathfrak{s}$ and $\mathfrak{t}$ (Definition 3.3) |
$\rho _{\mathfrak{s}}$ | $=\max _{w\in F}\min _{r\in \mathfrak{s}} v(r-w)$ , radius of $\mathfrak{s}\in \Sigma _{C_F}$ (Definitions 3.8 and 4.6) |
$b_{\mathfrak{s}}$ | denominator of $\rho _{\mathfrak{s}}$ (Definition 4.6) |
$w_{\mathfrak{s}}$ | rational centre of $\mathfrak{s}$ (Definition 3.8) |
$\epsilon _{\mathfrak{s}}$ | $=v(c_f) + \sum _{r\in \mathfrak{R}} \rho _{r\wedge \mathfrak{s}}$ (Definitions 3.19 and 4.6) |
$\Sigma _f^{\textrm{rat}},\Sigma _C^{\textrm{rat}}$ | rational cluster picture (Definition 3.9) |
$\mathfrak{s}\in \Sigma _C^{\textrm{rat}}$ | rational cluster (Definition 3.9) |
$\Sigma _F$ | $=\Sigma _{C_F}^{\textrm{rat}}$ , for some extension $F/K$ (Definition 4.6) |
$\Sigma _f^z,\Sigma _C^z$ | cluster picture centred at $z$ (Definition 3.34) |
$\mathfrak{s}\in \Sigma _C^z$ | cluster centred at $z$ (Definition 3.33) |
$\rho _{\mathfrak{s}}^z,\epsilon _{\mathfrak{s}}^z$ | $\rho _{\mathfrak{s}}^z=\min _{r\in \mathfrak{s}}v(r-z)$ , $\epsilon _{\mathfrak{s}}^z=v(c_f)+\sum _{r\in \mathfrak{R}}\rho _{r\wedge \mathfrak{s}}^z$ (Definition 3.35) |
$\Sigma ^W$ , $\Sigma ^{nr}$ | $\Sigma ^W=\bigcup _{w\in W}\Sigma _C^w$ , $\Sigma ^{nr}\subset \Sigma _{K^{nr}}$ non-removable clusters (Definition 4.20) |
$D_{\mathfrak{s}},m_{\mathfrak{s}}$ | $D_{\mathfrak{s}}=1$ if $b_{\mathfrak{s}}\epsilon _{\mathfrak{s}}$ odd, $2$ if $b_{\mathfrak{s}}\epsilon _{\mathfrak{s}}$ even; $m_{\mathfrak{s}}=(3-D_{\mathfrak{s}})b_{\mathfrak{s}}$ (Definition 4.6) |
$p_{\mathfrak{s}}$ | $=1$ if $|\mathfrak{s}|$ is odd, $2$ if $|\mathfrak{s}|$ is even (Definition 4.6) |
$\gamma _{\mathfrak{s}}$ | $=2$ if $|\mathfrak{s}|$ is even and $\epsilon _{\mathfrak{s}}\!-\!|\mathfrak{s}|\rho _{\mathfrak{s}}$ is odd, $1$ otherwise (Definition 4.6) |
$p_{\mathfrak{s}}^0$ | $=1$ if $\mathfrak{s}$ is minimal and $\mathfrak{s}\cap K_{\mathfrak{s}}\neq \varnothing$ , $2$ otherwise (Definition 4.6) |
$\gamma _{\mathfrak{s}}^0$ | $=2$ if $p_{\mathfrak{s}}^0=2$ and $\epsilon _{\mathfrak{s}}$ is odd, 1 otherwise (Definition 4.6) |
$s_{\mathfrak{s}}$ , $s_{\mathfrak{s}}^0$ | $s_{\mathfrak{s}}=\frac 12(|\mathfrak{s}|\rho _{\mathfrak{s}}+p_{\mathfrak{s}}\rho _{\mathfrak{s}}-\epsilon _{\mathfrak{s}})$ , $s_{\mathfrak{s}}^0=-\epsilon _{\mathfrak{s}}/2+\rho _{\mathfrak{s}}$ (Definition 4.6) |
${\overline{g_{\mathfrak{s}}}},{\overline{g_{\mathfrak{s}}^0}},{\overline{f_{\mathfrak{s}}^W}},{\overline{f_{\mathfrak{s}}}}, \tilde{f}_{\mathfrak{s}}$ | polynomials in one variable over $k_{\mathfrak{s}}$ (Definitions 4.14 and 4.22) |
In Section 5 we explicitly construct proper flat models of hyperelliptic curves and study the conditions for having (minimal) regular models with normal crossings. Here you can find the most used objects and notation.
$\Sigma$ | $=\{{\mathfrak{s}}_1,\dots,{\mathfrak{s}}_m\}$ , set of rationally minimal clusters (Section 5.1) |
${\mathfrak{s}}_h$ | a rationally minimal cluster, element of $\Sigma$ (Section 5.1) |
$W$ | $=\{w_1,\dots,w_m\}$ , where $w_h$ is a rational centre of ${\mathfrak{s}}_h$ (Section 5.1) |
$w_h$ | fixed rational centre of ${\mathfrak{s}}_h$ , element of $W$ (Section 5.1) |
$w_{hl}$ | $=w_h-w_l$ for fixed rational centres $w_h,w_l$ (Section 5.1) |
$u_{hl},\rho _{hl}$ | $u_{hl}\in O_K^\times$ , $\rho _{hl}\in \mathbb{Z}$ such that $w_{hl}=u_{hl}\pi ^{\rho _{hl}}$ ; $u_{hh}=0$ (Section 5.1) |
$M$ | matrix associated to a proper rational cluster $\mathfrak{t}\in \Sigma ^W$ (Definition 5.1, Lemma 5.2) |
$\stackrel{M}{=}$ | change of variable $(x,y,\pi )\stackrel{M}{=}(X,Y,Z)\bullet M^{-1}$ given by $M$ (Section 5.2) |
$\delta _M, \sigma _M, X_M$ | integer, cone, toric scheme attached to a matrix $M$ (Definitio 5.1) |
$m_{\ast \ast }, \tilde{m}_{\ast \ast }$ | entries of the matrices $M$ and $M^{-1}$ (Section 5.2) |
$X_{\Delta }^h$ | $=\bigcup _{\mathfrak{t},M}X_M$ , toric scheme constructed from $\Delta _v^{w_h}$ (Definition 5.1) |
$\mathcal{C}_\Delta ^{w}$ | proper model of $C^w$ constructed from $\Delta _v^w$ by [Reference Dokchitser1, 3.14] |
$\mathcal{C}_\Delta ^{w_h}$ | closure of $C\simeq C^{w_h}$ in $X_\Delta ^h$ (Section 5.2) |
$R$ | $=O_K[X^{\pm 1},Y,Z]/(\pi -X^{\tilde{m}_{13}}Y^{\tilde{m}_{23}}Z^{\tilde{m}_{33}})$ (Section 5.2) |
$T_M^{hl}$ | $\in R$ , satisfying $x-w_{hl}\stackrel{M}{=}X^{\ast } Y^{\ast } Z^{\ast }T_M^{hl}$ (Section 5.2) |
$T_M^h$ | $=\prod _{l\neq h}T_M^{hl}\in R$ (Section 5.2) |
$\mathcal{F}_M^h$ | $\in R$ , equals $Y^{\ast }Z^{\ast }\cdot g_h((X,Y,Z)\bullet M^{-1})$ (Section 5.2) |
$V_M^h$ | $=\textrm{Spec}\, R[(T_M^h)^{-1}]\subset X_M$ , (Section 5.2) |
$U_M^h$ | $=\textrm{Spec}\, R[(T_M^h)^{-1}]/(\mathcal{F}_M^h)\subset V_M^h$ , chart of $\mathcal{C}$ (Section 5.2) |
$\mathring{X}_{\Delta} ^h,\mathring{\mathcal{C}}_\Delta ^{w_h}$ | $\mathring{X}_\Delta ^h=\bigcup _{\mathfrak{t},M} V_M^h\subseteq X_\Delta ^h$ , $\mathring{\mathcal{C}}_\Delta ^{w_h} =\bigcup _{\mathfrak{t},M} U_M^h\subset X_\Delta ^h$ (Section 5.2) |
$\mathcal{X}$ , $\mathcal{C}$ | $\mathcal{X}=\bigcup _h{X}_\Delta ^h$ , $\mathcal{C}=\bigcup _h\mathring{\mathcal{C}}_\Delta ^{w_h}$ (Section 5.3) |
$\hat{\mathfrak{t}}^W$ , $\tilde{\mathfrak{t}}^W$ , $\tilde{\mathfrak{t}}$ | sets attached to a rational cluster $\mathfrak{t}$ (Definition 5.15, before Proposition 5.18 and Definition 4.13) |
$\bar{X}_{F_{\mathfrak{t}}^{w}}$ | $1$ -dimensional closed subscheme of $\mathcal{C}_{\Delta,s}^{w}$ given by $F_{\mathfrak{t}}^{w}$ (Section 5.6) |
$\mathring{X}_{F_{\mathfrak{t}}^{w}}$ | $=\bar{X}_{F_{\mathfrak{t}}^{w}}\cap\mathring{\mathcal{C}}_{\Delta }^{w}$ (Section 5.6) |
$\Gamma _{\mathfrak{t}}$ | $\subseteq \mathcal{C}_s$ , glueing of $\mathring{X}_{F_{\mathfrak{t}}^{w}}$ for all $w\in W$ such that $\mathfrak{t}\in \Sigma _C^{w}$ (Section 5.6) |
2. Newton polygon
Let $K$ be a complete field with a normalised valuation $v$ , ring of integers $O_K$ , uniformiser $\pi$ , and residue field $ k$ of characteristic $p$ . We fix $\bar{K}$ , an algebraic closure of $K$ , of residue field $\bar{k}$ , and we denote by $K^{\textrm{s}}$ the separable closure of $K$ in $\bar{K}$ . Denote by $K^{nr}$ the maximal unramified extension of $K$ in $K^{\textrm{s}}$ , by $O_{K^{nr}}$ its ring of integers, and by $ k^{\textrm{s}}$ its residue field. Note that $ k^{\textrm{s}}$ is the separable closure of $k$ in $\bar{k}$ . Extend the valuation $v$ to $\bar{K}$ . Finally, write $G_K$ , $G_k$ for the Galois groups $\textrm{Gal}(K^{\textrm{s}}/K)$ , $\textrm{Gal}( k^{\textrm{s}}/ k)$ , respectively.
Notation 2.1. Let $O_{\bar{K}}=\{a\in \bar{K}\mid v(a)\geq 0\}$ . Throughout this paper, given an element $a\in O_{\bar{K}}$ , we will write $a\mod \pi$ for the reduction of $a$ in $\bar{k}$ . Similarly, given a polynomial $h\in O_{\bar{K}}[x_1,\dots,x_n]$ , namely $h=\sum a_{i_1,\dots,i_n}\cdot x_1^{i_1}\cdots x_n^{i_n}$ , we will write $h\mod \pi$ for the polynomial $\sum (a_{i_1,\dots,i_n}\mod \pi )\cdot x_1^{i_1}\cdots x_n^{i_n}\in \bar{k}[x_1,\dots,x_n]$ .
Let $f\in K[x]$ be a non-zero polynomial of degree $d$ , say
The Newton polygon of $f$ , denoted $\texttt{NP}(f)$ , is
We recall the following well-known result (see e.g., [Reference Neukirch17, II.6.3,6.4]).
Theorem 2.2. Let $i_0\lt \ldots \lt i_s=d$ be the set of indices in $\{0,\dots,d\}$ such that the points $(i_0,v(a_{i_0})),\dots,(i_s,v(a_{i_s}))$ are the vertices of $\texttt{NP}(f)$ . For any $j=1,\dots,s$ , denote by $\rho _j$ the slope of the edge of $\texttt{NP}(f)$ which links the points $(i_{j-1},v(a_{i_{j-1}}))$ and $(i_j,v(a_{i_j}))$ . Then $f$ has a unique factorisation over $K$ as a product
where $g_0=x^{i_0}$ and, for all $j=1,\dots, s$ ,
-
the polynomials $g_j\in K[x]$ are monic of degree $d_j=i_j-i_{j-1}$ ,
-
all the roots of $g_j$ have valuation $-\rho _j$ in $\bar{K}$ .
In particular, $\texttt{NP}(g_j)$ is a segment of slope $\rho _j$ .
Corollary 2.3. With the notation of Theorem 2.2, the polynomial $f$ has exactly $d_j$ roots of valuation $-\rho _j$ for all $j=1,\dots,s$ .
Corollary 2.4. If $f=\sum a_ix^i$ is irreducible of degree $d$ and $a_0\neq 0$ , then $\texttt{NP}(f)$ is a segment linking the points $(0,v(a_0))$ and $(d,v(a_d))$ .
Definition 2.5 (Restriction and reduction). Let $f=\sum _{i=0}^da_ix^i\in K[x]$ and consider an edge $L$ of its Newton polygon $\texttt{NP}(f)$ . Let $(i_1,v(a_{i_1})), (i_2,v(a_{i_2}))$ , $i_1\lt i_2$ be the two endpoints of $L$ . Denote by $\rho$ the slope of $L$ and by $n$ the denominator of $\rho$ . Define the restriction of $f$ to $L$ as
Moreover, we define the reduction of $f$ with respect to $L$ to be the polynomial
where $c=v(a_{i_1})=v(a_{i_2})+(i_1-i_2)\rho .$
Remark 2.6. These definitions coincide with the ones given in [ Reference Dokchitser1, Definitions 3.4, 3.5] when the number of variables is $1$ (for suitable choices of basis of the lattices used in the definitions).
Until the end of the section let $f\in K[x]$ , consider a factorisation $f=a_d\cdot g_0\cdot g_1\cdots g_s$ as in Theorem 2.2. Denote by $L_j$ the edge of slope $\rho _j$ of $\texttt{NP}(f)$ , for any $j=1\dots s$ .
Remark 2.7. By the lower convexity of $\texttt{NP}(f)$ , for all $j=1,\dots,s$ , note that ${\overline{f|_{L_j}}}=\bar{c}_j\cdot{\overline{g_j|_{\texttt{NP}(g_j)}}}$ for some $\bar{c}_j\in k^\times$ . In particular they define the same $ k$ -scheme in $\mathbb{G}_{m, k}$ . More precisely, for any $j=1,\dots,s$ , let
Then $\bar{c}_j=u_j/\pi ^{v(u_j)}\mod \pi$ .
Definition 2.8. We say that $f$ is $\texttt{NP}$ -regular if the $ k$ -scheme
is smooth for all $j=1,\dots,s$ .
Lemma 2.9. The polynomial $f=a_d\cdot g_0\cdot g_1\cdots g_s$ is $\texttt{NP}$ -regular if and only if $g_j$ is $\texttt{NP}$ -regular for every $j=1,\dots,s$ .
Proof. The Lemma follows from Remark 2.7.
We conclude this section with two examples.
Example 2.10. Let $f=x^{11}+9x^7-3x^6+9x^5+81x-27\in \mathbb{Q}_3[x]$ . Then the Newton polygon of $f$ is
Corollary 2.3 implies that $f$ has $6$ roots of valuation $\frac{1}{3}$ and $5$ roots of valuation $\frac{1}{5}$ . Furthermore, the two polynomials $g_1$ and $g_2$ in the factorisation $f=g_1\cdot g_2$ of Theorem 2.2 turn out to be
Finally,
and
Thus $f$ is $\texttt{NP}$ -regular.
Example 2.11. We now show an example of a polynomial that is not $\texttt{NP}$ -regular. Let $f=x^9+12x^6+36x^3+81\in \mathbb{Q}_3[x]$ . Then the Newton polygon of $f$ is
Corollary 2.3 implies that $f$ has $3$ roots of valuation $\frac{2}{3}$ and $6$ roots of valuation $\frac{1}{3}$ . Furthermore, the two polynomials $g_1$ and $g_2$ in the factorisation $f=g_1\cdot g_2$ of Theorem 2.2 are
Finally,
and
Then $f$ is not $\texttt{NP}$ -regular. In fact, in accordance with Lemma 2.9, $g_2$ is not $\texttt{NP}$ -regular.
3. Rational clusters
In this subsection we introduce simple combinatorial objects, that we call rational clusters, attached to a separable polynomial $f\in K[x]$ . Via this new terminology, we will give a characterisation for the $\texttt{NP}$ -regularity, from which the definition of almost rational cluster picture, key condition for the next sections, will follow. In fact, rational clusters are the main objects we will use for the construction of models and the description of integral differentials of hyperelliptic curves in Sections 5 and 6.
From now on, let $f\in K[x]$ be a separable polynomial and denote by $\mathfrak{R}$ the set of its roots in $K^{\textrm{s}}$ and by $c_f$ its leading coefficient. Then
Definition 3.1 ([Reference Dokchitser, Dokchitser, Maistret and Morgan14, Definition 1.1]). A cluster (for $f$ ) is a non-empty subset $\mathfrak{s}\subseteq \mathfrak{R}$ of the form $\mathcal{D}\cap \mathfrak{R}$ , where $\mathcal{D}$ is a $v$ -adic disc $\mathcal{D}=\{x\in \bar{K}\mid v(x-z)\geq d\}$ for some $z\in \bar{K}$ and $d\in \mathbb{Q}$ . If $|\mathfrak{s}|\gt 1$ we say that $\mathfrak{s}$ is proper and define its depth $d_{\mathfrak{s}}$ to be
Note that every proper cluster is cut out by a disc of the form
for any $r\in \mathfrak{s}$ .
Definition 3.2 ([Reference Dokchitser, Dokchitser, Maistret and Morgan14, Definition 1.26]). The cluster picture of $f$ is the collection of its clusters, together with their depths.
We denote by $\Sigma _f$ the set of all clusters of $f$ and by $\mathring{\Sigma }_f$ the subset of $\Sigma _f$ of proper clusters.
Definition 3.3 ([Reference Dokchitser, Dokchitser, Maistret and Morgan14, Definition 1.3]). If $\mathfrak{s}^{\prime}\subsetneq \mathfrak{s}$ is maximal subcluster, then we say that $\mathfrak{s}^{\prime}$ is a child of $\mathfrak{s}$ and $\mathfrak{s}$ is the parent of $\mathfrak{s}^{\prime}$ , and we write $\mathfrak{s}^{\prime}\lt \mathfrak{s}$ . For any $\mathfrak{s}^{\prime},\mathfrak{s}\in \Sigma _f$ , we write $\mathfrak{s}^{\prime}\leq \mathfrak{s}$ if either $\mathfrak{s}^{\prime}\lt \mathfrak{s}$ or $\mathfrak{s}^{\prime}=\mathfrak{s}$ . Since every cluster $\mathfrak{s}\neq \mathfrak{R}$ has one and only one parent we write $P(\mathfrak{s})$ to refer to the unique parent of $\mathfrak{s}$ .
We say that a proper cluster $\mathfrak{s}$ is minimal if it does not have any proper child.
For two clusters (or roots) ${\mathfrak{s}}_1,{\mathfrak{s}}_2$ , we write ${\mathfrak{s}}_1\wedge{\mathfrak{s}}_2$ for the smallest cluster that contains them.
Definition 3.4 ([Reference Dokchitser, Dokchitser, Maistret and Morgan14, Definition 1.4]). A cluster $\mathfrak{s}$ is odd/even if its size is odd/even. If $|\mathfrak{s}|=2$ , then we say $\mathfrak{s}$ is a twin. A cluster $\mathfrak{s}$ is übereven if it has only even children.
Definition 3.5 ([Reference Dokchitser, Dokchitser, Maistret and Morgan14, Definition 1.9]). A centre $z_{\mathfrak{s}}$ of a proper cluster $\mathfrak{s}$ is any element $z_{\mathfrak{s}}\in K^{\textrm{s}}$ such that $\mathfrak{s}=\mathcal{D}\cap \mathfrak{R}$ , where
Equivalently, $v(r-z_{\mathfrak{s}})\geq d_{\mathfrak{s}}$ for all $r\in \mathfrak{s}$ . The centre of a non-proper cluster $\mathfrak{s}=\{r\}$ is $r$ .
Definition 3.6 ([Reference Dokchitser, Dokchitser, Maistret and Morgan14, Definition 1.6]). For a proper cluster $\mathfrak{s}$ set
Definition 3.7. We say that $\Sigma _f$ is nested if one of the following equivalent conditions is satisfied:
-
(i) there exists $z\in K^{\textrm{s}}$ such that $z$ is a centre for all proper clusters $\mathfrak{s}\in \Sigma _f$ ;
-
(ii) there is only one minimal cluster in $\Sigma _f$ ;
-
(iii) every non-minimal proper cluster has exactly one proper child.
Definition 3.8. A rational centre of a cluster $\mathfrak{s}$ is any element $w_{\mathfrak{s}}\in K$ such that
If $\mathfrak{s}=\{r\}$ , with $r\in K$ , then $w_{\mathfrak{s}}=r$ .
If $w_{\mathfrak{s}}$ is a rational centre of a proper cluster $\mathfrak{s}$ , we define the radius of $\mathfrak{s}$ to be
Definition 3.9. A rational cluster is a cluster cut out by a $v$ -adic disc of the form $\mathcal{D}=\{x\in \bar{K}\mid v(x-w)\geq d\}$ with $w\in K$ and $d\in \mathbb{Q}$ .
The rational cluster picture is the collection of all rational clusters of $f$ together with their radii.
We denote by $\Sigma _f^{\textrm{rat}}\subseteq \Sigma _f$ the set of rational clusters and by $\mathring{\Sigma }_f^{\textrm{rat}}$ the subset of $\Sigma _f^{\textrm{rat}}$ of proper rational clusters.
Lemma 3.10. Let $\mathfrak{s}$ be a proper cluster. Then $d_{\mathfrak{s}}\geq \rho _{\mathfrak{s}}$ .
Proof. First we want to show that
Clearly $\min _{r,r^{\prime}\in \mathfrak{s}}v(r-r')\leq \max _{z\in K^{\textrm{s}}}\min _{r\in \mathfrak{s}}v(r-z)$ . Let $z_{\mathfrak{s}}\in K^{\textrm{s}}$ such that
Then, for any $r,r'\in \mathfrak{s}$ , one has
and so
as required. From
the Lemma follows.
Thanks to the previous lemma, the next definition gives, for any cluster $\mathfrak{s}$ , the smallest rational cluster containing it.
Definition 3.11. Given a proper cluster $\mathfrak{s}\in \Sigma _f$ , we define the rationalisation ${\mathfrak{s}}^{\textrm{rat}}$ of $\mathfrak{s}$ to be the smallest rational cluster containing $\mathfrak{s}$ . By definition
where $w_{\mathfrak{s}}$ is a rational centre of $\mathfrak{s}$ and $\rho _{\mathfrak{s}}$ is its radius.
The next Lemma will be used in Section 5 to prove the minimality of the regular model with normal crossings we construct.
Lemma 3.12. Let $\mathfrak{s}\in \Sigma _f^{\textrm{rat}}$ be a proper cluster with rational centre $w_{\mathfrak{s}}$ . Let $\mathfrak{s}^{\prime}\in \Sigma _C^{\textrm{rat}}$ be the child of $\mathfrak{s}$ with rational centre $w_{\mathfrak{s}}$ (let $\mathfrak{s}^{\prime}=\varnothing$ if it does not exist). Then $(|\mathfrak{s}|-|\mathfrak{s}^{\prime}|)\rho _{\mathfrak{s}}\in \mathbb{Z}$ .
Proof. As $\mathfrak{s}\in \Sigma _f^{\textrm{rat}}$ , one has $\mathfrak{s}={\mathfrak{s}}^{\textrm{rat}}$ . Let $b_{\mathfrak{s}}$ be the denominator of $\rho _{\mathfrak{s}}$ . Then $b_{\mathfrak{s}}$ divides the degree of the minimal polynomial of $r$ , for any $r\in \mathfrak{s}$ satisfying $v(w_{\mathfrak{s}}-r)=\rho _{\mathfrak{s}}$ . Then $(|\mathfrak{s}|-|\mathfrak{s}^{\prime}|)\rho _{\mathfrak{s}}\in \mathbb{Z}$ , where
as required.
By definition, a rational cluster is $G_K$ -invariant. Apart from that necessary condition, it is not easy to see whether a proper cluster $\mathfrak{s}$ is also a rational cluster in general. The following remark gives a sufficient condition and shows we have a simple characterisation when $K(\mathfrak{s})/K$ is tamely ramified.
Remark 3.13. If a proper cluster $\mathfrak{s}\in \Sigma _f$ satisfies $d_{\mathfrak{s}}=\rho _{\mathfrak{s}}$ , then a rational centre $w_{\mathfrak{s}}\in K$ of its is also a centre. Hence $\mathfrak{s}$ is a rational cluster and, in particular, is $G_K$ -invariant. On the other hand, if a proper cluster $\mathfrak{s}\in \Sigma _f$ is $G_K$ -invariant and $K(\mathfrak{s})/K$ is tamely ramified, then $\mathfrak{s}$ has a centre $z_{\mathfrak{s}}\in K$ by [Reference Dokchitser, Dokchitser, Maistret and Morgan14 , Lemma B.1]. Thus $\rho _{\mathfrak{s}}=d_{\mathfrak{s}}$ and $\mathfrak{s}\in \Sigma _f^{\textrm{rat}}$ .
Lemma 3.14. Let $\mathfrak{s}$ be a proper cluster with rational centre $w_{\mathfrak{s}}$ and let $\mathfrak{t}\in \Sigma _f$ satisfying $\mathfrak{t}\supseteq \mathfrak{s}$ . Then $w_{\mathfrak{s}}$ is a rational centre of $\mathfrak{t}$ and $\rho _{\mathfrak{t}}\leq \rho _{\mathfrak{s}}$ . Furthermore, if $\mathfrak{s}$ is a rational cluster and $\mathfrak{t}\supsetneq \mathfrak{s}$ , then $\rho _{\mathfrak{t}}\lt \rho _{\mathfrak{s}}$ .
Proof. It suffices to prove the Lemma for $\mathfrak{t}=P(\mathfrak{s})$ . Hence we first want to show that $\min _{r\in P(\mathfrak{s})}v(r-w_{\mathfrak{s}})=\rho _{P(\mathfrak{s})}$ and $\rho _{P(\mathfrak{s})}\leq \rho _{\mathfrak{s}}$ . Note that
Moreover,
If $r\in \mathfrak{s}$ then $v(w_{\mathfrak{s}}-r)\geq \rho _{\mathfrak{s}}$ , by definition of $\rho _{\mathfrak{s}}$ . On the other hand, if $r\in P(\mathfrak{s})\smallsetminus \mathfrak{s}$ then fixing $r'\in \mathfrak{s}$ we have
by the previous lemma. Thus $\min _{r\in P(\mathfrak{s})}v(r-w_{\mathfrak{s}})=\rho _{P(\mathfrak{s})}$ , as required.
Now suppose $\mathfrak{s}\in \Sigma _f^{\textrm{rat}}$ with $\mathfrak{t}\supsetneq \mathfrak{s}$ . From Definition 3.8, it follows that
as $w_{\mathfrak{s}}$ is a rational centre of $\mathfrak{t}$ . Thus $\rho _{\mathfrak{t}}\lt \rho _{\mathfrak{s}}$ .
Definition 3.15. We say that a proper rational cluster $\mathfrak{s}\in \Sigma _f^{\textrm{rat}}$ is (rationally) minimal if it does not have any proper rational child.
From Lemma 3.14 it follows that if $W\subseteq K$ such that every minimal rational cluster has a rational centre in $W$ , then all clusters have a rational centre in $W$ . This fact will be key for the construction of the model in Section 5. Another important result is Lemma 3.18, that describes the depth and the radius of $\mathfrak{s}\wedge \mathfrak{s}^{\prime}$ for two rational clusters $\mathfrak{s},\mathfrak{s}^{\prime}$ . To prove it, we need the following two lemmas.
Lemma 3.16. Every cluster $\mathfrak{s}$ with $\rho _{\mathfrak{s}}\lt d_{\mathfrak{s}}$ has no rational subcluster $\mathfrak{s}^{\prime}\subsetneq \mathfrak{s}$ .
Proof. Suppose by contradiction there exists $\mathfrak{s}^{\prime}\in \Sigma _C^{\textrm{rat}}$ , $\mathfrak{s}^{\prime}\subsetneq \mathfrak{s}$ , and fix a rational centre $w_{\mathfrak{s}^{\prime}}$ of $\mathfrak{s}^{\prime}$ . Then $w_{\mathfrak{s}^{\prime}}$ is a rational centre of $\mathfrak{s}$ by the previous lemma. If $|\mathfrak{s}^{\prime}|=1$ , then $w_{\mathfrak{s}^{\prime}}$ is also a centre of $\mathfrak{s}$ and this contradicts $\rho _{\mathfrak{s}}\lt d_{\mathfrak{s}}$ ; so, assume $\mathfrak{s}^{\prime}$ proper. Let $r'\in \mathfrak{s}^{\prime}$ such that $v(r'-w_{\mathfrak{s}^{\prime}})=\rho _{\mathfrak{s}^{\prime}}$ and $r\in \mathfrak{s}$ such that $v(r-w_{\mathfrak{s}^{\prime}})=\rho _{\mathfrak{s}}$ . But then $d_{\mathfrak{s}}\leq v(r-w_{\mathfrak{s}^{\prime}}+w_{\mathfrak{s}^{\prime}}-r')=\rho _{\mathfrak{s}}$ again by Lemma 3.14.
In particular, the Lemma above shows that if $\mathfrak{s}\in \Sigma _f$ and $\mathfrak{s}^{\prime}\in \Sigma _f^{\textrm{rat}}$ is a maximal rational subcluster of $\mathfrak{s}$ , with $\mathfrak{s}^{\prime}\subsetneq \mathfrak{s}$ , then $\mathfrak{s}^{\prime}$ is a child of $\mathfrak{s}$ . Moreover, the parent of a rational cluster is rational.
Lemma 3.17. Let $\mathfrak{s},\mathfrak{s}^{\prime}\in \Sigma _f^{\textrm{rat}}$ such that $\mathfrak{s}^{\prime}\nsubseteq \mathfrak{s}$ . If $w_{\mathfrak{s}}$ is a rational centre of $\mathfrak{s}$ then
Proof. By Lemma 3.14 we have
Therefore $\min _{r\in \mathfrak{s}^{\prime}}v(w_{\mathfrak{s}}-r)\geq \rho _{\mathfrak{s}\wedge \mathfrak{s}^{\prime}}$ . Suppose by contradiction that
It follows from Lemma 3.14 that
as $\mathfrak{s}^{\prime}\nsubseteq \mathfrak{s}$ . But then there exists $ \tilde{r}\in (\mathfrak{s}\wedge \mathfrak{s}^{\prime})\smallsetminus (\mathfrak{s}\cup \mathfrak{s}^{\prime})$ such that $v(\tilde{r}-w_{\mathfrak{s}})=\rho _{\mathfrak{s}\wedge \mathfrak{s}^{\prime}}$ . Consider the rational cluster
Then $\mathfrak{s},\mathfrak{s}^{\prime}\subseteq \mathfrak{t}$ , but since $\tilde{r}\notin \mathfrak{t}$ we have $\mathfrak{s}\wedge \mathfrak{s}^{\prime}\nsubseteq \mathfrak{t}$ that contradicts the minimality of $\mathfrak{s}\wedge \mathfrak{s}^{\prime}$ .
Lemma 3.18. Let $\mathfrak{t}\in \Sigma _f$ with at least two children in $\Sigma _f^{\textrm{rat}}$ . Then $d_{\mathfrak{t}}=\rho _{\mathfrak{t}}\in \mathbb{Z}$ and $\mathfrak{t}\in \Sigma _f^{\textrm{rat}}$ . More precisely, if $\mathfrak{s},\mathfrak{s}^{\prime}\in \Sigma _f^{\textrm{rat}}$ such that $\mathfrak{s}\subsetneq \mathfrak{s}\wedge \mathfrak{s}^{\prime}\supsetneq \mathfrak{s}^{\prime}$ , then
where $w_{\mathfrak{s}}$ and $w_{\mathfrak{s}^{\prime}}$ are rational centres of $\mathfrak{s}$ and $\mathfrak{s}^{\prime}$ respectively.
Proof. If $d_{\mathfrak{t}}=\rho _{\mathfrak{t}}$ , then $\mathfrak{t}\in \Sigma _f^{\textrm{rat}}$ by Remark 3.13. Hence it suffices to prove the second statement as $v(w_{\mathfrak{s}}-w_{\mathfrak{s}^{\prime}})\in \mathbb{Z}$ . For our assumptions $\mathfrak{s}^{\prime}\not \subseteq \mathfrak{s}$ . Then by Lemma 3.17 there exists $r\in \mathfrak{s}^{\prime}$ so that $v(r-w_{\mathfrak{s}})=\rho _{\mathfrak{s}\wedge \mathfrak{s}^{\prime}}$ . Thus,
as $v(r-w_{\mathfrak{s}^{\prime}})\geq \rho _{\mathfrak{s}^{\prime}}\gt \rho _{\mathfrak{s}\wedge \mathfrak{s}^{\prime}}$ by Lemma 3.14. Finally, $d_{\mathfrak{s}\wedge \mathfrak{s}^{\prime}}=\rho _{\mathfrak{s}\wedge \mathfrak{s}^{\prime}}$ follows from Lemma 3.16.
Definition 3.19. For a proper cluster $\mathfrak{s}$ set
Example 3.20. Let $f=x^{11}-3x^6+9x^5-27\in \mathbb{Q}_3[x]$ . The set of roots of $f$ is
where $\zeta _q$ is a primitive $q$ th root of unity for $q=3,5$ . Then the proper clusters of $f$ are
with $d_{{\mathfrak{s}}_1}=d_{{\mathfrak{s}}_2}=\frac{5}{6}$ , $d_{{\mathfrak{s}}_3}=\frac{1}{3}$ and $d_{\mathfrak{R}}=\frac{1}{5}$ . The graphic representation of the cluster picture of $f$ is then
where the subscripts of clusters (represented as circles) are their depths.
Furthermore, note that $0$ is a rational centre for all proper clusters and we have $\rho _{{\mathfrak{s}}_1}=\rho _{{\mathfrak{s}}_2}=\rho _{{\mathfrak{s}}_3}=\frac{1}{3}$ and $\rho _{\mathfrak{R}}=\frac{1}{5}$ .
Finally, for every cluster $\mathfrak{s}$ we can also compute $\nu _{\mathfrak{s}}$ and $\epsilon _{\mathfrak{s}}$ , that are
Example 3.21. Let $f=x^9+12x^6+36x^3+81\in \mathbb{Q}_3[x]$ and fix an isomorphism ${\overline{\mathbb{Q}}}_3\simeq{\mathbb{C}}$ . Then the set of roots of $f$ is
where $\zeta _q=e^{2\pi i/q}$ is a primitive $q$ th root of unity for $q=3,9$ . Then the proper clusters of $f$ are
with $d_{{\mathfrak{s}}_1}=\frac{7}{6}$ , $d_{{\mathfrak{s}}_2}=d_{{\mathfrak{s}}_3}=\frac{5}{6}$ , $d_{{\mathfrak{s}}_4}=\frac{1}{2}$ , and $d_{\mathfrak{R}}=\frac{1}{3}$ . The cluster picture of $f$ is then
It is easy to see that $0$ is a rational centre for all proper clusters and that $\rho _{{\mathfrak{s}}_1}=\frac{2}{3}$ , $\rho _{{\mathfrak{s}}_2}=\rho _{{\mathfrak{s}}_3}=\rho _{{\mathfrak{s}}_4}=\rho _{\mathfrak{R}}=\frac{1}{3}$ . Finally,
The goal of this section is to describe the $\texttt{NP}$ -regularity of $f\in K[x]$ (and its translations) in terms of conditions on its cluster picture.
Notation 3.22. If $p\gt 0$ , we denote by $|\cdot |_p$ the standard $p$ -adic absolute value attached to $\mathbb{Q}$ , that is $|a|_p=p^{-v_p(a)}$ for all $a\in \mathbb{Q}$ . If $p=0$ , then we write $|\cdot |_p$ for the function on $\mathbb{Q}$ identically equal to $1$ , that is $|a|_p=1$ for all $a\in \mathbb{Q}$ .
Lemma 3.23. Suppose that $x\nmid f$ and that $\texttt{NP}(f)$ is a segment $L$ of slope $-\rho$ . Let $n$ be the denominator of $\rho$ . Then $f$ is $\texttt{NP}$ -regular if and only if all proper clusters $\mathfrak{s}\in \Sigma _f$ with $|\mathfrak{s}|\gt |\rho |_p$ satisfy $d_{\mathfrak{s}}=\rho$ .
More precisely:
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(i) If $\mathfrak{s}\in \Sigma _f$ with $|\mathfrak{s}|\gt |\rho |_p$ but $d_{\mathfrak{s}}\gt \rho$ , then $\overline{f|_L}$ has a non-zero multiple root $\bar{u}=\frac{r^n}{\pi ^{n\rho }} \mod \pi$ , for some (any) $r\in \mathfrak{s}$ .
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(ii) The multiplicity of a root $\bar{u}\in \bar{k}^\times$ of $\overline{f|_L}$ equals $|{\mathfrak{s}}^0|/n$ , where
\begin{align*}{\mathfrak{s}}^0=\left \{r\in \mathfrak{R}\mid \bar{u}=\tfrac{r^n}{\pi ^{n\rho }}\mod \pi \right \}. \end{align*} -
(iii) All multiple roots of $\overline{f|_L}$ come from clusters $\mathfrak{s}$ as described in (i).
Proof. Let $q$ be the highest power of $p$ dividing $n$ (set $q=1$ if $p=0$ ). Let $m=n/q$ so that $p\nmid m$ . Let $\mathfrak{R}=\{r_i\mid i=1,\dots,D\}$ be the (multi-)set of roots of $f$ , where $D\;:\!=\;\deg f$ . Fix some choice of $\sqrt [n]{\pi }$ and define $\bar{u}_i\in \bar{k}^\times$ as $\bar{u}_i=r_i/\pi ^\rho \mod \pi$ , for all $i=1,\dots, D$ . Firstly, note that there exists a proper cluster $\mathfrak{s}$ with $|\mathfrak{s}|\gt |\rho |_p$ and $d_{\mathfrak{s}}\gt \rho$ if and only if there exists a subset $I\subseteq \{1,\dots,D\}$ of size $|I|\gt q$ such that $\bar{u}_{i_1}=\bar{u}_{i_2}$ for all $i_1,i_2\in I$ . Indeed, given $\mathfrak{s}$ , then $I=\{i\in \{1,\dots,D\}\mid r_i\in \mathfrak{s}\}$ , while given $I$ , then $\mathfrak{s}=\{r_i\mid \bar{u}_i=\bar{u}_{i_0},\text{ for any }i_0\in I\}$ . Secondly, recall that $f$ is not $\texttt{NP}$ -regular if and only if $\overline{f|_L}$ has a multiple root in $\bar{k}^\times$ . Therefore we will prove that $\overline{f|_L}$ has a non-zero multiple root if and only if there exists a subset $I\subseteq \{1,\dots,D\}$ with size $|I|\gt q$ and such that $\bar{u}_{i_1}=\bar{u}_{i_2}$ for all $i_1,i_2\in I$ .
Note that for the lower convexity of $\texttt{NP}(f)=L$ , we have
Hence $\{\bar{u}_i \mid i=1,\dots,D\}$ is the multiset of roots of ${\overline{f|_L}}(x^n)$ . Then there exists an $n$ -to- $1$ map
where $\{\bar{w}_j\mid j=1,\dots,D/n\}$ is the multiset of roots of $\overline{f|_L}$ . Note that $\bar{w}_j\neq 0$ for all $j=1,\dots,D/n$ , so all roots of $\overline{f|_L}$ are non-zero.
Now, suppose that $f$ is not $\texttt{NP}$ -regular. We want to show that there exists a subset $I\subset \{1,\dots,D\}$ with $|I|\gt q$ such that $\bar{u}_{i_1}=\bar{u}_{i_2}$ for all $i_1,i_2\in I$ . Since