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Section 5 Distinguished elements and prisms

Reference.

[18], Lecture III. The underlying reference is [25], section 2.
Using the framework of δ-rings, we now set up the formalism of prisms, modulo a key technical detail: the difference between classical completion and derived completion with respect to an ideal. We postpone discussion of the latter until Section 6.

Notation.

For ARing, let ModA denote the category of A-modules. For an ideal I of A, and an object MModA, write M[I] for the I-torsion submodule of M and M[I] for the union nM[In]; if I=(f) is principal, we also notate these as M[f] and M[f].

Subsection 5.1 Distinguished elements and examples

We begin by singling out elements of a δ-ring which behave as if they “vanish to order 1”, as indicated by the p-derivation.

Definition 5.1.1.

Let A be a δ-ring. An element dA is distinguished if (p,d,δ(d)) is the unit ideal of A. That is, the intersection of the zero loci of p,d,δ(d) on SpecA is empty.
If A is (p,d)-local, then dA is distinguished if and only if δ(d) is a unit in A; in fact this is the definition used in [18] and [25]. The discrepancy will not affect the definition of a prism because the latter already includes a completeness hypothesis (see Definition 5.3.1). One confusing aspect of our definition is that units in A are always distinguished.
In many arguments that follow, we can reduce to the (p,d)-local case by localizing A at (p,d). By Remark 2.4.10, the result is still a δ-ring.

Remark 5.1.2.

Any morphism in Ringδ carries distinguished elements to distinguished elements. The converse holds for the map ϕ; see Exercise 5.5.1.
We describe a series of examples which will be related to various preexisting p-adic cohomology theories. We will promote these examples to prisms in Remark 5.3.4.

Example 5.1.3. Crystalline cohomology.

Take A=Zp with d=p. Then δ(d)=1pp11(modp), so p is distinguished. By the same token, by Remark 2.2.3, p is distinguished in any δ-ring.

Example 5.1.4. q-de Rham cohomology and Wach modules.

Take A=Zp[[q1]] with the δ-structure for which ϕ(q)=qp, and define d to be the “q-analogue of p”:
d=[p]q=qp1q1=i=0p1qi.
Under the map AZp taking q to 1, d maps to p which is distinguished in the target; it follows that d is itself distinguished.
This example is closely related to Fontaine’s theory of (φ,Γ)-modules. The original construction of Fontaine [49] described an equivalence of categories between the continuous representations of the absolute Galois group of Qp on finite Zp-modules and a certain category of finite modules over the p-adic completion of A[(q1)1], in which the continuous action of the monoid Zp{0} on A characterized by γ(q)=qγ is extended to the module. The elements of the p-adic completion can be viewed as formal Laurent series in q1 with coefficients in Zp; it was later shown by Cherbonnier and Colmez [39] that the base ring can be shrunk down to the subring consisting of Laurent series whose negative tails converge on some region (see also [80]).
The ring A itself is the base ring of the theory of Wach modules [124], [13]; the (φ,Γ)-module associated to a Galois representation descends to a Wach module if and only if the representation is crystalline in Fontaine’s sense. Similar considerations apply if we enlarge A by replacing Zp with an unramified extension oK, where now the Galois group in question is that of K.

Example 5.1.5. Breuil-Kisin cohomology.

Let K/Qp be a finite extension. Let π be a uniformizer of K. Let WoK be the maximal unramified subring (i.e., the ring W(k) where k is the residue field of oK). Take A=W[[u]] with the δ-structure extending the canonical one on W for which ϕ(u)=up. Take d to be a generator of the kernel of the map AoK taking u to π; by projecting along the map u0 as in Example 5.1.4, we see that d is distinguished.
The ring A is the base ring of the theory of Breuil-Kisin modules ([85]), which provides an alternative to Wach modules that can be used to classify crystalline representations of the Galois group of a ramified extension of Qp. See [37] for more on the parallel between the two constructions.

Example 5.1.6. Ainf-cohomology.

Let A be the (p,q1)-adic completion of Zp[qp]. By Proposition 3.3.6, we have an isomorphism AW(R) where R is the (q1)-adic completion of the coperfection of Fp[q1]. In particular, A has a unique δ-ring structure, for which ϕ(q)=qp; note that in this case ϕ is an automorphism. By Example 5.1.4, d=[p]q is a distinguished element, as is ϕn(d) for any nZ.
Let K be the p-adic completion of the p-cyclotomic extension Qp(μp). The ring R can then be identified with the perfection of oK/(p) by fixing a choice of a coherent sequence (ζpn) of p-power roots of unity and identifying q with this sequence; this identifies R with the tilt of oK (see Section 7 for further discussion). In this context, the ring A arises in Fontaine’s notation as the value of the functor Ainf evaluated at the valuation ring oK.

Subsection 5.2 Properties of distinguished elements

We collect some lemmas about distinguished elements. See also Lemma 7.1.2 for a precise characterization of distinguished elements in W(R) when R is a perfect ring of characteristic p.
We first show that “distinguished elements are locally irreducible.”

Proof.

Suppose first that fh is distinguished. By (2.2),
(5.1)δ(fh)=hpδ(f)+fpδ(h)+pδ(h)δ(f)hpδ(f)(mod(p,f)).
If fh is distinguished, then δ(fh) is a unit modulo (p,fh) and hence also modulo (p,f); we deduce that both δ(f) and h are invertible modulo (p,f). This means that f is distinguished and (p,f,h) is the unit ideal; by symmetry, h is also distinguished.
Conversely, suppose that f and h are both distinguished and that (p,f,h) is the unit ideal. To check that (p,fh,δ(fh)) is the unit ideal, we may work in the localizations at (p,f) and (p,h); without loss of generality, we may then assume that p,fRad(A). In this case, δ(f) and h are both units, and so (5.1) implies that δ(fh) is a unit modulo (p,f)=(p,fh); hence fh is distinguished.

Remark 5.2.2.

While Lemma 5.2.1 is written in a symmetric manner, in practice we will use it in the case where p,fRad(A). We again reiterate that according to our conventions, any unit is a distinguished element.
We now see that the property of an element being distinguished depends only on the principal ideal generated by that element.

Proof.

If f is distinguished, then ap+bf+cδ(f)=1 for some a,b,cA. Since ϕ(f)fp=pδ(f), we can write ap2+bfp+cϕ(f)cfp=p, yielding p(p2,f,ϕ(f)). Conversely, suppose that p(p2,f,ϕ(f)) and (by way of contradiction) (p,f,δ(f)) is not the unit ideal; using Remark 2.4.10, we may localize A to reduce to the case where p,f,δ(f)Rad(A) (and A0). In this case, p(f,ϕ(f)), so there exist a,bA such that p=af+bϕ(f); that is,
p(1bδ(f))=af+bfp=f(a+bfp1).
Since p is distinguished (Example 5.1.3), so is f by two applications of Lemma 5.2.1 (one in each direction); this yields the desired contradiction.

Proof.

It will be convenient later to globalize the notion of an ideal generated by a distinguished element. Fortunately, the resulting condition still has a convenient characterization.

Proof.

The equivalence of (1) and (2) is a consequence of Remark 2.4.10 (which allows us to construct A such that IA is principal) and Lemma 5.2.3. Compare [18], Lecture III, Corollary 1.9 or [25], Lemma 3.1.
To check that (1) and (2) imply pIp+ϕ(I)A, we may reduce to the case where I=(f) for some distinguished element f of A. In this case, the equation ϕ(f)=fp+pδ(f) shows that p(fp,ϕ(f)) because δ(f) is a unit.

Subsection 5.3 Prisms

A prism will consist of a δ-ring A and an ideal I such that the closed subschemes of SpecA defined by I and ϕ1(I) intersect “as transversely as possible” along the closed subscheme defined by p.

Definition 5.3.1.

A δ-pair consists of a pair (A,I) in which A is a δ-ring and I is an ideal.
A prism is a δ-pair (A,I) satisfying the following conditions.
  • The ideal I defines a Cartier divisor on SpecA (i.e., I is an invertible A-module, or equivalently I is locally principal generated by a non-zerodivisor). In most of our examples, I will be principal; see Exercise 6.7.14 for a restriction that applies otherwise.
  • The ring A is derived (p,I)-complete (as a module over itself). We will define this condition a bit later (see Definition 6.2.1); for the moment, note that it implies (p,I)Rad(A) (see Corollary 6.3.2) and hence also ϕ(I)Rad(A). See also Remark 5.3.2.
  • We have pI+ϕ(I)A. By Lemma 5.2.3, this holds if I is generated by a distinguished element.
A prism (A,I) is orientable if the ideal I is principal. A prism (A,I) is oriented if it is orientable and we have fixed the choice of a generator d, which by Lemma 5.2.3 is a distinguished element (and a non-zerodivisor).
A prism (A,I) is bounded if A/I has bounded p-torsion; that is, there is a positive integer n such that (A/I)[pn]=(A/I)[p].

Remark 5.3.2.

Definition 5.3.1 includes a condition on derived completeness that we have not yet defined. We insert a few remarks in order to maintain the narrative flow.
If A is classically (p,I)-complete, then A is derived (p,I)-complete. The converse holds if A is (p,I)-adically separated; this will be true in particular if (A,I) is a bounded prism (see Lemma 6.4.2).
For these reasons, on first reading it is safe to pretend that Definition 5.3.1 requires A to be classically (p,I)-complete rather than derived (p,I)-complete. However, when proving theorems it will be problematic to take completions due to the bad behavior of this functor in some situations (Remark 6.1.2). The notion of derived completeness will help mitigate this, as will the odd definition of flatness for morphisms of prisms (Definition 5.4.3).

Example 5.3.3.

A δ-pair (A,I) with I=(p) is a prism if and only if A is p-torsion-free and classically p-complete. We say that such a prism is crystalline.

Remark 5.3.4.

By Lemma 5.2.3 (and the fact that the rings in question are all integral), all of the examples of distinguished elements enumerated in Subsection 5.1 give rise to prisms (taking I=(d)). These examples are all bounded.
Example 5.1.3 is an example of a crystalline prism. Example 5.1.6 is an example of a perfect prism; we will describe these in terms of perfectoid rings in Section 7.

Example 5.3.5. The universal oriented prism.

Let A0=Z(p){d} be the free δ-ring in a single variable d over Z(p). Let S be the multiplicative subset of A0 generated by ϕn(δ(d)) for all n0. By Lemma 2.4.8, the localization A1=S1A0 is also a δ-ring. Let A be the derived (p,d)-completion of A1; since A1 is p-torsion-free, A is classically p-complete. By construction, d is a distinguished element of A and (A,dA) is a bounded prism. Moreover, p,d is a regular sequence in A and ϕ:AA is p-completely flat (see Definition 6.5.1).

Proof.

It will be enough to produce a single generator of ϕ(I)A, as then Lemma 5.2.3 (which applies because pA+ϕ(I)Rad(A)) will imply that any other generator is also distinguished.
By definition, we have p=a+b with aIp,bϕ(I)A; we will show that b generates ϕ(I)A and is distinguished. Choose a faithfully flat map AA of δ-rings as per Lemma 5.2.5; it will suffice to show that b generates ϕ(I)A and is distinguished in A. By construction, IA is generated by a distinguished element dA. Write a=xdp,b=yϕ(d) for some x,yA. Since ϕ(d) is also distinguished, it will suffice to show that y is a unit in A. Since pA+IRad(A), it will further suffice to show that pA+IA+yA=A.
Suppose the contrary; using Remark 2.4.10, we may choose a further localization AA of δ-rings such that pA+IA+yARad(A). The equation p=a+b=xdp+yϕ(d) yields
p(1yδ(d))=a+(bpyδ(d))=dp(x+y)=d(dp1(x+y)).
Since 1yδ(d) is a unit in A and p is distinguished, we may apply Lemma 5.2.1 twice to deduce that d is distinguished in A and dp1(x+y) is a unit; this is impossible because dRad(A). (Compare [18], Lecture III, Lemma 3.5 or [25], Lemma 3.6.)

Remark 5.3.7.

Let (A,I) be a prism. Since I is an invertible A-module, IAA/I=I/I2 is an invertible A/I-module, as is In/In+1 for any nonnegative integer n. These will appear in the discussion of Hodge-Tate cohomology.

Subsection 5.4 The category of prisms

Definition 5.4.1.

The category of δ-pairs is defined so that a morphism (A,I)(B,J) is a morphism f:AB of δ-rings such that f(I)J. The category of prisms, denoted Prism, is defined as the full subcategory of the category of δ-pairs consisting of prisms.

Proof.

Since the map in question is between invertible B-modules, it is enough to check that it is surjective. Using Lemma 5.2.5, we may reduce to the case where I=(f) and J=(g) are both principal ideals generated by distinguished elements. Then f is a multiple of g in B, so we may apply Lemma 5.2.1 to conclude. (Compare [18], Lecture III, Lemma 3.7 or [25], Lemma 3.5.)

Definition 5.4.3.

A map (A,I)(B,J) in Prism is (faithfully) flat if B is I-completely (faithfully) flat in the sense of Definition 6.5.1. This holds in particular if AB is (faithfully) flat.

Exercises 5.5 Exercises

1.

Let A be a δ-ring. Prove that an element dA is distinguished if and only if ϕ(d) is distinguished.