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287 Topics on Riemann surfaces and Fuchsian groups, E. BUJALANCE, A.F. COSTA & E. MARTNEZ (eds)

288 Surveys in combinatorics, 2001, J.W.P. HIRSCHFELD (ed)

289 Aspects of Sobolev-type inequalities, L. SALOFF-COSTE

290 Quantum groups and Lie theory, A. PRESSLEY (ed)

291 Tits buildings and the model theory of groups, K. TENT (ed)

292 A quantum groups primer, S. MAJID

293 Second order partial differential equations in Hilbert spaces, G. DA PRATO & J. ZABCZYK

294 Introduction to operator space theory, G. PISIER

295 Geometry and integrability, L. MASON & Y. NUTKU (eds)

296 Lectures on invariant theory, I. DOLGACHEV

297 The homotopy category of simply connected 4-manifolds, H.-J. BAUES

298 Higher operads, higher categories, T. LEINSTER (ed)

299 Kleinian groups and hyperbolic 3-manifolds, Y. KOMORI, V. MARKOVIC & C. SERIES (eds)

300 Introduction to Mbius differential geometry, U. HERTRICH-JEROMIN

301 Stable modules and the D(2)-problem, F.E.A. JOHNSON

302 Discrete and continuous nonlinear Schrdinger systems, M.J. ABLOWITZ, B. PRINARI & A.D. TRUBATCH

303 Number theory and algebraic geometry, M. REID & A. SKOROBOGATOV (eds)

304 Groups St Andrews 2001 in Oxford I, C.M. CAMPBELL, E.F. ROBERTSON & G.C. SMITH (eds)

305 Groups St Andrews 2001 in Oxford II, C.M. CAMPBELL, E.F. ROBERTSON & G.C. SMITH (eds)

306 Geometric mechanics and symmetry, J. MONTALDI & T. RATIU (eds)

307 Surveys in combinatorics 2003, C.D. WENSLEY (ed.)

308 Topology, geometry and quantum eld theory, U.L. TILLMANN (ed)

309 Corings and comodules, T. BRZEZINSKI & R. WISBAUER

310 Topics in dynamics and ergodic theory, S. BEZUGLYI & S. KOLYADA (eds)

311 Groups: topological, combinatorial and arithmetic aspects, T.W. MLLER (ed)

312 Foundations of computational mathematics, Minneapolis 2002, F. CUCKER et al (eds)

313 Transcendental aspects of algebraic cycles, S. MLLER-STACH & C. PETERS (eds)

314 Spectral generalizations of line graphs, D. CVETKOVIC, P. ROWLINSON & S. SIMIC

315 Structured ring spectra, A. BAKER & B. RICHTER (eds)

316 Linear logic in computer science, T. EHRHARD, P. RUET, J.-Y. GIRARD & P. SCOTT (eds)

317 Advances in elliptic curve cryptography, I.F. BLAKE, G. SEROUSSI & N.P. SMART (eds)

318 Perturbation of the boundary in boundary-value problems of partial differential equations, D. HENRY

319 Double afne Hecke algebras, I. CHEREDNIK

320 L-functions and Galois representations, D. BURNS, K. BUZZARD & J. NEKOVR (eds)

321 Surveys in modern mathematics, V. PRASOLOV & Y. ILYASHENKO (eds)

322 Recent perspectives in random matrix theory and number theory, F. MEZZADRI & N.C. SNAITH (eds)

323 Poisson geometry, deformation quantisation and group representations, S. GUTT et al (eds)

324 Singularities and computer algebra, C. LOSSEN & G. PFISTER (eds)

325 Lectures on the Ricci ow, P. TOPPING

326 Modular representations of nite groups of Lie type, J.E. HUMPHREYS

327 Surveys in combinatorics 2005, B.S. WEBB (ed)

328 Fundamentals of hyperbolic manifolds, R. CANARY, D. EPSTEIN & A. MARDEN (eds)

329 Spaces of Kleinian groups, Y. MINSKY, M. SAKUMA & C. SERIES (eds)

330 Noncommutative localization in algebra and topology, A. RANICKI (ed)

331 Foundations of computational mathematics, Santander 2005, L.M PARDO, A. PINKUS, E. SLI & M.J. TODD (eds)

332 Handbook of tilting theory, L. ANGELERI HGEL, D. HAPPEL & H. KRAUSE (eds)

333 Synthetic differential geometry (2nd Edition), A. KOCK

334 The NavierStokes equations, N. RILEY & P. DRAZIN

335 Lectures on the combinatorics of free probability, A. NICA & R. SPEICHER

336 Integral closure of ideals, rings, and modules, I. SWANSON & C. HUNEKE

337 Methods in Banach space theory, J.M.F. CASTILLO & W.B. JOHNSON (eds)

338 Surveys in geometry and number theory, N. YOUNG (ed)

339 Groups St Andrews 2005 I, C.M. CAMPBELL, M.R. QUICK, E.F. ROBERTSON & G.C. SMITH (eds)

340 Groups St Andrews 2005 II, C.M. CAMPBELL, M.R. QUICK, E.F. ROBERTSON & G.C. SMITH (eds)

341 Ranks of elliptic curves and random matrix theory, J.B. CONREY, D.W. FARMER, F. MEZZADRI &

N.C. SNAITH (eds)

342 Elliptic cohomology, H.R. MILLER & D.C. RAVENEL (eds)

343 Algebraic cycles and motives I, J. NAGEL & C. PETERS (eds)

344 Algebraic cycles and motives II, J. NAGEL & C. PETERS (eds)

345 Algebraic and analytic geometry, A. NEEMAN

346 Surveys in combinatorics 2007, A. HILTON & J. TALBOT (eds)

347 Surveys in contemporary mathematics, N. YOUNG & Y. CHOI (eds)

348 Transcendental dynamics and complex analysis, P.J. RIPPON & G.M. STALLARD (eds)

349 Model theory with applications to algebra and analysis I, Z. CHATZIDAKIS, D. MACPHERSON, A. PILLAY &

A. WILKIE (eds)

350 Model theory with applications to algebra and analysis II, Z. CHATZIDAKIS, D. MACPHERSON, A. PILLAY &

A. WILKIE (eds)

351 Finite von Neumann algebras and masas, A.M. SINCLAIR & R.R. SMITH

352 Number theory and polynomials, J. MCKEE & C. SMYTH (eds)

353 Trends in stochastic analysis, J. BLATH, P. MRTERS & M. SCHEUTZOW (eds)

354 Groups and analysis, K. TENT (ed)

355 Non-equilibrium statistical mechanics and turbulence, J. CARDY, G. FALKOVICH & K. GAWEDZKI

356 Elliptic curves and big Galois representations, D. DELBOURGO

357 Algebraic theory of differential equations, M.A.H. MACCALLUM & A.V. MIKHAILOV (eds)

358 Geometric and cohomological methods in group theory, M.R. BRIDSON, P.H. KROPHOLLER & I.J. LEARY (eds)

359 Moduli spaces and vector bundles, L. BRAMBILA-PAZ, S.B. BRADLOW, O. GARCA-PRADA &

S. RAMANAN (eds)

360 Zariski geometries, B. ZILBER

361 Words: Notes on verbal width in groups, D. SEGAL

362 Differential tensor algebras and their module categories, R. BAUTISTA, L. SALMERN & R. ZUAZUA

363 Foundations of computational mathematics, Hong Kong 2008, F. CUCKER, A. PINKUS & M.J. TODD (eds)

364 Partial differential equations and uid mechanics, J.C. ROBINSON & J.L. RODRIGO (eds)

365 Surveys in combinatorics 2009, S. HUCZYNSKA, J.D. MITCHELL & C.M. RONEY-DOUGAL (eds)

366 Highly oscillatory problems, B. ENGQUIST, A. FOKAS, E. HAIRER & A. ISERLES (eds)

367 Random matrices: High dimensional phenomena, G. BLOWER

368 Geometry of Riemann surfaces, F.P. GARDINER, G. GONZLEZ-DIEZ & C. KOUROUNIOTIS (eds)

369 Epidemics and rumours in complex networks, M. DRAIEF & L. MASSOULI

370 Theory of p-adic distributions, S. ALBEVERIO, A.YU. KHRENNIKOV & V.M. SHELKOVICH

371 Conformal fractals, F. PRZYTYCKI & M. URBANSKI

372 Moonshine: The rst quarter century and beyond, J. LEPOWSKY, J. MCKAY & M.P. TUITE (eds)

373 Smoothness, regularity and complete intersection, J. MAJADAS & A. G. RODICIO

374 Geometric analysis of hyperbolic differential equations: An introduction, S. ALINHAC

375 Triangulated categories, T. HOLM, P. JRGENSEN & R. ROUQUIER (eds)

376 Permutation patterns, S. LINTON, N. RUKUC & V. VATTER (eds)

377 An introduction to Galois cohomology and its applications, G. BERHUY

378 Probability and mathematical genetics, N. H. BINGHAM & C. M. GOLDIE (eds)

379 Finite and algorithmic model theory, J. ESPARZA, C. MICHAUX & C. STEINHORN (eds)

380 Real and complex singularities, M. MANOEL, M.C. ROMERO FUSTER & C.T.C. WALL (eds)

381 Symmetries and integrability of difference equations, D. LEVI, P. OLVER, Z. THOMOVA & P. WINTERNITZ (eds)

382 Forcing with random variables and proof complexity, J. KRAJCEK

383 Motivic integration and its interactions with model theory and non-Archimedean geometry I, R. CLUCKERS,

J. NICAISE & J. SEBAG (eds)

384 Motivic integration and its interactions with model theory and non-Archimedean geometry II, R. CLUCKERS,

J. NICAISE & J. SEBAG (eds)

385 Entropy of hidden Markov processes and connections to dynamical systems, B. MARCUS, K. PETERSEN &

T. WEISSMAN (eds)

386 Independence-friendly logic, A.L. MANN, G. SANDU & M. SEVENSTER

387 Groups St Andrews 2009 in Bath I, C.M. CAMPBELL et al (eds)

388 Groups St Andrews 2009 in Bath II, C.M. CAMPBELL et al (eds)

389 Random elds on the sphere, D. MARINUCCI & G. PECCATI

390 Localization in periodic potentials, D.E. PELINOVSKY

391 Fusion systems in algebra and topology M. ASCHBACHER, R. KESSAR & B. OLIVER

392 Surveys in combinatorics 2011, R. CHAPMAN (ed)

393 Non-abelian fundamental groups and Iwasawa theory, J. COATES et al (eds)

394 Variational Problems in Differential Geometry, R. BIELAWSKI, K. HOUSTON & M. SPEIGHT (eds)

395 How groups grow, A. MANN

396 Arithmetic Differential Operators over the p-adic Integers, C.C. RALPH & S.R. SIMANCA

397 Hyperbolic geometry and applications in quantum Chaos and cosmology, J. BOLTE & F. STEINER (eds)

LO N D O N MAT HE MAT ICAL SOCIE TY LECTU RE

NOT E SE RIE S : 396

over the p-adic Integers

C L A I R E C. R A L P H

Cornell University, USA

S A N T I A G O R. S I M A N C A

Universit de Nantes, France

c am b r i dge u n i ve r s i t y pr e ss

Cambridge, New York, Melbourne, Madrid, Cape Town,

Singapore, So Paulo, Delhi, Tokyo, Mexico City

Cambridge University Press

The Edinburgh Building, Cambridge CB2 8RU, UK

Published in the United States of America by Cambridge University Press, New York

www.cambridge.org

Information on this title: www.cambridge.org/9781107674141

and to the provisions of relevant collective licensing agreements,

no reproduction of any part may take place without the written

permission of Cambridge University Press.

A catalogue record for this publication is available from the British Library

accuracy of URLs for external or third-party internet websites referred to in

this publication, and does not guarantee that any content on such websites is,

or will remain, accurate or appropriate.

Contents

1 Introduction page 1

2 The p-adic numbers Qp 8

2.1 A pragmatic realization of Qp 11

2.2 The p-adic integers Zp and their eld of fractions 13

2.3 The topology of Qp 15

2.4 Analytic and algebraic properties of Qp 17

2.5 (p 1)-roots of unity in Qp 20

3 Some classical analysis on Qp 23

3.1 The ArtinHasse exponential function 30

3.2 The completion of the algebraic closure of Qp 33

3.3 Zeta functions 38

4 Analytic functions on Zp 48

4.1 Strassmanns theorem 53

5 Arithmetic dierential operators on Zp 55

5.1 Multiple primes I 61

6 A general view of arithmetic dierential operators 65

6.1 Basic algebraic concepts 67

6.2 General p -functions: arithmetic jet spaces 73

6.3 The analogue of a p -linear operators for group

schemes 82

6.4 Multiple primes II 86

7 Analyticity of arithmetic dierential operators 103

8 Characteristic functions of discs in Zp : p-adic

coordinates 107

8.1 Characteristic functions of discs of radii 1/p 107

8.2 Characteristic functions of discs of radii 1/pn 116

v

vi Contents

ordinates 119

9.1 A matrix associated to pm 120

9.2 Analytic functions and arithmetic dierential

operators 122

10 Some dierences between -operators over Zp and

ur

Z 127

p

References 135

Index 138

1

Introduction

introduction to the study of arithmetic dierential operators over the

p-adic integers Zp . These are the analogues of the usual dierential op-

erators over say, the ring C[x], but where the role of the variable x is

replaced by a prime p, and the roles of a function f (x) and its deriva-

tive df /dx are now played by an integer a Z and its Fermat quotient

p a = (a ap )/p.

In making our presentation of these type of operators, we nd no bet-

ter way than discussing the p-adic numbers in detail also, and some of

the classical dierential analysis on the eld of p-adic numbers, empha-

sizing the aspects that give rise to the philosophy behind the arithmetic

dierential operators. The reader is urged to contrast these ideas at will,

while keeping in mind that our study is neither exhaustive nor intended

to be so, and most of the time we shall content ourselves by explain-

ing the dierential aspect of an arithmetic operator by way of analogy,

rather than appealing to the language of jet spaces. But even then, the

importance of these operators will be justied by their signicant ap-

pearance in number theoretic considerations. One of our goals will be to

illustrate how dierent these operators are when the ground eld where

they are dened is rather coarse, as are the p-adic integers Zp that we

use.

In order to put our work in proper perspective, it is convenient to

introduce some basic facts rst, and recall a bit of history. Given a

prime p, we may dene the p-adic norm p over the eld of rational

numbers Q. The completion of the rationals in the metric that this norm

induces is the eld Qp of p-adic numbers, and this eld carries a non-

Archimedean p-adic norm extending the original p-adic norm on Q. This

is the description of Qp as given by K. Hensel circa 1897 (see, for instance,

1

2 Introduction

[28]). Two decades later, A. Ostrovski [39] proved that any nontrivial

norm on Q is equivalent to either the Euclidean norm or to a p-adic norm

for some prime p. In this way, there arose the philosophical principle that

treats the real numbers and all of the p-adic numbers on equal footing.

In the twentieth century, the p-adic numbers had a rich history. We

briey mention some major results.

The idea that studying a question about the eld Q can be answered

by putting together the answers to the same question over the elds R

and Qp for all ps was born with the HasseMinkowskis theorem. This

states that a quadratic form over Q has a nontrivial zero in Qn if, and

only if, it has a nontrivial zero in Rn and a nontrivial zero in Qnp for

each prime p. This theorem was proven by Hasse in his thesis around

1921 [27], the problem having been proposed to him by Hensel who had

proven the n = 2 case a few years earlier. Such a principle fails for cubics.

The development above came after several interesting results that pre-

ceded the introduction of the p-adic numbers. The local-to-global princi-

ple embodied in the HasseMinkowski theorem had a precedent in Rie-

mannian geometric, since as recently as 1855, Bonnet had proved that

if the curvature of a compact surface was bounded below by a positive

constant, then its diameter was bounded above by a quantity depending

only on the said constant. Strictly on the arithmetic side of things, in

the seventeenth century J. Bernoulli dened the Bernoulli numbers Bk ,

the coecients in the expansion et /(et 1) = k Bk tk /k!, used them

m

to compute closed-form expressions for the sums j=0 j n , and devel-

oped several identities that these numbers satisfy. A century later, the

Bernoulli numbers were used by Euler to show heuristically that if is

the Riemman zeta function, then (1 k) = n=1 1/n1k = Bk /k for

any integer k 2. In the mid nineteenth century, Riemman proved that

(s) = n=1 1/ns is a meromorphic function on the complex plane C,

giving Eulers argument complete s sense. Further, he used the Gamma

s2

function to dene (s) = 2 (s) and proved the functional equa-

tion (s) = (1 s). The intimate relationship between the Bernoulli

numbers and the values of (s) at negative integers led to the idea that

these numbers have profound arithmetical properties, a fact discovered

by Kummer in his work on Fermats last theorem circa 1847. The ideal

class group of Q(N ), N a primitive N -th root of unity, is the quotient

of the fractional ideals of Q(N ) by the set of principal ideals, and it

turns out to be a group of nite order hN with respect to ideal multipli-

cation. A prime p is said to be regular if p hp , and irregular otherwise.

Kummer proved that p is regular if, and only if, p does not divide the

Introduction 3

all regular primes. He also proved that, if m n 0 mod p 1, then

Bm /m Bn /n mod p, the congruences that are nowadays named after

him. They led to the proof that that there are innitely many irregular

primes. Since heuristically it can be proven that there is a large per-

centile of regular primes, Kummers ideas had remarkable implications

in the study of Fermats last theorem. Thus, algebraic number theory

and the theory of L-functions were born and replaced the elementary

methods used before him in the analysis of this problem.

C. Chevalley dened the ad`ele ring and id`ele group [20], and used them

to reformulate class eld theory [21] around 1932. For convenience, if we

denote by the Euclidean norm in R, which we think of as Q , the

eld of p-adic numbers corresponding to p = , we take the Cartesian

product Q p Qp , and dene the ad`ele ring AQ to be

AQ = (a , a2 , a3 , a5 , . . .) Q Qp : ||ap ||p 1 for almost all ps .

p

component-wise; it contains an isomorphic image of Q via the mapping

aQ

Q q (q, q, . . .) AQ .

For a Q p Qp , we dene ||a||p = ||ap ||p . Then a AQ if, and only

if, ||a||p 1 for all but nitely many ps. The subset IQ of AQ consisting

of all as such ||a||p = 0 for all ps, and ||a||p = 1 for all but nitely many of

them, is the id`ele multiplicative group. It contains an isomorphic image

of Q by restriction of the mapping aQ above. If F is an extension of

Q, the norms on Q can be extended to norms on F , and we naturally

dene IF also. There is a norm homomorphism IF IQ , and its image

N (IF /IQ ) is a group. The Galois group of F/Q is naturally isomorphic

to IQ /Q N (IF /IQ ). Chevalley proved this fact using the local theory,

avoiding the use of tools from analytic number theory. He generalized it

also for number elds, elds that are extensions of Q of innite degree.

In his thesis, J. Tate used real harmonic analysis on the ad`eles to

prove functional equations for the Riemann zeta function. T. Kubota

and H.W. Leopoldt [32] introduced a p-adic version of the Riemann zeta

function, and used it to interpret Kummers congruences for Bernoulli

numbers mentioned above, which date back to 1851. Y.I. Manin and

B. Mazur [38] interpreted the result of Kubota and Leopoldt in terms

of a p-adic Mellin transform, and found p-adic interpretations of L-

4 Introduction

as Galois groups of some innite cyclotomic extensions. K. Iwasawa con-

sidered the completed group algebras of these Galois groups, which act

on class groups and make them modules over the completed groups.

These modules have some invariants. Iwasawa conjectured that these

invariants could be read o from classical Dirichlet L-functions after a

p-adic interpolation, using the p-adic Mellin transform. This conjecture

was proved by B. Mazur and A. Wiles [33]. Triggered by the work of

Tate, B. Dwork studied p-adic dierential equations, and gave a p-adic

proof of the rationality of Weils zeta function [23], taking then a major

step in the settling of all of the Weil conjectures about this function

[48], work that was completed by P. Deligne [22]. J.-P. Serre and N.

Katz studied several other p-adic functions of arithmetic interest, and

A. Grothendieck studied p-adic cohomology and crystalline cohomology.

The list of problems in the eld is outstanding, and the list of contrib-

utors to their understanding and resolution is important. We have not

come even close to exhausting either one. But we can now retake the

main theme of our work in this introduction with a better perspective

in mind.

In the course of modern mathematical history, analogies between func-

tions and numbers have played an important role in the development of

number theory. The fundamental theorems of algebra and arithmetic

can be seen as counterparts to each other, with the integers 1, 0 and 1

playing the role of the constant polynomials in C[x]. This point of view is

once again motivational to the philosophy of arithmetic dierential oper-

ators, the idea at the level of the integers Z being to nd an appropriate

substitute p : Z Z for the derivative operator

d

x = : C[x] C[x] .

dx

Indeed, given a number x, lets us think of it as a function, and

consider the expression x xp , one that makes frequent appearances in

number theoretic considerations. For Fp , the nite eld of p elements, the

identity x xp = 0 holds for all elements. In the more general situation,

we can restrict our attention to numbers such that x xp 0 mod p.

We think of x as a function of p, and interpret the dierence x xp as

the variation of x as its argument changes to p. We then use the Fermat

quotient

x xp

p x = ( )

p

Introduction 5

This is the notion that we shall be studying here, most of the time

restricting our attention to xs that are taken from the ring of p-adic

integers Zp . At this point, though, this quotient is just a heuristic state-

ment.

The theory of arithmetic dierential operators that ensues from the

idea outlined above was proposed by A. Buium [6, 8], with p serving in

the role of the arithmetic analogue of the operator x on the polynomial

ring C[x]. At the purely arithmetic level, it serves also as a substitute

for Dworks operator

d

: Fp [x] Fp [x]

dx

in his theory of p-adic dierential equations over the dierential eld

Fp [x], Fp the algebraic closure of the eld Fp with p-elements. In Dworks

theory [25], the xs are still being viewed as an argument to the func-

tions rather than as functions themselves. But the arithmetic dieren-

tial operator p exhibits an additional fundamental dierence with the

Dworks operator that is worth pointing out now: p is highly nonlin-

ear, with additivity holding only modulo a lower order term measured

by a polynomial with integer coecients, and a Leibniz rule that holds

but only highly intertwined with the p-th power homomorphism, and

modulo terms that are p-adically smaller.

In fact, more can be said at this point. If we were to develop a dier-

ential theory with operators of the type

du dr u

u P u, , . . . , r

dx dx

where P (x0 , . . . , xr ) is a polynomial function, we would obtain the

RittKolchin theory of ordinary dierential equations with respect

d d

to dx , cf. [41, 30, 19]. This would lead to the notion of the dx -character

of an algebraic group, which should be viewed as the analogue of a linear

ordinary dierential operator on an algebraic group (cf. to the Kolchin

logarithmic derivative of algebraic groups dened over Z ur , [30, 19], and

p

the Manin maps of Abelian varieties dened over Z ur

p [[q]] [38, 12], Zp

ur

the unramied completion of the ring of p-adic integers).

If instead we were to develop a theory with operators that are the

p-adic limits of P (u, p u, . . . , pr u), P (x0 , . . . , xr ) a polynomial, we would

then obtain the arithmetic analogue of the ordinary dierential equations

of Buium, as found in [8, 9, 6]. In particular, we would then arrive at

6 Introduction

of a linear ordinary dierential equation on a group scheme.

In this monograph, we apply and study Buiums idea over the rather

coarse ring of p-adic integers Zp . We think of the elements in this ring

as functions over a space of dimension zero that vary innitesimally ac-

cording to the heuristic equation ( ) at the prime p. The ensuing notion

of derivative is the one alluded to in the title, and on which we shall elab-

orate extensively in what follows. We will pause at some point to dene

these arithmetic operators with the generality given in Buiums work.

This will benet the interested reader while allowing us to contrast the

behaviour of these operators when dened over Zp or Z ur . Ultimately,

p

it is the fact that we can cast these operators as global functions on

a suitable arithmetic jet space, for any smooth scheme of nite type,

which allows for their interpretation as dierential operators of sorts,

the way the usual dierential operators on a manifold are sections of its

jet bundles.

Given such a notion of arithmetic derivative, we then may dene in the

obvious manner an arithmetic dierential operator of order n, where n is

an arbitrary positive integer. Over the ring of p-adic integers Zp , we have

also the classical notion of an analytic function. We shall show that all

arithmetic dierential operators turn out to be analytic functions. Quite

remarkably in fact, characteristic functions of p-adic discs are shown

to be equal to arithmetic operators of an order that depends upon the

radius of the disc, generalizing a result that we rst prove via an explicit

construction, namely that the characteristic function of a disc of radius

1/2 over the 2-adic integers is an arithmetic dierential operator of order

one. The extended result for a general prime is a bit surprising, point

upon which we will elaborate in due course.

We organize our work as follows: in Chapter 2, we summarize the

construction of the p-adic numbers and the p-adic integers, describe its

topology as a metric space, its analytic and algebraic properties, and

study the (p 1)-roots of unity in it. In Chapter 3 we study some results

from classical analysis on Qp , including Mahlers theorem that estab-

lishes a bijection between the sets of restricted sequences and that of con-

tinuous functions on Zp , we present basic properties of the

ArtinHasse function, and study the analytic completion of the alge-

braic closure of Qp , the p-adic alter ego of the complex numbers that

result when we complete Q in the Euclidean metric instead. In Chapter

4 we introduce the set of analytic functions as a required preliminary to

our discussion later on. The arithmetic dierential operators make their

Introduction 7

momorphisms. This in turn allows us to prove that equation ( ) denes

the only arithmetic dierential operator over Zp since this ring carries

just one automorphism. Using it as a building block, we dene an arith-

metic dierential operator of any order. We discuss also the basic rings

that must be used in the theory when we have multiple primes, essen-

tially to indicate the additional diculties that arise then. In Chapter 6

we pause to dene arithmetic operators in general, developing succinctly

the theory of arithmetic jet spaces of Buium. In order to make things

easier for analysts not accustomed to algebraic concepts, we present a

list of the concepts from commutative algebra and schemes that are

needed in the development of the general theory. In the case of group

schemes, we discuss the characters that have been alluded to earlier, the

analogs in the theory of the linear dierential operators. And we outline

the theory for multiple primes also, in a succinct manner. In Chapter 7

we prove that all arithmetic dierential operators over Zp are analytic

functions. In Chapter 8 we study characteristic functions of p-adic discs

from the point of view of the theory of arithmetic dierential operators,

and prove that they are indeed dierential operators of an order depend-

ing upon the radii of the discs. The prime p = 2 manifests itself in a

rather special manner here, as we are able to prove by way of a direct

argument that the characteristic function of a discs of radius 1/2 over

the 2-adic integers is an arithmetic dierential operator of order one.

This work is carried out in standard coordinates, and leads to some for-

mal power series representations of the characteristic functions when the

prime in question is singular, a concept that we dene then. In Chapter

9 we work with harmonic coordinates, and improve signicantly upon

the result in the previous chapter, showing that all analytic functions on

Zp are arithmetic dierential operators, with the order being equal to

the level of analiticity. This last concept had made its rst appearance

earlier, in the context of Chapter 4. Finally, in Chapter 10, we exhibit

some fundamental dierences in the behavior of arithmetic dierential

operators that manifest when we work over the ring Z ur

p instead of Zp .

In particular, we indicate how to show that as soon as we adjoin one

unramied root of unity to Zp , the counterpart of the theorem above on

the characteristic function of discs no longer holds.

2

The p-adic numbers Qp

numbers with respect to the p-adic norm. In this chapter, we explain

their construction from various points of view, all, of course, equivalent

to each other.

Let p Z be a prime that we x hereafter. For a Z, we let ordp a

be the exponent of p in the prime factorization of a, that is to say, the

integer l such that a = pl r, where r Z is not divisible by p. This

notion is extended to a rational number q = a/b by setting ordp q =

ordp a ordp b, and the resulting function is multiplicative, that is to

say, it has the property that ordp q1 q2 = ordp q1 + ordp q2 . We then

dene the p-adic norm function on Q by

1

||q||p = . (2.1)

pordp q

In the resulting norm on Q, a rational q has ||q||p 1 if, and only if,

the denominator b of its reduced rational form a/b is not divisible by p.

Integers are closer to each other in the metric dp on Q the higher the

power of p that divides their dierence. So, for instance,

1

d5 (2, 1) = ||1 2||5 = 1, while d5 (2, 127) = ||2 127||5 = .

53

The p-adic norm satises a condition stronger than the triangle in-

equality. Indeed, if q = a/b and r = c/d, since the biggest power of p

that divides ad+bc is at least the minimum of the biggest power dividing

8

The p-adic numbers Qp 9

ad + bc

ordp (q + r) = ordp

bd

min {ordp ad, ordp bc} ordp b ordp d

= min {ordp a + ordp d, ordp b + ordp c} ordp b ordp d

= min {ordp a ordp b, ordp c ordp d}

= min {ordp q, ordp r} ,

and therefore,

1

||q + r||p = max {pordp q , pordp r } = max {||q||p , ||r||p } .

pordp (q+r)

(2.2)

The triangle inequality now follows readily. This stronger inequality

(2.2), referred to as the non-Archimedean property of p , produces

some geometric results that contrast a bit with those from our more

traditional point of view in Euclidean geometry. Triangles, for instance,

are all isosceles.

For let us assume that we have a triangle with vertices at 0, q and r,

respectively. We then know that ||q r||p max {||q||p , ||r||p }. If ||q||p <

||r||p , the non-Archimedean property of the norm implies that

||q r||p ||r||p .

Since ||r||p = ||q (q r)||p max {||q||p , ||q r||p }, it follows that

||r||p ||q r||p

also. Thus, ||r||p = ||q r||p and so, in the geometry generated by p ,

all triangles are isosceles, with the two largest sides equal to each other

in length. Sometimes we shall refer to this as the isosceles triangle

property of p .

Now we describe briey the general process that denes Qp as the

metric completion of Q in the distance dened by the p-adic norm. This

yields Qp as the unique complete eld, up to isometric isomorphism,

that contains a p -isometric dense copy of the eld Q.

We say that a sequence {qn } of rational numbers is Cauchy with re-

spect to the norm p , if for any real number > 0 there exists N such

that ||qn qm ||p < for all n, m N . We say that the sequence {qn } is

null if for any > 0 there exists N such that ||qn ||p < for all n N .

Given rational Cauchy sequences {qn } and {rn }, we dene their ad-

dition and multiplication by

{qn } + {rn } = {qn + rn } , {qn }{rn } = {qn rn } .

10 The p-adic numbers Qp

Let R be the set of all rational Cauchy sequences, and let M be the

subset of all null sequences. The operations above provide R with a ring

structure, and M becomes an ideal in R. In fact, M is a maximal ideal.

For if {qn } R is not null, there exists an > 0 and an integer N such

that ||qn ||p > for any n > N , and we may set

0 for nN,

rn = 1

for n>N.

qn

sequence {qn }. Since the sequence {1, . . . , 1, 0, 0, . . .} is null, the argu-

ment above with rn would imply that the constant sequence {1, 1, . . .}

must be contained in I, and so I would have to be equal to R. Thus, M

is a maximal ideal. The quotient eld R/M is, by denition, the eld of

p-adic numbers Qp .

An additional detail exhibits a fundamental dierence between this

construction of Qp and the analogous construction of R as the completion

of Q in the Euclidean norm. Given a p-adic number = {qn } + M , if the

Cauchy sequence {qn } is null, we set ||||p = 0. Otherwise, there exist

a positive real number and an integer N such that ||qn ||p > for any

n > N . We may choose N suciently large so that ||qn qm ||p < for

n, m > N also. Then, by the isosceles triangle property, we have that

||qn ||p is constant for all n > N , and so we may dene

n

Using this extension, we may also extend the notion of p-adic order.

In the construction of R as the completion of Q in the Euclidean norm,

this said norm admits an extension to a norm on R as well. However, in

spite of the fact that their constructions derive from exactly the same

procedure, this and the p-adic norm above exhibit a substantial dier-

ence. For unlike the case of the Euclidean norm on R, the extended

p -norm on Qp still ranges over the set {0} {pn }nZ , the same range

this norm function has over Q, whereas, for R, the range of the Euclidean

norm is R itself.

2.1 A pragmatic realization of Qp 11

Q Qp = R/M

q {q} + M ,

where {q} stands for the constant sequence all of whose terms are equal

to q. It denes an isometric isomorphism onto its image, which by abuse

of notation we denote by Q also. It is dense in Qp . For if = {qn }+M

Qp , and > 0 is arbitrary, there exists some N such that ||qn qm ||p <

for n, m > N . Then for any n > N , the constant rational sequence

= {qn , qn , qn , . . .} is such that || ||p = limm ||qm qn ||p .

That Qp is complete follows by construction. If n is a Cauchy se-

quence in Qp , we may nd a sequence q1 , q2 , . . . in Q such that

1

||n qn ||p < , n = 1, 2, . . . .

n

Since

||qn qm ||p ||qn n ||p + ||n m ||p + ||m qm ||p ,

the said rational sequence is Cauchy also, and its limit in Qp exists. We

set limn qn = , so = {qn } + M . Since

|| n ||p || qn ||p + ||qn n ||p ,

we see that the original sequence n has limit in Qp .

It is convenient to have a pragmatic description of the elements of Qp

that allows us to carry calculations with some ease. We show one of these

next, describing a p-adic number in a way analogous to the description

of a real number by, say, its decimal expansion.

Let Qp . Since its p-adic norm is some integer power of p, we may

write as

n

= pn u , where ||||p = ||p||p , ||u||p = 1 . (2.3)

The unit u is the limit of some rational sequence {rj }. Let N be an

integer such that ||u rj ||p < 1 for all j N . By the isosceles triangle

property, we have that ||u||p = ||rj ||p = 1 for these js. Thus, rj is a

rational unit, and

u + M = rj + M .

12 The p-adic numbers Qp

We set qn = rN .

Since qn is a rational unit, qn = an /bn , where an and bn are relatively

prime to p. In particular, there exist integers v, w such that

vbn + wp = 1 ,

an an (1 vbn )

qn an v = an v = ,

bn bn

and the right side has p-adic norm less than 1.

We denote by P the set of p-adic numbers of p-adic norm less than 1.

If we set cn = an v Z, we then have that

u + P = qn + P = cn + P

and

||u cn ||p < 1 , || cn pn ||p < ||pn ||p .

Thus,

= upn = cn pn + (u cn )pn = cn pn + 1 ,

n

where 1 = (u cn )pn is a p-adic number such that ||1 ||p < ||p||p . We

m

must then have ||1 ||p = ||p||p for some m > n, and we can iterate the

procedure started in (2.3) with the role of now played by 1 . Since

n+j

||p||p 0 as j , we conclude the following.

= cj pj , (2.4)

j=n

n

where each cj is an integer, and ||||p = ||p||p . The representation is

unique if each coecient cj is chosen in the range 0 cj p 1.

The expansion

cn cn+1

= + n1 + + c0 + c1 p + c2 p2 +

pn p

is usually abbreviated as

= cn cn+1 . . . c0 .c1 c2 . . . .

2.2 The p-adic integers Zp and their eld of fractions 13

3-adic norm 1, and the only integer c0 in the range 0 c0 < 3 such that

the 3-adic norm of 1/5 c0 is less than 1 is c0 = 2. We have

1 1 9 1

=2+ 2 = 2 = 2 32 . (2.5)

5 5 5 5

Hence, the coecient c1 is zero, c2 = 1 because

1 1 2

= 1 + 1 = 1 3,

5 5 5

and we have

1 2

= 2 + 1 32 33 .

5 5

Now we see that

2 4 1

= 2 3 = 2 + 1 3 33 ,

5 5 5

and therefore

1 1

= 2 + 1 32 + 2 33 + 1 34 36 .

5 5

Thus, c3 = 2, c4 = 1, c5 = 0, and comparing with (2.5), we conclude

that c6 = c2 , and that the 3-adic expansion of 1/5 must be periodic,

with period 0121. In other words, we have

1

= 2.01210121 . . .

5

in Q3 .

1 plk

1 + pk + p2k + + p(l1)k =

1 pk

1

converges p-adically to 1p k , and ideas similar to the one above, we

can show that Qp is an element of Q if, and only if, its canonical

expansion (2.4) is periodic.

The set Zp of p-adic integers is dened by

Zp = { Qp : ||||p 1} ,

14 The p-adic numbers Qp

n = 0 or above. By the non-Archimedean property (2.2) of the p-adic

norm, Zp is a subring of Qp . From this point on, the elements of Z will

be referred to as rational integers, reserving the term integer for the

elements of Zp instead.

We shall say that two p-adic numbers , are congruent mod pn if

|| ||p pn , and write mod pn . This is equivalent to saying

that ( )/pn Zp , that is to say, the expansion of contains

a nonzero coecient no sooner than in the pn -th position. Clearly, this

notion extends the congruence mod pn over Z.

We denote by pn Zp the ideal generated by pn in Zp . The congruence

mod pn simply says that pn Zp . The set P of p-adic

numbers of norm less than 1 used in the previous section is just pZp , a

maximal ideal in Zp .

n1

If = j=0 cj pj is an element of Zp , we let an = j=0 cj pj . This

denes a sequence of rational integers, and

an = pn cj pjn = pn

j=n

an mod pn , n = 1, 2, . . . (2.6)

and

an+1 an mod pn ,

of this form, and these congruences characterize the p-adic integer in

question.

by

n1

an = 3 10j .

j=0

said sequence yields a 5-adic number as n . This limit is in fact the

number 1/3. For we have that 3an = 10n 1, and so ||3an + 1||5 0.

Of course, we could have used the prime 2 instead, and show that the

said sequence converges to 1/3 in Q2 also.

2.3 The topology of Qp 15

ring of classes of integers mod pn , we obtain an obvious and natural

surjective homomorphism

n : An An1 ,

with kernel pn1 An , and the sequence

An An1 A2 A1 (2.7)

forms a projective system indexed by the whole numbers. Then we

may dene Zp to be the projective limit of the system (An , n ) above,

Zp = lim

(An , n ), where by denition, an element of this limit is a

sequence {an } with an An such that n (an ) = an1 . Addition and

multiplication are dened component-wise. If each An is given the dis-

crete topology, Zp is a subring of the space An endowed with the

product topology, which is compact. Thus, Zp inherits a topology that

makes it into a compact space, being a closed subspace of the compact

ambient space where it is embedded.

If n : Zp An is the n-th component function, we have the short

exact sequence

pn

0 Zp Zp

n

An 0 ,

which permits to realize the identication of Zp /pn Zp with An = Z/pn Z.

The congruences (2.6) exhibit explicitly this identication.

The eld Qp is the eld of fractions of Zp , Qp = Zp [p1 ].

As a metric space, the topology of Qp is given by the basis of open sets

consisting of discs of the form

a + pn Zp = D(a, pn ) = {x Qp : ||x a||p 1/pn }

for any center a Qp and radius pn .

Lemma 2.4 If b D(a, pn ), then D(a, pn ) = D(b, pn ).

In other words, every point of the disc D(a, pn ) is a center.

Proof. If x D(a, pn ), the non-Archimedean property of p implies

that ||x b||p = ||x a + a b||p max {||x a||p , ||a b||p } pn , and

so D(a, pn ) D(b, pn ). The opposite inclusion follows by reversing

the roles of a and b in this argument.

16 The p-adic numbers Qp

them must be contained in the other. We thus see that all of the basis

elements of the topology of Qp are also closed sets; for given any a Qp ,

we have that Qp \ (a + pn Zp ) = aQp \(a+pn Zp ) (

a + pn Zp ) is a union of

basis elements.

Given a subset X of Qp , we shall sometimes let DX (a, pn ) stand for

the relative disc D(a, pn ) X.

The ring of integers Zp inherits the subspace topology, with its basis of

open sets given by {(a + pn Zp ) Zp }aQp . Since the rational integers are

dense in Zp , and every point of a disc is a center, the countable family

{(a + pn Zp )}nZ

aZ,0a<pn constitutes a basis for the topology of Zp also.

If n is any nonnegative rational integer, the collection

n

1

{DZp (a, pn )}pa=0

forms a covering of Zp by discs that are pairwise disjoints. Below we

shall use this fact on several occasions.

We have observed the compactness of Zp earlier, when we derived

the p-adic integers as a projective limit. Since that argument makes

use of Tychonos theorem, we pause to provide a simpler proof of the

compactness of Zp proceeding directly, from the denition.

Proposition 2.5 The space Zp is compact. The space Qp is locally

compact.

Proof. We need to prove that any covering of Zp has a nite subcov-

ering. Since open sets are unions of discs, it suces to show that an

arbitrary covering of Zp by discs {D(ai , pni )}iI

ai ,ni Z,0ai <pni , where I

is some index set, has a nite subcovering. We prove that there exists a

nite subset I of I such that {D(ai , pni )}iI covers Zp also.

If at least one of the ni s is less or equal than zero, the radius of the

corresponding disc would be greater or equal than one, and by Lemma

2.4, that single disc would suce to cover Zp . Thus, we only need to

consider the case where ni > 0 for each i I. Under this assumption,

= inf{ni : i I}. Then, there exists at least one disc in the given

let n

covering of radius pn .

For each rational integer a, let na be an integer such that a is contained

in a disc of the given covering of radius 1/pna , and dene

N = max{na : 0 a pn 1} .

We know that

Zp = pj=01 DZp (j, pN ) ,

N

2.4 Analytic and algebraic properties of Qp 17

and by Lemma 2.4 and the remark immediately after its proof, we con-

clude that for each of the discs D(j, pN ) there exists an index ij I

such that D(j, pN ) D(aij , pnij ). If I = {i0 , . . . , ipN 1 }, we then

have that

Zp iID(ai , pni ) ,

That Qp is locally compact follows since the linear mapping x

a + pn x is a homeomorphism between Zp and the disc D(a, pn ), respec-

tively.

by showing that Zp is sequentially compact, which on metrizable spaces

is equivalent. Indeed, given any sequence {n } in Zp , we can construct

a subsequence all of whose elements have the same rst digit in their

p-adic expansions (2.4), and by iteration of this argument k times, nd a

subsequence {nk j } j=1 such that the rst k digits in the p-adic expansions

of all the nk j s coincide. We then diagonalize to dene a subsequence

{nj j } of {n } that converges by choosing the rst element of the rst

subsequence, the second of the second, and so on.

Proof. Let S be any subset with more than one point. If x and y are

two elements of S, then we have that ||x y||p > 0, and if D = {z

S : ||z x||p < ||x y||p }, then the pair of open sets D, S \ D forms a

separation of S.

Let p and p be two distinct primes. Since the sequence {pn } converges in

Qp but not in Qp, as topological elds, Qp and Qp are not isomorphic.

We show here that, in fact, they are not even isomorphic as elds. This

shall follow by a simple analysis of solutions to quadratic equations.

Let us consider the polynomial f (x) = x2 a, where a Z is not

divisible by p2 . If p divides a then f cannot have a root in Qp . For if

= a is in Qp , since ||a||p = || a||p || a||p , we must have that || a||p =

1

||p||p2 , which is not possible because p ranges over integer powers of

||p||p .

If p does not divide a and we can nd a p-adic number such that

18 The p-adic numbers Qp

that

a21 a mod p , (2.8)

which says that a is a quadratic residue mod p. If p is an odd prime, this

equation has two solutions in the range 1 a1 p 1. Proceeding by

induction, we nd two sequences of rational integers {an } that converge

to p-adic numbers a such that a an mod pn , and where the starting

element a1 is equal to each one of the said solutions of the congruence

(2.8), respectively. Thus, f has two distinct roots in this case.

If a is a quadratic nonresidue mod p, then f cannot have a root Qp .

For otherwise, there would exist c Z such that

+ pZp = c + pZp ,

and so,

a + pZp = 2 + pZp = c2 + pZp ,

which implies that

c2 a mod p .

Thus, a would be a quadratic residue, contrary to the original assump-

tion.

The argument given above is truly built on the p-adic version of New-

tons iteration algorithm. We provide some of the details of this in order

to explain the extra care that must be exercised in our argument in the

case when the prime p is 2.

Indeed, if f is any monic polynomial in Zp [x], and we have a1 Z

such that ||f (a1 )||p < 1, then the sequence given by

an+1 = an (f (an ))1 f (an ) (2.9)

is expected to converge to a root of f under suitable

hypothesis

on the

p-adic norm of f (a1 ). Indeed, if we assume that f (a1 ) = 1, by the

p

Taylor expansion

f (x + h) = f (x) + hf (x) + h2 ef (x, h) ,

we see that

2

f (a1 ) f (a1 ) f (a1 )

f (a2 ) = f (a1 ) f (a1 ) + ef a1 , ,

f (a1 ) f (a1 ) f (a1 )

where the error ef (a1 , f (a1 )/f (a1 )) has p-adic norm bounded above

2.4 Analytic and algebraic properties of Qp 19

2

by 1. Then, ||f (a2 )||p ||f (a1 )||p , and ||a2 a1 ||p ||f (a1 )||p . Proceeding

by induction, we see that

n1

2n

||an+1 an ||p ||f (a1 )||2p , ||f (an+1 )||p ||f (a1 )||p .

Thus,

a = a1 + (a2 a1 ) + (a3 a2 ) + = lim an

n

This argument must be modied slightly when dealing with the prime

p = 2 and the quadratic polynomial f (x) = x2 a. For in this case,

f (a1 ) = 2a1 will have relatively small norm, which aects the conver-

Butit does not prevent it. For if f (a1 )

gence rate of the iteration scheme.

has norm less than 1, and 0 = f (a1 ) < 1, as long as we assume that

p

f (a1 )/f (a1 )2 has p-adic norm less than 1, the iteration scheme above

produces a sequence that converges p-adically to a root of f .

By applying this iteration scheme to our quadratic polynomial for all

possible choices of the prime p, we obtain the following result.

sider the equation x2 a = 0. Then:

b). If p = 2 and p a, the equation has two solution in Qp if a is a

quadratic residue mod p, and no solution if it is not.

c). If p = 2 and 2 a, the equation has two solutions in Qp if a is

congruent to 1 mod 8, and no solution if it is not.

say, p < p. If these primes are both odd, and p is a quadratic residue

mod p, the equation x2 p = 0 has two solutions in Qp, but none in Qp .

If, on the other hand, p is a quadratic nonresidue mod p, we may choose

a quadratic nonresidue n mod p with n < p. Then np is a quadratic

residue mod p, and the equation x2 np = 0 has two solutions in Qp

but none in Qp .

The case where p is an odd prime and p = 2 is treated similarly. If 2

is a quadratic residue mod p, the equation x2 2 = 0 has two solutions

in Qp but none in Q2 . If 2 is a quadratic nonresidue mod p, let n be an

odd quadratic nonresidue mod p. Then the equation x2 2n = 0 has

solutions in Qp but none in Q2 .

We thus conclude the following.

20 The p-adic numbers Qp

Theorem 2.9 If p and p are distinct primes, the elds Qp and Qp are

not isomorphic.

is commonly known as Hansels lemma. A convenient formulation that

can be used to nd roots of polynomial equations in several variables goes

as follows: Let F (x) = (f1 (x), . . . , fn (x)) with fj (x) = fj (x1 , . . . , xn )

Zp [x1 , . . . , xn ], j = 1, . . . , n. Let a1 Znp be such that F (a1 ) 0 mod p

and such that the Jacobian matrix F (a1 ) = F (x)

|x=a1 is invertible. If

||F (a1 )||p 1 and ||F (a1 )||p (F (a1 )) F (a1 )p < 1, then there exists

1 1

The proof follows along the lines outlined above in the case of a single

variable, where starting from the approximate solution a1 , the elements

in the sequence (2.9) brings us closer to the actual root at every step.

As an example, let us consider the quadratic polynomial f (x, y, z) =

3x2 + y 2 + 4z 2 + 2(xy + xz + yz), and let p be the prime 7. For a1 =

(0, 1, 1) Z37 we have that f (a1 ) = 7 0 mod 7 and f (a1 ) =

(4, 4, 10). In order to analyze the roots of f by way of the stated

result, we consider the polynomial function F : Z37 Z37 given by

F (x, y, z) = (f (x, y, z), y 6, z 6). Then the sequence (2.9) yields a2 =

a1 + (F (a1 ))1 F (a1 ) = (91/4, 6, 6), and we have that F (a2 ) = (3 72

137/24 , 0, 0). Now we set a3 = a2 (F (a2 ))1 F (a2 ) = (6, 937/600, 6, 6),

and we have that F (a3 ) = (74 1372 /(26 354 ), 0, 0). Iterating this proce-

dure, we obtain a Cauchy sequence {aj } in Z37 such that ||F (aj )||7 1/7j ,

and the continuity of polynomial functions will imply that the limit a

in Z37 is a root of F , and so a root of its rst coordinate function f . By

construction, a a1 mod 7.

The eld Qp contains all (p 1)-roots of unity. Indeed, the equation

xp1 1 = 0

as we now see.

By Eulers theorem, given any integer a in the range from 1 to p 1,

n+1 n

we have that a(p ) = ap (p1) 1 mod pn+1 . Thus, the series

n 2

a = lim ap = a + (ap a) + (ap ap ) +

2.5 (p 1)-roots of unity in Qp 21

to show that

n+1 n n n

ap ap = ap (ap (p1)

1) ,

goes to zero as n goes to , which is so as the last factor on the right

of this expression is divisible by pn+1 . We also have that

n

ap1 = lim ap (p1)

= 1,

and so a is a (p 1)-root of unity in Qp .

If two of these roots were to coincide,

a + pZp = a + pZp ,

we would have that a a mod p, and so a would have to be equal to a.

p1

Thus, the collection of p-adic numbers {a }a=1 exhausts the set of all

(p 1)-roots of unity.

We summarize our discussion in the form of a theorem. We let Z p

denote the subgroup of p-adic units in Zp , and let Fp be a canonical

realization of a nite eld with p-elements. We denote by Fp the multi-

plicative group of nonzero elements of Fp .

Theorem 2.11 Consider 1 + pZp as a multiplicative subgroup of Zp ,

and let (Zp ) denote the multiplicative subgroup of roots of unity, {x

Zp : xp1 = 1}. Then we have that Z p = (Zp ) (1 + pZp ), and (Zp )

is the unique subgroup of Z

p isomorphic to F

p.

= Fp .

Let us now recall that for a nite eld Fq with q elements and char-

acteristic p, the Frobenius mapping is given by

Fq Fq

x xp .

It denes the unique automorphism of Fq that xes the subeld Fp , and

is a generator of Aut(Fq ). Since xp = x for any x Fp , the Frobenius

mapping reduces to the identity when q = p. This fact implies that the

identity is the unique lift to Zp of the p-th power Frobenius isomor-

phism on Fp Zp , and in turn, we may now derive the following simple

consequence, which will be of crucial importance to us later on, when

we in fact introduce the arithmetic dierential operators on Zp . The

reader may nd our discussion a bit odd at this point, since after all,

the identity is the unique ring automorphism on Zp . This oddity will be

claried later, and the reader should merely keep in mind now that the

22 The p-adic numbers Qp

[8, 6, 15] over rings larger than Zp , and where the lift of the p-th power

Frobenius isomorphism is not the identity.

Theorem 2.12 For all x Zp , we have that x xp pZp .

Proof. We have that x = x + pu for elements u and x in Zp , x

p

a p 1 root of unity. Since 0 mod p for 1 j < p, we then

j

p p

have that x = x + pZp = x + pZp = x + pZp , and the desired result

follows.

3

Some classical analysis on Qp

The convergence of a p-adic series n=0 an is somewhat easy to ana-

lyze. The convergence of the series implies that limn an = 0, but the

remarkable fact is that this condition alone implies the converse. For if

n

sn = j=0 aj is the sequence of partial sums, by the non-Archimedean

property of the norm we have that

m+1jn

1/j

Using this same argument, it follows that if r = 1/ lim sup ||aj ||p , the

power series

F (x) = an xn Qp [[x]] (3.1)

n=0

converges if ||x||p < r, diverges if ||x||p > r, and the case ||x||p = r is

decided by simply looking at lim ||aj ||p rj , which implies convergence or

divergence contingent upon it being zero or not.

Let us assume that the series F (x) in (3.1) converges, and so we have

that limn an xn = 0. Let F (x) denote the formal power series of

term-by-term derivatives,

F (x) = nan xn1 .

n=0

Since nan xn1 p an xn1 p 0, the series F (x) converges also.

Furthermore, F (x) is the limit of the usual quotient of increments

23

24 Some classical analysis on Qp

n

F (x + y) F (x) n

= an xnk y k1 ,

y k

n=1 k=1

an n xnk y k1 ||an || ||x||n1 0 .

k p p

p

smaller than x, and the innite summation and limit as y 0 can be

intertwined. We obtain

n

F (x + y) F (x) n

F (x) = lim = an lim xnk y k1

y0 y y0 k

n=1 k=1

= nan xn1 = F (x) ,

n=1

as desired.

By iteration we conclude that a convergent power series has convergent

power series derivatives of all order.

x

play the role in p-adic analysis that the monomials xn do in real

n

analysis. We lead to the discussion of this assertion, a theorem of Mahler

[36], by rst showing the following result (see [2]).

Then the binomial series

y y

(1 + x) = xn

n

n=0

Notice that, for all p other than 2, 1/(p 1) Z, and so the lower

bound we give above for the p-adic order of x appears to be of a rather

peculiar nature. The reason for doing so is simple. The binomial series

function can be dened also on the completion of the algebraic closure

of Qp , a rather large eld to which the p-adic norm and order admit

extensions (see 3.2 below). The function there dened will converge

precisely under the condition stated in the theorem.

Some classical analysis on Qp 25

Proof. We have

y y(y 1) (y n + 1)

= .

n n!

y

Since the p-adic order of y is nonnegative, the p-adic order of is

n

bounded below by that of 1/n!, and we conclude that

y xn

ordp xn ordp .

n n!

sn = a0 + + ak , and set s0 = 0. The p-adic order of n is the smallest

integer l such that al = 0, and we see easily that sn1 = l(p 1) + sn 1,

so ordp n = (sn1 sn + 1)/(p 1). By the multiplicative property of

ordp , it follows that

n sn

ordp n! = . (3.2)

p1

Hence,

xn

ordp = n ordp x ordp n!

n!

n sn

= n ordp x (3.3)

p 1

sn

= n ordp x p11

+ ,

p1

which grows with no bounds under the stated hypothesis, and so the

n-th term of the series dening (1 + x)y converges p-adically to zero.

The result follows.

We may show that the function of y that we obtained above is con-

tinuous. For all y in Zp , the argument

given shows that if x has p-adic

y

order greater than 1/(p1), we have xn ||xn /n!||p 0, and

n p

the series dening (1 + x)y converges uniformly as a function of y. But

uniform convergence of continuous functions yield a continuous limit. So

the function (1 + x)y is continuous as function of y Zp . We address

this type of issues in further detail now.

We restrict our attention to the space C(Zp , Qp ) of Qp -valued con-

tinuous function on Zp . Since Zp is compact, any f C(Zp , Qp ) is

uniformly continuous. If we were to consider C(D, Qp ) instead, where

D = D(a, pn ) is the disc in Qp of radius pn centered at a, a similar

26 Some classical analysis on Qp

result to the one below would still hold since D(a, pn ) is homeomorphic

to Zp .

Since the nonnegative rational integers form a dense subset of Zp , a

function f C(Zp , Qp ) is completely determined by its values on the

set {0, 1, 2, . . .}.

Given any f C(Zp , Qp ), let us consider the sequence

n

n

an = (1) k

f (n k) Qp , (3.4)

k

k=0

x

F (x) = an Qp [[x]] . (3.5)

n

n=0

m

For any nonnegative rational integer m, = 0 if n > m. Then

n

m

m

ml

m k k+l m

F (m) = an = f (l) (1) .

n l k+l

n=0 l=0 k=0

Since

k+l m m ml

= ,

l k+l l k

we obtain

mm ml k ml

F (m) = l=0 f (l) k=0 (1)

l k

m m

= l=0 f (l)(1 1)ml

l

= f (m) .

Thus, the power series (3.5) interpolates the values of the function f over

the dense subset of nonnegative rational integers. Therefore, if we were to

prove that this series converges and denes an element of C(Zp , Qp ), the

said element will have to be f (x) itself. We proceed to prove exactly that

in a slightly oblique but succinct manner. The end result is a theorem

due to K. Mahler [36].

x

Let us notice that the polynomial functions x map rational

n

integers to rational integers, and so dene elements of C(Zp , Zp ). In

what follows, we shall say that a sequence {an } n=0 Qp is restricted if

an 0 p-adically.

Some classical analysis on Qp 27

n=0 Qp , an 0} be the

set of restricted sequences. The mapping

S C(Zp , Qp )

x (3.6)

{an } n=0 an

n

is a bijection.

given by the associated series (3.5). We show rst that this mapping is

well dened.

The elementary combinatorial identity

n

x xy y

=

n k nk

k=0

holds for p-adic integers x, y also. This can be shown by using Theorem

3.1 to determine the coecient of tn in the series expansion of the iden-

tity (1 + t)x = (1 + t)xy (1 + t)y . Given an arbitrary integer x in Zp , let

y be a nonnegative rational integer such that

x y

n! 1 .

p

We have

y

n k 1 ,

p

as the argument to the function p on the left side is just the standard

binomial coecient. On the other hand,

xy (x y)(x y 1) (x y k + 1) xy

= = uk ,

k k! k!

where uk Zp , and therefore,

x y

1 .

k

p

that

n

x x y y

1 ,

n = k n k

p k=0 p

28 Some classical analysis on Qp

estimate that implies that the series in the statement of the theorem de-

nes a continuous function, and so the map (3.6) is well-dened. Indeed,

the series converges because the said estimate implies that

an x ||an || 0 .

n p p

On the other hand, the sequence of partial sums are polynomials, hence

continuous, and the limit, being uniform, must be also a continuous

function.

The injectivity of (3.6) can now be argued with ease. Indeed, let us

consider a restricted sequence {an } such that its associated power se-

ries F (x) in (3.5) is the function identically zero. By the combinatorial

identity

x+1 x x

= +

n n n1

that holds for any p-adic integer x also, we have that

x

0 = F (x + 1) F (x) = an .

n1

n=1

We now observe that the value of the continuous function F (x+1)F (x)

at x = n Z0 is equal to an+1 , and so proceeding by induction, we

conclude that an = 0 for all n 1. So F (x) reduces to the zero term a0 ,

and this must be zero also since, by assumption, so is F .

In order to nish the proof of Theorem 3.2, we are left with the task

of showing the surjectivity of (3.6). So let us take f C(Zp , Qp ). By

compactness of Zp , f is bounded and so, after multiplication by a suit-

able power of p, we obtain a function that ranges in Zp . Thus, without

loss of generality, we may assume that f is an element of C(Zp , Zp ). We

view the latter as a Banach space with the supremum norm.

By completeness of C(Zp , Zp ), the desired surjectivity follows if we

show that for any N 0 there exist {an } Zp and fN C(Zp , Zp )

such that

x

f (x) = an + pN fN (x) .

n

n

99-100.

Notice that

it suces

to prove that fN is, modulo p, a linear combi-

x

nation of the s. By the uniform continuity of fN , there exists M

n

Some classical analysis on Qp 29

such that

1 1

||fN (x) fN (y)||p for all x, y Zp such that ||x y||p .

p pM

fN

Zp Zp Fp = Zp /pZp

factors through

Z/pM Z Fp .

the map

x

k

Zp Zp Fp

factors through

Z/pM Z Fp

also. Since Fp is discrete and nite, the desired task will be accomplished

if we show that the set of tuples {(

a0 , . . . , a i Fp }, and the set

pM 1 ) : a

of mappings Maps(Z/pM Z, Fp ) are in 1-to-1 correspondence with each

other via the function

pM 1

x

pM 1 )

a0 , . . . , a

( a

n .

n

n=0

The said sets have the same number of elements. On the other hand,

we can prove the injectivity of the map above by an argument similar

to that used to prove the injectivity of (3.6) itself. This completes the

proof of the Theorem.

given by Theorem 3.1. We have that

y

(1 5) =y

(5) n

,

n

n=0

30 Some classical analysis on Qp

Using (3.2) we derived identity (3.3). It follows that if ordp x > 1/(p1),

ordp (xn /n!) , and the exponential series

xn

ex =

n=0

n!

converges for these xs. If otherwise x is such that ordp x 1/(p 1), we

may take n = pk . We then have that sn = 1, and ordp (xn /n!) ,

so the series above does not converge p-adically in this case. Thus, the

1

exponential function has p-adic radius of convergence equal to p p1 .

Bigger and bigger denominators in the coecients of the series help its

convergence when we use the classical Euclidean norm, but the opposite

is true p-adically when the denominators in question are divisible by

larger and larger powers of p. This makes the p-adic radius of convergence

of the exponential function relatively small compared to its radius of

convergence over Q .

Let (n) be the Mobius function, dened by

(1)k if n is the product of k distinct primes,

(n) =

0 otherwise .

(d) = 0 for n > 1 . (3.7)

d|n

(n)

ex = (1 xn ) n .

n=1

(n) (n) xnm xj

log (1 xn ) = = (d) = x ,

n=1

n n=1

n m=1 m j=1

j

d|j

The identity in Lemma 3.4 shows that the failure for the series dening

ex to converge p-adically arises from the terms where n is divisible by p

and square-free. This leads to the following natural denition:

3.1 The ArtinHasse exponential function 31

is dened by

(n)

Ep (x) = (1 xn ) n .

n=1

pn

for ||x||p < 1.

As in the proof of Lemma 3.4, we may apply the log function to the

innite product dening Ep (x). If we then use the identity

1 if n is a power of p,

(d) = (3.8)

0 otherwise ,

d|n

pd

we see that

pj

x

Ep (x) = exp j

. (3.9)

j=0

p

Ep (x), in which case this function will be the exponential of a power

series in Q[[x]]. In so doing, it becomes harder to conclude that Ep (x)

is in eect an element of Zp [[x]], as the coecients of the series whose

exponential yields Ep (x) have norms that grow without bound in Qp .

We address this issue next, and derive the p-adic integrality property

of the coecients of the said series as a consequence of a beautiful and

remarkable result in p-adic analysis due to Dwork, which we take the

opportunity to state and prove. In spirit, this result is fundamental for

the theory of arithmetic dierential equations. It studies the interplay

between the p-th power of the function of a number and the function of

the p-th power of the number.

We begin this line of reasoning by rst showing the relationship be-

tween Ep (xp ) and Ep (x)p .

xp

j

Proof. Let us set L(x) = j=0 pj . Then we have that

32 Some classical analysis on Qp

and the desired identity amounts to showing that L(xp ) = pL(x) px,

which is clear.

By Lemma 3.6, we see that

Ep (xp ) np

n

n np

n1

= exp (px) = (1) x = 1 + px (1) xn .

Ep (x)p n=0

n! n=1

n!

n1

p n sn (n 1)(p 2) + sn 1

ordp = n1 = ,

n! p1 p1

which is nonnegative. Hence, exp (px) 1 + pxZp [[x]], and we have

that

Ep (xp )

1 + pxZp [[x]] . (3.10)

Ep (x)p

In other words, modulo pZp [[x]], the rational series Ep (x) in (3.9) com-

mutes with the p-th power map. This is amenable for the application of

the following result.

Lemma 3.7 (Dworks lemma) Let f (x) = ai xi 1+xQp [[x]]. Then

f (x) 1 + xZp [[x]] if, and only if, f (xp )/(f (x))p 1 + pxZp [[x]].

This can be stated in a more general context (cf. Lemma 2.4 in [15]),

but that will not be used in here.

Proof. If f (x) 1 + xZp [[x]] and since (a + b)p ap + bp mod p, by

Theorem 2.12 we have that f (x)p = f (xp )+pg(x) where g(x) xZp [[x]].

Then f (xp )/(f (x))p = 1 p(g(x)/f (x)p ), which belongs to 1 + pxZp [[x]]

because f (x)p 1 + pxZp [[x]] has an inverse in the multiplicative group

1 + pxZp [[x]].

Conversely, let us assume that f (xp ) = (f (x))p g(x) with g(x) =

bi xi 1 + pxZp [[x]]. Since by hypothesis the leading coecient is

1 for both, f and g, we have that

p

pi i i

1+ ai x = 1 + ai x 1+ bi x . (3.11)

i=1 i=1 i=1

with the bi s are all rational integers congruent to zero mod p. We use

induction to show that ai Zp for all i.

Let us assume that ai is a rational integer for all i < n. If p n, the

coecient of xn in the right side of (3.11) is given by an expression of

the form

pan + R(a1 , . . . , an1 , b1 , b2 , . . . , bn )

3.2 The completion of the algebraic closure of Qp 33

early on b. Since b is congruent to zero mod p, we have that R(a, b) pZp .

By comparison with the left side of (3.11), this coecient must be equal

to zero, and so we have

1

an = R(a1 , . . . , an1 , b1 , b2 , . . . , bn ) Zp ,

p

as desired. If on the other hand, p | n, the coecient of xn in the right

side of (3.11) is given by an expression of the form

where R(a, b) is a p-adic integer in pZp for the same reasons as before.

In this case, by comparison with the left side, we have that

1

an = an|p apn|p R(a1 , . . . , an1 , b1 , b2 , . . . , bn ) Zp ,

p

as desired.

Dworks lemma applies to the function dened by (3.9), with (3.10)

showing that the required hypothesis for its application holds. We con-

clude that Ep (x) 1 + xZp [[x]]. This is a bit of miracle if we look at

the right side of (3.9), which realizes Ep (x) as the exponential of a series

whose coecients diverge p-adically.

One of the results that the alluded miracle for (3.9) encodes is Wilsons

theorem. Indeed, the coecient of xp in this series is given by

1 1 1 + (p 1)!

+ = ,

p! p p!

and since all the coecients of the series are in Zp , among them this

particular one, we conclude that (p 1)! 1 mod p.

Since Ep (x) Zp [[x]], the series converges on any disc of radius less

than 1. This is precisely the disc of convergence of Ep (x).

By Theorem 2.8, we may conclude readily that Qp is not an algebraically

closed eld. Let Qp be its algebraic closure, the union of all nite eld

34 Some classical analysis on Qp

extensions of Qp . We see rst how to extend the p-adic norm and p-adic

order to Qp .

Let K be a nite eld extension of degree n of a normed eld F , which

is assumed to be locally compact. We then have that K is a vector space

of dimension n over F , and in such case, we see that norms on K must

be equivalent to each other. If K is provided with a eld norm, the norm

of the power of an element is the said power of the norm of the element.

Using this property, we can see easily that all norms on K extending the

norm on F must be, in fact, equal to each other. Thus, there exists at

most one eld norm on K that extends the norm on F .

Let be an algebraic number of degree n over a eld F . We denote

by

i (x) = xn + a1 xn1 + + an1 x + an

annihilated by . For the nite eld extension K = F (), we dene

NK/F () = (1)n an .

n

This number can be cast also as i=1 i where the i s are all the conju-

gates of 1 = over F , or as the determinant of the automorphism of K

given by multiplication by . In particular, when K = Qp (), we have

that NQp ()/Qp () = (1)n an , and this is a p-adic number. This discus-

sion provides a way of nding out the proper denition of an extension

of the p-adic norm to Qp .

For if K is an extension of F with a norm that extends the norm

on F , given Aut(K), the uniqueness of the norm extension implies

that x = (x) = x. If K = Qp () is a Galois extension, we can

nd automorphisms of K taking any conjugate of to itself, which

implies that all of these conjugates must have the same norm. Since

NQp ()/Qp () is a p-adic number, we must have that

n

NQ = NQ ()/Q () =

() p i = i = n ,

p ()/Qp p p

i=1

1 1 1

= NQp ()/Qp ()pn = ||i (0)||pn = ||an ||pn .

1

nite eld extension of Qp that contains , then = NK/Qp ()p[K:Qp ] ,

where [K : F ] denotes the degree of the eld extension K of F .

3.2 The completion of the algebraic closure of Qp 35

eld extension K of Qp . We dene ||||p by

1

||||p = NK/Qp ()p[K:Qp ] , (3.12)

polynomial i (x) of , and [K : Qp ] is the degree of K over Qp .

= 0, and it yields the p-adic norm of in the case when Qp . Thus,

this function is an extension of the p-adic norm function on Qp . This

extension also satises the non-Archimedean property (2.2), fact whose

proof we leave to the interested reader. Thus, expression 3.12 denes a

non-Archimedean norm on Qp that is an extension of the p-adic norm

on Qp .

For the same reasons as before, the set {x Qp : ||x||p 1} forms a

ring, the ring of integers of Qp .

For any in a nite eld extension K of Qp of degree n, we dene

1

ordp = logp ||||p = logp NK/Qp ()p ,

n

where the logarithm is computed in base p. This clearly yields an ex-

tension to K of the ordp function on Qp . The image of K under this

function is an additive subgroup of n1 Z, and therefore, it must be of the

form 1e Z for some positive integer e dividing n. This integer is the in-

dex of ramication of K over Qp . If e = 1, the eld K is said to be an

unramied extension of Qp .

Example 3.9 We can revisit the result in Theorem 2.8 by considering

the quadratic equation f (x) = x2 p. Any root Qp has p-adic norm

1

||||p = 1/p 2 , and so neither of them is in Qp . With more generality,

if m/n Q with (m, n) = 1, then the polynomial f (x) = xn pm is

m

irreducible over Qp , and each of its roots in Qp has p-adic norm 1/p n .

irreducible polynomial ip (x) = xp1 + xp2 + + x + 1, and so have

degree p 1 over Qp . If p is a root of this polynomial, then ||p ||p = 1,

and any other root is the form pk for 1 k p 1.

We have that xip (x + 1) = (x + 1)p 1, and the polynomial ip (x + 1)

is irreducible over Qp , and have degree p 1. Since

the roots of ip (x + 1)

have the form pk 1, it follows that pk 1p = pp11

. We have that

36 Some classical analysis on Qp

of ramication is p 1 also.

d1

In fact, for any d 1, the polynomial ip,d (x) = ip (xp ) is irreducible

over Qp , and its roots are the pd -roots of unity in Qp . If pd is a primitive

root, any other is of the form pkd for 1 k pd 1, p k. We have that

pd = 1 and pd 1 = 1

d1 . Thus, the only p-root of unity

p p p(p1)p

in Qp is = 1 when p is an odd prime, or = 1 if p = 2.

Let us now consider the situation where the order of the root of unity

is not divisible by p. We recall rstly the result in 2.5, where we proved

that all (p 1)-roots of unity lie in Qp . If we consider any primitive

(pr 1)-root of unity pr 1 , r 1, it has degree r over Qp and irreducible

polynomial 0lr1 (x pl r 1 ). Thus, ||pr 1 ||p = ||pr 1 1||p = 1.

Now, if d is any positive rational integer not divisible by p, we let md

be the smallest positive integer m such that pm 1 mod d. Since the

group of roots of the polynomial xn 1 in Qp is cyclic (as is every nite

multiplicative group in a eld), if pmd 1 is any primitive (pmd 1)-root

of unity, we obtain a d-root of unity by taking

md 1

kp m

= pmd 1

d

,

where k is any integer coprime to (pmd 1)/md . We have that ||||p = 1,

|| 1||p = 1, and Qp if, and only if, md = 1.

The ramied notion developed for nite eld extensions of Qp applies

to all elements in Qp . We say that is ramied if ||||p is a fractional

power p, and dene its ramication degree to be the smallest integer

e() such that e() is unramied. Unramied elements of Qp are those

for which e() = 1. The example shows that the roots of unity of order

coprime to p are unramied elements of Qp .

The union of all nite unramied extensions of Qp is denoted by Qur p ,

and it is referred to as the maximal unramied extension of Qp .

Proposition 3.11 The maximal unramied extension Qur p of Qp is

obtained by adjoining to Qp all the n-roots of unity with (n, p) = 1. The

set of unramied integers Zurp = {x Qp : ||x||p 1} is a (local) ring

ur

with a unique maximal ideal pZp , and the residue eld Zur

ur ur

p /pZp is the

algebraic closure Fp of the eld Fp with p-elements.

Proof. The nite unramied extensions of Qp are in 1-to-1 corre-

spondence with the nite extensions of Fp . Since the splitting eld of

xp x = x(xp 1 1) is the unique extension of Fp of degree k, it fol-

k k

3.2 The completion of the algebraic closure of Qp 37

extension of Qp is obtained by adjoining the (pk 1)-roots of unity to

Qp , and Qurp , which corresponds to the algebraic closure of Fp , is ob-

tained by adjoining all the (pk 1)-roots of unity for all k. If k is a

multiple of p, the order m = pk 1 of the root is not divisible by p. On

the other hand, for any m coprime to p we have that p(m) 1 mod m,

and as we saw in Example 3.10, any m-root of unity is unramied and

is obtained as a suitable power of a primitive (p(m) 1)-root of unity.

We therefore conclude that Qur p is obtained by adjoining to Qp all the

m-roots of unity with (m, p) = 1.

Since the p-adic norm is non-Archimedean, the unramied integers

Zur

p = {x Qp : ||x||p 1} form a ring. Since every element of Zp

ur ur

integer k, we see that pZur

p is a maximal ideal, and in fact, the only one

such. By the discussion above (cf. the arguments in Example 3.10), the

residue eld Zurp /pZp is the algebraic closure Fp of the eld Fp with

ur

p-elements.

be algebraically closed.

Let us think of Qp as the analogue of R when in the completion of Q

we use the p-adic norm p instead of the Euclidean norm. Then p is

to be though as the analogue of C. There is though an interesting p-adic

dierence: C is obtained from R as a eld extension of degree two that is

algebraically closed and metrically complete, while the algebraic closure

Qp of Qp requires an additional metric completion to ultimately yield

p . Neither Qp nor p are locally compact: their unit spheres centered

at the origin have plenty of sequences without convergent subsequences,

for instance, sequences of distinct roots of unity of order coprime to p.

We denote by Z ur p , the completion of the unramied extension

p

p of Zp . The theory of arithmetic dierential operators we will discuss

Zur

in 5 over Zp has a much richer avour over Z ur . Cf. [8, 6, 15]. The reader

p

will come to appreciate this fact in our outline of the most general version

of these operators in 6.2.

ur \ Zp .

of Z p

38 Some classical analysis on Qp

y

series n0 xn converges to (1 + x)y for all x p such that

n

ordp x > 1/(p 1), and the resulting function is continuous as a function

of y.

Let F be a eld. We denote by AnF the n-dimensional ane space over

F, AnF = {(x1 , . . . , xn )| xi F , 1 i n}. the set of n-tuples of

elements in F. Then the projective n-space PnF over F is the set of one-

dimensional subspaces of An+1 F . A point p PnF is usually written as

a homogeneous vector [X0 : . . . : Xn ], by which is meant the F-line

spanned by (X0 , . . . , Xn ) An+1

F \ {0}.

The zero locus of a nite family {fi }iI , fi F[X1 , . . . , Xn ] denes

an ane algebraic variety over F:

V{fi }iI = {(X1 , . . . , Xn ) AnF : fi (X1 , . . . , Xn ) = 0} .

The ideal I(V ) of V consists of the set of all F-polynomials that vanish

on points of V . In fact, any ideal I F[X1 , . . . , Xn ] denes a corre-

sponding locus of points V = {X AnF : f (X) = 0 for all f I}, and

the Hilberts basis theorem asserts that I has a nite basis f1 , . . . , fk

so that this locus is in eect an ane algebraic variety. However, the

corresponding ideal I(V ) could be larger than I.

A polynomial f F[X0 , . . . , Xn ] does not in general descend to a

function on PnF . However, if f is a homogeneous polynomial of degree d,

the notion of zeroes of f in PnF makes sense because we have the rela-

tion f (X0 , . . . , Xn ) = d f (X0 , . . . , Xn ). A projective algebraic variety

V PnF over F is dened to be the zero locus of a collection of homoge-

neous polynomials in F[X0 , . . . , Xn ], and its ideal I(X) consists of the

set of polynomials that vanish on X.

For instance, the rational normal curve Cd PnF of degree d is dened

to be the image of the map P1F PdF given by

[X0 : X1 ] [X0d : X0d1 X1 : . . . : X0 X1d1 : X1d ] = [Z0 : . . . : Zd ] .

It is the common zero locus of the polynomials pij = Zi Zj Zi1 Zj+1

for 1 i j d 1, and has associated with it the ideal I(Cd ) :=

{f F[Z0 , . . . , Zn ] | f 0 on Cd }. This ideal is, in fact, generated by

the family of polynomials pij .

If E is a eld extension of F and V = V{fi }iI is a projective algebraic

3.3 Zeta functions 39

dened also over the extension E as the coecients of the fi s whose zeros

dene V over F are also all elements of E. Thus, we can talk about the set

V (E) of E-points of V , V (E) = {(X0 , . . . , Xn ) PnE : fi (X0 , . . . , Xn ) =

0, i I}. This makes of the F-variety V a functor from the category of

eld extensions of F and their morphisms to a suitable category of sets

and morphisms, with the functor mapping an extension E of F to the

set V (E) of E-points of the variety. Let us observe in passing that using

restrictions when possible, we may also carry out this idea in the opposite

direction, and nd the points of a variety that lie on a subring of F when

the variety in question is dened by polynomials whose coecients are

elements of the subring (see [31] for an elementary expansion on this

point that relates to the roots of unity).

Let us assume now that F is a nite eld Fq of characteristic p. A

simple combinatorial argument shows that number of bases of the vector

space Fnq over Fq is given by

n(n1)

(q n 1)(q n q) (q n q n1 ) = q 2 (q 1)n [n]q ! ,

where

[n]q = 1 + q + q 2 + + qn1 ,

k-element subsets of Fnq is equal to

k(k1)

(q n 1)(q n q) (q n q k1 ) = q 2 (q 1)k [n]q !/[n k]q !,

n [n]q !

= .

k q

[n k]q ![k]q

q n1 + + q + 1.

Given a variety V dened over Fq , we denote by Nj the number of

Fqj -points of V . We may encode the combinatorial information given by

all of the numbers Nj , j = 1, 2, . . . in the Weil zeta function of V that

40 Some classical analysis on Qp

is dened as

N

(V /Fq , t) = exp

j j

t 1 + tQ[[t]] , (3.13)

j

j=1

Example 3.14 We consider the case where V = PnFq . Then the number

Nj of Fqj -points of this variety is q jn + q j(n1) + + q j + 1, and we

have that

1

n

1

(Pn /Fq , t) = = .

(1 t) (1 q t) j=0 1 q j t

n

n(n+1)

Z(Pn /Fq , 1/q n t) = q 2 tn+1 Z(Pn /Fq , t). Let us think of the integer

n as a topological invariant of V . Then this last relationship illustrates

the close interconnection between topological invariants of V and the

geometry of the algebraic variety over a nite eld.

If we consider the case where V = AnFq instead, then Nj = q jn , and

we have that

1

(An /Fq , t) = .

1 qn t

elliptic pseudodierential operators. Their connection with the number

theoretic considerations introduced above is made by the spectral analy-

sis of linear operators on Banach spaces. We illustrate quickly this issue

via the case of the Neumann operator.

Let us consider any manifold M that is the the boundary of a closed

connected Riemannian manifold with boundary M . The Riemannian

structure allows us to dene a vector eld that is normal to the boundary,

the normal vector eld. Given a distribution u0 on M , let u be the unique

solution to the Dirichlet problem on M that has boundary value u0 . The

Neumann operator N acts on u0 , and maps it to the restriction to the

boundary of the normal derivative of u.

The Neumann operator N is a nonnegative elliptic pseudodierential

operator. As a function on the cotangent bundle T M , its principal

symbol is (N )(y, ) = i|| [46]. The kernel of N is the set of constant

functions.

The manifold M itself is Riemannian with Riemannian structure in-

duced by the Riemannian structure on M . Let be the Laplacian of

3.3 Zeta functions 41

the metric. Then = N modulo terms of order zero or less, and in

this sense, N is a scalar Dirac operator. We consider the self-adjoint

extension of N to L2 (M ), which we shall denote by N also.

Let T be any nonnegative self-adjoint operator on a Hilbert space with

discrete spectrum. Let 0 < 1 2 be the sequence of nonzero

eigenvalues of T counted with multiplicity. The zeta function of T is

dened by

1

T (s) = .

s

n=1 n

This function is considered with domain the region of the complex plane

where the series converges.

The determinant of T is dened in terms of its zeta function by the

identity det T = eT (0) .

Let N = NS1r be the Neumann operator on the circle of radius r in

C centered at the origin (see [45] for the key role this operator plays in

the analysis of the Zaremba problem on planar domains). Then we have

that

1

N (s) = 2rs s

= 2r s (s) .

n=1

n

where (s) is the Riemann zeta function. Indeed, we just need to observe

that

1

ein/r

2r

is an eigenfunction of N of eigenvalue |n|/r, and the stated assertion

follows easily from that.

Using this relationship and the fact that (0) = 1/2 and (0) =

(1/2) log 2, it follows N (0) = log (2r). Thus, the determinant of

N over the r-circle is given by

det NS1r = eN (0) = 2r ,

tion of nonnegative elliptic pseudodierential operators in terms of the

arithmetic dierential operators, which are the subject of our work here.

At present, we are far from being able to do so.

We call a variety V dened over F a hypersurface if V is dened as

the zero locus of a single polynomial in F[x].

42 Some classical analysis on Qp

Lemma 3.16 Let V be a variety over the nite eld Fq . Then its zeta

function (V /Fq , t) in (3.13) is the product of the zeta functions of a -

nite number of hypersurfaces, or their inverses, and in fact, (V /Fq , t)

1 + tZ[[t]].

Proof. By the Hilberts basis theorem, the ideal I(V ) of V has a nite

basis {f1 , . . . , fk }, and we have V = V{f1 ,...,fk } . Given a nite number of

polynomials fi1 , . . . , fil , we denote by Hfi1 ,...,fil the hypersurface dened

by the product fi1 fil , and by Nj,Hfi ,...,fi its number of Fqj -points.

1 l

By the inclusion-exclusion combinatorial principle, we have

Nj = (1)l+1 Nj,Hfi ,...,fi ,

1 l

i1 <<il

and so

l+1

(V /Fq , t) = (Hfi1 ,...,fil /Fq , t)(1) ,

i1 <<il

Let us now consider a hypersurface Hf . Let E be an extension of Fq ,

and consider an E-point p. We let r0 be the smallest positive integer

such that all of the components of p are in Fqr0 . Each component of p

has r0 conjugates, and by varying all of these components among their

conjugates, we form a set of r0 points p1 , . . . , pr0 . These points must

be distinct. They are Fqr -points of Hf if, and only if, r0 divides r, so

they contribute r0 to each of the numbers Njr0 ,Hf , j = 1, 2, . . ., and

their contribution to (Hf /Fq , t) is given by exp ( j=1 r0 tjr0 /jr0 ) =

(1 tr0 )1 = j=0 tjr0 1 + tZ[[t]]. It follows that the zeta function of

Hf must be in 1 + tZ[[t]], as this function is the product of series of this

type.

Example 3.17 In the analysis of the Weil function of a variety, the

lemma above gives a special importance to the hypersurface case. We

discuss here the zeta function of hypersurfaces when n = 1, hypersur-

faces dened by polynomials of one variable. We will do so assuming

that q = p, so V is dened by a polynomial f (x) in Fp [x]. We shall

assume also that f (x) does not have multiples roots in Fp .

Let us decompose the dening polynomial f (x) into a product of ir-

reducible factors f = f1 fk , and let di denote the degree of fi , so

i di = d, where d is the degree of f . We then have that Nj,Hfi = di if

di | j and it is zero otherwise. For each root of fi induces a homomor-

phism Fp [x]/(fi ) Fp whose image is Fpdi , and therefore, the set of all

roots of fi must be Fpdi . Now if fi has a root in Fpk , then Fpdi Fpk

3.3 Zeta functions 43

and Fpk is a eld extension of Fpdi . Then di | k and all the roots of fi are

in Fpk . Conversely, if di | k then Fpdi Fpk , and the larger eld must

contain all the roots of fi , which nishes the proof of the assertion.

Therefore, we have that (Hfi /Fp , t) = 1/(1 tdi ), and

k

k

(Vf /Fp , t) = (Hfi /Fp , t) = (1 tdi )1 .

i=1 i=1

(Vf /Fp , t) is a function of the form 1/p(t), where p(t) can be written

d

as i=1 (1 i t) Z[t], | i |= 1, i = 1, . . . , d. Finally, (Vf /Fp , 1/t) =

(1)k td (Vf //Fp , t).

Encoded in the zeta function (Vf //Fp , t) we have all the information

concerning the eld extensions Fq where all the roots of the polynomial

f lie.

over a nite eld Fq was the subject of several famous conjectures by

A. Weil in 1949 [48]. The conjectures state that the zeta function of V

has properties similar to those of the zeta function of the elementary

Example 3.17 analyzed above. They are:

2. The topology of the variety and its zeta function are intimately re-

lated in that

p1 (t)p3 (t) p2n1 (t)

(V /Fq , t) = ,

p0 (t)p2 (t) p2n (t)

where n is the dimension of V , pk (t) Z[t], p0 (t) = (1 t), pk (t) =

bk j

j=1 (1 k,j t), for some k,j C such that | k,j |= q , 1 k

2

of a smooth variety over a eld embedded in C, the degrees bk of

the polynomials pk can be interpreted as the Betti numbers of the

complex points of V .

3. If E is the Euler characteristic of V , then

nE

(V /Fq , 1/q n t) = q 2 tE (V /Fq , t) ,

relation that implies that the sets {2ni,l }l and {q n /i,l }l coincide.

The rst major step in the settling of these conjectures was taken by

Dwork in 1960 [23, 24]. He proved the rationality of the zeta function by

applying techniques from p-adic analysis to the study of the problem. He

44 Some classical analysis on Qp

techniques could be then used. We now discuss this issue further because

of its relation to lifts of Frobenius mappings, which do play a central role

in the theory of arithmetic dierential equations. Dworks use of lifts

of Frobenius is inspired in a philosophy that is perpendicular to ours.

Indeed, he views the p-adic numbers as arguments of functions, and not

as functions themselves. We shall not use Dworks idea otherwise, and

our discussion of his theorem will be very sketchy. We refer the reader

to Chapter V in [29] or II.6 and II.7 in [25] for an exposition of this in

its entirety. We shall follow here the rst of these references somewhat.

By Lemma 3.16, it suces to carry out the proof for a nonsingular

projective hypersurface V dened over Fq . In this case, if f (X0 , . . . , Xn )

is the dening polynomial of V , the nonsingular condition on V means

that f and (X0 f, . . . , Xn f ) do not have common zeroes in Fq , but in

eect, Dworks result is general, and it does not require this condition.

The dimension of the hypersurface V is n 1. Using the cell decom-

position PnF = (PnF \ Pn1F ) (Pn1

F \ Pn2

F ) (P1F \ P0F ) P0F , we can

express V as the disjoint union of ane hypersurfaces of dierent dimen-

sions, and so the rationality of (V /Fq , t) will follow if we can prove the

corresponding statement in the case where V is an ane hypersurface

dened by f Fq [x], which we assume hereupon. The argument is by

induction on n, the statement being clear when n = 1.

The bulk of the work lies in the proof that the zeta function of an

ane hypersurface V is a meromorphic function. In order to do that, let

us consider the modied zeta function

N

(V /Fq , t) = exp

j j

t , (3.14)

j=1

j

where Nj is now the number of Fqj -points (x1 , . . . , xn ) of V with no zero

coordinate. Then (V /Fq , t) = (V /Fq , t) exp ( j (Nj Nj )tj /j). If Hi

is the zero locus of gi = f (x1 , . . . , xi1 , 0, xi+1 , . . . , xn ), the exponential

factor is the zeta function of ni=1 Hi . Each Hi is either n-ane space or

an ane variety of dimension less or equal than n 2, and their zeta

functions are known either by using Example 3.14 or by the induction

hypothesis, and regardless of the case, they have the desired properties.

By an application of the inclusion-exclusion principle, cf. with the proof

of Lemma 3.16, we see that the said exponential is an element of 1 +

tZ[[t]], and by Lemma 3.16, we conclude that (V /Fq , t) 1 + tZ[[t]]

also.

3.3 Zeta functions 45

Since the modied zeta function (V /Fq , t) in (3.14) is an element

of 1 + tZ[[t]], we may try to lift it to a p-adic meromorphic function

on p . Since the multiplicative group F q of nonzero elements of Fq is

cyclic of order q 1, the integer Nj can also be described as the number

j

of Fq -points (x1 , . . . , xn ) of V such that xqi = 1, i = 1, . . . , n. This

is the key reason for the introduction of (V /Fq , t), for now we can

use this condition in order to count Nj through a function that have a

suitable meromorphic lift to p . This will show that (V /Fq , t) itself is

meromorphic. Then it can be proven that (V /Fq , t) is actually rational.

Given a nite eld extension E of Fq of degree j, we have the trace

TrE/Fq and norm NE/Fq operations. These are dened by TrE/Fq (a) =

2 j1 j1

a + a q + a q + + aq and NE/Fq (a) = a aq aq , the sum and

product of the conjugates of a, respectively. Modulo a rational number,

these two operations can be cast as the trace and determinant of the

mapping E b ab E (cf. with the use of the same mapping in

3.2 when extending the p-adic norm to Qp ). They dene surjective

homomorphism TrE/Fq : E Fq and NE/Fq : E F q . We use the

rst of these to count Nj .

Let p be a nontrivial p-root of unity in p . Then

Fq p

(3.15)

a TrFq /Fp (a)

is an p -character on the additive group Fq , and we have that

TrFq /Fp (ba) q if b = 0,

=

0 if b F

q .

aFq

whose components are nonzero, contributes q j to x0 F j x0 f (x1 ,...,xn ) ,

q

and so taking away the contributions from x0 = 0, we obtain that

Tr (x0 f (x1 ,...,xn )) = q j Nj (q j 1)n . (3.16)

x0 ,...,xn Fj

q

At this point, we must analyze the left side of this expression in detail.

Given a Fq , its Teichm uller representative t = ta Z ur

p p is

dened to be a root of x x such that t a mod p. By Proposition

q

3.11, the set {ta }aFq is contained in the splitting eld of xq x over Qp .

(The reader may look back at our discussion in 2.5, where we proved

explicitly that for any element Fp a = 0, there was a (p 1)-root of

unity a such that a a mod p; cf. with the discussion of Teichm uller

46 Some classical analysis on Qp

due to Dwork (see Chapter V, 2 of [29] for its proof):

Lemma 3.18 Suppose that q = pj for some positive integer j. There

exists a p-adic power series (x) = an xn Qp ()[[x]] with ordp an

n/(p 1) such that the character function (3.15) on Fq can be obtained

j1

by evaluating (x)(xp ) (xp ) at the Teichmuller lift t of a.

This result is rather subtle. For instance, since the Teichm uller lift

a of a Fp is such that a a mod p, and since the power in Zp of

the p-root of unity depends only on its congruence class mod p, we

have Tr a = Tr a . However, as explained in Example 3.10 (cf. remark

ur p , while, for

3.12), a (pl 1)-root of unity lies in the boundary of Z p

instance, the ArtinHasse exponential function has radius of convergence

strictly less than 1, and could not include such a point in its domain of

denition. A rened argument must be used in order to yield a function

that lifts a Tr a to a function on a disc in p whose radius is greater

or equal than 1. Once that is accomplished, the general techniques of

p-adic analysis can then be applied to study the lifted function in p .

The function (x) used by Dwork is a suitable modication of the

ArtinHasse function Ep (x). It can be described in simple terms best

by using the binomial functions of Theorem 3.1. Let = 1. As

we saw in Example 3.10, has p-adic order 1/(p 1), and if we view

g(x) = g(x, ) = (1 + )x as a power series in x, the series will not

converge at the xs of interest. So g(x) is modied to

2

xp x 2 xp xp

g(x, y) = (1 + y)x (1 + y p ) p (1 + y p ) p2

and is dened to be

(x) = g(x, ) = an xn .

n=0

We can then verify the growth in the order of the an s that is stated in

the Lemma. This estimate for the p-adic order ensures that this series

1

converges on the disc {x p : ||x||p < p p1 }.

The root of unity corresponds to a unique solution of the equation

x p1

= p in p . Then we can dene

(x)p

(x)p

j

(xxp ) x+ p

pj

E (x) = e =e = Ep (x) e .

j=2

This function is equal to (x). Indeed, E (1) is the unique p-root of unity

3.3 Zeta functions 47

j j1 pl

we have that E (c) = E (1)c , so if xp = x, then E (1) l=0 x =

j1

(x)(xp ) (xp ). The evaluation of (x) for any x such that

||x||p 1 is achieved by substitution into the dening power series, and

(xxp )

in general it

cannot be obtained directly by substitution into e =

p

x+ (x)

e p

.

Let us return to (3.16), and complete the promised sketch of the proof.

The coecients of x0 f (x1 , . . . , xn ) are all elements of Fq , so they can be

lifted to their Teichm uller representatives in p to obtain a polynomial

N

function F (X) = F (X0 , . . . , Xn ) = l=1 al X Il p [X0 , . . . , Xn ]. Here

Il = (il0 , il1 , . . . , iln ) is a tuple of integers, and X Il has the usual mean-

ing. Then using Lemma 3.18 in (3.16), we obtain that

n

qj Nj = (q j 1)n +

j1

(al xIl )(apl xpIl ) (alpj1 xp Il

).

x 0 , . . . , x n p l=1

q j 1

x = 1, i = 0, . . . n

i

j1

Let G(X0 , . . . , Xn ) = (al xIl )(apl xpIl ) (alpj1 xp Il ), and let Tq

be the operator acting on series and dened by Tq ( aI X I ) = aqI X I ,

where qI is the tuple obtained by multiplying each entry of I by q. Since

the al s are in the unit disc in p , the coecients of G(x) are such that

the traces of any power of the linear operator = Tq G are well dened

(see [29, Chapter V 3]), and we obtain that

q j Nj = (q j 1)n + (q j 1)n+1 Tr(j ) ,

so

n

n+1

n n+1

Nj = (1)l q j(nl1) + (1)l q j(nl) Tr(j ) .

i l

l=0 l=0

j j

Let (t) = exp( j=1 Tr( )t /j), the exponential computed in p .

This is a meromorphic function of t [29, Chapter V, 3], and by the

identity above, we obtain that

l+1

n n+1 l+1

n+1

n (1)

l (1)

l

nl1 nl

(Hf /Fq , t) = (1q t) (q t) ,

l=1 l=0

Once it is known that (Hf /Fq , t) is meromorphic, it can be proved

that this meromorphic function is in fact a rational function [29, Chapter

V, 5]. Thus, the zeta function of Hf itself is rational.

4

Analytic functions on Zp

ther with our work. We will need to consider some power series in several

variables below, and so we give the next denition with a higher degree

of generality from the one we have used until now.

Given a multi-index = (0 , . . . , k ) of nonnegative rational integers,

we shall say that 0, and use the conventional expression x to

0 xk . By the weight || of the multi-index

k

denote the monomial x 0

Denition 4.1 We say that F (x) = 0 a x Qp [[x0 , . . . , xk ]] is

a restricted power series if lim|| a = 0.

Let

F (x) = aj xj (4.1)

j=0

necessary and sucient that

lim aj = 0 in Qp . (4.2)

j

as we indicated earlier, the series of n term-by-term dierentiations

F (n) (x) = j(j 1) (j n + 1)aj xjn ,

j=n

Thus, power series of the type (4.1) whose coecients satisfy (4.2) are

48

Analytic functions on Zp 49

closed under dierentiation, and that makes the theory of analytic func-

tions over Qp simpler than the corresponding theory over C.

exists an integer N 1 and power series F0 , F1 , . . . , FpN 1 Qp [[x]]

with radius of convergence 1/pN , such that

f (x) = Fk (x k)

C(Zp , Qp ). By compactness of Zp , all elements of C(Zp , Qp ) are bounded.

If f is locally given by a series of the type (4.1) with coecients satisfy-

ing (4.2), then the coecients of the series must be bounded. Thus, for

a suitable integer n, the function pn f ranges in Zp , that is to say, it is

an element of C(Zp , Zp ), and can be represented locally by series as in

Denition 4.2 whose coecients are in Zp .

that are analytic. We put this task in some perspective by reconsidering

the Mahlers expansion of a function f (x) in this space, whose coecients

an form a restricted sequence in Zp . By Mahlers expansion, it follows

immediately that f (x) is the uniform limit of polynomials, generalizing

in this sense Weierstrass theorem. The relationship (3.4) between the

an s and the values of f over the rational integers has another important

consequence: the sequence of partial sums of the Mahlers expansion of

f (x) yields an optimal polynomial of degree n approximating f uni-

formly. These approximating optimal polynomials are not unique, but

it is important to have one produced in a canonical manner, and in this

case, the polynomial is produced out of the knowledge of the values of

f on the set {0, . . . , n}.

However, it is dicult to nd conditions on the growth of the ||an ||p s

that would ensure that f (x) exists and is a continuous function also.

Mahler shows [36, ch. 7, Theorem 4] that if limn n ||an ||p = 0, then

f (x) C(Zp , Zp ) has a continuous derivative. In general, if a function

has a Mahler series with coecients an and its derivative exists and

is continuous in Zp , then the Mahlers coecients of the derivative are

given by an = k=1 (1)

k1

ak+n /n, which therefore, must be a null

sequence. But the converse does not hold.

Further, as in the real case, there are continuous functions on Zp that

50 Analytic functions on Zp

have continuous derivatives of all order, but are not analytic as dened

previously [36]. Indeed, the function

x

f (x) = an an = p[ n ] ,

n

n=0

nitely many times. This follows [36, ch. 7, Theorem 5] by the fact that

for all > 0 we have that limn n ||an ||p = 0. However, for f (x) to

be analytic, it must be the case that ||an ||p < pn/p [36, p. 85], and the

coecients p[ n ] do not satisfy that condition.

Characterizing p-adic analytic functions becomes a rather dicult

task.

Denition 4.4 A function f : Zp Zp is said to be analytic of level m,

if for any a Zp there exists a restricted power series Fa Zp [[x]] such

that

f (a + pm u) = Fa (u)

for all u Zp . We say that the collection of series Fa represents f .

The denition above is not conventional. It was used in [14] for reasons

that will become clear later on.

Remark 4.5 We have the following:

1. In Denition 4.4, it is enough to take the as in a complete residue

system mod pm in Zp .

2. If we consider functions in C(Zp , Zp ), the notions of analyticity in

Denitions 4.2 and 4.4 are equivalent. Indeed, if f C(Zp , Zp ) is

locally representable by a restricted power series in Zp [[x]], then it

is analytic in the sense of Denition 4.2. Conversely, let as assume

that f C(Zp , Zp ) is locally represented by a restricted power series

F Qp [[x]] of the form (4.1), whose coecients satisfy (4.2), on a disc

of radius 1/pN , N 1. Thus we have that f (x) = F (x k) for some

k {0, . . . , pN 1} for all x k+pN Zp . Without loss of generality, let

us assume that k = 0. Computing the value of f at x = 0, we obtain

that f (0) = a0 , and so a0 Zp , it being in the range of f . By the

non-Archimedean property of the norm, the function f (x)a0 ranges

in Zp also, and we have that f (x) a0 = xg(x) for g C(Zp , Zp ),

and this g is represented by the series j=1 aj xj1 on the said disc.

Proceeding by induction, we then show that all the aj s are in Zp .

With this in mind, we can say that a function f : Zp Zp is

Analytic functions on Zp 51

analytic in the sense of [36] (cf. with [42], p. LG 2.4) if, and only if,

it is analytic of level m for some m.

said to be locally constant on X if for every X, there exists n such

that f is constant on the disc DX (, pn ) = ( + pn Zp ) X. Any locally

constant function f : Zp Zp is analytic. A typical example of that is

the characteristic function D(0,1/p) of the disc in Zp with center at zero

and radius 1/p, an analytic function of level 1.

Mahlers expansion of this characteristic function (see Theorem 3.2)

is given by

x

D(0,1/p) (x) = an ,

n

n=0

where

[n]

p

n jp n

an = (1) (1) ,

jp

j=0

x

D(0,1/2) (x) = 1 + n n1

n=1 (1) 2 in Z2 ,

n

n 1+ n x

D(0,1/3) (x) = 1 + n=1 (1)

n

2 cos 6 3 2 in Z3 .

n

In general, the p-adic coecient an can be expressed in terms of a prim-

itive p-root of unity p by the formula

p

an = p1 (pk 1)n .

k=1

elements in Qp (p ). In Example 3.10, we proved that pk 1 has p-adic

norm 1/pp1 . Therefore,

||an ||p pn(p1)+1 ,

and we conclude that the Mahler power series of D(0,1/p) is a restricted

power series in Zp . Further, we see that {||an ||p } converges to zero faster

than pn/p , and this growth can be used to conclude that D(0,1/p) (x) is

an analytic function [36, p. 85]. But observe that drawing that conclusion

on the basis of properties of the an s is not an elementary result.

52 Analytic functions on Zp

when dealing

x

with issues of analyticity. The polynomial functions are very

n

natural candidates to use when we wish to approximate uniformly a

continuous function f in an optimal manner. But if f is analytic, that

fact is not easily captured in properties of the coecients of the approx-

imation.

Zp

n

Zp

cn

onto the n-th coecient cn in the p-adic expansion (2.4) of the p-adic

integer is a locally constant function on Zp . Notice that n is a linear

combination of the locally constant characteristic functions of the discs

a + pn+1 Zp , 0 a pn+1 1.

= j ()pj ,

jn

Teichm uller representation of , and in some sense, it is a more natural

choice than that given by the representation (2.4). See its essential use

in the proof of Theorem 9.2 below.

In order to dene the functions j () in the Teichm uller repre-

sentation of , it suces to do so for a p-adic integer. So we proceed

to dene the functions j : Zp Zp for j = 0, 1, . . ..

Given Zp , we have = j=0 cj pj where the cj s are all rational

integers in the range 0 cj < p. Let us consider the root c0 of the

polynomial xp x associated to the rst coecient c0 , that is to say,

n

c0 = lim cp0 . By our discussion in 2.5, we have either c0 = 0 when

c0 = 0 or c0 a (p 1)-root of unity in Zp when c0 = 0. We dene the

Teichm uller character function by

Zp Zp

c0 .

() = ()()

4.1 Strassmanns theorem 53

and that

||( + ) (() + ())||p < 1 ,

respectively.

The zeroth Teichm

uller coecient function is dened by

0 () = () .

can then be dened by the recursion formula

n1

j=0 j ()p

j

n () = , n = 1, 2, . . . .

pn

n

We then have that j=0 j ()pj mod pn+1 .

As is the case of the projection functions n in Example 4.7, all the

Teichmuller coecient functions n () are locally constant.

Let us consider a nontrivial restricted power series

F (x) = aj xj Qp [[x]] , lim ||aj ||p = 0 , (4.3)

j

j=0

||aj ||p M for some constant M . In fact, the optimal constant M is

equal to maxj {||aj ||p }, which is achieved as the p-adic norm of some of

the coecients. Let N be an integer such that

||aN ||p = max{||aj ||p } , ||aj ||p < ||aN ||p for all j > N . (4.4)

present its proof mostly for completeness, but also as a way to illustrate

the contrast between p-adic and the usual real analysis.

(4.3), and view it as a function F : Zp Qp . Let N be an integer such

that (4.4) holds. Then F has at most N roots in Zp .

54 Analytic functions on Zp

property of the p-adic norm p . It follows via an induction argument

on N .

Indeed, if N = 0 and F (x0 ) = 0 then

a0 = aj xj0 ,

j=1

tory inequality

||a0 ||p = j

aj x0 max aj xj0 max ||aj ||p < ||a0 ||p .

j=1 j1 p j1

p

j1

F (x) = F (x) F (x0 ) = aj (xj xj0 ) = (x x0 ) aj xk xj1k

0 .

j1 j1 k=0

j1

G(x) := j1k

a j xk x0 = ak+1+l xl0 xk = g k xk ,

j1 k=0 k=0 l0 k0

where we let the last equality dene the coecient gk . Thus, we see that

G(x) is also a restricted power series whose coecients are all p-adically

bounded by ||aN ||p , we have that ||gN 1 ||p = ||aN ||p and ||gj ||p < ||gN1 ||p

for all j N . By induction, the function G(x) has at most N 1 roots

in Zp , and so

F (x) = (x x0 )G(x)

can have at most N roots altogether.

Our use of this result will be in the form of an easy consequence: if

two power series of the indicated form agree over innitely many p-adic

integers, then they must be identical.

5

Arithmetic dierential operators on Zp

introduce the notion of arithmetic dierential operators over the ring Zp .

This is the essential idea in our work here. In the following chapter, we

shall present the theory of these operators in general, discussing the jet

spaces whose global sections give rise to them. We shall even expand our

explanations to outline the general theory in the case of multiple primes,

something that we start also in a simplied manner here. But when we

revisit the study of these operators in the remaining chapters, there will

be little that we will do beyond our discussion of them over the ring Zp

until the very end. In the very last chapter, we compare the behaviour

of these operators over the p-adic integers with their behaviour over its

unramied completion.

The idea leading to arithmetic operators embodies a radically dif-

ferent philosophy from that used up until now. This philosophy arises

naturally when looking at the p-adic numbers in the setting of the an-

alytic functions of the previous section. For we treat p-adic numbers

now as functions, albeit functions on a space of dimension zero. These

functions all admit the representation (2.4), and so they ought to be con-

sidered analytic since these representations are convergent power series

in p. Once we agree with the idea of the p-adic numbers as analytic

functions, it is then only natural to dene their derivatives, the arith-

metic derivatives of our work. In this sense, the theory departs from the

idea that the rings we use in most of our analysis the ring Zp are

to be considered as ring of functions. This point of view leads to a very

strong tie between algebraic geometry and algebraic number theory.

The idea of treating numbers as functions is classical, and goes back

to at least R. Dedekin, W. Weber, and D. Hilbert. But the arithmetic

dierentiation that we discuss here is due to A. Buium in his work

55

56 Arithmetic dierential operators on Zp

exploiting Fermat quotients [8] (see also [10, 6]). This theory has been ex-

tended recently, and we now have a notion of arithmetic partial

dierential equations available [15, 16, 17], the implications of which

are currently under investigation.

Let cp (x, y) be the element of the polynomial ring Z[x, y] given by

xp + y p (x + y)p

cp (x, y) = . (5.1)

p

Let A be a ring and B be an algebra over A. If x A, we denote by x

its image in B also. We say that a map p : A B is a p-derivation if

p (1) = 0, and

(5.2)

p (xy) = xp p (y) + y p p (x) + pp (x)p (y) ,

for all x, y A, respectively.

The rst of the identities above indicates that the p-derivation p is

additive modulo the zeroth order term cp (x, y) Z[x, y]. The second

of the identities is a sort of nonlinear Leibnizs rule mod p, where the

function factors in the two summands in the right side are composed

with the p-th power Frobenius map.

Any p-derivation p denes a ring homomorphism p : A B by the

expression

p (x) = xp + pp (x) . (5.3)

= p (x) + p (y) ,

while

p (xy) = xp y p + pxp p (y) + py p p (x) + p2 p (x)p (y)

= (xp + pp (x))(y p + pp (y)) = p (x)p (y) .

The homomorphism p commutes with the p-derivation p .

Conversely, given a homomorphism p : A B, the expression

p (x) xp

p (x) = (5.4)

p

denes a p -derivation, and we have that

p (x) xp p (p (x)) (p (x))p

p p (x) = p = = p p (x) .

p p

Arithmetic dierential operators on Zp 57

to each other.

Denition 5.1 A p -ring A is a ring A equipped with a p-derivation

p : A A. A morphism of p -rings is a ring homomorphism that

commutes with the p -derivations in each of the rings. A p -ring B is

said to be a p -ring over the p -ring A if it comes equipped with a p -ring

homomorphism A B. A p -ring A is a p -subring of the p -ring B if

A is a subring of B such that p A A.

We now study this general situation over the specic case of the ring

Zp . In this ring, the unique homomorphism p that lifts the p-th power

Frobenius isomorphism is the identity. Thus, a p-derivation on Zp is

associated to p (x) = x.

In fact, this assertion can be obtained independently. By Theorem 2.12,

x x mod p, and so we can consider the Fermat quotient

p

x xp

p (x) = . (5.5)

p

to dene a p-derivation p on Zp .

dened by the expression (5.5).

Proof. By the observation made above, the set of p-derivations on Zp

are in 1-to-1 correspondence with ring automorphisms of Zp . Since the

identity is the only such homomorphism, the assertion follows.

Since p is xed,when referring to the p-derivation (5.5) we shall often

write x instead of p (x), except when confusion could arise.

We denote by i the i-th iterate of . We use the convention that

0

a = a.

Denition 5.3 A function f : Zp Qp is called an arithmetic dier-

ential operator of order m, or a p -function of order m, if there exists a

restricted power series F Qp [[x0 , x1 , . . . , xm ]] such that

f (a) = F (a, a, . . . , m a) (5.6)

for all a Zp .

as a -dierential operator of order m also, or as -function of order m.

58 Arithmetic dierential operators on Zp

of orders m and n, respectively, then f g is an arithmetic dierential

operator of order m + n. In particular, the set of arithmetic dierential

operators f : Zp Zp is closed under compositions.

arithmetic dierential operators in [6, 8] gives rise to several interesting

number theoretic locally constant functions that have nice representa-

tions as arithmetic dierential operators of low order. These have been

the main source of motivation for our work, and so we describe one

of them briey here, somewhat out of context. As we have indicated al-

ready, the general theory will be outlined in the following chapter. Lastly,

at the very end of our work, we present other examples that sparked our

interest.

Again, since functions of the type (5.6) are continuous and Zp is com-

pact, via a scaling we can reduce our consideration to the case where F

is a restricted power series with coecients in Zp . We can extend De-

nition 5.3 by considering functions f : ZN p Zp that can be represented

as in (5.6) with an F Zp [[x0 , . . . , xm ]], but where now each xj is an

N -tuple of variables. We call these arithmetic dierential operators of

order m also. If X is an ane scheme embedded into the ane N -space

over Zp , we let X(Zp ) ZN p be the natural inclusion at the level of Zp -

points. We then call a function X(Zp ) Zp an arithmetic dierential

of order m if it can be extended to an arithmetic dierential operator

ZNp Zp of order m. This suces for now to introduce the Legendre

symbol function as discussed in [10].

Let X be the multiplicative group scheme over Zp embedded into the

ane plane Spec Zp [v, w] via the map u (u, u1 ). Then we have that

X(Zp ) = Z p , and we can talk about arithmetic dierential operators

Zp Z p of order m. The Legendre symbol turns out to be a rather

remarkable example of one such operator, as we see here.

If p is an odd prime, the Legendre symbol

f : Z

p Zp

For the convenience of the reader not familiar with this or several other algebraic

concepts that we use, we recall them in 6.1 below.

Arithmetic dierential operators on Zp 59

a 1 if a is a quadratic residue mod p,

=

p 1 if a is a quadratic nonresidue mod p.

for all a such that (a, p) = 1. This function is the -dierential operator

of order 1 on Z p given by

a p1 (2n 2)!pn

n1 n pn

= a 2 1+ (1) (a) a

p n=1

22n1 (n 1)!n!

1 (5.7)

p1 a 2

= a 2 1+p p .

a

(See Theorem 3.1.) Indeed, the three expressions involved in this equality

p1

are all congruent to a 2 mod p, and by (5.5), the square of the right

side is just

p1 a ap + pa

a 1 + p p = ap1 = 1.

a ap

We see then that if we dene the series

p1 (2n 2)!pn

F (x, y, , ) = x 2 1+ (1)n1 n y pn

n=1

22n1 (n 1)!n!

that

1

1 1 p1 a 2

F (a, a , a, a ) = a 2 1+p p .

a

Notice that the Legendre symbol is a locally constant function of

level 1, that is to say, constant on discs of radius 1/p in its domain

of denition. It is therefore analytic. We shall see below that this latter

fact holds in general for any arithmetic dierential operator on Zp .

intrinsically nonlinear. For let us recall that in classical analysis, a linear

dierential operator of order zero on a manifold M is just given by a

function on M , which is thought of as a multiplication operator on the

space of functions itself. Then a linear dierential operator P of order n

is dened to be a linear operator on the space of functions such that the

commutator [P, f ] = P f f P is a dierential operator of order n 1 for

any zeroth order operator f . The application of this line of reasoning to

60 Arithmetic dierential operators on Zp

intrinsic nonlinear nature. The proper analogue of linearity is otherwise.

Indeed, if f : Zp Zp is a Zp -valued function on Zp that we think of as

the multiplication operator given by a f (a)a, using the multiplicative

property of (5.5) encoded in the second identity in (5.2), we have that

[, f ](a) = (f (a)a) f (a)a = ap (f (a)) .

Thus, the commutator [, f ] is the product of (f ) and the p-th power

mapping. The alter egos of the n-th order linear dierential operators

in classical analysis would be compositions of iterates of the operator

and the p-th power Frobenius map up to order n, which makes of them

highly nonlinear expressions in the argument anyway: no commutator

[F, f ] of a nontrivial -operator F and a nontrivial function f can be

linear in the argument.

In appropriate cases, there is a convenient notion of linearity in the

context of arithmetic dierential operators, a notion that was already

present in [6, 8]. It refers to a group homomorphism property in cases

where the domain of the arithmetic dierential operator makes it possi-

ble to talk about such. We outline this notion here. Details will be given

in 6.3.

We place our discussion in the context introduced in Example 5.5

above. We recall that if X is an ane scheme embedded into the ane

N -space over Zp , a function X(Zp ) Zp is an arithmetic dierential

if it can be extended to an arithmetic dierential operator ZN p Zp .

Suppose that the X in this general set-up were to be a commutative

group scheme G over Zp . Then we could dene a linear arithmetic

dierential operator on G to be a dierential operator

G(Zp ) Zp

on G that is also a group homomorphism. Here, the range Zp in the right

side is viewed with its additive group structure. By making this set-

theoretical denition one that is scheme-theoretical varying the ring

Zp , we would obtain the notion of linear arithmetic dierential operator

of [6, 8] that was alluded to above. With this denition in place, we

recover the familiar property that linear operators have, namely that

the dierence of solutions to homogeneous equations is again a solution.

Example 5.5 illustrates on Zp the type of questions we would like

to ask of -functions over Zp with as much generality as possible. The

Legendre symbol admits a representation as an arithmetic dierential

operator of order 1. We shall prove that an analytic function on Zp of

5.1 Multiple primes I 61

order is m.

Let us reiterate for the moment that when thinking of p-adic numbers

as functions, these functions are in fact analytic. This comes about via

the natural analogy that the representation (2.4) generates. It is an irony

that this analogy is at best somewhat incomplete: though we know of

analytic functions [14], we do not yet have the proper notion of what a

continuous arithmetic function ought to be.

ur , the completion of

tors [6, 8] is developed over the ring R := Rp := Z p

the maximal unramied extension of Zp , in the role of our Zp here. Let

k = R/pR be the residue eld, and let (R) be the multiplicative group

of roots of unity in R. We recall that the reduction mod p mapping

(R) k

denes an isomorphism whose inverse is the Teichm uller lift. Any ele-

ment of the ring R can be represented uniquely as a series i=0 i pi ,

where i (R) {0}. Using this representation of the elements of R,

we shall see that there exists a unique ring isomorphism

:RR

that lifts the p-th power Frobenius isomorphism on the residue eld

k, and for (R), we have that () = p . This is the associated

homomorphism (5.3) of the p-derivation on the ring R giving rise to the

general theory (see Theorem 6.9 below).

The theory of arithmetic dierential operators introduced above has

been extended to the case where there is more than one prime [17].

Elaborating on this idea requires the use of more complicated rings than

those that play a role in our work on the single prime case. We outline

some of the issues related to this next.

Let us begin by revisiting the presentation above and reformulating

it slightly, reversing somewhat the order followed when introducing the

concept of arithmetic derivative p in (5.5). We now begin our work at the

level of the ring Z instead of Zp , and replace the use of Theorem 2.12 on

Zp directly by that of Fermats little theorem at the level of Z. We then

62 Arithmetic dierential operators on Zp

use the fact that the identity is the unique automorphism in the latter

ring, and so given a prime p, Fermats little theorem ensures the existence

of a unique p derivation on Z associated to this homomorphism p = .

Now in 2.2 the ring Zp is presented as the p-adic completion of Z at the

ideal (p) Z (cf. denition in 6.1). The homomorphism p uniquely

extends by continuity to Zp , and the condition p (a) ap mod p in Zp

will hold for the extension by continuity also. We thus obtain a unique p-

derivation p on Zp associated to p . Notice that under this presentation,

the analogy between (C[x], d/dx) and (Z, ) discussed in the introduction

becomes clear: the fundamental theorems of algebra and arithmetic make

the linear polynomials in C[x] correspond to the primes in Z, and when

p > 2, the set {1, 0, 1} Z is the analogue of the eld of constant

polynomials in C, for these integers are the only solutions of the equation

p n = 0 in Z. When passing to Zp by continuity, the set of constants is

enlarged to encompass the roots of unity of order prime to p.

A theory involving at least a second prime forces us to consider as the

simplest ring to use one that carries suciently many automorphisms.

The ring Z is unsatisfactory in this respect, and the procedure above

requires modications, which we present now. In this way, we point to-

wards the introduction of arithmetic operators in the case of multiple

primes, and the general diculties we face when doing so. The basic ring

to use is essentially obtained from Z by adjoining at least one root of

unity, and then taking its completion relative to the prime ideal gener-

ated by the set of primes we are using. The details illustrate the diculty

that the reader will no doubt see clearly: how do we make two or more

primes interact with each other in a reasonable way.

Given two distinct primes p and q in Z, we consider the polynomial

cp,q in the ring Z[x0 , x1 , x2 ] dened by

cq (xp0 , px1 ) cp (xq0 , qx2 ) p q p q p q

cp,q (x0 , x1 , x2 ) = x + x , (5.8)

p q q 2 p 1

where for each prime p, cp Z[x, y] and p are the polynomial and

p-derivation in (5.1) and (5.5), respectively. Notice that this polynomial

cp,q lies in the ideal (x0 , x1 , x2 )min{p,q} Z[x0 , x1 , x2 ].

We now have the following [17].

Z. A P -ring is a ring A endowed with pk -derivations pk : A A,

k = 1, . . . , d, such that

5.1 Multiple primes I 63

B is a homomorphism of rings : A B that commutes with the

pk -derivations in A and B, respectively.

Let P = {p1 , . . . , pd } be a nite set of primes in Z, and A be a

P -ring with pk -derivations pk , as in the denition. For each index

k in the range 1, . . . , d, we let pk denote the homomorphism (5.3)

associated with the pk -derivation pk . Then condition (5.9) implies the

commutativity relations pk pl = pl pk . Indeed, for all a A, we

obtain that

pk pl (a) = pk (apl + pl pl a)

= apl pk + pk pk apl + pl (pl a)pk + +pk pl pk pl a

= pl pk (a) + pk pk apl pl pl apk + pl (pl a)pk

pk (pk a)pl + pk pl (pk pl a pl pk a)

= pl pk (a) ,

where the last equality follows by substituting cpk ,pl (a, pk a, pl a) for

pk pl a pl pk a, and simple cancellations. In turn, the commutation

of the associated homomorphisms implies the commutation relations

pk pl a = pl pk a.

Conversely, suppose the homomorphisms k , l satisfy the commuta-

tion relations above, and that the pk s are nonzero divisors in A. Then

the conditions (5.9) hold, and we have that

pk pl a = pl pk a

for all a A.

A nontrivial example of a P -ring ring requires it to carry suciently

many automorphisms that can be the homomorphisms associated with

the various arithmetic derivations being considered. Out of necessity, the

basic example of ring to use must be larger than Z and with suciently

many automorphisms.

Example 5.8 Let S Z be a multiplicative system of integers coprime

to p1 , . . . , pd , and let ZS = S 1 Z be the corresponding ring of fractions.

For a given integer m that iscoprime

to p1 , . . . , pd , we consider the m-th

root of unity m = exp 2 m1 , and the polynomial ring A = ZS [m ]

in m . Notice that m is a root of the separable polynomial xm 1, which

has m distinct roots in the algebraic closure of Q, all of them roots of

unity. We have that A is contained in the eld Q(m ), and this extension

of Q is Galois and commutative.

If is a primitive m-root of unity and is an automorphism of Q(m ),

64 Arithmetic dierential operators on Zp

n() for some integer n = n(). The map

G(Q(m )/Q) n() mod m

denes an isomorphism between the Galois group G(Q(m )/Q) and

(Z/mZ) , respectively.

The primes p1 , . . . , pd under consideration dene classes in (Z/mZ) .

We let p1 , . . . , pd be the corresponding elements of the Galois group

G(Q(m )/Q). Then pk (a) apk mod pk for k = 1, . . . , d and a A, and

A becomes a P -ring with respect to the pk -derivations pk associated

to the homomorphisms pk , k = 1, . . . , d.

All the pk -adic completions (see 6.1 for denition) A(pk ) at the ideal

(pk ) Z are P -rings in a natural way. For pl extends to A(pk ) by conti-

nuity, the condition pk a apk mod pk in A(pk ) holds by continuity, and

the condition pl a apl mod pl in A(pk ) holds because pl is invertible

in A(pk ) .

Example 5.9 Let us take a closer look at the ring ZS of the ring

ZS [m ] in the example above. We can take S = dj=1 (Z \ (pj )) and the

ring of fractions ZS will then be

ZP = {m/n : m, n Z such that (n, pj ) = 1 for j = 1, . . . , d} .

By Fermats little theorem, if a ZP , then we have that a apj mod pj ,

j = 1, . . . , d. So we obtain a P -ring structure on ZP . This ring is in fact

the intersection dj=1 Z(pj ) of the localizations (see 6.1 for denition;

cf. with Example 6.1) Z(pj ) of Z at the ideals generated by the various

primes under consideration.

If we were to develop a multiple primes theory parallel to the one we

study here, ZP would have to take on the role of the ring Z. Let us

consider the ideal iP = (p1 , . . . , pd ) generated by the primes in P. This

ring that then takes on the role of Zp (again, see 6.1 for the denitions

of the unexplained terms used here). This general approach is a natural

idea to adopt [17].

6

A general view of arithmetic

dierential operators

lining their general theory. We shall not use this theory with this degree

of generality anywhere else in this monograph, and the additional de-

tails that we provide later on are only there to make of our treatment a

self contained one when emphasizing the dierent avor these operators

have when the ring Zp is enlarged.

Arithmetic dierential operators over Zp have a special behaviour in

comparison to their behaviour when the ground ring is larger, as in the

general theory. In the general theory [6, 8], the role of the the ring Zp is

played by by the completion Z ur of the maximum unramied extension

p

of Zp , and the p-derivation is now given by

ur

Z

ur

Z

p p

(a) ap (6.1)

a ,

p

ur . The dierences that result

where is the unique lift of Frobenius to Z p

between the ensuing two theories over these rings are analogous to the

dierences between number theoretic statements about nite elds, and

algebraic geometric statements over their algebraic closures. The theory

as we discuss it pertains a single prime p, as in [6, 5]. The extended

theory for several primes may be found in [17]. We shall provide some

details of it also, in 6.4, outlining further what was started in 5.1.

The reader interested in a quick review of the entire theory may nd it

convenient to consult the survey article [13].

As a guiding principle, let us observe that arithmetic dierential

operators were originally dened paralleling the theory of dierential

operators on bundles over a manifold. In order to clarify this analogy,

we recall the latter briey. The clasic denition of dierential operators

65

66 A general view of arithmetic dierential operators

is based on the theory of jet bundles [40], all of which have arithmetic

analogues to be discussed below. Our exposition is aimed at making the

comparison easy.

Given a manifold M and a vector bundle E M of rank l over it, the

k-th jet bundle J k (E) M is dened as follows. Let s (M, E) be a

section of the bundle, and p M . Consider a basis s1 , . . . , sl of local sec-

tions about p dened on a neighborhood U of a local chart (U, ), (q) =

(x1 (q), . . . , xn (q)). We represent s nearby p as s = f1 s1 + + fl sl for

some smooth functions f1 , . . . , fl that are supported in U , and dene s to

be in Zpk (M, E) if, and only if, (x11 xnn fj )(p) = 0 for all multi-indices

= (1 , . . . , n ) such that || k, for each j. The ber Jpk (E, M ) of the

k-th jet bundle over p is by denition the quotient (M, E)/Zpk (M, E). If

we let jk (s)(p) denote the equivalence class of s in Jpk (E, M ), J k (E, M )

is given the topology that makes jk (s) (M, J k (E, M )) a smooth

section.

If E is locally trivialized by U Rl , then J k (E, M ) is locally trivi-

alized by U kj=0 Sj (U, Rl ), where Sj (U, Rl ) is the space of symmetric

j-linear maps from U into Rl . Let {e1 , . . . , en } be the standard basis for

Rn , and set e i to be the i -tuple (ei , . . . , ei ). Then a local section T

i

j l

1 , . . . , en )}||=j ||=j R ,

1 n l

k

(D|| s)(e 1 , . . . , en ) = (x1 xn s), and thus, jk (s) corresponds to

1 n 1 n

1 n l

dles E1 and E2 over M is said to be a dierential operator of order k if

it factors through the jet bundle J k (E1 , M ) over M , that is to say, if for

any s (M, E1 ), we have that

F (s)(x) = F (jk (s))(x) = F (x, s(x), (Ds)(x), (D 2 s)(x), . . . , (D k s)(x)) .

We shall see later in this chapter that arithmetic dierential operators

can be introduced in a manner that parallels this.

In the arithmetic theory of dierential operators, all the concepts

above have analogues. At the very elementary level, the role of the

manifold M can be taken to be now that of the scheme Spec A, where

A = Z[q], the analogue of the total space E of a bundle E M that

of a scheme X of nite type over A, and the analogue of the space of

sections (M, E) that of the set X(A) of A-points of the scheme X.

Suitable arithmetic jet spaces can be dened, and with them in place,

the arithmetic dierential operators can be presented as mappings that

6.1 Basic algebraic concepts 67

factor through them, in exactly the same way as the one described above

for the standard dierential operators on the manifold M .

Since we have arrived at the study of p-adic analysis and arithmetic

dierential operators from the point of view of the classical analyst, we

attempt to make the presentation self-contained for all readers by briey

recalling the standard concepts in algebraic geometry and commutative

algebra that we shall use. The reader with a strong background in algebra

may want to bypass this section altogether. Our basic references for the

concepts recalled here are [1] and [26], respectively.

Let A be a commutative ring with unity. Given a prime ideal p in A,

we let S be the multiplicatively closed set A \ p. Then the localization Ap

of A at p is the ring of fractions S 1 A, where a/b and c/d are considered

equivalent if v(ad bc) = 0 for some v S. Notice that the elements of

S become invertible in Ap , ring that only encodes information nearby p.

for S 1 A.

The mapping a a/1 denes a ring homomorphism A S 1 A.

Notice that here we make use of the unit of the ring A in an essential

manner. Given an ideal i in A we denote by ip the ideal generated by its

image in Ap . This establishes a 1-to-1 correspondence between the set

of prime ideals in A that are contained in p and the prime ideals of Ap .

A local ring is a ring with a unique maximal ideal. The ring Ap is

local, with pp being its unique maximal ideal.

p, then Ap = {m/n : m, n Z , (n, p) = 1}. If f A, Af = {m/f n :

m, n Z , n 0}.

eld and t is an n-tuple of indeterminates. If p is a prime ideal of A,

the localization Ap is the ring of all rational functions f (t)/g(t) where

g p. Suppose that k is algebraically closed, and let V = V (p) = {x

k n : f (x) = 0 for all f p}, the variety dened by p. Then Ap can be

identied with the ring of rational functions f (x)/g(x) in k n such that

g(x) = 0 at at least one point x in V .

68 A general view of arithmetic dierential operators

The prime spectrum Spec A of a ring A and its Zariski topology are

among the most important concepts in algebraic geometry. As a set,

Spec A is the set of all prime ideals of A. Given an ideal a in A, we dene

V (a) to be the set of all prime ideals containing a. With more generality,

given E A, let V (E) denote the set of all primes ideals containing E.

We have that V (E) = V (aE ) where aE is the ideal generated by E. We

obtain a topology on Spec A by declaring its closed sets to be all sets

of the form V (E) = V (aE ) for E A. This is the Zariski topology on

Spec A.

Example 6.3 1. For the ring A = Z, we have that

Spec A = {(0)} {(p)| p a prime number} .

2. Let k be algebraically closed, and consider the polynomial ring in two

variables x = (x1 , x2 ), A = k[x] = k[x1 , x2 ]. Then

Spec A = {(0)}{(p)| p(x) irreducible}{(x1 a, x2 b)|(a, b) k 2 } .

: A S 1 A

induces an associated mapping a : Spec(S 1 A) Spec A that is

injective. The image US = a(Spec(S 1 A)) Spec A, which consist

of the set of prime ideals of A that are disjoint from S, is provided with

the subspace topology, and the inverse map : US Spec(S 1 A) is

continuous. Thus, Spec(S 1 A) is homeomorphic to US Spec A. When

S = {f n : n 0} for f in A, then US is the open set US = Spec (A\V (f )).

These sets are called principal open sets, and are denoted it by D(f ).

They form a basis for the open sets of the Zariski topology.

The sheaf OSpec A on Spec A is dened as follows. Given any open set

U Spec A, O(U ) consists of all functions s : U pU Ap such that

for each p U we have that s(p) Ap , and there exists a neighborhood

V U of p, and elements a, b of A such that, for each q V , b q, and

s(q) = a/b in Aq . The sections so dened form a sheaf OSpec A with the

induced sum and product operations.

The spectrum of A is the topological space Spec A together with the

sheaf OSpec A on Spec A.

A ringed space is a pair (X, OX ) consisting of a topological space X

and a sheaf of rings OX on X. If F is a sheaf of rings on a topological

space X, and p X, the stalk Fp at p is dened to be the germ of

6.1 Basic algebraic concepts 69

such are considered equivalent if their restrictions agree on a smaller

neighborhood that contains p. The stalk Fp is a ring. A morphism of

ringed spaces : (X, OX ) (Y, OY ) is given by a continuous mapping

X Y and a collection of homomorphism U : OY (U ) OX (1 (U )),

U open in Y such that U 1 (U ),1 (V ) = U,V V for any open

sets U , V , U V , U,V the restriction homomorphism of the sheaf. An

isomorphism between ringed spaces is a morphism of ringed spaces that

has an inverse.

A locally ringed space (X, OX ) is a topological space X with a sheaf

OX on X such that the stalk OX,p is a local ring for each point p X. A

morphism : (X, OX ) (Y, OY ) of locally ringed spaces is a morphism

of ringed spaces that induces a local homomorphism between the stalks

of OY and the stalks of OX , a homomorhism being local if for every

x X the maximal ideal of the local ring or stalk at (x) Y is

mapped to the maximal ideal of the local ring at x X.

An ane scheme is a locally ringed space (X, OX ) that is isomorphic

as a locally ringed space to the spectrum of some ring. A scheme is a

locally ringed space (X, OX ) with the property that every point p X

has a neighborhood U so that the ringed space (U, OU ) is isomorphic to

(Spec A, OSpec A ) for some ring A.

A morphism of schemes is a morphisms of locally ringed spaces, and

an isomorphism is a morphism with a two-sided inverse.

Given a ring R, the ane n-space An over R is dened to be the locally

ringed space (Spec R[x1 , . . . , xn ], OSpec R[x1 ,...,xn ] ). This notion coincides

with the earlier one introduced in 3.3.

maximal ideals of A with the induced topology is the maximal spectrum

of A, and is denoted by Max A. Let OMax A be the sheaf of rings in this

case. Since the inverse image of a maximal ideal need not be maximal,

Max A does not have the same nice functorial properties of Spec A.

This algebraic set-up ties well with classical analysis. For we may

realize a paracompact Hausdor space X in terms of its ring of contin-

uous functions C(X). Indeed, for each x X, we may dene

mx = {f C(X) : f (x) = 0} ,

= Max C(X), we obtain a mapping

a maximal ideal. If X

X

X

x mx

70 A general view of arithmetic dierential operators

argument it can be proven to be surjective if we assume X to be com-

pact. In this case, since the open sets Uf = {x X : f (x) = 0} and

f = {m X

U : f m} form bases for the topologies of X and X,

respectively, it is easy to see that this map is a homeomorphism.

K[x1 , . . . , xn ] corresponds to the set of n-tuples (k 1 , . . . , kn ) Kn , as

a maximal ideal m is of the form m = (x1 k 1 , . . . , xn k n ) for some

k 1 , . . . , k n K. With the induced topology, Max A is identied with Kn .

An algebraic variety X over K is a locally ringed space that is locally

isomorphic to (Max A, OMax A ), where A is a nitely generated algebra

over K. An algebraic variety is an ane variety if it is isomorphic to

(Max A, OMax A ).

Schemes are the rightful generalizations of algebraic varieties. They

parallel the idea of a manifold in classical analysis or geometry, in

particular when we think of reconstructing a paracompact space by

its ring of continuous functions, as in Example 6.4. Schemes allow for

viewing algebraic varieties invariantly, capturing their essential algebraic

properties, and as such, lead to other ideas and methods in their study,

extending the range of applicability of the concept.

A Noetherian ring is a ring where every ideal is nitely generated. A

scheme (X, OX ) is locally Noetherian if it can be covered by open ane

subsets Spec Ai where each Ai is a Noetherian ring. The scheme (X, OX )

is said to be Noetherian if it can be covered by a nite number of open

ane subsets Spec Ai where each Ai is a Noetherian ring.

Let S be a xed scheme. A scheme X over S is a scheme (X, OX )

together with a morphism X S. A morphism f : X Y of schemes

X, Y over S is a morphism compatible with the morphisms to S from

X and Y , respectively. A scheme X over a ring A is a scheme (X, OX )

together with a morphism (X, OX ) (Spec A, OSpec A ).

Given a scheme X over A, the set X(A) of A-points of X are the

sections of X Spec A, that is to say, HomA (Spec A, X).

A scheme X over a ring A is of nite type if X admits a nite covering

of the form X = Ui , where Ui = Spec Ai and Ai is a ring that is a

nitely generated algebra over A.

F = {functors {rings} {sets}}. Schemes can be reconstructed up to

6.1 Basic algebraic concepts 71

: S F,

f

the set of B-points X(B) of X, and by sending a morphism X Y

f

to the mapping X(B) Y (B) that takes u Hom(Spec B, X) into

f u Hom(Spec B, Y ). For instance, if we consider the ane space

X = SpecA[x, y] = A2 over A, then its set of B points is A2 (B) = B B,

while for the ane scheme X = Spec(A[x, y]/f (x, y)) the set of B points

is X(B) = {(b1 , b2 ) B B : f (b1 , b2 ) = 0}.

A scheme X can be reconstructed up to isomorphism by its image

under .

If the ground ring is algebraically closed, we can consider the category

V of varieties and morphisms. We can then dene a functor

:VS

between varieties with the corresponding morphism of schemes.

which geometrically concentrates attention on a formal neighborhood of

a point, or on a Zariski closed subscheme of its spectrum Spec A.

For if i is an ideal of the ring A, then it induces a topology on A where

a basis of open neighborhoods of 0 is given by the nested sequence of

powers

A i i2 in .

sequence

n n1 2

An An1 A2 A1 .

innity: Ai = lim

(An , n ). It is a complete topological ring.

Example 6.6 1. The p-adic integers Zp , as constructed in (2.7), are

the completion of Z at the ideal (p) generated by p. The completion

of Zur ur

p at (p) is the basic ring Zp of Buiums theory.

2. The completion of a polynomial ring A[x] at the ideal generated by

x is the ring A[[x]] of formal power series.

72 A general view of arithmetic dierential operators

consists of the zero divisors a such that a 1 i. If the homomorphism

i is an isomorphism, then the ring A is said to be complete with respect

Let A be a Noetherian ring that is complete with respect to i. On

X = V (i) Spec A we dene the sheaf of topological rings OX by

(D(f ), OX ) = limAf /in Af for D(f ) = D(f ) X. We call the pair

(X, OX ) the formal spectrum of A, and denote it by Spf(A), referring to

i as the dening ideal of Spf(A). A formal scheme is a topological local

ringed space that is locally isomorphic to a formal spectrum.

In a ring A, a nite strictly increasing chain of prime ideals p0 p1

pn is said to have length n. The dimension of A is the supremum

of the lengths of all chains of prime ideals. For instance, dim Z = 1. In a

Noetherian local ring A of dimension n, let m be its maximal ideal. Then

m/m2 has the structure of a vector space over the eld k = A/m. The

Noetherian ring is said to be regular if dimk m/m2 = n. A scheme is said

to be regular if all of its local rings are regular local rings. A scheme X

of nite type over a eld k is said to be a smooth scheme if the scheme

obtained from X by pullback from the eld k to its algebraic closure k

is a regular scheme. These two notions are closely related to each other,

and coincide if the eld k is perfect. In particular, a smooth scheme of

nite type over an algebraically closed eld k is a nonsingular algebraic

variety.

over C from the algebraic point of view summarized above.

Let X be the maximal spectrum of some nitely generated C-algebra

A. We then have A = Cn /p for some ideal p. The maximal spectrum

Max C[x1 , . . . , xn ] of the polynomial algebra C[x1 , . . . , xn ] identies with

Cn , and by Hilberts basis theorem, the ring C[x1 , . . . , xn ] is Noethe-

rian. Thus, the ideal p viewed in the polynomial algebra is generated by

nitely many polynomials p1 , . . . , pk , and the ane variety X becomes

identied with the maximal spectrum of C[x1 , . . . , xn ]/(p1 , . . . , pk ), the

ring of functions on X.

On the other hand, if we start with the ring of functions OX , we can

take a nite number of generators x1 , . . . , xn , and using the Hilberts

basis theorem, nd a nite number of relations p1 , . . . , pk among them.

Then we can set X to be the ane variety in Cn cut out by the poly-

nomials p1 , . . . , pk , X = {x Cn : p1 (x) = = pk (x) = 0}.

6.2 General p -functions: arithmetic jet spaces 73

of generators x1 , . . . , xn of OX . Each generator yields a map X C,

and all of them together the map X Cn . This may be stated in an

invariant manner. Indeed, we consider the embedding into the dual of

the vector space x1 , . . . , xn C spanned by the generators, where x X

gets identied with the evaluation at x mapping evx : x1 , . . . , xn C

that carries f C[x1 , . . . , xn ] into evx f = f (x). If the variety X is

irreducible, the ideal of functions (p1 , . . . , pk ) vanishing on X Cn is

prime. This is reected in the fact that OX contains no zero divisors. By

denition, a variety is irreducible if it cannot be written as the union of

two nonempty closed subsets.

The coordinate free approach follows the ideas in Example 6.4. The

points x of an ane variety X are in one-to-one correspondence with

the maximal ideals ix OX of functions vanishing at x. So if A is a

ring, we associate with it the ane variety X = Spec A whose points

are the maximal ideals in A. We get the identications OX = A and

X = Spec A, respectively. If the ring A has no zero divisors, the variety

X is irreducible.

The identication outlined can be extended to arbitrary ane schemes,

allowing nilpotents in their ring of functions. These would correspond

to multiplicities, or innitesimal directions, in the scheme.

We use the remaining parts of this chapter to provide the reader the an-

nounced fuller view of arithmetic dierential operators, and their general

theory.

For simplicity, we set R = Z ur , and let k = R/pR be the residue eld.

p

This ring carries a p -derivation in a natural way, as we will see below,

and it is the ground ring of the general theory of arithmetic dierential

operators. It is a much richer ring than Zp in that both, R and k, have

very special properties, with the rst being complete and the latter being

algebraically closed. The theory of arithmetic dierential operators is

built for any p -ring A over R, that is to say, a p -ring A together with

a p -ring homomorphism R A. In what follows, A will stand for any

ring of this type unless otherwise indicated.

On a smooth scheme X over R, the ring of arithmetic dierential

operators of order r identies with the ring of global functions of certain

74 A general view of arithmetic dierential operators

formal scheme J r (X), called the arithmetic r-th p-jet space of X [8]. We

begin with the discussion and denition of J r (X).

Let s1 (x0 , y0 , x1 , y1 ) and s2 (x0 , y0 , x1 , y1 ) be two elements of the poly-

nomial ring Z[x0 , y0 , x1 , y1 ]. Paraphrasing the denition of p -operator

given earlier, we say that a mapping

:AB

is a -operator over an A-algebra B associated to the pair of polynomials

{s1 , s2 } if

(x + y) = s1 (x, y, x, y) , and

(xy) = s2 (x, y, x, y) .

The pair of polynomials {s1 , s2 } Z[x0 , y0 , x1 , y1 ] is said to be

-generic if for a ring A of characteristic zero there exists an operator

: A A such that, if g A[x0 , x1 ] has the property that g(a, a) = 0

for all a A, then g = 0.

Two -operators 1 : A B and 2 : A B are said to be equivalent

over a subring A0 of A if there exists a constant a0 A 0 and f A0 [x]

such that 1 a = a0 2 a + f (a) for all a A.

We have the following [5] result, characterizing equivalent -operators

for generic polynomials:

Theorem 6.8 Let {s1 , s2 } Z[x0 , y0 , x1 , y1 ] be a generic pair over

a ring A of characteristic zero, and let : A B be a -operator

associated to this pair. Assume that the localization Z(p) is contained in

A for some xed prime p. Then is equivalent over Z(p) to the -operator

associated with one of the following four pairs:

1. s1 (x0 , y0 , x1 , y1 ) = x1 + y1 , s2 (x0 , y0 , x1 , y1 ) = x0 y1 + y0 x1 ,

2. s1 (x0 , y0 , x1 , y1 ) = x1 + y1 , s2 (x0 , y0 , x1 , y1 ) = x0 y1 + y0 x1 + x1 y1 ,

3. s1 (x0 , y0 , x1 , y1 ) = x1 + y1 , s2 (x0 , y0 , x1 , y1 ) = x0 y1 + y0 x1 + pn x1 y1 ,

where n is some integer in N, and

n n n

4. s1 (x0 , y0 , x1 , y1 ) = x1 +y1 +(xp0 +y0p (x0 +y0 )p )/p, s2 (x0 , y0 , x1 , y1 )

n n

= xp0 y1 + y0p x1 + px1 y1 , where n is some integer in N.

Notice that the -operator associated with the rst three generic pairs

in the theorem above restricts to the zero map on Z, while the -operator

associated to the last pair yields

n

m mp

(m) = ,

p

6.2 General p -functions: arithmetic jet spaces 75

We now dene the basic p -ring structure on R, as follows.

Let (R) be the multiplicative group of roots of unity in R. The reduc-

tion mod p mapping (R) k denes an isomorphism whose inverse is

the Teichmuller lift. By our discussion in 3.2, any x R can be written

uniquely as a series

x= i pi ,

i=0

p : R R (6.2)

dened by

p n pn = np pn .

n=0 n=0

p

lifts the p-th power Frobenius homomorphism on k.

primitive N -root of unity. The Galois group G(Q(N )/Q) is naturally

isomorphic to (Z/N Z) , with the Galois element s corresponding to the

n

class of the integer n such that sN = N (see discussion in Example

5.8).

We consider the class of p in (Z/N Z) . It corresponds to an auto-

p

morphism s = sp of Q(N ) such that sN = N . The automorphism s

induces an automorphism of Z[N ], and therefore, an automorphism of

the completion AN of this ring at any prime ideal PN containing p. In

this manner we obtain an induced automorphism s = sp of the P -adic

completion A of the direct limit of all of these AN s, where P A is the

direct limit of a sequence of ideals PN . Since A is isomorphic to R, and

p

clearly the automorphism s sends p to p and any N into N , we conclude

that s must be equal to p , and so p is a ring homomorphism.

Since p -operators on a p -ring A are in 1-to-1 correspondence with

homomorphisms of the ring A (see (5.4)), we may associate to the

homomorphism p the p-derivation on R given by

p (x) xp

p x = . (6.3)

p

76 A general view of arithmetic dierential operators

The pair (R, p ) constitutes the basic p -ring of the general theory of

arithmetic dierential operators.

Let us consider an N -tuple of indeterminates y = (y1 , . . . , yN ) over R,

and let y (i) be a family of N -tuple of indeterminates over R parametrized

by Z0 , with y (0) = y. We set

for the polynomial ring in the indeterminates y (i) . This ring has a natural

p -structure on it.

p : R{y} R{y}

(i)

that extends the p-derivation (6.3) on R, and satises the relations p yk =

(i+1)

yk .

p : R{y} R{y}

of Theorem 6.9, and satisfying the relation

p (P ) P p

p P := ,

p

where

Here, P p stands for the polynomial obtained from P by twisting its co-

ecients by p , and (x(i) )p is the tuple of p-th powers of the components

of x(i) .

This denition implies that p y (i) = y (i+1) , as desired.

We now take advantage of the fact that R is complete, and that the

residue eld k = R/pR is algebraically closed, to develop arithmetic

analogues of the jet spaces that were outlined above. In the sequel, for

a given smooth or formal scheme X over R, we shall denote its ring of

sections by O(X).

6.2 General p -functions: arithmetic jet spaces 77

we have ring homomorphisms : S n S n+1 , and p-derivations p :

S n S n+1 such that p = p . We then say that (S , , p ),

or simply S , is a p -prolongation sequence. A morphism u : S

S of p -prolongation sequences is a sequence un : S n Sn of ring

homomorphisms such that p un = un+1 p and un = un+1 ,

respectively.

sequence A by setting An = A for all n, and taking the ring homomor-

phisms to be all equal to the identity. A p -prolongation sequence over

A is a p -prolongation sequence S equipped with a morphism A S

of prolongation sequences.

For the ring R{y} discussed above, we consider the subrings

n

SR := R[y, p y, . . . , pn y] .

n+1 n

We view SR as an SR -algebra via the inclusion homomorphism, and we

observe that p SR SR . Therefore, the sequence of rings SR

n n+1

= {SRn

}

denes a p -prolongation sequence. Let (p) be the ideal generated by p.

We obtain the p-adic completion prolongation sequence

R[y, p y, . . . , pn y](p) ,

R[[y, p y, . . . , pn y]]

We now consider a scheme X of nite type over R, and dene its

p -jet spaces. We begin with the case where X is an ane scheme of

nite type, that is to say, the spectrum of a nitely generated R-algebra

X = Spec (R[y]/I), where y is a tuple of indeterminates, and I is some

ideal. Then we set

Jpn (X) := Spf R[y, p y, . . . , pn y](p) /(I, p I, . . . , pn I) . (6.4)

Notice that Jp0 (X) = X (p) , and that the sequence of rings of sections

given by {O(Jpn (X))}n0 has a natural structure of p -prolongation se-

quence O(Jp (X)) induced by the p-derivation p in Proposition 6.10.

The p -prolongation sequence so constructed has the following univer-

sality property.

78 A general view of arithmetic dierential operators

p -prolongation sequence S over R and any homomorphism u : O(X)

S 0 , there exists a unique morphism of p -prolongation sequences

u = (un ) : O(Jp (X)) S ,

such that u0 = u.

Proof. It suces to consider the case where X = Spec (R[y]/I) with

I = {0}. We dene

un : R[y (0) , . . . , y(r) ](p) S r

by

un (y (i) ) = pi (u(y (0) )) .

This denes a morphism of prolongation sequences. This morphism has

the desired properties.

The construction X Jpr (X) above for ane schemes over R is com-

patible with localization in the following sense:

Corollary If X = Spec B and U = Spec Bf , f B, then

O(Jpr (U )) = (O(Jpr (X))f )(p) .

Equivalently,

Jpr (U ) = Jpr (X) X (p)

U

(p)

.

Proof. The rings (O(Jpr (X))f )(p) has the structure of a prolongation

sequence by dening

np

g f p g g p p (f n )

p =

fn f n p (f n )

np

2

f p g g p p (f n ) p f p f

= 1 p + p2

f 2np fp fp

3

p f

p3 + .

fp

This prolongation sequence satises the same universality property as

that of the rings O(Jpr (U )).

Denition 6.13 Let X be a scheme of nite type over R. For any

ane Zariski open covering of X

m

X= Ui

i=1

6.2 General p -functions: arithmetic jet spaces 79

we dene the p -jet space of order r of X by gluing Jpr (Ui ) along Jpr (Ui

Uj ). We denote the resulting formal schemes by Jpr (X), and refer to it

as the r-th p-jet space of X.

mulation is parallel to the one in Proposition 6.12. Using this property

we see that, up to isomorphism, the formal schemes Jpr (X) depend only

on X in a functorial manner: for any morphism X Y of ane schemes

of nite type, there exist induced morphisms of schemes

X consisting of the covering of X given by just one open set, namely X

itself. The space Jpr (X) with respect to this tautological covering coin-

cides with the space Jpr (X) in (6.4). This justies the abuse of notation

we have incurred into when using the same terminology to denote the

jet space of X, whether X is ane or not.

spaces of X are given by the projective system of p-adic formal schemes

Jpr (X) Jpr1 (X) Jp1 (X) Jp0 (X) = X (p) . (6.5)

p -ring A. By a p -morphism of order r we mean a rule f : X Y

that attaches to any p -prolongation sequence S of p-adically complete

rings, a map of sets X(S 0 ) Y (S r ) that is functorial in S in the

obvious sense.

ned by S[i]n := S n+i is a new p -prolongation sequence. Thus, any

morphism f : X Y of order r induces maps of sets X(S i ) Y (S r+i )

that are functorial in S . We can compose p -morphisms f : X Y ,

g : Y Z of orders r and s, respectively, and get p -morphisms

g f : X Z of order r + s. There is a natural map from the set

of p -morphisms X Y of order r into the set of p -morphisms X Y

of order r + 1, induced by the maps Y (S r ) Y (S r+1 ) arising from the

S r -algebra structure of S r+1 .

80 A general view of arithmetic dierential operators

where the product on the left hand side is taken in the category of

schemes of nite type over R, and the product on the right hand side is

taken in the category of formal schemes over R.

order r p -morphisms X Y between two schemes of nite type over R

naturally identies with the set of morphisms over R of formal schemes

Jpr (X) Jp0 (Y ) = Y (p) .

u : A[y] O(X) be an etale morphism, where y is a N -tuple of indeter-

minates. Let y (i) be N -tuples of indeterminates parametrized by i Z0 .

Then the natural morphism

O(X (p) )[y (i) |1in ](p) O(Jpn (X))

that sends y (i) into pi (u(y)) is an isomorphism. In particular, we have

an isomorphism of formal schemes over A

Jpn (X) X (p) (AnN )(p) .

A, then

Jpn (Y ) Jpn (X) X (p)

Y

(p)

.

schemes of nite type to the category C of p-adic formal schemes natu-

rally extends to a functor from B to C, where B is the category whose

objects are the same as those in C, hence Ob C = Ob B, and whose mor-

phisms are dened by

HomB (X, Y ) := HomC (X (p) , Y (p) )

for all X, Y Ob B.

We now spell out the relationship between p-jet spaces and arithmetic

dierential operators in this degree of generality. Let X be a scheme of

nite type over R. A global function f O(Jpr (X)) is an arithmetic

dierential equation of order r. It induces a map of sets f : X(R) R.

6.2 General p -functions: arithmetic jet spaces 81

in Denition 5.3, and reminiscent also of the denition of a classical

dierential operator recalled at the beginning of this chapter.

For any nonnegative integer r, we obtain a natural map r between

the set of R-points X(R) and Jpr (X)(R),

r : X(R) J r (X)(R) ,

and an R-algebra map

O(Jpr (X)) Or (X)

f f .

In order to see this, and since the assertion is local, it will suce to

consider the ane case where X = Spec (R[y]/I) for some ideal I. We

then recall that an R-point x in X(R) is a morphism of R-schemes

Spec R X, which induces a homomorphism O(X) R that we denote

by x also, abusing the notation some. By the universality property in

Proposition 6.12, we obtain a map r (x) : O(Jpr (X)) R, which yields

an R-point of Jpr (X)(R). Therefore, given f O(Jpr (X)), we dene

f(x) = r (x)(f ) .

If we are given an embedding i : Spec (R[y]/I) Spec R[y] = AN into

ane space, and take f to be the class of an element

F R[y (0) , y (1) , . . . , y (r) ](p) ,

we would obtain that

r (x) = (i(x), p (i(x)), . . . , pr (i(x))) ,

f(x) = F (i(x), p (i(x)), . . . , pr (i(x))) ,

the content of Denition 5.3, when the role of R is played by the ring Zp .

By gluing over the nonempty intersections of the elements of a covering

of a scheme X of nite type over R, we obtain an intrinsic global notion

of an arithmetic dierential operator.

Let us point out that for an arithmetic dierential operator of order

r to be dened for a given scheme X of nite type over R, the formal

scheme Jpr (X) must admit globally dened functions.

82 A general view of arithmetic dierential operators

group schemes

A group variety is a variety X together with a morphism X X X

such that the points of X with this operation form a group, and such

that the inverse x x1 is also a morphism of X. An algebraic group

is a synonym for a group variety. If X S is a scheme over S, a group

law is a morphism X S S X. Let i : X X and : S X be

morphisms of schemes such that = 1lS , where 1lS stands for the

identity morphism of S. Suppose that , i and satisfy the relations

( , 1lX ) = (1lX , ) = 1lX , (i, 1lX ) = (1lX , i) = , and

(1lX , ) = (, 1lX ), where (1lX , ) and (, 1lX ) are the two natural

morphisms X S X S X X that and 1lX dene. Then we say that

the scheme X over S together with the morphisms , i and is a group

scheme over S.

In the general set-up of the previous section, we take X to be a com-

mutative group scheme G over A. An arithmetic dierential operator

gives rise to a mapping G(A) A. If this mapping is also a group ho-

momorphism when A is viewed with its additive group structure, we say

that the operator is a p -character. These are the analogues of the linear

dierential operators in the arithmetic case, as proposed in [6, 8].

The ane line A1 under addition is an algebraic group, denoted by

Ga . Thus, we have that Ga = Spec R[y] is the additive group scheme

over R. On the other hand, A1 \ {0} = Spec R[y, y 1 ] is a group scheme

under multiplication, denoted by Gm . Let us recall that given a scheme

X over the ring A, if B is an A-algebra, we let X(B) denote the set

of all morphisms of A-schemes Spec B X, and any such morphism

is called a B-point of X. If X = A1 = Ga = Spec A[y], then X(B) is

simply the set B itself because a morphism Spec B Spec A[y] is the

same as a morphism A[y] B, and the latter is uniquely determined

by the image of y in B. If on the other hand, X = Spec A[y, y 1 ] =

Gm = Spec A[x, y]/(xy 1), then X(B) = B because we have the

identication HomA (A[y, y 1 ], B) = B via the map f f (y). Finally,

if X = Spec A[x, y]/(f (x, y)), then X(B) = {(a, b) B 2 : f (a, b) = 0}.

These three examples cover all the algebraic groups of dimension one, as

the latter of them encompasses an ane chart of an elliptic curve (E, A)

over A. All the geometric bers of group schemes of relative dimension

one are of this form.

6.3 The analogue of a p -linear operators for group schemes 83

if it is a p -morphism of order r such that, for any prolongation se-

quence S , the maps G(S 0 ) H(S r ) are group homomorphisms. A

p -character of order r of G is a p -homomorphism G Ga of order r,

where Ga = Spec A[y] is the additive group scheme over A. The group

of p -characters of order r of G will be denoted by Xrp (G).

Example 6.21 Let us consider the p -jet space of the group schemes

A1 and A1 \ {0}, respectively. In the rst case, we have that A1 = Ga =

Spec A[y] is the additive group scheme over A, and

Jpn (Ga ) = Spf A[y, p y, . . . , pn y](p) .

Jpn (Gm ) = Spf A[y, y 1 , p y, . . . , pn y](p) .

on an ane chart by Spec A[x, y]/f (x, y), if we let x(0) denote the tuple

(x, y) then

Jpn (E, A) = Spf A[x(0) , x(1) , . . . , x(n) ](p) /(f, p f, . . . , pn f ) ,

where p f (x0 ) = (f ((x(0) )p + px(1) ) f p (x0 ))/p. The entire jet space

is obtained by using a covering, and gluing the resulting ane pieces

together.

These three cases describe the arithmetic jet spaces of all algebraic

groups of dimension one.

Notice that when X is a group scheme of nite type over R, then (6.5)

is a projective system of groups in the category of p-adic formal schemes

over R.

If G is a group scheme of nite type over R, then the group Xrp (G)

of order r p -characters G Ga identies with the group of homomor-

(p)

phisms Jpr (G) Ga , and thus, it identies with an A-submodule of

O(Jpr (G)). Let

O

p (G) := lim Op (G)

r

X

p (G) := lim Xp (G)

r

84 A general view of arithmetic dierential operators

structure of R[p ]-module, and X p (G) is an R[p ]-submodule. Here,

(R[p ], +, ) denotes the ring generated by R and the symbol p sub-

jected to the relation

p a = ap p ,

If X is a scheme of nite type over R, and f O(Jpr (X)) is an arith-

metic dierential equation of order r, let f : X(R) R be the corre-

sponding map of sets. If X = G is a group scheme, f is a p -character

of order r if the said map of sets is a homomorphism. The pre-image

f 1 (0) of 0 R under f is, by denition, the set of solutions of the

arithmetic dierential equation f = 0.

If G is a group scheme of dimension one, the structure of the

R[p ]-module O p (G) of p -characters has been described by Buium [8]

in complete detail. His results are as follows.

character f is of the form f = ai ip with ai R. That is to say,

Op (G) is a free R[p ]-module of rank 1 with the identity as generator.

Proof. Let K be the fraction eld R[1/p]. Given f Xnp (Ga ), since

Jpn (Ga ) = Spf A[y, p y, . . . , pn y](p) , we may identify f with an element

f R[[y (0) , y (1) , . . . , y (n) ]]. We have the mapping

n

np (y (0) ) = (y (0) )p + + pn y (n) . This is a K-algebra isomorphism,

and 1 f is additive in y0 , . . . , yn . But the only additive elements in

K[[ip |0in ]] are those in the K-linear span of {ip |0in }. Thus, we

can complete the proof by showing that if i ai ip pR[ip |0in ], we

then have ai pR, and this is fairly clear.

exists a nonzero p -character f : Gm (R) = R R of order 1, unique

up to multiplication by a constant, and given by

n1

n

1 n1 p p x

fp (x) = (1) ,

n xp

n1

that generates O

p (G) as a free R[p ]-module.

6.3 The analogue of a p -linear operators for group schemes 85

argument to describe its characters is more elaborate than the previous

one for Ga .

Proof. Let us rst observe that

1 1 p (x) 1 p x

fp (x) = log = log 1 + p p .

p xp p x

Since we already know that the n-th jet space of Gm is given by Jpn (Gm ) =

Spf A[y, y 1 , p y, . . . , pn y](p) , we see easily that fp1 is an element of the

group X1p (Gm ), a character of order 1 of Gm .

Given any f Xnp (Gm ), we can compose it with the map

(p)

(p)

Ga Gm

x exp (px)

R[p ]-module in Theorem 6.22. Now observe that if y = 1 + T and

log y = l(T ) = T T 2 /2 + T 3 /3 + , then

1

fp1 = (p p)l(T ) R[[T ]][T (1) ](p) ,

p

and so

1

(ip fp1 ) exp (pT ) = ip (p p) l(exp (pT )) = i+1

p (T ) pp (T ) ,

i

p

which shows that the family {ip fp1 }i0 is a linearly independent collec-

tion of characters. Thus, f is in the span of {ip fp1 }n1

i=0 , and therefore,

f must be in the R[p ]-span of fp1 . This nishes the proof.

Now if G = E is an elliptic curve over R, then O p (E) is also a free

R[p ]-module of rank 1. But the basis is a character of order 1 or 2

depending on whether E has a canonical lift or not. An elliptic curve E

over R is called a canonical lift if there exists a morphism of schemes

E E over Zp whose reduction mod p is the absolute Frobenius. We

simply formulate the theorem for completeness. The reader is referred

to [8] for its proof, whose discussion exceeds the goals we have for this

monograph.

there exists a a nonzero character f 2 : E(R) R of order two whose

group of solutions contains pn E(R) as a subgroup of nite index, and

f 2 generates Op (E) as an R[p ]-module. If E has ordinary reduction

86 A general view of arithmetic dierential operators

f 1 : E(R) R of order 1, unique up to multiplication by a constant,

and in this case, f 2 can be written as a linear combination of f 1 with

coecients taken out of R[p ], and the character f 1 generates the free

R[p ]-module Op (E).

Kolchin logarithmic derivative [30], while the character f 2 in Theorem

6.24 is the arithmetic analogue of the Manin map [37].

In extending the theory above to the partial dierential setting, there

are two ways of proceeding, one already explained in 5.1. These ways

are obtained when we consider geometric directions of dierentiation

in addition to the arithmetic one, or when we consider the various

arithmetic directions associated to a set of multiple primes. These two

cases can be briey illustrated using rst the simple minded extension

d

of the analogy between (C[x], dx ) and (Z, p ) used earlier.

Indeed, we now consider the polynomial ring C[x1 , x2 ]. Given primes

p1 , p2 , we may propose as the analogue of the algebra (C[x1 , x2 ], x1 , x2 ),

xi := x i

, i = 1, 2, the triple (Z, p1 , p2 ), where the two arithmetic

n npi

derivatives p1 , p2 : Z Z are dened by pi n := , i = 1, 2.

pi

This captures the essence of the case of several arithmetic directions.

On the other hand, we could simply extend the theory to the partial

dierential case by taking as the analogue of (C[x1 , x2 ], x1 , x2 ) the

triple (Z[q], p , q ), where Z[q] is a polynomial ring in the indeterminate

n ( an q pn ) ( an q n )p

q, and p and q are dened by p ( an q ) :=

p

n d n

n

and q ( an q ) := q an q = nan q , respectively. In this

dq

context, we think of p and q as arithmetic and geometric directions, re-

spectively. The latter case is beyond the scope of this monograph, and

we refer the interested reader directly to the source [15, 16], where the

needed jet spaces foundational to the theory are introduced, and com-

plete statements on the characters on one dimensional group schemes

are made, paralleling the ones above for a single prime. On the other

hand, the rst of the cases above is also outside the scope of this mono-

graph, but we started in 5.1 to explain the diculties in going beyond

6.4 Multiple primes II 87

rather sketchy form. The interested reader may nd the complete details

in [17].

Given a family P = {p1 , . . . , pd } of primes, let A0 be a P -ring, for

instance, the ring of Example 5.8. We denote by K0 its fraction eld.

We let A be the ring A = A0 [[q]] of power series in q, and dene a family

of homomorphism pk : A A, 1 k d, by

pk ( cn q n ) = pk (cn )q npk .

to the homomorphism pk s.

Given an n-tuple of variables x, we consider n-tuples of variables xi

indexed by vectors i = (i1 , . . . , id ) in Zd0 such that x = x(0,...,0) . We set

i

P = pi11 . . . pidd , and iP = ip11 . . . ipdd .

Let K0 {x} be the ring of polynomials

K0 {x} := K0 [xi : i 0]

homomorphisms pk : A0 A0 are extended to ring endomorphisms

pk : K0 {x} K0 {x} by pk (xi ) = xi+ek , so that we have that

xi = iP x for all i. Clearly pk pl (a) = pl pk (a) for all a K0 {x}, all

k, l. If we consider the pk -derivations pk : K0 {x} K0 {x} associated

to the pk s, then K0 {x} is a P -ring that is generated as a K0 -algebra

by the elements P i

x, i 0:

K0 {x} = K0 [P

i

x : i 0] .

of K0 {x} generated by all the elements P

i

x:

A0 {x} := A0 [P

i

x : i 0] .

The ring A0 {x} is strictly larger than the ring A0 [xi : i 0]. And the

family {P

i

x : i 0} is algebraically independent over A0 , so A0 {x} is a

i

ring of polynomials in the variables P x.

so A0 {x} is in a natural manner a P -ring.

{a K0 {x} : pk a A0 {x}} are A0 -subalgebras of K0 {x}. Therefore,

it suces to show that P i

x Sk for all i and k. This can be done

88 A general view of arithmetic dierential operators

(i, k) Zd0 Z0 with respect to the lexicographic order.

Proceeding as before the statement of the lemma, we see that the

system

i

A0 [P x : i r]

Ar = A0 [[P

i

T : i r]] .

ture of P -prolongation sequence on the sequence of rings (Ar ). For the

pk -derivation pk sends the ideal

i

Ir := (P T : i r) Ar

We are now ready to dene the P -jet spaces. As in the case of a single

prime [8] discussed above, we now have the following existence result for

a universal prolongation sequence.

there exists a P -prolongation sequence A over A0 , with Ar nitely gen-

erated over A0 , satisfying the following property: for any P -prolongation

system B over A0 and any A0 -algebra homomorphism u : A0 B 0 ,

there exists a unique morphism of P -prolongation systems u : A B

such that u0 = u.

A0 [x]

A0 =

(f )

for a tuple of indeterminates x, and a tuple of polynomials f . Then we

set

A0 [Pi

x : i r]

Ar = i f : i r)

.

(P

statement.

6.4 Multiple primes II 89

A0 = O(X) and let Ar be as in Proposition 6.27. Then the scheme

the scheme JPr (X) depends on X alone, and is functorial in X: for any

morphism X Y of ane schemes of nite type, there are induced

morphisms of schemes

JPr (Y ) JPr (X) .

of the schemes Jpr (X) are those introduced and studied in [8, 11, 6],

and discussed earlier. For arbitrary P, the schemes JPr (X) above were

independently introduced by Borger in [4], where they are denoted by

Wr (X).

Lemma 6.29 Let X be an ane scheme of nite type over A0 and let

Y X be a principal open set of X, O(Y ) = O(X)f . Then O(JPr (Y ))

O(JPr (X))fr where fr = ir iP (f ). In particular, the induced mor-

phism JPr (Y ) JPr (X) is an open immersion whose image is principal,

and if we view this morphism as an inclusion, and Z X is another

principal open set, then we have that

Proof. We can check that O(JPr (X))fr has the universality property

of O(JPr (Y )). The pk -derivations on O(JPr (X))fr are dened via the

formula

a bpk a apk b

pk pk

pk = .

b bp pk (b)

open covering

m

X= Xi (6.6)

i=1

is called principal if

90 A general view of arithmetic dierential operators

i=1 is a principal covering of X, we

dene the P -jet space of order r of X with respect to this covering by

gluing JPr (Xi ) along JPr (Xi Xj ), and it is denoted by Jc,Pr

(X).

say, the covering of X with a single open set, the set X itself. Then the

r

space Jc,P (X) coincides with the space JPr (X) of Denition 6.28. Notice

that any quasi-projective scheme X admits a principal covering.

r

In general, the schemes Jc,P (X) in the denition above depend on the

covering c in a nontrivial manner. As shown and indicated already in

[17], even though they have this deciency, they suce for the extension

of the theory we seek. Because it is the case that the rings of global

functions O(Jc,P

r

(X)p

j ) on the pj -adic completion Jc,P

r

(X)p

j of Jc,P

r

(X)

do not depend on the covering c, and are functorial in X. In fact, we

have the following [17, Proposition 2.22].

type, quasi-projective and with connected geometric bers over A0 =

Z(P) := dl=1 Z(pl ) . Let c and c be two principal coverings of X, and

r

Jc,P (X) and Jcr ,P (X) be the corresponding jet spaces. Then, there is a

natural isomorphism

O(Jc,P

r

(X)pk ) O(Jcr ,P (X)pk ) .

We therefore drop the covering from the notation, and denote the

isomorphism class of rings O(Jc,P r

(X)pk ) simply by O(JPr (X)pk ).

When P consists of a single prime p, we have interesting formal func-

tions f O(Jpr (X)p

) for a handful of interesting situations. In the case of

several primes, we would like to glue together family of these elements

fpj O(JPr (X)p

j ), j = 1, . . . , d. This gluing cannot be done directly

since, for instance, in the case where X is ane, each fpj is a function

on the tubular neighborhood Spf O(JPr (X))p

j of Spec O(JPr (X)) Fpj

in Spec O(JPr (X)), and these tubular neighborhoods are disjoint. We

solved this in [17] by dening the notion of the analytic continuation

of the various elements on the family.

{p1 , . . . , pd } be a nite set of primes in Z that are noninvertible in A/I.

We say that a family

d

f = (fk ) Apk (6.8)

k=1

6.4 Multiple primes II 91

the images of f0 and fk in the ring A(pk ,I) coincide for each k = 1, . . . , d.

In that case, we say that f0 represents f . If X = Spec A, we denote

by OI,P (X) the ring of families (6.8) that can be analytically continued

along I.

Z(P) . Given a Z(P) -point P : Spec Z(P) X, by the universality prop-

erty we obtain a unique lift to a point P r : Spec Z(P) JPr (X) that is

compatible with the action of P .

P be a Z(P) -point P : Spec Z(P) X, and P r : Spec Z(P) JPr (X)

be its unique lift compatible with the action of P . We denote by P r

O(JPr (X)) also the ideal of the image of P r . By a P -function on X of

order r that is analytically continued along P we mean a family

d

f = (fk ) O(JPr (X))pk (6.9)

k=1

ring of all P -functions on X of order r that are analytically continued

along P .

d

Notice then that f = (fk ) k=1 O(JPr (X))pk can be analytically

continued along P r if, and only if, there exists an element

r

f0 O(JPr (X))P

r )

O(JPr (X))(pk ,P

X that are analytically continued along P is

continuation concept in a pragmatic way under some general hypotheses

on X and P .

point P : Spec Z(P) X of X is called uniform if there exists an etale

92 A general view of arithmetic dierential operators

minates, such that the ideal of the image of P in O(X) is generated by

T . We refer to T as uniform coordinates. Then T is a regular sequence

in O(X), and the graded ring associated to the ideal (T ) in O(X) is

isomorphic to Z(P) [T ]. We have that

and similarly that

O(X)(pk ,T ) Zpk [[T ]] .

For a general scheme X, we say that a Z(P) -point P of X is uniform if

there exists an ane open set X X that contains P such that P is

uniform in X .

We now have the following.

Denition 6.35 Let X be a smooth quasi-projective scheme over Z(P)

with geometrically connected bers, and let P be a uniform point in some

ane open set X . Let us denote by OrP,P (X) the pre-image of OrP,P (X )

via the restriction map

d

d

d

O(JPr (X)pk ) O(JPr (X )pk ) = O(JPr (X ))pk .

k=1 k=1 k=1

are referred to as P -functions of order

r on X that are analytically continued along P . We dene the ring of

P -functions on X that are analytically continued along P by

O

P,P (X) := lim OP,P (X) ,

r

Example 6.36 Let X = An = Spec Z(P) [T ] be the n-dimensional

ane space over Z(P) , where T is an n-tuple of indeterminates. We let

i

P be the zero section, and let t be the tuple of indeterminates (P T )ir .

If ordpk denotes the pk -adic order, then

OrP,P (An ) { aj tj Z(P) [[t]] : lim ordpk aj for each k} .

|j|

Since in this case Spec Z(P) X, the lift to JPr (X) of other Z(P) -points,

and the description of the P functions that can be analytically continued

along them, is carried in a similar manner via a translation of the zero

section.

6.4 Multiple primes II 93

We end our discussion of the theory for several primes by stating the

main results about group characters and the analogues of those results

of Buium given in 6.3 for the case of a single prime. Again, this is just a

sketch, and the interested reader is referred to [17] for complete results.

Let G be a smooth group scheme over Z(P) with multiplication :

GG G, where, = Z(P) . If G is ane, by the universality property

we have that JPr (G) is a group scheme over Z(P) . In the nonane case,

the covering dependent denitions may create problems, but we attach

to this general situation a formal group law as follows.

Let Z be the identity Spec Z(P) G, and assume Z is uniform, with

uniform coordinates T (see Denition 6.34). This condition on Z is triv-

ially satised in the cases where G = Ga , G = Gm , and G = E, an

elliptic curve. For arbitrary G, the condition that Z be uniform is not

restrictive whenever we choose the primes in P to be suciently large.

Under the conditions above, Z Z G G is a uniform point with

uniform coordinates T1 , T2 induced by T . We have an induced homo-

morphism Z(P) [[T ]] Z(P) [[T1 , T2 ]] that sends the ideal (T ) into the

ideal (T1 , T2 ). By the universality property applied to the restriction

Z(P) [T ] Z(P) [[T1 , T2 ]], we obtain morphisms

Z(P) [P

i

T : i r] Z(P) [[P

i i

T1 , P T2 : i r]]

that send the ideal generated by the variables into the corresponding

ideal generated by the variables. Thus, we have an induced morphism

Z(P) [[P

i

T : i r]] Z(P) [[P

i i

T1 , P T2 : i r]] .

i

T : i r} under this last

homomorphism. Then the tuple G is a formal group law over Z(P) .

r

over Z(P) with geometrically connected bers. Let us assume that the

identity is a uniform point. Then there are homomorphisms

P -function f OrZ,P (G) of order r on G that is analytically

continued along Z is a P -character of order r on G if

f = pr1 f + pr2 f .

94 A general view of arithmetic dierential operators

X

P (G) := lim XP (G) .

r

exists

f0 Z(P) [[P

i

T : i r]]

that represents f such that

f0 (Gr (T1 , T2 )) = f0 (T1 ) + f0 (T2 ) . (6.10)

Here, Gr is the corresponding formal group law, and f0 (T ) stands for

i

f0 (. . . , P T, . . .).

The group XrP (G) of P -characters of order r on G is a subgroup of the

additive group of the ring OrZ,P (G). The group X P (G) of P -characters

on G is a subgroup of OZ,G (G).

For any P -character XrP (G) and any P -ring A, there is an

induced group homomorphism

A : G(AP ) AP , (6.11)

where AP is viewed as a group with respect to addition. Thus, we may

speak of the group of solutions Ker A of the character . The mapping

A A is functorial in A.

Denition 6.38 Let P be a Z(P) -point of G. We say that a

P -character XrP (G) can be analytically continued along P if

OrP,P (G).

We now exhibit the P -characters for the groups Ga and Gm , respec-

tively, paralleling the discussion in 6.3 for a single prime:

The additive group. Let us consider the additive group scheme over

Z(P) ,

Ga := Spec Z(P) [x] .

The zero section is uniform, with uniform coordinate T = x. We have

that

O(JPr (Ga )) = Z(P) [P

i

x : i r] .

Let us consider the polynomial ring

Z(P) [P ] := Z(P) [pl : l I] = Z(P) n ,

nN

6.4 Multiple primes II 95

by P, and the pl s are commuting variables. If i = (i1 , . . . , id ) Zd0 ,

we set Pi = pi11 . . . pidd . If n = Pi we set n = iP = ip11 . . . ipdd . The

ring Z(P) [P ] is then viewed as the ring of symbols of the arithmetic

partial dierential equations that we dene. For r Zd0 , we consider

the symbol

:= cn n Z(P) [P ] .

n|Pr

We may consider the element = x O(J r (Ga )), and using the

diagonal embedding, identify it with an element

d

O(JPr (Ga ))pk .

k=1

shall be identied with each other.

The following result for the additive group is simple. Later on, a less

elementary analogue for the multiplicative group Gm will follow. We will

not discuss the multiple prime situation for elliptic curves here.

= ( cn n )x , cn Z(P) .

n

0 Z(P) [[P

i

x : i r]]. We view this representative 0 as an element

of

Q[[P

i

x : i r]] = Q[[iP x : i r]] .

0 (. . . , iP x1 + iP x2 , . . .) = 0 (. . . , iP (x1 + x2 ), . . .)

= 0 (. . . , iP x1 , . . .) + 0 (. . . , iP x2 , . . .) .

Then 0 = cn n x, where cn Q.

We have that

n x xn mod (P

i

x : i r)

96 A general view of arithmetic dierential operators

i

x : i r]. Therefore, we obtain that

(0 )|Pi x=0; 0

=ir = c n xn .

It follows that cn Z(P) , which completes the proof of the rst assertion.

The second assertion is clear. We merely refer to Example 6.36 for

(some) details.

Corollary The group of P -characters X

P (Ga ) is a free Z(P) [P ]-

module of rank one with basis x.

The multiplicative group Let us now consider the multiplicative

group scheme over Z(P) ,

Gm := Spec Z(P) [x, x1 ] .

The zero section is uniform, with uniform coordinate T = x 1.

The formal group law G0 corresponding to T is

G0 (T1 , T2 ) = T1 + T2 + T1 T2 ,

and the logarithm of this formal group law is given by the series

Tn

lGm (T ) = (1)n1 Q[[T ]] .

n=1

n

1

O(JPr (Gm )) = Z(P) i

P x, : ir .

iP (x)

For each k, we consider the series

n

pn1 pk x

pk = p1k := (1)n1 k

O(JPek (Gm ))pk ,

n=1

n xpk

pl

(n)

pk := 1 = n Z(pk ) [pl : l Ik ] .

pl n

lIk nNk

of the natural numbers generated by pk := P\{pk }, is the Mobius

function and the pl s are a set of d-variables that commute among them-

selves. Let us then consider the family

d

(pk pk ) O(JPe (Gm ))pk ,

k=1

6.4 Multiple primes II 97

a P -character that we shall denote by

e

m XeP (Gm ) . (6.12)

Gm .

where cp (x, y) is the polynomial (5.1) associated with p. Then the image

of pk pk in Qpk [[P

i

T : i e]] is equal the following series:

n

n 1 (1) n1

(1 + T )

(pk ) n1 (1+T ) p

pk n=1 n

pk

(1+T )pk = p k

1

pk k n=1 n (1 + T )pk

1 pk (1 + T )

= pk lGm 1

pk (1 + T )pk

1

= p (pk pk )lGm (T )

pk k

d

pl

= (1 ) lGm (T ) .

pl

l=1

the maximal ideal of the ring. We shall denote this series by 0e .

We have that 0e has coecients in Q Zpk = Z(pk ) , and is the same

for all k = 1, . . . , d. Hence, 0e has coecients in Z(P) , and it represents

the family (pk pk ). We also have that 0e satises the condition (6.10)

because

d pl

0e (Ge (T1 , T2 )) = l=1 (1 pl ) lGm (T )(G0 (T1 , T2 )

d pl

= l=1 (1 pl

) (lGm (T1 ) + lGm (T2 ))

= 0e (T1 ) + 0e (T2 ) .

This completes the proof.

(1,1)

that the character m above has the factorization

p1 p2 Tn

1 1 (1)n1 Q[[T, p1 T, p2 T, p1 p2 T ]] .

p1 p2 n

This is very much analogous to the factorization of the 2-dimensional

98 A general view of arithmetic dierential operators

we have

1

log u = z z log u ,

4

which can be written as

zu z u

z = z ,

u u

Here, z = x + iy is the complex coordinate on C = R2 , and =

(x2 + y2 ).

The analogy above is of limited scope. For it is not clear how to tie

up dierent primes through a conjugation operation. However, there is

(1,1)

another way of looking at the factorization above for m , and in this

e

other way, we can consider quite naturally the character m for

an ar-

d pj

bitrary number of primes. For the product j=1 1 pj can be

thought of as the factorization of a d-th order operator whose symbol

decomposes into the product of linear factors with distinct roots along

the various arithmetic directions given by the primes. In the classical

case, these are of course the strictly hyperbolic dierential operators.

In this sense, the arithmetic Laplacians of [17] exhibit a hyperbolic be-

haviour. The pursue of this idea might be worthwhile to undertake in

the future.

XeP (Gm ) generates the space of all

P -characters of Gm , and determine all of the P -characters that can

be analytically continued along any given Z(P) -point P of Gm .

Theorem 6.42 Let be a P -character of order r on Gm . Then

=( e

cn n )m , cn Z(P) .

n

only if, either P is a torsion point or n cn = 0.

Proof. Let 0 be the series representing . Then we have an equality

of the form

0 = ( dn n )l(T )

n|Pr

in Q[[P

i

T : i r]] for dn Q.

6.4 Multiple primes II 99

the series

i i

(. . . , P (T ), . . .) := 0 (. . . , P (e(T )), . . .)

satises the identity

i i i

(. . . , P (T1 + T2 ), . . .) = (. . . , P T1 , . . .) + (. . . , P T2 , . . .) .

By the argument used in the proof of Theorem 6.39, we conclude that

= dn n (T ), with dn Q, which completes the proof of the asser-

tion.

By this preliminary result, if we set Pi

T = 0 for i = 0, we obtain that

( dn n ) l(T ) Z(P) [[T ]] ,

where n T := T n .

Now we can see that if a polynomial = ln n Q[p1 , . . . , ps ]

satises that

l(T ) Zpk [[T ]] Q

for some k {1, . . . , s}, then is divisible in the ring Q[p1 , . . . , ps ] by

pk pk .

Indeed, let us divide by pk pk in Q[p1 , . . . , ps ], so that

=( an n )(pk pk ) + bn n ,

for an , bn Q, and bn = 0 if pk |n. We prove that the remainder term

above is identically zero by showing that bn = 0 for all n.

Since (pk pk ) l(T ) Zpk [[T ]], it follows that ( bn n ) l(T )

Zpk [[T ]] Q. We may assume ( bn n ) l(T ) Zpk [[T ]]. We have that

T nm

( bn n ) l(T ) = (1)m1 bn . (6.14)

n m

m

Let us x integers n , 1. By looking at the coecient of T n pk in

(6.14), we obtain that

n nbn

(1) n Zpk

n pk

n|n

and that Z, n = n , so n | n , and m = nn pk . Since n is odd for

bn = 0, it follows that

nbn pk Zpk ,

n|n

100 A general view of arithmetic dierential operators

nbn = 0 .

n|n

As this is true for all n , we may now use the Mobius inversion formula

to conclude that bn = 0 for all n. And this completes the proof of the

assertion.

Applying this result, it follows that

d

p

dn n = ( cn n ) 1 k

pk

k=1

cn Z(P) for all n. This completes the proof of the rst part of the

Theorem.

For the proof of the second part, let : Gm Gm be the translation

dened by the inverse of P , and let be the automorphism dened by

on the various rings of functions. Since OrZ,P (Gm ) (recall that Z

is the identity Spec Z(P) Gm ), we have that OrP,P (Gm ). But

if = (k ) then k = k k (Pk ) for all k. Now, if P is torsion or

if n cn = 0, it is then clear that k (Pk ) = 0. So k = k , hence

OrP,P (Gm ).

Conversely, let P be non-torsion and suppose that a Z (P) is a given

number. Let n cn = 0, and assume that OrP,P (Gm ). We derive

a contradiction. For let p = p1 and b := ap1 1 + pZ(p) , so b = 1.

By Mahlers p-adic analogue of the Hermite-Lindemann theorem [35,

3] , we have that log b Q, where here log : 1 + pZp pZp is the

p-adic logarithm. Since OrP,P (Gm ) and OrP,P (Gm ), it follows

that OrP,P (Gm ). But = (k (a)) so, in particular,

1 (b) Q. But

d

1

1 (b) = ( cn ) 1 log b .

n

pl

l=1

Since n cn = 0, it follows that log b Q, the desired contradiction.

Consider the augmentation ideal

Z(P) [P ] :=

+

cn n Z(P) [P ] : cn = 0 .

n n

Roughly speaking this says that the p-adic exponential function is transcendental

at nonzero algebraic arguments.

6.4 Multiple primes II 101

e

module of rank one with basis m . The group of P -characters in X

P (Gm )

that can be analytically continued along a given non-torsion point P of

Gm is isomorphic with the augmentation ideal Z(P) [P ]+ as a Z(P) [P ]-

module. This group is the same for all non-torsion P s.

e

We now compute the group of solutions of the P -character m in

(6.12).

Theorem 6.43 Let A be the P -ring Z(P) [m ] in Example 5.8, and let

e

m,A : Gm (AP ) = A

P AP be the homomorphism (6.11) induced by

e

m . Then

e

Ker m,A = (A

P )tors .

e

Proof. The nontrivial inclusion to prove is that Ker m,A (A

P )tors .

Let us take Q = (Qk ) Ker m,A

e

so that

for all k. Here Qk Apk = APk1 APk2 , where pk = Pk1 Pk2

is the prime decomposition of pk A. In order to show that Q is torsion,

we may replace Q by any of its powers. So we may assume that Qk

1 + pk Apk for all k. Then (6.15) produces that

d

(pl pl ) lGm (Qk 1) = 0 .

l=1

Apk Apk

(pl pl )

is injective for all k, l, assertion that we prove below. Using this result,

we conclude that lGm (Qk 1) = 0, which implies that Qk = 1 by the

injectivity of lGm : pk Apk pk Apk . This completes the proof of the

Theorem.

For the proof of the assertion, let us assume that (pl pl ) = 0.

We also have that M pl = , M := [Q(m ) : Q]. Since the polynomials

pl pl , pl 1 Q[pl ] are coprime, it follows that = 0, as desired.

M

Elliptic curves. We present the statement for elliptic curves for com-

pleteness.

102 A general view of arithmetic dierential operators

reduction at all the primes in P. Then there exists a character E 2e

of

order 2e = (2, . . . , 2), unique up to a unit in A, and such that every

other P -character on E is obtained in an appropriate sense from it.

2e

Remark 6.45 There is a factorization for E analogous to the fac-

e

torization for m discussed in Remark 6.41, but not as explicit. For we

now have that

d

pj pj 2

1 aj + pj lE (T ) ,

j=1

pj pj

and aj Z is the trace of the pj -power Frobenius on the reduction mod

2e

pj of E. We now have that the character E admits a factorization

with factors that are operators of order 2 along each of the arithmetic

directions given by the d primes in P. This property makes of E 2e

an

operator that exhibits a hyperbolic nature, as in the case of the character

e

m of Remark 6.41 that arose when treating the multiplicative group.

2e

In this sense, the order of E should be taken to be the scalar 2d, and

not the multi-index 2e.

7

Analyticity of arithmetic dierential

operators

ring Zp by proving that any arithmetic dierential operator

F (x, x, . . . , r x) : Zp Zp

is an analytic function in the sense of [36, 42]. The following Lemma lays

the ground work to accomplish this task [14].

As a polynomial function in x, the arithmetic derivative (x) is a

p-adically continuous function, and the same is true of general arith-

metic dierential operators, or -functions, on Zp . What we show here

is that these functions hae another property, in addition to their mere

continuity.

write k x as a polynomial function in u of degree pk ,

k

p

k

x= cka,j uj ,

j=0

1. cka,0 p 1.

1

2. cka,1 p = nk .

p

1

3. cka,j p (nk+1)j1 , 2 j pk .

p

Proof. The rst of the estimates follows by the identity cka,0 = k (a),

which is a p-adic integer since ranges in Zp . We prove the remaining

two estimates by induction on k.

103

104 Analyticity of arithmetic dierential operators

The estimates are clear for k = 0. We assume now that they hold for

k 1. That is to say, we have

k1

p

k1

x= ck1 j

a,j u ,

j=0

a,j satisfy the estimates

k1 1

c

a,j p ,

p(nk+2)j1

and the equality holds in the case when the index j is 1. By (5.5), we

have that

pk1 k1 j pk1 k1 j p

k j=0 ca,j u ( j=0 ca,j u )

x= .

p

We use the multinomial expansion in order to express the p-th power

above as a polynomial in u. We obtain

k1 0

k1

p

ck1

a,j p (ca,0 ) (ck1

a,pk1

)pk1 j

k

x= u

j

u,

p 0 , . . . , pk1 p

j=0

the last sum is over all nonnegative multi-indices = (0 , . . . , pk1 ) of

weight p. Notice that exponent j of u in that sum ranges in between 0,

corresponding to the multi-index = (p, 0, . . . , 0), and pk , corresponding

to the multi-index = (0, . . . , 0, p). This shows that k x is a polynomial

of degree pk in u, as desired. There remains only the estimation of the

p-adic norm of its coecients.

If we write

k

p

k

x= cka,j uj ,

j=0

ck1

a,j

p

k1 0

(ca,0 ) (ck1

a,pk1

)pk1

cka,j =

p 0 , . . . , pk1 p

j =j

for 0 j pk1 , or

p

(ck1

a,0 )

0

(ck1

a,pk1

)pk1

cka,j =

0 , . . . , pk1 p

j =j

Analyticity of arithmetic dierential operators 105

ger, by the induction hypothesis applied to each of the coecients ck1 a,l ,

we have that

k1 0

p (ca,0 ) (ck1

a,pk1

)pk1 p

(nk+1)j .

0 , . . . , pk1 p p

p

If j = 00 + 11 + + p k1

pk1 = j, the right hand side of this

expression is simply p(nk+1)j+1 , and we may now estimate the p-adic

norm of cka,j for any j 1 using the expression for the coecient cka,j

given above. Indeed, by the non-Archimedean property of p , and the

estimate just derived, it follows that

k 1

ca,j

p p(nk+1)j1

for any j 1.

The estimate above is sharp for j = 1. Indeed, we have that

ck1

a,1

cka,1 = (1 p(ck1

a,0 )

p1

), (7.1)

p

and so

k p 1

ca,1 = p ck1 = = nk ,

a,1 p

p pnk+1 p

as desired. This completes the proof.

Remark 7.2 The coecient cka,1 is given by

k1

cka,1 = pnk (1 p( l (a))p1 ) ,

l=0

as follows by the recursion formula (7.1). Since the l (a)s are all

p-adic integers, by the non-Archimedean property of p applied to

this expression, it follows easily that the p-adic norm of this coecient

is 1/pnk .

Theorem 7.3 Any -function is an analytic function.

Proof. Let f (x) = F (x, x, . . . , r x) by an operator of order r given

by the restricted power series F Qp [[t0 , . . . , tr ]]. Thus,

f (x) = a x0 (x)1 ( r x)r ,

=(0 ,...,r )

where a 0 p-adically as || .

106 Analyticity of arithmetic dierential operators

1 n

The family of discs {a+pn Zp }pa=0 forms a covering of Zp . On each one

of these discs, we consider the power series fa (u) = f (a + pn u) Qp [[u]].

We use Lemma 7.1 to show that this power series converges on Zp for a

suitable choice of n.

Indeed, we have that

0 1 r

p

p

p

n

f (a+p u) = a ( c0a,j0 uj0 )0 ( c1a,j1 uj1 )1 ( cra,jr ujr )r .

=(0 ,...,r ) j0 =0 j1 =0 jr =0

p k

By the multinomial theorem, we expand each factor ( jk =0 cka,jk ujk )k

k pk k j

in this expression into a polynomial j=0 ca,j u in u of degree k pk .

Since each multinomial coecient is an integer, and these have p-adic

norms bounded above by 1, by the multiplicative and non-Archimedean

property of p , and referring to the estimates of Lemma 7.1, we con-

clude that

k 1

c .

a,j p (nk)j

p

It follows that

k

r k

r kp k=0k p

( cka,jk ujk ) = c j

a,j u ,

k=0 jk =0 j=0

a,j p-adically by

1

c .

a,j p

p(nr)j

Therefore, if we choose and x n to be any integer greater than the order

r of the operator f (x) = F (x, x, . . . , r x), the coecients c a,j will all

have uniformly bounded p-adic norm, and we have that

r k

k p

k=0

f (a + pn u) = a c

a,j u

j

because so do the a s. This nishes the proof.

8

Characteristic functions of discs in Zp : p-adic

coordinates

are -functions. The set of characteristic functions of discs in Zp is a

dense subset of C(Zp , Qp ) [36], so we investigate this problem for these

n

characteristic functions. Thus, given the covering {j + pn Zp }pj=01 of Zp

by discs of radius 1/pn , we ask if the characteristic function of any of

these discs can be realized as an arithmetic dierential operator. We

shall initially concentrate most of our attention in the case n = 1. The

explicit results we obtain in this case will guide the rest of our work.

Throughout this Chapter we use the coordinates of elements of Zp

that result when choosing the complete residue system {0, 1, . . . , p 1}

in realizing their expansions (2.4). These are referred to as the standard

p-adic coordinates.

We consider rst the case where p = 2. We ask if an operator of order

1 can be the characteristic function of a disc in the cover {j + 2Zp }1j=0

of Z2 . Of course, it suces to treat the question for the disc centered at

the origin, so we ask if we can nd coecients am,n so that the order 1

arithmetic operator

f (x) = am,n xm (x)n ,

m,n0

We use the changes x = 2u and x = 1 + 2u on the discs 2Z2 and

1 + 2Z2 , respectively. Then, for this to be the case, we must have the

107

108 Characteristic functions of discs in Zp : p-adic coordinates

relations

f0 (u) = a (2u)m (u 2u2 )n = 1 ,

m,n0 m,n m n 2 n (8.1)

f1 (u) = m,n0 am,n (1 + 2u) (1) (u + 2u ) = 0 ,

as series in u. And this system admits 2-adic integer solutions for the

amn s that go to zero as m + n .

Indeed, a simple commutation argument yields the explicit expressions

f0 (u) = a0,0 + k=1 c0,k uk , (8.2)

where

k kn n

c0,k = n=[ k + 2kn m=0 am,n (1)

kmn

2] kmn

[ k1

2 ] kn

kn kmn n

+ n=0 2 am,n (1) ,

m=k2n

kmn

while

k

f1 (u) = m=0 am,0 + k=1 c1,k u , (8.3)

where

k m+n

n kn

c1,k = n=0 am,n (1) 2 +

m=k

kn

k1 k n kn m+n

n=[ km + am,n (1) 2 ,

m=0 2 ] kn

respectively. Here, [ ] and [ ]+ are the greatest integer less or equal than

and the smallest integer greater or equal than functions, respectively.

Strassmans theorem [47] (see Theorem 4.9 in 4.1), (8.1) implies that

all but one of the coecients above vanish. We have:

ferential operator of order 1. The system of equations (8.1) can be solved

for the coecients am,n , with am,n = 0 for all m 2, and

1

||am,n ||2 .

2n

Proof. We proceed by induction on n. Since am,n = 0 for m 2,

the two equations in (8.1) suce to solve for a0,n and a1,n , respectively.

Indeed, by (8.2), the coecient of u0 in f0 (u) is a0,0 , so a0,0 = 1. By

(8.3), the said coecient in f1 (u) is m=0 am,0 = a0,0 + a1,0 , and so

a1,0 = 1. Similarly, the coecient of u in f0 (u) is a0,1 + 2a1,0 , so a0,1 =

8.1 Characteristic functions of discs of radii 1/p 109

2, and the said coecient in the series f1 (u) is given by 2 m=1 mam,0

m=1 am,1 a0,1 = 2a1,0 a1,1 a0,1 = 0, and that yields a1,1 = 4.

Assume that all the am,n s have been chosen for all pairs m, n with

n < k, and satisfying the desired estimates for some k 1. Since the co-

ecient c0,k of f0 (u) must be zero, using its explicit form given by (8.2),

we solve the resulting equation for a0,k , and obtain a linear combination

of the previously found coecients. In this combination, am,n appears

multiplied by 2kn times some rational integer. Thus, a0,k is uniquely

determined, and it satises the desired estimate.

Having found a0,k , the coecient c1,k of uk in the series f1 (u) given

explicitly in (8.3), which must also be zero. allows us to solve for a1,k as

a linear combination of the previously found coecients, including a0,k .

In this combination, am,n appears again multiplied by 2kn times some

rational integer. Thus, a1,k is uniquely determined also, and it satises

the desired estimate. This nishes the proof.

We now generalize the result above to discs of radius 1/p for an arbi-

trary prime p. Our argument extends the one just given for the prime

2, realizing the said characteristic function as an operator of the form

p1

m=0 am,n x (w1 (x)+ +wp1+dp

m p1+dp

n0 (x))n , where the wj s

are suitably chosen coecients, and where dp is the degree of p, as de-

ned below. A dierent generalization will be given in Chapter 9, where

we will obtain a stronger result.

We begin our work here by associating to any prime p a canonical

set of p-adic numbers. In order to do so, we dene rst the associated

matrix A of p.

For p = 2, let A to be the number 1, a 1 1 matrix. For p 3 and

any integer l 0, we let vl be the vector

l (2)

l (3)

vl = .. , (8.4)

.

l (p 1)

and dene A to be the (p 2) (p 2) matrix whose columns are the

vectors v1 , . . . , vp2 :

(2) 2 (2) ... p2 (2)

(3) 2 (3) ... p2 (3)

A := .. .. .. .. . (8.5)

. . . .

(p 1) 2 (p 1) ... p2 (p 1)

110 Characteristic functions of discs in Zp : p-adic coordinates

of its associated matrix A. The degree dp of p is the p-adic order of its

Wronskian. We say that p is a singular prime if its degree dp is positive.

Otherwise, p is said to be nonsingular.

pute the Wronskian of a prime p. For p = 2 it is 1. For p = 3, it is 2,

and for p = 5, it is the rational integer

In fact, among the rst 100 primes, only p = 29 and p = 311 are

singular. This assertion can be proven without having to nd explicitly

their Wronskian, merely proving that this Wronskian is divisible by p.

Even then, the quick growth of the integers involved in the calculations

makes the task computationally complex when the prime in question is

moderately large.

we dene Al to be the matrix obtained from the matrix A in (8.5)

associated to p by replacing its l-th column by the vector vp1+dp in

(8.4). The following conclusion is recorded for use later on. It follows by

Cramers rule.

1

( det A1 , . . . , det Ap2 )

det A

is the unique solution of the equation Ax = vp1+dp .

1

( det A1 , . . . , det Ap2 , 0, . . . , 0, det A)

det A

is the set of Wronskian quotients associated to p.

to p are all p-adic integers. And once again, these numbers are dicult

to compute also. For p = 3, they are the integers (1, 1). For p = 5, we

8.1 Characteristic functions of discs of radii 1/p 111

use the value of the Wronskian given in Example 8.3, and obtain that

the third Wronskian quotient associated to the prime 5 is given by

det A3 3 13 31 37 251 9324919439243 q

= ,

det A 15951542086918898827556696509

where q is a prime whose decimal expansion contains 222 digits .

Remark 8.7 The naive thought that the set of of Wronskian quotients

associated to a prime p should all be p-adic integers fails for p = 29, the

rst of the singular primes.

Lemma 8.8 Let dp be the degree of the prime p, and let the (p1+dp )-

tuple (w1 , . . . , wp1+dp ) be the set of Wronskian quotients associated to

it. Then the -function

h(x) = w1 (x) + + wp1+dp p1+dp (x)

vanishes at x = a, 0 a p 1, and if

pp1+d

p

n=1

j

then ||wa,1 ||p = pp2+dp , and (wa,j /wa,1 ) 1/pj1 for any j.

p

determined, we consider the function

h(x) = w1 (x) + + wp1+dp p1+dp (x) .

Since regardless of what the positive integer k may be both 0 and 1 are in

the kernel of k (x), the set of conditions h(a+pu)|u=0 = 0, 0 a p1

yields the system of equations

(2) 2 (2) ... p1+dp (2) w1

(3)

2 (3) ... p1+dp (3)

w2

.. .. .. . . = 0.

. . . .. ..

(p 1) 2 (p 1) ... p1+dp (p 1) wp1+dp

Notice that the matrix of this system is simply the augmented matrix

(A | vp1 . . . vp1+dp ). Since its row echelon form is given by the matrix

q = 4694858077226952009296804634445529738803634927448956662114977029779

96111969322231331735328135927753617578318483953518947685436992331399697

08914287050991506040052273191095308486354235128103259585157551339337818

2840897402417.

112 Characteristic functions of discs in Zp : p-adic coordinates

system above has (dp + 1)-degrees of freedom. By Lemma 8.4, the set

of Wronskian quotients (w1 , . . . , wp1+dp ) associated to p is the unique

solution of this system whose last (dp + 1)-components are (0, . . . , 0, 1).

We choose and x this particular solution hereafter.

We pick a rational integer a such that 0 a p 1. Following the

notation in Lemma 7.1, we let cka,j denote the coecient of uj in the poly-

k1

nomial k (a + pu). By Remark 7.2, cka,1 = p1k l=0 (1 p( l (a))p1 ),

and if wa,j denotes the coecient of uj in h(a + pu), we have that

p1+dp

wk

k1

wa,1 = (1 p( l (a))p1 ) .

pk1

k=1 l=0

that ||wa,1 ||p pp2+dp . In fact, we have equality. For otherwise, the

p2+dp

expression above for wa,1 multiplied

by p would lead to the con-

tradictory statement that wp1+dp p < 1. This uses the fact that if

dp > 0, the k-th Wronskian quotient associated to p is zero for ks such

that p 1 k p 2 + dp , and that all of these

numbers

times pdp are

p1+d

p-adic integers. Thus, ||wa,1 ||p = pp2+dp = ca,1 p .

p

In general, we may write the wa,j in terms of the cka,j s for arbitrary

values of j as

p1+dp

wa,j = w1 c1a,j + + wp1+dp ca,j .

of p , we obtain that

w

a,j 1 ck

j = p(p2+dp )j wa,j max

wa,1 p p(p2+dp )j 1kp1+dp a,j p

p

1

.

pj1

This completes the proof.

ciated to p, and the coecients wa,j of uj in the polynomial function

h(a + pu) above, the scaling indicated in this result seems to be optimal

if we are to make the most general statement. For instance, we could

ask instead if the quotients wa,j /wa,1 are p-adic integers. This is true

for the primes p = 2 and p = 3. It is false already for p = 5.

8.1 Characteristic functions of discs of radii 1/p 113

operator h(x) in Lemma 8.8 is given by a polynomial in Zp [x0 , . . . , xp1 ]

(see Denition 5.3), and has order p 1. Else, it is given by a polynomial

in Qp [x0 , . . . , xp1+dp ]. In both cases, the polynomials are independent

of x0 .

radius 1/p, there exists a formal power series of the form

p1

am,n xm (w1 (x) + + wp1+dp p1+dp (x))n ,

n0 m=0

teristic function. Here, (w1 , . . . , wp1+dp ) are the Wronskian quotients

associated to p.

integers (if at all), we may conclude that the characteristic function of a

disc of radius 1/p is an arithmetic dierential operator of order p1+dp

of the form indicated in the Theorem. Thus, for nonsingular primes p

the said characteristic functions are arithmetic dierential operators of

order p 1. For other primes, the assertion is only valid at the level of

formal power series that converge pointwise.

formal operator of order p1+dp of the type indicated in the statement.

The argument that we provide works for any prime p, and generalizes the

one we have seen already in Theorem 8.1 for the case of the nonsingular

prime p = 2.

Let w1 , . . . , wp1+dp be the set of Wronskian quotients associated to

the prime p, and consider the (p 1 + dp )-th arithmetic operator

of Lemma 8.8. Then we know that for any a such that 0 a < p, we

have that

pp1+dp

h(a + pu) = wa,j uj ,

j=1

j

where ||wa,1 ||p = pp2+dp and wa,j /wa,1 1/pj1 . We proceed by

p

114 Characteristic functions of discs in Zp : p-adic coordinates

p1

f (x) = am,n xm (h(x))n

n0 m=0

f0 (u) = 1,

f1 (u) = 0,

.. (8.6)

.

fp1 (u) = 0 ,

and

1

||am,n ||p , n = 0, 1, 2, . . . . (8.7)

pn

For the starting point of the induction, we choose the coecients am,0 ,

0 m < p, such that

p1

F0 (x) = am,0 xm

m=0

solves (8.6) to order zero. This implies that a0,0 is 1, and that the equa-

tion

1 1 ... 1 a1,0 1

2 22 ... 2p1 a2,0 1

. .. .. .. .. = .

.. . . . . .

.

p 1 (p 1) . . . (p 1)

2 p1

ap1,0 1

holds. This Vandermonde system can be readily solved for the am,0 s,

with the solution being a vector of p-adic integers, and the estimates

(8.7) holding for n = 0.

For the k-th step of the induction, we assume that we have found

k1 p1

Fk1 (x) = am,n xm (h(x))n

n=0 m=0

such that Fak1 (u) = Fk1 (a + pu) solves system (8.6) to order k 1,

with the required estimates for the coecients up to that point. Let us

consider

p1

k1

p1

m n

Fk (x) = am,n x (h(x)) + am,k xm (h(x))k .

n=0 m=0 m=0

8.1 Characteristic functions of discs of radii 1/p 115

(8.6) to order k.

The coecient of uk in Fak (u) is determined by the am,n s with n k.

In fact, by the multinomial expansion, this coecient is given by

pp1+dp

p1

p1

k1 l

k m

wa,1 am,k a + am,n cn,,m,r,a,p wa,l ,

m=0 n=0 m=0 r, l=1

where

n m

cn,,m,r,a,p = amr pr

1 , . . . , pp1+dp r

and where the last sum in the second term above is over all nonnegative

multi-indices of weight n and indices r in the range 0 r m, such

that 1 + 22 + + pp1+dp pp1+dp + r = k. Hence, the Fak (u) solves

(8.6) to order k if we have

pp1+dp l

p1

p1

k1 l=1 wa,l

am,k a =

m

am,n cn,,m,r,a,p k

(8.8)

m=0 n=0 m=0 r,

wa,1

Notice that

pp1+dp l pp1+dp

l

l=1 wa,l 1 wa,l

k

= r l

.

wa,1 wa,1 wa,1

l=2

By Lemma 8.8, it follows that the p-adic norm of this number is bounded

1

by pkn+(p1+d p )r

. Now by the induction hypothesis on the p-adic norm

of the am,n s, we conclude that the right side of (8.8) has p-adic norm no

larger than 1/pk .

The equation for a0,k is uncoupled from the remaining am,k s. Indeed,

when a = 0 the only nonzero term in the left side of (8.8) is a0,k . Thus,

we have a0,k = g0k , where g0k is a p-adic number with p-adic norm no

larger than 1/pk . For the other coecients, (8.8) yields the system

k

1 1 ... 1 a1,k g1

2 2 2

. . . 2p1 a2,k g2k

. .. .. .. .. = .

.. . . . . .

.

p1 (p 1)2 ... (p 1)p1 ap1,k k

gp1

where the right side is a vector of p-adic numbers whose components all

have p-adic norm no larger than 1/pk . This system can be solved with

116 Characteristic functions of discs in Zp : p-adic coordinates

the solution having p-adic norm equal to the p-adic norm of the right

side. This completes the last step in the induction, and the proof.

The argument given above can be generalized in a rather naive manner

for the study of the same problem for discs of radii 1/pn as well. How-

ever, we should expect now a singular behaviour for n > 1. Indeed, if we

think of p-adic numbers as analytic functions, as we have been doing so

far, larger powers of p should exhibit a behaviour analogous to branching

points. Our naive generalization shows that, and we obtain formal power

series in Qp [[x0 , . . . , xn ]] which converge pointwise to the characteristic

function of a disc of radius 1/pn , but the series are not necessarily re-

stricted. As in the next Chapter we shall improve substantially upon our

current result to this point, we merely outline the generalized argument,

leaving several of the details to the interested reader.

We associate with pn the (pn 2) (pn 2) matrix given by

p 2 (2)

n

(2) 2 (2) ...

(3) 2 (3) ... p 2 (3)

n

Apn := .. .. .. . . (8.9)

. . . ..

n

2

(pn 1) 2 (pn 1) . . . p (pn 1)

Denition 8.12 We say that det Apn is the Wronskian of pn , and call

its p-adic order the degree of pn , which we denote by dpn .

tational complexity of the problem, it is a dicult task to nd ps such

that dpn > 0 for some n > 1.

We can dene the ordered (pn 1 + dpn )-tuple

1

( det A1 , . . . , det Apn 2 , 0, . . . , 0, det Apn )

det Apn

as the Wronskian quotients associated to pn . Here, Aj is the matrix

obtained from Apn by replacing its j-th column by the vector whose k

component is p 1+dpn (2 + (k 1)), 1 k pn 2. We then have:

n

Lemma 8.13 Let dpn be the degree of pn , and let (w1 , . . . , wpn 1+dpn )

be the set of Wronskian quotients associated to it. Then the -function

n

1+dpn

hn (x) = w1 (x) + + wpn 1+dpn p (x)

8.2 Characteristic functions of discs of radii 1/pn 117

vanishes at x = a, 0 a pn 1, and if

pn 1+dpn

p

h(a + pu) = wa,j uj , 0 a pn 1 ,

n=1

n

2+dpn j

then ||wa,1 ||p = pp , and (wa,j /wa,1 ) 1/pj1 for any j.

p

0 , . . . , n1 p 1. This set contains pn elements. We provide it with

the lexicographical order.

Lemma 8.14 There are polynomials p0 (x), . . . , pn1 (x) in Z[x] such

that the pn pn matrix V = (vij ) whose entries are given by

vij = (p0 (i))0 (p1 ((i)))1 (pn1 ( n1 (i)))n1 , 0 i pn 1 ,

where (0 , . . . , n1 ) is the j-th element of the set { = (0 , . . . , n1 )

Zn : 0 0 , . . . , n1 p 1} in the lexicographical order, is invertible

over Zp , that is to say, its determinant is an invertible element of Zp .

We skip the details of the proof. A more elaborate argument will be

given in Lemma 9.4 below, where a closely related result is proven using

the constant coordinates of the arithmetic dierential theory. In that

argument, we can see that the statement above can be proven by taking

pj (x) = x for all j.

Based on this result, the generalized version of Theorem 8.11 for discs

of arbitrary radii reads as follows.

Theorem 8.15 Let p be a prime and n N. Assume that dpn is

the degree of pn , and consider the disc pn Zp in Zp of radius 1/pn . Let

hn (x) and p0 (x), . . . , pn1 (x) be the arithmetic dierential operator and

polynomials of Lemmas 8.13 and 8.14 above, respectively. Then, there

exists a restricted power series of the form

F (x0 , . . . , xn ) = a,n (p0 (x0 ))0 (pn1 (xn1 ))n1 (xn )m

m0 0j <p

the characteristic function of the said disc pointwise.

The argument parallels the one for n = 1 that proves Theorem 8.11.

In the earlier case, the family of polynomials given by Lemma 8.14 con-

sists of the single polynomial p0 (x) = x. In the general argument, the

pn pn -matrix V given in Lemma 8.14 now plays the role of that of the

Vandermonde matrix in the proof of Theorem 8.11.

118 Characteristic functions of discs in Zp : p-adic coordinates

any disc in Zp as an arithmetic dierential operator is not unique.

9

Characteristic functions of discs in Zp:

harmonic arithmetic coordinates

Theorems 8.11 and 8.15 in the previous Chapter do not provide any

indication of the optimal order required to realize characteristic func-

tions of discs as arithmetic dierential operators of the said order. This

indication lacks even for nonsingular primes, where the order given by

Theorem 8.11 is the lowest. In this Chapter we prove a result that is

somewhat of a surprise, addressing this issue. It ties up the order of the

operator that realizes the characteristic function of the disc with its level

of analyticity (see Denition 4.4), and in that sense, it strengthens what

Theorem 7.3 says about them.

No characteristic function of a disc of radius 1/p can be an operator

of order zero, so both Theorems 8.1 & 8.11 yield the optimal result for

the prime 2. However, what about the remaining primes?

f (x) = F (x, x, . . . , r x)

function, no matter the order. For such a function would be a polynomial

in x, of a certain degree, that cannot be zero. Since the degree k in u of

fa,n (u) = f (a + pn u) must be the same as the degree of f (x) in x, and

since for suciently large n, this function would have to be constant, by

taking k analytic derivatives of fa,n , and setting u = 0, we would see

that k = 0. So F (t0 , . . . , tr ) must be the constant polynomial

In the work carried out in the previous Chapter, we used the coordi-

nate representation of the p-adic number that arise by considering the

complete residue system {0, 1, . . . , p 1} as the coecients in the ex-

pansion (2.4). In the context of arithmetic dierential operators, we will

119

120 Characteristic functions of discs in Zp : harmonic coordinates

now show that it is far more natural to consider the coordinates that

arise from the arithmetic constants, the solutions of (a) = 0. These

are the (p 1)-roots of unity and zero, and they lead to the Teichm

uller

representation of Example 4.8. In a sense, these are analogous to the

harmonic coordinates on a Riemannian manifold, although the analogy

is quite incomplete in that we do not have a notion of Riemannian met-

ric on Zp . However, the judicious use of these coordinates lead to the

proof of the following result [14]:

arithmetic dierential operator of order m.

1/pm , which are analytic functions of level m, can be realized as arith-

metic operators of the form F (x, x, . . . , m x), where F (x0 , . . . , xm ) is a

restricted power series in Zp [[x0 , . . . , xm ]]. This is a vast improvement on

the representation that, for instance, Theorem 8.11 yields for arbitrary

primes, even the nonsingular ones (cf. with the remark that follows the

statement of the theorem, prior to its proof).

We have already mentioned that representation of a characteristic

function of a disc in Zp as an arithmetic dierential operator is not

unique. Of all of these representations, those given by restricted power

series with coecients in Zp itself are to be preferred. They are the most

natural examples from the point of view of number theoretic considera-

tions.

Let us consider the set of all p-adic integer roots of the function x m x:

Cm := {a Zp : m a = 0} Zp .

its argument of degree pm with Qp -coecients, Cm can have at most

pm elements. In fact, its cardinality is pm as the number of solutions of

m a = 0 is exactly pm . For we have.

Cm Zp Zp /pm Zp

is bijective.

9.1 A matrix associated to pm 121

have that C0 = {0}, and the result is clear. We assume now that the

statement is true for m 1 > 0, and prove it for m.

Given a Cm1 , we consider the polynomial tp t + pa Zp [t]. By

Hensels lemma, it has p distinct roots that we denote by a1 , . . . , ap Zp .

Notice that we have aj = a for all js, and since m1 a = 0, it follows

that m aj = 0.

Observe that if a, a Cm1 and we have that

mod pm1 , and by the induction hypothesis, a = a , and hence j = j

as well.

We thus have that each of the pm1 element of Cm1 yields p distinct

elements of Cm , so Cm contains a set of pm elements, and by the ob-

servation above, this set injects into Zp /pm Zp . As Cm has at most pm

elements, this forces the map Cm Zp /pm Zp to be bijective.

I = {0, . . . , pm 1} . (9.3)

I = { = (0 , . . . , m1 ) Zm : 0 0 , . . . , m1 p 1} , (9.4)

W = (w )I,I , (9.5)

w := (a )0 (a )1 ( m1 a )m1 Zp ,

permutation of its columns, the matrix W is intrinsically associated to

the number pm .

in Zp .

122 Characteristic functions of discs in Zp : harmonic coordinates

Zp Fp := Zp /pZp

a a.

Now let us notice that if a a mod pm then a a mod pm1 . For

we have that a = a + pm u with u Zp . So

a (a )p a + pj u (a + pj u)p

a = =

p p

a ap

= + pm1 u = a + pm1 u ,

p

for some u Zp , and so a a mod pm1 . We may iterate this

argument to conclude that i a i a mod pmi for any i m, and so

the function

Zp Fm p

a (a, a, . . . , m1 a)

induces a bijection between Zp /pm Zp and Fm p . Now for any element

= (0 , . . . , m1 ) in Fm

p and any I , we set

v = 00 11 m1

m1

.

Notice that for any a Cm we have that i a i mod p if i m1.

Therefore, the desired result here will follow by Lemma 9.3 if we merely

show that det (v ) = 0 Fp .

Let us assume that det (v ) = 0. This means that there exist con-

stants 0 ...m1 Fp for (0 , . . . , m1 ) I , not all zero, such that

p1

p1

... 0 ...m1 00 11 . . . m1

m1

=0

0 =0 m1 =0

for all Fm

p . We may then proceed by induction on m to prove that

these relations imply that that all the s vanish, which is a contradiction.

This nishes the proof.

operators

We now carry out the proof of Theorem 9.2 by proving the following

stronger result. In what follows, I and I are the sets of indices (9.3) and

(9.4), respectively.

9.2 Analytic functions and arithmetic dierential operators 123

there exists a unique restricted power series F Zp [[x0 , x1 , . . . , xm ]] with

the following properties:

m1 n

1. F (x0 , x1 , . . . , xm ) = n0 I a,n x0 0 x1 1 xm1 xm .

2. f (a) = F (a, a, . . . , a), a Zp .

m

that if

g : Zp Zp

is any arithmetic dierential operator of order m, and a Zp , then

h(x) := g(x + a)

is also an arithmetic dierential operator of order m; cf. Lemma 5.4.

Thus, without losing generality, we may assume that the function f in

the statement of the Theorem is zero on all discs of radius 1/pm except

for pm Zp . Without losing generality also, we may additionally assume

that there exists an l 0 such that f (pm u) = ul for all u Zp .

We recall the set Cm = {a0 , . . . , apm 1 } in (9.2). The family of discs

{a+pm Zp }aCm forms a covering of Zp . Let us notice that Cm a0 = 0,

and this is the center of the one disc where f is nonzero.

By Lemma 7.1, for a Cm and 0 k m, we have that k (a+pm u) =

pm k j k k

j=0 ca,j u , with ca,0 = a, and

k k 1 k 1

ca,0 1 , ca,1 = , ca,j , 2 j pk .

p p pmk p p(mk+1)j1

(9.6)

We may view (a+p u) as an element in the ring of polynomials Zp [u].

k m

We proceed to determine by induction the coecients a,n in the series

F appearing in the statement so that

"

1

||a,n ||p min 1, nl , n 0 , I , (9.7)

p

and so that, if Fa (u) = F (a + pm u) for a Cm , then we have that

Fa (u) = ul if a = 0 ,

(9.8)

Fa (u) = 0 if a = 0.

Here we view (9.8) as equalities of functions of u Zp . However, since

each Fa (u) is dened by a restricted power series in Zp [[u]], it is enough

to check (9.8) as equalities in the ring of formal power series Zp [[u]].

124 Characteristic functions of discs in Zp : harmonic coordinates

0 0 m1 m1 m n

k

p p

p

Fak (u) := a,n c0a,j uj . . . cm1

a,j u

j cm

a,j u

j

inductively so they satisfy the estimate (9.7), and such that the following

congruences hold in the ring Zp [u]:

k

Fa (u) ul mod uk+1 if a = 0 ,

(9.9)

Fak (u) 0 mod uk+1 if a = 0.

In what follows we denote by ij the Kronecker symbol.

For the starting point of the induction, we choose the coecients a,0 ,

I , such that (9.9) and (9.7) hold. This can be achieved by solving

the system of equations

w a,0 = l0 0 , I ,

I

be readily solved for the a,0 s, with the solution being a vector of p-adic

integers.

For the k-th step of the induction, let us notice that for a = a , the

coecient of uk in Fak (u) is given by

k1

(cm

a,1 )

k

w a,k + a,n b,n,k , (9.10)

I n=0 I

0 0 m1 m1 m n

p p

p

c0a,j uj . . . cm1

a,j u

j cm

a,j u

j

.

j=0 j=0 j=1

m1

0

n

ca,j0i . . .

0

ca,jm1,i

m1 m

ca,jmi ,

i=1 i=1 i=1

with

m1 r

n

jri + jmi = k .

r=0 i=1 i=1

9.2 Analytic functions and arithmetic dierential operators 125

We may assume that there are integers sr such that jri 1 for i sr

and jri = 0 for i > sr . So we have

sr

m1 sr

n

sr jri , jri + jmi = k . (9.11)

i=1 r=0 i=1 i=1

"

1

||a,n b,n,k ||p min 1, . (9.12)

pnl+

where

m1 sr

n

= [(m r + 1)( jri ) sr ] + jmi n .

r=0 i=1 i=1

m1 sr n

r=0 [2( i=1 jri ) sr ] + i=1 jmi n

m1 sr n

r=0 i=1 jri + i=1 jmi n

= k n.

Hence "

1

||a,n b,n,k ||p min 1, . (9.13)

pkl

Now, by the induction hypothesis also, we can ensure that Fak (u) satises

(9.9) if we have that

k1

k

w a,k = (cm

a ,1 ) kl 0 a,n b,n,k , I.

I n=0 I

(9.14)

By (9.6) and (9.13), the p-adic norm of the right hand side of (9.14) is

bounded above by min{1, 1/pkl }. Again, by Lemma 9.5, we can solve

the system (9.14) for the a,k s, with the solution satisfying the estimates

(9.7). This completes the induction, and hence the existence part of the

Theorem.

In order to prove the uniqueness, we need to show that if a restricted

power series F satises conditions (1) and (2) in the Theorem for f = 0,

then a,n = 0 for all I , n 0. This can derived by an induction on

n, in view of the equalities

k1

k

w a,k = (cm a ,1 ) a,n b,n,k , I.

I n=0 I

126 Characteristic functions of discs in Zp : harmonic coordinates

If n = 0, this expression says that I w a,0 = 0, I, and since

the matrix (w ) is invertible, we have that a,0 = 0 for all I . For

larger values of n, the expression then says that I w a,k = 0 also

for I, since according to it, these values are determined by the ak s

with 0 k < k, that are zero. So a,k = 0 for all I . This completes

the proof.

10

Some dierences between arithmetic

ur

dierential operators over Zp and Z p

ential operators over the ring Z ur and arithmetic dierential operators

p

over the coarser ring Zp . In particular, we discuss the naive analogue of

Theorem 9.2 over Z ur , which we show to be false.

p

Indeed, in the context of the general theory of [6, 8] discussed in 6,

where the role of the ring Zp is played by Z ur and the operator is

p

associated to the lift of Frobenius (6.2) of Theorem 6.9, we now have

the following:

0 xr

a x 0 r

F (x) =

be a restricted power series in Z p

x F (x, x, . . . , r x)

ur . Then F (x) itself is a constant

is constant on a disk of some radius in Z p

in Zp .

ur

The proof of this result requires to use the fact that Fp = Z ur /pZ

ur is

p p

algebraically closed. This explains, in part, our earlier assertion in Chap-

ter 6 that the dierences between the theories of arithmetic dierential

operators over the rings Zp and Z ur are analogous to the dierences

p

between number theoretic statements about nite elds and algebraic

geometric statements over their algebraic closures.

We begin the proof of Theorem 10.1 by recalling a key result in [11].

For convenience, we denote by R the ground ring, as before. If X is a

smooth scheme over R of nite type, and {Ui } is a covering of X by

ane open sets, we recall that the p-adic completions of the schemes

127

128 ur

Some dierences between -operators over Zp and Z p

Spec O(J n (Ui )) glue together to produce the formal scheme Jpn (X),

the p-jet space of X of order n. If we glue the p-adic completions of

Spec O(J (Ui )) instead, we obtain the innite p-jet space of X. Since

the sheaf of rings O(Jpn (X)) are topologically generated by O(Jpn1 (X))

and O(Jpn1 (X)), we obtain a projective system of formal schemes (6.5),

where Jp0 (X) = X (p) is the p-adic completion of X, and Jp (X) is the

p-adic completion of the inverse limit of the Jpn (X)s. By taking the re-

duction mod p, we obtain a projective system of k = R/pR-schemes

(p)

J0r (X) J0r1 (X) J01 (X) J00 (X) = X0 .

mapping

: X(R) Jp (X)(R) .

In the case where X is the ane line over R, this mapping is just

R RN

x x = (x, x, 2 x, . . .) .

ping

0

R kN

x 0 x = (x, x, 2 x, . . .) ,

We shall need the following only in a particular case, but state it in

general. A Witt vector over a commutative ring A is a sequence x =

(x0 , x1 , x2 , . . .) of elements of A. The Witt polynomials are dened by

n ni

Wn (x) = i=0 pi xpi , n = 0, 1, . . .. Then there exists a unique ring

structure on the set of Witt vectors over A such that:

mials with integral coecients, and

2. Every Witt polynomial is a homomorphism from the ring of Witt

vectors over A into A.

xp +y p (x +y )p

(x0 , x1 , . . .) + (y0 , y1 , . . .) = (x0 + y0 , x1 + y1 + 0 0 p 0 0 , . . .) ,

(x0 , x1 , . . .) (y0 , y1 , . . .) = (x0 y0 , xp0 y1 + y0p x1 + px1 y1 , . . .) .

ur

Some dierences between -operators over Zp and Z 129

p

of the ring of Witt vectors of A, that is to say, a theory that involves

the ring W2 (A) of the rst two components of a Witt vector of A in

a manner compatible with the ring structure they inherit from that of

the Witt vectors. Or said dierently, if A is a ring and B is an algebra

over A, a p-derivation p : A B associated to the homomorphism

p : A B is such that the map A a (a, p (a)) W2 (B) is a ring

homomorphism, where in the right side, the rst component a stands

for its image in the B algebra over A.

Example 10.3 1. The Witt ring of any commutative ring A in which

p is invertible is isomorphic to AN . For the Witt polynomials produce

a homomorphism from the ring of Witt vectors to AN , and if p is

invertible, the said homomorphism is an isomorphism.

2. Consider the eld Fp = Zp /pZp . Then its Witt ring is Zp . On the other

hand, we have that the algebraic closure Fp is equal to Fp = Zur ur

p /pZp ,

and every x Fp has a unique Teichm uller representative x Zp (see

ur

p /pZp .

It follows that the Witt ring of Fp is Z ur .

p

pR such that the residue eld k = R/pR is of characteristic p. Of course,

this will be the case if R = Z ur . Then the ring W (k) of Witt vectors

p

N

of k is k . If the ring R is Hausdor and complete for the topology of

ideals dened by pR p2 R , and if k = R/pR is a perfect ring of

characteristic p, there exists one and only one multiplicative system of

representatives : k R [44]. These are multiplicative mappings such

that = 1l, and such that

kN R

a = (0 , 1 , . . .) (a) = j=0 (ajpj )pj

is a ring isomorphism.

Lemma 10.4 (Lemma 2.6, [11]) The composition mapping

kN R 0 kN

als Pn in n-variables, n 2, such that

0 (0 , . . . , n , . . .)=(0 , 1 , 2 +P2 (0 , 1 ), . . . , n +Pn (0 , . . . , n1 ), . . .) .

We now have the following.

130 Some dierences between -operators over Zp and Z ur

p

Lemma 10.5 Let F (x) = a x0 x

0

r

r

R[[x]] be a restricted

power series such that F (x, . . . , x) = 0 for all x R. Let F denote the

r

Proof. Since F (x, . . . , r x) = 0 for all x R, we have that

F (x, x, . . . , r x) = 0

for all x R. By Lemma 10.4 above, any vector w = (w0 , w1 , . . . , wr )

k r+1 is the projection onto the rst (r + 1)-components of a vector

0 ((a)) = (a, a, . . . , r a, . . .). Thus, F (x) = F (w0 , w1 , . . . , wr ) = 0 for

any w k r+1 , as desired.

Notice that both Lemmas 10.4 and 10.5 hold in general, without re-

quiring the quotient eld k = R/pR to be algebraically closed. This

hypothesis is needed in order to complete the proof of Theorem 10.1, as

we now see.

Proof of Theorem 10.1. By subtracting the constant, we can assume

that F (x, x, . . . , r x) = 0, and so in order to prove the result, it will

suce to prove that p|F , for by iteration we will then able to conclude

that F must be identically zero. By Lemma 10.5, we have that

F (w0 , . . . , wr ) = 0

for any (w0 , . . . , wr ) k r+1 . Thus, F is in the zero ideal of the poly-

nomial ring k[w]. Since the residue eld k = Z ur /pZ

ur is algebraically

p p

closed, we may apply Hilberts Nullstellensatz to conclude that F = 0.

This nishes the proof.

The most general assertion that can be made along these lines is the

following:

Theorem 10.6 Let X is a smooth scheme over R = Z ur . If f is an

p

element in the ring O(Jp (X)) of global functions on the p-jet space of

r

to the one above. We merely need to replace the use of Lemma 10.4 as

stated here by its most general version in [11].

Remark 10.7 We may elaborate further on our results over the ring

Zp , and compare them to Mahlers theorem 3.2 about the structure of

continuous Zp -valued functions on Zp .

Let Z0 be the set of all nonnegative integral vectors = (0 , 1 , 2 , . . .)

ur

Some dierences between -operators over Zp and Z 131

p

such that j 0 for all j, and j = 0 for j suciently large. If Z 0 ,

the weight || = i0 i is well-dened. Given a sequence of variables

x0 , x1 , x2 , . . . and an Z 0 1 2

0 , we set x for x0 x1 x2 . . .. In this case,

we say that a power series

F (x0 , x1 , x2 , . . .) = a x , a Zp ,

Z

0

is restricted if lim|| a = 0.

Mahlers theorem 3.2 is equivalent to the following, as proven, for

instance, in [18]:

there exists a restricted power series F (x0 , x1 , x2 , . . .) in the variables

x0 , x1 , x2 , . . ., with Zp -coecients, such that

f (a) = F (a, a, 2 a, . . .)

for all a in Zp .

Our Theorems 7.3 and 9.2 imply that the series F in Theorem 10.8

can be chosen to depend on nitely many variables if, and only if, f is

analytic.

p , we would then obtain the

notion of an analytic function of level m over Z ur

p .

0 xr , r 1 ,

a x 0 r

F (x) =

be a restricted power series in Z p

x F (x, x, . . . , r x)

ur , it cannot be an arithmetic

F (x) is an analytic function of level m on Z p

dierential operator unless m = 0.

ur , an arithmetic dierential operator that is not of order

Thus, over Z p

zero is never analytic, and an analytic function that is not of level zero

is never an arithmetic dierential operator.

Proof. The rst statement amounts to the uniqueness of the repre-

sentation of an analytic function on Z ur , uniqueness that was proven

p

132 ur

Some dierences between -operators over Zp and Z p

10.1, cf. with Remark 8.16. The last assertion then follows.

Remark

a ap over Z p as a dierential operator of order 1. The right hand

ur provided that a is now dened by

side of (5.7) makes sense for a Z p

(6.1), where is the lift of Frobenius. The extended function is no longer

locally constant, and, of course, it cannot be equal to the characteristic

function of any disc.

Example 10.11 Example 5.5 has an analogue for ane elliptic curves.

We discuss it briey.

Let X be the locus of v 2 = u3 + au + b in the ane plane Spec Zp [u, v]

over Zp , where 4v 3 + 27w2 is invertible, and view X as embedded in

3-space via the map (v, w) (v, w, (4v 3 + 27w2 )1 ). Let N (p, a, b) be

the number of Fp -points of X, that is to say, the number of points of

the reduction mod p of the said curve. These can be expressed in terms

of the traces of Frobenius ap (a, b), which are given as the coecient of

p1

xp1 in (x3 + ax + b) 2 .

The

number

of solutions v Fp to the equation v2 = w is equal to

1+ w

p

. Therefore, counting the point at , we must have that

3

u + au + b

u3 + au + b

N (p, a, b) = 1+ 1+ = p+1+ .

p p

uFp uFp

N (p, a, b) as an arithmetic dierential operator in a and b, but that

will not work because we would obtain a series whose terms involve the

denominator (u3 + au + b)np , and for each a and b, there could be a

u Fp that annihilates

it.

p1

The identity ap a 2 mod p is analogous to N (p, a, b) ap (a, b)

mod p. The function ap (a, b) can can be represented [8, 10] as a quotient

of arithmetic dierential operators of order 2 dened on

p },

though these series are not as explicit as that given by (5.7) for the Leg-

endre symbol. We sketch the argument.

Let us recall that the R[p ]-module of characters of an elliptic curve

is generated by an operator f of order two or order one, depending upon

ur

Some dierences between -operators over Zp and Z 133

p

Then we have a local expression

the Picard-Fuchs operator associated to the character generator f . It

can be proved [8, 10] that, depending upon the type of elliptic curve, we

have that either f = 2p ap p + p or f = p , thus identifying

fully the coecients of f as an element of R[p ]. On the other hand

[10, Theorem 6.6], the Picard-Fuchs operator is proven to be of the form

f = 2p (f 2 /f 1 )p + h for certain arithmetic operators f 1 , f 2 given

by restricted power series in a, b, a, b, 2 a, 2 b and (4a3 + 27b2 )1 . The

desired assertion about N (p, a, b) follows by a comparison of coecients.

p we loose

the property of expressing the characteristic function of a disc as an

arithmetic dierential operator. Since the maximal unramied extension

p of Qp is obtained by adjoining to Qp all the roots of unity of order

Qur

relatively prime to p, and the set of unramied integers Zur

p is just Zp =

ur

ur

property. We nish our work by proving that the said property is strictly

a p-adic one.

Let = n be any root of unity of order n with n relatively prime to p,

and let Qp () be the unramied extension of Qp obtained by adjoining

. This is a vector space over Qp whose dimension is the degree of n ,

which if n is a primitive root coincides with n. In what follows we do

not loose generality if we make this assumption. We denote by Zp () the

ring of integers of the extension, and let

p,n : Zp (n ) Zp (n )

some disc of radius 1/pN . Without loss of generality, we may assume

that the disc is centered at the origin in Zp (n ). Since

134 ur

Some dierences between -operators over Zp and Z p

d d

p,n (x) = p,n (0) ,

dx dx

and so the derivative is constant. Hence the power series giving p,n (x)

must contain linear or constant terms only. But since p,n is a homo-

morphism that extends the lift of Frobenius, this implies that the power

series and so p,n itself must be the identity. This is a contradiction.

For if the identity were a lift of Frobenius on Zp (n ), then it will induce

the identity as a Frobenius mapping on the quotient Zp (n )/pZp (n ). But

the latter is a nite eld, and the Frobenius mapping on a nite eld is

the identity if, and only if, the eld is Fp .

The result above leads us to think that Theorem 9.2 fails to hold as

soon as an unramied root of unity is adjoined to Zp . If we are to prove

that result in this context, we can no longer appeal to the use of Hilberts

Nullstellensatz as in the proof of Therem 10.1.

Analytic functions in Qp (n ) have unique power series expansion rep-

resentations [43]. We may use this fact in proving the following result,

the details of which we leave to the interested reader.

Theorem 10.13 On Zp (n ), no arithmetic dierential operator that

is not of order zero is analytic, and no analytic function that is not of

level zero is an arithmetic dierential operator.

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Index

metric completion of Qp , 37 arithmetic dierential operator, 57

p -character, 82 arithmetic jet space, 74, 79

p -derivation on Zp , 57 ArtinHasse exponential, 31

Qp , 8 Bernoulli numbers, 2

algebraic properties, 17 binomial series, 24

analytic properties, 17

Cauchy sequences, 9

construction, 9 characteristic function of disc

locally compact, 17 expansion as a -function, 108

norm, 10 Mahlers expansion, 51

topology of, 15 compactness of Zp , 16

unramied extension Qur p , 36 completion, 9

Zp , 13 completion of a ring at an ideal, 71

compactness, 15 congruence, 14

denition, 14 continuous functions, 25

unramied integers Zur p , 36 convergence of series, 23

p-adic coordinates

distance, 8 harmonic p-adic coordinates, 120

integers, 14 standard p-adic coordinates, 107

norm, 8

order, 8 discs, 15

range of norm, 10 Dworks lemma, 32

representation, 12 exponential function, 30

p-adic norm, 10 Fermat quotient, 1, 5

extension to Qp , 35 eld

p-derivation, 56 p-adic numbers, 1, 8

additivity, 56 algebraically closed, 33, 70

associated homomorphism, 57 of fractions, 15

Leibnizs rule, 56 residue eld, 61

linear, 60

Hansels lemma, 20

adele ring, 3

hypersurface, 41

ane n-space, 69 id`

ele group, 3

ane space, 38 index of ramication, 35

ane variety, 38, 70 isosceles triangle property, 9

algebraic closure

of Qp , 34 jet bundles, 66

algebraic variety, 70 classical jet spaces, 66

analytic function, 49 Legendre symbol, 58

of level m, 50 Lift of Frobenius, 75

138

Index 139

local ring, 67

localization at prime ideal, 67

locally constant function, 51

locally ringed space, 69

Mobius function, 30

Mahlers expansion, 26

Neumann operator, 40

Newtons iteration, 18

non-Archimedean norm, 9

prime

degree of a prime, 110

singular, 110

Wronksian of pn , 116

Wronskian of p, 110

Wronskian quotients, 110

projective space, 38

projective variety, 38

rational normal curve, 38

restricted power series, 48

restricted sequence, 26

Riemann zeta function, 2, 41

ringed space, 68

roots of unity

in Qp , 20

scheme, 69

ane scheme, 69

locally Noetherian, 70

regular, 72

spectrum of a ring, 68

principal open sets, 68

Zariski topology, 68

Teichm uller representation, 52

Theorem

HasseMinkowskis, 2

Mahlers, 26

Strassmanns, 53

Wilsons, 33

Weil zeta function, 40

Weil conjectures, 43

Witt ring, 128

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