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Topological K-theory of affinoid and dagger algebras

Part II. The p-adic theory

6. Refined and secondary classes for algebraic bundles

7.1. Topological K-theory of affinoid and dagger algebras

Let (A,|.|) be an ultrametric Banach ring, i.e. a ringA together with a map

| . | : A → R≥0 such that |x| = 0 iff x = 0, |x| = | − x|, |xy| ≤ |x||y|

and |x +y| ≤ max{|x|,|y|}, and such that A is complete for the metric (x, y) 7→ |y−x|. For example, any K- or R-affinoid algebra with a chosen norm is an ultrametric Banach ring. In [KV71] Karoubi and Villamayor define topological K-groups Ktop−∗(A) for arbitrary Banach rings and sketch a par-ticular approach for ultrametric Banach rings (using convergent power series instead of absolutely converging power series, see below), studied further by Adina Calvo [Cal85]. For unitary Banach rings it may be formulated as follows:

(1)Since the dagger space associated with an affineK-scheme is not affinoid, I am not quite sure what the “right” definition of topologicalK-theory of aK-scheme is.

130 CHAPTER 7. RELATIVEK-THEORY AND REGULATORS

Define

Ap :=Ahx0, . . . , xpi/(X

i

xi−1), (7.1)

where

Ahx0, . . . , xpi={X

aνxν ∈A[[x0, . . . , xp]]| |aν|−−−−→|ν|→∞ 0}.

If φ : [p] → [q] is an increasing map, we define φ : Aq → Ap by xi 7→

P

j∈[p]:φ(j)=ixj. This is well defined, sinceAhx0, . . . , xpiis complete (w.r.t. the Gauß norm) and the target elements are power bounded [BGR84, Proposition 1.4.3/1], and gives a simplicial ring A.

Definition 7.1. — Thetopological K-groups of A are given by Ktop−i(A) :=πi(BGL(A)) =πi−1GL(A), i≥1.

Remarks 7.2. — (i) It is clear from the definition, that the topological K-groups of an ultrametric Banach ring do not depend on the particular norm chosen. In particular, the topologicalK-groups of anR- orK-affinoid algebra are well defined.

(ii) For any simplicial groupG, let ¯Gp:=Tp

i=1ker(∂i)⊆Gp. Then ( ¯Gp, ∂0)p≥0

is a chain complex of (non abelian) groups, whose homology groups are the homotopy groups of G. Symmetrically, one can also use the chain complex (Tp−1

i=0 ker(∂i), ∂p) (see e.g. [May67, Proposition 17.4]).

(iii) The ring A is additive contractible, i.e. the identity on A is homotopic to the zero map by a homotopy which is compatible with the abelian group structure ofA: The 1-simplex x0 ∈A1 corresponds to a mapfx0 : ∆[1]→A

such that fx0(0) = ∂1(x0) = 1, fx0(1) = ∂0(x0) = 0, where 0 := δ1 and 1 := δ0 ∈∆[1]0 = Hom([0],[1]) are the two vertices of ∆[1](2). The desired homotopy is then given by A ×∆[1] →A,(a, t) 7→ fx0(t)·a. In particular, the homotopy groupsπ(A) vanish. More generally the simplicial ring ofr×r matrices Matr(A) is additive contractible.

(2)For n 0 ∆[n] denotes the simplicial set Hom(. ,[n]) : ∆op Sets. Its geometric realisation is the standard simplex ∆nRn+1. For any simplicial setXthere is a natural isomorphism Hom(∆[n], X) =Xn(Yoneda lemma).

7.1. TOPOLOGICALK-THEORY OF AFFINOID AND DAGGER ALGEBRAS 131

(iv) We also need the following refinement of the last remark. Equip Ahx0, . . . , xpi with the Gauß norm and Ap with the residue semi-norm and denote it byk.k. It is easy to see, that for any φ: [p]→[q], the induced homomorphism φ : Aq → Ap is contractive, i.e. kφ(f)k ≤ kfk. Write A0p :={f ∈Ap| kfk ≤1}. It follows, thatA0 is a simplicial subring of A. The semi-norm on Matr(Ap) is defined to be the maximum of the semi-norms of the entries. Write Matr(Ap)00 := {g ∈ Matr(Ap)| kgk < 1}. Then Matr(A)00 is a simplicial subgroup of Matr(A), which is moreover an A0 -module.

Since x0 ∈ A01, the argument of the last remark shows, that Matr(A)00 is additive contractible, too.

The definition given above is not the one given by Karoubi–Villamayor and Calvo. Since the equivalence of both definitions is proved in the literature only in the case of discrete Banach rings, we give a proof here.

Proposition 7.3. — The topological K-groups defined above coincide with those defined by Karoubi-Villamayor and Calvo for i≥1.

Proof. — The agrument in the discrete case is due to Anderson [And73, Theo-rem 1.6]. First we recall Calvo’s definition. It is best, to work in the category of ultrametric Banach rings without unit. LetAbe such a ring. Then GLr(A) is by definition the group ofr×r-matrices invertible w.r.t. the formal group law (M, N)7→MN :=M N+M+N. IfAhas a unit, this is clearly equivalent to the usual definition via M 7→ M + 1. Denote by GL0r(A) the subgroup of GLr(A) generated by the topologically nilpotent matrices. Define GL(A) and GL0(A) as the usual colimits. ThenK−1(A) := GL(A)/GL0(A).

For any A as above, the path ringEA is the kernel ofp0 :Ahti →A, t 7→ 0, i.e. EA = tAhti, the loop ring ΩA is the kernel of p1 : EA → A, “t 7→ 1”, i.e.P

iaiti7→P

iai. These are again ultrametric Banach rings and the higher Karoubi–VillamayorK-groups are defined by

K−i(A) :=K−1(Ωi−1A).

132 CHAPTER 7. RELATIVEK-THEORY AND REGULATORS

A matrixM ∈GLr(A) is callednull-homotopic, if there existsMf∈GLr(EA), such thatp1(M) =f M. Two matricesM, N are calledhomotopic, ifMN−1is null-homotopic. Denote by GL0r(A) = im (p1 : GLr(EA)→GLr(A)) the group of null-homotopic matrices and let GL0(A) = colimrGL0r(A). It follows as in [KV71, Appendice 3] that GL0(A) = GL0(A) (the arguments given there and in the cited references for unitary rings also work in the non-unitary context). In other words, p1 : GL(EA) → GL(A) induces an isomorphism GL(EA)/GL(ΩA)∼= GL0(A).

Now let A be an unitary Banach ring and form the simplicial Banach ring A as in (7.1). Applying the above isomorphism to the simplicial Banach ring ΩiA, we get an isomorphism of simplicial groups

GL(EΩiA)/GL(Ωi+1A)∼= GL0(ΩiA), i≥0. (7.2) We claim, that GL(EΩiA) is contractible. In fact, the ring morphisms hj : EΩiAn =t(ΩiA)hti →EΩiAn+1, j= 0, . . . , n, given by the degeneracy sj on ΩiAn and by hj(t) = t(x0+· · ·+xj) define a simplicial homotopy between 0 and idEΩiA in the sense of [May67, §5]. Hence they induce a contracting homotopy of GL(EΩiA). By (7.2) we get isomorphisms

πn(GL0(ΩiA))−→= πn−1(GL(Ωi+1A)), i≥0, n≥1. (7.3) Next, by definition we have an isomorphism of simplicial groups

GL(ΩiA)/GL0(ΩiA) =K−1(ΩiA) (7.4) and we claim, that this last group is a constant simplicial group. Since An∼= Ahx0, . . . , xn−1i it suffices to show, that for any Banach ring A the inclusion A ,→ Ahxi induces an isomorphism on K−1. Since this inclusion is split by x 7→ 0, the induced map on K−1 is an injection. Now consider h : Ahxi → Ahxihti=Ahx, ti, x7→tx. Then p0◦h(x) = 0, p1◦h(x) =x. Hence, anyM ∈ GL(Ahxi) is homotopic toM(0)∈GL(A)⊆GL(Ahxi), the null-homotopy for M M(0)−1 being given byh(M)M(0)−1 ∈GL(EAhxi). It follows, that K−1(A)→K−1(Ahxi) is also surjective.

Hence we get from (7.4), that

πn(GL0(ΩiA))∼=πn(GL(ΩiA)), i≥0, n≥1.

7.1. TOPOLOGICALK-THEORY OF AFFINOID AND DAGGER ALGEBRAS 133

Combining this with (7.3), we get

πn(GL(A))∼=πn−1(GL(ΩA))∼=. . .∼=π0(GL(ΩnA)), n≥0.

Since the left hand side is Ktop−n−1(A) by definition, it suffices to show, that π0(GL(ΩnA)) = K−n−1(A) = K−1(ΩnA). We have isomorphisms A1 ∼= Ahxi, x0 7→ x, x1 7→ 1−x, and A0 ∼= A, x0 7→ 1, under which ∂0, ∂1 are given by p0:x7→0, p1:x7→1 respectively. Hence by remark 7.2(ii)

π0(GL(ΩnA)) = coker p1: ker p0: GL(ΩnAhxi)→GL(ΩnA)

→GL(ΩnA)

= coker(p1: GL(EΩnA)→GL(ΩnA))

= GL(ΩnA)/GL0(ΩnA) =K−1(ΩnA).

Now let R be a complete discrete valuation ring with maximal ideal (π), per-fect residue field R/(π) = k of characteristic p > 0 and field of fractions K of characteristic 0. We want to show, that the topological K-groups of affi-noid algebras may also be computed usingoverconvergent power series. More precisely: Define the R-dagger algebra Rn :=Rhx0, . . . , xni/(P

ixi−1) and similarly the K-dagger algebra Kn. As above, we get simplicial R- resp. K-dagger algebras R andK.

Definition 7.4. — LetA be anR-dagger algebra. We define the topological K-groups

Ktop−i(A) :=πi(BGL(A⊗RR)) =πi−1(GL(A⊗RR)), i≥1.

IfA is aK-dagger algebra, the definition is the same with R replaced by K.

Proposition 7.5. — Let Abe an R- orK-dagger algebra, and Aˆits comple-tion, an R- resp. K-affinoid algebra. Then

Ktop−n(A)∼=Ktop−n( ˆA), n≥1.

Remark 7.6. — In [Kar97] Karoubi states, that one can use “indefinitely in-tegrable power series” to define the topologicalK-theory of ultrametric Banach algebras and uses these for the construction of the relative Chern character.

The difference here is, that we do not use the full Banach algebra ˆA, but only the overconvergent partA of it.

134 CHAPTER 7. RELATIVEK-THEORY AND REGULATORS

Proof of the proposition. — The proof is the same forR- and K-dagger alge-bras and we restrict to the case ofR-dagger algebras. Choose a representation A=Rhyi/I and writeAn:=A⊗RRn =Rhy, x0, . . . , xni/(I,P

ixi−1).

The completion of A is given by ˆA = Rhyi/(I) and the ring ( ˆA)n appear-ing in the definition of the topological K-theory of A is given by ( ˆA)n = (Rhyi/(I))hx0, . . . , xni/(P

ixi−1) =Rhy, x0, . . . , xni/(I,P

ixi−1) =(A[n).

Since πn(GL(A)) = lim−→rπn(GLr(A)), it suffices to show, that for anyr ≥1 the natural map πn(GLr(A))→πn(GLr( ˆA)) is an isomorphism.

We begin with the surjectivity. A class in πn(GLr( ˆA)) is represented by a g ∈GLr( ˆAn) such that ∂ig= 1,i= 0, . . . , n. By lemma 7.7 below, there is a sequence of matricesgN ∈Matr(An) converging to g, where each gN satisfies

igN = 1,i= 0, . . . ,1. Since GLr( ˆAn)⊆Matr( ˆAn) is open,gN ∈GLr( ˆAn) for N large enough, and by lemma 7.8gN ∈GLr(An). We claim, that forN large enough, [gN] = [g] inπn(GLr( ˆA)), thus showing surjectivity.

We use remark 7.2(iv). Choose N large enough, so that gNg−1 − 1 ∈ Matr( ˆAn)00. Since Matr( ˆA)00 is contractible, there existsh∈Matr( ˆAn+1)00, such that ∂0(h) = gNg−1 −1, ∂i(h) = 0, i > 0. Since khk < 1, 1 +h ∈ GLr( ˆAn+1). Moreover, ∂0(1 +h) =gNg−1 and ∂i(1 +h) = 1 for i >0, hence [gNg−1] = [1] and [gN] = [g] as claimed.

Next we prove the injectivity. Thus let g ∈ GLr(An) with ∂i(g) = 1, i = 0, . . . , n, and assume that there exists h ∈ GLr( ˆAn+1), such that ∂0(h) = g,

i(h) = 1 ifi >0. As in remark 7.2(iii) π(Matr(A)) = 0. Hence there exists a matrix eh ∈ Matr(An+1) such that ∂0(eh) = g, ∂i(eh) = 1, i = 1, . . . , n+ 1.

Now we can apply lemma 7.7 toh−ehto obtain a sequence of matrices hN ∈ Matr(An+1) converging toh−ehand satisfying∂i(hN) = 0 fori= 0, . . . , n+ 1 and all N. Then hN +eh ∈ Matr(An+1) converges to h ∈ GLr( ˆAn+1), hence hN+eh∈GLr(An+1) forN large enough, again by the openness of GLR( ˆAn+1) and lemma 7.8. Moreover ∂0(hN +eh) = g, ∂i(hN +eh) = 1, i= 1, . . . , n+ 1, hence [g] = [1] in πn(GLr(A)).

Lemma 7.7. — We use the notations of the above proof. Let g ∈Matr( ˆAn) be such that ∂ig = 0, i= 0, . . . , n. There exists a sequence of matrices gN

7.1. TOPOLOGICALK-THEORY OF AFFINOID AND DAGGER ALGEBRAS 135

Matr(An), N ≥0, which converges to g in Matr( ˆAn) and satisfies ∂igN = 0, for i= 0, . . . , n and all N.

Proof. — As in remark 7.2(iii) π(Matr( ˆA)) = 0. Hence there exists h ∈ Matr( ˆAn+1), such that ∂0(h) =g,∂i(h) = 0, i >0.

We have an isomorphism ˆAn = Rhy, x1, . . . , xni/(I) given by x0 7→ 1 − P

i≥1xi, xi 7→xi, i >0, and similar ˆAn+1 =Rhy, x1, . . . , xn+1i/(I) . In terms of these isomorphisms ∂i, i > 0, is given by xj 7→ xj, if j < i, xi 7→ 0 and xj 7→xj−1, ifj > i.

Representh by a power series

˜h= X

ν∈Nn+10

aν(y)xν11· · ·xνn+1n+1 ∈Matr(Rhy, x1, . . . , xn+1i), whereaν(y)∈Matr(Rhyi). Leti >0. Since

i˜h= X

ν∈Nn+10 :νi=0

aν(y)xν11· · ·xνi−1i−1xνii+1· · ·xνnn+1

represents ∂ih = 0, aν(y) has entries in (I) ⊆Rhyi as soon as νi = 0 for one i, and we may assume without loss of generality, that aν(y) = 0 for those ν. Now let ˜hN ∈ Matr(R[y, x1, . . . , xn+1]) be the polynomial arising from ˜h by deleting all terms of total degree greater than N and denote by hN its image in Matr(An+1). By construction, we have∂i(˜hN) = 0, ifi > 0, and for N → ∞ the ˜hN converge to ˜h. Hence also ∂i(hN) = 0 for i > 0 and thehN converge to h in Matr( ˆAn+1). Now define gN := ∂0(hN) ∈ Matr(An). Then the gN converge to ∂0(h) = g, and ∂i(gN) = ∂i0(hN) = ∂0i+1(hN) = 0, i= 0, . . . , n.

Lemma 7.8. — Let g∈Matr(An) be a matrix, whose image in Matr( ˆAn) is invertible. Theng itself is invertible.

Proof. — EquipRhy, xiwith the Gauß norm andAn,Aˆn,Matr(An), etc., with the induced norms.

Let h ∈ GLr( ˆAn) be the inverse of g. Since An is dense in ˆAn, we may ap-proximate h by matriceshN ∈Matr(An). Then hN ·g −−−−→N→∞ 1 in Matr(An), and, for N large enough, k1−hNgk ≤ |π| (recall that π is a uniformizer

136 CHAPTER 7. RELATIVEK-THEORY AND REGULATORS

for R). Then we can represent 1−hNg by a matrix of power series fN in Matr(Rhy, xi), with kfNk ≤ |π|. Then fN = πfN0 , where fN0 is a matrix of power series with kfN0 k ≤ 1. Since Rhy, xi is weakly complete (cf. section 4.1), the series P

k=0πk(fN0 )k = P

k=0fNk converges in Matr(Rhy, xi) and defines an inverse of 1−fN. Hence its image eN in Matr(An) is an inverse of 1−(1−hNg) =hNg. Then eN ·hN is a left inverse ofg in Matr(An). By the same argument applied to 1−ghN,g also possesses a right inverse, hence is invertible in Matr(An).

Proposition 7.9. — LetAbe anR-affinoid orR-dagger algebra and assume, that A/πAis regular. Then

Ktop−n(A)∼=Kn(A/πA), n≥1.

Proof. — This follows from Calvo’s Proposition 2.1 [Cal85] and Gersten’s re-sult, that Karoubi–Villamayor theory for discrete noetherian regular rings coincides with Quillen’s K-theory [Ger73, Proposition 3.14]. In fact, similar methods as above show that πn−1(GL(A)) = πn−1(GL((A/πA))), where (A/πA)n = (A/πA)[x0, . . . , xn]/(P

xi −1), and the right hand side is the Karoubi–VillamayorK-group K−n(A/πA).

7.2. Relative K-theory

Let R be as before. Let X = Spec(A) be an affine R-scheme of finite type.

Let ˆA denote theπ-adic completion of A, anR-affinoid algebra, andA ⊆Aˆ the weak completion of A, an R-dagger algebra. We define the topological K-groups of X to be

Ktop−i(X) :=Ktop−i( ˆA) =Ktop−i(A) =πi(BGL(ARR)), i≥1.

Recall that Ki(X) =πi(|BGL(A)|+). Sinceπ1(BGL(ARR)) =Ktop−1( ˆA) is abelian, the natural morphism|BGL(A)| → |BGL(ARR)|factors up to homotopy uniquely through|BGL(A)| → |BGL(A)|+. We abbreviate the simplicial group GL(ARR) byG. As in the complex case (cf. section 3.2),

7.3. THE RELATIVE CHERN CHARACTER 137

we define the spaceFe and the simplicial setF by the pullback diagrams Fe

Let X = Spec(A) be a smooth affine R-scheme of finite type. Recall, that XˆK = Sp(ARK) denotes the generic fibre of the weak completion of X.

The relative cohomology groups Hrel (X/R, n) are defined as in the simplicial case (section 6.3).

We want to construct relative Chern character maps Chreln,i:Kirel(X)→Hrel2n−i−1(X/R, n).

This is done as in the complex case: First of all, define the simplicial set Fr

by the pullback diagram Sp(ARK). The matrixg is determined by a morphism ofR-algebras

R[xij, y]/(det(xij)y−1)→ARRp.

138 CHAPTER 7. RELATIVEK-THEORY AND REGULATORS

SinceARRp is anR-dagger algebra as well, this morphism extends uniquely to a morphism

Rhxij, yi/(det(xij)y−1)→ARRp

[MW68, Theorem 1.5], which in turn induces a morphism of dagger spaces Sp((ARRp)⊗RK)→Sp(Khxij, yi/(det(xij)y−1)),

that is,

K×∆p →(GLcr,R)K.

Hence the above diagram (7.5) gives rise to a morphism of simplicialR-schemes gr:X⊗Fr→BGLr,R,

together with a commutative diagram

E(GLcr,R)K

p

K⊗Fr

gr)K //

6v 6v 6vα6vr6v 6v 6v 6v 66

B(GLcr,R)K

of topological morphisms of dagger spaces. Thus we are exactly in the situation of section 6.3 and have relative Chern character classes

Chfreln (Tr, Er, αr/R)∈Hrel2n−1(X⊗Fr/R, n),(3)

where we denote by Tr the trivial GLr-bundle and by Er the algebraic GLr -bundle classified by gr. Similar as for the complex analogue one shows, that these classes are compatible for different r:

Lemma 7.11. — The classChfreln (Tr+1, Er+1, αr+1/R) is mapped to the class Chfreln (Tr, Er, αr/R) by the natural mapHrel2n−1(X⊗Fr+1/R, n)→Hrel2n−1(X⊗ Fr/R, n) induced by the inclusion j: GLr ,→GLr+1 in the upper left corner.

The other input we need for the definition of Chern character maps is

(3)Here we tacitly extended the definition of relative cohomology to the case of simplicial schemes of the formXS, which obviously does make sense.

7.3. THE RELATIVE CHERN CHARACTER 139

Lemma 7.12. — Let X be a smooth separatedR-scheme of finite type andS a simplicial set. Then we have natural isomorphisms

Hrelk (X⊗S/R, n)∼= M

p+q=k

Hom(Hp(S), Hrelq (X/R, n)).

Proof. — Choose a good compactification j : XK ,→ XK with complement D. This induces a good compactification j:XK⊗S ,→XK⊗S. Denote the natural morphisms ˆXK →XKand ˆXK⊗S→XK⊗Sbyι. Choose a complex Iof injective sheaves onXK representing Cone(Ω≥n

XK(logD)→Rjˆ

XK).

Thus Γ(XK, I) is a complex computing Hrel (X/R, n).

In an obvious way, I induces a complex of sheaves I⊗S on the simplicial schemeXK⊗S, which represents Cone(Ω≥n

XK⊗S(logD⊗S)→Rjˆ

XK⊗S), sinceRjˆ

XK⊗Scan be computed “degree-wise” [Del74, (5.2.5)]. Moreover, eachIq⊗Spis an injective sheaf onXK⊗Sp, and hence the relative cohomology Hrel (X⊗S/R, n) is just the cohomology of the total complex associated with the cosimplicial complex [p]7→Γ(XK⊗Sp, I⊗Sp) =Q

σ∈SpΓ(XK, I). Now the claim follows as in lemma 3.5.

Putting everything together, we can now define:

Definition. — LetX = Spec(A) be a smooth affineR-scheme of finite type.

The relative Chern character

Chreln,i:Kirel(X)→Hrel2n−i−1(X/R, n) is given by the composition

Kirel(X) =πi(Fe)−Hur.−−→Hi(F ,e Z)∼=Hi(F,Z) = lim−→rHi(Fr,Z) lim−→r

Chfreln (Tr,Err/R)

−−−−−−−−−−−−−−→Hrel2n−i−1(X/R, n).

Remark 7.13. — The construction of the relative Chern character for ul-trametric Banach algebras is also due to Karoubi [Kar83, Kar97]. Instead of overconvergent power series he uses indefinitely integrable power series and in contrast to our construction his relative Chern character takes values in the cohomology of the truncated de Rham complex of the rigid space Sp( ˆAK).

140 CHAPTER 7. RELATIVEK-THEORY AND REGULATORS

That is, he does not take logarithmic singularities or overconvergence into account.

7.4. The case X = Spec(R): Comparison with the p-adic Borel