C OMPOSITIO M ATHEMATICA
N OBUO T SUZUKI
The overconvergence of morphisms of etale ϕ − ∆-spaces on a local field
Compositio Mathematica, tome 103, no2 (1996), p. 227-239
<http://www.numdam.org/item?id=CM_1996__103_2_227_0>
© Foundation Compositio Mathematica, 1996, tous droits réservés.
L’accès aux archives de la revue « Compositio Mathematica » (http:
//http://www.compositio.nl/) implique l’accord avec les conditions gé- nérales d’utilisation (http://www.numdam.org/conditions). Toute utilisa- tion commerciale ou impression systématique est constitutive d’une in- fraction pénale. Toute copie ou impression de ce fichier doit conte- nir la présente mention de copyright.
Article numérisé dans le cadre du programme Numérisation de documents anciens mathématiques
http://www.numdam.org/
The overconvergence of morphisms of etale
~-~-spaces
on alocal field
© 1996 Kluwer Academic Publishers. Printed in the Netherlands.
TSUZUKI NOBUO
Department of Mathematics, Faculty of Science, Hiroshima University, Higashi-Hiroshima, 724, Japan
Received 2 July 1993; accepted in final form 15 February 1995
1. Introduction
Let X be a smooth curve over a
perfect
field ofpositive
characteristic p and let X be the smoothcompactification
of X. The category of unit-rootF-isocrystals
over X is
equivalent
to thecategory of p-adic representations
of 7ri(X, *).
And it isconjectured that p-adic representations
with finitemonodromy
around D = X -X,
which means that the inertia group of the Galois group around D actstrivially
aftera finite
extension, correspond
tooverconvergent
unit-rootF-isocrystals.
So thenatural functor
is
expected
to befully fàithfùl.
Crew showed finitemonodromy
theorem in rankone case and he
proved
full faithfulness for rank oneobjects. (See [1])
In this paper we will show full faithfulness of the above functor for
arbitrary
rank.To do this we
study
the local version of the aboveproblem.
In[3]
Fontaine definedetale
cp-modules
onSpec k((t)),
spectrum of the field of formal Laurent seriesover
k,
whose category isequivalent
to the category ofp-adic representations
ofGal(k((t))Sep/k((t))).
We willdefine
asubcategory
ofoverconvergent
etalecp- V-
modules on
Spec k( (t)). (V
means aconnection)
It isconjectured
that the category of overconvergent etalecp-p-modules corresponds
to thatof p-adic representations
of
Gal(k((t))Sep/k((t)))
with finitemonodromy.
We will show that the category of overconvergent etalecp-modules, considering only
Frobenius structures andforgetting connections,
is a fullsubcategory
of etalecp-modules.
As acorollary
ofthis result we obtain the full faithfulness for the local version.
It is
quite
natural toexpect
that the naturalfunctor,
ingeneral,
from the category of overconvergentF-isocrystals, admitting arbitrary slopes,
to the category of F-isocrystals
or its local version isfully
faithful. In this case theconnection, however,
plays
an essential role and our method is useless.2. Preliminaries
(2.1 )
Let p be aprime
number and let A be a discrete valuationring
which is finiteover the
ring Zp of p-adic integers.
Weput q
=pf
to be the number of elements of the residue field of A. We denoteby Ao
the maximum unramifiedsubring
of A.Let k be a
perfect
field of characteristic p. We assume that k contains the fieldIFQ
of q elements. Let W =W (k),
R and K be thering
of Witt vectors withk-coefficients,
A@Ao
W andR[p-1] respectively.
We define anendomorphism
Qon K =
A [p- 1 @Ao W,
which we callfrobenius, by
1 @frobf .
Here frob is the usual frobenius on W which is inducedby
the map x t-7 xP on k. We denoteby ] ]
an absolute value of K.
We consider the
ring
Then
Os
is acomplete
discrete valuationring
whose residue field is identified withk((t)) by
the map T -- t. We denoteby E
=O£[P-l] the
fraction field ofOE.
Anelement of E is
uniquely expressed by
formal Laurent seriesThe absolute
value 119
ofE,
which is called the Gauss norm, isgiven by
A series
E anTn
E e is calledovercovergent
if andonly
if there exist real numbers C > 0 and 0 fi 1 such that]an] CfI-n
for ailnegative integer
n. We denote
by £t (resp. O£)
the subfield of e which consists of overconvergent series(resp.
thesubring et
nOE
ofOE). et
is also a discrete valuation field with the absolutevalue ] ]g
whoseinteger ring
isO§
and whose residue field is alsok((t)).
We fix a frobenius
endomorphism
a one,
which extends the frobenius on K and is also denotedby
a. We assume that theendomorphism a
is alifting
ofqth
power map onk((t))
such thatet
is stable under a. It is easy to see that a is a continuous map on £ and that the conditiona ( et) c et
isequivalent to
the conditionOne can
easily
see that the fixedpart
of the frobenius in We define a derivation D on Eby
The derivation D is a continuous one on E and one sees
easily
thatD (x)
EEt
ifand only if x e Et.
We have the relation D o a =
-;D(t03C3)
o D.If,
forexample,
we choose thefrobenius on E
by
TU =T q, then
we have D o a = q03C3 o D.(2.2)
We define a system of invariantsaN : E --> R>o
forintegers
Nby
It is well-defined since
]an l - 0 (n - -oo).
For any element x inS,
one hasaN (X) , Ixlg
for all Nand equality
holds forsufficient large
N.By definition, N ,
M
implies aN(X) aM(X).
From theproperties
of non-archimedean absolute value we have thefollowing inequalities:
for all x, y E E.
By definition,
x is contained inEt
if andonly
if there exist real numbers C > 0 and 0 ri 1 such that aN(x) Cq- N
for allnegative integers
N.
Now we show a
stability
theorem for the frobenius a which is thekey proposition
in our arguments.
(2.2.2)
PROPOSITION. Let r be apositive integer
and let a 1, a2, ..., a, beelements
in Et
suchthat lai 19
1for
all i.If
an element x in Esatisfies
theequality :
then x is contained in
Et.
First we prove
(2.2.2)
in the case where TU = T q. This case avoids the confusionarising
from Q andhelps
to understand the case ofgeneral
Q.As all
ai’s
are contained inEt,
there exist real numbers C > 0 and 0 q 1 such thataN (ai) Cn-n
fornegative integer
N and for all i. Assume that x is not contained in£t.
We may assume thatx]g
1. ThenaN (X) ,
1 for all N andthere exists a
negative integer
L such thataL(x)
>CrJ-L
andaL-l (x) aL(x).
Now we calculate aqTL of each term in the left-hand side of
(2.2.3) using (2.2.1).
Since TI =
Tq,
we haveand
for all 1 i r. This contradicts
(2.2.3).
~To prove
(2.2.2)
forgeneral
a, we prepare thefollowing
lemma.(2.2.4)
LEMMA.If
x is not contained inEt, then, for
any real number 0 ~ 1, there existinfinitely
manynegative integers
L such thatfor
allinteger
Proof.
If there exists nointeger L -2
which satisfies thisproperty, then,
for any
negative integer N,
there exists aninteger
N M 0 such thataN (X)rN-M aM (x). Applying
thisfinitely
manytime,
we haveaN (x)
~a_,(X),q-N-1
for allnegative integers
N. We have a contradiction. If there existsonly finitely
many suchnegative integers L,
then we choose q closeenough
to 1and we get a contradiction similar to the first part. ~
Proof of (2.2.2).
We define u eEt by
TU = Tqu.Then - Il
1. As allai’s
are contained inEt,
there exist real numbers C > 0 and 0 ri 1 such thata N (u) x ~-N
andCeN(ai) 1 C~-N
for allnegative integers
N for all i.We may assume that
ixl, 1, equivalently
thataN(x)
1 for allintegers
N.Assume that x is not contained in
Et.
Then there exists anegative integer
L suchthat
aL (x)
>max(C, l}~-L, CeL - 1 (X) aL (x)
andaL(X)rL-N
>aN (x)
forall L N 0
by (2.2.4).
First we will showfor all
0 j
rinductively. If j = 0,
we havenothing
to proveby
theassumption
on L. We put y
= E YnTn
=x(T j-l
We observethat lylg = x g
1. For anyinteger
N we haveby
theassumption
on u and(2.2.1 )
for each n. In the case N =qj L
we getand
by (2.2.6)
and theassumption
on the induction. Thus we obtainfrom
(2.2.1).
In the case Nqj L
we getby (2.2.6)
and theassumption
on the induction. Sincefor
qj L
qn0,
we havefrom
(2.2.1 ).
In the caseqj L
N 0 weget
by (2.2.6)
and theassumption
on the induction. Sincewe have
Now we calculate aqr L of each term in the left-hand side of
(2.2.3) using (2.2.5).
We have
and
the last
inequality,
thenSo we obtain
for all
1
i r. This contradicts(2.2.3).
D(2.2.7)
REMARK. The assertion of(2.2.2)
does notalways
hold iflai lg
> 1 forsome i. For
example,
we consider the case that T’ = T q . Consider the elementThen x satisfies the relation
3.
Overconvergent
étalep-V-spaces
onSpec k((t))
We
keep
the notation as in Section 2. In this section we define overconvergent etaleA-cp-p-spaces
onSpec k((t))
and show someproperties
of them which we willuse.
(3.1)
We fix alifting Os
ofk ( (t) )
in characteristic 0 and alifting
Q on £ ofqth
power map on
k((t))
as in theprevious
section. Now we define some notions.DEFINITION
(1)
AA-cp-module (resp.
an overconvergentA-cp-module)
onSpec k((t))
is a freeOE (resp. Ot)-module
M of finite rank with a Q-linearendomorphism
cp : M -3M,
which we callFrobenius, satisfying
thefollowing
condition;
(2)
AA-cp-V-module (resp.
an overconvergentA-p-V-module)
onSpec k((t))
is a
A-cp-module (M, cp) (resp.
an overconvergentA-cp-module (M, cp))
with anadditive
endomorphism V :
M -M,
which we call aconnection, satisfying
thefollowing conditions;
(3)
AA-cp-space (resp.
an overconvergentA-cp-space,
aA-p-V-space,
an over-convergent
A-p-V-space)
onSpec k((t))
is an E(resp. t:t, E, £t)-vector
space E of finite dimension with cp(resp.
cp, cp andV,
cp andV)
whichsatisfy
the aboveconditions
(3.1.1)-(3.1.3)
when wereplace
M andOs
with E and E(resp. Et, E,
Et), respectively.
(4)
Amorphism
ofA-cp-modules (resp..
is anOs (resp....)-linear
homo-morphism
which commutes with all additional structures.In the rest of this paper we use the
terminology cp-module (resp..
instead ofA-cp-module (resp. - - .)
forsimplicity.
REMARK.
(1)
In[3]
Fontaine definedcp-modules
and ourcp-modules (resp.
over- convergentcp-modules)
areOE-cp-modules (resp. 01-cp-modules)
of his definition.In the etale case Fontaine’s
cp-module
has a natural connection and the category of etalecp-modules
onSpec k((t))
which is definedby
Fontaine coincides with our category of etalep-V-modules. (See (3.2)
and(3.3))
(2)
We omit the conditions of convergence for a connection in the definition ofcp-modules (resp....).
In the etale case the connection satisfies the condition oftopological quasi-nilpotence
from(3.1.3),
so the category of unit-rootF-isocrystals
on
Spec k( (t) ) (see [5]
and[ 1 ])
isequivalent
to thecategory
of etalecp- B7 -spaces.
We define tensor
products
and duals ofp-modules (resp. " ’)
as follows.Let
(El,
’Pl,i7 l )
and(E2, ’P2, B72)
bew-17-spaces.
We define their tensor For aV-17-space (E,
cp,V) ,
we define the dualE’
of Eby
El =HomE (E, S), f
EEv
and x EE,
where 1 ® cp: a*E - E is theisomorphism
which is inducedby
cp. Here a* E is the scalar extension of Eby a : £ -
£.The other cases are same as in the above definition.
There exists a natural functor v* from the category
of overconvergent cp-modules (resp. " -)
to that ofp-modules (resp. - - .)
which is definedby
the scalar extension01 -t Os (resp. - - ).
We caneasily
see that the functor P* commutes withtaking
a tensor
product
and dual.We show that there exists a
cyclic
vector in a cp-space(resp.
in an overconvergentcp-space). (c.f. [7](3.3))
(3.1.4)
LEMMA. Let E be an £(resp.
anEt )-vector
spaceoffinite
dimension witha a-linear
endomorphism
cp : E - E such thatcp(E)
spans E as an £(resp.
an£t )-vector
space. Then there exists acyclic
vector e EE,
that is, there exists anelement e E E such that e,
cp(e),
...,cpr-1 (e)
is a basisof E
where r = dim E.Proof.
We will show the case of E-vector spaces. Setare
linearly independent
over E inE}.
If s = r, then there is
nothing
to prove. Assume s r and x,V(x),
...,cps-l (x)
are
linearly independent
over E in E. Ascp(E)
spans Eover E,
there exists an element y E E such that x,cp( x), ... , cps-1 (x)
andcps (y)
arelinearly independent
over,E.
By
theassumption
on s, we havefor all a e S. Since there exist
sufficiently
many elements in S(for example
wemay choose
1, T,
... , fora),
we haveThis contradicts the choice of y. The case of
£t-vector
spaces is similar. c(3.2)
Letk((t))alg
be analgebraic
closure ofk((t))
and letW(k((t))alg)
be thering
of Witt vectors withk((t))alg-coefficients.
We can embedOs
intoAAo W (k ( ( t) ) alg)
such that the frobenius a onOs
commutes with theendomorphism
10frobf
onAo W(k( (t) )alg),
where frob is the usual frobenius onW(k( (t) )alg).
We denote
by ê
the fraction field of A(&A,, W(k((t))aIg)
and weregard E
as asubfield
of £.
Let E be a cp-space
(resp.
anoverconvergent cp-space)
onSpec k ( (t) ) .
Then(& E is naturally
anF-space
onSpec k «t» alg. By
the classification theorem ofF-spaces
onalgebraically
closedfield,
theF-space £ (&e
E is determinedby
itsslopes. (See [2] Chapter IV,
forexample,
and we cangeneralize
the classification theorem for ourA-F-spaces
onalgebraically
closedfield)
We defineslopes
ofa cp-space E
(resp.
anoverconvergent cp-space)
onSpec k((t)) by
theslopes
ofÊ(& E
as anF-space
onSpec k((t))alg.
Now we define an etale cp-space
(resp.
anoverconvergent cp-space).
A cp-space(resp.
anoverconvergent cp-space)
onSpec k((t))
is etale if andonly
if all itsslopes
are 0. A
cp-module (resp.
anoverconvergent cp-module)
is etale if andonly
if all itsslopes
are 0 afterinverting
p.Equivalently,
acp-module
M(resp.
anoverconvergent
cp-module M)
is etale if andonly
if themorphism
1 @ cp : a*M -M,
which is inducedby cp,
is anisomorphism. By
thetheory
ofslopes,
tensorproducts
and dualof etale
objects
are also etale.According
to the classification theorem ofF-spaces
onalgebraically
closedfield,
we characterize etale cp-spaces(resp.
overconvergent etalecp-spaces) using
acyclic
vector;(3.2.1 )
PROPOSITION. Let E be a cp-space(resp.
anoverconvergentcp-space)
onSpec k( (t))
and let e be acyclic
vectorof
E whichsatisfies
the relationThen E is etale
if and only if
(3.2.3)
REMARK. The Newtonpolygone
of(3.2.2) gives slopes
of cp-spaces E.Therefore all
slopes
of E aregreater
than orequal
to 0 if andonly if lai 1 _q
1 forall i.
(3.3)
Now we discuss the relation between the Frobenius and the connection.In the case of an etale
p-V-space
E(resp.
an overconvergent etalep-V-space E)
overSpec k( (t))
the Frobenius cp determines the connection V and there existsa
cp-V-lattice
ofE,
thatis,
anOE (resp. OÉ)-submodule
which spans E over £(resp. Et)
and which is stable under the Frobenius cp and the connection 0.By (3.1.4)
and(3.2.1)
there exists a basis el, e2, ... , er(r
= dimE)
and a matrixA e
GLr(OE) (resp.
a matrix A eGLr (0 t »
such thatWe set a matrix C of
degree
r with £(resp. et)-coefficients by
From the condition
(3.1.3)
we have thefollowing relation;
where .
contraction operator on
Mur(£) for p-adic topology
and we haveSo C is
uniquely
determinedby
A and all the coefficients of C are contained inOE (resp. OÉ ).
(3.3.2)
THEOREM. The categoryofetale V-17-modules (resp. overconvergent etale p-V-modules,
etalecp- B7 -spaces,
overconvergent etalecp- B7 -spaces)
isnaturally
afull subcategory of that of
etalecp-modules (resp.
overconvergent etalecp-modules,
etale cp-spaces,
overconvergent etale cp-spaces) by the forgetful functor.
Moreoverthe category
of
etalecp-B7-modules (resp.
etalecp-B7-spaces)
onSpec k((t))
isequivalent
to thatof
etalecp-modules (resp.
etalecp-spaces).
In the
overconvergent
case, on the contrary, thecategory
of overconvergent cp-spaces is notequivalent
to that of overconvergentp-V-spaces.
Because all coefficients of C are notalways
containedin Et
when we determine the connectionby
the relation(3.3.1).
EXAMPLE. Fix a frobenius Q
by
TU = TP. Let a = 1- T E 01.
Then we havec = - (1 - pa )-1 (a-1 D( a)) tJ. 01. Define a cp- B7 -space E on Spec k( (t))
of rankone
by cp(e)
= ae andV(e)
= ce, where e is a basis of E. So the coefficients of the frobenius structure of E is an overconvergent, but the coefficients of the connectionare not contained in
£t.
Moreover thep-adic representation ofGal(k( (t) ) sep /k ( (t) ) )
which
corresponds
to E in the sense of Fontaine[3]
is not of finite mono-dromy. [ 1 ]
REMARK. In
general,
the connection ofp-V-spaces
is not determinedby
itsFrobenius structures. Because the
operator 0
is not a contraction in this case.4. Full faithfulness
We
keep
the same notation as in theprevious
section. In this section we will show the local version that the natural functorsdefined in
(3.1)
arefully
faithful.(4.1 )
First we consideronly
frobenius structures.Let r be a
positive integer
and let A be an r x r invertible matrix withê-
coefficients. We define a
A-cp-space EA
onSpec k((t))alg
associated to Aby
itsfrobenius linear
morphism
where ei,62,..., er is a basis of
EA
onÊ.
We say that A is etale if andonly
if allslopes
ofEA
are 0.(4.1.1)
PROPOSITION. Let A be an invertible matrixof degree
r withet- coefficients
such that A is etale. Assume that x =(Xl,
X21 ...,Xr )
E Ersatisfies
the relation
Then x is contained in
(,Et)’.
.Proof.
Let L bean 6’t
-subvector space of 6’ which isgenerated by
x 1, X2, ..., xr . Then L is stable under the frobenius on 6’. So we canregard
L as an overcon-vergent
p-space.By
theconstruction,
there is a naturalsurjection
fromEÂ
to L asoverconvergent
p-spaces. So allslopes
of L are 0by
theslope theory
of cp-spaces.From
(3.1.4)
and(3.2.1),
there exists acyclic
vector y E L which satisfies the rerationsuch that
1 a - 1 -
1 for all 1 , i s - 1 andlaslg
= 1. Here s =dimet
L. So ycontains in
Et
and s = 1 from(2.2.2).
Thereforexis
are includedin £t.
D(4.1.2)
REMARK. The assertion of(4.1.1)
is also true if allslopes
ofEA
are lessthan or
equal
to 0by
the remark(3.2.3).
(4.1.3)
THEOREM. Thenatural functor
v*from
the categoryof
overconvergent etale cp-spaces onSpec k((t))
to thatof
etale cp-spaces onSpec k((t))
isfully faithful.
Proof.
Let C be either the category of overconvergent etale cp-spaces or the category of etale cp-spaces. Definefor any
object
E of C. Then one caneasily
see thatSo we have to show the natural map
is an
isomorphism
for any overconvergent etale cp-space E. Theinjectivity
istrivial. We show the
sunectivity.
Let el, e2, ..., er be a basis of E ont’t
andthen x satisfies the relation
From
(4.1.1)
x is contained in(,Et) r.
HenceREMARK. In
general
case, notrestricting
to etale case, the full faithfulness of the natural functor from the category of overconvergent cp-spaces to that of cp-spaces does not holdby (2.2.7).
(4.2)
Since the category of etalep-V-spaces (resp.
overconvergent etalep-V- spaces)
onSpec k((t))
is a fullsubcategory
of etale cp-spaces(resp. overconvergent
etale
cp-spaces)
onSpec k((t)) (3.3.2),
the theorem below follows from(4.1.3).
(4.2.1)
THEOREM. Thenatural functor
v*from
the categoryof
overconvergent etalecp- V -spaces
onSpec k((t))
to thatof etale cp-p-spaces
onSpec k((t)) is fully faithful.
(4.3)
Now we consider lattices. As M =(et oot M) n(OE oot M)
for a freeOÉ-module M,
wehave
e e(4.3.1 )
THEOREM. Thenatural functors
are
fully faithful.
5.
Application
to the case of curves(5.1 )
Let X be a smooth curve overk,
where k is aperfect
field ofpositive
characteristic. Let X and D be the smooth
compactification
of X and X -X, respectively.
Weapply (4.2.1)
and(4.3.1)
to the unit-rootF-isocrystals
on X.(See [1])
(5.1.1 )
THEOREM. Thenatural functors
are fully faithful.
Proof. By
theargument
of Crew in[ 1 ](4.6)-(4.10)
we can reduce(5.1.1 )
to thelocal case. Therefore
(5.1.1 )
follows from(4.2.1 )
and(4.3.1 ).
1:1Acknowledgments
The author thanks Professor
Kazuya
Kato forstimulating
advice. He also thanksShigeki
Matsuda and YuichirouTaguchi
for useful discussion.References
1. Crew, R.: F-isocrystals and p-adic representations, Proc. of Symp. in Pure Math. 46 (1987)
111-138.
2. Demazure, M.: Lecture on p-divisible groups, Lecture Notes in Math. 302 (1972), Springer.
3. Fontaine, J.-M.: Representations p-adiques des corps locaux, Grothendieck Festschrift II, Progress
in Math. 87 (1990) Birkhäuser, 249-309.
4. Kato, K.: Logarithmic Structures of Fontaine-Illusie, Algebraic Analysis, Geometry and Number Theory, The Johns Hopkins University Press (1989), 191-224.
5. Katz, N.: Slope filtration of F-crystals, Astérisque 63 (1979) 113-164.
6. Matsuda, S.: Local indices of p-adic differential operators corresponding to Artin-Schreier-Witt
coverings, Duke Math. 77 (1995) 607-625 (preprint).
7. Taguchi, Y.: Regular singularity of Drinfeld modules, preprint.