\input{preamble.tex} \unittitle{Quasiunipotent differential modules} In this unit, we construct a class of examples of differential modules on open annuli which are solvable at a boundary. In the process, we illustrate a numerical relationship between wild ramification in positive characteristic and convergence of solutions of $p$-adic differential equations. We also state the $p$-adic local monodromy theorem, for differential modules with Frobenius structure on an annulus, and prove the rank $1$ case. Throughout this unit, we assume that our complete nonarchimedean field carries a discrete valuation (e.g., finite extensions of $\QQ_p$ are okay but not $\CC_p$). Getting rid of this assumption throws in a number of subtleties which we will not address here. Notation: for $E/F$ a Galois extension of fields, write $G_{E/F}$ for $\Gal(E/F)$. If $E = F^{\sep}$, write $G_F$ instead, to mean the absolute Galois group. Also, note that I haven't added all references and details; I plan to put a bit more when I fold this into the compiled notes. (That will be true for the remainder of the course.) \section{Some key rings} Recall that we defined the ring $\calE$ as the completion of $\gotho_K ((t)) \otimes_{\gotho_K} K$ for the 1-Gauss norm \[ \left| \sum_{i \in \ZZ} c_i t^i \right|_1 = \sup_i \{|c_i|\}. \] Besides the $p$-adic topology, it is natural to consider also the \emph{weak topology} on $\calE$, in which a sequence converges to 0 if it does so in the $t$-adic topology on $\calE / \gothm_K^m \gotho_{\calE}$ for each $m \in \ZZ$. Note that $\calE$ is complete for both topologies. Because $K$ carries a discrete valuation, the supremum defining the Gauss norm of a nonzero element $x = \sum x_i t^i \in \calE$ is achieved by some $i$. If $j$ is the least such index, then the sum \[ x_j^{-1} t^{-j} \sum_{l=0}^\infty (1-x_j^{-1} t^{-j} x)^l \] converges in the weak topology (but not in the $p$-adic topology!) to an inverse of $x$. That is, $\calE$ is a discrete complete nonarchimedean field with residue field $\kappa_K((t))$. Put \[ \calE^\dagger = \bigcup_{\alpha \in (0,1)} K \langle \alpha/t, t \rrbracket_0; \] that is, $\calE^\dagger$ consists of formal sums $\sum c_i t^i$ which have bounded coefficients and converge in some range $\alpha \leq |t| < 1$. \begin{lemma} \begin{enumerate} \item[(a)] The ring $\calE^\dagger$ is a field. \item[(b)] Under the norm $|\cdot|_1$, the valuation ring $\gotho_{\calE^\dagger}$ is a local ring with maximal ideal $\gothm_K \gotho_{\calE^\dagger}$. \item[(c)] The pair $(\gotho_{\calE^\dagger}, \gothm_K \gotho_{\calE^\dagger})$ is henselian. \end{enumerate} \end{lemma} This last property implies that finite separable extensions of $\kappa_{\calE^\dagger} = \kappa_K((t))$ lift functorially to finite \'etale extensions of $\gotho_{\calE^\dagger}$ (and to unramified extensions of $\calE^\dagger$). In particular, the maximal unramified extension $\calE^{\dagger,\unr}$ carries an action of $G_{\kappa_K((t))}$. \begin{proof} The proof of (a) uses the same construction as for $\calE$, except that the series converges under $|\cdot|_\alpha$ for some $\alpha < 1$. From this, (b) is straightforward. The proof of (c) is to reduce to working in some $K \langle \alpha/t, t \rrbracket_0$ and use the fact that the latter ring is complete for the Fr\'echet topology generated by $|\cdot|_\alpha$ and $|\cdot|_1$. \end{proof} \section{Finite representations and differential modules} Let $V$ be a finite dimensional vector space over $K$, and let $\tau: G_{\kappa_K((t))} \to \GL(V)$ be a continuous homomorphism for the \emph{discrete} topology on $\GL(V)$. That is, $\tau$ factors through $G_{L/\kappa_K((t)))}$ for some finite separable extension $L$ of $\kappa_K((t))$. Let $\calE_L^{\dagger}$ be the finite unramified extension of $\calE^\dagger$ corresponding to $L$; then $G_{\kappa_K((t))}$ acts on $\calE_L^{\dagger}$ with fixed field $\calE^\dagger$. (Minor weirdness: by the Cohen structure theorem, $L$ can always be written as a power series field $\lambda((u))$, and similarly for $\calE^\dagger_L$. But if $L$ induces an inseparable residue field extension, then you can't ensure that $\kappa_K$ can be contained in $\lambda$. I recommend not worrying about this unless you really have to.) Let us view $V \otimes_K \calE_L^{\dagger}$ as a $G_{\kappa_K((t))}$-module with the action on the first factor coming from $\tau$ and the action on the second factor as above. Put \[ D^\dagger(V) = (V \otimes_K \calE_L^{\dagger})^{G_{\kappa_K((t))}}. \] \begin{lemma} The space $D^\dagger(V)$ is an $\calE^\dagger$-vector space of dimension $\dim_K(V)$. \end{lemma} \begin{proof} This is a consequence of the nonabelian version of Hilbert's Theorem 90: for any finite Galois extension $E/F$ of fields, the nonabelian cohomology set $H^1(G_{E/F}, \GL_n(E))$ is trivial. \end{proof} Note that $\frac{d}{dt}$ extends uniquely to $\calE_L^\dagger$, and hence to $D^\dagger(V)$ by taking the action on $V$ to be trivial. Since the action of $\frac{d}{dt}$ commutes with the Galois action, we also obtain an action on $D^\dagger(V)$. That is, $D^\dagger(V)$ is a differential module over $\calE^\dagger$. Note that there is a sense in which it makes sense to compute the subsidiary radii of $D^\dagger(V) \otimes F_\rho$ for $\rho \in (0,1)$ sufficiently close to 1. Namely, realize $D^\dagger(V)$ as a differential module over $K \langle \alpha/t, t \rrbracket_0$ for some $\alpha$ and compute there. Beware that any two such realizations for a given $\alpha$ need only become isomorphic over $K \langle \beta/t, t \rrbracket_0$ for some $\beta \in [\alpha,1)$. However, the following statement is unambiguous. \begin{prop} \label{P:solvable} The generic radius of convergence of $D^\dagger(V) \otimes \calE$ is equal to $1$. Consequently (by continuity of generic radius of convergence), $D^\dagger(V)$ is solvable at $1$. \end{prop} \begin{proof} This can be shown directly, but it also follows from the existence of a Frobenius structure on $D^\dagger(V)$. Namely, fix any Frobenius lift $\phi$ on $\calE^\dagger$; then $\phi$ extends uniquely to $\calE^\dagger_L$. Let $\phi$ act on $V \otimes_K \calE_L^{\dagger}$ using the trivial action on the first factor; this action commutes with the Galois action, so we get a $\phi$-action on $D^\dagger(V)$ compatible with the derivation. \end{proof} Note that the Frobenius structure constructed in the previous proof is pure of slope 1 (i.e., is \emph{unit-root}), because one can pick a Galois-stable lattice in $V$ and do everything integrally. This will allow us to form a converse assertion; see below. \section{Ramification and differential slopes} There is a close relationship between $R(D^\dagger(V) \otimes F_\rho)$ and wild ramification of the representation $V$. To explain this, I need to recall a bit of classical ramification theory for local fields (as in Serre's \emph{Local Fields}, Chapter~IV). Let $F$ be a complete discrete nonarchimedean field whose residue field $\kappa_F$ is \emph{perfect} (this hypothesis is crucial!). Let $E$ be a finite Galois extension of $F$. The \emph{lower numbering filtration} of $G_{E/F}$ is defined as follows: for $i \geq -1$ an integer. \[ G_{E/F,i} = \ker(G_{E/F} \to \Aut(\gotho_E/\gothm_E^{i+1})). \] For $i \geq -1$ real, we define $G_{E/F,i} = G_{E/F,\lceil i \rceil}$. The lower numbering filtration behaves nicely with respect to subgroups of $G_{E/F}$ but not quotients; it thus cannot be defined on the absolute Galois group $G_F$. The \emph{upper numbering filtration} of $G_{E/F}$ is defined by the relation $G_{E/F}^{\phi_{E/F}(i)} = G_{E/F,i}$, where \[ \phi_{E/F}(i) = \int_0^i [G_{E/F,0}:G_{E/F,t}]^{-1}\,dt. \] Note that the indices where the filtration jumps are now rational numbers, but not necessarily integers. In any case, one has the following. \begin{prop}[Herbrand] Let $E'$ be a Galois subextension of $E/F$, and put $H = \Gal(E/E')$, so that $H$ is normal in $G_{E/F}$ and $G_{E/F}/H = G_{E'/F}$. Then $G_{E'/F}^i = (G_{E/F}^i H)/H$; that is, the upper numbering filtration is compatible with forming quotients of $G_{E/F}$. \end{prop} Consequently, we obtain a filtration $G_F^i$ on $G_F$ which induces the upper numbering filtration on each $G_{E/F}^i$. If we take $F = \kappa_K((t))$, we then obtain the following. (The attribution is somewhat complicated, involving Crew, Matsuda, Tsuzuki, Christol-Mebkhout, Andr\'e, etc.; see the compiled notes.) \begin{theorem} \label{T:compare filt} Assume that $\kappa_K$ is perfect. Let $V$ be a finite dimensional vector space over $K$, and let $\tau: G_{\kappa_K((t))} \to \GL(V)$ be a continuous homomorphism for the \emph{discrete} topology on $\GL(V)$. Then for $\rho \in (0,1)$ sufficiently close to $1$, \[ R(D^\dagger(V) \otimes F_\rho) = \rho^b, \qquad b = \max\{i \geq 1: G_{\kappa_K((t))}^i \not\subseteq \ker(\tau)\}. \] \end{theorem} \begin{cor} Let $V_1,\dots,V_m$ be the constituents of $V$, and let $\tau_j: G_{\kappa_K((t))} \to \GL(V_j)$ be the corresponding homomorphisms. For $\rho \in (0,1)$ sufficiently close to $1$, the multiset of subsidiary radii of $D^\dagger(V) \otimes F_\rho$ consists of $\max\{i \geq 1: G_{\kappa_K((t)),i} \not\subseteq \ker(\tau_j)\}$ with multiplicity $\dim(V_j)$, for $j=1,\dots,m$. \end{cor} Using the integrality properties of subsidiary radii, we may deduce that for $\rho \in (0,1)$ sufficiently close to 1, the the product of the subsidiary radii is an integral power of $\rho$; this amounts to verifying the \emph{Hasse-Arf theorem} for $V$ (integrality of the Artin conductor). One might reasonably wonder whether there is a good analogue of Theorem~\ref{T:compare filt} in case the residue field of $K$ is not perfect. There are several difficulties, one of which is to decide upon a good analogue of the upper numbering filtration. Such an analogue has been constructed by Abbes and Saito; the resulting analogue of Theorem~\ref{T:compare filt} was proved recently by Chiarellotto and Pulita for $\dim(V) = 1$, and more recently, by Liang Xiao in general. \section{Representations with finite image of inertia} Let $\tau: G_{\kappa_K((t))} \to \GL(V)$ be a homomorphism which is now continuous for the $p$-adic topology on $V$, rather than the discrete topology. One can form a differential module over $\calE$ by taking \[ D(V) = (V \otimes_K \widehat{\calE^{\unr}})^{G_{\kappa_K((t))}} \] but this in general does not descend to $\calE^\dagger$. Suppose, however, that the image of $G_{\kappa_K((t)),1} \cong G_{\kappa_K^{\sep}((t))}$ (the inertia subgroup) is finite; that is, $\tau$ has \emph{finite local monodromy}. Let $\calE^\dagger_{\kappa_K^{\sep}((t))}$ be the ring defined in the same fashion as $\calE^\dagger$ but using $\widehat{K^{\unr}}$ on the coefficients; let $G_{\kappa_K((t))}$ act on this ring via its unramified quotient. We can then define \[ D^\dagger(V) = (V \otimes_K (\calE^\dagger_{\kappa_K^{\sep}((t))})^{\unr})^{G_{\kappa_K((t))}} \] and this will be a differential module over $\calE^\dagger$ of the right dimension, again carrying a unit-root Frobenius structure. \section{Unit-root Frobenius structures} If $M$ is a differential module over $\calE^\dagger$, we say $M$ is \emph{quasiconstant} if $M \otimes \calE^\dagger_L$ admits a basis of horizontal sections for some $L$. \begin{theorem}[Tsuzuki] \label{T:unit-root plmt} Let $M$ be a finite differential module over $\calE^\dagger$ admitting a unit-root Frobenius structure for some Frobenius lift. Then $M$ is quasiconstant. \end{theorem} It is important to note that the existence of a unit-root Frobenius structure for one Frobenius lift implies the same for any other Frobenius lift. In fact, for the proof we need to make a more precise observation, which is easy to check from the change of Frobenius construction. Let us say that for $c \in [0,1)$, a basis $e_1,\dots,e_n$ of $M$ is \emph{$c$-constant} if $\Phi$ acts on this basis via a matrix $A = \sum_i A_i t^i$ satisfying $|A|_1 = |A^{-1}| = 1$ and $|A-A_0|_1 \leq c$. \begin{lemma} Let $M$ be a finite differential module over $\calE^\dagger$ admitting a unit-root Frobenius structure for some Frobenius lift $\phi_1$. Suppose that $e_1,\dots,e_n$ is a $c$-constant basis. Then $e_1,\dots, e_n$ is also $c$-constant for the Frobenius structure corresponding to any other Frobenius lift $\phi_2$. \end{lemma} Given this lemma, the proof can be broken into three steps; we refer to Tsuzuki's original paper (\textit{Amer. J. Math.} 1998) for the proofs. \begin{lemma} Let $M$ be a finite differential module over $\calE^\dagger$ admitting a unit-root Frobenius structure. Then there exists a positive integer $m$ coprime to $p$ such that $M \otimes \calE^\dagger[t^{1/m}]$ admits a $c$-constant basis for some $c \in (0,1)$. \end{lemma} \begin{lemma} Let $M$ be a finite differential module over $\calE^\dagger$ admitting a unit-root Frobenius structure and a $c$-constant basis for some $c \in (0,1)$. Then for some finite extension $L$ of $\kappa_K((t))$, $M \otimes \calE^\dagger_L$ admits a $c'$-constant basis for some $c' \in (0,c)$. \end{lemma} These first two lemmas are easy for an absolute Frobenius lift, because you can actually choose the basis to be fixed modulo some power of $\gothm_K$. This is the only case Tsuzuki originally addressed; however, in the compiled notes, I will explain how to modify the argument slightly to work for a general Frobenius lift. \begin{lemma} Let $M$ be a finite differential module over $\calE^\dagger$ admitting a unit-root Frobenius structure. Suppose that $M$ admits a $c$-constant basis for some $c < p^{-1/(p-1)}$. Then $M$ is constant. \end{lemma} As noted by Christol, this last lemma can be proved elegantly using Frobenius antecedents. \section{Quasiunipotent differential modules} Define the \emph{Robba ring} to be \[ \calR = \cup_{\alpha \in (0,1)} K \langle \alpha/t, t \}\}; \] that is, $\calR$ consists of formal sums $\sum c_i t^i$ which converge in some range $\alpha \leq |t| < 1$, but need not have bounded coefficients. Unlike its subring $\calE^\dagger$, $\calR$ is not a field; for instance, the element \[ \log(1+t) = \sum_{i=1}^{\infty} \frac{(-1)^{i-1}}{i} t^i \] is not invertible (because its Newton polygon has infinitely many slopes). More generally, we have the following easy fact. \begin{lemma} We have $\calR^\times = (\calE^\dagger)^\times$. \end{lemma} In particular, $\calR$ does not have a natural $p$-adic topology. The most useful topology on $\calR$ is the \emph{LF topology}, which is the direct limit of the Fr\'echet topology on each $K \langle \alpha/t, t\}\}$ defined by the $|\cdot|_\rho$ for $\rho \in [\alpha,1)$. In fact, the ring $\calR$ is not even noetherian (this is related to an earlier exercise), but the following useful facts are true, essentially by work of Lazard. (These depend on $K$ being spherically complete, which follows from our hypothesis that $K$ is in fact discretely valued.) \begin{prop} For an ideal $I$ of $\calR$, the following are equivalent. \begin{enumerate} \item[(a)] The ideal $I$ is closed in the LF topology. \item[(b)] The ideal $I$ is finitely generated. \item[(c)] The ideal $I$ is principal. \end{enumerate} \end{prop} \begin{prop} Any finite free module on the half-open annulus with closed inner radius $\alpha$ and open outer radius $1$ is represented by a finite free module over $K \langle \alpha/t, t \}\}$, and so corresponds to a finite free module over $\calR$. (The first part generalizes to half-open and open annuli with arbitrary boundary radii.) \end{prop} For $L$ a finite separable extension of $\kappa_K((t))$, put \[ \calR_L = \calR \otimes_{\calE^\dagger} \calE^\dagger_L. \] We say a finite differential module $M$ over $\calR$ is \emph{quasiconstant} if there exists $L$ such that $M \otimes \calR_L$ is trivial. We say $M$ is \emph{quasiunipotent} if it is a successive extension of quasiconstant modules; it is equivalent to ask that $M \otimes \calE^\dagger_L$ be unipotent (i.e., an extension of trivial differential modules) for some $L$ (exercise). Quasiunipotent differential modules have many useful properties. For instance, by Proposition~\ref{P:solvable}, they are all solvable at $1$. Another important property is the following. \begin{prop} \label{P:perfect pairing} Let $M$ be a quasiunipotent differential module over $\calR$. Then the spaces $H^0(M), H^1(M)$ are finite dimensional, and there is a perfect pairing \[ H^0(M) \times H^1(M^\dual) \to H^1(M \otimes M^\dual) \to H^1(\calR) \cong K \frac{dt}{t}. \] \end{prop} \begin{proof} This can be reduced to the unipotent case, for which it is an exercise. \end{proof} The following important theorem asserts that many naturally occurring differential modules, including Picard-Fuchs modules, are quasiunipotent. See the notes for further discussion. \begin{theorem}[$p$-adic local monodromy theorem] \label{T:plmt} Let $M$ be a finite differential module over $\calR$ admitting a Frobenius structure for some Frobenius lift. Then $M$ is quasiunipotent. \end{theorem} We will have more to say about this theorem later. \notes The weak topology on $\calE$ is called the \emph{levelwise topology} in [Ked04]. The statement of the $p$-adic local monodromy theorem (Theorem~\ref{T:plmt}) was originally known under the name \emph{Crew's conjecture}, because it emerged from the work of Crew on finite dimensionality of rigid cohomology with coefficients in an overconvergent $F$-isocrystal. The original conjecture only concerned modules such that the differential and Frobenius structures were both defined over $\calE^\dagger$; this form was restated in a more geometric form by de Jong. The restricted case of Crew's conjecture just described is the one that appears in applications to $p$-adic cohomology. However, the general form is in many ways more natural; this was illustrated by the work of Tsuzuki, who explained how for an absolute Frobenius lift, Theorem~\ref{T:plmt} would follow from a slope filtration theorem. Moreover, the proof by Berger that Crew's conjecture implies Fontaine's conjecture $C_{pst}$ (that de Rham representations are potentially semistable) requires the unrestricted form of Crew's conjecture. There are essentially two methods for proving Theorem~\ref{T:plmt}, each with its own merits. One method is to follow Tsuzuki's suggestion to construct slope filtrations for difference modules; this was carried out by Kedlaya. (Beware that Tsuzuki's original reduction argument only applies in the case of an absolute Frobenius lift; for the general case, you have to modify it as sketched in these notes.) The second method is to use various results of Christol-Mebkhout to analyze differential modules which are solvable at 1. This method was carried out by Andr\'e and Mebkhout (independently of each other and of Kedlaya). \exercises \begin{enumerate} \item Let $M$ be a differential module over $\calR$ such that for some finite separable extension of $L$, $M \otimes \calE^\dagger_L$ is unipotent. Prove that $M$ is quasiunipotent. \item Prove Proposition~\ref{P:perfect pairing} in the case where $M$ is unipotent. \end{enumerate} \end{document} In the meantime, let us verify it in the case of rank $1$, assuming that $\kappa_K$ is perfect and $K$ contains a $p$-th root of unity $\zeta_p$. (The last two assumptions are easy to get rid of.) \begin{proof}[Proof of Theorem~\ref{T:plmt} for $\rank(M) = 1$] Since it does not matter which Frobenius lift we use, we take a standard Frobenius $\phi(t) = t^q$ for some power $q$ of $p$ (and any isometry $\phi_K$). Also, we will write everything in terms of the derivation $t \frac{d}{dt}$ rather than $\frac{d}{dt}$. Choose a generator $v$ of $M$. We then have $\Phi(v) = av$ for some $a \in \calR$ which must be a unit, forcing $a \in \calE^{\dagger}$; there is no harm in normalizing so that $|a|_1 = 1$. We also have $D(v) = nv$ for some $n \in \calR$ satisfying \[ na + a' = q a\phi(n), \] or $n - q \phi(n) = a'/a$. This forces $n \in \calE^\dagger$: if $n = \sum n_i t^i$, we deduce $|n_i| \leq |a'/a|_1$ first for $i$ not divisible by $q$, then for $i$ not divisible by $q^2$, and so on. We also claim that $n_0 \in \ZZ_p \cap \QQ$. Namely, write $a = \sum a_i t^i$ and choose the least index $j$ for which $|a_j| = |a|_1$. By the master factorization theorem, we can factor $a_j^{-1} t^{-j} a = a_+ a_-$ where $a_+ \in \gotho_K \llbracket t \rrbracket^\times$ and $a_- \in (\gotho_K \llbracket t^{-1} \rrbracket \cap K \langle \alpha/t \rangle)^\times$ for some $\alpha \in (0,1)$. We then have \[ a'/a = j + a_+'/a_+ + a_-'/a_- \] and the terms $a_+'/a_+$ and $a_-'/a_-$ contribute zero to the constant term. So the constant term $m$ of $a'/a$ is an integer, and $n_0$ satisfies $n_0 - q \phi_K(n_0) = m$. Since $\phi_K$ must fix $\QQ_p$, we deduce $n_0 = m + qm + q^2m + \cdots \in \ZZ_p \cap \QQ$. It thus suffices to consider the case $n_0 = 0$ hereafter, as we can reduce to this case by adjoining a suitable prime-to-$p$ root of $t$, relabeling that root as $t$, and adjusting $a$ by a power of said new $t$. In this case, we observe that $M^{\otimes p^h}$ is constant for some $h$; namely, we have $D(v^{\otimes p^h}) = p^h n v^{\otimes p^h}$, and for $h$ sufficiently large, the series $u = \exp(-\int (n/t)\,dt)$ converges to give the horizontal section $u v^{\otimes p^h}$ of $M^{\otimes p^h}$. It thus suffices to check that if $M^{\otimes p}$ is constant, then $M$ is quasi-constant. That is, we must show that for some $u \in \calE^\dagger$ with $pn = u'/u$, we can find a $p$-th root of $u$ in some $\calE^\dagger_L$. Choose any $u = \sum u_i t^i \in \calE^\dagger$ with $pn = u'/u$, normalized so that $|u|_1 = 1$. Since $u' \equiv 0 \pmod{p}$, we know that $|u_i| \leq p^{-1}$ if $i \notequiv 0 \pmod{p}$. Now put $w = \sum_{i \in \ZZ} w_i t^i$ where $w_i$ lifts the $p$-th root of the image of $u_{pi}$ in $\kappa_K$. Then \[ u \equiv w^p \pmod{p}, \] $w_i^p \equiv u_{pi} \pmod{p}$. we can write $u$ as the sum of something of norm at most $p^{-1}$ plus something involving only $p$-th powers. The latter is cong Note that $n \equiv a'/a \pmod{p}$, so $u'/u \equiv pa'/a \pmod{p^2}$. we must show that $u$ has a $p$-th root in $\calE^\dagger_L$ for some $L$. \end{proof}