by David Loeffler
1. Overview
One of the central themes in number theory is the connection between algebraic properties of arithmetic objects and special values of \( L \)-functions. Examples of this general theme include the Iwasawa main conjecture for number fields (the topic of Barry’s celebrated 1984 paper with Andrew Wiles [1], which is discussed elsewhere in this volume) and the Birch–Swinnerton-Dyer conjecture for elliptic curves.
One of the most powerful and flexible tools for approaching these problems is the notion of an Euler system. This theory made its debut with Kolyvagin’s proof of the Birch–Swinnerton-Dyer conjecture for elliptic curves over \( \mathbf{Q} \) of analytic rank \( \le 1 \) [e2], and was subsequently generalised by other authors (including Kato, Nekovar, Perrin-Riou, and Rubin) into a general machine for giving upper bounds on Selmer groups of Galois representations. Rubin’s monograph [e4] gives a detailed account of the theory as it existed at the time, and its applications to the three “classical” Euler systems — cyclotomic units, elliptic units, and Beilinson–Kato elements — in each case giving dramatic applications to the central problems of number theory.
Barry’s monograph with Karl Rubin [2] radically reshaped the theory of Euler systems. Its central theme was to bring out the role of a new object — the Kolyvagin system associated to an Euler system — and, using this, to give clear conceptual interpretations for many of the rather formidable computations appearing in earlier works, leading to a far cleaner and more satisfactory theory. Their work also gave a valuable insight into the question of for which Galois representations the theory would give good results, in terms of an invariant called the core rank. Roughly, when the core rank is 0, there are no interesting Euler or Kolyvagin systems to study; when it is 1, the theory works optimally; and when it is greater than 1, there are too many Kolyvagin systems (and it is not clear if the bounds that they give are useful).
To handle Galois representations where the core rank is greater than 1, Barry and Karl introduced the notion of higher rank Euler and Kolyvagin systems, with the previous notions being the rank 1 case. Their viewpoint was that, for a Galois representation of core rank \( r \), one would expect a well-behaved theory of Euler and Kolyvagin systems of rank \( r \). Their work [3] set out a large part of this theory, stimulating much subsequent work which continues to this day.
2. Selmer groups
Let \( p \) be prime, and \( V \) a \( p \)-adic Galois representation of \( \mathbf{Q} \) — that is, a finite-dimensional \( \mathbf{Q}_p \)-vector space \( V \) on which \( \operatorname{Gal}(\overline{\mathbf{Q}}/\mathbf{Q}) \) acts continuously and \( \mathbf{Q}_p \)-linearly. (All the theory here extends to number fields with appropriate modifications, but we stick to \( \mathbf{Q} \) for simplicity). Familiar examples include the Tate modules of elliptic curves, and more generally étale cohomology groups of algebraic varieties over \( \mathbf{Q} \). The Galois cohomology of \( V \), written \( H^*(\mathbf{Q}, V) \), is the continuous group cohomology of \( G = \operatorname{Gal}(\overline{\mathbf{Q}} / \mathbf{Q}) \) acting on \( V \) (the homology of the complex of continuous cochains \( G \times \dots \times G \to V \)).
In practice this is usually too large to be of interest, so one works instead with cohomology groups satisfying local conditions: for each prime \( \ell \), we have a map \( G_\ell \hookrightarrow G \), where \( G_\ell = \operatorname{Gal}(\overline{\mathbf{Q}}_\ell / \mathbf{Q}_\ell) \), and restricting cocycles from \( G \) to \( G_\ell \) gives localisation maps \[ \operatorname{loc}_\ell : H^1(\mathbf{Q}, V) \to H^1(\mathbf{Q}_\ell, V) \] for each \( \ell \). For each \( \ell \), there is a natural subspace \( H^1_{\mathrm{f}}(\mathbf{Q}_\ell, V) \subseteq H^1(\mathbf{Q}_\ell, V) \), the “finite part” (defined by Bloch and Kato [e1]); and the Bloch–Kato Selmer group is defined by \[ \operatorname{Sel}_{\mathrm{BK}}(\mathbf{Q}, V) = \{ x \in H^1(\mathbf{Q}, V) :\operatorname{loc}_\ell(x) \in H^1_{\mathrm{f}}(\mathbf{Q}_\ell, V)\ \text{ for all } v\}.\] This is known to be finite-dimensional; but determining its dimension is a supremely deep problem. The Bloch–Kato conjecture predicts that we have \[ \dim \operatorname{Sel}_{\mathrm{BK}}(\mathbf{Q}, V) - \dim V^G = \operatorname{ord}_{s = 1} L(V^*, s), \] where \( L(V^*, s) \) is an \( L \)-function associated to the dual Galois representation \( V^* \).1
The Bloch–Kato Selmer group is a little difficult to work with, since the local conditions at \( p \)-adic places have extremely sophisticated definitions involving Fontaine’s \( p \)-adic period rings; so it is usual to “sandwich” it between two more tractable groups, the relaxed Selmer group \( \operatorname{Sel}_{\mathrm{rel}}(\mathbf{Q}, V) \) and the strict Selmer group \( \operatorname{Sel}_{\mathrm{str}}(\mathbf{Q}, V) \), with different local conditions at \( p \) — for the former we allow \( \operatorname{loc}_p(x) \) to be anything in \( H^1(\mathbf{Q}_p, V) \), and for the latter we require \( \operatorname{loc}_p(x) = 0 \).
3. Euler systems and Kolyvagin derivatives
Let \( T \) be a \( \mathbf{Z}_p \)-lattice in \( V \) stable under the Galois action (which always exists), and \( \Sigma \) a finite set of primes of \( K \) containing all primes dividing \( p \) and all those where \( V \) ramifies. An Euler system \( \mathbf{c} \) for \( T \) consists of a collection of classes \( c_m \in H^1(\mathbf{Q}(\zeta_m), T) \), for varying \( m \ge 1 \), satisfying the norm-compatibility relation for \( m \mid n \): \[ \operatorname{norm}_{\mathbf{Q}(\zeta_{n}) / \mathbf{Q}(\zeta_m)}(c_n) = \prod_\ell P_\ell(\sigma_\ell^{-1}) \cdot c_m, \] where the product is over primes which are not in \( \Sigma \) and which divide \( n \) but not \( m \). Here \( \sigma_\ell \) is the image of \( \ell \) in \( \operatorname{Gal}(\mathbf{Q}(\zeta_m) / \mathbf{Q}) \cong (\mathbf{Z}/ m \mathbf{Z})^\times \), and \( P_\ell \in \mathbf{Q}_p[X] \) is an Euler factor (hence the term Euler system). The archetypal example is that of cyclotomic units: these live in the unit groups of the fields \( \mathbf{Q}(\zeta_m) \), and give rise to cohomology classes for \( T = \mathbf{Z}_p(1) \) via the Kummer map.
The main result of the Euler system theory set out in [e4] is the following: Euler systems for \( V \) give bounds for the strict Selmer group of \( V^*(1) \). More precisely, if an Euler system \( \mathbf{c} = (c_m) \) exists for \( V \) with \( c_1 \) nonzero, and the image of the Galois group in \( \operatorname{GL}(V) \) is “large enough”, then \( \operatorname{Sel}_{\mathrm{str}}(V^*(1)) = 0 \); and one also obtains bounds on the torsion groups \( \operatorname{Sel}_{\mathrm{str}}(\mathbf{Q}, (V/T)^*(1)) \) in terms of the index of divisibility of \( c_{\mathbf{Q}} \) in \( H^1(\mathbf{Q}, T) \).
The key ingredient in the proof of these results is Kolyvagin’s derivative construction, which gives rise to cohomology classes in \( T / p^k T \), for \( k \ge 1 \), with precisely controlled ramification. For simplicity we suppose \( H^0(\mathbf{Q}, T / p T) = H^0(\mathbf{Q}, (T/pT)^*(1)) = 0 \). The “large image” condition, together with Chebotarev’s density theorem, gives us a plentiful supply of primes \( \ell \) such that
- \( \ell \notin \Sigma \),
- \( \ell = 1 \bmod p^k, \mkern120mu (*) \)
- \( P_\ell(1) = 0 \bmod p^k \).
If \( \ell \) is such a prime, there exists a degree \( p^k \) cyclic extension \( K / \mathbf{Q} \) contained in \( \mathbf{Q}(\zeta_\ell) \). We let \( c_K = \operatorname{norm}_{\mathbf{Q}(\zeta_\ell) / K}(c_\ell) \in H^1(K, T) \).
If \( \sigma \) is a generator of \( \operatorname{Gal}(K / \mathbf{Q}) \), then the class \[ d = \biggl(\sum_{i = 1}^{p^n} i \sigma^i\biggr)\cdot c_K \bmod {p^k} \in H^1(K, T / p^k T) \] satisfies \( (1 - \sigma) d = \operatorname{norm}_{K / \mathbf{Q}} c_1 = P_\ell(1) c_1 \), which is 0, by our choice of \( \ell \). So we can conclude that \( d \) is invariant under \( \operatorname{Gal}(K/\mathbf{Q}) \), and hence descends to \( H^1(\mathbf{Q}, T/p^k T) \). This is Kolyvagin’s derivative class \( \kappa_\ell \). Note that it only exists modulo \( p^k \); in general it has no natural lift to \( H^1(\mathbf{Q}, T) \). There is a similar construction for products \( m = \ell_1 \dots \ell_r \) of several primes satisfying the above conditions.
From the construction of these classes one obtains very precise information about the ramification of \( \kappa_n \) at the primes dividing \( n \). Via the Poitou–Tate duality theorem, the existence of classes for \( T / p^k T \) with precisely controlled, nontrivial ramification at \( \ell \) implies that classes in the Selmer group of \( (T / p^k T)^*(1) \) must actually be locally trivial at \( \ell \). Since we have a large supply of primes \( \ell \) where this happens, we can eventually conclude that the Selmer group of \( V^*(1) \) must be zero.
4. Kolyvagin systems
This theory is undoubtedly powerful, but it is also somewhat mysterious. For which Galois representations should we expect nontrivial Euler systems to exist? Moreover, when they exist, are the bounds that they produce on Selmer groups optimal?
The first beautiful insight contained in [2] is that an Euler system is “too much data”. Since the classes in an Euler system live over varying cyclotomic fields, the module of all possible Euler systems for a given \( V \) has an action of the very large profinite group \( \operatorname{Gal}(\mathbf{Q}^{\mathrm{ab}} / \mathbf{Q}) \), and this action has no reason to factor through any finitely generated quotient. So this module is too large and unwieldy to usefully study. However, the Kolyvagin classes attached to an Euler system all live in \( H^1(\mathbf{Q}, T / p^k T) \) for varying \( k \), so the action of \( \operatorname{Gal}(\mathbf{Q}^{\mathrm{ab}} / \mathbf{Q}) \) on these classes is trivial. This suggests focussing attention on the Kolyvagin classes themselves as the primary object of study, rather than the parent Euler system classes.
This led to the notion of a Kolyvagin system: a collection of classes \( \kappa_n \in H^1(\mathbf{Q}, T / I_n T) \), where \( n \) varies over squarefree integers, and \( I_n \) is an ideal depending on \( n \) (so \( p^k \mid I_n \) if \( I_n \) is a product of primes satisfying the conditions \( (*) \)). The ideal \( I_1 \) is zero, so \( \kappa_1 \) takes values in \( T \), but the \( \kappa_n \) for \( n > 1 \) live in finite quotients of \( T \). Rather than a norm-compatibility condition, these satisfy a different kind of compatibility, relating the images of \( \kappa_n \) and \( \kappa_{\ell n} \) under localisation at \( \ell \) for each prime \( \ell \nmid n \). Of course, the definitions are chosen so that the “derivative” classes arising from an Euler system \( (c_m) \) form an example of a Kolyvagin system (with \( \kappa_1 = c_1 \)).
Barry and Karl then proceed to show that Kolyvagin systems contain all the information necessary to bound Selmer groups, via a beautiful combinatorial/geometric construction:2 Chapter 3 of [2] introduces a simplicial complex whose vertices are squarefree integers, and a sheaf on this complex, the Selmer sheaf, whose fibres are Selmer groups of \( T \) with varying local conditions. A Kolyvagin system is simply a global section of this sheaf; and by carefully navigating along paths in the simplicial complex, and observing how the size of the Selmer groups changes at each step, one concludes that if there is a Kolyvagin system with \( \kappa_1 \ne 0 \), then finiteness of the strict Selmer group of \( V^*(1) \) follows.
5. The core rank
The second significant shift in perspective introduced by [2] was the notion of core rank. This can be seen as follows. For any geometric Galois representation \( V \) of \( \mathbf{Q} \), Poitou–Tate duality and Tate’s global Euler characteristic formula give a relation between the dimensions of \( \operatorname{Sel}_{\mathrm{rel}}(\mathbf{Q}, V) \) and \( \operatorname{Sel}_{\mathrm{str}}(\mathbf{Q}, V^*(1)) \): if \( V \) satisfies the “large image” conditions (implying \( V^G = V^*(1)^G = 0 \)), then we have \[ \dim \operatorname{Sel}_{\mathrm{rel}}(\mathbf{Q}, V) - \dim \operatorname{Sel}_{\mathrm{str}}(\mathbf{Q}, V^*(1)) = \chi(V), \] where \[ \chi(V) \mathrel{\mathop:}= \dim \left(V^{c_\infty = -1}\right) + \dim V^*(1)^{G_p}. \] Here \( c_\infty \) denotes complex conjugation. This quantity \( \chi(V) \) is christened the core rank in [2] Note that \( \chi(V) \ge 0 \), and we always have \( \dim \operatorname{Sel}_{\mathrm{rel}}(\mathbf{Q}, V) \ge \chi(V) \); so \( \chi(V) \) is a lower bound (often a nontrivial one) for the relaxed Selmer group. It similarly gives a lower bound for the ranks of all of the fibres of the Selmer sheaf; and for “sufficiently generic” vertices — core vertices — this lower bound is attained.
So if \( \chi(V) = 0 \), we are stuck: the fibres of the Selmer sheaf at core vertices are all zero, and it follows that in fact the sheaf has no nonzero global sections. Hence there are no nonzero Kolyvagin systems for \( V \).
On the other hand, in the case \( \chi(V) = 1 \), everything works beautifully: if a Kolyvagin system with \( \kappa_1 \ne 0 \) exists, then in fact \( \kappa_1 \) is a basis of \( \operatorname{Sel}_{\mathrm{rel}}(\mathbf{Q}, V) \), and its index in the integral lattice \( \operatorname{Sel}_{\mathrm{rel}}(\mathbf{Q}, T) \) bounds the order of \( \operatorname{Sel}_{\mathrm{str}}(\mathbf{Q}, (V / T)^*(1)) \). In this situation, Barry and Karl show that the module \( KS(T) \) of Kolyvagin systems for \( T \) is free of rank 1 over \( \mathbf{Z}_p \), and if \( \boldsymbol{\kappa} \) is a generator of \( KS(T) \), then the upper bound for the order of the Selmer group given by \( \boldsymbol{\kappa} \) is an equality. Moreover, they show that (even if \( \kappa_1 = 0 \)) the classes in the Kolyvagin system determine the whole \( \mathbf{Z}_p \)-module structure of \( \operatorname{Sel}_{\mathrm{str}}(\mathbf{Q}, (V / T)^*(1)) \), not merely its order. This is a dramatic vindication of the power of Euler and Kolyvagin systems: in the core-rank-1 case, they give all the information about Selmer groups one could possibly hope for.
If the core rank is greater than 1, then the problem is too many Kolyvagin systems, not too few: the module of Kolyvagin systems is not even finitely generated, and among this huge profusion of Kolyvagin systems, it is not clear if there is any one which is “best” or “most primitive”. So it is not clear where one should look for optimal bounds, or for canonical Kolyvagin systems related to special values of \( L \)-functions.
This is unfortunate, since this case arises frequently in applications. In the formula for \( \chi(V) \), the term \( \dim V^*(1)^{G_p} \) is usually zero, but \( \dim V^{c_\infty = -1} \) is typically about half of the dimension of \( V \). So Galois representations of dimension greater than 2 will generally have \( \chi(V) > 1 \).
6. Selmer structures
One solution to this problem is already contained in [2]: one can consider Kolyvagin systems (and Euler systems) satisfying a nontrivial local condition at \( p \). Remarkably, Karl and Barry had the foresight to anticipate that one should develop the theory of Euler and Kolyvagin systems in this wider context, allowing general local conditions at \( p \); and they introduced a flexible notion of Selmer structures to accommodate this. The core rank \( \chi(V, \mathcal{F}) \) for Kolyvagin systems with a nontrivial Selmer structure \( \mathcal{F} \) is typically smaller than the core rank for unrestricted ones; so, for a given \( V \), one can hope to choose \( \mathcal{F} \) such that \( \chi(V, \mathcal{F}) = 1 \), restoring the beautiful picture described above.
Subsequent work (some of it by the present author) has shown that these locally restricted Euler systems do indeed arise naturally in applications. For example, in the case of the Euler system of Beilinson–Flach elements associated to a Rankin–Selberg convolution of modular forms [e6], the relevant \( V \) satisfies \( \chi(V) = 2 \), but the Beilinson–Flach Euler system respects a nontrivial Selmer structure \( \mathcal{F} \), and for this \( \mathcal{F} \) we have \( \chi(V, \mathcal{F}) = 1 \). Other examples of rank 1, locally restricted Euler systems have been constructed for several classes of automorphic Galois representations. These examples did not appear until a full decade after [2] was published, demonstrating the strength of Barry and Karl’s mathematical intuition for how the theory should develop.
7. Higher-rank Kolyvagin and Euler systems
An alternative approach to the problematic case \( \chi(V) > 1 \) is to accept and embrace the fact that the fibres of the Selmer sheaf have rank greater than 1, and to work with exterior powers of these groups.
This is strongly suggested by long-standing results and conjectures (such as the BSD conjecture or the Rubin–Stark conjecture), which predict the existence of canonical elements in the top exterior powers of global cohomology groups which are related to leading terms of \( L \)-functions. As a simple example, for an elliptic curve over \( \mathbf{Q} \) of analytic rank 1, we can construct a canonical element of \( E(\mathbf{Q}) \) related to \( L^{\prime}(E, 1) \) using Heegner points; whereas if \( E \) has analytic rank 2, it seems unnatural to expect that we can construct two canonical elements spanning \( E(\mathbf{Q}) \) — there should be a canonical element of \( \bigwedge^2 E(\mathbf{Q}) \) related to \( L^{\prime\prime}(E, 1) \), but there is no reason for this element to be the wedge of two canonical elements of \( E(\mathbf{Q}) \).
An earlier work of Perrin-Riou [e3] had already introduced a notion of a rank \( r \) Euler system, defined as a compatible system of elements of \( \bigwedge^r H^1(\mathbf{Q}(\zeta_m), T) \) for varying \( m \). However, Perrin-Riou’s approach did not give a natural higher-rank version of Kolyvagin’s crucial derivative construction. Perrin-Riou proposed to bypass this problem by reducing to rank 1: given a rank \( r \) Euler system, one can produce from it many rank 1 Euler systems (by pairing it with suitable elements of \( \bigwedge^{r-1} H^1(\mathbf{Q}(\mu_m), T^*(1)) \)), and one can apply the Kolyvagin derivative map to these to produce many (rank 1) Kolyvagin systems. However, this method is unsatisfying: it is highly noncanonical, and the quality of the bounds it produces is unclear.
Barry and Karl’s paper [3] represents an attempt to attack the problem “from the opposite end” — starting from Kolyvagin systems, rather than Euler systems. In fact, in this paper Euler systems make no appearance at all;3 the key focus is Kolyvagin systems (and a related concept introduced in this paper, that of Stark systems). The main results of the paper are recognisably “rank \( r \)” analogues of the main results of [2]: if the core rank of \( V \) (for the standard Selmer structure) is \( r \), then there is a free rank 1 module of “stub Kolyvagin systems” living inside the groups \( H^1(\mathbf{Q}, T / p^k T) \) for varying \( k \). Moreover, these stub Kolyvagin systems give bounds for the order of the strict Selmer group of \( (V / T)^*(1) \), as before; and if the Kolyvagin system under consideration generates the module of stub Kolyvagin systems, the bound it produces for the Selmer group is an equality.
8. Subsequent work
Since the publication of [3], the study of higher-rank Euler and Kolyvagin systems has been energetically taken up by other authors. One important development, introduced by Burns and Sano [e8], is to replace the usual exterior power functors \( \bigwedge^r_R \) for \( R \)-modules \( M \) with a modified version, the exterior bidual, which sends a module \( M \) to \[ \bigcap^r_R M = \operatorname{Hom}_R\Bigl(\bigwedge^r_R \operatorname{Hom}_R(M, R), R\Bigr) \]; this agrees with \( \bigwedge^r_R M \) if \( M \) is free, but is better-behaved for nonfree modules. This considerably clarifies the theory — for instance, the distinction between Kolyvagin systems and stub Kolyvagin systems disappears. Using this new algebraic approach, Burns, Sakamoto and Sano [e7] were able to prove the existence of a canonical map from rank \( r \) Euler systems to rank \( r \) Kolyvagin systems, as predicted in [3].
A separate issue is whether there are “naturally arising” examples of higher-rank Euler systems (where “naturally arising” should involve some relation to Shimura varieties, special values of \( L \)-functions, motivic cohomology, or preferably all three). In the case of one-dimensional Galois representations (over general number fields), this is closely linked to Stark’s conjecture: that conjecture and its various refinements predict the existence of canonical elements in wedge powers of unit groups related to leading terms of Artin \( L \)-functions, and these can be used as the building blocks for higher-rank Euler and Kolyvagin systems for \( \mathbf{Z}_p(1) \) and its twists, as explained in [e8] for example.
On the other hand, for Galois representations of dimension greater than 1, constructing higher-rank Euler (or Kolyvagin, or Stark) systems appears to be an extremely difficult problem. Several intriguing approaches have been proposed. For instance, the “plectic conjectures” of Nekovar and Scholl [e5] give rise to rank \( r \) Euler systems for Hilbert modular forms over totally real fields of degree \( r \), generalising Kato’s (rank 1) Euler system for elliptic modular forms; however, the plectic conjectures seem well beyond reach at present. In a very different direction, Urban [e9] has given a construction of higher-rank Euler systems for adjoints of Hilbert modular forms assuming a plausible but presently unproved conjecture about congruence modules.
David Loeffler is currently a professor of mathematics at UniDistance Suisse in Brig, Switzerland, and was formerly based at the University of Warwick, UK (2010–23). His research focusses on the construction of Euler systems attached to various kinds of automorphic forms.