DIEUDONNE
FORMAL GROUPS
MATTHEW ANDO
THE UNIVERSITY OF VIRGINIA
Contents
Preface
1.
Summary
2.
2.1.
Formal varieties
2.2.
Formal groups
3.
8
10
12
3.1.
3.2.
4.
14
4.1.
18
4.2.
19
4.3.
21
5.
25
26
5.2.
Frobenius, Verschiebung
28
5.3.
30
5.4.
32
5.5.
37
6.
6.1.
37
37
6.2.
41
43
46
37
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6.6.
6.7.
53
6.8.
55
6.9.
57
6.10.
60
6.11.
63
6.12.
Endomorphisms
64
7.
66
7.1.
67
7.2.
69
7.3.
70
7.4.
Calculation of H (; k)
73
7.5.
76
8.
77
8.1.
77
8.2.
81
8.3.
82
8.4.
84
8.5.
Examples I
87
8.6.
88
8.7.
Base change
93
9.
9.1.
Introduction
93
93
94
9.3.
94
9.4.
96
9.5.
99
9.6.
102
9.7.
106
9.8.
107
9.9.
111
10.
112
10.1.
Introduction
112
10.2.
112
10.3.
114
FORMAL GROUPS
10.4.
11.
116
119
11.1.
11.2.
11.3.
11.4.
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 LubinTate 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or unpublished (e.g. [Blo]; [Car69] gives an indication of only a portion of the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 noncanonical 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
ANDO
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 Rmodules.
Theorem (3.2.11). If G is a formal group over a Qalgebra R, then there is a
unique isomorphism of formal groups
log
G
Lie(G) Ga ,
G
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 ptypical 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 kmodule 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
ANDO
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 LubinTate 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
Amodules with
{Crystals on A0 }.
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 pdivisible 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 Amodule, is
an integrable, quasinilpotent 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 ]
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 MazurMessing [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 LubinTate 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 LubinTate 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.
ANDO
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 LubinTate 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 noncanonical isomorphism, the maps between formal varieties are
formal power series with constant term zero. It is a strippeddown 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 Ralgebra
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 subcategory of
Ralgebras consisting of adic Ralgebras and continuous maps.
The ring R[[x1 , . . . , xn ]] is a topological Ralgebra, and there is an isomorphism
Homcts [R[[x1 , . . . , xn ]], A]
= I(A)n .
R
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
FORMAL GROUPS
f1 (x1 , . . . , xn )
...
...
fk (x1 , . . . , xn )
in n variables, with fj (0) = 0.
Definition 2.1.6. It will be convenient to have available multiindex 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
xI = xi11 xinn .
def
We define I =
ik .
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
ANDO
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 basechange functor
c
AdicS
AdicR :
FVarR FVarS :
for V FVarR , the variety c V is the composite
c
AdicS
AdicR (sets).
FORMAL GROUPS
11
(unit)
(associative)
(2.2.5)
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 noncommutative onedimensional 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
ANDO
V
W
induces a ring homomorphism
f
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
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 finitedimensional 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 ntuple
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
(r1)
gi (x) = gi
(x)
cJ xJ .
J=r
14
ANDO
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).
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.
FORMAL GROUPS
15
(3.2.6)
Let F2 be defined as
def
F2 (x, y) =
F (x, y)
= 1 + higher terms R[[x, y]].
y
(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 onedimensional 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
F2 (y, x)
F2 (y + x, 0)
F
= p(x).
Now suppose that G is a onedimensional 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
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(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).
FORMAL GROUPS
17
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
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 onedimensional case
to the following.
Corollary 3.2.11. If G is a formal group over a Qalgebra, 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).
18
ANDO
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.
(identity)
F (x, y) = F (y, x)
(commutativity)
(4.1.1)
(associativity)
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 rbuds: if F is an rbud over R and is a unit
of R, then there is a new rbud
X
F (x, y) =
aij xi y j
i,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<
X
i1
bi xi+1 .
20
ANDO
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.
QL2n
T2n
QL2n .
This is a form of the socalled symmetric twococycle 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 twococycle 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
(4.3.3)
(4.3.4)
Lemma 4.3.5 (Symmetric twococycle 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
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)
(4.3.7)
24
ANDO
f P [x1 ]
f P [x1 , x2 ]
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
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
Ahbr1 i
2,n
Ext[x] [A, A] = Ahar as i
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 .
26
ANDO
Wp,n
An
which is given on coordinates by the Witt polynomials
w0 (x0 , . . . , xn1 ) = x0
w1 (x0 , . . . , xn1 ) = xp0 + px1
2
j
X
d=0
jd
pd xpd
FORMAL GROUPS
27
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 pFrobenius 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)
kr
+ + pk ck (a)(a).
kr
(mod pk ).
k1r
+ + pr cr (a)p
k1r
+ + pr (cr (a))p
(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
(mod pk ).
(5.1.4)
28
ANDO
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 .
such that
w((x + y)0 , (x + y)1 , . . . ) = w(x) + w(y).
W
(x)
wi (x) wi1
(mod pi ),
(mod pi )
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 Rvalued 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
j
X
jd
pd xpd1 , . . .)
d=1
= (0, px0 , . . . ,
j1
X
jd1
pd+1 xpd
, . . .)
d=0
(5.2.1)
(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 padic 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
st
where is a primitive (p 1)
root of unity.
R
Wp k
X
R
Wp (R)
X
FORMAL GROUPS
31
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
(mod pm+1 ).
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
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 .
(1 an xn ).
n1
(1 (a + b)n xn ) =
W
Y
n1
(1 an xn )
(1 bn xn ),
(5.4.2)
n1
FORMAL GROUPS
33
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
dN
X w(N ) (c)
xN ,
= exp
N
N 1
where
def
w(N ) (c) =
N/d
dcd
dN
Y
Y
X w(N ) (a) + w(N ) (b)
xN .
(1 an xn ) (1 bn xn ) = exp
N
N 1
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
cn x /n)
(c)7exp(
N
A
Q P SQ
is an isomorphism.
(mod pj ),
Using the new ImageofWitt 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 ptypical 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
2r
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)
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 ptypical Witt scheme is a quotient of W, exhibited by the
diagram
w
AN
Wp
AN
(5.4.10)
(a)
(a1 , ap , ap2 , . . .)
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
p2
36
ANDO
but we need to check that the righthandside is in the image of w. The ImageofWitt Lemma requires first that for c = w(a) and q 6= p,
0 = sw (c)qpk q (sw (c)pk ) = q (ck )
(mod q).
(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 ptypical imageofWitt 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
Now the construction of the section wasnt too hard, but it has the following
important consequence.
Corollary 5.4.14. The ArtinHasse exponential
X xpn
exp
pn
n0
X cn xn
exp
n
n1
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 Ralgebras 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 ptypical 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 Avalued points, for an adic Ralgebra 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
38
ANDO
t7t
1
1
A
G.
R AR
More explicitly, if
= (1 , . . . , n )
with respect to some coordinate system
= n
G
AR ,
bik tk
k1
([a])i (t) =
bik ak tk ,
k1
and
(Vr )i (t) =
bik tkr .
k1
R[[x1 , . . . , xr ]]r
R[[1 , . . . , r ]]
i (x1 , . . . , xr )
i
is an isomorphism, where i (x) are the elementary symmetric polynomials.
=
1 )r /r
1 )r .
(A
(A
For a curve , the rFrobenius 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
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
(6.2.7)
2r
(6.2.8)
(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. rfold 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
(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
FORMAL GROUPS
41
(iv)
r1
(Fr [a])(t) =
XG
(at r i )
i=0
r1
XG
((ar t) r i )
i=0
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
Fi g1 i = 0.
i1
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 onedimensional. 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 torsionfree 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
dn
so we have
g(a) =
(Fd )(ad )
d1
dadd
dn
= 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
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
A
R WR
t 7 (0, . . . , btn , 0, . . .)
m
ai,j ti xj
i,j0
44
ANDO
1, A
1 ],
ai,n tn Hom[A
n1
(1 m (t)xm )
m1
FORMAL GROUPS
45
n,m0
Vn [an ]Fn 1 .
n1
(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
46
ANDO
So
But w(n)
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. ptypical 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
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
1
1
p;
A
W
W
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 ptypical. In Dieudonnes
representing a curve , factors through W
theorem, we learned that g is actually given by the formula
X
g=
Fn n
n0
def
48
ANDO
Notice that the operations F and V are not Wp Rlinear. Instead we have
X
F (a) = F
V n [an ]F n
n0
V n [apn ]F n+1 .
n0
ModulesB ModulesA
f
given as usual by
f N = N,
considered as an Amodule via f ; and
def
f M = B M.
f,A
DG
DG
or equivalently
F
DG
DG.
The Verschiebung may be viewed as a homomorphism of Wp Rmodules
V
DG DG.
When R = k is a perfect field, it turns out that V may equivalently be viewed as
a homomorphism of Wp Rmodules
V
DG DG.
FORMAL GROUPS
49
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 Amodule, 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
(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
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
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
j=0
Then
Fr (
k
X
j=0
k
X
Vpj [apj ]1
j=0
FORMAL GROUPS
51
Vk
Rd .
'
Definition 6.6.9. Suppose that k is an perfect field of characteristic p. A Dieudonne
module over k is a Wp kmodule 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 ptypical 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 ptypical 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
FORMAL GROUPS
53
such that
(i) each i is ptypical;
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
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.
0 y
G
x
P
Fr i r
p W,
W
s
n
A
G
XG
(x1 , . . . , xn ) 7
i (xi ).
54
ANDO
(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
p (A) CG
(ai , 0, . . . , 0) i W
i=1
goes to
XG
i (ai ) = g.
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 Amodule, and N is a Bmodule,
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
(Dieudonne modules)
FGpsk
is an inverse of D.
For simplicity we restrict attention to finitedimensional 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 kbasis 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 kalgebra; 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
An
G.
s
'
'
G(DG)
commutes.
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
58
ANDO
Gm (A) = (1 + I(A)) .
1
A
Gm
a 7 1 a
we get
= (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
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 ptypical 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
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).
P
exp n1
n1
ptp
xp
pn
p2
60
ANDO
Since
V = V F = p
,
n1
X
t n j = 0
j=0
for any n > 1, so the identity parameter is ptypical for any p. is represented by
P
Fn n
W
Ga
(a1 , a2 , . . .) 7 a1 ,
and V is the curve
V (t) = tp .
So ptypical 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 onedimensional formal groups, that is, Dieudonne
modules for which M/V M is a has rank 1 as a kvector 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 nonzero 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 nonzero 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 ptorsion 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 )
Whp
M
ei 7 V i1
1 i h.
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 kvector 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].
p 1
p d
k[[G]]/p IG
= k[[x1 , . . . , xd ]]/(x1 , . . . , xd ).
FORMAL GROUPS
63
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 Wlinear! 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 )
64
ANDO
F ( + [tp
h1
]V n(h1) ) = V h1 ( + [tp
We get
h
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.
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.
FORMAL GROUPS
67
7.1. Various formulations of the problem. Let us start with an arbitrary but
fixed onedimensional 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
.
F
F0
kF
k F0
d0
Lifts (R) =
?isomorphism classes of
lifts of to R
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.
noncanonically 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
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
,
kF
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 squarezero ideal of R. Suppose in addition that k is a quotient of
R0 , and that the Rmodule 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)
1 (x, y) =
(x, y)
;
x
and we used Taylor series and the fact that M is a kvector 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).
(7.3.2)
FORMAL GROUPS
71
1 (0, x + y + z)g(x + y, z)
=(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
= x + y+
A
= x + y+
A
(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)
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),
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
where u is a unit of k.
Proof. Let be a ptypical 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 twococycle lemma 4.3.5, there is some r 2 such that
(s) + (t) = (s + t + (unit)cr (x, y)) + o(k + 1).
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
mod u1 , . . . , ui1 .
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
It is of the form
G(ui )
(x, y)
ui
= x + y + ui cpi (x, y) + o(pi + 1).
G(ui )
(x, y)
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 twococycle 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 twococycle lemma. We have
2
H 1 (Ga ; k) = khx, xp , xp , . . .i
H 2 (Ga ; k) = khcp , cp2 , . . .i.
r
which is
r
xp 7 (unit)cpn+r
76
ANDO
for r 0. This shows that there are at most n1 linearly independent twococycles;
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
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 squarezero 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: 1forms, connections, and curvature.
Vector fields and K
ahler differentials.
Definition 8.1.1. Let S be a ring, A an Salgebra; and M an Amodule. Then
an Sderivation from A to M is a Smodule map
d
A
M
such that
d(ab) = a db + db a.
The set of all Sderivations from A to M is an Amodule, denoted DerS [A, M ].
Notice that since d is a Smodule 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
A
1A/S
2A/S
AA
S
f f
(A M ) (A M )
AM
pr
A,
where I = Ker[A A
A]. The soughtafter 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.
FORMAL GROUPS
79
For example,
Corollary 8.1.4. If A = S[u1 , . . . , un ] then 1A/S is the free Amodule generated
by symbols du1 , . . . , dun .
Connections. Since 1A/S is the module of oneforms, the module
HomA [1A/S , A]
= DerS [A, A]
should be the vector fields. A connection on an Amodule 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 .
j fj . Then
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
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
Corollary 8.1.12. The connection is integrable if and only if the induced map
FORMAL GROUPS
81
AB
B/J
g
f M
g M.
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 firstorder 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
f M g M,
with the same cocycle condition.
If S is a Qalgebra, 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 nonnegative 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 torsionfree,
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)
pn
n!
1.
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 welldefined. 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
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 Salgebra, 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 Salgebra 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 Amodule 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 Amodule
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 dividedpower ideal. In this
highly simplified situation, theres a prouniversal case, namely
f
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
multiindices
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
f M
g M
is just an additive map
g M
M
such that
(a(u)m) = a(u + h) (m),
86
ANDO
(8.4.5)
I0
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 Salgebras. If A is a complete local Salgebra, 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 Jadic
In order for (8.4.5) to apply, one must have limI I m/uI = 0. In that case
one says that the connection is (topologically) quasinilpotent.
Theorem 8.4.7 (Theorem 6.6 of [BO78]). A crystal on Crys(A/S) is equivalent
to an Amodule M with a quasinilpotent integrable connection.
FORMAL GROUPS
87
8.5. Examples I.
A crystal over a finite field k is a Wp kmodule.
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 kalgebra, and these data determine a unique
lift in the diagram
Wp k
B/p
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 Amodule MA . Indeed a crystal M on A0 determines
a crystal on A: given a test situation
B
f
U 1 A,
88
ANDO
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)
quasinilpotent 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 GaussManin 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 GaussManin 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
k
k
HDR
(B/A) 1A/R HDR
(B/A)
A
on the Amodule
k
HDR
(B/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
H (Fp1
)
H (Fp )
H (Fp+1
)
+1
+1
H (Fp1 /Fp )
p )
= H p+q (
A/R
B/A
= H q (A/R B/A )
A
p
q
we have used the fact that pA/R is a free Amodule. 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
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).
qB/A
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
k
X
f (s)
dsm dti1 . . . dtiq .
sm
m=1
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
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 oneform 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 ktuples 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 }
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)
G G
f f y
f
y
G0 G0 G
m
pri
and
G G
f f y
f
y
G0 G0 G
pri
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 LubinTate 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
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 kalgebras, 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 pdivisible 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 pdivisible if and only if its Dieudonne module is a free Wp kmodule of finite
rank.
We shall think of a pdivisible 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 kalgebra, and A is a Wp kalgebra which is a padically complete and
separated, ptorsion free, and equipped with an isomorphism A/p
= A0 .
9.2. pdivisible 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 multiplicationbyp induces a continuous ring homomorphism
p
R[[G]] R[[G]].
Recall (Definition 6.10.4) that a finitedimensional formal group G over a perfect
field k is pdivisible if k[[G]]/p IG has finite rank as a kvector space.
Definition 9.2.1. A formal group G over a complete Noetherian local ring R is
pdivisible if R[[G]]/p IG is a free Rmodule 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 pdivisible 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.
FORMAL GROUPS
95
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 ]
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 .
M
M
V
M M,
with F V = p = V F . Once again, the kernel
F
0
Ker[0 MA0
M A0 ]
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
Finite free modules
pdivisible formal
G
over (A, ), with operators
.
groups over A0
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
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 moduleswithconnection
(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,
( 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
n+1
(0) . . . (0)1
s(u) = I + o(up ),
and
n
n+1
)(0) . . . (0)1 .
98
ANDO
lim up
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
n
X
(r1) d[ ],
r=0
hence
=
X
r0
(r1) d[ ]((r) )1 .
(9.4.6)
FORMAL GROUPS
99
(mod p)
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
0
0
M0
0 M0
M0
is exact.
{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
d[ ] has coefficients in pn 1A ;
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 pcurvature [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 pcurvature
of is the map
DerS [A0 , A0 ]
EndS [M ]
given by
(D) = Dp (D )p .
FORMAL GROUPS
101
0 M0
F0
1A0 Ker F0
1A0 0 M0
M0
1F0
1A0 M0 .
Of course this connection also has pcurvature 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 LubinTate 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 LubinTate 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, )
pdivisible formal
G
V 1 1 F,
an analogue of the relation
F 11V
FORMAL GROUPS
103
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 righthandside is a Witt vector by the ImageofWitt 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 Alinear as a map
on W
A
p R
p R,
W
W
by the section t, while F is an Alinear map
M
M.
For any Amodules W and M , there is an isomorphism of abelian groups
W M.
W M =
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
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 Amodule M and a functorial isomorphism
I M , G(B) G(B 0 )
A
Sk = A[[x1 , . . . , xn ]]/(x1 , . . . , xn )k .
If B is an adic Aalgebra 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 Aalgebras
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)
n
Now let A
G be any transformation of setvalued 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 setvalued 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
y
A
B 0 ,
I M I M,
A
106
ANDO
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
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
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
xp =
. ,
.
k
xpn
then
logGM x =
k1
...
k0
xp
.
pk
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
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 welldefined:
(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 Aalgebras 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
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 Aalgebras 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
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)
logGM,H y =
X
r0
yp
,
pr
FORMAL GROUPS
" r1
p
p
. . . u1
0
1
111
#
p .
0
This is the logarithm of the LubinTate 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 Amodule.
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 kmodule 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.
112
ANDO
crystals
10. The functor from formal groups to Dieudonne
10.1. Introduction. In this chapter we describe an inverse of the CartierBloch
functor which is due to Grothendieck, Messing, and MazurMessing.
10.2. The universal additive extension of a pdivisible 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 Amodule 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 Amodule of finite rank.
Hom[Ext[G, Ga ], Ext[G, Ga ]]
= Ext[G, Ga ] Ext[G, Ga ]
= Ext[G, V (G)].
= Hom[Ext[G, Ga ] , W ]
= FGps[V (G), W ].
y
y
=
y
y=
=
y
=y
W
G.
FORMAL GROUPS
113
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) pdivisible 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
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
E(G)
GM
which induces the isomorphism (10.3.1) on tangent spaces.
Sketch of proof. Since A is Ztorsion 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 ptypical 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
(10.3.4)
(10.3.5)
(10.3.6)
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 pdivisible, 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 mainspring 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 pdivisible 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 Amodule
Extrigid [G, Ga ]
of MazurMessing [MM74]. There are isomorphisms (of finite free Amodules)
1
(G/R).
(E(G))
= P HDR
= Extrigid [G, Ga ]
The first of these is the dual of the (finite free) Amodule 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 pdivisible 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)
(10.4.3)
a]
Extrigid [G, G
(E(G))
FORMAL GROUPS
117
=y
=y
y
(G)
Ext[G, Ga ]
(E(G))
p : Ext[G, Ga ] R,
such that E is a pushout
Ext[G, Ga ] Ga E(G) G
py
qy
=y
Ga
G.
p (V (G)) = (Ext[G, Ga ] Ga )
= Ext[G, Ga ].
py
qy
=y
a
G
G,
118
ANDO
(10.4.6)
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
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 LubinTate moduli problem into the language
of Dieudonn
e crystals. By the classical Dieudonne theory, a onedimensional
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 pdivisible. A
pdivisible 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
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
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 dividedpower 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 GrossHopkins, 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 Amodules 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 LubinTate 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
(11.2.1)
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
(11.2.2)
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
A Wp k
y
y
A0 0
determines an isomorphism
e(x)
x M M .
'
122
ANDO
such that
e(x)
x H
Hx .
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
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
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
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 LubinTate, 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
LubinTate 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
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
n1
X
kj
upj+1 mkj .
j=0
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
k1
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 kmodules
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
k1
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
k1
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
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]
FORMAL GROUPS
[DH93]
[GH94]
[Gro70a]
[Gro70b]
[Haz77]
[Haz78]
[HG94]
[Kat72]
[Kat81]
[KO68]
[Laz54]
[LT66]
[Mes72]
[MM74]
[Rav86]
[Rob63]
[Rob65]
[Ser68]
127
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