Documenta Mathematica Gegr¨undet 1996 durch die Deutsche Mathematiker-Vereinigung Extra Volume A Collection of Manuscripts Written in Honour of

Documenta Mathematica

Gegr¨ undet 1996 durch die Deutsche Mathematiker-Vereinigung

Extra Volume

A Collection of Manuscripts Written in Honour of

Kazuya Kato

on the Occasion of His Fiftieth Birthday

Editors:

S. Bloch, I. Fesenko, L. Illusie, M. Kurihara,

S. Saito, T. Saito, P. Schneider

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Ursula Hamenst¨adt, Bonn [email protected] Lars Hesselholt, Cambridge, MA (MIT) [email protected] Max Karoubi, Paris [email protected] Rainer Kreß, G¨ottingen [email protected] Stephen Lichtenbaum, Providence Stephen [email protected] Eckhard Meinrenken, Toronto [email protected]

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Thomas Peternell, Bayreuth [email protected] Takeshi Saito, Tokyo [email protected]

Stefan Schwede, Bonn [email protected] Heinz Siedentop, M¨unchen (LMU) [email protected] Wolfgang Soergel, Freiburg [email protected] G¨unter M. Ziegler, Berlin (TU) [email protected]

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Documenta Mathematica

Extra Volume: Kazuya Kato’s Fiftieth Birthday, 2003

Preface 1

Prime Numbers 3

Ahmed Abbes and Takeshi Saito Ramification of Local Fields

with Imperfect Residue Fields II 5–72

Kenichi Bannai

Specialization of the p-adic Polylogarithm to

p-th Power Roots of Unity 73–97

Laurent Berger

Bloch and Kato’s Exponential Map:

Three Explicit Formulas 99–129

Spencer Bloch and H´el`ene Esnault

The Additive Dilogarithm 131–155

David Burns and Cornelius Greither Equivariant Weierstrass Preparation

and Values of L-functions at Negative Integers 157–185 John Coates, Peter Schneider, Ramdorai Sujatha

Links Between Cyclotomic

andGL2 Iwasawa Theory 187–215

Robert F. Coleman

Stable Maps of Curves 217–225

Christopher Deninger

Two-Variable Zeta Functions

and Regularized Products 227–259

Ivan Fesenko

Analysis on Arithmetic Schemes. I 261–284 Jean-Marc Fontaine

Presque Cp-Repr´esentations 285–385

Takako Fukaya

Coleman Power Series for K2

andp-Adic Zeta Functions

of Modular Forms 387–442

Y. Hachimori and O. Venjakob

Completely Faithful Selmer Groups

over Kummer Extensions 443–478

Kato Homology of Arithmetic Schemes and Higher Class Field Theory

over Local Fields 479–538

Masato Kurihara

On the Structure of Ideal Class Groups

of CM-Fields 539–563

Nobushige Kurokawa, Hiroyuki Ochiai, and Masato Wakayama

Absolute Derivations and Zeta Functions 565–584 Barry Mazur and Karl Rubin

Studying the Growth of Mordell-Weil 585–607 Shinichi Mochizuki

The Absolute Anabelian Geometry

of Canonical Curves 609–640

Hyunsuk Moon and Yuichiro Taguchi

Refinement of Tate’s Discriminant Bound and Non-Existence Theorems for Mod p

Galois Representations 641–654

Arthur Ogus

On the Logarithmic

Riemann-Hilbert Correspondence 655–724

Bernadette Perrin-Riou

Groupes de Selmer et Accouplements;

Cas Particulier des

Courbes Elliptiques 725–760

Christophe Soul´e

A Bound for the Torsion in the K-Theory

of Algebraic Integers 761–788

Akio Tamagawa

Unramified Skolem Problems and

Unramified Arithmetic Bertini Theorems

in Positive Characteristic 789–831

Takeshi Tsuji

On the Maximal Unramified Quotients of p-Adic ´Etale Cohomology Groups

and Logarithmic Hodge–Witt Sheaves 833–890 Nobuo Tsuzuki

On Base Change Theorem

and Coherence in Rigid Cohomology 891–918

Preface

The editors of this volume wish to express to Kazuya Kato their gratitude and admiration for his seminal contributions to arithmetic algebraic geometry and the deep influence he has been exerting in this area for over twenty years through his students and collaborators throughout the world.

S. Bloch, I. Fesenko, L. Illusie, M. Kurihara, S. Saito, T. Saito, P. Schneider

Prime Numbers

Kazuya Kato

The song of prime numbers sounds Tonnkarari, We can hear if we keep our ears open,

We can hear their joyful song.

The song of prime numbers sounds Chinnkarari, Prime numbers sing together in harmony The song of love in the land of prime numbers.

The song of prime numbers sounds Ponnporori, Prime numbers are seeing dreams,

They sing the dreams for the tomorrow.

Sosuu no uta wa tonnkarari Mimi o sumaseba kikoe masu Tanoshii uta ga kikoe masu Sosuu no uta wa chinnkarari Koe o awasete utai masu Sosuu no kuni no ai no uta Sosuu no uta wa ponnporori Sosuu wa yume o mite imasu Ashita no yume o utai masu

Alphabetic transcription of Kato’s poem

Ramification of Local Fields with Imperfect Residue Fields II

Dedicated to Kazuya Kato on the occasion of his 50th birthday

Ahmed Abbes and Takeshi Saito

Received: October 10, 2002 Revised: August 6, 2003

Abstract. In [1], a filtration by ramification groups and its loga- rithmic version are defined on the absolute Galois group of a complete discrete valuation field without assuming that the residue field is per- fect. In this paper, we study the graded pieces of these filtrations and show that they are abelian except possibly in the absolutely unrami- fied and non-logarithmic case.

2000 Mathematics Subject Classification: primary 11S15, secondary 14G22

Keywords and Phrases: local fields, wild ramification, log structure, affinoid variety.

In the previous paper [1], a filtration by ramification groups and its logarithmic version are defined on the absolute Galois group GK of a complete discrete valuation field K without assuming that the residue field is perfect. In this paper, we study the graded pieces of these filtrations and show that they are abelian except possibly in the absolutely unramified and non-logarithmic case.

Let G^j_K (j > 0,∈ Q) denote the decreasing filtration by ramification groups and G^j_K,log (j >0,∈Q) be its logarithmic variant. We put G^j+_K =S

j⁰>jG^j_K⁰ and G^j+_K,log = S

j⁰>jG^j_K,log⁰ . In [1], we show that the wild inertia subgroup P ⊂GK is equal toG¹⁺_K =G⁰⁺_K,log. The main result is the following.

Theorem 1 Let K be a complete discrete valuation field.

1. (see Theorem 2.15) Assume either K has equal characteristicsp >0 or K has mixed characteristic and p is not a prime element. Then, for a rational numberj >1, the graded pieceGr^jGK=G^j_K/G^j+_K is abelian and is a subgroup of the center of the pro-p-groupG¹⁺_K /G^j+_K.

2. (see Theorem 5.12)For a rational numberj >0, the graded pieceGr_log^j GK = G^j_K,log/G^j+_K,log is abelian and is a subgroup of the center of the pro-p-group G⁰⁺_K,log/G^j+_K,log.

The idea of the proof of 1 is the following. Under some finiteness assumption, denoted by (F), we define a functor ¯X^j from the category of finite ´etale K- algebras with ramification bounded byj+ to the category of finite ´etale schemes over a certain tangent space Θ^j with continuous semi-linear action ofGK. For a finite Galois extension Lof K with ramification bounded by j+, the image X¯^j(L) has two mutually commuting actions of G= Gal(L/K) and GK. The arithmetic action of GK comes from the definition of the functor ¯X^j and the geometric action ofG is defined by functoriality. Using these two commuting actions, we prove the assertion. The assumption thatpis not a prime element is necessary in the construction of the functor ¯X^j.

In Section 1, for a rational numberj >0 and a smooth embedding of a finite flatOK-algebra, we define itsj-th tubular neighborhood as an affinoid variety.

We also define itsj-th twisted reduced normal cone.

We recall the definition of the filtration by ramification groups in Section 2.1 using the notions introduced in Section 1. In the equal characteristic case, under the assumption (F), we define a functor ¯X^j mentioned above in Section 2.2 usingj-th tubular neighborhoods. In the mixed characteristic case, we give a similar but subtler construction using the twisted normal cones, assuming further that the residue characteristicpis not a prime element ofKin Section 2.3. Then, we prove Theorem 2.15 in Section 2.4. We also define a canonical surjectionπ₁^ab(Θ^j)→Gr^jGK under the assumption (F).

After some preparations on generalities of log structures in Section 3, we study a logarithmic analogue in Sections 4 and 5. We define a canonical surjection π^ab₁ (Θ^j_log) → Gr^j_logGK under the assumption (F) and prove the logarithmic part, Theorem 5.12, of the main result in Section 5.2. Among other results, we compare the construction with the logarithmic construction given in [1]

in Lemma 4.10. We also prove in Corollary 4.12 a logarithmic version of [1]

Theorem 7.2 (see also Corollary 1.16).

In Section 6, assuming the residue field is perfect, we show that the surjection π^ab₁ (Θ^j_log)→Gr^j_logGK induces an isomorphismπ^ab,gp₁ (Θ^j_log)→Gr^j_logGK where π^ab,gp₁ (Θ^j_log) denotes the quotient classifying the ´etale isogenies to Θ^j_logregarded as an algebraic group.

When one of the authors (T.S.) started studing mathematics, Kazuya Kato, who was his adviser, suggested to read [13] and to study how to generalize it when the residue field is no longer assumed perfect. This paper is a partial

answer to his suggestion. The authors are very happy to dedicate this paper to him for his 51st anniversary.

Notation. LetKbe a complete discrete valuation field, OK be its valuation ring and F be its residue field of characteristic p >0. Let ¯K be a separable closure of K, OK¯ be the integral closure of OK in ¯K, ¯F be the residue field of OK¯, and GK = Gal( ¯K/K) be the Galois group of ¯K over K. Let π be a uniformizer ofOK and ord be the valuation ofKnormalized by ordπ= 1. We denote also by ord the unique extension of ord to ¯K.

1 Tubular neighborhoods for finite flat algebras

For a semi-local ringR, letm_R denote the radical of R. We say that an OK- algebra R is formally of finite type over OK if R is semi-local, m_R-adically complete, Noetherian and the quotientR/mRis finite overF. AnOK-algebra Rformally of finite type overOK is formally smooth overOK if and only if its factors are formally smooth. We say that anOK-algebraR is topologically of finite type over OK if R is π-adically complete, Noetherian and the quotient R/πRis of finite type overF. For anOK-algebraRformally of finite type over OK, we put ˆΩR/OK = lim

←−ⁿΩ(R/mⁿ_R)/OK. For an OK-algebra R topologically of finite type over OK, we put ˆΩR/OK = lim

←−ⁿΩ(R/πⁿR)/OK. Here and in the following, Ω denotes the module of differential 1-forms. For a surjection R → R⁰ of rings, its formal completion is defined to be the projective limit R^∧= lim

←−ⁿR/(Ker(R→R⁰))ⁿ.

In this section,Awill denote a finite flatOK-algebra.

1.1 Embeddings of finite flat algebras

Definition 1.1 1. LetA be a finite flatOK-algebra andAbe an OK-algebra formally of finite type and formally smooth overOK. We say that a surjection A→AofOK-algebras is an embedding if it induces an isomorphismA/mA → A/mA.

2. We define EmbOK to be the category whose objects and morphisms are as follows. An object ofEmbOK is a triple (A→A)where:

• Ais a finite flatOK-algebra.

• Ais anOK-algebra formally of finite type and formally smooth overOK.

• A→Ais an embedding.

A morphism (f,f) : (A → A) → (B → B) of EmbOK is a pair of OK- homomorphismsf :A→B andf :A→B such that the diagram

A −−−−→ A

f



y y^f B −−−−→ B

is commutative.

3. For a finite flatOK-algebraA, letEmbOK(A)be the subcategory ofEmbOK

whose objects are of the form(A→A)and morphisms are of the form(idA,f).

4. We say that a morphism (f,f) : (A → A) → (B → B) of EmbOK is finite flat if f :A → B is finite and flat and if the map B⊗^AA →B is an isomorphism.

If (A→A) is an embedding, theA-module ˆΩA/OKis locally free of finite rank.

Lemma 1.2 1. For a finite flatOK-algebraA, the categoryEmbOK(A)is non- empty.

2. For a morphism f : A →B of finite flat OK-algebras and for embeddings (A→A) and(B→B), there exists a morphism(f,f) : (A→A)→(B→B) liftingf.

3. For a morphism f :A→B of finite flat OK-algebras, the following condi- tions are equivalent.

(1) The map f :A→B is flat and locally of complete intersection.

(2) Their exists a finite flat morphism (f,f) : (A → A) → (B → B) of embeddings.

Proof. 1. Take a finite system of generators t1, . . . , tn of A over OK and define a surjection OK[T1, . . . , Tn] → A by Ti 7→ ti. Then the formal completion A → A of OK[T1, . . . , Tn] → A, where A = lim←−^mOK[T1, . . . , Tn]/(Ker(OK[T1, . . . , Tn]→A))^m, is an embedding.

2. SinceAis formally smooth overOKandB= lim

←−ⁿB/IⁿwhereI= Ker(B→ B), the assertion follows.

3. (1)⇒(2). We may assume A and B are local. By 1 and 2, there exists a morphism (f,f) : (A →A)→(B → B) lifting f. Replacing B →B by the projective limit lim

←−ⁿ(A/mⁿ_A⊗^OKB/mⁿ_B)^∧→B/mⁿ_B of the formal completion (A/mⁿ_A⊗^OKB/mⁿ_B)^∧→B/mⁿ_Bof the surjectionsA/mⁿ_A⊗^OKB/mⁿ_B→B/mⁿ_B, we may assume that the map A → B is formally smooth. Since A → B is locally of complete intersection, the kernel of the surjection B⊗^AA →B is generated by a regular sequence (t1, . . . , tn). Take a lifting (˜t1, . . .˜tn) inBand define a map A[[T1, . . . , Tn]] → B by Ti 7→ ti. We consider an embedding A[[T1, . . . , Tn]] → A defined by the composition A[[T1, . . . , Tn]] → A → A sending Ti to 0. Replacing A by A[[T1, . . . , Tn]], we obtain a map (A → A) → (B → B) such that the map B⊗^AA → B is an isomorphism and dimA= dimB. By Nakayama’s lemma, the mapA→Bis finite. Hence the mapA→Bis flat by EGA Chap 0IV Corollaire (17.3.5) (ii).

(2)⇒(1). SinceAandBare regular,Bis locally of complete intersection over A. Since B is flat over A, B is also flat and locally of complete intersection

overA. 2

The base change of an embedding by an extension of complete discrete valuation fields is defined as follows.

Lemma 1.3 Let K⁰ be a complete discrete valuation field and K → K⁰ be a morphism of fields inducing a local homomorphism OK → OK⁰. Let (A → A) be an object of EmbOK. We define A⊗ˆ^OKOK⁰ to be the projective limit lim←−ⁿ(A/mⁿ_A⊗^OKOK⁰). Then theOK⁰-algebraA⊗ˆ^OKOK⁰ is formally of finite type and formally smooth over OK⁰. The natural surjection A⊗ˆ^OKOK⁰ → A⊗ˆ^OKOK⁰ defines an object(A⊗ˆ^OKOK⁰ →A⊗^OKOK⁰)ofEmbOK0.

Proof. TheOK-algebraAis finite over the power series ringOK[[T1, . . . , Tn]] for some n≥0. Hence theOK⁰-algebra A⊗ˆ^OKOK⁰ is finite overOK⁰[[T1, . . . , Tn]]

and is formally of finite type over OK⁰. The formal smoothness is clear from

the definition. The rest is clear. 2.

For an object (A→A) ofEmbOK, we let the object (A⊗ˆ^OKOK⁰ →A⊗^OKOK⁰) of EmbOK0 defined in Lemma 1.3 denoted by (A→ A) ˆ⊗^OKOK⁰. By sending (A → A) to (A → A) ˆ⊗^OKOK⁰, we obtain a functor ˆ⊗^OKOK⁰ : EmbOK → EmbOK0. IfK⁰ is a finite extension ofK, we haveA⊗ˆ^OKOK⁰ =A⊗^OKOK⁰. 1.2 Tubular neighborhoods for embbedings

Let (A → A) be an object of EmbOK and I be the kernel of the surjection A → A. Mimicing [3] Chapter 7, for a pair of positive integers m, n > 0, we define an OK-algebra A^m/n topologically of finite type as follows. Let A[Iⁿ/π^m] be the subring ofA⊗^OKK generated byAand the elementsf /π^m for f ∈ Iⁿ and letA^m/n be its π-adic completion. For two pairs of positive integersm, nandm⁰, n⁰, ifm⁰ is a multiple ofmand ifm⁰/n⁰ ≤m/n, we have an inclusionA[Iⁿ⁰/π^m0]⊂A[Iⁿ/π^m]. It induces a continuous homomorphism A^m0/n0 → A^m/n. Then we have the following.

Lemma 1.4 Let (A → A) be an object of EmbOK and m, n > 0 be a pair of positive integers. Then,

1. The OK-algebra A^m/n is topologically of finite type over OK. The tensor productA^m/nK =A^m/n⊗^OKK is an affinoid algebra overK.

2. The map A→ A^m/n is continuous with respect to themA-adic topology on A and theπ-adic topology on A^m/n.

3. Letm⁰, n⁰ be another pair of positive integers and assume that m⁰ is a mul- tiple of mandj⁰=m⁰/n⁰≤j=m/n. Then, by the mapX^m/n= Sp A^m/nK → X^m0/n0 = Sp A^mK^0/n0 induced by the inclusion A[Iⁿ⁰/π^m0] ⊂ A[Iⁿ/π^m], the affinoid varietyX^m/n is identified with a rational subdomain ofX^m0/n0. 4. The affinoid varietyX^m/n= SpA^m/nK depends only on the ratioj=m/n.

The proof is similar to that of [3] Lemma 7.1.2.

Proof. 1. Since the OK-algebra A^m/n is π-adically complete, it is sufficient to show that the quotient A[Iⁿ/π^m]/(π) is of finite type over F. Since it is finitely generated over A/(π, Iⁿ) and A/(π, I) =A/(π) is finite over F, the assertion follows.

2. SinceA/π=A/(π, I) is of finite length, a power ofmAis in (π^m, Iⁿ). Since the image of (π^m, Iⁿ) inA^m/n is inπ^mA^m/n, the assertion follows.

3. Take a system of generators f1, . . . , fN of Iⁿ and define a surjection A[Iⁿ⁰/π^m0][T1, . . . , TN]/(π^mTi−fi)→A[Iⁿ/π^m] by sendingTitofi/π^m. Since it induces an isomorphism after tensoring with K, its kernel is annihilated by a power of π. Hence it induces an isomorphismA^mK^0/n0hT1, . . . , TNi/(π^mTi− fi, i= 1, . . . , N)→ A^m/nK .

4. Further assume m/n = m⁰/n⁰ and put k = m⁰/m. Let f1, . . . , fN ∈ Iⁿ be a system of generators of Iⁿ as above. Then A[Iⁿ/π^m] is generated by (f1/π^m)^k1· · ·(fN/π^m)^kN,0 ≤ ki < k as an A[Iⁿ⁰/π^m0]-module. Hence the cokernel of the inclusion A^m0/n0 → A^m/n is annihilated by a power of πand

the assertion follows. 2

If A = OK[[T1, . . . , TN]] and I = (T1, . . . , TN), the ring A^m/1 is isomor- phic to the π-adic completion of OK[T1/π^m, . . . , TN/π^m] and is denoted by OKhT1/π^m, . . . , TN/π^mi. By Lemma 1.4.4, the integral closureA^j ofA^m/n in the affinoid algebraA^m/n⊗^OKK depends only onj=m/n.

Definition 1.5 Let (A→A) be an object ofEmbOK andj >0 be a rational number. We define A^j to be the integral closure ofA^m/n forj =m/nin the affinoid algebraA^m/n⊗^OKKand define thej-th tubular neighborhoodX^j(A→ A) to be the affinoid varietySpA^jK.

In the case A = OK[[T1, . . . , Tn]] and the map A → A =OK is defined by sendingTi to 0, the affinoid varietyX^j(A→A) is then-dimensional polydisk D(0, π^j)ⁿof center 0 and of radiusπ^j. For each positive rational numberj >0, the construction attaching thej-th tubular neighboorhoodX^j(A→A) to an object (A→A) ofEmbOK defines a functor

X^j:EmbOK →(Affinoid/K)

to the category of affinoid varieties over K. For j⁰ ≤ j, we have a natural morphismX^j→X^j0 of functors. A finite flat morphism of embeddings induces a finite flat morphism of affinoid varieties.

Lemma 1.6 Letj >0be a positive rational number and(A→A)→(B→B) be a finite and flat morphism inEmbOK. Then, the induced map f^j:X^j(B→ B)→X^j(A→A) is a finite flat map of affinoid varieties.

Proof. LetI andJ =IBbe the kernels of the surjectionsA→AandB→B.

Since the map A → B is flat, it induces isomorphisms B⊗^A A[Iⁿ/π^m] → B[Jⁿ/π^m] and B⊗^AA^jK→ BK^j . The assertion follows from this immediately.

2

For an extensionK⁰ of complete discrete valuation fieldK, the construction of j-th tubular neighborhoods commutes with the base change. More precisely, we have the following. LetK⁰ be a complete discrete valuation field andK→K⁰ be a morphism of fields inducing a local homomorphismOK →OK⁰. Then by

sending an affinoid variety SpA^K overK to the affinoid variety SpA^K⊗ˆ^KK⁰ over K⁰, we obtain a functor ˆ⊗^KK⁰ : (Affinoid/K)→ (Affinoid/K⁰) (see [2]

9.3.6). Letebe the ramification indexeK⁰/K andj >0 be a positive rational number. Then the canonical map A → A⊗ˆ^OKOK⁰ induces an isomorphism X^j(A→A) ˆ⊗^KK⁰ →X^ej((A→A) ˆ⊗^OKOK⁰) of affinoid varieties overK⁰. In other words, we have a commutative diagram of functors

X^j:EmbOK −−−−→ (Affinoid/K)

⊗ˆ_OKO_K0



y y^⊗ˆKK0 X^ej:EmbOK −−−−→ (Affinoid/K⁰).

Lemma 1.7 For a rational number j > 0, the affinoid algebra A^jK is smooth overK.

Proof. By the commutative diagram above, it is sufficient to show that there is a finite separable extension K⁰ of K such that the base change X^j(A → A)⊗^KK⁰=X^j(A⊗^OKOK⁰ →A⊗^OKOK⁰) is smooth overK⁰. ReplacingK byK⁰ and separating the factors ofA, we may assume A/mA=F. Then we also haveA/mA=Fand an isomorphismOK[[T1, . . . , Tn]]→A. We define an object (A→OK) ofEmbOK by sendingTi∈Ato 0. LetIandI⁰be the kernel of A→A and A→OK respectively and put j =m/n. SinceA/(π^m, Iⁿ) is of finite length, there is an integer n⁰>0 such thatI⁰ⁿ⁰ ⊂(π^m, Iⁿ). Then we have an inclusionA[I⁰ⁿ⁰/π^m]→A[Iⁿ/π^m] and hence a mapX^m/n(A→A)→ X^m/n0(A → OK). By the similar argument as in the proof of Lemma 1.4.3, the affinoid variety X^m/n(A→A) is identified with a rational subdomain of X^m/n0(A → OK). Since the affinoid variety X^m/n0(A→ OK) is a polydisk,

the assertion follows. 2

By Lemma 1.7, thej-th tubular neighborhoods in fact define a functor X^j:EmbOK −−−−→ (smoooth Affinoid/K)

to the category of smooth affinoid varieties over K. Also by Lemma 1.7, Ωˆ_A^j/OK⊗K is a locally freeA^jK-module.

An idea behind the definition of the j-th tubular neighborhood is the fol- lowing description of the valued points. Let (A → A) be an object of EmbOK and j > 0 be a rational number. Let A^jK be the affinoid alge- bra defining the affinoid variety X^j(A → A) and let X^j(A → A)( ¯K) be the set of ¯K-valued points. Since a continuous homomorphism A^jK → K¯ is determined by the induced map A → OK¯, we have a natural injection X^j(A→A)( ¯K)→Homcont.OK-alg(A, OK¯). The surjectionA→Ainduces an injection

(1.8.0) HomOK-alg(A, OK¯) −−−−→ X^j(A→A)( ¯K).

For a rational numberj >0, let m^j denote the idealm^j={x∈K; ordx¯ ≥j}. We naturally identify the setHomOK-alg(A, OK¯/m^j) ofOK-algebra homomor-

phisms with a subset of the setHomcont.OK-alg(A, OK¯/m^j) of continuous OK- algebra homomorphisms.

Lemma 1.8 Let (A → A) be an object of EmbOK and j > 0 be a rational number. Then by the injection X^j(A → A)( ¯K) → Homcont.OK-alg(A, OK¯) above, the set X^j(A → A)( ¯K) is identified with the inverse image of the subset HomOK-alg(A, OK¯/m^j) by the projection Homcont.OK-alg(A, OK¯) → Homcont.OK-alg(A, OK¯/m^j). In other words, we have a cartesian diagram

(1.8.1)

X^j(A→A)( ¯K) −−−−→ Homcont.OK-alg(A, OK¯)



y y

HomOK-alg(A, OK¯/m^j) −−−−→ Homcont.OK-alg(A, OK¯/m^j).

The arrows are compatible with the naturalGK-action.

Proof. Let j = m/n. By the definition of A^m/n, a continuous morphism A→OK¯ is extended toA^jK →K, if and only if the image of¯ Iⁿ is contained in the ideal (π^m). Hence the assertion follows. 2 For an affinoid varietyX overK, letπ0(XK¯) denote the set lim

←−^K0/Kπ0(XK⁰) of geometric connected components, whereK⁰ runs over finite extensions ofK in ¯K. The setπ0(XK¯) is finite and carries a natural continuous right action of the absolute Galois groupGK. To get a left action, we letσ∈GK act onXK¯

byσ⁻¹. The natural map X^j(A→A)( ¯K)→π0(XK¯) is compatible with this left GK-action. LetGK-(Finite Sets) denote the category of finite sets with a continuous left action ofGK and let (Finite Flat/OK) be the category of finite flatOK-algebras. Then, for a rational numberj >0, we obtain a sequence of functors

(Finite Flat/OK) ←−−−− EmbOK

X^j

−−−−→

(smooth Affinoid/K) −−−−−−−−→^{X7→π0(XK¯)} GK-(Finite Sets).

We show that the compositionEmbOK →GK-(Finite Sets) induces a functor (Finite Flat/OK)→GK-(Finite Sets).

Lemma 1.9 Letj >0 be a positive rational number.

1. Let (A → A) be an embedding. Then, the map X^j(A → A)( ¯K) → HomOK-alg(A, OK¯/m^j) (1.8.1) induces a surjection

(1.9.1) HomOK-alg(A, OK¯/m^j) −−−−→ π0(X^j(A→A)K¯).

2. Let (A → A) and (A⁰ → A) be embeddings. Then, there exists a unique bijectionπ0(X^j(A→A)K¯)→π0(X^j(A⁰ →A)K¯) such that the diagram

(1.9.2)

HomOK-alg(A, OK¯/m^j) −−−−→ π0(X^j(A→A)K¯)

°°

° y

HomOK-alg(A, OK¯/m^j) −−−−→ π0(X^j(A⁰→A)K¯)

is commutative.

3. Let (f,f) : (A → A) → (B → B) be a morphism of EmbOK. Then, the induced map π0(X^j(B→B)K¯)→π0(X^j(A→A)K¯)depends only on f. 4. Let (f,f) : (A → OK) → (B → B) be a finite flat morphism of EmbOK. Then the map (1.8.0) induces a surjection

(1.9.3) HomOK-alg(B, OK¯) −−−−→ π0(X^j(B→B)K¯).

Proof. 1. The fibers of the map Homcont.OK-alg(A, OK¯) → Homcont.OK-alg(A, OK¯/m^j) are ¯K-valued points of polydisks. Hence the surjectionX^j(A→A)( ¯K)→Homcont.OK-alg(A, OK¯/m^j) induces a surjection Homcont.OK-alg(A, OK¯/m^j)→π0(X^j(A→A)K¯) by Lemma 1.8.

2. By 1 and Lemma 1.2.2, there exists a unique surjectionπ0(X^j(A→A)K¯)→ π0(X^j(A⁰ → A)K¯) such that the diagram (1.9.2) is commutative. Switching A→A andA⁰→A, we obtain the assertion.

3. In the commutative diagram

Homcont.OK-alg(B, OK¯/m^j) −−−−→ π0(X^j(B→B)K¯)

f^∗



y y

Homcont.OK-alg(A, OK¯/m^j) −−−−→ π0(X^j(A→A)K¯), the horizontal arrows are surjective by 1. Hence the assertion follows.

4. The mapf^j :X^j(B→B)→X^j(A→OK) is finite and flat by Lemma 1.6.

Let y : X^j(A →OK)( ¯K) be the point corresponding to the map A→ OK. Then the fiber (f^j)⁻¹(y) is identified with the set HomOK-alg(B, OK¯). Since X^j(A→OK)K¯ is isomorphic to a disk and is connected, the assertion follows.

2

For a rational number j >0 and a finite flatOK-algebraA, we put Ψ^j(A) = lim

(A→A)∈E←−mb_OK(A)

π0(X^j(A→A)K¯).

By Lemmas 1.2.1 and 1.9.2, the projective system in the right is constant.

Further by Lemma 1.9.3, we obtain a functor

Ψ^j : (Finite Flat/OK) −−−−→ GK-(Finite Sets)

sending a finite flat OK-algebra A to Ψ^j(A). Let Ψ : (Finite Flat/OK) → GK-(Finite Sets) be the functor defined by Ψ(A) =HomOK-alg(A,K). Then,¯ the map (1.9.1) induces a map Ψ→Ψ^j of functors.

1.3 Stable normalized integral models and their closed fibers We briefly recall the stable normalized integral model of an affinoid variety and its closed fiber (cf. [1] Section 4). It is based on the finiteness theorem of Grauert-Remmert.

Theorem 1.10 (Finiteness theorem of Grauert-Remmert, [1] Theorem 4.2) Let A be an OK-algebra topologically of finite type. Assume that the generic fiberA^K =A ⊗^OKK is geometrically reduced. Then,

1. There exists a finite separable extension K⁰ of K such that the geometric closed fiber A^OK0 ⊗^OK0 F¯ of the integral closure A^OK0 of A in A ⊗^OKK⁰ is reduced.

2. Assume further that A is flat over OK and that the geometric closed fiber A⊗^OKF¯ is reduced. LetK⁰be an extension of complete discrete valuation field over K and π⁰ be a prime element ofK⁰. Then theπ⁰-adic completion of the base change A ⊗^OKOK⁰ is integrally closed inA ⊗^OKK⁰.

LetAbe anOK-algebra topologically of finite type such thatA^K is smooth. If a finite separable extensionK⁰satisfies the condition in Theorem 1.10.1, we say that the integral closureA^OK0 ofAinA^K0 is a stable normalized integral model of the affinoid variety XK = Sp A^K and that the stable normalized integral model is defined overK⁰. The geometric closed fiber ¯X = SpecA^OK0⊗^OK0F¯of a stable normalized integral model is independent of the choice of an extension K⁰over which a stable normalized integral model is defined, by Theorem 1.10.2.

Hence, the scheme ¯X carries a natural continuous action of the absolute Galois group GK = Gal( ¯K/K) compatible with its action on ¯F.

The construction above defines a functor as follows. Let GK-(Aff/F¯) denote the category of affine schemes of finite type over ¯Fwith a semi-linear continuous action of the absolute Galois groupGK. More precisely, an object is an affine scheme Y over ¯F with an action ofGK compatible with the action ofGK on F¯ satisfying the following property: There exist a finite Galois extensionK⁰ ofK in ¯K, an affine schemeYK⁰ of finite type over the residue fieldF⁰ ofK⁰, an action of Gal(K⁰/K) onYK⁰ compatible with the action of Gal(K⁰/K) on F⁰ and a GK-equivariant isomorphism YK⁰ ⊗^F0F¯ →Y. Then Theorem 1.10 implies that the geometric closed fiber of a stable normalized integral model defines a functor

(smooth Affinoid/K)→GK-(Aff/F¯) :X7→X.¯

Corollary 1.11 LetAbe anOK-algebra topologically of finite type such that the generic fiber A^K is geometrically reduced as in Theorem 1.10. Let XK = Sp A^K be the affinoid variety and XF¯ be the geometric closed fiber of the stable normalized integral model. Then the natural map π0(XF¯)→π0(XK¯) is a bijection.

Proof. Replacing A by its image in A^K, we may assume A is flat over OK. LetK⁰ be a finite separable extension ofKin ¯K such that the stable normal- ized integral model A^OK0 is defined over K⁰. Then since A^OK0 is π-adically complete, the canonical maps π0(SpecA^OK0) → π0(Spec(A^OK0 ⊗^OK0 F⁰)) is bijective. Since the idempotents of A^K0 are in A^OK0, the canonical maps π0(SpecA^OK0)→π0(SpecA^K0) is also bijective. By taking the limit, we obtain

the assertion. 2

By Corollary 1.11, the functor (smooth Affinoid/K)→GK-(Finite Sets) send- ing a smooth affinoid variety X toπ0(XK¯) may be also regarded as the com- position of the functors

(smooth Affinoid/K) −−−−→^X7→X¯ GK-(Aff/F¯) −−−−→^π0 GK-(Finite Sets). Lemma 1.12 Letj >0be a positive rational number and(f,f) : (A→OK)→ (B → B) be a finite flat morphism of EmbOK. Let f^j : X^j(B → B) → X^j(A → OK) be the induced map and f¯^j : ¯X^j(B → B) → X¯^j(A → OK) be its reduction. Let y ∈ X^j(A → OK)( ¯K) be the point corresponding to A → A = OK → K¯ and y¯ ∈ X¯^j(A → OK) be its specialization. Then the surjections (f^j)⁻¹(y) =HomOK-alg(B, OK¯)→π0(X^j0(B→B)K¯) (1.9.3) and the specialization map(f^j)⁻¹(y)→( ¯f^j)⁻¹(¯y)induces a bijection

(1.12.1) lim

−→^j0>jπ0(X^j0(B→B)K¯) −−−−→ ( ¯f^j)⁻¹(¯y).

Proof. The map (f^j)⁻¹(y)→ π0(X^j0(B →B)K¯) is a surjection of finite sets by Lemma 1.9.4. Hence there exists a rational number j⁰ > j such that the surjection π0(X^j0(B → B)K¯) → lim

−→^j00>jπ0(X^j00(B → B)K¯) is a bijection.

Let K⁰ be a finite separable extension such that the surjection π0(X^j0(B → B)K¯) → π0(X^j0(B → B)K⁰) is a bijection and that the stable normalized integral modelsB^jOK0 ofX^j(B→B) is defined overK⁰. EnlargingK⁰further if necessary, we assume thate⁰jis an integer wheree⁰=eK⁰/Kis the ramification index. Then the integral modelA^jOK0 ofX^j(A→OK) is also defined overK⁰. If OK[[T1, . . . , Tn]] →A is an isomorphism such that the kernel of A→ OK

is generated by T1, . . . , Tn and π⁰ is a prime element of K⁰, it induces an isomorphism OK⁰hT1/π^0e0j, . . . , Tn/π^0e0ji → A^jO_K0. Let A^jO_K0 → OK⁰ be the map induced by A → OK and A^j_O

K0 be the formal completion respect to the surjection A^jOK0 → OK⁰. If OK[[T1, . . . , Tn]] → A is an isomorphism as above, it induces an isomorphism OK⁰[[T1/π^0e0j, . . . , Tn/π^0e0j]] → A^j_O

K0. We putB^j_O

K0 =B^jO_K0⊗_A^j_O

K0

A^j_O

K0. The ringB^j_O

K0 is finite overA^j_O

K0 sinceB^jO_K0

is finite over A^jOK0. Enlarging K⁰ further if necessary, we assume that the canonical map ( ¯f^j)⁻¹(¯y)→π0(SpecB^j_O

K0) is a bijection.

We show that the surjection π0(X^j0(B →B)K⁰)→π0(Spec B^j_O

K0) is a bijec- tion. For a rational number j⁰ > 0, let A^jK⁰ and B^jK⁰ denote the affinoid K- algebras definingX^j0(A→OK) and X^j0(B→B). We have BK^j0 =B⊗^AA^jK⁰. Since π0(X^j0(B→B)K¯)→lim

−→^j00>jπ0(X^j00(B→B)K¯) is a bijection, the in- jection B^jK¯⁰⁰ → B^jK¯⁰ induce a bijection of idempotents forj < j⁰⁰ < j⁰. Since π0(X^j0(B → B)K¯) → π0(X^j0(B → B)K⁰) is a bijection, the idempotents of B^jK¯⁰ are in B^jK⁰⁰. Hence, for j < j⁰⁰ < j⁰, the map BK^j000 → B^jK⁰⁰ induces a bi- jection of idempotents for j < j⁰⁰ < j⁰. Therefore, the map B^j_O

K0 → B^jK⁰⁰

induces a bijection of idempotents by [3] 7.3.6 Proposition. Thus, the map π0(X^j0(B→B)K⁰)→π0(SpecB^j_O

K0) is a bijection as required. 2 For later use in the proof of the commutativity in the logarithmic case, we give a more formal description of the functor (smooth Affinoid/K)→GK-(Aff/F¯) : X 7→ X. For this purpose, we introduce a category lim¯

−→^K0/K(Aff/F⁰) and an equivalence lim

−→^K0/K(Aff/F⁰) → GK-(Aff/F) of categories. More gener-¯ ally, we define a category lim

−→^K0/KV(K⁰) in the following setting. Suppose we are given a category V(K⁰) for each finite separable extension K⁰ of K and a functor f^∗ : V(K⁰⁰) → V(K⁰) for each morphism f : K⁰ → K⁰⁰ of finite separable extension of K satisfying (f ◦g)^∗ = g^∗ ◦f^∗ and id^∗_K0 = id_V(K⁰). In the application here, we will take V(K⁰) to be (Aff/F⁰) for the residue field F⁰. In Section 4, we will take V(K⁰) to be EmbO_K0. We say that a full subcategory C of the category (Ext/K) of finite separable extensions in K¯ is cofinal if C is non empty and a finite extension K⁰⁰ of an extension K⁰ in C is also in C. We define lim

−→^K0/KV(K⁰) to be the category whose ob- jects and morphisms are as follows. An object of lim

−→^K0/KV(K⁰) is a sys- tem ((XK⁰)K⁰∈ob(C),(ϕf)f:K⁰→K⁰⁰∈mor(C)) where C is some cofinal full sub- category of (Ext/K), XK⁰ is an object of V(K⁰) for each object K⁰ in C and ϕf : XK⁰⁰ → f^∗(XK⁰) is an isomorphism in V(K⁰⁰) for each morphism f :K⁰ →K⁰⁰inCsatisfyingϕ_f◦f⁰=f^∗(ϕf⁰)◦ϕf for morphismsf⁰ :K⁰→K⁰⁰ andf :K⁰⁰→K⁰⁰⁰ inC. For objectsX = ((XK⁰)K⁰∈ob(C),(ϕf)f:K⁰→K⁰⁰∈mor(C)) andY = ((YK⁰)K⁰∈ob(C⁰),(ψf)f:K⁰→K⁰⁰∈mor(C⁰)) of the category lim

−→^K0/KV(K⁰), a morphism g :X → Y is a system (gK⁰)K⁰∈ob(C⁰⁰), where C⁰⁰ is some cofinal full subcategory of C ∩ C⁰ andgK⁰ :XK⁰ →YK⁰ is a morphism inV(K⁰) such that the diagram

XK⁰⁰ gK0

−−−−→ YK⁰⁰ ϕf



y y^ψf f^∗XK⁰

gK00

−−−−→ f^∗YK⁰

is commutative for each morphismf :K⁰→K⁰⁰ inC⁰⁰.

Applying the general construction above, we define a category lim−→^K0/K(Aff/F⁰). An equivalence lim

−→^K0/K(Aff/F⁰) → GK-(Aff/F¯) of categories is defined as follows. Let X = ((XK⁰)K⁰∈ob(C), (f^∗)f:K⁰→K⁰⁰∈mor(C)) be an object of lim

−→^K0/K(Aff/F⁰). LetCK^¯ be the category of finite extensions of K in ¯K which are in C. Then, XK¯ = lim

←−^K0∈CK¯ XK⁰

is an affine scheme over ¯F and has a natural continuous semi-linear ac- tion of the Galois group GK. By sending X to XK¯, we obtain a functor lim−→^K0/K(Aff/F⁰)→GK-(Aff/F¯). We can easily verify that this functor gives an equivalence of categories.

The reduced geometic closed fiber defines a functor (smooth Affinoid/K) → lim−→^K0/K(Aff/F⁰) as follows. LetXbe a smooth affinoid variety overK. LetC^X

be the full subcategory of (Ext/K) consisting of finite extensionsK⁰such that a stable normalized integral modelA^OK0 is defined overK⁰. By Theorem 1.10.1, the subcategory C^X is cofinal. Further, by Theorem 1.10.2, the system ¯X = (Spec A^OK0 ⊗^OK0 F⁰)K⁰∈obCX defines an object of lim

−→^K0/K(Aff/F⁰). Thus, by sendingXto ¯X, we obtain a functor (smooth Affinoid/K)→lim

−→^K0/K(Aff/F¯⁰).

By taking the composition with the equivalence of categories, we recover the functor (smooth Affinoid/K)→GK-(Aff/F).¯

1.4 Twisted normal cones

Let (A→A) be an object inEmbOK andj >0 be a positive rational number.

We define ¯X^j(A→A) to be the geometric closed fiber of the stable normalized integral model of X^j(A → A). We will also define a twisted normal cone C¯^j(A → A) as a scheme over AF ,red¯ = (A⊗^OK F¯)red and a canonical map X¯^j(A→A)→C¯^j(A→A).

Let I be the kernel of the surjection A → A. Then the normal cone CA/A

of Spec A in Spec A is defined to be the spectrum of the graded A-algebra L∞

n=0Iⁿ/Iⁿ⁺¹. We say that a surjectionR→R⁰of Noetherian rings is regular if the immersion SpecR⁰ → SpecR is a regular immersion. If the surjection A → A is regular, the conormal sheaf NA/A = I/I² is locally free and the normal coneCA/Ais equal to the normal bundle, namely the covariant vector bundle over SpecAdefined by the locally freeA-moduleHomA(NA/A, A).

For a rational numberj, letm^jbe the fractional idealm^j={x∈OK¯; ord(x)≥ j} and putN^j=m^j⊗^OK^¯ F.¯

Definition 1.13 Let(A→A)be an object ofEmbOK andj >0be a rational number. We define the j-th twisted normal coneC¯^j(A→A)to be the reduced

part Ã

Spec M∞ n=0

(Iⁿ/Iⁿ⁺¹⊗^OKN^−jn)

!

red

of the spectrum of the A⊗^OKF¯-algebraL∞

n=0(Iⁿ/Iⁿ⁺¹⊗^OKN^−jn).

It is a reduced affine scheme over Spec AF ,red¯ non-canonically isomorphic to the reduced part of the base changeCA/A⊗^OKF. It has a natural continuous¯ semi-linear action of GK via N^−jn. The restriction to the wild inertia sub- group P is trivial and the GK-action induces an action of the tame quotient G^tame_K =GK/P. If the surjection A→A is regular, the scheme ¯C^j(A→A) is the covariant vector bundle over Spec AF ,red¯ defined by theAF ,red¯ -module (HomA(I/I², A)⊗^OKN^j)⊗A⊗_OKF¯AF ,red¯ .

A canonical map ¯X^j(A→A)→C¯^j(A→A) is defined as follows. LetK⁰be a finite separable extension ofK such that the stable normalized integral model A^jOK0 is defined over K⁰ and that the product jewith the ramification index