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CRYSTALS ASSOCIATED TO LUBIN-TATE

DIEUDONNE
FORMAL GROUPS
MATTHEW ANDO
THE UNIVERSITY OF VIRGINIA

Contents
Preface

1.

Summary

2.

Formal geometry, formal groups, and formal group laws

2.1.

Formal varieties

2.2.

Formal groups

3.

8
10

Elementary calculus on formal varieties: the inverse function theorem


and the logarithm of a formal group

12

3.1.

The ring of functions on a formal variety, the tangent space of a formal


variety
12

3.2.

Invariant differentials and the logarithm

4.

14

Lazards classification of commutative 1dimensional formal group laws 18

4.1.

Statement of Lazards Theorem

18

4.2.

Proof of Lazards theorem

19

4.3.

The symmetric two-cocycle lemma

21

5.

Witt vectors and the Witt formal group

25

5.1. p-typical Witt vectors

26

5.2.

Frobenius, Verschiebung

28

5.3.

Witt vectors of perfect fields and p-adic arithmetic

30

5.4.

Global Witt vectors

32

5.5.

The Witt formal group

37

6.
6.1.

Classification of formal groups via the Dieudonne-Cartier module


The curves functor C

37
37

6.2.

Endomorphisms of the curves functor


represents the curves functor
6.3. W

41

6.4. C takes values in modules over the Witt vectors

43

6.5. p-typical curves over a Z(p) -algebra

46

37

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6.6.

The Dieudonne modules associated to formal groups are uniform and


reduced
49

6.7.

The p-typical parameter lemma and the evaluation map

53

6.8.

The functor from Dieudonne modules to formal groups

55

6.9.

Example: the multiplicative group and the additive group

57

6.10.

Example: Dieudonne modules over perfect fields

60

6.11.

Example: a Dieudonne module of each finite height

63

6.12.

Endomorphisms

64

7.

Lubin and Tates deformation theory

66

7.1.

Various formulations of the problem

67

7.2.

The action of the automorphism group

69

7.3.

Deformations and cohomology

70

7.4.

Calculation of H (; k)

73

7.5.

Proof of Lubin and Tates theorem

76

8.

Preliminary remarks about crystals

77

8.1.

Calculus: 1-forms, connections, and curvature

77

8.2.

Connections and descent

81

8.3.

Connections and descent II: divided powers

82

8.4.

Connections and descent III: crystals

84

8.5.

Examples I

87

8.6.

Examples II: de Rham cohomology

88

8.7.

Base change

93

9.

Classification of formal groups via the Dieudonne crystal

9.1.

Introduction

93
93

9.2. p-divisible formal groups

94

9.3.

Definition of Dieudonne crystal

94

9.4.

Frobenius determines the connection.

96

9.5.

A Dieudonne crystal is an F V -module admitting a Hodge structure

99

9.6.

The functor from F V -modules to formal groups

102

9.7.

The logarithm of the group GM

106

9.8.

The functor from Dieudonne crystals to formal groups

107

9.9.

The case of a perfect field

111

10.

The functor from formal groups to Dieudonne crystals

112

10.1.

Introduction

112

10.2.

The universal additive extension of a p-divisible formal group

112

10.3.

The equivalence of categories

114

FORMAL GROUPS

10.4.
11.

The relationship to de Rham cohomology


Application: the period map

116
119

11.1.

Translation of the Lubin-Tate moduli problem into the language of


Dieudonne crystals
119

11.2.

Construction of the period map

11.3.

Equivariance with respect to the action of the automorphism group


of
122

11.4.

An explicit form for the Dieudonne crystals associated to the


Lubin-Tate formal groups

References

120

124
126

Preface
These notes are a companion to the papers of Gross and Hopkins and of Devinatz
and Hopkins on the period mapping for Lubin-Tate space [GH94, HG94, DH93].
Gross and Hopkinss paper [GH94] constructs the period mapping without direct
appeal to the theory of crystals. The main purpose of these notes is to elaborate
on the first few pages of [HG94], and so give a geometric description of the period
map from the crystalline point of view.
These notes are largely based, especially chapters 2 through 9, on a course given
by Hopkins at MIT. I have prepared this document because many of the sources
for the material covered here are either illegible (my notes from Hopkinss course)
or unpublished (e.g. [Blo]; [Car69] gives an indication of only a portion of the
authors many results on the subject). Another reason is that by keeping in mind
the rings relevant to the period mapping, the discussion of crystals can proceed at
a relatively elementary level.
I am grateful to Mike Hopkins for teaching me about this material, and for
allowing me to make these notes available to others. I am solely responsible for any
errors here.

1. Summary
Formal geometry, formal groups, and formal group laws. The first section introduces a formal group over a ring R as a group in the category of formal varieties.
This category is set up so that the morphisms between two formal varieties are, up
to non-canonical isomorphism, a set of formal power series. An isomorphism is a
choice of coordinates, and a formal group law is a formal group together with a
choice of coordinates.
Elementary calculus on formal varieties: the inverse function theorem and the logarithm of a formal group. Because the maps between formal varieties are given (up

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to isomorphism) by power series, it is easy to develop for formal varieties the analogues of many concepts from calculus, and so for formal groups the analogues of
concepts from the theory of Lie groups. Two important examples are the following.
Theorem (3.1.8 ). A map f : V W of formal varieties over a ring R is an
isomorphism if and only if
df
T V T W
is an isomorphism of R-modules.
Theorem (3.2.11). If G is a formal group over a Q-algebra R, then there is a
unique isomorphism of formal groups
log

G
Lie(G) Ga ,
G

inducing the identity on tangent spaces.


Lazards classification of commutative 1dimensional formal group laws. Mostly we
shall be study properties of formal groups which are independent of any particular
choice of coordinate. It is nevertheless useful to have Lazards theorem available. If
R is a ring, let FGLR denote the set of commutative, one-dimensional formal group
laws over R.
Theorem (4.1.2 ). There is a formal group law GL over the ring L = Z[t1 , t2 , . . . ]
such that
Hom[L, R] FGLR
f 7 f GL
is an isomorphism.
The main importance of Lazards theorem for the sequel is
Corollary (4.1.3 ). If R  R0 is a surjective map of rings, then a commutative
one-dimensional formal group law over R0 lifts to a formal group law over R.
Witt vectors and the Witt formal group. The classifications of formal groups in
sections 6 and 9 make extensive use of various incarnations of Witt vectors: p-typical
Witt vectors, global or big Witt vectors, and their associated formal groups.
Section 5 introduces these objects, together with their Frobenius and Verschiebung
maps.
Classification of formal groups via the Dieudonne-Cartier module. Section 6 studies
an analogue of the Lie algebra which is due to Dieudonne and Cartier: if G is a
formal group over R, then the group of curves in G is the group
def
1 , G]
CR (G) = FVarR [A
R

of all maps of formal varieties from the formal line to G.


The first major point is that C is represented by the Witt formal group.
Theorem ( 6.3.1 ). There is a natural isomorphism
G]
CR (G)
= FGps [W,
R

This is used to prove

FORMAL GROUPS

Theorem (6.4.3 ). The functor CR takes values in modules over the Witt vectors
WR of R.
When R is a Z(p) -algebra, the Witt vectors split as a product of copies of the ptypical Witt vectors Wp R. There is an analogous splitting of CR (G); the subgroup
corresponding to one copy of Wp R is the group of p-typical curves,
p , G]
D(G)
= FGps [W
R

What sort of group can occur as D(G) for some formal group G? There are
some obvious endomorphismshomotheties, Frobenius, and Verschiebungand a
Dieudonne module is defined to be a module with this extra structure. When R = k
is a perfect field, the definition is
Definition (6.6.9 ). A Dieudonne module over k is a Wp k-module M together with
operators Frobenius, F , and Verschiebung,V , which are linear as maps
F

M
M
V

M M,
and which satisfy
F V = p = V F.
Moreover M is required to be uniform and reduced with respect to V (see Definition
6.6.1).
The classification for perfect fields is given by
Theorem (6.6.10). Let k be a perfect field of characteristic p > 0. The functor D
is an equivalence of categories
D

(Dieudonne modules over k)


FGpsk

Section 6.8 is devoted to the construction of an inverse to D, which is due to


Cartier. It serves as a model for the construction in chapter 9.
Actually, the functor C gives a complete classification of formal groups over any
ring, and D gives a complete classification for formal groups over a Z(p) -algebra;
see [Haz78]. However, the category of Dieudonne modules over a perfect field turns
out to be particularly nice. For one-dimensional formal groups the result is
Proposition (6.10.1). If G is a one-dimensional formal group over a perfect field
field k of characteristic p > 0, then either
(i) there is a non-zero element DG such that p = 0, in which case G is
isomorphic to the additive group (G has infinite height), or
(ii) DG is free of finite rank over the ring Wp k (in which case the rank h is
the height of the formal group G).
Lubin and Tates deformation theory. The Dieudonne module classifies formal groups
over perfect fields in terms of modules over the discrete valuation ring Wp k, indeed
often finite free modules. Geometrically, a field is a point.
Lubin and Tate study the following problem. Suppose given a formal group
over k, and a complete local ring A with residue field k (a family of infinitesimal

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neighborhoods of k). What are the formal groups G over A which reduce modulo
the maximal ideal to ? Such a formal group is called a deformation or lift of
; there is an associated functor from complete local rings with residue field k to
sets, called Lifts .
Theorem (7.1.1). Suppose that is a formal group of finite height n over k. Let
En be the ring Wp k[[u1 , . . . , un1 ]]. There is a formal group G over En such that
the map
Homcts [En , A] Lifts (A)
f 7 f G
is an isomorphism for all Noetherian A with residue field k.
Preliminary remarks about crystals. Section 8 is a summary of the small part of the
theory of crystals and connections used from section 9 and on. We often restrict
our attention to the rings A0 = k[[u1 , . . . , un1 ]] and A = Wp k[[u1 , . . . , un1 ]] which
arise in the study of the Lubin-Tate formal group. With these rings in mind, one
may sketch an elementary and hopefully illuminating proof of the following basic
result.
Theorem (8.5.4). There is an equivalence of categories


A-modules with
{Crystals on A0 }.

integrable, quasi-nilpotent connection

We also discuss the example of de Rham cohomology, with the Gauss-Manin


connection.
Theorem ( 8.6.9). Let G0 be a formal group over A0 . If G is a lift of G0 to A,
1
(G/A) of primitives in the de Rham cohomology of G, with
then the crystal P HDR
its Gauss-Manin connection, is independent of G up to canonical isomorphism. It
defines a contravariant functor
{Formal groups over A0 }
{Crystals over A0 }.
In section 10.4 we shall see that this is the (A-linear) dual of the Dieudonne
crystal studied in section 9.
Classification of formal groups over imperfect rings. Section 9 introduces Dieudonne
crystals. The main point is the construction of a functor from Dieudonne crystals to formal groups, extending the construction described in section 6.8. The
construction for crystals is due to Bloch [Blo].
The period map arises from the study of the Lubin Tate group G over En in
terms of Dieudonne theory. As a first approximation, consider the group G0 = kG
over
A0 = En /p = k[[u1 , . . . , un1 ]].
One could study G0 via the Dieudonne module D(G0 ) over Wp (A0 ). This is a
messy module: D(G0 ) is no longer finite or free, and Wp (A0 ) isnt Noetherian.
The idea of the Dieudonne crystal is to think of G as a family of formal groups,
parametrized by the ui . The classifying object which results is a family of modules
over Wp k, parametrized by the ui , in other words, a (Wp k)[[u1 , . . . , un1 ]]-module.

FORMAL GROUPS

It turns out that one must also have a connection , which allows you to compare
the fibers at different points in the family. The resulting object is the Dieudonne
crystal. There is then a classification, at least for p-divisible formal groups (see
section 9.2).
Definition (9.3.4 ). Let be a lift to A of the Frobenius of A0 . A Dieudonne
crystal for A0 is a quadruple (M, , F, V ), where M is a finite free A-module, is
an integrable, quasi-nilpotent connection on M , and F and V are horizontal maps
F

M
M and
V

M M,
with F V = p = V F . The kernel
F

0
Ker[0 M0
M0 ]

must be a split submodule (the analogue of uniform), and V must be topologically


nilpotent (the analogue of reduced).
Let an F V -module be an A-module with operators F and V as in the definition,
without the requirement of horizontality.
Definition (9.5.2 ). A Hodge structure on an F V -module is an A0 -submodule
H0 M0 such that
0 H0 = Ker F0 = Im V0 0 M0 .
Theorem (9.5.4). There is an equivalence of categories
(Diedonne crystals)
(F V modules with Hodge structure)

Theorem (9.8.3). There is an equivalence of categories G


G

(F V modules with Hodge structure)


(p-divisible formal groups)

The functor from formal groups to Dieudonne crystals. In this section we describe
the inverse of the functor G, namely, the Lie algebra of the universal additive
extension, due to Grothendieck, Messing, and Mazur-Messing [Gro70a, Gro70b,
Mes72, MM74].
Theorem ( 10.2.6). Let G be a lift of G0 to A, and let E(G) be the universal
additive extension of G. Its Lie algebra Lie E(G) has the structure of a Dieudonne
crystal. It is independent of the lift G, up to canonical isomorphism.
The period map. The period map arises from expressing the Lubin-Tate moduli
problem in terms of Dieudonne crystals. By the results of chapters 9 and 10, a pdivisible formal group G0 over A0 = k[[u1 , . . . , un1 ]] is equivalent to an F V -module
M with Hodge structure H0 . The Lubin-Tate formal group is a formal group G
over En = A = Wp k[[u1 , . . . , un1 ]].
Theorem (10.3.7 ). Let G0 be a formal group over A0 . There is a bijection between
lifts H of the Hodge structure to M and lifts of G0 to A.

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When A0 is a perfect field, this theorem is due to Cartier [Car69]. The extension
to more general A0 is part of Blochs paper [Blo]. The association of lifts G to
submodules H M gives rise to the period map.
At the end of section we give an explicit formula for the Dieudonne crystal of
a Lubin-Tate formal group associated to lifts of formal group law of height n for
n 1.
2. Formal geometry, formal groups, and formal group laws
2.1. Formal varieties. A formal group is a group in the category of (pointed
affine) formal varieties. The category of formal varieties over a ring R is set up
so that, up to non-canonical isomorphism, the maps between formal varieties are
formal power series with constant term zero. It is a stripped-down version of a
formal scheme; see for example [Gro70b, Kat81] .
Definition 2.1.1. If R is a ring, then an adic Ralgebra is an augmented R-algebra


A
R
whose augmentation ideal is nilpotent. If A is an adic Ralgebra, then its augmentation ideal will be written I(A).
An adic Ralgebra is complete and separated in the topology defined its augmentation ideal.
Definition 2.1.2. The category AdicR of adic Ralgebras is the sub-category of
R-algebras consisting of adic Ralgebras and continuous maps.
The ring R[[x1 , . . . , xn ]] is a topological R-algebra, and there is an isomorphism
Homcts [R[[x1 , . . . , xn ]], A]
= I(A)n .
R

This motivates the definition


Definition 2.1.3. The formal affine plane of dimension n over R is the functor
n
A

R
AdicR
(pointed sets)

n
A 7 Homcts
R [R[[x1 , . . . , xn ]], A] = I(A) .

by setting
We also define the infinite affine space A
(A) = colim A
n (A).
A
n

Definition 2.1.4. The category FVarR of (pointed affine) formal varieties over R
is the category whose objects are functors
V

AdicR (pointed sets)


n for some 1 n , and whose maps are natural transformations
isomorphic to A
R
of functors. The dimension of a formal variety V is n if there is an isomorphism
n .
V
=A
R

Such an isomorphism is called a system of parameters or coordinates. Generally,


parameters will refer to maps
n
A
V;

FORMAL GROUPS

while coordinates will refer to maps


n.
V
A

Exercise 2.1.5. Check that if V is a formal variety of dimension n < over R,


and W is a formal variety of dimension k < , then the set of maps from V to W
is isomorphic to the set of k-tuples of power-series

f1 (x1 , . . . , xn )

...

...
fk (x1 , . . . , xn )
in n variables, with fj (0) = 0.
Definition 2.1.6. It will be convenient to have available multi-index notation for
n, A
1 ] then we may
power series. If f R[[x1 , . . . , xn ]], for example if f FVarR [A
write
X
f (x1 , . . . , xn ) =
cI xI
I

where I runs over n-tuples of integers I = (i1 , . . . , in ) with ij 0, cI R, and


def

xI = xi11 xinn .
def

We define |I| =

ik .

Definition 2.1.7. An adic R-algebra A is of order N if I(A)N = 0. A map


f : V W vanishes to order N if
fA : V (A) W (A)
is trivial whenever A is of order N . In that case we write
f = o(N ).
Similarly, if f and g are two maps from V to W which agree on algebras of order
N , then we write
f = g + o(N ),
n
1

and so forth. If f : A A , then we may write


X
cI xI ,
f (x) =
I

and f = o(N ) if cI = 0 for |I| < n.


Example 2.1.8. The -tuple of power series
x 7 (x, x, x, x, . . .)
does not define a map
1
,
A
A

n (A). Instead,
since for a I(A) = A(A),
(a, a, a, . . .) is not a point of colimn A
1, A
]
FVarR [A
is the set of sequences of power series (f1 (x), f2 (x), . . .) satisfying the condition
for all N , there is a k, such that whenever j k,
fj (x) = o(N ).

10

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Example 2.1.9. If V is a smooth variety over a field k, and


P V (k)
is a point, then the completion of V at P is a formal variety over k. By definition,
this is the functor which assigns to an adic k-algebra A the set
def

VP (A) = {v V (A)|(v) = P },
where  is the map V (A) V (k) induced by the augmentation.
Example 2.1.10. A ring homomorphism
c

R
S
gives rise to a base-change functor
c

AdicS
AdicR :

If A is an adic S-algebra with augmentation ideal I(A), then c A is just R I(A),


with the obvious multiplication and augmentation.
By composition, there is a base change functor
c

FVarR FVarS :
for V FVarR , the variety c V is the composite
c

AdicS
AdicR (sets).

It is easy to check that


n = A
n,
c A
R
S
and the effect of c on maps is to apply the homomorphism c to the coefficients of
the power series fj .
2.2. Formal groups.
Definition 2.2.1. A (not-necessarily commutative) formal group over R is a group
G in the category of formal varieties over R. A formal group law over R is a formal
group, together with a system of parameters, i.e. an isomorphism
n
G
=A
R
of set-valued functors.
Example 2.2.2. The additive formal group Ga is the functor
a (A) = I(A),
G
where I(A) is considered as a group with its usual addition. The identity
I(A)
I(A)
is a coordinate. More generally, if M if a free Rmodule of finite rank k, then the
functor
A 7 M Ga (A) = M I(A)
Z

is a formal group of dimension k. A basis of M determines a system of coordinates.

FORMAL GROUPS

11

Example 2.2.3. The multiplicative formal group is the group


m (A) = (1 + I(A))
G
of units of the form 1 + a for a I(A), with the multiplicative structure from A.
One possible coordinate is
m (A) 3 1 a 7 a I(A).
G
Example 2.2.4. If A is an abelian variety over k, then the completion of A at the
identity is a formal group over k.
A formal group law of dimension n over R is equivalent to an n-tuple of power
series in 2n variables
2n , A
n ] (R[[x, y]])n
F FVarR [A
satisfying the conditions
F (x, 0) = x = F (0, x) and
F (x, F (y, z)) = F (F (x, y), z),

(unit)
(associative)

(2.2.5)

together with an inverse series


n, A
n]
[1]F (x) FVarR [A
such that
F ([1]F (x), x) = 0 = F (x, [1]F (x)).
It turns out that a power series F (x, y) satisfying axioms (2.2.5) always has a unique
inverse series [1]F (x). This is a consequence of the inverse function theorem (see
Corollary 3.1.10, below).
When F is a formal group law, we shall often use the notation
x + y = F (x, y).
F

For example, the additive formal group law is


x + y =x+y
a
G

while the formal group law consisting of the multiplicative formal group with the
coordinate in example 2.2.3 is
x + y = x + y xy.
m
G

These formal group laws are commutative. A formal group law F is commutative
if
F (x, y) = F (y, x).
We shall always take our formal groups to be commutative, that is, they will be
commutative groups in the category of formal varieties. It turns out that formal
groups are often commutative anyway.
Theorem 2.2.6. There is a non-commutative one-dimensional formal group over
a ring R if and only if R contains an element r which is simultaneously nilpotent
and torsion.
Proof: [Laz54]. See also [Haz78], p. 38.

12

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3. Elementary calculus on formal varieties: the inverse function


theorem and the logarithm of a formal group
3.1. The ring of functions on a formal variety, the tangent space of a
formal variety. Let U denote the forgetful functor from adic Ralgebras to (sets)
(without base point). Let V be a pointed formal variety over R of dimension n.
Definition 3.1.1. The ring of formal function on V is the ring R[[V ]] of natural
transformations
V
U
of functors to (sets).
Exercise 3.1.2. As an exercise, check that R[[V ]] is a ring, indeed an R-algebra.
Show that
n ]] = R[[x1 , . . . , xn ]]
R[[A
(canonically), and that a map of formal varieties
f

V
W
induces a ring homomorphism
f

R[[W ]] R[[V ]].


The point 0 V (R) determines a ring homomorphism
R[[V ]]
R
7 (0).
Its kernel, IV , consists precisely of natural transformations f : V U which factor
through the natural transformation
1 U.
A
In other words, there is an isomorphism
1 ].
IV
= FVarR [V, A
n , this is the ideal (x1 , . . . , xn ).
When V = A
Definition 3.1.3. The cotangent space at the origin is the R-module
def

T V = IV /IV2 .
If V has dimension n then it is a free module of rank n. If f R[[V ]] is a formal
function, we denote by df0 the image in T V of f f (0).
If f R[[V ]] and v is an element of the set V (R[t]/t2 ), then we define an element
v(f ) R by
fR[t]/t2 (v) = f (0) + v(f )t.
It is easy to check that
(i) v(f ) = v(f f (0)).
(ii) v(f ) depends only on the image of f f (0) in T V .
(iii) This evaluation gives a natural isomorphism
ModulesR [T V, R].
V (R[t]/t2 ) =

FORMAL GROUPS

13

Definition 3.1.4. The tangent space to V at the origin is the Rmodule


def
T V = V (R[t]/t2 )
= ModulesR [T V, R].

It is a free Rmodule of rank dim V . If G is a formal group, then the tangent space
of G at the origin is denoted Lie(G). If
f

V
W
is a map of formal varieties, its derivative is the homomorphism
df =fR[t]/t2

T V T W.
Example 3.1.5. If M is a free R module, then the Lie algebra of M Ga (2.2.2)
is canonically isomorphic to M by the map
a (R[t]/t2 )
M
M G
(3.1.6)
m 7 m t.
Example 3.1.7. If f, g R[[V ]] and v T V , then
v(f g) = f (0)v(g) + g(0)v(f ).
Theorem 3.1.8 (Inverse function theorem). A map of finite-dimensional formal
varieties
f
V
W
over a ring R is an isomorphism if and only if its derivative at the origin
df

T V T W
is an isomorphism.
n = W , so f = (f1 , . . . , fn ) is an n-tuple
Proof. First one reduces to the case V = A
of power series in n variables, each without constant term, and df is an nn matrix
with entries in R. Second, it is clear that one can construct the inverse of any linear
isomorphism, so one reduces to the case that df is the identity matrix, that is
fi (x) = xi + o(2)

(3.1.9)

for 1 i n.
Of course, the inverse isomorphism g is constructed by induction on the degree.
(r1)
(x) is a polynomial of degree
Let g (1) (x) = x. Suppose that r 2, and that gi
r 1, such that
X
(r1)
gi
(f (x)) = xi +
cJ xJ + o(r + 1).
|J|=r

for some cJ in R. Set


(r)

(r1)

gi (x) = gi

(x)

cJ xJ .

|J|=r

Equation (3.1.9) implies that


f (x)I = xI + o(|I| + 1),
so
g (r) (f (x)) = x + o(r + 1).


14

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We promised the following application of the inverse function theorem.


Corollary 3.1.10. If F (x, y) is a n-tuple of power series in 2n variables, satisfying
the conditions of a formal group law (2.2.5), then it is a formal group law: there is
a unique n-tuple of power series [1]F (x) satisfying
F ([1]F (x), x) = 0 = F (x, [1]F (x)).
Proof. By the axioms (2.2.5), the map
s n
n A
n
n
A
A
A
(x, y) 7 (x, x + y)
F

has derivative


In In
,
0 In
hence is an isomorphism. So there is a unique [1]F (x) such that
s(x, [1]F (x)) = (x, 0).


3.2. Invariant differentials and the logarithm.


ahler differentials or one-forms on V is
Definition 3.2.1. The module 1V /R of K
the R[[V ]]module generated by symbols da, for a R[[V ]], subject to the relations
a, b R[[V ]]

d(ab) = adb + bda

r R.

dr = 0

We will discuss K
ahler differentials at greater length in chapter 8.
Proposition 3.2.2. The assignment
bda 7 b(0)da0
determines a restriction to the origin
e

1V /R
T V
map of Rmodules.

When G is a Lie group, a one-form is left-invariant if


Lg gh = h
for all g, h G. A left-invariant differential on a Lie group is determined by its
value at the origin, since
Ly y = 0 ,
(3.2.3)
and the map 7 0 is an isomorphism from the left-invariant differentials to the
one-forms at the origin. The same is true of a formal group.
1 is of the form p(x)dx.
Lemma 3.2.4. Any differential on A
1 is of the form f (x) R[[x]]. The Leibniz rule
Proof. Any formal function on A
gives
df (x) = f 0 (x)dx.


FORMAL GROUPS

15

Let G be a one-dimensional formal group, and let x be a coordinate on G. Let


F (x, y) R[[x, y]]
denote the resulting group law.
Definition 3.2.5. A differential on G is invariant if it is invariant under left
multiplication, i.e., writing = p(x)dx,
p(y + x)d(y + x) = p(x)dx.
F

(3.2.6)

Let F2 be defined as
def

F2 (x, y) =

F (x, y)
= 1 + higher terms R[[x, y]].
y

Then equation (3.2.6) becomes


p(y + x)F2 (y, x)dx = p(x)dx.
F

Setting x = 0 yields the analogue of equation (3.2.3),


p(y)F2 (y, 0) = p(0).
So a necessary condition for dp(x) to be invariant is that
p(x) = a/F2 (x, 0).

(3.2.7)

More generally, suppose that G is a formal group law of finite dimension d, and
that x1 , . . . , xd is a system of coordinates. Let F2 (y, x) be the d d Jacobian of
F (y, x) with respect to the xi . By the inverse function theorem, F2 (x, 0) is an
invertible matrix. Let dx denote the column vector whose i entry is dxi .
Proposition 3.2.8. The submodule of 1G/R consisting of invariant differentials on
G is a free module of rank dim G, denoted (G). Restriction to the origin induces
an isomorphism
(G)
= T G.
If x1 , . . . , xd is a system of coordinates on G, then the map
Rn (G)
[a1 , . . . , ad ] 7 [a1 , . . . , ad ]F2 (x, 0)1 dx
is an isomorphism. In terms of this isomorphism restriction to the origin is the
map
e

(G)
T G
X
ai (dxi )0 .
aF2 (x, 0)1 dx 7
i

Proof. We give the one-dimensional case. All thats left to prove is that dx/F2 (x, 0)
is indeed invariant. The point is that equation (3.2.7) guarantees that
Ly y = 0 ,
and invariance follows from associativity. To be precise, differentiate the equation
F (F (y, x), w) = F (y, F (x, w))

16

ANDO

with respect to w and set w = 0 to obtain the equation


F2 (F (y, x), 0) = F2 (y, F (x, 0))F2 (x, 0) = F2 (y, x)F2 (x, 0).
Now let p(x) = 1/F2 (x, 0). Then
p(y + x)F2 (y, x) =
F

F2 (y, x)
F2 (y + x, 0)
F

= p(x).

Now suppose that G is a one-dimensional formal group over R, and R is a Q
algebra. Suppose also that x is a coordinate on G, and let G denote also the
resulting formal group law. Suppose that p(x)dx is an invariant differential. Let
Z
l(x) = p(x)dx
be the power series obtained by integrating p(x)dx as a power series, and requiring
l(0) = 0.
Lemma 3.2.9. The power series l(x) is a homomorphism from G to the additive
group, i.e.
l(x + y) = l(x) + l(y).
G

Its derivative at the origin


dl

a ) = R,
Lie(G) Lie(G
considered as an element of T G, is p(0)dx0 .
Proof. The part about the derivative is true by definition. To see that l is a homomorphism, differentiate l(y + x) with respect to x, to get
F

dl(y + x)
F

dx

= l0 (y + x)F2 (y, x)
F

= p(y + x)F2 (y, x)


F

= p(x)
= dl(x)/dx.
Thus l(y + x) and l(x) differ by a constant; setting x = 0 shows the constant is
F

l(y).

Proposition 3.2.10. Let G be a one-dimensional formal group over a Q-algebra.


For every invariant differential (G), there is a unique homomorphism
l
G
Ga

whose derivative at the origin is .

FORMAL GROUPS

17

Proof. Choosing a coordinate


x

1
G
A
allows you to write = p(x)dx and proceed as in (3.2.9). Let l(x) denote the
resulting power series. We must show that the homomorphism
x 1 l
G
A
Ga

is independent of the coordinate x. If y is another coordinate, then x and y are


related by
x = (y)
dx = 0 (y)dy
= p(x)dx = p((y))0 (y)dy.
Let m(y) denote the power series obtained from (3.2.9) using the coordinate y; by
the chain rule,
Z
m(y) = p((y))0 (y)dy
= l((y)).
Thus the diagram
G

1
A
m

1
A

a
G

commutes.

There are analogous statements for formal groups of higher dimensions; see e.g.
[Haz78, section 9.6]. It will be convenient to state the result in an invariant form.
There are isomorphisms
Lie(G)
= ModulesR [T G, R]
= ModulesR [(G), R],
Via this isomorphism, Proposition 3.2.10 is equivalent in the one-dimensional case
to the following.
Corollary 3.2.11. If G is a formal group over a Q-algebra, then there is a unique
isomorphism of formal group laws
log

G
G
Lie(G) Ga

which induces the identity on Lie algebras via the isomorphism (3.1.6).

Definition 3.2.12. If G is a formal group over a Q-algebra, then the isomorphism


logG of Corollary 3.2.11 is called the logarithm of G. The inverse isomorphism,
denoted expG , is called the exponential. If G is a one-dimensional formal group
law, then we shall also call the logarithm of G the isomorphism
logG
a
G
G

obtained from the invariant differential


dx/G2 (x, 0).

18

ANDO

The group law may be recovered from the formula


x + y = expG (logG (x) + logG (y)).
G

Corollary 3.2.13. Let G1 and G2 be formal groups over a Qalgebra R, and let
s

Lie(G1 )
Lie(G2 )
be a homomorphism. There is a unique homomorphism
exp(s)

G1 G2
with
d exp(s) = s.

4. Lazards classification of commutative 1dimensional formal


group laws
4.1. Statement of Lazards Theorem. The classification of (one-dimensional
commutative) formal group laws is due to Lazard. Recall that a one-dimensional
formal group law over a ring R is a power series
X
F (x, y) =
ai,j xi y j R[[x, y]]
i,j

satisfying the axioms


F (x, 0) = 0 = F (0, y)

(identity)

F (x, y) = F (y, x)

(commutativity)

F (x, F (y, z)) = F (F (x, y), z).

(4.1.1)

(associativity)

More generally, an r-bud is a power series F (x, y) of degree r in two variables


satisfying the axioms (4.1.1) modulo polynomial degree r + 1: a formal group law
is an -bud. The identity axiom says that F is actually of the form
X
F (x, y) = x + y +
aij xi y j ,
1i,j
i+j<r+1

and the commutativity axiom is equivalent to the equations


aij = aji ,
but it takes serious patience to enumerate the the consequences of the associativity
axiom.
Note however that there is a universal r-bud: let G be the power series
X
G(x, y) = x + y +
aij xi y j
1i,j
i+j<r+1

over the ring


L(r) = Z[aij |i + j < r + 1]/ the relations implied by (4.1.1) .
Its obvious that the map of sets
Rings[L(r) , R] {rbuds over R}
h 7 h G

FORMAL GROUPS

19

is an isomorphism.
Moreover the ring L(r) has a natural grading, coming from an action of the
multiplicative group on the group of r-buds: if F is an r-bud over R and is a unit
of R, then there is a new r-bud
X
F (x, y) =
aij xi y j
i,j

defined by the equation


F (x, y) = F (x, y)
X
F (x, y) = 1
aij (x)i (y)j
ij

(i+j1 aij )xi y j ,

ij

so the degree of aij is 2(i+j 1) (the even grading is for consistence with topology).
Finally, it is clear that there are maps of graded rings
L(r) L(r+1)
L(r) L() ,
such that
L() = colim L(r) .
r<

Lazards theorem gives the structure of L(r) .


Theorem 4.1.2. For 1 n < r there are elements tn of degree 2n in L(r) such
that
(i) L(r)
= Z[ti |i < r];
(ii) The map
L(r) L(r+1)
sends ti to ti for i < r.
(iii) The ring L = L() representing formal group laws is Z[t1 , t2 , . . . ].
The main use of this result in the sequel will be the following.
Corollary 4.1.3. If R  R0 is a surjective map of rings, then any rbud over R0
lifts to a formal group law over R.

Corollary 4.1.4. If F (x, y) R[[x, y]] is an (r 1)bud, then there is an rbud F 0
over R such that F 0 = F + o(r).

4.2. Proof of Lazards theorem. In the following, let L be any of the rings L(r)
for r . Let U be the ring
U = Z[b1 , b2 , . . . ]
and let exp(x) U [[x]] be the power series
exp(x) = x +

X
i1

bi xi+1 .

20

ANDO

Let log(x) U [[x]] be its compositional inverse


log(exp(x)) = x;
one has
X

log(x) = x +

mi xi+1

i1

with mi U . Let F be the formal group law over U defined by the formula
F (x, y) = exp(log(x) + log(y)).
Its classified by a map
u

L
U.
1 , U acquires a grading in which
Thinking of exp and log as endomorphisms of A
|bi | = 2i = |mi |, and u becomes a map of graded rings. It is not hard to calculate
the image of the aij modulo decomposables. Let I be the ideal (b1 , b2 , . . . ) of U .
Lemma 4.2.1.
mod I 2 .

bi mi
Proof. Calculating modulo I 2 one has
x = exp(log(x))

i+1

=x+

=x+

mj xj+1 +

j1

b i x +

i1
j+1

mj x

j1

=x+

X
X

mj xj+1

j1
i+1

bi x

i1

(bj + mj )xj+1 .


Lemma 4.2.2.


u(aij )


i+j
bi+j1
i

mod I 2 .

Proof. Set m0 = 1 = b0 . Calculating again modulo I 2 and using Lemma 4.2.1, one
has
X
u(aij )xi y j = F (x, y)
i,j

= exp(log(x) + log(y))
X X
=
bi (
mj (xj+1 + y j+1 ))i+1
i0

(4.2.3)

j0

mj (xj+1 + y j+1 ) +

j0

=x+y+

bi (x + y)i+1

i1

n+1

bn (x + y)


xn+1 y n+1 .

n1

The result follows from a comparison of the coefficients of xi y j in the first and last
expressions.


FORMAL GROUPS

21

Let

 

n
dn = GCD
,0 < k < n .
k
The preceding lemma may be phrased as follows.
Proposition 4.2.4. For n < r the image of
Qu
QL2n QU2n
= Zhbn i.

is the subgroup generated by dn+1 bn .

Let T2n QU2n be the subgroup Zhdn+1 bn i.


The hardest part of the proof is the following.
Proposition 4.2.5. For n < r there is a canonical splitting
Qu

QL2n

T2n

QL2n .
This is a form of the so-called symmetric two-cocycle lemma. It is of fundamental importance also in the deformation theory of Lubin and Tate; see section
7. We shall give several formulations and a proof in the next section.
Proof of Theorem 4.1.2. For r > n 1 choose tn L2n such that Qu(tn ) is a
generator of T2n , and consider the resulting maps
v

M = Z[ti |i < r]
L
U = Z[b1 , b2 , . . . ].
Then v is an isomorphism. It is injective because
u(tn ) = dn+1 bn + decomposables,
so uv is injective. It is surjective modulo decomposables by Lemma 4.2.5. But as
groups, M and L are both the colimits as n of their summands of degree less
than or equal to n; it follows by induction on n that v is an isomorphism.

4.3. The symmetric two-cocycle lemma. To calculate dn , we define for p prime
and N a positive integer
vp (N ) = k
k
if N = p m with m prime to p. For i 0 we define numbers
0 ap,i (N ) p 1
by the formula
N=

ap,i (N )pi .

i0

Finally we define
p (N ) =

vp (n!) =

n p (n)
.
p1

Lemma 4.3.1.

ap,i (N ).

22

ANDO

Proof. The number of integers between 2 and n which are divisible by p at least k
times is is bn/pk c. It follows that
vp (n!) = bn/pc + bn/p2 c + . . . .
It is easy to check that the right hand side is equal to
X

j1
X
ap,j (N )(
pi ),

i=0

and that this quantity is equal right hand side in the statement of the lemma.

Lemma 4.3.2.
(
p
dn =
1

n = pf for some prime p


otherwise.

Proof. By Lemma 4.3.1, dn is equal to


p (k) + p (n k) p (n)
.
1kn1
p1
min

If n = pf , then this quantity is at least 1, as the addition n = k + (n k) in base


p involves carrying at least once. The case k = pf 1 shows that dpf = 1.
If n is not a prime power, then n there is a k such that n can be written as a
sum that does not involve carrying in base p. This yields dn = 0.

In the following lemma, A is an arbitrary abelian group; and L, QL2n , and T2n
are as in the preceding section. For n 2 let

cn (x, y) = d1n (x + y)n xn y n ) ;
by the definition of dn it has coefficients in Z[x, y]. Notice that cn (x, y) satisfies the
equations
cn (x, y) = cn (y, x)

(4.3.3)

cn (y, z) + cn (x, y + z) = cn (x + y, z) + cn (x, y).

(4.3.4)

Lemma 4.3.5 (Symmetric two-cocycle lemma). The following statements are equivalent and true.
(i) The homogeneous polynomials f (x, y) A Z[x, y] of degree n + 1 which
satisfy equations (4.3.3) and (4.3.4) are precisely the a cn+1 for a A.
(ii) If F (x, y) R[x, y] is an nbud, and G is any extension of F to an n + 1
bud, then the extensions of F to an n + 1bud are precisely the polynomials
G(x, y) + rcn+1 (x, y)
for r R.
(iii) For n < r, any homomorphism
QL2n A
factors through the map Qu : QL2n T2n .

FORMAL GROUPS

23

(iv) Proposition 4.2.5 is true: for n < r there is a canonical splitting


QL2n

Qu

T2n

QL2n .
Proof. i. ii. First observe that if G is an (n+1)bud and f (x, y) is a homogeneous
polynomial of degree n + 1, then G(x, y) + f (x, y) is an (n + 1)bud if and only if
f satisfies the axioms (4.3.3) and (4.3.4), so i. ii. Next, over any ring the group
law
Ga (x, y) = x + y + 0
may be considered as an n + 1bud extending the nbud Ga (x, y) = x + y, so ii.
i.
ii. iii. If A is an abelian group, let Z A refer to the graded ring with
(Z A)0 = Z
(Z A)2n = A
and a b = 0 for a, b A. The ring homomorphism
L Z QL2n
induces an isomorphism
GrRgs[L, Z A]
= GrRgs[Z QL2n , Z A],

(4.3.6)

and there is a natural isomorphism


GrRgs[Z QL2n , Z A]
= AbGps[QL2n , A].

(4.3.7)

It is clear from (4.3.6) and (4.3.7) that AbGps[QL2n , A] is naturally isomorphic to


the set of all extensions of Ga from an nbud to an (n + 1)bud of the form
G(x, y) = x + y + g(x, y)
with g(x, y) A Z[x, y] homogeneous of degree n + 1.
Claim ii. holds if and only if these extensions are precisely the polynomials
G(x, y) = x + y + acn+1 (x, y).
On the other hand, the map
ZQu

Z QL2n Z T2n = Z Zhdn+1 bn i


classifies the group law or (n + 1)-bud

F (x, y) = x + y + bn (x + y)n+1 xn+1 y n+1 )
= (dn+1 bn )cn+1 (x, y).
according to equation (4.2.3). An (n + 1)-bud
G(x, y) = x + y + g(x, y)

on Z A is of the form h F for a map


h : Z T2n Z A

24

ANDO

precisely if g is of the form acn+1 (x, y).


iv. iii. because iv. is the universal case of iii.
It remains to verify version i. First, one may reduce to the case that A is finitely
generated, since there are only finitely many coefficients in the module of symmetric
polynomials of degree n. And so one reduces to the cases A = Z and A = Z/pk .
Next we reduce to the cases A = Q and A = Z/p. It is easy to check that the
result for A = Q implies the result for A = Z. If k 2 and the result holds for
Z/pl with l < k, then it holds for Z/pk as well, as one checks by means of the short
exact sequence
Z/pk1 , Z/pk  Z/p.
Thus it suffices to to verify the result for the fields A = Q and A = Z/p.
Let P [x] denote the polynomial Hopf algebra over A = Q or A = Z/p on a
primitive generator x, and let P [x1 , x2 , . . . , xk ] denote the polynomial ring in k
variables. The complex
P [x1 ] P [x1 , x2 ] P [x1 , x2 , x3 ] . . .
with differential
df (x1 , x2 ) =f (x2 ) f (x1 + x2 ) f (x1 )

f P [x1 ]

df (x1 , x2 , x3 ) =f (x2 , x3 ) f (x1 + x2 , x3 )+


f (x1 , x2 + x3 ) f (x1 , x2 )

f P [x1 , x2 ]

df (x1 , . . . , xk+1 ) =f (x2 , . . . , xk+1 )+


k
X

(1)i f (x1 , . . . , xi + xi+1 , . . . , xk+1 )

i=1

+ (1)k+1 f (x1 , . . . , xk )

f P [x1 , . . . , xk ]

is the cobar complex which calculates ExtP [x]comodules [A, A]. The symmetric 2cocycle lemma in the form i. says that the part of Ext2P [x] [A, A] represented by
symmetric elements of this cobar complex is
0 if A = Q
Z/phcp , cp2 , . . .i if A = Z/p.
Here is a calculation of this Ext. The dual Hopf algebra to P [x] is the divided
polynomial algebra [x], giving an isomorphism
ExtP [x]comodules [A, A]
= Ext[x]modules [A, A].
Now we may use a smaller resolution of A as a [x]module. When A = Q, one
has [x]
= P [x] as algebras, and
Q P [x]hai P [x]hbi
with
a 7 1
b 7 xa
is a resolution with only a 0 and a 1 term, so Ext2P [x] [Q, Q] = 0.

FORMAL GROUPS

25

If A = Z/p then there is an isomorphism of rings


O
T [x(r) ]
[x]
=
r0

where
def

T [u] = P [u]/(up )
r
and x(r) is the class of degree pr |x| inspired by xp /(pr !) in [x]. There is then a
K
unneth isomorphism
O
ExtT [x(r) ] [A, A].
(4.3.8)
Ext[x]modules [A, A]
=
r0

To calculate ExtT [u] , we construct a minimal resolution R of A in which the


pieces assemble into a differential graded T [u]-algebra, namely
A R
= ET [u] [a] T [u] [b],
T [u]

with differential determined by


d1 = 1 ( the generator of A)
da = u 1
dbr = up1 abr1
(here br is the class inspired by br /r!).
Taking the homology of HomT [u] [R , A] one finds that
Ahai
Ext1T [u] [A, A] =
|a| = 2|u|
2
Ext
[A, A]
|b| = 2p|u|.
= Ahbi
T [u]

Comparing with (4.3.8), and giving x degree 2,

Ahbr1 i
2,n
Ext[x] [A, A] = Ahar as i

one finds that


n = 2pr
n = 2(pr + ps )
otherwise.

The class br1 corresponds to the class cr1 in the cobar complex (cr1 is a cocycle
by inspection; it has order p in Ext, and the calculation shows that thats all there
r
s
can be). The class ar as is represented in the cobar complex by xp xp ; it is not
symmetric. Its symmetrization is a boundary: one may check easily that
r+s

d(xp

) = xp y p + xp y p .


5. Witt vectors and the Witt formal group


One way to classify formal groups is via an analogue of the Lie algebra called
the Dieudonne-Cartier module. In chapter 6 we attach to a formal group G over
any ring R a module CG over the ring WR of Witt vectors of R. One description
of this module is
G],
FGpsR [W,
is the Witt formal group. When R is a Z(p) -algebra, then it is useful
where W
with their p-typical counterparts, Wp and W
p ; we call the
to replace W and W

26

ANDO

resulting module DG. When R is a perfect field of characteristic p > 0 and G is


one-dimensional, then either G is the additive group, or DG is a finite free module
over Wp R, so this is a particularly effective classification.
The purpose of this chapter is to introduce these various Witt vectors. The
uncompleted Witt vectors are affine ring schemes, that is, representable functors
from rings to rings. As a ring each is isomorphic to the polynomial ring Z[x1 , x2 , . . . ]
on a countable set of generators.
We shall treat the p-typical Witt vectors first. When k is a perfect field of
characteristic p, the ring Wp k is to k as the ring of p-adic integers are to Fp : Wp k
is a torsion-free, complete Noetherian local ring with maximal ideal generated by
p, and with an isomorphism Wp k/p
= k.
5.1. p-typical Witt vectors. Let An be the scheme
def

An = Spec Z[x0 , . . . , xn1 ].


Z[x0 , . . . , xn1 ] has two Hopf algebra structures
Z[x0 , . . . , xn1 ]
Z[x0 , . . . , xn1 , y0 , . . . , yn1 ],
namely
xi 7 xi + yi
and
xi 7 xi yi ,
which correspond to products
An An An .
Z

These products describe how the functor on rings


R 7 Rn
represented by An takes its value in rings.
The Witt scheme Wp,n is another ring scheme whose underlying scheme is An .
It comes with a morphism
w

Wp,n
An
which is given on coordinates by the Witt polynomials
w0 (x0 , . . . , xn1 ) = x0
w1 (x0 , . . . , xn1 ) = xp0 + px1
2

w2 (x0 , . . . , xn1 ) = xp0 + pxp1 + p2 x2


wj (x0 , . . . , xn1 ) =

j
X
d=0

jd

pd xpd

FORMAL GROUPS

27

Proposition 5.1.1. There are unique maps


+
W

Wp,n Wp,n
Wp,n and
Z

Wp,n Wp,n
Wp,n ,
Z

giving Wp,n the structure of a ring scheme such that the Witt map w is a map of
ring schemes.
The existence of both the sum and product on Wp,n follow from the following
useful lemma, which describes the image of the Witt map. Let A = Z[a1 , a2 , . . . ]
be a polynomial ring on any number of generators, and let
f (a1 , a2 , . . . ) = f (ap1 , ap2 , . . . )
denote its p-Frobenius endomorphism.
Lemma 5.1.2 (Image of Witt). An element (b0 , b1 , b2 , . . . ) of An (A) is of the form
w(c0 , c1 , c2 ) for some (c0 , c1 , . . . ) in Wp,n (A) if and only if
(mod pi )

bi (bi1 )

(5.1.3)

for i 1. Moreover the ci are unique.


Proof. The ci are unique, if they exist, because for the ring A = Z[ai ] the Witt
map is injective.
Note that wi (c0 , c1 , . . . ) depends only on cj for j i. Suppose given polynomials (b0 (a), b1 (a), b2 (a) . . . , ) An (A), and that we have constructed polynomials
c0 (a), c1 (a), . . . , ck1 (a) such that
bi (a) = wi (c0 (a), c1 (a), . . . )
for i < k. We shall attempt to construct ck (a) such that bk = wk (c0 , . . . , ck ); in
other words, to solve the equation
k

kr

bk (a) = c0 (a)p + + pr cr (a)p

+ + pk ck (a)(a).

We may do this if and only if


k

kr

bk (a) c0 (a)p + + pr cr (a)p

+ + pk1 cpk1 (a)

(mod pk ).

Consider the equation


k1

bk1 (a) = c0 (a)p

k1r

+ + pr cr (a)p

+ + pk1 ck1 (a).

Applying to this equation yields


k1

bk1 (a) = (c0 (a))p

k1r

+ + pr (cr (a))p

+ + pk1 ck1 (a).

From the equation


cr cpr

(mod p)

one has
k1r

cpr

k1r

pr cpr

kr

(cr )p

kr

pr (cr )p

(mod pkr )
(mod pk ).

It follows that
k

k1

bk1 (a) c0 (a)p + pc1 (a)p

+ + pk1 ck1 (a)p

(mod pk ).

(5.1.4)

28

ANDO

Substituting into equation (5.1.4) gives (5.1.3).

Proof of the Proposition. Let us treat the case of addition. We must construct a
dotted arrow so that the diagram
Wp,n Wp,n

ww

An An

Wp,n

An .

By representability, it suffices to treat the case of the element


(x0 , . . . , xn1 , y0 , . . . , yn1 ) Wp,n Wp,n (Z[x0 , . . . , xn1 , y0 , . . . , yn1 ]).
In other words, we must construct polynomials
(x + y)0 , (x + y)1 , Z[x, y]
W

such that
w((x + y)0 , (x + y)1 , . . . ) = w(x) + w(y).
W

According to Lemma 5.1.2, we have

(x)
wi (x) wi1

(mod pi ),

and similarly for the y, for all i. It follows that


wi (x) + wi (y) (wi1 (x) + wi1 (y))
for all i. Lemma 5.1.2 yields the desired polynomials.

(mod pi )


There are restriction maps


Wp,n+1
Wp,n ,
and the diagram
Wp,n+1 Wp,n

w
wy
y
An+1 An
commutes. The Witt scheme Wp is defined as the limit
def

Wp = lim Wp,n ;

(5.1.5)

it is isomorphic as a scheme to AN .
5.2. Frobenius, Verschiebung. If
(a0 , a1 , . . .), : ai R
is an R-valued point of Wp (= homomorphism from Z[x0 , . . .] to R), then the
components of its image under w
(w0 (a), w1 (a), . . .)
are called the ghost or phantom components. As we have already done in studying the ring structure, we shall repeatedly use the ghost components and Lemma

FORMAL GROUPS

29

5.4.6 to examine the structure of the Witt vectors. If X denotes an operation on


the Witt vectors, then its ghostly image will be denoted X w .
As another illustration of this technique, we study the operators Frobenius and
Verschiebung.
The operator Verschiebung on Wp is given by
V (x0 , x1 , . . .) = (0, x0 , x1 , . . .);
in terms of the ghost components,
V w (w0 , w1 , . . .) = (w0 (0, x0 , x1 , . . .), w1 (0, x0 , x1 , . . .), . . .)
= (0, px0 , . . . ,

j
X

jd

pd xpd1 , . . .)

d=1

= (0, px0 , . . . ,

j1
X

jd1

pd+1 xpd

, . . .)

d=0

= (0, pw0 , pw1 , . . .).


From the calculation in terms of ghost components we learn that V is additive.
The Frobenius operator we even define in terms of the ghost components; to
wit,
w (w0 , w1 , w2 , . . .) = (w1 , w2 , . . .).
That w induces an operation on Wp follows by the image-of-Witt condition (5.1.3).
The Frobenius is both additive and multiplicative. It is difficult to write down
on Witt vectors in the general case, but in characteristic p > 0 inspection of the
Witt polynomials shows that
(a0 , a1 , . . .) = (ap0 , ap1 , . . .).

(5.2.1)

The ghost formulae show that


V = [p]Wp
where [p]Wp is p-fold addition in the Witt ring scheme. Moreover, the formula for
in characteristic p shows that
[p]Wp (a0 , a1 , . . .) = V (a0 , a1 , . . . )
=

(0, ap0 , ap1 , . . .)

(5.2.2)
(5.2.3)

= V (a0 , a1 , . . .).
So at least in characteristic p, we also have V = p; one way to express this might
be
V = [p](Wp )Fp ,
where (Wp )Fp denotes the Witt scheme pulled back over
Spec Fp
Spec Z.

30

ANDO

5.3. Witt vectors of perfect fields and p-adic arithmetic. Let k be a perfect
field of characteristic p > 0. The Frobenius x 7 xp is an isomorphism of k, so the
ideal
(0, a1 , a2 , . . .) Wp k
is by equation (5.2.3) exactly the ideal
pWp k Wp k.
Thus the map (a0 , . . .) 7 a0 provides an isomorphism

Wp k/p
k,
and indeed

(5.3.1)

Wp,n (k).
Wp k/pn
By definition (5.1.5), we have
Wp k = lim Wp k/pn .

(5.3.2)

Now suppose that k is the finite field Fpn . We could have tried to make a ring R
having the properties (5.3.1) and (5.3.2) of Wp k directly: suppose R is a complete
local ring with residue field k. The Teichm
uller construction [Ser68, II,5, Prop. 8]
provides a canonical multiplicative section
f

k
R.
n

In particular, for a 6= 0 in k, f (a) satisfies f (a)p 1 = 1, and has canonical pi roots


for all i. The smallest ring R we could expect to get is
R = Zp (),
n

st

where is a primitive (p 1)

root of unity.

Theorem 5.3.3. The map


Wp k
R
given by
2

(a0 , a1 , . . .) 7 f (a0 ) + f (ap1 )p + f (ap2 )p2 + . . .


is an isomorphism of rings.
Remark 5.3.4. The argument shows that Wp k is initial for complete local rings
S with residue field k. This will be important when we get to crystals.
Proof. The map is an isomorphism of sets; it remains to show that its a ring
homomorphism. Its inverse is
s

R
Wp k
X

f (ai )pi 7 (a0 , ap1 , ap2 , . . .).

The map s factors through the reduction


Wp (R)
Wp (k)
by the map
s

R
Wp (R)
X

f (ai )pi 7 (f (a0 ), f (a1 )p , . . .),

FORMAL GROUPS

31

because f is multiplicative. Then we have a diagram


R

wn

Wp (R)

Wp k
Each of the wn is a ring homomorphism, and the collection of them is an injective
map
Wp (R)
AN (R).
(this is not true with R replaced by k, which is why it is helpful to lift the problem
to R), so it suffices to show that the failure of the composite wn s to be a ring
homomorphism lies in the kernel of the reduction map. We use the following, with
proof left to the reader.
Lemma 5.3.5. The Witt vector (b0 , b1 , . . .) Wp (R) is in the kernel of
Wp (R)
Wp k
if and only if its ghost components satisfy
wm (b) 0

(mod pm+1 ).

The composite
w

n
R
Wp (R)
R
R/pm+1

is given by
r=

bi pi 7 (b0 , bp1 , . . .)
n

7 bp0 + pbp1 + . . . + pm bpm


n (r)

(mod pm+1 ).

Here is the Frobenius automorphism of R induced by the Frobenius on k, and


its a ring homomorphism. It follows by the Lemma that the failure of wn s to be a
ring homomorphism is in the kernel of the reduction to Wp k.

Remark 5.3.6. From the preceding it appears that the Teichm
uller section k
Wp k is the map
r(a) = (a, 0, 0, . . . )
Indeed, in terms of the ghost components,
2

rw (a) = (a, ap , ap , . . . ),
which shows that r is multiplicative.

32

ANDO

5.4. Global Witt vectors. One place to start is with this simple result about
power series.
Lemma 5.4.1. Any power series
p(t) = 1 + b1 x + b2 x2 + . . .
can be written in a unique way in the form
Y
p(t) =
(1 an xn ).
n1

Proof. By induction. Suppose


p(x) =

k1
Y

!
n

1 an x

(1 + bk xk + o(k + 1)).

n=1

Since
1 + bk xk + o(k + 1)
= 1 + o(k + 1),
1 + bk xk
we obtain
p(x) = (1 + o(k + 1))

k
Y

(1 an xn )

n=1

by setting ak = bk .

The global Witt scheme W is a ring scheme, isomorphic as a scheme to AN =


lim An , whose sum is defined in terms of this Lemma. Let the infinite sequence
n

(a1 , a2 , . . .) W(A) of elements a ring A secretly correspond to the power series


Y

(1 an xn ).

n1

Then the sum of


a = (a1 , a2 , . . .) and b = (b1 , b2 , . . .)
in W(A) is given by
Y
n1

(1 (a + b)n xn ) =
W

Y
n1

(1 an xn )

(1 bn xn ),

(5.4.2)

n1

using the Lemma.


Were calling this the global Witt scheme or the ring of global Witt vectors, so
itd better have something to do with the Witt vectors as we defined them earlier,
and itd better be a ring scheme. To see this, well study the sum + more closely,
W

FORMAL GROUPS

33

and obtain analogs of the Witt polynomials. Write

Y
Y
(1 cn xn )
(1 cn xn ) = exp log
n1

n1

= exp

log(1 cn xn )

n1

= exp

X X (cn xn )i
i

n1 i1

X xN X N/d
= exp
dcd
N
N 1
d|N

X w(N ) (c)
xN ,
= exp
N
N 1

where
def

w(N ) (c) =

N/d

dcd

d|N

The same analysis shows

Y
Y
X w(N ) (a) + w(N ) (b)
xN .
(1 an xn ) (1 bn xn ) = exp
N
N 1

Comparing coefficients, we see that


w(N ) (c) = w(N ) (a) + w(N ) (b).
To summarize, let P S be the scheme which associates to a ring R the group of
power series p R[[x]] with p(0) = 1, under multiplication, and let P SQ be the
same group, restricted to Q-algebras.
Proposition 5.4.3. The diagram
Q
(a)7 n1 (1an xn )

(a)7(w(1) (a),w(2) (a),... )y


(c)7exp(

PS

(5.4.4)

cn xn /n)

AN P SQ
is a commutative diagram of group schemes; the marked arrow is an isomorphism.

Corollary 5.4.5. If R is torsion free and un R, the power series
X un
exp(
xn ) Q R[[t]]
n
has coefficients in R if and only if un = w(n) (a) for some sequence of elements
a1 , a2 , . . . in R.

34

ANDO

Proof. Use the fact that the map


n

cn x /n)
(c)7exp(
N
A
Q P SQ

is an isomorphism.

For the w(N ) , there is a generalization of the Image-of-Witt Lemma (5.1.2).


Lemma 5.4.6 (Image of Witt II). The sequence (c1 , c2 , . . .) with ci Z[x1 , . . .] is
in the image of w if and only if for all n 1 and all primes p,
cn p (c np )

(mod pj ),

where j = p (n), i.e. n = pj m with (p, m) = 1.

Using the new Image-of-Witt Lemma, one checks that there is always a vector
(c) such that
w(N ) (c) = w(N ) (a)w(N ) (b),
and so
Corollary 5.4.7. There is a unique product

WW
W
Z

which combines with the sum + to give W the structure of a ring scheme, in such
a way that the Witt map

W
w

W
AN
is a homomorphism of ring schemes.

As an exercise, the reader might try to work out the product in terms of the
isomorphism W
= P S.
Frobenius and Verschiebung. As another application, one may check exactly as in
the case of the p-typical Witt vectors that there are operators Fr and Vr on W.
The Verschiebung Vr is given by the formula
Vr (x1 , x2 , . . . ) = (0, . . . , 0, x1 , . . . , x2 , . . . );
r

2r

and one may check this is equivalent to the formula


Vrw (w(1) , w(2) , . . . ) = (0, . . . , 0, rw(1) , . . . , rw(2) )
r

2r

so Vr is additive. Once again, Fr is given in terms of ghost components by


Frw (w(1) , w(2) , . . . ) = (w(r) , w(2r) , . . . ),
and the Image-of-Witt lemma in the form (5.4.6) shows that this defines an oepration on W. The formulae in terms of ghost components show that
Fr V r = r W .

FORMAL GROUPS

35

Exercise 5.4.8. Show that the effect of Fr on the Witt vector (a, 0, 0, . . . ) is given
by the formula
Fr (a, 0, 0, . . . ) = (ar , 0, . . . ).
Show that when r = 0 in A, Fr is given by the formula
Fr (a1 , a2 , . . . ) = (ar1 , ar2 , . . . ).

(5.4.9)

Show that when r = 0 in A,


V r Fr = r W .
Relationship with p-typical Witt vectors: the Artin-Hasse exponential. Now suppose
that in a = (a1 , a2 , . . .) we have aj = 0 unless j is a power of a prime p. Then
w(n) = 0 unless n is a power of p, and we have
k
X

w(pk ) (a) =

ki

pi appi

i=0

which up to renumbering is the earlier Witt polynomial wk . Notice that for any a,
the Witt polynomial w(pk ) does not depend on aj for j prime to p.
More precisely, the p-typical Witt scheme is a quotient of W, exhibited by the
diagram
w

AN

Wp

AN
(5.4.10)

(a)

(w(1) (a), w(2) (a), . . .)

(a1 , ap , ap2 , . . .)

(w(1) , w(p) , w(p2 ) , . . .).

Now when R is a Z(p) -algebra, it turn out that there are lots of sections
Wp (R)
W(R).
Wed like to define a section
s

Wp
W
by insisting that the diagram
s

Wp

wy

w
y

(5.4.11)

AN w AN
s

commute, with s defined by


sw (c0 , c1 , c2 , . . .) = (c0 , 0, . . . , 0, c1 , 0, . . . , 0, c2 , . . .),
p

p2

36

ANDO

but we need to check that the right-hand-side is in the image of w. The Image-ofWitt Lemma requires first that for c = w(a) and q 6= p,
0 = sw (c)qpk q (sw (c)pk ) = q (ck )

(mod q).

and second that for all k,


ck p (ck1 )

(mod pk ).

The first condition wont be true in general, but it will be true trivially in a Z(p) algebra. The second is just the p-typical image-of-Witt condition for c. We have
proved
Proposition 5.4.12. Over Z(p) , there is a unique map s of ring schemes making
the diagram (5.4.11) commute.

In fact the argument shows that for each n with (n, p) = 1 there is a section
sn

Wp W
given on ghost coordinates by
(c0 , c1 , . . .) 7 (0, . . . , c0 , . . . , c1 , . . .).
n

np

Corollary 5.4.13. There is an isomorphism of ring schemes over Spec Z(p)


Y
WZ(p)
(Wp )Z(p) .
=
(n,p)=1

Now the construction of the section wasnt too hard, but it has the following
important consequence.
Corollary 5.4.14. The Artin-Hasse exponential

X xpn

exp
pn
n0

has coefficients in Z(p) .


This power series will provide a natural p-typical coordinate on the multiplicative group over Z(p) ; see section 6.9.
Proof. Recall from Corollary 5.4.5 that

X cn xn

exp
n
n1

has coefficients in Z(p) if c is in the image of


w

W(Z(p) )
AN (Z(p) ).
The work weve just done shows that
(1, 0, . . . , 0, 1, . . . , 12 , . . .) = sw (1, 1, . . .)
p

= sw w(1, 0, . . .)
= ws(1, 0, . . . )
is in the image of w.

FORMAL GROUPS

37

5.5. The Witt formal group. The Witt scheme Wp,n with just its additive structure is a group scheme, isomorphic as a scheme to An . Its completion at the origin,
given on the category of adic R-algebras by
p,n (A) = Ker[Wp,n (A)
W
Wp,n (R)],
n .
is a formal group, isomorphic as a formal variety to A
R
The p-typical Witt formal group is the direct limit
p (A) = colim W
p,n (A).
W
n

Thus
(a0 , a1 , . . .)

is considered a point of Wp (A) if and only if ai I(A) for each i, and moreover
there exists an N such that ai = 0 for i N .
whose formal sum comes from
Similarly there is a global Witt formal group W,
(5.4.2). Its A-valued points, for an adic R-algebra A, are sequences
(a1 , a2 , . . .)
such that ai I(A) for each i, and moreover there exists an N such that ai = 0
for i N .
These formal groups play a major role in the study of formal groups, because
the Witt formal group is the free formal group on the formal line: there is a natural
isomorphism
1 , G]
G].
(Formal Varieties)[A
= (Formal Groups)[W,
That is the subject of the next section.
-Cartier module
6. Classification of formal groups via the Dieudonne
6.1. The curves functor C. Proceeding by analogy with Lie theory, one might
try to study a formal group in terms of its Lie algebra. Thats not enough structure,
but notice that a vector v in the Lie algebra of a Lie group G yields a curve exp(tv)
in G. If G is a formal group over R, one considers the full abelian group of curves.
Definition 6.1.1. If G is a formal group then the group of curves in G is the group
def

1 , G].
C(G) = CR (G) = (Formal varieties over R)[A
R
One finds for more or less formal reasons that the curves functor is faithful. One
is led 1) to determine the endomorphisms of C, and 2) to compute its image.
6.2. Endomorphisms of the curves functor. There are three basic types of
endomorphisms of Curves, homotheties, Verschiebung, and Frobenius.
The homothety and Verschiebung operators both come from endomorphisms of
the affine line. Homotheties come from dilations: given a curve

1
A
R G

and an element a R, we can form the new curve [a]() given by


a 1
1
A
G.
R AR

38

ANDO

For r 0 the curve Vr is given by


r

t7t
1
1
A
G.
R AR

More explicitly, if
= (1 , . . . , n )
with respect to some coordinate system

= n
G
AR ,

then we can write


i (t) =

bik tk

k1

with bik R. Then


X

([a])i (t) =

bik ak tk ,

k1

and
(Vr )i (t) =

bik tkr .

k1

Frobenius has a slightly more complicated description, using Newtons Lemma.


Lemma 6.2.1. The map

R[[x1 , . . . , xr ]]r
R[[1 , . . . , r ]]
i (x1 , . . . , xr )
i
is an isomorphism, where i (x) are the elementary symmetric polynomials.

Corollary 6.2.2. This induces an isomorphism

=
1 )r /r
1 )r .
(A
(A


For a curve , the r-Frobenius Fr is given by the diagram
1 )r
(A

Gr
+
G

1 )r /r
(A

'

1 )r
(A
(0,0,...,(1)r r )

1
A

Fr

FORMAL GROUPS

39

To compute Fr explicitly, observe that after possible base extension to a ring containing a primitive rth root of unity , the diagram may be extended by a commutative triangle
r

1 )r
(A

Gr
+
G

1 )r /r
(A

'
(x,x,...,

r1

1
A

x)

1 )r
(A

Fr

1
A

x7xr

so
r1

XG

(Fr )(t) =

(t r i ).

(6.2.3)

i=0

Example 6.2.4 (Ga ). If


(t) =

b n tn

then we have
([a])(t) =

bn an tn ,

(Vr )(t) =

bn tnr , and

(6.2.5)

(Fr )(t) =

r1
XX
n

bn t r ni

i=1

rbnr tn .

Example 6.2.6 (The Witt formal group). To compute Fr , consider first the path
1 (t) = (t, 0, 0, . . .).
Recall that the Witt sum corresponds to multiplication of power series, where
(a1 , a2 , . . .)
corresponds to the power series
(1 a1 x)(1 a2 x2 ) . . . .
Then we have
1

(Fr 1 )(t) = (t r , 0, . . .) + (t r , 0, . . .) + . . . (t r r1 , 0, . . .)
W
1

W
1

= (1 t r x) . . . (1 t r r1 x)
= (1 txr ) = (0, . . . , 0, t, 0, . . .).
r

40

ANDO

For a general curve


(t) = (1 (t), 2 (t), . . .)
we get
(Fr )(t) = (0, . . . , 1 (t), . . . , 2 (t), . . .).
r

(6.2.7)

2r

([a])(t) = (1 (at), 2 (at), . . .),

(6.2.8)

(Vr )(t) = (1 (tr ), 2 (tr ), . . .).

(6.2.9)

and

Proposition 6.2.10. The various homothety, Frobenius, and Verschiebung operators interact according to the rules
(i) Fr Vs = Vs Fr if (r, s) = 1.
(ii) Fr Vr = r where r denotes multiplication by r on curves, i.e. r-fold formal
sum on the formal group.
(iii) Fr Fs = Frs and Vr Vs = Vrs
(iv) Fr [a] = [ar ]Fr
(v) [a]Vr = Vr [ar ]
Proof. The only hard part is to figure out in which order to apply the operations.
For example, Vs Fr (t) is given by
s

Fr
t7t
1
1
A
G.
A

Let denote a primitive rth root of unity. Then


(i) if (r, s) = 1,
r1

(Vs Fr )(t) = Vs (

XG

(t r i ))

i=0
r1

XG

(t r i )

i=0
r1

XG

(t r si ) if (r, s) = 1

i=0

= Fr (t 7 (ts ))
= (Fr Vs )(t).
(ii) On the other hand if s = r we get
Fr Vr (t) = Fr (t 7 (tr ))
r1

XG

(t r ri )

i=0

= [r]G ((t)) = (r)(t).


(iii) exercise

FORMAL GROUPS

41

(iv)
r1

(Fr [a])(t) =

XG

(at r i )

i=0
r1

XG

((ar t) r i )

i=0

= [ar ]Fr (t).


(v) exercise.

represents the curves functor. Let W
be the Witt formal group, and
6.3. W
let 1 be the curve
1

1
A
W

t 7 (t, 0, 0, . . .).
A fundamental result of Dieudonne is
Theorem 6.3.1. For a formal group G over a ring R, restriction to 1 induces an
isomorphism

=
G]
FGpsR [W,
CG.
Under this isomorphism, the operator Fr on curves corresponds to the operator Vr
on the Witt formal group. If r = 0 in R, then the operator Vr on curves corresponds
to the operator Fr on the Witt formal group.
Proof. First we show that the map is injective. Let i be the projections

1
W
A
a 7 ai .
Then, using the formulas (6.2.8,6.2.9,6.2.7), we can write
X
W]

Fi 1 i = 1 Hom[W,
i1

(the sum is well-defined by the vanishing condition on W).


Now suppose that

g Hom[W, G] restricts to zero, that is,


g1 = 0.
Then, since Fn is an endomorphism of the curves functor and g is a homomorphism
of formal groups, we get
X
g=g
Fi 1 i
i1

Fi g1 i = 0.

i1

Now we have to show that the restriction is surjective. For a curve

1
A
G

42

ANDO

we define a map
g()

W
G

of formal varieties by
g() =

F i i .

i1

Clearly
g()1 =
as a map of formal varieties, so it remains to check that g is a homomorphism.
Let us suppose for simplicity that G is one-dimensional. Then we can use the
technique of prolongation of algebraic identities: by Corollary 4.1.3 of Lazards
theorem, we can lift G to a formal group G0 over a torsion-free ring S, and then
study the problem over S Q, where the problem becomes isomorphic to the
analogous problem for the additive group via the logarithm.
G0

G0 Q

g( 0 )

g()

logG0

Ga
g(logG0 0 )

g( 0 )

Spec R

SQ
W

S
W

R
W

Spec S Q

Spec S

Then since homomorphisms add, it suffices to check that g() is a homomorphism


when is the curve
(t) = tn
a . The formula (6.2.5) for Frobenius is
in G
(
d1
X
dtn/d
n/d nj
Fd (t) =
t =
0 otherwise
j=0

d|n

so we have
g(a) =

(Fd )(ad )

d1

dadd

d|n

= w(n) (a).
But the Witt polynomial w(n) was constructed to be a homomorphism
w(n)

W
Ga .

It remains to check the claims about Frobenius and Verschiebung. Given the
isomorphism already established, it suffices to check study the effect of Fr and Vr
on the curve 1 . From example 6.2.6 we have
Fk 1 (t) = (0, . . . , 0, t , 0, . . .).
k

FORMAL GROUPS

43

Fix an element (a1 , a2 , . . . ) W(A).


Then
X
X
Fi Fr 1 i (a1 , a2 , . . . ) =
Fir 1 i (a1 , a2 , . . . )
= (0, . . . , a1 , . . . , a2 , . . . )
r

2r

= Vr (a1 , a2 , . . . ).
In other words,
X

Fi Fr 1 = Vr .

Similarly,
Vr 1 (t) = (tr , 0, . . . )
Fi Vr 1 (t) = (0, . . . , tr , 0, . . . ).
r

So
X

Fi Vr 1 i (a1 , a2 , . . . ) = (ar1 , ar2 , . . . ).

According to (5.4.8), this last quantity coincides with Fr (a1 , a2 , . . . ) when r = 0 in


R.

Remark 6.3.2. There is a version of the lifting result (Corollary 4.1.3) for higherdimensional formal groups [Haz78, section 9.6].
6.4. C takes values in modules over the Witt vectors. Weve learned that
G],
CR (G)
= FGpsR [W,
W]
= CR (W).
In this section we use this fact to give CR
so End[CR ] = FGpsR [W,
the structure of functor to modules over W(R).
Recall that (a1 , a2 , . . .) W(R) corresponds to the power series
Y
(1 am xm ).
m1

Thus the curve

A
R WR

t 7 (0, . . . , btn , 0, . . .)
m

corresponds to the curve


t 7 (1 btn xm ) = Vn [b]Fm 1 (t).
This observation leads us to the following analogue of (5.4.1).
Lemma 6.4.1. Any power series
p(x, t) =

ai,j ti xj

i,j0

with a0,0 = 1 can be written in a unique way in the form


Y
p(x, t) =
(1 bn,m tn xm ). 
n,m1

44

ANDO

but first we need to


Were going to use this Lemma to represent curves in W,

make an technical observation about what it means to be an element of C(W).


can be written as
Although any curve C(W)
= (1 , 2 , . . .)
with
i (t) =

1, A
1 ],
ai,n tn Hom[A

n1

not every collection of i yields a curve in W: if is a curve, A is an adic R-algebra,


and
1 (A)
a Ker[A
R] = A
R
1

is an A-valued point of A , then when we apply


R

(a) = (1 (a), 2 (a), . . .)


R (A). But by definition, we required of
we must obtain an A-valued point of W

points (b1 , b2 , . . .) WR (A) that there exist an N such that bj = 0 for j N .


Now N can depend on A, and indeed on the element (a), but with fixed some
N must exist for any adic R-algebra A. This amounts to the saying that
= (1 , 2 , . . .)
is a curve if and only if
for all j theres an N such that for i N ,
i (t) 0 (mod tj ).
For example, the sequence of power series
t 7 (t, t2 , t3 , . . .)
even though it doesnt factor through any finite W
n . On the
is a curve in C(W),
other hand the map
t 7 (t, t, t, . . .)
isnt a curve.
Now the curve
(1 (t), 2 (t), . . .)
corresponds to a product
Y

(1 m (t)xm )

m1

and so by Lemma 6.4.1 to a product of the form


Y
(1 bm,n tn xm ).
m,n1

In order for such a product to be a curve, it is necessary and sufficient that


for all n theres an M such that for m M ,
we have bn,m = 0.
Using the formulas (6.2.8,6.2.9,6.2.7), we get

FORMAL GROUPS

45

Proposition 6.4.2. The map


X
X
Vn [bn,m ]Fm 7
Vn [bn,m ]Fm 1
n,m0

n,m0

and sums of the


establishes a bijective correspondence between curves in CR (W)
form
X
Vn [bn,m ]Fm
n,m0

satisfying the condition


for all n theres an M such that for m M ,
we have bn,m = 0.

In particular, the curve
(t) = (a1 t, a2 t2 , a3 t3 , . . .)
can be written
=

Vn [an ]Fn 1 .

n1

Theorem 6.4.3. The map


E

(a1 , a2 , . . .)

Vn [an ]Fn

n1

is a homomorphism of rings
E

W(R)
End[CR ].
Proof. For elements a and b, we need to show that
E(a + b) = E(a) + E(b) and
W

E(a b) = E(a) E(b)

in End[C(G)], where G is a formal group over R. Let us suppose as in the proof


of Theorem 6.3.1 that G is one-dimensional (or see Remark 6.3.2). Applying again
the technique of prolongation of algebraic identities, it suffices to check that these
equations hold for the additive group.
To check that E is a homomorphism for the additive group, it suffices to check
on the curve (t) = tn . We have
(
d1
X
dtn/d
d|n
n/d nj
Fd (t) =
t =
0
otherwise
j=0
(
n/d
dad tn/d
d|n
[ad ]Fd (t) =
0 otherwise
(
n/d
dad tn
d|n
Vd [ad ]Fd (t) =
0 otherwise

46

ANDO

So
But w(n)

(E(a))(t) = w(n) (a)tn .


is a ring homomorphism, so
E(a + b)(t) = w(n) (a + b)tn
W

= (w(n) (a) + w(n) (b))tn


= (E(a) + E(b))(t), and
E(a b)(t) = w(n) (a b)tn

= (w(n) (a) w(n) (b))tn


= (E(a) E(b))(t).

Recall (Remark 5.3.6) that r : R WR is the assignment
r(a) = (a, 0, 0, . . . ).
In terms of ghost components, r is given by
rw (a) = (a, a2 , a3 , . . . );
it follows that r is multiplicative, but not additive. For n 1 let
rn (x, y) Z[x, y]
be the polynomial such that
r(a) + r(b) = (r1 (a, b), r2 (a, b), r3 (a, b), . . . )
W

Corollary 6.4.4. For a and b in R, the homotheties [a], [b], and [a + b] in End[CR ]
are related by the formula

X
[a + b] =
Vn [rn (a, b)]Fn
n=1

= [a] + [b] +

(6.4.5)
Vn [rn (a, b)]Fn .

n=2


6.5. p-typical curves over a Z(p) -algebra. From now on, we suppose that our
formal groups are formal groups over Z(p) -algebras. The curves functor has even
more structure over a Z(p) algebra, because of the isomorphism (5.4.13)
Y
WZ(p)
(Wp )Z(p) .
=
(n,p)=1

In view of Dieudonnes Theorem (6.3.1), there is an isomorphism


Y
p , G]
CG
FGps[W
=
(n,p)=1

when G is a formal group law over a Z(p) -algebra. Thus the group C(G) of curves
in G is determined by the subgroup
p , G].
FGps[W

FORMAL GROUPS

47

Definition 6.5.1. A curve CG is p-typical if


Fn = 0
when n is not a power of p.
Proposition 6.5.2. The set of p-typical curves is a subgroup D(G) of C(G). It is
isomorphic to the group
p , G]
Hom[W
via the map
g 7 g0 ,
where 0 is the composite

1
1

p;
A
W
W

in particular the inclusion


DG CG

p of (5.4.10).
is represented by the projection W
W
Proof. It suffices to show that the homomorphism
g

W
G,
p if and only if is p-typical. In Dieudonnes
representing a curve , factors through W
theorem, we learned that g is actually given by the formula
X
g=
Fn n
n0

which indeed factors through the projection if and only if is p-typical.

def

By construction, the functor D has only iterates of F = Fp from among its


Frobenius operators: for (m, p) = 1, Fmpk = 0 by definition, and
Fpk = (Fp )k = F k .
By the relations among the endomorphisms, it is clear that homotheties preserve ptypical curves. So, it turns out, does the Verschiebung operator Vp : if is p-typical,
and k = mpj with (m, p) = 1 and m 6= 1 then
Fk Vp = Fpj Vp Fm = 0.
So in addition to homotheties, there are two operators, F and V , on D. We already
learned that in general, F V = p.
Proposition 6.5.3. We have p = 0 in R if and only if V F = p.
Proof. The point is, V F = p if and only if Vp Fp = p applied to the curve 1 (t) in
There we have
C(W).
Vp Fp 1 (t) = 1 tp xp
p
[p]W
(t) = (1 tx) .

These quantities are equal if and only if p = 0 in R.


Theorem 6.4.3 becomes

48

ANDO

Theorem 6.5.4. The group DG is a module over Wp R by


X
(a) 7
V n [an ]F n . 
n0

Notice that the operations F and V are not Wp R-linear. Instead we have
X
F (a) = F
V n [an ]F n
n0

V n [apn ]F n+1 .

n0

Recall (5.2.1) that if R is an Fp -algebra and (a0 , a1 , . . . ) Wp R, then


F (a0 , a1 , . . . ) = (ap0 , ap1 , . . . ).
So if R is an Fp -algebra then
F (a) = (a)F.
Similarly, if R is an Fp -algebra then
V ((a)) = (a)V.
Suppose that f : A B is a ring homomorphism. There are natural transformations
f

ModulesB  ModulesA
f

given as usual by
f N = N,
considered as an A-module via f ; and
def

f M = B M.
f,A

Of course f is the left adjoint of f : there is a natural isomorphism


ModulesB [f M, N ]
= ModulesA [M, f N ].
Thus if R is an Fp -algebra, then the operation F may be viewed as a homomorphism of Wp R-modules
F

DG
DG
or equivalently
F

DG
DG.
The Verschiebung may be viewed as a homomorphism of Wp R-modules
V

DG DG.
When R = k is a perfect field, it turns out that V may equivalently be viewed as
a homomorphism of Wp R-modules
V

DG DG.

FORMAL GROUPS

49

Lemma 6.5.5. If k is a perfect field, and M is a Wp k-module, then the assignment


m 7 1 m
is an isomorphism of groups M
= M . This isomorphism establishes an isomorphism
Hom[ M, M ]
= Hom[M, M ].
Proof. If k is perfect then is an isomorphism, so in M we have
1

b m = 1 b m;
this shows that M
= M as abelian groups.
In general if f : A B is an isomorphism, S is an A-module, and T is a Bmodule, then the adjunction maps
f f S S
T f f T
are isomorphisms. Applying this to A = Wp k = B, and f = , we have
Hom[ S, T ]
= Hom[ S, T ]

= Hom[ S, T ]

= Hom[S, T ].

6.6. The Dieudonn
e modules associated to formal groups are uniform
and reduced. Let M be an abelian group, and V : M M be a homomorphism.
Definition 6.6.1. M is reduced with respect to V if
M
= lim M/V r M.

It is uniform if
Vk

M/V M V k M/V k+1 M


is an isomorphism for k 1.
In this section we shall prove
Theorem 6.6.2. If G is a formal group over a Z(p) -algebra R, then the Wp Rmodule DG is uniform and reduced (with respect to the Verschiebung).
We shall prove this when G is finite-dimensional. The main point is the following.
Lemma 6.6.3 (Taylor series). If G is a d-dimensional formal group over a Z(p) algebra, and 1 , . . . , d is a system of p-typical parameter, then p-typical curves are
in 1-1 correspondence with curves of the form
d

(t) =

XG XG
n0

j=1

(V n [aj,n ]j )(t).

50

ANDO

Remark 6.6.4. We could just as well written this curve using addition in DG:

XG
X
(V n [an ]0 )(t) =
V n [an ]0 (t).
n0

n0

Proof. For simplicity, let us treat the case d = 1. In terms of an isomorphism of


1 , a curve is by definition a sum of the form
formal varieties G
=A
X
(t) =
an tn .
n1

The first point is that one may replace the sum with a formal sum: if 1 is a
parameter, the reader may check that any curve may be written in a unique way
in the form

X
(t) =
Vm [am ]1 (t).
m0

Now suppose that 1 is a p-typical parameter. It remains to show that is p-typical


if and only if am = 0 for m not a power of p. The if part is easy: For m = rps with
(p, r) = 1 and r 6= 1, we find

X
X
Fm
Vpn [apn ]1 =
Fps Vpn [arpn ]Fr 1 = 0.
n0

n0

For the only if part, suppose that m = rps is the smallest number not a power of
p for which am 6= 0, so
=

k
X

Vpj [apj ]1 + Vm [am ]1 + higher terms.

j=0

Then
Fr (

k
X

Vpj [apj ]1 ) = Fr (Vm [am ]1 + higher terms)

j=0

= rVps [am ]1 + higher terms


6= 0.
But the p-typical curves are a group, so if

k
X

Vpj [apj ]1

j=0

isnt p-typical, neither is .

Corollary 6.6.5. A system i of p-typical parameters for G, considered as elements


of DG, determines a basis for DG/V DG. In particular, DG/V DG is canonically
isomorphic to the tangent space to G at the origin, Lie(G).

Remark 6.6.6. In particular, homotheties induce the structure of an R-module
on DG/V DG, as may be seen directly from Corollary 6.4.4.
Corollary 6.6.7. If G is a finite-dimensional formal group over a Z(p) algebra,
then the module DG of p-typical curves is reduced.


FORMAL GROUPS

51

Proposition 6.6.8. If G is a finite-dimensional formal group over a Z(p) algebra


R, then the module DG of p-typical curves is uniform.
Proof. Let 1 , . . . , d be a system of p-typical parameters. By the Taylor series
lemma, any element of
V r DG/V r+1 DG
can be represented by a curve of the form
= V r [a1 ]1 + + V r [ad ]d + V r+1 DG
with the ai determined by the element it represents, i.e. the map
V r DG/V r+1 DG Rd
X

V r [aj ]j + V r+1 DG 7 (a1 , . . . ad )

is an isomorphism. The proposition follows from the obvious commutativity of the


diagram
V r DG/V r+1 DG
'

Vk

V r+k DG/V r+k+1 DG

Rd .

'


Definition 6.6.9. Suppose that k is an perfect field of characteristic p. A Dieudonne
module over k is a Wp k-module M equipped with operators Frobenius, F , and
Verschiebung,V , which are Wp klinear maps
F

M
M
V

M M,
and which satisfy
F V = p = V F.
Moreover M is required to be uniform and reduced with respect to V . The module
DG of p-typical curves of a formal group G over R is the Dieudonne module of G.
The classification of formal groups via the Dieudonne module is given by the
following.
Theorem 6.6.10. Let k be a perfect field of characteristic p > 0. The functor D
induces an equivalence of categories
D

FGpsk
(Dieudonne modules over k)

The next two sections are devoted to the construction of an inverse to the functor
D. Before continuing, we ought to describe how the discussion fits into a much more
general situation; for more information the reader may consult [Haz78]. For any
Z(p) -algebra R, the p-typical curves functor D is a faithful functor
FGpsR AbGps .
One is led to study its endomorphisms, namely, homotheties, Frobenius, and Verschiebung, related by the formulae in Proposition 6.2.10 and Corollary 6.4.4. Let

52

ANDO

Cartp R to be the ring generated by symbols V , F , and [a] for a R, subject to


these relations. As above, one finds that there is an embedding Wp R Cartp R.
The definition of a Dieudonne module is essentially the same as the case of a
perfect field, but there is a slight wrinkle. Recall (Corollary 6.6.5) that if G is a
formal group over R, then DG/V DG is the tangent space Lie G: in particular it is
a free R-module. This structure is incorporated into the definition of a Dieudonne
module.
Lemma 6.6.11. If k is a perfect field, and M is a Dieudonne module over k in
the sense of Definition 6.6.9, then the action of Wp k on M induces on M/V M the
structure of a k-vector space. If M and a k, we use the notation [a] for the
class of r(a) in M/V M .
Proof. If k is a perfect field, then Wp k/p
= k. But if a = b+pc in Wp k, and M ,
then
a = (b + pc) = b + V F c.

In general, if R is a Z(p) -algebra, and M is a Cartp R-module, then there is still
an action of R on M/V M :
Lemma 6.6.12. If M is a Cartp R-module, then M/V M has the structure of an
R-module.
Proof. The relation (6.4.5) implies that
[a + b] = [a] + [b]
on M/V M .

If M/V M is to be the tangent space of a formal group over R, it had better be


a free R-module.
Definition 6.6.13. Let R be a Z(p) algebra. A Dieudonne module over R is a
Cartp (R)-module which is reduced in the sense that the natural map
M lim M/V k M

is an isomorphism; and uniform in the sense that


(i) M/V M is a free R-module
(ii) the map
Vk

M/V M V k M/V k+1 M


is an isomorphism for all k > 0.
We have already shown that D is a functor
FGpsR (Dieudonne modules over R).
In fact D is an equivalence of categories for R a Z(p) -algebra. Indeed the discussion
of the inverse functor given here makes sense essentially without change for an
Fp -algebra.

FORMAL GROUPS

53

However, when k is a perfect field the classification by the Dieudonne module is


particularly effective. For then, as we shall see in section 6.10, Dieudonne modules
have a relatively tractable structure.
6.7. The p-typical parameter lemma and the evaluation map. The following
results (Lemma 6.7.1 and Proposition 6.7.2) are used in section 6.8.
Lemma 6.7.1 (p-typical parameter lemma). Let R be a Z(p) algebra. A formal
group G over R admits a system of parameters
1 ...n
1 . . . A
1
n
G
A
=A

such that
(i) each i is p-typical;
XG
i i
(ii) idG =
Proof. Recall that in section 5.4 we constructed a section s making the diagram
s

Wp

wy

w
y

AN w AN
s

commute, with sw given by the formula


sw (c0 , c1 , c2 , . . .) = (c0 , 0, . . . , 0, c1 , 0, . . . , 0, c2 , . . .).
p

p2

Let

1 ...n
n
A
G
be any system of parameters for G. Each i determines a homomorphism
P

Fr i r

W
G.

Let i be the p-typical parameter given by


i
1
A

0 y

G
x
P
Fr i r

p W,

W
s

and in terms of these parameters define the map to be

n
A
G
XG
(x1 , . . . , xn ) 7
i (xi ).

We must show that is invertible; it suffices to show that


1 , . . . , xn ) + o(2).
(x1 , . . . , xn ) = (x
By construction, then, it suffices to show that
i (t) = i (t) + o(2).

54

ANDO

The universal case is


= 1 (t) = (t, 0, 0, . . .) C W

(t)
for which the corresponding map

W
W
is the identity. To compute in that case, attach the definition of the section s to
the construction just described:
1
A

p
W

wp

(t, 0, . . .)

sw

exp(

X tpn xpn
pn

(t, 0, . . . , tp , . . .).

(t, tp , tp , . . .)

In the upper right corner the Witt vector has been recorded as a power series using
Proposition 5.4.3. It is then easy to calculate that
 X pn pn 
t x
(t) = exp
pn
= 1 tx + o(t2 )
+ o(t2 ).
= (t)
Finally, these parameters also satisfy our second requirement: for any parameter
system,
g = (1 (g), . . . , n (g)),
and by construction we have
(1 (g), . . . , n (g)) =

XG

i (i (g)).


This lemma is very useful; as an illustration we give a first hints at how the
functor D determines the group. Recall that Dieudonnes theorem provides an
isomorphism
p , G].
D(G)
= Hom[W
It follows that there is an evaluation map
p D(G)
W
G.
Theorem 6.7.2. If G is a finite dimensional formal group over a Z(p) -algebra R,
then the evaluation map is onto.

FORMAL GROUPS

55

Proof. Let

n
A
G

be parameters provided by the p-typical parameter lemma, and suppose that


g = (a1 , . . . , an ) G(A).
Under the evaluation map, the element
n
X

p (A) CG
(ai , 0, . . . , 0) i W

i=1

goes to
XG

i (ai ) = g.


6.8. The functor from Dieudonn


e modules to formal groups. We describe
next a functor from Dieudonne modules to formal groups which is due to Cartier
(see [Car69]). Chapter 9 is devoted to an extension of this construction.
Fix a perfect field k. One way to motivate the construction is to observe (6.7.2)
that the evaluation map
p DG  G
W
is surjective. We also know that there are relations, namely that Frobenius on curves
corresponds to Verschiebung on the Witt formal group, and vice versa. Suppose
that M is a uniform, reduced Dieudonne module, and A is an adic k-algebra. Let
G(M )(A) be the abelian group
p (A) M
W
Wp k

def

G(M )(A) =

V a m = a Fm
Fa m = a V m

The first point is that this is, as claimed, an abelian group: we have
F : M M
V : M M
p W
p
F : W
p W
p.
V : W
If f : A B is a ring homomorphism, M is an A-module, and N is a B-module,
then
f N M N f M
A

n m 7 n 1 m
is an isomorphism of abelian groups. So F 1 and 1 V may be viewed as maps
of abelian groups
p (A) M
p (A) M W
p (A) M ;
W
=W
while V 1 and 1 F may be viewed as maps of abelian groups
W
p (A) M =
p (A) M W
p (A) M.
W

56

ANDO

Theorem 6.8.1. G(M ) is a formal group, and the functor


G

(Dieudonne modules)
FGpsk
is an inverse of D.
For simplicity we restrict attention to finite-dimensional formal groups, in other
words Dieudonne modules such that M/V M is finitely generated.
Lemma 6.8.2. Let M be a Dieudonne module over k, and let 1 , . . . , n be elements
of M which project to a k-basis of M/V M . The map of functors
s
n
A
G(M )

given by
s(a1 , . . . , an ) =

n
X

(ai , 0, 0, . . .) i

i=1

is an isomorphism.
Proof. Let A be an adic kalgebra with augmentation ideal I(A). Recall that on
Witt vectors, Verschiebung is given by
V (a0 , a1 , . . .) = (0, a0 , a1 , . . .),
p (A) as
so we can picture W
p (A) =
W

V n I(A).

n0

In this picture
p (A) M
W
= I(A) M.
V a m = a Fm
Now A is an adic k-algebra; in particular it has characteristic p. On Witt vectors
in characteristic p, Frobenius is given by
F (a0 , a1 , . . .) = (ap0 , ap1 , . . .).
By definition, I(A) is nilpotent. It follows that the map
I(A) M
s
I(A)n
G(M )(A)
=
a V m = Fa m
X
(a1 , . . . , an ) 7
ai i
is an isomorphism.

Thus G(M ) is a formal group over k. Now suppose that G is a formal group over
k. The evaluation map
e
p DG
W
G
factors through G(DG).
Lemma 6.8.3. The natural map
G(DG)
G
induced by evaluation is an isomorphism.

FORMAL GROUPS

57

Proof. Let = (1 , . . . , n ) be a choice of p-typical parameters for G as provided


by Lemma 6.7.1, determining an isomorphism

An
G.

By the Taylor series lemma, in particular Corollary 6.6.5, the elements 1 , . . . , n


of DG satisfy the hypotheses of Lemma 6.8.2. By construction of the map s, the
diagram
n
A

s
'

'

G(DG)

commutes.

It remains to show that there is a natural isomorphism


M
D(G(M )).
By construction, there is a map
pM
W
G(M )
whose adjoint is a map of Dieudonne modules
p , G(M )] = D(G(M ))
M
FGps[W
which induces an isomorphism
M/V M
D(G(M ))/V (D(G(M ))).
The proof of the theorem is completed by the easy lemma.
Lemma 6.8.4. A map
f

M
N
of uniform reduced Dieudonne modules is an isomorphism if and only if it induces
an isomorphism
f

M/V M
N/V N.
Proof. If
f

M/V M
N/V N
is an isomorphism, then by uniformity, the middle arrow of the diagram
V k M/V k+1 M M/V k+1 M M/V k M

=y
y
y=
V k N/V k+1 N N/V k+1 N N/V k N
f

of short exact sequences is an isomorphism for all k. Then M


N is an isomorphism by reducedness.

6.9. Example: the multiplicative group and the additive group.

58

ANDO

The multiplicative group. For an adic algebra A, the multiplicative group is

Gm (A) = (1 + I(A)) .

With respect to the parameter

1
A
Gm

a 7 1 a

we get

(s) + (t) = (1 s)(1 t)


Gm

= (s + t st).

Then, letting denote a primitive nth root of unity and using (6.2.3),

Fn (t) =

n1
Y

(1 i t n ) = (t).

i=0

So is represented by the homomorphism g() =


the diagram

Fn n which is computed in

g()

Gm

'

PS

Y
n1

p(x) =

Y
n1

(1 an xn )

(1 an ) = p(1)

FORMAL GROUPS

59

Now isnt a p-typical curve, so we follow the standard procedure (see Proposition 5.4.12) to produce one:
1
A

0 y

p
W

wy

m
G
x
g()

w
y

sw

h P pn i
t
exp
pn
x
p(1)

h P pn pn i
t x
(t, 0, . . .) exp
pn

(t, tp , . . .)

(t, . . . , tp , . . .)
p

So the Artin-Hasse exponential, which we already determined (5.4.14) has integral


coefficients over a Z(p) -algebra, is a p-typical parameter for the multiplicative formal
group! Let denote this parameter.
Proposition 6.9.1. F =
Proof. Because s and g() are homomorphisms, the diagram
p s
W
x

F 0

g()
y

1 Gm
A
F

commutes. Since
F 0 (t) = (0, t, 0, . . .),
we find that
t

F
y 0
(0, t, . . .)


P
exp n1
F

n1

ptp
pn


= (t).

(0, pt, ptp , . . .)


P
exp n1

n1

ptp

xp

pn

(0, . . . , pt, . . . , ptp , . . .)


p

p2

60

ANDO

Since
V = V F = p
,

we have computed the Dieudonne module for Gm :


Corollary 6.9.2. Let R be a Z(p) algebra. The Dieudonne module for Gm is free
of rank 1 over Wp R, generated by the curve , with F and V acting by
F =
V = p
.

a . The additive formal group is


The additive group G
a (A) = I(A)
G
with the usual addition; the identity serves as the parameter in this case; call it .
The Frobenius Fn vanishes on :
Fn (t) =

n1
X

t n j = 0

j=0

for any n > 1, so the identity parameter is p-typical for any p. is represented by
P

Fn n

W
Ga

(a1 , a2 , . . .) 7 a1 ,
and V is the curve
V (t) = tp .
So p-typical curves are in bijective correspondence with sums of the form
X
V n [an ].
Proposition 6.9.3. Let k be a field of characteristic p. The Dieudonne module of
the additive group is
Y
V n k;
n0

the Frobenius F acts trivially, and the Witt vectors act through the projection
Wp k
k.

6.10. Example: Dieudonn
e modules over perfect fields. We have seen that
the Dieudonne module of the multiplicative group is free of rank one over Wp k,
while the additive group had infinite rank. If k is a perfect field, then finiteness
over Wp k happens often. It is in this situation that the Dieudonne module affords
a particularly nice classification of formal groups: Dieudonne modules over perfect
fields are essentially finite free modules over Wk, a discrete valuation ring.
We treat primarily the case of one-dimensional formal groups, that is, Dieudonne
modules for which M/V M is a has rank 1 as a k-vector space (see Lemma 6.6.11).
Proposition 6.10.1. Let M be a Dieudonne module over a perfect field k of characteristic p > 0, and suppose that M/V M has rank 1 over k. Then either
(i) there is a non-zero element M such that p = 0, in which case M
=
DGa (G(M ) has infinite height), or

FORMAL GROUPS

61

(ii) M is free of finite rank over the ring Wp k (in which case the rank h is the
height of the formal group G(M )).
Proof. First, suppose that theres a non-zero element with p = 0. Then since
M is uniform, V is injective. If
= V 0
then we have
V p 0 = 0,
so we can suppose that 6= 0 as an element of M/V M , so it generates M/V M .
Moreover
V F = p = 0,
so
F = 0.
Since M is uniform and reduced, any element can be written in a unique way as
X
=
V n [an ],
n0

and
F = [ap0 ]F +

V n1 [an ]p = 0.

n1

a.
This is exactly the description we just gave of DG
Alternatively, suppose that M is p-torsion free; let be a generator of M/V M .
As M is uniform and reduced, there is an h > 0 such that
p = V h [ah ]

(mod V h+1 M )

with [ah ] 6= 0. Define a homomorphism of Wp -modules


g

Whp
M
ei 7 V i1

1 i h.

Then g is an isomorphism modulo p. We shall show that g induces a surjection


h
W
M/V n M
for all n. By reducedness, it will follow that g is surjective. Since M is torsion free,
Nakayamas lemma implies that g is an isomorphism.
By the inductive assumption, the slanted arrow in
h
W

M/V n+1 M

M/V n M
is surjective, so it suffices to show that
V n [cn ] M/V n+1 M
is in the image of g. Define s, r by
n = s h + r, 0 r < h,

62

ANDO

and b by
n

(s1)h

bp ahp

+p(s2)h +...+ph +1

= cn

(here we use the fact that k is perfect). Then considering g as a map to M/V n+1 M ,
we have
bps er+1 7 bps V r
(s1)h

= bV r+sh [ahp
n

(s1)h

= V n [bp ahp

+p(s2)h +...+ph +1
(s2)h

+p

+...+p +1

= V [cn ].

By a similar method as the proof of Proposition 6.10.1, one can prove the following analogue for higher dimensions. Let M be a Dieudonne module over a perfect
field k, such that M/V M has finite rank d as a k-vector space.
Proposition 6.10.2. M/pM has finite rank over k if and only if there are integers
1 h1 h2 hd and elements 1 , . . . , d of M such that
(i) The i project to a basis of M/V M .
(ii) The submodule pM is the group of elements of the form
d X

V hj +i [aij ]j .

j=1 i=0

In that case M is a finite free module over Wk, on the basis V i j for 1 j d
and 0 i hj 1.
Proof. See [Haz78, section 28.2].

The elements j in Proposition 6.10.2 gives rise to coordinates xj on the group


G = G(M ). Proposition 6.10.2 may be phrased in terms of the formal group as
follows.
Proposition 6.10.3. Let G be a formal group of finite dimension d over a perfect
field k. Then DG is a finite free module over Wp k if and only if there are coordinates
x1 , . . . , xd on G and integers 1 h1 hd such that
h

p 1
p d
k[[G]]/p IG
= k[[x1 , . . . , xd ]]/(x1 , . . . , xd ).

In that case one has


rankWk DG = h1 + + hd = logp rankk k[[G]]/p IG .
Proof. The Taylor series lemma 6.6.3 shows that k[[G]]/p IG is of the specified form
if and only if pDG is of the form given in Proposition 6.10.2.

Definition 6.10.4. A formal group of finite dimension d over a perfect field k
of characteristic p > 0 is called p-divisible if it satisfies either of the equivalent
conditions of Proposition 6.10.3. In that case the height of G is the rank of DG.

FORMAL GROUPS

63

6.11. Example: a Dieudonn


e module of each finite height. Now well describe a Dieudonne module of height h for each finite positive h, corresponding to
a one-dimensional formal group of height h.
According to the proof of the previous proposition, a good basis for a Dieudonne
module of height h is the set of vectors
, V , . . . V h1 ,
where is a p-typical parameter. Then for i 1 we have
F V i = pV i1 ,
so the remaining indeterminacy is F , and we choose
F = V h1 .
Then
V h = V V h1 = V F = p,
and F and V are given by the matrices

0 0 ... 0 p
1 0 . . . 0 0

V =
0 1 . . . . . . . . . ;
. . . . . . . . . . . . . . . .
0 0 ... 1 0

0 p 0 ... 0
0 0 p . . . 0

0 0 0 . . . . . .
.

F =

. . . . . . . . . . . . . . . .
0 . . . . . . . . . p
1 0 0 ... 0
Be warned that F and V arent W-linear! If with respect to this basis an element
of u M is written
h1
X
u=
ai V i ,
i=0

then

(a0 )
0 p 0 ... 0
0 0 p . . . 0 (a1 )

0 0 0 . . . . . .
.

Fu =

.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.

0 . . . . . . . . . p
.
1 0 0 ... 0
(ah1 )

Formal groups of the same height are isomorphic over Fp .


Theorem 6.11.1. Over the algebraic closure Fp , any two one-dimensional formal
groups of the same height are isomorphic.
Proof. Suppose that G has height h. Well construct a parameter on on G with
respect to which the Dieudonne module is the one given above.

64

ANDO

Suppose that is a parameter such that


F = V h1 + [a]V n + o(V n+1 ).
Then well solve for t in
h1

F ( + [tp

h1

]V n(h1) ) = V h1 ( + [tp

]V n(h1) ) + o(n + 1).

We get
h

V h1 + [a]V n + [tp ]V n(h1) (V h1 + [a]V n )


V h1 [t]V n = o(n + 1)
and by collecting terms
h

([tp t + a])V n = o(n + 1).


And this polynomial can be solved over Fp .

6.12. Endomorphisms. We outline an approach to listing all the formal groups


over a finite field.
We start with the formal group whose Dieudonne module M has a basis
, V , . . . , V h1 ,
with
F = V h1 ,
and
V h = p.
Let k be a finite field, and let 0 be a formal group law over k. By Theorem 6.11.1,
there is an isomorphism

0
,

over the algebraic closure k, which induces an isomorphism over k if and only if it
is invariant under Gal(k/k). More precisely, suppose that
g

k
k Gal(k/k).
Since g fixes k, we have
= g
0 = g 0 .
The requirement on is that the diagram
0

g 0

g
y
g

should commute.
Now for any g, the isomorphism f will determine an element
def

Ag = g 1 Aut .

FORMAL GROUPS

The diagram

65

h 0

g y

g h 0

g (h )y

g h

shows that
Agh = g Ah Ag ,
so
g 7 Ag
is a crossed homomorphism
A

Gal(k/k)
Aut .
Lemma 6.12.1. The groups and 0 are isomorphic over k if and only if A is of
the form
Ag = (g m)m1
for some m Aut .
Proof. and 0 are isomorphic over k if and only if there is an isomorphism : 0
such that
g 1 = 1 Aut .
Given , define m by the equation
= m.

It is easy to check that Ag = g m m1 . The process is clearly reversible.

We have shown
Proposition 6.12.2. There is an isomorphism of sets


Formal groups of height h

= H 1 (Gal(k/k), Aut ).
over k

This result is intended mostly as motivation for studying this action of Gal(k/k)
on Aut = Aut M . Since M is free of rank h over Wk, with basis , V , . . . , any
automorphism B is determined by its value on . This can be almost anything, but
not quite: in order to be an element of End M , it has to commute with V h = p.
Writing
1

(h1)

B = a0 + a
V + . . . + ah1
1

V h1

= a0 + V a1 + . . . + V h1 ah1 ,
the constraint becomes
V h B = V h a0 + V h+1 a1 + . . . + V 2h1 ah1
= BV h
= a0 V h + V a1 V h + . . . + V h1 ah1 V h .
So the constraint requires that
V h ai = ai V h .

66

ANDO

We also have
aV = V a ,
so the ai must satisfy
h

a
i = ai ,
in other words
ai Wk WFph .
Then any endomorphism B of M can be represented as a matrix of the form

a0
pah1
.
pa1
1
1

1
a
. pa

a1
0
2
(6.12.3)
B=
Mh (Wk WFph ),
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(h1)

a
h1

(h1)

a
h2

a0

(h1)

and the automorphisms are the invertible matrices. We obtain the same relations
by requiring that that
BF = F B .
Proposition 6.12.4. Let k be a perfect field of characteristic p. The ring of endomorphisms of over k has a faithful representation

Endk []
Mh (Wk WFph )
whose image is the matrices B of the form (6.12.3) above. There is a norm map
N

Endk [] Zp
such that the diagram
Endk []

Zp

Mh (Wp k Wp Fph )

det

Wp k Wp Fpn

commutes.

Corollary 6.12.5. The group Autk [] of automorphisms of over k is the subgroup


of endomorphisms B with N(B) Z

p.
For example, in the case h = 2, Aut consists of invertible matrices of the form


a
pb
.
1
1 .
b
a
7. Lubin and Tates deformation theory
The classification studied in chapter 6 works particularly well when the base is
a (perfect) field of characteristic p, geometrically, a single point. In deformation
theory one starts with an object given over a point, and classifies the extensions of
the object over infinitesimal neighborhoods of the point.

FORMAL GROUPS

67

7.1. Various formulations of the problem. Let us start with an arbitrary but
fixed one-dimensional formal group of finite height n over a perfect field k of
characteristic p > 0. If R is a complete local ring with residue field k, then a lift of
to R is a pair (F, d), where F is a formal group over R, and d is an isomorphism
d

kF
.

A ?isomorphism between two lifts (F, d) and (F 0 , d0 ) of to R is an isomorphism


of formal groups
f

F
F0

over R, such that the diagram


kf

kF

k F0
d0

commutes. Let Lifts denote the moduli problem


(Noetherian complete local rings with residue field k)
(sets)
given by
def

Lifts (R) =

?-isomorphism classes of
lifts of to R

Theorem 7.1.1 ([LT66]). There is a lift (G, e) of to a ring En (non-canonically


isomorphic to Wp [[u1 , . . . , un1 ]]), which represents the functor Lifts . Specifically,
to each
(F, d) Lifts(R)
there is a unique homomorphism
Homcts [En , R]
such that there exists a ?-isomorphism
f

F
G.
Moreover the ?-isomorphism f is unique.
Remark 7.1.2. Lubin and Tates work doesnt depend on the perfection of the
field k. But if k is perfect, then Wp k is initial among complete local rings with
residue field k.
In section 11 it will be helpful to rephrase this discussion in the language of
schemes. Let k denote either the perfect field or its spectrum. Suppose R is a
complete Noetherian local ring with residue field k; its formal spectrum comes with
a point
k
Spf R.
A formal group F over R is a formal group scheme F
Spf R over R, which is
1 = Spf R[[x]] as a formal scheme.
non-canonically isomorphic to A
R

68

ANDO

Now let
k be a formal group over k. A lift of to R is a pair (F, d), where
F
S is a formal group over S = Spf R, and d is an isomorphism
kF

Spf R.

We shall use the notation (F, d)/ Spf R to denote a lift. Two lifts (F, d) and (F 0 , d0 )
are ?-isomorphic if the triangle
k F0

kf

kF
S

S
d0

commutes.
def

Now let Xn = Spf En . Theorem 7.1.1 says that there is a lift (G, e)
Xn such
that if (F, d)/S is any lift, then there is a unique classifying map

S
Xn
such that (G, e) pulls back to a formal group ?-isomorphic to (F, d) : there is a
diagram
F

Xn

with c making the triangle


kc

kF
S

k G
S

commute.
One may also phrase the problem in terms of formal group laws. If
(x, y) k[[x, y]]
is a formal group law, then a lift of to R is a formal group law F (x, y) over R,
such that
k F = .
If F and F 0 are two lifts, then a ?isomorphism from F to F 0 is an isomorphism of
formal group laws
f

F
F0

such that k f (x) = x. Lubin and Tates theorem in this form is as follows.

FORMAL GROUPS

69

Theorem 7.1.3. There is a lift of the group law to a group law G over En , such
that for each lift F of to a Noetherian complete local ring R with residue field k
there is a unique homomorphism
Homcts [En , R]
such that G is ?isomorphic to F . Moreover the ?-isomorphism is unique.
7.2. The action of the automorphism group. The uniqueness in Theorem
7.1.1 shows that the lift (G, e) over Xn is determined up to unique isomorphism: if
(G0 , e0 ) over Xn0 is another universal lift, then there are unique maps

Xn0
Xn
0

Xn Xn
and ?isomorphisms
f

(G0 , e0 )
(G, e)
f0

(G, e) (G0 , e0 ).
The uniqueness guarantees that
0 = idXn
0 = idXn0
and that the composite
f0

G G0 G = G
is just idG , and similarly for G0 .
A related observation is Lifts takes values in sets with an action of the automorphism group Aut : if F
S is a formal group with an isomorphism
d

kF
,

and g Aut , then


d

kF

is another isomorphism, and


def

(F, d)g = (F, gd) = (F, g d)


is another lift.
It follows that Aut acts on Xn : let (G, e)
Xn be a universal lift, and let
g Aut . By Theorem 7.1.1, there is a unique g Aut Xn such that there is a
?-isomorphism g making the diagram
(G, ge)

g
'

g (G, e)

Xn

(G, e)

Xn

commute. The period map provides a context in which to study this action, by
translating the moduli problem Lifts into the language of crystals.

70

ANDO

7.3. Deformations and cohomology. Before proving Lubin and Tates theorem,
we shall examine the following simpler situation, which captures the essential features of the situation.
Suppose given an extension of rings
M R  R0 ,
where M is a square-zero ideal of R. Suppose in addition that k is a quotient of
R0 , and that the R-module structure on M factors through k.
Suppose given a formal group law over k, and two deformations A and B of
to R, which coincide over R0 .
Then we have
B(x, y) = A(x, y) + h(x, y),
where h(x, y) M [[x, y]] R[[x, y]].
The commutativity and unit axioms require that h(x, y) = h(y, x) and h(0, y) =
0 = h(x, 0). One side of the equation for the associativity axiom is
B(B(x, y), z) = B(A(x, y) + h(x, y), z)
= A(A(x, y) + h(x, y), z) + h(A(x, y) + h(x, y), z)

(7.3.1)

= (x + y + z) + 1 (x + y, z)h(x, y) + h(x + y, z),


A

where in the last equation the notation 1 indicates the derivative


def

1 (x, y) =

(x, y)
;
x

and we used Taylor series and the fact that M is a k-vector space with M 2 = 0.
Associativity should be expressed as a cocycle condition for h, the terms involving
h above are
1 (x + y, z)h(x, y) + h(x + y, z).

To handle the pesky 1 term, note that


1 (0, x) = 1 + higher terms
has a multiplicative inverse, and that the associativity law for implies the equation
(see the proof of Proposition 3.2.8)
1 (0, x + y) = 1 (x, y)1 (0, x)

Then define g(x, y) by the equation


h(x, y) = 1 (0, x + y)g(x, y).

(7.3.2)

FORMAL GROUPS

71

Equation (7.3.1) becomes


B(B(x, y), z) =(x + y + z)+
A

1 (x + y, z)1 (0, x + y)g(x, y)+

1 (0, x + y + z)g(x + y, z)

=(x + y + z)+
A

1 (0, x + y + z)(g(x, y) + g(x + y, z)).

Similarly one has


B(x, B(y, z)) =(x + y + z)+
A

1 (0, x + y + z)(g(y, z) + g(x, y + z))


A

Let Z 2 (, M ) be the set of power series g in M [[x, y]] R[[x, y]] in two variables
which satisfy
g(x, 0) = 0 = g(0, y)
g(x, y) = g(y, x)
g(y, z) + g(x, y + z) = g(x + y, z) + g(x, y).

We have proved
Proposition 7.3.3. The rule
g(x, y) 7 A(x, y) + 1 (0, x + y)g(x, y)

is a bijection between the set Z 2 (, M ) and the set of formal group laws over R
which coincide with A over R0 .

Let us say that B is ?isomorphic to A if there is an isomorphism of formal
group laws

A
B
over R, with (x) = x in R0 . In other words, there is a power series f (x) M [[x]]
such that if
(x) = x + 1 (0, x)f (x)
then
B((x), (y)) = (A(x, y)).

72

ANDO

The left side of this equation is


B((x), (y)) = A(x + 1 (0, x)f (x), y + 1 (0, y)f (y))+
: 1 (0, x + y)g(x, y)

= x + y+
A

: 1 (x, y)(1 (0, x)f (x), 1 (0, y)f (y))+


: 1 (0, x + y)g(x, y)

= x + y+
A

: 1 (0, x + y)(f (x) + f (y) + g(x, y));

while the right side is


(x + y) = x + y + f (x + y)1 (0, x + y).
A

In other words, intertwines G and if and only if


g(x, y) = f (x + y) f (x) f (y).

(7.3.4)

Let B 2 (; M ) Z 2 (; M ) be the set of power series of the form (7.3.4) for some
f M [[x]].
Proposition 7.3.5. The formal group law
B(x, y) = A(x, y) + g(x, y)1 (0, x + y)

is ?isomorphic to A if and only if g B 2 (; M ).

It is also important to know the automorphisms of the group law A which reduce
to the identity over R0 . Letting B = A, that is g(x, y) = 0, in equation (7.3.4)
shows that
Proposition 7.3.6. A power series
(x) = x + f (x)1 (0, x),
with f (x) M [[x]], is an automorphism of A if and only if
f (x) + f (y) = f (x + y),

i.e. if and only if f is a homomorphism from to the additive group over kM .

Finally, suppose that g Z 2 (; M ). If R is an adic kalgebra, Let Eg (R) be the


group with underlying set
Eg (R) = (R) (M I(R))
k

and group law


(a, m ) + (b, n ) = (a + b, m + n + g(a, b)).
Eg

It is easy to see that Eg is a formal group, and in fact that it is an extension of


formal groups
M Ga Eg .
This gives another interpretation of H 2 .

FORMAL GROUPS

73

Proposition 7.3.7.
H 2 (; M )
= Ext[, M Ga ].

7.4. Calculation of H 2 (; k). Now suppose that k is a field of characteristic p > 0,
and a formal group of height n over k. The results of the preceding section
demonstrate the importance of calculating FGps[, Ga ] and
def

H 2 (; k) = Z 2 (; k)/B 2 (; k)
in order to understand the deformation theory of .
Proposition 7.4.1.
FGps[, Ga ] = 0.
Proof. A homomorphism f : Ga is equivalent to a map
g

D
DGa
of Dieudonne modules. It clearly suffices to show that g = 0 when D is the
Dieudonne module of height n described in section 6.9: it has basis , V , . . . , V n1 ,
and V n = p.
One has
But V

V n g() = g(V n ) = g(p) = pg() = 0.


is injective, so g() = 0, and it follows that g = 0.

Put another way, one has


n

0 = pf (x) = f ([p] (x)) = f (xp + o(pn + 1)),


from which it follows that f = 0.

Lemma 7.4.2. If is a one-dimensional formal group of height n over k, then


there is a coordinate on in terms of which the group law is given by the formula
x + y = x + y + ucpn (x, y) + o(pn + 1),

where u is a unit of k.
Proof. Let be a p-typical parameter on , so that in D(), one has
p = V n [a] + V n+1 D()
with a 6= 0 (this is the definition of height; see Proposition 6.10.1).
By the symmetric two-cocycle lemma 4.3.5, there is some r 2 such that
(s) + (t) = (s + t + (unit)cr (x, y)) + o(k + 1).

Using the formula for cr , it is easy to check that


p (t) = ((unit)tr ) + o(r + 1)
= (Vr [(unit)] + o(r + 1))(t).
n

It follows that r = p .

Lemma 7.4.3. Let W be a local ring with residue field k. There is a group law G
over W [[u1 , . . . , un1 ]] such that

74

ANDO

(i) k G(x, y) = (x, y).


(ii) For 1 i n 1,
G(x, y) x + y + ui cpi (x, y) + o(pi + 1)

mod u1 , . . . , ui1 .

Proof. The proof is by induction on degree. Start with


G0 (x, y) = x + y,
and suppose that Gr1 is an (r 1)bud over A[[u1 , . . . , un1 ]] such that
(i) k Gr1 (x, y) = (x, y) + o(r)
(ii) For 1 i n 1,
Gr1 (x, y) x + y + ui cpi (x, y) + o(min(r, pi + 1))

mod u1 , . . . , ui1

G0r

Let
be an extension of Gr1 to an rbud (These exist by Corollary 4.1.4).
According to the symmetric cocycle lemma 4.3.5, the set of all extensions is precisely
the set
G0r + acr (x, y)
for a A.
If r > pn1 , then
k G0r (x, y) (x, y) + bcr (x, y) + o(r + 1)
for some b k, so set
Gr (x, y) = G0r (x, y) acr (x, y),
where a is a lift of b from k to A.
If pj1 < r pj for j h 1 then there is an a A such that
G0r (x, y) x + y + acr (x, y) + o(r + 1)

mod u1 , . . . , uj1 .

If r 6= p , set
Gr (x, y) = G0r (x, y) acr (x, y).
If r = pj then set
Gr (x, y) = G0r (x, y) + (uj a)cr (x, y).
One then has an rbud Gr satisfying
(i) k Gr (x, y) = (x, y) + o(r + 1)
(ii) For 1 i n 1,
Gr (x, y) x + y + ui cpi (x, y) + o(min(r + 1, pi + 1))
Inductively, one obtains a G of the desired form.

mod u1 , . . . , ui1 .


In particular, one may take W = Wp k in Lemma 7.4.3, and obtain a group law
G over En . Let k(ui ) be the ring
k(ui ) = k[ui ]/u2i ,

FORMAL GROUPS

75

and consider the group law


G(ui ) = k(ui ) G.
En

It is of the form
G(ui )
(x, y)
ui
= x + y + ui cpi (x, y) + o(pi + 1).

G(ui )(x, y) = (x, y) + ui

Comparing with Proposition 7.3.3 yields the following.


Corollary 7.4.4. The power series
1 (0, x + y)1

G(ui )
(x, y)
ui

is an element of Z 2 (; k) of the form


cpi (x, y) + o(pi + 1).

Proposition 7.4.5. The cohomology group H 2 (; k) is the k-vector space of rank


n 1 generated by the cohomology classes of
G(ui )
(x, y)
1 (0, x + y)1
ui

for 1 i n 1.
Proof. The complex
k[[x]] k[[x, y]] k[[x, y, z]] . . .
whose cohomology we are calculating is the same as that for the proof of the symmetric two-cocycle lemma 4.3.5, with addition inside parentheses replaced everywhere by formal sums. We calculate the cohomology of the complex by filtering by
degree and using the associated spectral sequence.
The input at the E1 term is just H (Ga ; k), which was calculated in the course
of proving the symmetric two-cocycle lemma. We have
2

H 1 (Ga ; k) = khx, xp , xp , . . .i
H 2 (Ga ; k) = khcp , cp2 , . . .i.
r

The first non-vanishing differential on xp is obtained by examining the non-vanishing


term of lowest degree in
r
r
r
(x + y)p xp y p

which is
r

(x + y + (unit)cpn (x, y) + o(pn + 1))p xp y p

= (unit)cpn+r + o(pn+r + 1);


we have used the fact that
r

cpn (x, y)p = (unit)cpn+r (x, y)


which follows from the symmetric two-cocycle lemma.
So there are differentials

xp 7 (unit)cpn+r

76

ANDO

for r 0. This shows that there are at most n1 linearly independent two-cocycles;
that these must be of the form
cpi (x, y) + o(pi + 1);
and that if such a cocycle exists, it cannot be a coboundary. Corollary 7.4.4 shows
that these cocycles exist.

7.5. Proof of Lubin and Tates theorem. Choose a formal group law G over
En = Wp k[[u1 , . . . , un1 ]] as provided by Lemma 7.4.3, and let
vj (x, y) = 1 (0, x + y)1

G(ui )
(x, y)
ui

for 1 j n 1 be the resulting elements of Z 2 (; k).


Now return to the situation of section 7.3: suppose that R  R0 is a map of
complete local rings with residue field k; whose kernel is the square-zero ideal M .
Suppose that M is a finite-dimensional k-vector space. Suppose that A and B
are two deformations of to R, which coincide over R0 . The following is an easy
application of the results of sections 7.3 and 7.4.
Proposition 7.5.1. There are unique elements m1 , . . . , mn M and f M [[x]]
such that

n
X
B(x, y) = A(x, y) + 1 (0, x + y) df (x, y) +
mj vj (x, y) .

j=1


The proof of Theorem 7.1.3 is now a matter of induction. Suppose that we have
shown that the conclusions of the theorem are satisfied for the ring R/I r1 with
formal group law
Fr1 = R/I r1 F,
and that
r1 : En R/I r1
and

gr1

Fr1 r1
G

are the data provided by the conclusion of the theorem. In particular this is trivially
the case when r = 2.
The short exact sequence
I r1 /I r , R/I r  R/I r1
exhibits R/I r as an extension of R/I r1 by a square-zero ideal M = I r1 /I r ,
which has canonically the structure of a kvector space, of finite rank because by
assumption R is Noetherian.
Let and h be any lifts of r1 and gr1 to R/I r . Let A and B be the group
laws
A(x, y) = G,
B(x, y) = Frh (x, y) = hFr (h1 (x), h1 (y)).

FORMAL GROUPS

77

These coincide over R/I r1 , so by Proposition 7.5.1, there are unique elements
mj M and f (x) in M [[x]] such that

n1
X
B(x, y) = A(x, y) + 1 (0, x + y) df (x, y) +
mj vj (x, y)

j=1

in R/I .
Now set
gr (x) = h(x) 1 (0, x)f (x)
1 j n 1.

r (uj ) = (uj ) + mj

It is easy to check that r and gr complete the inductive step, and that these are
the unique choices that do so.
8. Preliminary remarks about crystals
8.1. Calculus: 1-forms, connections, and curvature.
Vector fields and K
ahler differentials.
Definition 8.1.1. Let S be a ring, A an S-algebra; and M an A-module. Then
an S-derivation from A to M is a S-module map
d

A
M
such that
d(ab) = a db + db a.
The set of all S-derivations from A to M is an A-module, denoted DerS [A, M ].
Notice that since d is a S-module map, we have for s S
sda = d(sa) = sda + (da)s,
so
ds = 0.
So the elements of S are the constants.
It is easy to see that the functor
(Amodules) (Amodules)
M 7 DerS [A, M ]
is represented by the module of Kahler differentials of A over S
def free A module on symbols da
;
1A/S =
d(ab) = adb + bda; ds = 0
that is, there is a natural isomorphism
DerS [A, M ]
= (Amodules)[1 , M ].
A/S

We also define
def

nA/S = n 1A/S
and
def

nA/S M = nA/S M.
A

78

ANDO

The nA/S fit together into a complex


d

A
1A/S
2A/S

with d extended in the usual manner.


Another point of view is to think of the module AM as an A-algebra by setting
M 2 = 0, that is
(a, m)(b, n) = (ab, an + bm).
Proposition 8.1.2. An S-derivation d on M is equivalent to a lift f
AM
10

of the identity to an algebra map. The correspondence is


f (a) = (a, da).
Proof. An arbitrary map of S-modules f is a ring homomorphism iff the dotted
arrow exists in the diagram
I

AA
S

f f

(A M ) (A M )

AM
pr

A,
where I = Ker[A A
A]. The sought-after arrow
S

I
M
is to be a map of ideals, and since M 2 = 0, the map must factor through I/I 2 .
Thus the universal M with a lift f is
d0

A I/I 2
a 7 a 1 1 a.
The proposition follows from the following standard fact.

Lemma 8.1.3. The assignment


a 7 a 1 1 a
is an S-derivation of A into I/I 2 . The corresponding homomorphism
1A/S
I/I 2
da 7 a 1 1 a
is an isomorphism.

FORMAL GROUPS

79

For example,
Corollary 8.1.4. If A = S[u1 , . . . , un ] then 1A/S is the free A-module generated
by symbols du1 , . . . , dun .

Connections. Since 1A/S is the module of one-forms, the module
HomA [1A/S , A]
= DerS [A, A]
should be the vector fields. A connection on an A-module M is a means of
differentiating with respect to DerS [A, A].
Definition 8.1.5. A connection on M relative to S is a map
M
1A/S M
satisfying the Leibniz rule
f m = f m + df m
for f A and m M .
A connection induces maps
i

iA/S M i+1
A/S M

(8.1.6)
i

m 7 d m + (1) m.
Definition 8.1.7. The curvature K of the connection is the map
1

M 2A/S .
The connection is integrable if K = 0.
Suppose that
e =

i fi .

Then
Ke =

di fi fi .

Lemma 8.1.8. For iA/S and e M , we have


i+1 i ( e) = K(e).
Proof. Let e =

j fj . Then

i+1 i ( e) = i+1 (d e + (1)i

j fj )

X
j

((1)i+1 d j fj +
(1)i d j fj +
(1)2i dj fj +
(1)2i+1 j fj )

= K(e).


80

ANDO

Corollary 8.1.9. If is integrable, then the i provide a complex


1

M 1A/S M 2A/S M
....

HomA [1 , A], the derivative on M with
For a vector field D DerS [A, A] =
A/S
respect to D is the map D EndS [M ] defined by
M

1A/S M
S

D1

M
Lemma 8.1.10.
D (f m) = (Df )m + f (D m)
Proof.
D (f m) = (D 1)(f m)
= (D 1)(df m + f m)
= (Df )m + f (D m).

Now DerS [A, A] and EndS [M ] are both Lie algebras. The failure of

DerS [A, A] EndS [M ]


to be a map of Lie algebras is measured by the curvature:
Proposition 8.1.11. If D1 , D2 DerS [A, A] are derivations, then
[D1 , D2 ] [D1 ,D2 ] = D1 D2 K.
Proof. Exercise in figuring out what the symbols all mean.

Corollary 8.1.12. The connection is integrable if and only if the induced map

DerS [A, A] EndS [M ]


is a homomorphism of Lie algebras.

For example, if A = S[u1 , . . . , un ], then Der[A]


= Hom[1A/S , A] is the free
module on symbols /ui dual to the dui . The integrability of a connection on M
is then the requirement that the relation
[/ui , /uj ] = 0
hold for differentiation on M .
If M is an A-module with an integrable connection , and D DerS [A, A], then
we shall occasionally use the abbreviation Dm for D m.

FORMAL GROUPS

81

8.2. Connections and descent. Suppose that M is an A-module, and suppose


that
f

AB
B/J
g

are two maps which agree modulo an ideal J with J 2 = 0.


Proposition 8.2.1. A connection on M induces an isomorphism
(f,g)

f M
g M.

In fact, a connection is equivalent to descent data for this situation.


h

Remark 8.2.2. Descent data include the cocycle condition: if B


B 0 , then we
should have
(hf, hg) = h (f, g).
Proof. According to Proposition 8.1.2, the universal S-algebra with two maps from
A which agree modulo a square-zero ideal is A 1A/S , the two maps being
dL (x) = x + dx
dR (x) = x.
If M is an A module, and is a connection on M , then the isomorphism

dL M
dR M

is
(b m) = b m + b(m)
for b A 1A/S . To show that this is a map of A 1A/S -modules, we must show
that
(1 am) = (a m + da m)
for a A. The left side is
1 am + (am) = 1 am + da m + a(m)
= a m + da m + a(m).
The right side is
a m + a(m) + da m + da(m).
The two expressions are equal since (1A/S )2 = 0.
On the other hand, given

dL M
dR M,
define a connection by
(m) = (1 m) 1 m.


82

ANDO

8.3. Connections and descent II: divided powers. So a connection on an Amodule corresponds to descent data for first-order infinitesimal neighborhoods of
A. It is natural to ask what corresponds to formal descent data: given a module
M over A, what extra structure will assure that for any two maps
f

AB
g

which agree modulo a nilpotent ideal J B, there is a canonical isomorphism


(f,g)

f M g M,
with the same cocycle condition.
If S is a Q-algebra, such data amount to an integrable connection on M : the
denominators enable you to solve the equation for parallel transport, and so flow
from f to g (see the proof of Theorem (8.4.3) for an example). In characteristic
p the story is more complicated, but an integrable connection still corresponds to
formal descent data for maps
f

AB
g

which agree modulo an ideal J with divided powers. Thats exactly what a crystal
is.
A divided power ideal is an ideal J in which contains un /n! whenever it contains
u. A precise definition is as follows, where the element n (x) is xn /n!. Notice that
these are exactly the denominators one would need in order to have an exponential
map.
Definition 8.3.1. For non-negative integers j and k, let (j, k) denote the binomial
coefficient


def j + k
(j, k) =
.
j
If A is a ring and J is an ideal of A, a divided power structure on J is a collection
of maps (of sets)
i

J A, : i 0,
satisfying
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)

0 (x) = 1;
1 (x) = x;
i 1.
i (x) J forP
n
n (x + y) = i=0 i (x)ni (y);
j (x)k (x) = (j, k)j+k (x);
n (x) = n n (x) for A;

j (k (x)) =

(jk)!
jk (x).
j!(k!)j

FORMAL GROUPS

83

Example: the ideal (p) in a Z(p) algebra. First of all, notice that if R is torsion-free,
then any divided power structure is unique; determining whether an ideal J has
divided powers is a matter of determining whether the desired elements of R Q
are in fact contained in R.
Of particular interest to us will be
Proposition 8.3.2. If R is a Z(p) -algebra, then the ideal (p) has a canonical divided
power structure.
Proof. Suppose x = py; then the divided power structure on (p) comes from setting
n (x) =

xn
pn n
=
y .
n!
n!

(8.3.3)

We need to show that



p

pn
n!


1.

According to Lemma 4.3.1, we have


p (n!) =

1
(n p (n)),
p1

In particular, the right hand side is an integer, strictly less than n if n > 0. It
follows that p (pn /n!) 1 if n > 0.
It remains to show that the assignment (8.3.3) is well-defined. If x = py = pz,
then
n1
X
n (p)y n n (p)z n = n (p)(y z)
y j z nj1 ,
(8.3.4)
j=0
n

where we have written n (p) for the element p /n! of (p) Z(p) . In particular it is
a multiple of p, so the right hand side in (8.3.4) is zero.

Nilpotent divided power structures.
Definition 8.3.5. If is a divided power structure on an ideal J, then for n 1,
J [n] is the ideal generated by elements
i1 (x1 ) ik (xk )
with
ij n and xj J. The divided power structure is nilpotent if J [n] = 0 for
some n.
P

In particular, if the divided power structure on J is nilpotent, then J is a


nilpotent ideal. But a nilpotent ideal J may have divided power structure which
is not: for example, consider the divided power structure on the ideal (p) in Z/pm ,
coming from Proposition 8.3.2. We have
1
(n p (n))
p1
(p 2)n + p (n)
=
.
p1

p (pn /n! ) = n

It follows that this divided power structure is nilpotent if and only if p > 2.

84

ANDO

8.4. Connections and descent III: crystals. To see what a connection gives in
a situation with divided powers, it is convenient to formalize a little bit. Let S be a
ring on which (p) is a topologically nilpotent ideal with divided powers, and let A
be an S-algebra, on which again (p) is topologically nilpotent with divided powers.
We shall always take S to be either a perfect field k of characteristic p, or the Witt
vectors Wp k of k, and A to be k[[u1 , . . . , un1 ]] or Wp k[[u1 , . . . , un1 ]].
Let Crysnil (A/S) be the category whose objects are test situations or lifts
of A
S
B

(8.4.1)
y
y
A U 1 A = B/J,
consisting of an S-algebra B which maps to a localization of A, with kernel an ideal
J B, equipped with a nilpotent divided power structure, compatible with that
on (p) S (i.e. the divided power structures coincide on the ideal pB J). The
morphisms are commutative squares
B

U 1 A U

B0

y
0

with U U , such that the divided power structure on the ideals J and J 0 are
compatible. We shall abbreviate the test situation (8.4.1) as B U 1 A.
Definition 8.4.2. A module on Crysnil (A/S) is a family of modules MB for each
test situation B
U 1 A, together with maps
f

f MB MB 0
for all maps of test situations f , satisfying
(i) f is an isomorphism if f is a localization.
(ii) if
f

B
B1
B2
are maps of test situations, then
gf = g g f : g f MB
MB2 .
A crystal on Crysnil (A/S) is a module on Crysnil (A/S) which satisfies the crystal
axiom: all the f are isomorphisms.
Now let S = Wp k and let A = Wp k[[u1 , . . . , un1 ]].
Theorem 8.4.3. A crystal on Crysnil (A/S) is equivalent to an A-module M with
an integrable connection.
Remark 8.4.4. Theorem 8.4.3 applies to quite general base S and A is smooth
over S. The real work is to set up the calculus of differential operators over a
general base with divided powers. See [BO78].

FORMAL GROUPS

85

Sketch of proof. Since A A is a test situation, one has in any case an A-module
M.
Given a test situation B
U 1 A, wed like define MB by finding a choosing a
lift f in the diagram
B
f

U 1 A,

A
and then setting

MB = f M.
In our situation, lifts exist because A is a power series ring, and the ideal J is
nilpotent (in general, one builds a lift inductively over B/J r , using the fact that A
is smooth). There are many choices of lift f , though, and given two lifts f, g, we
need a canonical isomorphism
(f,g)

f M g M.
The good thing is that f and g coincide modulo a divided-power ideal. In this
highly simplified situation, theres a pro-universal case, namely
f

A = S[[u1 , . . . , un1 ]] B = Ahh1 , . . . , hn1 iN


g

a(u) 7 a(u)
a(u) 7 a(u + h) =
g

X I a(u) hI
.
uI
I!
I0

The notation Rhhi denotes the divided polynomial algebra over R generated by
h; when R is torsion free, it is the subring of (Q R)[h] generated by the elements hk /k!. A much more flexible construction, due to Roby [Rob63, Rob65], is
discussed in [BO78]. The notation RhhiN means Rhhi/(h)[N ] . The Is run over
I
multi-indices
Q (i1 , . . . , in ) with ij 0. The notation h /I! actually refers to the
element 1jn ij (hj ) of Rhhi.
Now suppose that is an integrable connection on M . We use the notation
I /uI
to refer both to a derivation in DerS [A, A] and to its image under the map

DerS [A, A] EndS [M ].


A map of B-modules

f M
g M
is just an additive map

g M
M
such that
(a(u)m) = a(u + h) (m),

86

ANDO

and the connection provides such a map. Let


X I m hI
.
(m) =
uI I!

(8.4.5)

I0

Then the Leibniz rule guarantees that


X I (a(u)m) hI
(a(u)m) =

uI
I!
I0

X X J a(u) K m
I!
hI

=
uJ
uK J!K! I!

(8.4.6)

I0 J+K=I

= a(u + h)(m).
Notice that the second two equations depend on the relation
[/ui , /uj ] = 0
not only in DerS [A0 , A0 ] but also in EndS [M ], where it follows from the integrability
of (8.1.11).
One recovers a connection from such a by means of Proposition 8.2.1, using
the map
B A 1A/S
hi 7 dui .
Clearly any such connection will be integrable.

An important technical point is that in equations (8.4.5) and (8.4.6), the sums
are finite, because hI /I! = 0 in B for |I| N . One might wish to study other
classes of test situation. In the succeeding sections we are primarily interested in
complete local S-algebras. If A is a complete local S-algebra, let Crys(A/S) be the
category of test situations
S

A U 1 A = B/J,
as above, but without requiring that the divided power structure on J be nilpotent. Instead require that B
= lim B/J n is complete and separated in the J-adic

topology. In Definition 8.4.2, interpret f MB as the completed tensor product.


In the argument of Theorem 8.4.3, the universal situation is
f

A = S[[u1 , . . . , un1 ]] Ahh1 , . . . , hn1 i


(p,u,h) .
g

In order for (8.4.5) to apply, one must have lim|I| I m/uI = 0. In that case
one says that the connection is (topologically) quasi-nilpotent.
Theorem 8.4.7 (Theorem 6.6 of [BO78]). A crystal on Crys(A/S) is equivalent
to an A-module M with a quasi-nilpotent integrable connection.

FORMAL GROUPS

87

8.5. Examples I.
A crystal over a finite field k is a Wp k-module.
Proposition 8.5.1. If k is a finite field, then a crystal over k is a module over
Wp k.
Proof. This illustrates Grothendiecks adage that crystals have two properties, they
are rigid, and they grow. First of all, by Proposition 8.3.2, the ideal (p) Wp k has
divided powers, as does (p) = (0) k, and they are compatible by construction so
Wp k
k
is a test situation. A crystal over k, then, determines a module M over Wp k
(and in fact, even a crystal over Wp k, which is why they grow). On the other
hand, notice that in this situation a test situation is a ring B on which (p) is
topologically nilpotent and B/p is a k-algebra, and these data determine a unique
lift in the diagram
Wp k

B/p

To see this, either observe that there are canonical maps


Wp k
Wp (B/p)
B,
or, equivalently, recall that the Teichm
uller construction gives a unique place to
send the (pn 1)st roots of 1
k
B
(compare Theorem 5.3.3) and so obtain the map
Zp ()
Wp k =
B.
So for any such B, define
MB = B M.
Wp k


Crystals over k[[u1 , . . . , un1 ]]. More generally, if A0 = k[[u1 , . . . , un1 ]] and A =
Wp k[[u1 , . . . , un1 ]], then by Proposition 8.3.2, A
A0 is a test situation, and so a
crystal on A0 determines an A-module MA . Indeed a crystal M on A0 determines
a crystal on A: given a test situation
B
f

U 1 A,

we choose a lift f , and define


MB = f MA .

88

ANDO

On the other hand, suppose M is a crystal on A. For any test situation


B0

y
A0 U 1 A0
in Crys(A0 /Wp k), there is a lift
f

A0

B0

U 1 A0 ,

and setting
MB0 = f MA

(8.5.2)

determines a crystal on A0 . This is a sketch of


Theorem 8.5.3 (Theorem 6.7, [BO78]). The natural restriction (8.5.2) induces
an equivalence of categories
{Crystals on A/Wp k}
{Crystals on A0 /Wp k}.

Combining with Theorem 8.4.3, we have


Corollary 8.5.4 (Theorem 6.8,[BO78]). There is an equivalence of categories


A-modules with integrable
{Crystals on A0 /Wp k}. 

quasi-nilpotent connection
8.6. Examples II: de Rham cohomology. A fundamental example of a crystal
arises in the following situation. If V is a formal variety over A, and A in turn
k
is smooth over a ring R, then de Rham cohomology HDR
(V /A) has an integrable
connection, called the Gauss-Manin connection, and so by Theorem 8.4.3 it defines
a crystal over A. If A = Wp k[[u1 , . . . , un1 ]] and A0 = k[[u1 , . . . , un1 ]], then we get
by restriction a crystal on A0 (8.5.3).
The example of interest to us is that G0 is a formal group over A0 , and G is lift
of G0 to a formal group over A. In that case, the de Rham cohomology of G is a
coalgebra over A. The naturality of the Gauss-Manin connection guarantees that
1
this connection induces an integrable connection on the primitives in HDR
(G/A).
Indeed it turns out that if V0 is a formal variety over A0 , then the de Rham
1
cohomology HDR
(V /A) of a lift V of V0 to A is independent of V , up to canonical
isomorphism. Thus there is a contravariant functor
{Formal groups over A0 }
{Crystals over A0 }
1
G0 7 P HDR
(G/A), G a lift of G0 .

In 10.4, we shall see that it sends G0 to the dual of the Dieudonne crystal we define
in section 10.2.

FORMAL GROUPS

89

The Gauss-Manin connection. The discussion here of the Gauss-Manin connection


follows [KO68].
Let
R
A
B
be maps of rings, each smooth over the one before. The Gauss-Manin connection
is an integrable connection

k
k
HDR
(B/A) 1A/R HDR
(B/A)
A

on the A-module

k
HDR
(B/A).

It can be constructed as follows.

There is a decreasing filtration of the de Rham complex A/R of R, namely


Fp B/R = Im[pA/R p
B/R ].
B/R
A

Since each of the rings is smooth over the one before, there is a short exact sequence
of K
ahler differentials
0
1A/R B
1B/R
1B/A
0,
A

which shows that the associated graded of the filtration is


p
p
(Fp /Fp+1 )
= A/R B/A .
A

Taking cohomology yields the exact couple

H (Fp1
)

H (Fp )

H (Fp+1
)

+1

+1

H (Fp1 /Fp )

H (Fp /Fp+1 ) H (Fp+1 /Fp+2 ),

which gives a Leray spectral sequence with


p+q
H p+q (Fp /Fp+1 ) = E1p,q HDR
(B/R).

The differential dr maps Erp,q


Erp+r,qr+1 . Were only really interested in d1 ; we
can calculate the E1 term more explicitly as
E1p,q = H p+q (Fp /Fp+1 )
p

p )
= H p+q (
A/R

B/A

= H q (A/R B/A )
A

p
q

= A/R HDR (B/A);


A

we have used the fact that pA/R is a free A-module. With respect to this isomorphism, the differential dp,q
1 acts by the d 1, where d is the differential in the
complex A/R .
Proposition 8.6.1. The differential
=d0,q

q
q
HDR
(B/A) 1 1A/R HDR
(B/A).
A

defines an integrable connection, the Gauss-Manin connection.

90

ANDO

Proof. The filtered complex F has products, and we have the standard facts
dp+1,q
dp,q
r
r = 0, and
0

(8.6.2)
0

,q+q
p+q
dp+p
(a b) = dp,q
a drp +q b.
r
r a b + (1)

(8.6.3)

The Leibniz rule for follows from (8.6.3). Comparing (8.1.6) with (8.6.3) shows
that
i = di,q
1 ,
so the integrability of is just (8.6.2).

The simplest example of this connection is when


A = R[s1 , . . . , sk ]
B = A[t1 , . . . , tl ].
Let
= f (s)dti1 . . . dtiq
be an element of
be written

qB/A

representing a closed q-form. The differential on B/A can

l
X
b(t)
dB/A (b(t)dti1 . . . dtiq ) =
dtn dti1 . . . dtiq .
tn
n=1

Since
B
= R[s1 , . . . , sk , t1 , . . . , tl ],
the differential on the complex B/R can be written
dB/R (b(s, t)dsI dtJ ) = dB/A (b(s, t)dsI dtJ )+
:

k
X
b(s, t)
dsm dsI dtJ .
sm
m=1

Applied to , considered as an element of qB/R , we have


dB/R f (s)dti1 . . . dtiq =

k
X
f (s)
dsm dti1 . . . dtiq .
sm
m=1

The connection sends the class of to the class of


k
X
f (s)
dsm dti1 . . . dtiq
sm
m=1
q
in 1A/R HDR
(B/A).

The de Rham cohomology of a formal group. This section follows the article [Kat81].
The example that arises in our situation is that G is a formal group over A =
Wp k[[u1 , . . . , un1 ]]. Taking R = Wp k and B = A[[V ]], we obtain an integrable
connection on
1
HDR
(G/A).
Appeal to Corollary 8.5.4 now yields

FORMAL GROUPS

91

Corollary 8.6.4. Let G0 be a formal group over A0 , and let G be a lift of G to A.


1
The de Rham cohomology HDR
(G/A), together with the Gauss-Manin connection,
determines a crystal on A.
In fact, the crystal so determined is independent of the lift G, up to canonical
isomorphism. So the procedure gives a well-defined crystal on A0 . Let k be a
perfect field of characteristic p > 0, A0 a smooth k-algebra, and A a Z-torsion
free, smooth Wp kalgebra with an isomorphism A0
= A/p. Let K denote the ring
Q A.
Lemma 8.6.5. Let V be a formal variety over A. Exterior differentiation induces
an isomorphism of A-modules
{f K[[K V ]]|f (0) = 0, df integral}
=
1

HDR
(V /A).
{f A[[V ]]|f (0) = 0}
Proof. By the Poincare Lemma,
H 0 (K V /K) = K, and
H i (K V /K) = 0, i 1.
Thus any one form on V can be written as the differential of a function on K V .
The function is unique up to a constant, which is normalized by setting f (0) =
0.

Lemma 8.6.6. Let
f, g : V
V0
be two maps of formal varieties over A, which coincide as maps
f0 = g0 : V0
V00
of formal varieties over A0 . Then the maps on de Rham cohomology induced by f
and g are equal.
1
1
f = g : HDR
(V 0 /A)
HDR
(V /A)
Proof. Let h be a function on K V 0 such that dh represents a one-form on V 0 /A.
By Lemma 8.6.5, we must show that the difference
hf hg
has coefficients in A. It suffices to show this when
n and V 0 = A
k.
V =A
Then f and g are given by k-tuples of power series in n variables f (x) and g(x),
with
f (0) = 0 = g(0).
Let (x) denote the difference
(x) = f (x) g(x).
Since f and g coincide over A0 , the coefficients of reduce to zero over A0
0 (x) = 0.

92

ANDO

Then
hf (x) hg(x) = h(g(x) + (x)) h(g(x))
X (x)I I h
=

(g(x)).
I!
xI
I>0

This sum converges as a power series since (0) = 0. It has coefficients in A since
1) 0 modulo (p), an ideal with divided powers, and 2) the partials of h have
coefficients in A, since dh is integral.

1
Corollary 8.6.7. Let V0 be a formal variety over A0 . The crystal HDR
(V /A),
where V is a lift of V0 to A, is independent of V ; thus one obtains a contravariant
functor
{Formal varieties over A0 }
{Crystals over A0 }

Lemma 8.6.8. Let G and G0 be formal groups over A, and let


f

G
G0
be a map of formal varieties, such that the reduction to A0
f0

G0 G00
is a homomorphism of formal groups. Then the map on de Rham cohomology
f

1
1
HDR
(G0 /A) HDR
(G/A)

takes primitives to primitives.


Proof. The diagrams of maps of formal varieties
m

G G

f f y

f
y

G0 G0 G
m

pri

and

G G

f f y

f
y

G0 G0 G
pri

commutes when reduced to A0 . A one-form is primitive if


m = pr1 + pr2 .
Let be a primitive one form on G0 . Applying Lemma 8.6.6 to the diagrams above,
we have
pr1 f + pr2 f = (f f ) (pr1 + pr2 )
= (f f ) m
= m f .

1
Theorem 8.6.9. Let G0 be a formal group over A0 . The crystal P HDR
(G/A),
consisting of primitives in the cohomology of a lift G of G0 to a formal group over
A, is independent of G up to canonical isomorphism. It defines a contravariant
functor
{Formal groups over A0 }
{Crystals over A0 }.

FORMAL GROUPS

93

Proof. Lazards Theorem guarantees the existence of a lift G (4.1.3) (see [Haz78,
sectio 9.6] for higher dimensional G), so the existence of the functor follows once
weve shown the independence of the lift. This follows from the lemmas: if G0 is
another lift, let f be any map
f

G
G0
of formal varieties, lifting the identity on G0 , and apply Lemma 8.6.6 and Lemma
8.6.8.

8.7. Base change. The period mapping is meant ultimately to illuminate the
action of the automorphism group of the closed fiber on the Lubin-Tate moduli
space (see sections 7.2 and 11). It is crucial to have base change for crystals: given
a map
f0

A0 A00
we need to construct functors
f0

{Crystals on A00 }  {Crystals on A0 },


f0

where f0 is the left adjoint of f0 . For general crystals over arbitrary schemes, this
is hard work, but in our simple case, where
A0 = k[[u1 , . . . , un1 ]] or Wp k[[u1 , . . . , un1 ]],
its easy. Let
f0

A0 A00
be a homomorphism of k-algebras, let M be a crystal on A0 /k, and let M 0 be a
crystal on A00 /k. Let MA and MA0 0 denote the resulting modules over A and A0 ,
respectively, as provided by Theorem 8.5.4.
Let f be a lift
A

A0

f0

A0

A00 .

Then we set
(f0 M )A0 = f MA
(f0 M 0 )A = f MA0 0 .
Of course, we had to choose a lift f , but any two choices agree modulo a topologically nilpotent ideal with divided powers, so the connection provides an isomorphism between the resulting candidates for (f0 M )A0 and (f0 M 0 )A .
crystal
9. Classification of formal groups via the Dieudonne
9.1. Introduction. This chapter is follows Blochs manuscript [Blo].
In this chapter we shall study formal groups over the ring
A0 = k[[u1 , . . . , un1 ]].

94

ANDO

The theory will apply to p-divisible formal groups G (see Definition 6.10.4 and
section 9.2). Recall (Proposition 6.10.3) that a formal group over a perfect field
k is p-divisible if and only if its Dieudonne module is a free Wp k-module of finite
rank.
We shall think of a p-divisible formal group G over A0 as a family of formal
groups over k, parametrized by the ui . Motivated by this point of view we shall
associate to G a finite free module over
A = Wp k[[u1 , . . . , un1 ]],
together with a nilpotent, integrable connection . By Theorem 8.4.3, this is
equivalent to specifying a crystal (of finite free modules) on A0 . This module must
of course carry Frobenius and Verschiebung operators, and be uniform and reduced
in a suitable sense.
In fact, Bloch develops the theory in the more general situation that A0 is a
smooth k-algebra, and A is a Wp k-algebra which is a p-adically complete and
separated, p-torsion free, and equipped with an isomorphism A/p
= A0 .
9.2. p-divisible formal groups. To begin with suppose that R is any complete
Noetherian local ring, with residue field k of characteristic p > 0. If G is a formal
group over R, the multiplication-by-p induces a continuous ring homomorphism
p

R[[G]] R[[G]].
Recall (Definition 6.10.4) that a finite-dimensional formal group G over a perfect
field k is p-divisible if k[[G]]/p IG has finite rank as a k-vector space.
Definition 9.2.1. A formal group G over a complete Noetherian local ring R is
p-divisible if R[[G]]/p IG is a free R-module of finite rank.
If R is a regular local ring, then it is a domain, and one has
Lemma 9.2.2. If G is a p-divisible formal group over a domain R, then
FGpsR [Ga , G] = 0.
Proof. Suppose that
f FGpsR [Ga , G].
Let x be a generator of R[[Ga ]]; it suffices to show that f x = 0. Since f is a
homomorphism,
p f x = f px = 0.
But if R[[G]]/p IG is finite, then p must be injective, so f x = 0.

9.3. Definition of Dieudonn


e crystal. Let k be a perfect field of characteristic
p > 0, and once again let A0 denote the smooth k-algebra
A0 = k[[u1 , . . . , un1 ]].
Let 0 denote the Frobenius endomorphism of A0 ; using Theorem 8.5.4, we shall
give two equivalent definitions of a Dieudonne crystal.

FORMAL GROUPS

95

Definition 9.3.1. A Dieudonne crystal on A0 is a crystal M of finitely free


modules over A0 , together with endomorphisms
F

0 M
M and
V

M 0 M,
satisfying F V = p = V F . Moreover, one requires that
(i)
F

0
Ker[0 MA0
M A0 ]

be a split submodule of 0 MA0 (the analogue of uniform).


(ii) V is topologically nilpotent (the analogue of reduced).

Remark 9.3.2. The description of endomorphisms F and V of the crystal means


this. If B U 1 A0 is test situation in Crys(A0 /k), and is any lift of the
Frobenius 0 to B, then MB is a finite, free B-module, and there are maps
FB,

MB MB and
VB,

MB MB .
These are to be compatible with the other structures associated to a crystal, i.e.
the maps , etc.
In particular, there are many lifts of the Frobenius 0 to
A = Wp k[[u1 , . . . , un1 ]],
although of course any two lifts agree modulo (p), an ideal with divided powers.
For example we could extend the usual on Wp k to A by setting
p
u
j = uj .

To emphasize the choice of lift, we start with


Definition 9.3.3. A Frobenius lift of A0 is a pair (A, ); where A is Z-torsion-free,
Noetherian, and p-adically complete, such that
A/(p) = A0 ;
and is a lift of 0 to a ring endomorphism of A.
In view of the discussion of crystals and connections, in particular Corollary
8.5.4, Definition 9.3.1 is equivalent to
Definition 9.3.4. Let (A, ) be a Frobenius lift of A0 . A Dieudonne crystal for A0
is a quadruple (M, , F, V ), where M is a finite free A-module, is an integrable,
quasi-nilpotent connection on M , and F and V are horizontal maps
F

M
M
V

M M,
with F V = p = V F . Once again, the kernel
F

0
Ker[0 MA0
M A0 ]

must be split, and V should be topologically nilpotent.

96

ANDO

The first few sections are devoted to recognizing these crystals as tractable objects. In section 9.4 it is shown that the Frobenius F determines the connection .
In section 9.5, this observation is refined into an equivalence of categories



Finite free modules

Dieudonne crystals

over (A, ), with operators


.
=
over A0

F, V, and a Hodge structure


Sections 9.6 and 9.8 construct a functor



Finite free modules

p-divisible formal
G
over (A, ), with operators

.
groups over A0

F, V, and a Hodge structure


In chapter 10, we shall see that this functor is an equivalence of categories.
9.4. Frobenius determines the connection. In the absence of a connection, a
triple (M, F, V ) satisfying the various axioms of definition 9.3.4 (excluding those
involving the connection) will be called an F V -module. This section is devoted to
a proof of the following.
Theorem 9.4.1. Let (M, , F, V ) be a Dieudonne crystal. Then F determines
the connection . In fact, if (M, F, V ) is an F V -module, then there is a unique
connection on Q M with respect to which F is horizontal; the connection so
obtained is quasi-nilpotent.
Frobenius determines a basis of horizontal sections. Let A denote the divided-power
completion of A; in this simple case, A is just the subring of (QWp k)[[u1 , . . . , un1 ]]
generated by A and the classes uri /r!.
Lemma 9.4.2 ([Kat72]). Let M be a free module of rank r over A and let be
an integrable connection on A. If e1 , . . . , er is a basis of M , then there is a unique
matrix

s(u) Mr (A)
such that
(i) the columns of s(u), i.e. the elements
X
s(u)ej =
s(u)kj ek
k

of M are a basis of horizontal sections of A M .


(ii) s(0) = I.
Proof. This is as in the proof of Theorem 8.4.3. The two maps
i

A A,

given by
i

uj 7 uj

uj 7 0

FORMAL GROUPS

97

differ modulo an ideal with divided powers, so the connection yields an isomorphism of modules-with-connection

(i M, i )
( M, ),
namely
(1 m) =

X uI
I

I!

I m
.
uI

(exercise: check that this formula intertwines the connections). But is the
trivial connection
d1
M = A M 1A M,

for which e is a basis of horizontal sections.

Proposition 9.4.3. Let (M, , F, V ) be an Dieudonne crystal, and let e1 , . . . , er


of M over A is
be a basis of M . The matrix of horizontal sections s(u) Mr (A)
determined by F .
Proof. Let (u) be the matrix of F with respect to the basis 1 e of M and e
of M . Then the matrix of F is (0), and the horizontality of F implies that the
diagram
(0)

( M, ) ( M, )

s(u)
s(u )=1s(u)y
y
( M, )

(M, )

(u)

commutes. Thus
s(u) = (u)s(u) (0)1 ,
and so recursively
2

s(u) = (u)(u) s(u) (0) (0)1


n

s(u) = (u) . . . (u) s(u)

n+1

(0) . . . (0)1

(the notation A denotes applied to A1 or the inverse of A ).


Since
s(u) = I + o(u),
we have more generally that
n

s(u) = I + o(up ),
and
n

s(u) = (u) . . . (u) (0) . . . (0)1


n

n+1

+ (u) . . . (u) o(up

)(0) . . . (0)1 .

upn is divisible by pn , wed like to say that the error term


Recalling that in A,
vanishes, and so
n

s(u) = lim (u) . . . (u) (0) . . . (0)1 .


n

98

ANDO

This makes sense: V F = p, so


V n = pn F n
n

is integral over A. The matrix of F n+1 is . . . . Hence


n

pn+1 (0) . . . (0)1


is the matrix of V0n+1 , and so integral. And since V is topologically nilpotent,
n+1

lim up
n

((0) . . . (0)1 ) = lim pn+1 ((0) . . . (0)1 ) = 0.


n


Horizontal sections determine the connection. From the basis of horizontal sections,
one recovers the connection by the standard
Lemma 9.4.4. If M is a module with a connection , and S is a matrix whose
columns are a basis of horizontal sections (in terms of a fixed basis e), then is
integrable, and the matrix for the connection in terms of e is
= dS S 1 .
Remark 9.4.5. Here d refers to the map
A 1A/Wp k ,
applied to the entries of S.
Proof. It is easy to check from the formula for curvature (8.1.7) that is integrable
if M has a basis of horizontal sections.
Well use the physicists notations for summing over indices. aji refers to the
entry in row j and column i of a matrix a. Then is defined by
ej = jk ek .
That the columns of S represent horizontal sections means that for each i,
0 = (sji ej ) = dsji ej + sji jk ek .
Thus, collecting the coefficients of ej ,
dsji = sri rj ,
i.e.
dS = S.

This completes the proof of the Theorem 9.4.1. We even have a formula,
= dS S 1 .
n

Abbreviating (n) = . . . (including (1) = I), we have


d((n) (0)(n) ) =

n
X

(r1) d[ ],

r=0

hence
=

X
r0

(r1) d[ ]((r) )1 .

(9.4.6)

FORMAL GROUPS

99

In fact, the requirement that F be horizontal is the equation


d + = ,
from which one may the equation for directly.
Exercise 9.4.7. The connection determined by Frobenius is quasi-nilpotent.
9.5. A Dieudonne crystal is an F V -module admitting a Hodge structure.
Now suppose that (M, F, V ) is an F V -module over A. Theorem 9.4.1 gives a unique
connection on Q M with respect to which F (and hence V = p1 F ) is horizontal.
(M, F, V ) comes from a Dieudonne crystal if and only if the connection on Q M
comes from a connection on M .
Fix a basis e for M , and let be the matrix of F with respect to this basis.
j
Since V = pF 1 has coefficients in A, has coefficients in p1 A. In addition,
because
a ap

(mod p)

for a A, the quantity


n

d[ ]
lives in pn 1A/Wp k . According to equation (9.4.6), the typical term in the matrix
for is
n1

. . . 1} .
. . } d[ ] | {z
| . {z
| {z }
coeffs in A

coeffs in pn1 A

in pn 1A/W

So in any case defines a connection on M with coefficients in 1A p1 M , and


M comes from a Diuedonne crystal exactly when this 1/p disappears. It turns out
that the additional requirement is the existence of a Hodge structure.
Recall that F V = p = V F ; let M0 , F0 , etc. denote the various objects over
A0 A M . It follows that F0 V0 = 0, and it is easy to check that
Lemma 9.5.1. The sequence
V

0
0
M0
0 M0
M0

is exact.

Definition 9.5.2. A Hodge structure on (M, F, V ) is a split A0 -submodule H0


M0 such that
0 H0 = Ker F0 = Im V0 0 M0 .
Theorem 9.5.3. Let (M, F, V ) be an F V -module over (A, ). The connection
induced by F has coefficients in 1A M if and only if M has a Hodge structure.
Corollary 9.5.4. There is an equivalence of categories


F V modules over (A, ) which

{Dieudonne crystals} =
.
have a Hodge structure


100

ANDO

Proof of the Theorem. Only if. Suppose that M has a Hodge structure H0 M0 .
Then, since 1 H0 spans 0 H0 as an A0 -module, there is a basis e1 , . . . , ek , g1 , . . . , gl
0

of M0 such that
V0 (ei ) = 0 and
V0 (gi ) = 1 bi
with
bi =

l
X

cji gj H0 .

j=1

Let {e1 , . . . , ek , g1 , . . . , gl } be a basis of M lifting the basis on M0 . Then the matrix


of V = p1 has coefficients in pA + (A):
V (ei ) = 0
X
V (gi ) = 1 bi =
1 cji g j
X j
=
(ci ) (1 gj ).
Hence
n

p has coefficients in n+1 A + pn A;


n

d[p ] has coefficients in pn+1 1A ;


n

d[ ] has coefficients in pn 1A ;
n

d[ ] has coefficients in pn 1A ; finally,


n

d[ ] has coefficients in pn 1A .
Each of these statements follows obviously from the one preceding, except perhaps
for the last one: that follows because
n

d[ ] = d[ ] ,
as is obvious from differentiating the identity
n

I = .
So if M has a Hodge structure,
n

(n1) |d {z
} ((n1) )1
|
{z
}
pn 1A

pn A

has coefficients in 1A .
If: This involves Cartiers theorem about p-curvature [Car58]: recall from Corollary
8.1.12 that a connection on M induces a map
Derk [A0 , A0 ]
Endk [M ].
If D is a derivation, then since A0 has characteristic p, so is Dp . The p-curvature
of is the map

DerS [A0 , A0 ]
EndS [M ]
given by
(D) = Dp (D )p .

FORMAL GROUPS

101

Theorem 9.5.5. Suppose that V is an A0 -module with an integrable connection


. V = 0 M for some A0 -module M iff the p-curvature of is zero.

We shall not prove this here, but lets see how it works in a simple case. Suppose
that
A0 = k[t]
and M is an A-module. Then
0 M = M tM . . . tp1 M
as an A0 -module. The interesting A0 -derivation is /t, and
(/t)p = 0.
The obvious connection on 0 M also has this property.
Now lets apply this theorem to our Dieudonne crystal (M, , F, V ). First, the
p curvature of the connection 0 0 on 0 M0 is zero; after all, it is 0 of a module.
Second, since F0 is horizontal, and Ker F0 is a split submodule (part of the definition
of a Dieudonne crystal), the connection on 0 M0 induces one on Ker F0 , by
Ker F0

0 M0

F0

1A0 Ker F0

1A0 0 M0

M0

1F0

1A0 M0 .

Of course this connection also has p-curvature zero, and so, by the theorem, Ker F0 =
0 H0 for some H0 M0 .

The crystal associated to the universal deformation of a height 2 formal group. A
Dieudonne crystal is then a quadruple (M, F, V, H0 ), consisting of an F V -module
with a Hodge structure. Before we describe the functor from Dieudonne crystals to
formal groups, heres an example from Lubin-Tate theory (see sections 7 and 11.4).
Let k = Fp2 , A0 = k[[u1 ]], and A = Wp k[[u1 ]]. Extend the Frobenius 0 of A0 to
p
A by u
1 = u1 . Weve already constructed a formal group over k of height 2 in
section 6.11; its Dieudonne module had rank 2 over Wp k, with basis and V , and
the matrix of Frobenius was


0 p
.
1 0
Over the Lubin-Tate moduli ring A, there is a universal lift G of . Its reduction
to A0 we call G0 .
The Dieudonne crystal of G0 has rank 2 over A, and it is determined by the
matrix of Frobenius


u1 p
=
;
1 0

102

ANDO

we shall explain how this formula was obtained in section 11.4. From we read off


0
p
1
V = p =
1 u1


u1 0
0 = A0 =
1 0


0
0
V0 =
1 u1
H0 = span of e2 .
The matrix of the connection is
= (d 1 + d 1 + . . .)



1
du1 0 0
=
0
0 p1 up1
#

"


0
1
0
1
u1 p pup1
du
0
1
1
p
...

u
1
up1
1 0
0
0 p1 p1
p
#

 
" 1
up1
pup1 du1
0
0 du1
p
p+1
p
...
=

0
0
pup1
du1 0 up21 p1 + up1 2
1


  p
0 du1
u1 du1
up+1
du1
1
...
=
p1
0
0
u1 du1
up1 du1
9.6. The functor from F V -modules to formal groups. The next two sections
are devoted to constructing a functor




F V Modules over (A, )
p-divisible formal
G

with a Hodge structure


groups over A0
=
The first step is to construct a functor taking values in formal groups over A, and
is of independent interest; it is an important ingredient in the period map. The
eventual formal group over A0 will be the reduction of a quotient of this group.
When A0 = k is a perfect field, the construction coincides with Cartiers construction of section 6.8. As in that case, the idea is to associate to (M, F, V, H0 ) a
formal group GM,H over A defined by
p (R) M
W
GM,H (R) =

V 1 1 F,
an analogue of the relation
F 11V

where R is an adic A-algebra. The formal group


G(M ) = A0 GM,H
A

will be the desired formal group over A0 .


Even to make sense of the definition requires work. First, to make sense of the
tensor product, one must know that as a functor on adic A-algebras, the Witt
formal group functor takes its values in A-modules.

FORMAL GROUPS

103

Lemma 9.6.1. Let (A, ) be a Frobenius lift of a k-algebra A0 . There is a unique


section (as rings)
t

A
Wp (A)
which commutes with Frobenius, i.e. t = t.
Proof. Since w (w0 , w1 , . . . ) = (w1 , . . . ), it is easy to see that the effect of t on
ghost elements must be
2
tw (a) = (a, a , a , . . .).
The right-hand-side is a Witt vector by the Image-of-Witt Lemma 5.1.2.

Given this section, the expression V 1 1 F defines an equivalence relation
p R M just as in section 6.8: V is A-linear as a map
on W
A

p R
p R,
W
W
by the section t, while F is an A-linear map
M
M.
For any A-modules W and M , there is an isomorphism of abelian groups
W M.
W M =
A

Definition 9.6.2. Suppose that M = (M, F, V ) is an F V -module. Let GM be the


functor
AdicA AbGps
whose value on an adic A-algebra R is the cokernel
V 11F
p R M
p R M
W
GM (R).
W
A

To come to grips with the other relation, namely F 1 1 V , will involve the
Hodge structure. That is the subject of section 9.8.
Theorem 9.6.3. GM is a formal group with tangent space

GM A[]/(2 )
=M
naturally isomorphic to M . A choice of basis for M determines a coordinate system
for GM .
Proof. First, let us calculate GM (A[]/(2 )). Recall that V on Wp was given, in
terms of the ghost components, by
V w (w0 , w1 , . . .) = (0, pw0 , pw1 , . . .).
Now

w
p A[]/(2 ) 3 (a0 , a1 , . . .)
W
(a0 , pa1 + (a0 )p , . . .)
= (a0 , pa1 , p2 a2 , . . .).
Here we used the fact that 2 = 0. Thus
 M n
p A[]/(2 )
W
 A
=

n0

104

ANDO
n

as an A-module, since (using Lemma 9.6.1) a acts on ghost component n by a .


V acts on the right by shifting to the right by one. In terms of this identification,
we obtain



(a0 , a1 , . . .) m
GM A[]/(2 )
,
=
(0, a1 , a2 , . . .) m = (a1 , a2 , . . .) F (m)
so the map

M
GM A[]/(2 )
m 7 (, 0, . . .) m
is the isomorphism.
Next, we claim that the functor GM is a formal variety, and that if ei is a basis
for M , then the map
n (R)
A
GM (R)
X
(r1 , . . . , rn ) 7
(ri , 0, . . .) ei
i

is an isomorphism. Both of these facts are immediate from the proof of the following
Lemma.

Lemma 9.6.4. If A is a Noetherian ring and
G

AdicA
AbGps
is a functor such that
(i) G(A) = 0.
(ii) G takes surjective maps to surjective maps
(iii) there is a finite free A-module M and a functorial isomorphism
I M , G(B)  G(B 0 )
A

whenever I is the kernel


I , B  B 0
of a map of adic A-algebras, with I 2 = 0.
n as a functor to sets, where n = dim M .
Then G
=A
Proof. For k 2 let Sk denote the adic A-algebra
def

Sk = A[[x1 , . . . , xn ]]/(x1 , . . . , xn )k .
If B is an adic A-algebra with I(B)k = 0, then there is a natural isomorphism
n (B)
A
= AdicA [Sk , B].
A choice of basis e of M determines an isomorphism of adic A-algebras
A M
= S2

ei 7 xi .

FORMAL GROUPS

105

For any adic A algebra B with I(B)2 = 0, we then have a canonical isomorphism
n (B)
2 : A
= AdicA [S2 , B]

= AdicA [A M , B]

= I(B) M

= G(B),

(9.6.5)

functorial in adic algebras of order 2. Let 2 be the element of G(S2 ) corresponding


n (S2 ).
to the tautological element of A

n
Now let A
G be any transformation of set-valued functors extending 2 .
This is possible because there is an isomorphism

n , G]
(Natural Transformations)[A
= lim G(Sk )

and by assumption
G(Sk )  G(Sk1 ),
so there exist compatible lifts k of 2 (Notice that the parameters asserted for GM
in the proof of Theorem 9.6.3 are an instance of this procedure).
The claim is that is an isomorphism of set-valued functors. The proof proceeds
by induction on the order of B. Suppose that is an isomorphism for adic algebras
of order m 1; we may start with m = 3. Suppose B = A J with J m = 0. Let
B 0 = B/J m1 , and let I = J m1 : then we get a diagram with exact rows
n (B) A
n (B 0 )
I M A
A

B,I y
B 0 y
B y
=
I M F (B) F (B 0 ).
A

Notice that the horizontal maps are principal bundles with structure group IM .
A

To show that B is an isomorphism, then, we can show


(i) that B,I is an isomorphism, and as such
(ii) that B is a map of I M -sets.
A

B,I is an isomorphism by functoriality: using the diagram


A I

y
A

B 0 ,

we reduce to the case


AI,I

I M I M,
A

which is just the isomorphism (9.6.5).

106

ANDO

For ii., we use the fact that the pull-back bundle


B B B
B0

y
y
B 0

B
is trivial and maps surjectively to

B
B0.
Thus we are reduced to the case B = B 0 I; the splitting B 0 B induces an
isomorphism of groups
G(B)
= G(B 0 ) I M.
A

with respect to which, by functoriality,


B = B 0 id.

9.7. The logarithm of the group GM . The advantage of the category of F V modules with Hodge structure is that, after a choice of basis, all the structure can
be read off of the matrix of Frobenius. Suppose that (M, F, V ) is an F V -module
over (A, ). A choice of basis for M determines a coordinate system for GM by
Theorem 9.6.3, and a matrix of F .
Proposition 9.7.1. The coordinate system for GM and the matrix of Frobenius
determined by a basis for M are related by the formula
pn
X
n1 x
...
.
(9.7.2)
logGM x =
pn
n0

Proof. The logarithm is the unique homomorphism


GM Ga M
over Q A, whose effect on Q A[]/2 is the isomorphism
GM (A[]/2 )
= M.
The Witt map w is a homomorphism
p GN .
W
a

It induces a homomorphism
w1

GM

G
a M
.
w
V 11F

Rationally, we have
2

(w 1)(a, 0, . . . ) m) = (a, ap , ap , . . . ) m
X
pk
=
(V w )k ( apk , 0, . . . ) m
k0

X
k0

pk

( apk , 0, . . . ) F k (m).

FORMAL GROUPS

107

So if l is the composite
w1

l : GM

GN
1 1
a M

Ga M.
Vw 11F

then l is a homomorphism, and


 X apk
l (a, 0, . . . ) m) =
F k (m).
pk
k0
2

On A[]/ we have

l (, 0, . . . ) m) =  m,
so l is the logarithm.
To get the formula (9.7.2), choose a basis e1 , . . . , en for M . Let
Sk = (Q A)[[x1 , . . . , xn ]]/(x1 , . . . , xn )k .
We must write down the effect of l on the elements
(xi , 0, . . . ) ei
k

of GM (Sk ). If be the matrix of F on M , and we write xp for the column vector


pk
x1
.

xp =
. ,
.
k
xpn
then

logGM x =

k1

...

k0

xp
.
pk


9.8. The functor from Dieudonn


e crystals to formal groups. The quotient
p M
W
A
GM =
V 11F
expresses only half of the relations one expects by comparing with the situation in
section 6.8: the other half is a relation of the form 1 V F 1. This is more
complicated, however, as 1 V is linear as a map
p M
p M,
W
W
A

and if A0 is not perfect one cant expect to view V instead as a map


M M.
Since F 1 is linear as a map
Wp M
Wp M,
A

there is no map whose image is the expected relation. It turns out that the Hodge
structure provides a module which simultaneously 1) carries the relations one expects from 1 V F 1, and 2) provides a place where this relation makes
sense.

108

ANDO

Let H M be a submodule lifting the Hodge structure H0 M0 . Let denote


the inclusion

H , M.
Since, by definition,
0 H0 = Im V0 ,
the inclusion will play the role of V . The composite
F0
H0
= 1 H0 H0 M0 M0 ,

is zero, so let
i

H
M
be the map defined by requiring that pi be equal to the map
F
H
M.
= 1 H H M

Thus F = pi; if is like Verschiebung, then i is the replacement for the identity.
Note that i is not linear; rather, its -linear, so
F i

Wp H Wp M
A

is well-defined:
(F i)(w ab) = F (w) a i(h)
= F (aw) i(h)
= (F i)(aw h).
Let GM,H be the functor from adic A-algebras to abelian groups which is the
quotient of the bottom row in
p H
W
A

p M
W
A

V 1

V 11F

p H
W
A

GH

1F i

p M
W

(9.8.1)

GM

GM,H ,

where the bottom of each column is the quotient of the map above it. The upper
square commutes:
(V 1 1 F )(1 ) = V 1 F
= V 1 pi
= (1 F i)(V 1).
Theorem 9.8.2. GM,H is a formal group with tangent space M/H.

FORMAL GROUPS

109

Before proving this theorem, we finish making the functor to formal groups over
A0 : let
def

G(M ) = A0 GM,H .
A

The failure of H to appear on the left is justified by


Theorem 9.8.3. The formal group G(M ) is independent of H, up to canonical
isomorphism. The functor
(Dieudonne crystals over A0 )
(pdivisible formal groups over A0 )
(M, , F, V ) 7 (M, F, V, H0 ) 7 G(M )
is an equivalence of categories.
We shall give a proof of the independence of the choice of lift in section 9.9. The
equivalence of categories is the subject of the next chapter.
Proof of Theorem 9.8.2. Recall from Theorem 9.6.3, and its proof, that the map

M
GM (A[]/(2 )
m 7 (, 0, . . .) A
p (A[]/(2 ))
is an isomorphism; on the left of the tensor symbol an element of W
has been recorded in terms of its ghost components. Recall also that F is given in
terms of the ghost components by
F w (w0 , w1 , . . .) = (w1 , w2 , . . .).
Now GM,H (A[]/(2 )]) is the quotient of GM (A[]/(2 )]) by elements of the form
(1 F i)(Wp (A[]/(2 )) H).
But
F (, 0, . . .) = 0,
so the relation becomes (H) = 0, and
GM,H (A[]/(2 ))
= M/H.
It remains to show that GM,H is a formal group. This follows again from Lemma
9.6.4, since for any short exact sequence
I , B  B 0
with B and B 0 A-algebras and with I 2 = 0, there is naturally an exact sequence
M/H I , GM,H (B)  GM,H (B 0 ).
A

110

ANDO

The logarithm of the formal group GM,H . Essentially, the group GM,H is the quotient of GM by an additive subgroup. After all, there is a natural isomorphism
p /V W
p
W
= Ga ,
so GH in (9.8.1) is isomorphic to Ga H. With this in mind, the logarithm of
GM,H can be obtained from Proposition 9.7.1, after a judicious choice of basis. Let
H M be a lift of the Hodge structure, and let s be a splitting

H , M  M/H.
s

Let e1 , . . . , ek , s(g1 ), . . . , s(gl ) be a basis of M with ei H and gi M/H.


By Theorem 9.6.3, this basis determines coordinates x1 , . . . , xk , s(y1 ), . . . , s(yl )
on GM . Also by the theorem, the subgroup
s(y1 ) = . . . = s(yk ) = 0
will be additive: the logarithm is
r

logGM x =

r1

...

r0

xp
pr

and |H 0 (mod p), so the logarithm restricted to this subgroup has coefficients
in A! This is the subgroup GH , and GM,H is the quotient GM /GH .
Proposition 9.8.4. The basis e1 , . . . , ek , s(g1 ), . . . , s(gl ) of M determines a system
of coordinates y1 , . . . , yl on GM,H , with respect to which the logarithm of GM,H is
given by the formula
r

logGM,H y =

r1

. . .

r0

s(y)p
.
pr

(9.8.5)

Equation (9.8.5) is Proposition 3.6 of [DH93]. It makes it possible to write down


explicitly the Dieudonne crystal of the LubinTate formal group 11.4. It turns
out that GM is the universal extension of GM,H by an additive subgroup; this
observation is the key to constructing a functor from formal groups to Dieudonne
crystals.
The example of height 2 revisited. To illustrate the formula (9.8.5), we turn again
to our height-2 example. Recall that we had
A0 = k[[u1 ]]; A = Wp k[[u1 ]]




u p
u 0
= 1
; 0 = 1
.
1 0
1 0
Let H and s be given by
s

H = Ae2 and M/H


Ae1
ae1 + H 7 ae1 .
Then

logGM,H y =

X
r0

yp
,
pr

FORMAL GROUPS

where r is the (1, 1) entry of



u1
1

" r1

p
p
. . . u1
0
1

111

#
p .
0

This is the logarithm of the Lubin-Tate formal group law of height 2 (11.4).
9.9. The case of a perfect field. If A0 = k is a perfect field, and A = Wp k, then
according to Proposition 8.5.1, a crystal over A0 is just an A-module.
Lemma 9.9.1. A Dieudonne crystals over k is equivalent to a Dieudonne module
over k, which is finite and free as a module over Wp k.
Proof. By Definition 9.3.4, M is reduced. A finite free Wp k-module with operators
F and V such that F V = p = V F is automatically uniform.

Now let M be a Dieudonne crystal over k, and let G(M ) be the formal group
constructed in section 9.8. Let D(G(M )) be its Dieudonne module as in chapter 6.
Proposition 9.9.2. The Dieudonne module D(G(M )) is canonically isomorphic
to M .
Proof. In this situation, the construction of G(M ) from M duplicates the construction of the group G(M ) in section 6.8. The result follows from the isomorphism
M
= D(G(M ))
given there.

Corollary 9.9.3. If A0 = k is a perfect field, then the group G(M ) is p-divisible.



In fact, this result is true for general A0 .
Proposition 9.9.4. If A0 is a complete local ring with residue field k, then the
group G(M ) is p-divisible.
Proof. For simplicity, let us treat the case that G = G(M ) is one-dimensional. A
choice of coordinate on G gives an isomorphism
A0 [[G]]
= A0 [[x]].
By Corollary 9.9.3,k G is p-divisible, so modulo the maximal ideal of A0 , we have
h

p x (unit of k)xp + o(ph + 1).


The Weierstrass preparation theorem then implies that A0 [[x]]/p x is isomorphic to
h
the free A0 -module on the basis {1, x, . . . , xp 1 }.

The discussion of the logarithm of GM,H shows that GH is an additive subgroup
of GM . Combining Proposition 9.9.4 with Lemma 9.2.2 yields
Corollary 9.9.5. The group A0 GH is the maximal additive subgroup of A0
GM .

Corollary 9.9.6. The group G(M ) is independent of the lift H of the Hodge structure.


112

ANDO

crystals
10. The functor from formal groups to Dieudonne
10.1. Introduction. In this chapter we describe an inverse of the Cartier-Bloch
functor which is due to Grothendieck, Messing, and Mazur-Messing.
10.2. The universal additive extension of a p-divisible formal group.
Definition 10.2.1. If G is a formal group over a ring A, then an additive extension
of G is a short exact sequence of formal groups
V , E  G,
where V is of the form T Ga for T a free A-module of finite rank. It is universal
if, for any other additive extension
W , F  G,
there are unique homomorphisms : V W and : E F such that the diagram
V E

y
y

=
y

W F G
commutes.
It is not hard to see that a universal additive extension exists if G satisfies
(i) FGps[G, Ga ] = 0
(ii) Ext[G, Ga ] is a free A-module of finite rank.

For in that case, let V (G) = Ext[G, Ga ] Ga . There is an extension


V (G) , E(G)  G
corresponding to the identity element of

Hom[Ext[G, Ga ], Ext[G, Ga ]]
= Ext[G, Ga ] Ext[G, Ga ]

= Ext[G, V (G)].

An additive extension of the form W = M Ga , F  G corresponds to an


element of
Ext[G, W ]
= Ext[G, Ga ] M

= Hom[Ext[G, Ga ] , W ]

= FGps[V (G), W ].

Indeed one will have


V (G) E(G)

y
y

=
y

y=

=
y

=y
W

G.

FORMAL GROUPS

113

Moreover if 1 , 2 : E F are two homomorphisms which induce the identity on


G and on V , then their difference is an element of
FGps[G, W Ga ] = 0.
The reader may check the following generalizations of Propositions 7.4.1 and
7.4.5 (see also Proposition 7.3.7).
Lemma 10.2.2. If G is a p-divisible formal group over a ring A on which p is

topologically nilpotent, then FGps[G, Ga ] = 0.
Lemma 10.2.3. If G is a one-dimensional p-divisible formal group of height n over
a ring A on which p is topologically nilpotent, then Ext[G, Ga ] is a free A-module
of rank n 1.

Lemmas 10.2.2 and 10.2.3 combine with the preceding remarks to prove
Theorem 10.2.4 ([Gro70a, Gro70b, Mes72, MM74]). Let G be a one-dimensional
p-divisible formal group over a ring A on which p is topologically nilpotent. There
is a functorial universal extension
0 V (G) E(G) G 0
of G, whose kernel is the additive group

a.
V (G) = Ext[G, Ga ] G
of dimension n 1.
The authors cited above construct the universal additive extension in the greater
generality that G is a (not necessarily formal) p-divisible group. They also prove
that this universal extension has rich properties. They show that if
B U 1 A
is a test situation, and G0 is a lift of G to B, then the universal extension E(G0 ) is
independent of the lift, up to canonical isomorphism. In other words,
Theorem 10.2.5 ([Gro70a, Gro70b, Mes72, MM74]). The functor
def

E(G)B = E(G0 )
is a crystal of formal groups.
Now consider the case of a formal group G0 over A0 = k[[u1 , . . . , un1 ]], and let
(A, ) be a Frobenius lift of A0 . If G is a lift of G0 to A, then the Frobenius and
Verschiebung on G0 induce maps
f

E(G)
E(G)
v

E(G)
E(G)
with f v = p = vf .
It follows that
D(G0 )A = Lie(E(G))
is a crystal of finite free modules over A0 , with operators F and V induced by v
and f . The submodule Lie(V (G0 )) provides a Hodge structure, and one then has
the following.

114

ANDO

Theorem 10.2.6. Let B U 1 A0 be a test situation, and let G0 be a lift of G0


to B. The finite free B-module Lie(E(G0 )) is independent of G0 , up to canonical
isomorphism. The functor
B 7 Lie(E(G0 ))
is a Dieudonne crystal.
In section 10.4, we shall prove this result, following [Kat81], by exhibiting an
isomorphism

1
(G0 /B) .
Lie(E(G0 ))
= P HDR
Definition 10.2.7. Let G0 be a formal group over A0 . The Dieudonne crystal of
G0 is the functor which assigns to a test situation B U 1 A0 the module
def

D(G0 )B = Lie(E(G0 )),


where G0 is a lift of G0 to B.
10.3. The equivalence of categories. Let G0 be a formal group over A0 , G a
lift of G0 to A,
V (G) E(G) G
the universal additive extension of G, and M = Lie(G) the tangent space of G at the
identity, with its operators F and V , and the Hodge structure H0 = Lie(V (G0 )).
We can then form the group GM as in Theorem 9.6.3, with a canonical isomorphism
Lie(GM )
(10.3.1)
= M = Lie(E(G)).
Proposition 10.3.2. There is a unique isomorphism of formal groups over A

E(G)
GM
which induces the isomorphism (10.3.1) on tangent spaces.
Sketch of proof. Since A is Z-torsion free, the isomorphism is unique if it exists:
after passing to Q A, the logarithms provides unique isomorphisms
Q GM M Ga Q E(G)
inducing the specified isomorphisms on tangent spaces.
It remains to show that an isomorphism exists. This is much as in the proof of
Lemma 6.8.3. Choose a system of p-typical coordinates on E(G). These determine
a basis of M , and Dieudonnes theorem (6.3.1) still provides a homomorphism
p M E(G).
W
The point is that this does factor through GM . That follows from the fact that the
Frobenius on M came from a lift of the Verschiebung on G0 .

Theorem 10.3.3. The formal group over A0
G(D(G0 )A )
associated to D(G0 )A in section 9.8, is naturally isomorphic to G0 .

FORMAL GROUPS

115

Proof. Once again let G be a lift of G0 to A, let


V (G0 ) E(G0 ) G0

(10.3.4)

be the universal additive extension of G0 , and let


V (G) E(G) G
be the universal additive extension of G. Then D(G0 )A = M = Lie(E(G)),
a ) (6.9.3), Lie(V (G0 ))
equipped with F and V . Since Frobenius is trivial on Lie(G
is a Hodge structure H0 for (M, F, V ).
Let H be a lift of the Hodge structure (indeed we may use H = Lie(V (G)),
which makes it very hard to concentrate on the rest of the proof). Then Theorem
9.8.2 provides a short exact sequence of formal groups
H Ga
GM
GM,H .

(10.3.5)

Reducing modulo p gives a short exact sequence


(H Ga )0
(GM )0
G(M )

(10.3.6)

Now the isomorphism gives an isomorphism

0
(GM )0
E(G0 )

between the middle terms of the extensions (10.3.4) and (10.3.6). Since G0 and
G(M ) are both p-divisible, Lemma 9.2.2 implies that
0 ((H Ga )0 ) V (G0 ).
Since these have the same dimension, the inclusion is an isomorphism. It follows
that
G(M )
= G0 .

Finally, note that by combining Theorems 9.8.2 and 9.8.3 with the results of this
section, we can characterize lifts of G0 to A in terms of the Dieudonne crystal. This
result is due to Cartier [Car69], and it is the main-spring of the period map.
Theorem 10.3.7. Let G0 be a formal group over A0 , and let (M, F, V, H0 ) be its
Dieudonne crystal. The correspondence
H 7 GM,H
of Theorem 9.8.2 is a bijection between lifts H of the Hodge structure to A and lifts
of G0 to A.
Proof. By Theorem 10.3.3, GM,H is a lift of G0 . On the other hand, given a lift G,
we have
M
= Lie(E(G)),
so setting
H = Lie(V (G)),
we have
G
= GM,H .


116

ANDO

10.4. The relationship to de Rham cohomology. Let G0 be a p-divisible formal group over A0 , and let G lift of G0 to A. To show that Lie(E(G)) has the
structure of a crystal of Amodules, which is independent of the choice of lift G,
we introduce the A-module
Extrigid [G, Ga ]
of Mazur-Messing [MM74]. There are isomorphisms (of finite free A-modules)
1
(G/R).
(E(G))
= P HDR
= Extrigid [G, Ga ]

The first of these is the dual of the (finite free) A-module Lie(E(G)); the last is a
crystal, independent of the choice of lift G, by Theorem 8.6.9.
This section follows [Kat81] and [GH94].
Rigidified extensions and the universal extension. Let G be a p-divisible formal
group over a ring R.
Definition 10.4.1. A rigidified extension of G by Ga is an extension
a
0
G
E
G
0
together with a splitting of the Lie algebra sequence
a)
0
Lie(G
Lie(E)  Lie(G)
0,
or equivalently a splitting of the invariant differential sequence
a )  (E)
0
(G
(G)
0
or equivalently a choice of invariant differential E on E which restricts to the
canonical invariant differential dX (Ga ).
Any two rigidifications of an extension
a
0
G
E
G
0
differ by an element of
a )]
Hom[Lie(G), Lie(G
= (G),
a ]-space, so there is an
and splittings of the trivial sequence are a free Hom[G, G
exact sequence
d
a]
a]
Hom[G, Ga ]
(G)
Extrigid [G, G
Ext[G, G
0.

(10.4.2)

If G is p-divisible, and p is topologically nilpotent in R, then


Hom[G, Ga ] = 0
by Lemma 10.2.2, so the exact sequence (10.4.2) becomes the short exact sequence
a]
a]
0
(G)
Extrigid [G, G
Ext[G, G
0.

(10.4.3)

Theorem 10.4.4 ([MM74, Kat81]). Let G be a p-divisible formal group on a ring


A on which p is topologically nilpotent. There is a canonical isomorphism

a]
Extrigid [G, G
(E(G))

FORMAL GROUPS

117

inducing an isomorphism of short exact sequences


a ] Ext[G, G
a]
(G) Extrigid [G, G

=y
=y
y
(G)

Ext[G, Ga ]

(E(G))

Proof. Let the pair


a
(G
E
G, E )
a ]. The extension gives a
be a rigidified extension denoted by  Extrigid [G, G
homomorphism

p : Ext[G, Ga ] R,
such that E is a pushout

Ext[G, Ga ] Ga E(G) G

py
qy
=y

Ga

G.

The map is defined by


() = q E (E(G)).
From this definition one sees that has an inverse: suppose that
(E(G)).
One obtains by pulling back along the inclusion
V (G) E(G)
an element

p (V (G)) = (Ext[G, Ga ] Ga )
= Ext[G, Ga ].

and so by pushout an extension


V (G) E(G) G

py
qy
=y
a
G

G,

a ) and (E(G)) pull back to the same element. It follows


in which dX (G
that there is a unique element E (E) such that
q E =
and
i E = dX.


118

ANDO

Rigidified extensions and de Rham cohomology.


Theorem 10.4.5. Let G be p-divisible formal group over A. Then there is a
canonical isomorphism
1
a]
(G/A).
Extrigid [G, G
= P HDR

Proof. Let (E, s) be a rigidified extension, considered as an extension


a
0
G
E
G
0

(10.4.6)

together with a splitting


s

Lie(G)
Lie(E)
of the Lie algebra exact sequence
a)
0
Lie(G
Lie(E)
Lie(G)
0.
By Theorem 3.2.13, there is a unique splitting
exp(s)

Q E Q G
of (10.4.6) as formal groups over Q A whose differential is s. Now let
S

E
G
be any splitting of (10.4.6) as formal varieties over A, and let
f = S exp(s).
Then f is a function
1 .
QE
Q Ga
=QA
A
Thus f is an element of (Q A)[[Q G]], with f (0) = 0 and
df = dS s
integral. Since exp(s) is a homomorphism, we have
f (x + y) f (x) f (y) = S(x + y) S(x) S(y),
G

which is integral, and so df is primitive.


Although f depends on S, any two splittings S and T differ by an element of
1]
FVar[G, Ga ]
= FVar[G, A
= {f A[[G]]|f (0) = 0},
1
hence by Lemma 8.6.5, the class of df in HDR
(G/A) is independent of S.

It remains to show this map is an isomorphism. Certainly it is injective: by


Lemma 8.6.5, the class of df is zero if and only if exp(s) is integral, i.e. the extension
(10.4.6) is zero. To see that it is surjective, note that there is a coboundary map

1
P HDR
(G/A)
Ext[G, Ga ]

f 7 f (x + y) f (x) f (y),
G

FORMAL GROUPS

119

with kernel (G), which intertwines with the short exact sequence (10.4.3) to give
a ] Ext[G, G
a ] 0
0 (G) Extrigid [G, G

=y
=y
y
1
a ].
0 (G) P HDR
(G/A) Ext[G, G


11. Application: the period map
11.1. Translation of the Lubin-Tate moduli problem into the language
of Dieudonn
e crystals. By the classical Dieudonne theory, a one-dimensional
formal group of height n over k is equivalent to a free module M of rank n over
Wp k, with operators Frobenius and Verschiebung. Since F V = p = V F and since
Wp k is torsion free, V is determined by F , and we denote such a pair by (M , F ).
What data correspond to a lift of to
A = En = Wp k[[u1 , . . . , un1 ]]?
First, we shall study what data correspond to a lift of to
A0 = k[[u1 , . . . , un1 ]].
A lift to A0 is a pair (G0 , e), with G0 a formal group over A0 , and e an isomorphism
e

0 G0
,
where


0
A0
k

is the augmentation.
By the Weierstrass Preparation Theorem, any lift of to A0 is p-divisible. A
p-divisible formal group over A0 is equivalent to a Dieudonne crystal, which we
indicate as a triple (M, F, ) over a Frobenius lift (A, ) of A0 . We have suppressed
V because it is determined by F . The resulting formal group over A0 is G(M ).
To give G(M ) the structure of a lift of is to specify an isomorphism
e

0 G(M )
.
In the Dieudonne theory, e should give an isomorphism of the specialization of the
the crystal (M, F, ) with the Dieudonne module (M , F ) of . But the specialization 0 is a homomorphism A0 k, while M and M are modules over the lifts
A and Wp k. To express e in the Dieudonne theory requires the connection .
Choose a lift 

A Wp k

y
y


A0 0 k.
Then the isomorphism of formal groups e determines an isomorphism
e()

 M
M

120

ANDO

Table 1. Formal Group-Crystal dictionary for the Lubin-Tate


problem
Formal group over k

Dieudonne module (M , F )
over Wp k.
Lift (G0 , e) of to A0 ;
Quadruple (M, F, , e); (M, F, ) a
G0 a formal group over A0 , Dieudonne crystal over A;
e()

0 G0

compatible isos.  M
M

for all lifts  of 0


Quintuple (M, F, , e, H);
H a lift of the Hodge structure
associated to (M, F, ).

Lift (G, e) of to A

Now there are lots of choices of lift of 0 , but any two choices  and 0 will coincide
modulo the divided-power ideal (p) Wp k, so the connection determines a canonical
isomorphism (8.4.3) making the triangle of isomorphisms

0 M

 M

'

e(0 )

e()

M
commute.
So a lift (G0 , e) corresponds to a quadruple (M, F, , e). What about a lift (G, e)
of to A? The Dieudonne crystal (M, F, ) has a Hodge structure
H 0 M0 ,
and according to Cartiers Theorem (10.3.7), the set of lifts of G0 to A are in
bijective correspondence with the lifts H M of the Hodge structure to M . So a
lift (G, e) is equivalent to a quintuple (M, F, , e, H).
11.2. Construction of the period map. We are now prepared to describe the
period map of Gross-Hopkins, in the language of [HG94]. Let
(G, e)
Xn
be a universal deformation of . The data (G, e) are equivalent to a quintuple
(M, F, , e, H) as in Table 1. Explicitly (10.2.4) G has a universal additive extension
V (G)
E(G)
G,
and the A-modules H and M come from the Lie exact sequence

0
H = Lie(V (G))
M = Lie(E(G))
Lie(G)
0.
The crystal comes with a connection . We call this crystal the Lubin-Tate crystal.
Let K denote the fraction field of Wp k. The period map is not defined over A.
Instead one works over a ring R of the form
r

A
R K[[u1 , . . . , un1 ]],
which is large enough in the following sense:

FORMAL GROUPS

121

The module of horizontal sections


VR = H 0 (R, r M )

(11.2.1)

is free of rank n over K.


In particular, r M has a basis of horizontal sections over R. By Lemma 9.4.2, the
ring
R = K Wp khhu1 , . . . , un1 ii
satisfies (11.2.1). In fact, the smaller ring of rigid analytic functions on Xn will do;
this is valuable when computing the dualizing complex [GH94, HG94, Kat72].
Let XR stand for the space whose points are ring homomorphisms
x

R
K,
and let


H VR
P(VR ) =
of rank n 1 over K
be the projective space of hyperplanes in VR . The period map is the map
def

P(VR )
XR
defined by
x

(x) = Ker[x VR x Lie G].

(11.2.2)

One way to get a point of XR is to specify a deformation of to Wp k, i.e. a lift


x

A Wp k

y
y

(11.2.3)

A0 0 k.
According to Cartiers Theorem (10.3.7), a lift of to Wp k is equivalent to a lift
of the Hodge structure
H,0 = Ker[k M
Lie()]
Wp k

to a submodule Hx M . The period map sends x to Hx .


Proposition 11.2.4. For any ring R satisfying (11.2.1), there is a canonical isomorphism
e
VR
K M
Under this isomorphism,
e((x)) = K Hx
for any point x of the form (11.2.3).
Proof. a lift x
x

A Wp k

y
y


A0 0

determines an isomorphism
e(x)

x M M .
'

122

ANDO

such that
e(x)

x H
Hx .

The lift x also extends to a map


x

R
K,
and the composite
x r M

VR

e(x)

K M .
is the isomorphism e, sending (x) to K Hx . e is independent of the choice x,
because VR M consists of horizontal sections. Any other lift y coincides modulo
(p), an ideal with divided powers, and the connection provides a commutative
diagram of isomorphisms
x r M
e(x)

VR

K M .
e(y)

y r M

11.3. Equivariance with respect to the action of the automorphism group
of . Via the isomorphism e of Proposition 11.2.4, we can consider the period map
as a map to P(K M ). Recall (section 6.12.4) that the group Aut acts on M
as a subgroup of GLn (M ). Recall also that Aut also acts on Xn . With the
conceptual framework developed in the last section, it is easy to check
Proposition 11.3.1. The period map is equivariant.
Proof. Fix g Aut , and let D(g) denote the resulting automorphism of M .
Associated to g is the diagram
(G, ge)

g
'

g (G, e)

Xn

(G, e)

Xn

expressing the action of Aut on the Lubin-Tate moduli problem.


There is a corresponding isomorphism of crystals
g

g (M, e, H) (M, ge, H).


=

FORMAL GROUPS

123

The triple (M, ge, H) corresponds to the pair (G, ge): so M = (M, , F ) is the
same Dieudonne crystal as that of (M, e, H), and H is the same lift of the Hodge
structure. For a lift

A Wp k

y
y


A0 0
the isomorphism ge() is the composition
e()

k,
D(g)

 M M M .
The triple g (M, e, H) is the crystal g M with the lift g H of the Hodge structure. The rule g e associates to a lift  the map
e(g )

 g M M .
The isomorphism g is an isomorphism of crystals
g

g M M
=

which carries

g H

to H, and such that the diagram


e(g )

 g M

 g y

M
x
D(g)

(11.3.2)

e()

 M

commutes.
Now let x be a point of the form (11.2.3). Then x g and x coincide modulo
(p), and so the diagram
VR

x r M

e(x)
y

e(xg )

x g r M K M
commutes. Comparing with diagram (11.3.2) shows that the diagram
e

VR K M

D(g)
g y

VR K M
commutes.
We then have
ge((x)) = D(g)e(x r H)
= e(g1 (x r H))
= e(x g r H)
= e((x g )).


124

ANDO

11.4. An explicit form for the Dieudonn


e crystals associated to the LubinTate formal groups. Let k be a perfect field of characteristic p > 0. In section 6.9
we gave for each finite height n a Dieudonne module of height n. It was determined
by its Frobenius matrix

0 p 0 ... 0
0 0 p . . . 0

0 0 0 . . . . . .

.
=

. . . . . . . . . . . . . . . .
0 . . . . . . . . . p
1 0 0 ... 0
Let denote the corresponding formal group over k (topologists will recognize
as the usual formal group on K(n)).
Now let En be the ring Wp k[[u1 , . . . , un1 ]]. According to Lubin-Tate, the functor
Lifts is represented by En , and there is a universal lift (G, e) of to En . We are
going to write down the Dieudonne crystal of G. This extends the height 2 example
which occurs occasionally in the text. See also the Appendix of [GH94]).
It is possible to make the crystal explicit because of the formula for the logarithm
(9.8.5) of the group GM,H associated to a triple (M, F, H). The logarithm of a
Lubin-Tate lift G is known ([Haz77] or see [Rav86, A2.2]).
Theorem 11.4.1. Let G be a universal lift of to En . There is a coordinate on
G with respect to which the logarithm is given by
X
k
logG x =
mk xp
k0

with the mk given recursively by the formulae


m0 = 1,
u1
,
m1 =
p
k
pk1
p

u1 mk + u2 mk1 + . . . + uk+1

upk m + upk1 m
k1 + . . .
k
1
2
pmk+1 =
pk+1+j

+ uj
mk+1+j + . . .

pkn+2
+ un1 mkn+2 + mkn+1

k+1<n

k+1n

If we set un = 1 and mnegative = 0, then the recursion takes the form


pmk+1 =

n1
X

kj

upj+1 mkj .

j=0

Let G0 = k G denote the Lubin-Tate lift over k En . It corresponds in the


language of crystals to a quadruple (M, F, e, H0 ), where M is a free module of rank
n over En . The lift (G, e) corresponds to a quadruple (M, F, e, H), where H is a lift
of the Hodge structure H0 to H M . For any such quadruple, there is a formal
group GM,H over En . If e1 , . . . , en is a basis for M such that
H = span {e2 , . . . , en },

FORMAL GROUPS

125

and is the matrix of Frobenius with respect to this basis, then (9.8.5)
k

logGM,H x =

X
k0

xp
k k ,
p

where k is the (1, 1) entry of the matrix


. . .

k1

Theorem 11.4.2. There is a basis e1 , . . . , en of the En -module M associated to


G0 , such that
(i) the lift H of the Hodge structure corresponding to the Lubin-Tate formal
group G is given by
H = span {e2 , . . . , en }.
(ii) The matrix of Frobenius with respect to this basis is

u1 p pun1 pun2 . . . pu2


0 0
p
0
...
0

0 0

0
p
.
.
.
0
.

.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.
.

0 ......................
p
1 0 ...................
0
Proof. We need to check
(i) p1 is integral.
(ii) Ker[0 ] = span {e2 , . . . , en }, since H0 is supposed to be the kernel of F0 .
(iii) There is an isomorphism of Wp k-modules
e

 M
M

which is compatible with Frobenius, expressing the fact that GM,H is a lift

Wp k sending ui to 0).
of (here  is the map En
(iv) logGM,H = logG .
It is easy to check that p1 is the matrix

0
0
0
...
p
1 un1 un2 . . . u1

0
1
0
...
0

.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
0
0
...
1
0
The second part is trivial. The third is too: notice that
 = (0) = ,
so the map
e

 M
M
ei 7 ei
will do.

126

ANDO

It remains to verify the equation about logarithms. First note that


0 = 1
1 = u1 ,
as desired. Let
M (k) = . . .

k1

Then for any j,


pj
j
j
j
u1 p pupn1 pupn2 . . . pup2
0 0
p
0
...
0

0 0
0
p
...
0

M (j + 1) = M (j)
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

0 ......................
p
1 0 ...................
0
We are interested in k+1 = M (k + 1)1,1 . It is given by
k

M (k + 1)1,1 = M (k)1,1 up1 + M (k)1,n


k1

= M (k)1,1 up1 + M (k 1)1,1 pup2

k1

=M (k)1,1 up1 + M (k 1)1,1 pup2


k2

M (k 2)1,1 p2 up3
=

n1
X

+ M (k 1)1,n1 p

+ M (k 2)1,n2 p2
kj

M (k j)1,1 pj upj+1 ,

j=0

where again we set M (negative) = 0 and un = 1.


Setting
mk =

k
M (k)1,1
=
,
pk
pk

we get
p

k+1

mk+1 =

n1
X

kj

mkj pk upj+1

j=0

and so
pmk+1 =

n1
X

kj

mkj upj+1 .

j=0


References
[Blo]
[BO78]
[Car58]
[Car69]

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Pierre Berthelot and Arthur Ogus. Notes on crystalline cohomology. Princeton Univ.
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Pierre Cartier. Questions de rationalit
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eom
etrie alg
ebrique. Bull. Soc.
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FORMAL GROUPS

[DH93]
[GH94]
[Gro70a]
[Gro70b]
[Haz77]
[Haz78]
[HG94]
[Kat72]
[Kat81]

[KO68]
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[Rav86]
[Rob63]
[Rob65]
[Ser68]

127

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