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FAMILIES OF pADIC GALOIS REPRESENTATIONS AND
(, )MODULES
EUGEN HELLMANN
Abstract. We investigate the relation between padic Galois represen
tations and overconvergent (, )modules in families. Especially we
construct a natural open subspace of a family of (, )modules, over
which it is induced by a family of Galoisrepresentations.
1. Introduction
In [BC], Berger and Colmez generalized the theory of overconvergent (, )
modules to families parametrized by padic Banach algebras. More preceisely
their result gives a fully faithful functor from the category of vector bundles
with continuous Galois action on a rigid analytic variety to the category of
families of tale overconvergent (, )modules. This functor fails to be es
sentially surjective. However it was shown by Kedlaya and Liu in [KL] that
this functor can be inverted locally around rigid analytic points.
It was already pointed out in our previous paper [He1] that the right
category to handle these objects is the category of adic spaces (locally of
nite type over Q
p
) as introduced by Huber, see [Hu]. Using the language of
adic spaces, we show in this paper that given a family A of (, )modules
over the relative Robba ring B
X,rig
on an adic space X locally of nite
type over Q
p
(see below for the construction of the sheaf B
X,rig
), one can
construct natural open subspaces X
int
resp. X
adm
, where the family A is
tale resp. induced by a family of Galois representations.
Our main results are as follows. Let K be a nite extension of Q
p
and
write G
K
for its absolute Galois group. Further we x a cyclotomic extension
K
K(
p
n) of K and write = Gal(K
/K).
Theorem 1.1. Let X be a reduced adic space locally of nite type over Q
p
,
and let A be a family of (, )modules over the relative Robba ring B
X,rig
.
(i) There is a natural open subspace X
int
X such that the restriction of A
to X
int
is tale, i.e. locally on X
int
there is a family of tale lattices N A.
(ii) The formation (X, A) X
int
is compatible with base change in X, and
X = X
int
whenever the family A is tale.
1
2 E. HELLMANN
In the classical theory of overconvergent (, )modules, the slope ltration
theorem of Kedlaya, [Ke, Theorem 1.7.1] asserts that a module over the
Robba ring admits an tale lattice if and only if it is purely of slope zero.
The latter condition is a semistability condition which only involves the
slopes of the Frobenius. The question whether there is a generalization of
this result to padic families was rst considered by R. Liu in [Liu], where he
shows that an tale lattice exists locally around rigid analytic points. Here
we show that Kedlayas result does not generalize to families. That is, we
construct a family of modules which is tale at all rigid analytic points
but which is not tale as a family of (, )modules (in the sense specied
below).
On the other hand, we construct an admissible subset X
adm
X for a
family of (, )modules over X. This is the subset over which there exists
a family of Galois representations. It will be obvious that we always have an
inclusion X
adm
X
int
.
Theorem 1.2. Let X be a reduced adic space locally of nite type over Q
p
and A be a family of (, )modules over the relative Robba ring B
X,rig
.
(i) There is a natural open and partially proper subspace X
adm
X and a
family 1 of G
K
representations on X
adm
such that A[
X
adm is associated to
1 by the construction of BergerColmez.
(ii) The formation (X, A) (X
adm
, 1) is compatible with base change in
X, and X = X
adm
whenever the family A comes from a family of Galois
representations.
(iii) Let X be of nite type and let A be a formal model of X. Let Y X
be the tube of a closed point in the special ber of A. If Y X
int
, then
Y X
adm
.
In a forthcoming paper we will apply the theory developed in this article
to families of trianguline (, )modules and give an alternative construction
of Kisins nite slope space.
Acknowledgements: I thank R. Liu, T. Richarz, P. Scholze and M.
Rapoport for helpful conversations. The author was partially supported by
the SFB TR 45 of the DFG (German Research Foundation).
2. Sheaves of period rings
In this section we dene relative versions of the classical period rings used
in the theory of (, )modules and in padic Hodgetheory. Some of these
sheaves were already dened in [He1, 8].
Let K be a nite extension of Q
p
with ring of integers O
K
and residue
eld k. Fix an algebraic closure
K of K and write G
K
= Gal(
K/K) for
the absolute Galois group of K. As usual we choose a compatible system
FAMILIES OF pADIC GALOIS REPRESENTATIONS 3
n
K of p
n
th root of unity and write K
K(
n
). Let H
K
G
K
denote the absolute Galois group of K
/K). Finally
we denote by W = W(k) the ring of Witt vectors with coecients in k and
by K
0
= Frac W the maximal unramied extension of Q
p
inside K.
2.1. The classical period rings. We briey recall the denitions of the
period rings, as dened in [Be1] for example. Write
E
+
= lim
xx
p
O
Cp
/pO
Cp
.
This is a perfect ring of characteristic p which is complete for the valuation
val
E
given by val
E
(x
0
, x
1
, . . . ) = val
p
(x
0
). Let
E = Frac
E
+
=
E
+
[
1
],
where = (
1
,
2
, . . . )
E
+
. Further we dene
A
+
= W(
E
+
)
A = W(
E),
B
+
=
A
+
[1/p]
B =
A[1/p].
On all these ring we have an action of the Frobenius morphism which is
induced by the pth power map on
E. Further we consider the ring A
K
which is the padic completion of W((T)) and denote by B
K
= A
K
[1/p] its
rational analogue. We embed these rings into
B by mapping T to [] 1.
The morphism induces the endomorphism T (T +1)
p
1 on A
K
, resp.
B
K
. Further G
K
acts on A
K
through the quotient G
K
.
For r < s Z we dene
A
[r,s]
=
_
nZ
a
n
T
n
a
n
K
0
,
0 val
p
(a
n
p
n/r
) , n
0 val
p
(a
n
p
n/s
) , n
_
,
A
,r
=
_
nZ
[x
n
]p
n
x
n
E, 0 val
E
(x
n
) +
prn
p1
, n
_
,
B
,r
=
_
nZ
[x
n
]p
n
x
n
E, val
E
(x
n
) +
prn
p1
, n
_
.
The rings
A
,r
and
B
,r
are endowed with the valuation
w
r
:
p
k
[x
k
] inf
k
_
val
E
(x
k
) +
prk
p1
_
.
Using these denitions the usual period rings are dened as follows:
(2.1)
B
,s
rig
= Frechet completion of
B
,s
for the valuations w
s
, s
s,
= lim
B
,s
,
rig
= lim
B
,s
rig
.
4 E. HELLMANN
(2.2)
B
[r,s]
= A
[r,s]
[1/p], A
,r
= lim
A
[r,s]
,
B
,s
= B
K
B
,s
, B
,r
rig
= lim
B
[r,s]
,
A
= A
K
B
, B
= lim
B
,s
,
B
rig
= lim
B
,s
rig
.
Note that these denitions equip all rings with a canonical topology. There
is a canonical action of G
K
on all of these rings. This action is continuous
for the canonical topology. The H
K
invariants of
R for any of the rings in
(2.1) are given by the corresponding ring without a tilde R in (2.2), where
R is identied with a subring of
R by T [] 1. Hence there is a natural
continuous action on all the rings in (2.2). The Frobenius endomorhpism
of
B induces a ring homomorphisms
A
[r,s]
A
[pr,ps]
A
,s
A
,ps
,
for r, s 0 and in the limit endomorphisms of the rings
A
, B
, B
rig
,
B
,
B
rig
.
These homomorphisms will be denoted by and commute with the action
of , resp. G
K
.
Remark 2.1. Let us points out that some of the above rings have a geometric
interpretation. We write B for the closed unit disc over K
0
and U B for
the open unit disc. Then
A
[r,s]
= (B
[p
1/r
,p
1/s
]
, O
+
B
), B
[r,s]
= (B
[p
1/r
,p
1/s
]
, O
B
),
A
,s
= (U
p
1/s, O
+
U
), B
,s
rig
= (U
p
1/s, O
U
),
where B
[a,b]
B is the subspace of inner radius a and outer radius b and
U
a
U is the subspace of inner radius a.
2.2. Sheacation. Let X be an adic space locally of nite type over Q
p
.
Recall that X comes along with a sheaf O
+
X
O
X
of open and integrally
closed subrings.
Let A
+
be a reduced Z
p
algebra topologically of nite type. Recall that
for i 0 the completed tensor products
A
+
Zp
W
i
(
E
+
) and A
+
Zp
W
i
(
E)
are the completions of the ordinary tensor product for the topology that is
given by the discrete topology on A
+
/p
i
A
+
and by the natural topology on
W
i
(
E
+
) resp. W
i
(
Zp
E
+
,
(Spa(A, A
+
),
E
X
) = A
+
Zp
E,
(Spa(A, A
+
),
A
+
X
) = lim
i
A
+
Zp
W
i
(
E
+
),
(Spa(A, A
+
),
A
X
) = lim
i
A
+
Zp
W
i
(
E),
for an anoid open subset Spa(A, A
+
) X.
We dene the sheaf A
X,K
to be the padic completion of (O
+
X
Zp
W)((T)).
Further we set B
X,K
= A
X,K
[1/p].
Let A
+
be as above and A = A
+
[1/p]. We dene
A
+
Zp
A
[r,s]
and A
+
Zp
A
,s
to be the completion of the ordinary tensor product for the padic topology on
A
+
and the natural topology on A
[r,s]
resp.
A
,s
. These completed tensor
products can be viewed as subrings of (Spa(A, A
+
),
A
Spa(A,A
+
)
). For a
reduced adic space X locally of nite type over Q
p
, we dene the sheaves
A
[r,s]
X
and
A
,s
X
by demanding
(Spa(A, A
+
), A
[r,s]
X
) = A
+
Zp
A
[r,s]
,
(Spa(A, A
+
),
A
,s
X
) = A
+
Zp
A
,s
,
for an open anoid Spa(A, A
+
) X. Similarly we dene the sheaf
B
,s
X
.
Finally, as in the case above, we can use these sheaves to dene the sheaed
versions of (2.2) and (2.1).
(2.3)
B
,s
X,rig
= Frechet completion of
B
,s
X
for the valuations w
s
, s
s,
X
= lim
B
,s
X
,
X,rig
= lim
B
,s
X,rig
.
(2.4)
B
[r,s]
X
= A
[r,s]
X
[1/p], A
,r
X
= lim
A
[r,s]
X
,
B
,s
X
= B
X,K
B
,s
X
, B
,r
X,rig
= lim
B
[r,s]
X
,
A
X
= A
X,K
B
X
, B
X
= lim
B
,s
X
,
B
X,rig
= lim
B
,s
X,rig
.
Note that all the rational period rings (i.e. those period rings in which p is
inverted) can also be dened on a nonreduced space X by locally embedding
the space into a reduced space Y and restricting the corresponding period
sheaf from Y to X, compare [He1, 8.1].
6 E. HELLMANN
Remark 2.2. As in the absolute case there is a geometric interpretation of
some of these sheaves of period rings.
A
[r,s]
X
= pr
X,
_
O
+
XB
[p
1/r
,p
1/s
]
_
, B
[r,s]
X
= pr
X,
_
O
XB
[p
1/r
,p
1/s
]
_
,
A
,s
X
= pr
X,
_
O
+
XU
p
1/s
_
, B
,s
X,rig
= pr
X,
_
O
XU
p
1/s
_
.
Here pr
X
denotes the projection from the product to X. Especially we can
dene the sheaves A
[r,s]
X
, A
,s
X
and A
X
on every adic spaces, not only on
reduced spaces.
By construction all the sheaves
R
X
(i.e. those of the period sheaves with
a tilde) are endowed with a continuous O
X
linear G
K
action and an endo
morphism commuting with the Galois action. The sheaves R
X
(i.e. those
period rings without a tilde) are endowed with a continuous action and an
endomorphism commuting with the action of .
In the following we will use the notation X(
Q
p
) for the set of rigid analytic
points of an adic space X locally of nite type over Q
p
, i.e. X(
Q
p
) = x
X [ k(x)/Q
p
nite.
Proposition 2.3. Let X be a reduced adic space locally of nite type over
Q
p
and let R be any of the integral period rings (i.e. a period ring in which
p is not inverted) dened above. Let R
X
be the corresponding sheaf of period
rings on X.
(i) The canonical map
(X, R
X
)
xX(
Qp)
k(x)
+
Zp
R
is an injection.
(ii) Let R
X
R
X
and let f R
X
. Then f R
X
if and only if
f(x) k(x)
+
Zp
R
k(x)
+
R
for all rigid analytic points x X.
Proof. This is proven along the same lines as [He1, Lemma 8.2] and [He1,
Lemma 8.6].
Corollary 2.4. Let X be an adic space locally of nite type over Q
p
, then
_
B
X,rig
_
=id
= O
X
_
B
X,rig
_
H
K
= B
X,rig
,
_
B
X
_
=id
= O
X
_
B
X
_
H
K
= B
X
.
Proof. If the space is reduced this follows from the above by chasing through
the denitions. Otherwise we can locally on X choose a nite morphism to
a reduced space Y (namely a polydisc) and study the  resp. H
K
invariants
FAMILIES OF pADIC GALOIS REPRESENTATIONS 7
in the bers over the rigid analytic points of Y , compare [He1, Corollary 8.4,
Corollary 8.8]
Remark 2.5. Let X be an adic space locally of nite type and R be any of
the sheaves of topological rings dened above. If x X is a point then we
will sometimes write R
x
for the completion of the ber R k(x) of R at x
with respect to the canonical induced topology.
3. Coherent O
+
X
modules and lattices
As the notion of being tale is dened by using lattices we make precise
what we mean by (families of) lattices.
Let X be an adic space locally of nite type over Q
p
. The space X is
endowed with a structure sheaf O
X
and a sheaf of open and integrally closed
subrings O
+
X
O
X
consisting of the power bounded sections of O
X
. Recall
that for any ringed space, there is the notion of a coherent module, see
[EGA I, 5.3].
Denition 3.1. Let X be an adic space (locally of nite type over Q
p
) and
let E be a sheaf of O
+
X
modules on X.
(i) The O
+
X
module E is called of nite type or nitely generated, if there
exist an open covering X =
iI
U
i
and for all i I exact sequences
(O
+
U
i
)
d
i
E[
U
i
0.
(ii) The module is called coherent, if it is of nite type and for any open
subspace U X the kernel of any morphism (O
+
U
)
d
E[
U
is of nite type.
Remark 3.2. Let X be a reduced adic space locally of nite type over Q
p
.
Then locally on X the sections (X, O
X
) as well as (X, O
+
X
) are noetherian
rings. Hence the notion of a coherent O
+
X
module and the notion of an O
+
X

module of nite type coincide for these spaces. Especially, an O
+
X
module
which is locally associated with a module of nite type is coherent.
Remark 3.3. The same denition of course also applies to the sheaves of
period rings that we dened above.
Let X = Spa(A, A
+
) be an anoid adic space. Then any nitely gener
ated A
+
module M denes a coherent sheaf of O
+
X
modules E by the usual
procedure
(Spa(B, B
+
), E) = M
A
+ B
+
for an anoid open subspace Spa(B, B
+
) X.
On the other hand it is not true that all coherent O
+
X
modules on an
anoid space arise in that way, as shown by the following example. The
reason is that the cohomology H
1
(X, E) of coherent O
+
X
sheaves does not
necessarily vanish on anoid spaces.
8 E. HELLMANN
Example 3.4. Let X = Spa(Q
p
T, Z
p
T) be the closed unit disc. Let
U
1
= x X [ [x[ [p[
U
2
= x X [ [p[ [x[ 1.
Dene the O
+
X
sheaf E
1
O
X
by glueing O
+
U
1
and p
1
TO
+
U
2
over U
1
U
2
and E
2
O
X
by glueing O
+
U
1
and pT
1
O
U
2
. Then E
1
and E
2
are coherent
O
+
X
modules. We have
(X, E
1
) = (1, p
1
T)(X, O
+
X
),
(X, E
2
) = p(X, O
+
X
).
Especially E
2
is not generated by global sections. If A = 
1

2
=
P
1
Zp
A
1
Zp
is the canonical formal model of X = U
1
U
2
, then E
2
is dened by the
coherent O
X
sheaf which is trivial on the formal ane line and which is the
twisting sheaf O(1) on the formal projective line, while E
1
is dened by the
dual of the twisting sheaf O(1) on the formal projective line.
Let X be an adic space of nite type over Q
p
(especially X is quasi
compact) and E be a coherent O
+
X
module on X. As E is not necessarily
associated to an A
+
module on an anoid open Spa(A, A
+
) X, the sheaf
E does not necessarily have a model c over any formal model A of X: The
sheaf  (
ad
, E) does not dene E in the generic ber in general. How
ever there is a covering X =
U
i
of X by nitely many open anoids such
that E[
U
i
is the sheaf dened by the nitely generated (U
i
, O
+
X
)module
(U
i
, E). Hence there is a formal model A of X such that E is dened by
a coherent O
X
modules c. Namely A is a formal model on which one can
realize the covering X =
U
i
as a covering by open formal subschemes.
Let E be a coherent O
+
X
module on an adic space X and let x X. Let
m
x
O
X,x
denote the maximal ideal of function vanishing at x and write
m
+
x
= m
x
O
+
X,x
, i.e. O
+
X,x
/m
+
x
= k(x)
+
is the integral subring of k(x).
We write E k(x)
+
for the ber of E at x, that is for the quotient of the
O
+
X,x
module
E
x
= lim
Ux
(U, E)
by the ideal m
+
x
.
Let A be a formal model of X and c be a coherent O
X
module dening
E in the generic ber. Further let Spf k(x)
+
A denote the morphism
dening x in the generic ber. Then c k(x)
+
= E k(x)
+
. If we write
A
for the special ber of A and
c for the restriction of c to
A and if x
0
A
denotes the specialization of x, then it follows that
c k(x
0
) = (c k(x)
+
)
k(x)
+ k(x
0
) = (E k(x)
+
)
k(x)
+ k(x
0
).
Denition 3.5. Let E be a vector bundle of rank d on an adic space X,
locally of nite type over Q
p
. A lattice in E is a coherent O
+
X
submodule
FAMILIES OF pADIC GALOIS REPRESENTATIONS 9
E
+
E which is locally on X free of rank d and which generates E, i.e. the
inclusion induces an isomorphism
E
+
O
+
X
O
X
= E.
Lemma 3.6. Let X be an adic space of nite type over Q
p
and let E
+
be
a nitely generated O
+
X
submodule of O
d
X
which contains a lattice of O
d
X
.
Then E
+
is a lattice if and only if E
+
k(x)
+
is
x
torsion free for all rigid
points x X, where
x
k(x)
+
is a uniformizer.
Proof. As E
+
is nitely generated, it is in fact coherent. Choose a formal
model A and a coherent sheaf c
+
on A which is a model for E
+
. We may
assume that c
+
has no ppower torsion.
Let sp : X
A denote the specialization map to the reduced special ber
A of A. Further we write
c
+
for the restriction of c
+
to
A. Let x
0
A be
a closed point and let x X be a rigid analytic point (i.e. k(x) is a nite
extension of Q
p
) with sp(x) = x
0
. Then we have
c
+
k(x
0
) = (E
+
k(x)
+
)
k(x)
+ k(x
0
).
On the other hand, as E
+
k(x)
+
has no
x
torsion, the k(x)
+
module
E
+
k(x)
+
is a submodule of O
d
X
k(x) = k(x)
d
. Further it is nitely
generated and contains a basis of k(x)
d
. Hence it is freely generated by d
elements. It follows that
c
+
k(x
0
) has dimension d. As
A is reduced and
c
+
is a coherent sheaf it follows that it is a vector bundle. Locally on A we
can lift d generators of
c
+
to c
+
. By Nakayamas lemma these lifts generate
c
+
and hence they also generate the O
+
X
module E
+
. On the other hand
O
d
X
= E
+
[1/p] is free on d generators. Hence the generators of E
+
do not
satisfy any relations.
4. (, )modules over the relative Robba ring
In this section we dene certain families of modules that will appear in
the context of families of Galois representations later on. The main results
of this section are already contained in [He1, 6].
Denition 4.1. Let X be an adic space and R A
X,K
, A
X
.
An tale module over R is a coherent Rmodule N together with an
isomorphism
:
N N
Denition 4.2. Let X Ad
lft
Qp
and
R B
X,K
, B
X
, B
X,rig
.
10 E. HELLMANN
Write R
+
R for the corresponding integral subring
1
.
(i) A module over R is a locally free Rmodule N together with an iso
morphism :
N N.
(ii) A module over R is called tale if it is locally on X induced from a
locally free tale module over R
+
.
Recall that K
/K)
denotes the Galois group of K
over K.
Denition 4.3. Let X Ad
lft
Qp
and R be any of the sheaves of rings dened
above.
(i) A (, )module over R is a module over R together with a continuous
semilinear action of commuting with the semilinear endomorphism .
(ii) A (, )module over R is called tale if its underlying module is tale.
4.1. The tale locus. If X is an adic space (locally of nite type over Q
p
)
and x X is any point, we will write
x
: x X for the inclusion of x.
If R is any of the sheaf of topological rings above and if A is a sheaf of
R
X
modules on X, we write
x
A =
1
x
A
R
X
R
x
for the pullback of A to the point x. The following result is a generalization
of [KL, Theorem 7.4] to the category of adic spaces.
Theorem 4.4. Let X be a reduced adic space locally of nite type over Q
p
and A be a family of (, )modules over B
X,rig
.
(i) The set
X
int
= x X [
x
A is tale X
is open.
(ii) There exists a covering X
int
=
U
i
and locally free tale A
U
i
modules
N
i
A[
U
i
which are stable under such that
N
i
U
i
B
U
i
,rig
= A[
U
i
,
i.e. A[
X
int is tale.
Proof. This is [He1, Corollary 6.11]. In loc. cit. we use a dierent Frobenius
. However the proof works verbatim in the case considered here.
Theorem 4.5. Let f : X Y be a morphism of reduced adic spaces locally
of nite type over Q
p
. Let N
Y
be a family of (, )modules over B
Y,rig
and
write N
X
for its pullback over B
X,rig
. Then f
1
(Y
int
) = X
int
Proof. This is [He1, Proposition 6.14]. Again the same proof applies with
the Frobenius considered here.
1
The integral subring of B
X,rig
is A
X
.
FAMILIES OF pADIC GALOIS REPRESENTATIONS 11
4.2. Existence of tale submodules. For later applications to Galois rep
resentations the existence of an tale lattice locally on X will not be sucient.
We cannot hope that the tale lattices glue together to a global tale lattice
on the space X. However we have a replacement which will be sucient for
applications.
Convention: Let X be areduced adic space locally of nite type over Q
p
and let (A, ) be an tale module over B
X,rig
and (
A,
) be an (tale)
module over B
X,K
. We say that (
A,
) is induced from (A, ) if there
exists a covering X =
U
i
and tale A
U
i
lattices N
i
A[
U
i
such that
(
A,
)[
U
i
=
_
(N
i
, )
_
[
1
p
].
Note the every tale module over B
X,rig
gives rise to a unique module
over B
X,K
, as an tale A
X
lattice is unique up to pisogeny.
Proposition 4.6. Let X be a reduced adic space of nite type and (
A,
) be
a module over B
X,K
which is induced from an tale module (A, ) over
B
X,rig
. Then there exists an tale submodule
N
A over A
X,K
such that
the inclusion induces an isomorphism after inverting p.
Proposition 4.7. Let X be an reduced adic space of nite type over Q
p
.
Let A be a locally free B
,r
X,rig
module, then there exists a coherent A
,r
X

submodule N A which (locally on X) contains a basis of A.
Proof. Let X =
m
i=1
U
i
be a nite covering such that A[
U
i
is free and write
V
i
=
i
j=1
U
j
. As obviously there exists an A
,r
U
i
lattice in A[
U
i
it is enough
to show that there is an extension of such a module from V
i
to V
i+1
. This
reduces the claim to the following lemma.
Lemma 4.8. Let X = Spa(A, A
+
) be a reduced anoid adic space and
U X an quasicompact open subset. Let N
U
be a nitely generated A
,r
U

submodule of (B
,r
U,rig
)
d
which contains a basis. Then there exists a coherent
A
,r
X
module N
X
(B
,r
X,rig
)
d
such that N
X
contains a basis and such that
N
X
[
U
= N
U
.
Proof. Let N
, N
(B
,r
X,rig
)
d
be A
,r
X
lattices such that N
[
U
N
U
N
[
U
. After localizing we may assume that N
is free. Denote by j : U X
the open embedding of U. We dene
N
X
by
N
X
= ker(N
(j id)
(N
U
/N
U
)).
This is easily seen to be a coherent sheaf on X U
p
1/r . We dene N
X
by
X V (V U
p
1/r ,
N
X
).
12 E. HELLMANN
It is obvious that N
N
X
N
and hence N
X
contains a basis of (B
,r
X,rig
)
d
.
It remains to check that this sheaf is coherent. Let U =
U
i
be a nite
covering by open anoids such that N
U
is associated to a nitely generated
(U
i
, A
,r
X
)module. Choose a covering X =
V
j
by open anoids such that
V
j
U U
i
j
for some index i
j
. Then N
X
is associated to the (V
j
, A
,r
X
)
module
ker
_
(V
j
, N
) (U
i
j
, N
U
/N
U
)
(U
i
j
,A
,r
X
)
(V
j
U, A
,r
X
)
_
.
Especially N
X
is quasicoherent. Finally N
X
is coherent as the sections of
A
,r
X
are locally on X noetherian rings, and N
X
N
.
Proof of Proposition 4.6. As X is quasicompact, we can choose a locally
free model (A
r
,
r
) of (A, ) over B
,r
X,rig
for some r 0. After enlarging
r if necessary, we can assume that there exists a nite covering X =
U
i
and tale lattices M
i
A
r
[
U
i
. By Proposition 4.7, there exist coherent
A
,r
X
modules
M
1
N
0
M
2
A such that
M
1
[
U
i
N
0
[
U
i
M
i
M
2
[
U
i
.
Let A
r
i
denote the restriction of A
r
to B
r
i
X,rig
, where we write r
i
= p
i
r.
Then we inductively dene coherent A
,r
i
X
modules N
i
A
r
i
by setting
N
i+1
= N
i
A
,r
i
X
A
,r
i+1
X
+ (
N
i
).
By assumption, we always have
M
1
[
U
i
A
,r
U
i
A
,r
j
U
i
N
j
[
U
i
M
i
A
,r
U
i
A
,r
j
U
i
M
2
[
U
i
A
,r
U
i
A
,r
j
U
i
.
Viewing N
i
as coherent sheaves on X U
p
1/r
i
, we now dene an A
X

submodule N A, by setting
N =
_
lim
iN
pr
i,
N
i
_
A
X
,
where pr
i
: X U
p
1/r
i
X is the projection to the rst factor. By
construction, this module satises
(
N) N,
M
1
A
,r
X
A
X
N
M
2
A
,r
X
A
X
.
We then take
N to be the completion of N with respect to the padic topol
ogy. If the module we started with is associated to a nitely generated
module over an anoid open U X, then the construction implies that
N
is also associated with a (U, A
X,K
)module which is contained in the nitely
genrated module (U,
M
2
A
X,K
) and hence has to be nitely generated
FAMILIES OF pADIC GALOIS REPRESENTATIONS 13
itself. It follows that
N is coherent, as claimed. Further the construction
implies that
N is a submodule of
A and
N)
N,
N
A
X,K
B
X,K
=
A.
We need to show that
(
N) =
N. To do so, we can work locally on X and
hence assume that
N is contained in an tale A
X,K
lattice
M
A. Further
is is enough to assume that X = Spa(A, A
+
) is anoid and we need to show
that for all maximal ideals m A
+
we have
(4.1)
(
N) k
m
=
N k
m
,
where k
m
= A
+
/m denotes the residue eld at m.
For a rigid analytic point x X, the ber
N k(x)
+
is a nitely generated
module over the ring A
X,K
k(x)
+
which is (a product of) complete discrete
valuation rings. Write
_
N k(x)
+
_
torsfree
N k(x)
+
for the submodule which is
x
torsion free. This submodule has to be free
and
_
N k(x)
+
_
torsfree
[
1
p
] = (
M k(x)
+
)[
1
p
] =
A.
It follows from Lemma 4.9 below that
_
N k(x)
+
_
torsfree
is an tale 
module, i.e.
is surjective. We reduce the inclusion
:
N
N modulo
m and obtain a morphism
N
N.
Assume there exists 0 ,=
f ker
. Then there exists a rigid point x X
such that m
+
x
m and a lift f of
f in the torsionfree part of
N k(x)
+
such that f /
x
(
N k(x)
+
), as
N is Z
p
at. It follows that
(f)
X
(
Nk(x)
+
) and hence f
x
(
Nk(x)
+
), as
induces an isomorphism
_
N k(x)
+
_
torsfree
_
N k(x)
+
_
torsfree
.
We have shown that ker
= 0 and hence
is injective modulo all maximal
ideals. By comparing dimension, we nd that (4.1) holds true for all maximal
ideals m A
+
, and hence
induces an isomorphism on
N.
Lemma 4.9. Let F be a nite extension of Q
p
and (
N,
) be a free tale
module over A
F,K
. Let
N
1
N be a nitely generated submodule such that
N
1
[1/p] =
N[1/p] and
(
N
1
)
N
1
. Then (
N
1
,
) is an tale module,
i.e.
N
1
) =
N
1
.
Proof. As A
F,K
is (a product of) discrete valuation rings, it is clear that
N
1
is free on d generators, where d is the A
F,K
rank of
N. Let b
1
, . . . , b
d
be a
basis of
N and e
1
, . . . , e
d
be a basis of
N
1
. Let A denote the change of basis
14 E. HELLMANN
matrix from b to e and denote by Mat
b
(
) resp. Mat
e
(
) the matrix of
in
the basis b resp. e of
N[1/p] =
N
1
[1/p]. Then our assumptions imply that
Mat
e
(
) Mat
dd
(A
F,K
).
On the other hand
Mat
e
(
) = A
1
Mat
b
(
)(A)
and hence det Mat
e
(
) A
F,K
, as
N is tale and
val
p
(det A) = val
p
(det (A)).
: Rep
X
G
K
tale (, )modules over B
X
,
which maps a family 1 of G
K
representations on X to the tale (, )module
D
(1) =
_
1
O
X
X
_
H
K
.
More precisely they construct this functor if X is a reduced anoid adic
space of nite type. As the functor D
X
module it follows that we can consider D
rig
: 1
_
1
O
X
X,rig
_
H
K
= D
(1)
B
X
B
X,rig
.
Note that for an adic space X of nite type over Q
p
, the (, )module
D
X
, for s 0. Especially an
tale lattice can be dened over A
,s
X
for s 0.
FAMILIES OF pADIC GALOIS REPRESENTATIONS 15
5.1. The admissible locus. It is known that the functors D
and D
rig
are
not essentially surjective. In [KL], Kedlaya and Liu construct a local inverse
to this functor. More precisely, they show that if A is a family of (, )
modules over B
X,rig
, then every rigid analytic point at which A is tale has
an anoid neighborhood on which the family A is the image of a family of
G
K
representations. However we need to extend this result to the setup of
adic spaces in order to dene a natural subspace over which such a family A
is induced by a family of G
K
representations.
Theorem 5.2. Let X be a reduced adic space locally of nite type over Q
p
and let A be a family of (, )modules of rank d over B
X,rig
.
(i) The subset
X
adm
=
_
x X [ dim
k(x)
_
(A
B
X,rig
X,rig
) k(x)
_
=id
= d
_
is open.
(ii) There exists a family of G
K
representations 1 on X
adm
such that there
is a canonical and functorial isomorphism
D
rig
(1)
= A[
X
adm.
(iii) Let 1 be a family G
K
representations on X such that D
rig
(1) = A.
Then X
adm
= X.
Let A be a complete topological Q
p
algebra and let A
+
A be a ring of
integral elements. Assume that the completed tensor products A
+
and
A
rig
are dened
2
. In this case the following approximation Lemma of
Kedlaya and Liu applies.
Lemma 5.3. Let
A be a free (, )module over A
rig
such that there
exists a basis on which acts via id +B with
B pMat
dd
(A
+
).
Then
A
=id
is free of rank d as an Amodule.
Proof. This is [KL, Theorem 5.2].
Corollary 5.4. Let X be an adic space locally of nite type over Q
p
and
A
be a family of (, )modules over
B
X,rig
. Let x in X, then
dim
k(x)
(
x
A)
=id
= d dim
k(x)
_
(A
B
X,rig
X,rig
) k(x)
_
=id
= d.
Proof. The proof is the same as the proof of [He1, Proposition 8.20 (i)].
2
The examples we consider here, are (X, OX) for an anoid adic space of nite type
and the completions of k(x) for a point x X. In the latter case the completed tensor
product is the completion of the ber of
A
resp.
B
rig
at the point x.
16 E. HELLMANN
Proof of Theorem 5.2. Let x X
adm
and denote by Z the Zariskiclosure
of x, that is, the subspace dened by the ideal of all functions vanishing at
x. This is an adic space locally of nite type. Let U Z be a anoid
neighborhood of x in Z such that a basis of the invariants extends to U.
It follows from Lemma 5.3 that
1
U
=
_
A[
Z
B
Z,rig
U,rig
_
=id
is free of rank d over O
U
. On this sheaf we have the diagonal G
K
action
given by the natural action on
B
U,rig
and the action on A. It is a direct
consequence of the construction that
D
rig
(1
U
) = A[
U
.
Especially we have shown that X
adm
X
int
.
Now let x X
adm
and let U denote a neighborhood of x to which we can
lift a basis of invariants. As A is known to be tale, we can shrink U such
that we are in the situation of Lemma 5.3.
It follows that X
adm
is open and that
_
A
B
X,rig
X,rig
_
=id
gives a vector bundle 1 on X
adm
. Again, we have the diagonal action of G
K
.
As above we nd that
D
rig
(1) = A[
X
adm
X
int .
Finally (iii) is obvious by the construction of [BC].
Theorem 5.5. Let f : X Y be a morphism of adic spaces locally of nite
type over Q
p
with Y reduced. Further let A
Y
be a family of (, )modules
over B
Y,rig
and write A
X
for the pullback of A
Y
to X. Then f
1
(Y
adm
) =
X
adm
and f
1
Y
= 1
X
on X
adm
.
Proof. Using the discussion above, the proof is the same as the proof of [He1,
Proposition 8.22].
Proposition 5.6. Let X be a reduced adic space locally of nite type over
Q
p
and let A be a family of (, )modules over B
X,rig
. Then the inclusion
f : X
adm
X
is open and partially proper.
Proof. We have already shown that f is open. Especially it is quasiseparated
and hence we may apply the valuative criterion for partial properness, see
[Hu, 1.3]. Let (x, A) be a valuation ring of X with x X
adm
and let y X
be a center of (A, x). We need to show that y X
adm
. As y is a specialization
FAMILIES OF pADIC GALOIS REPRESENTATIONS 17
of x, the inclusion i : k(y) k(x) identies k(y) with a dense subeld of
k(x). Especially
A
y
:= A
B
k(y),rig
k(y),rig
A
B
k(x),rig
k(x),rig
=:
A
x
is dense. Let e
1
, . . . , e
d
be a basis of
A
x
on which acts as the identity. We
may approximate this basis by a basis of
A
y
. Thus we can choose a basis of
A
y
on which acts by id +A with
A Mat
dd
(
B
k(y),rig
)
sucently small. For example we can choose
A p Mat
dd
(
A
k(y)
).
By Lemma 5.3 and Corollary 5.4 it follows that y X
adm
.
5.2. Existence of Galois representations. In this section we link defor
mations of Galois representations and deformations of tale modules.
In the following (R, m) will denote a complete local noetherian ring, topo
logically of nite type over Z
p
. As above we have the notion of an tale
module over
R
Zp
A
K
= lim
_
(R/m
n
)
Zp
A
K
_
.
A Galois representation with coecients in R (or a family of Galois rep
resentations on Spf R) is a continuous representation
G GL
d
(R),
where G is the absolute Galois group of some eld L. The relation between
Galois representations and tale modules with coecients in local rings
was rst considered by Dee, see [Dee, 2].
Theorem 5.7. Let X be a reduced adic space of nite type over Q
p
and and
let (A, ) be a family of tale modules over B
X,rig
. Let x
0
A be a closed
point in the special ber of some formal model Aof X and let Y X denote
the tube of x
0
. Then (A, )[
Y
is associated to a family of H
K
representations
on the open subspace Y .
Proof. It follows from Proposition 4.6 that there exist an tale module
N over A
X,K
such that
N
A as modules and such that
N contains
a basis of
A. Here
A is the B
X,K
module induced from A. Choose an
ane neighborhood  = Spf(A
+
) of x
0
and write U for its generic ber. We
write m A
+
for the maximal ideal dening x
0
and write R for the madic
completion of A
+
. Then Y is the generic ber of Spf R. Write N = (U,
N),
then this is a nitely generated (U, A
X,K
)module on which
induces a
semilinear isomorphism. Especially
N = N
A
+R is a nitely generated
tale module over (Y, A
X,K
) = R
Zp
A
K
. Hence, by [Dee], there is a
18 E. HELLMANN
nitely generated Rmodule E with continuous H
K
action associated with
N. Then
Y V E
R
(V, O
X
)
denes the desired family of Galois representations
3
on Y .
Corollary 5.8. Let X be a reduced adic space locally of nite type over Q
p
and A be a family of tale (, )modules on X. Let x
0
A be a closed
point in the special ber of some formal model A of X and let Y X denote
the tube of x
0
. Then A[
Y
is associated to a family of G
K
representations on
the open subspace Y .
Proof. By the above theorem it follows that Y = Y
adm
. The claim follows
from Theorem 5.2.
Conjecture 5.9. The claim of the theorem (and the corollary) also holds
true if we replace x
0
by a (locally) closed subscheme of the special ber over
which there exists a Galois representation that is locally associated with the
reduction of an tale lattice.
5.3. Local constancy of the reduction modulo p. Let L be a nite
extension of Q
p
with ring of integers O
L
, uniformizer
L
and residue eld
k
L
. Let V be a ddimensional Lvector space with a continuous action of
a compact group G. We choose a Gstable O
L
lattice V and write
= /
L
for the reduction modulo the maximal ideal of O
L
. Then
ss
(i.e.
the direct sum of its JordanHlder constituents) is independent of and
hence only depends on the representation V . In the following we will write
Q
p
/Q
p
) in a weaker sense:
Berger showed that every rigid analytic point has a neighborhood on which
the reduction is constant, see [Be2].
Let X be an adic space locally of nite type over Q
p
and E a vector bundle
on X endowed with a continuous Gaction. If x X, then we write
_
E k(x)
_
=
_
E k(x)
_
ss
3
Note that we do not claim that locally on Y the integral representation E is associated
with an tale lattice in (N, ). This is only true up to pisogeny.
4
This seems to be a well known fact, ay least in the context of pseudocharacters. As
we do not want to assume p > d here, we give a dierent proof
FAMILIES OF pADIC GALOIS REPRESENTATIONS 19
for the semisimplication of the Grepresentation in the special ber k(x) =
k(x)
+
/(
x
) of k(x).
We rst claim that (up to semisimplication) there are no nontrivial fam
ilies of representations of a nite group on varieties over F
p
.
Proposition 5.10. Let H be a nite group. Let X be a connected F
p
scheme
of nite type and c a vector bundle on X endowed with an Haction. Then
there is a semisimple Hrepresentation E on a nite dimensional
F
p
vector
space such that for all x X there is an isomorphism of Hrepresentations
_
(c k(x))
k(x)
F
p
_
ss
= E.
Proof. For h H consider the morphism
f
h
: x charpoly
_
h[c k(x)
_
k(x)
d
,
mapping x X to the coecients of the characteristic polynomial of h
acting on c k(x), where d is the rank of c. This gives a morphism of
schemes X A
d
. As there are only nitely many isomorphism classes of
semisimple Hrepresentations of xed rank (there are only nitely many
irreducible representations), this map has nite image and hence it has to
be constant, as X is connected. It follows that for all h H we have the
equality
charpoly(h[c k(x)) = charpoly(h[c k(y))
for all x, y X. Then [CR, Theorem 30.16] implies the claim.
Lemma 5.11. Let X be an adic space locally of nite type and E be a vector
bundle on X endowed with a continuous action of a compact group G. Then
locally on X there exists a Gstable O
+
X
lattice E
+
E.
Proof. We may assume that E
= O
d
X
is trivial and hence there is a lattice
E
+
1
= (O
+
X
)
d
E. As G is compact the entries of the matrices of g G act
ing on the standard basis have a common bound. Hence the O
+
X
submodule
E
+
E which is generated by the Gtranslates of E
+
1
is contained in p
N
E
+
1
for some large integer N. Especially it is coherent. We need to show that it
is a lattice, and hence by Lemma 3.6 we only need to show that the stalks
are torsion free. But if e
1
, . . . , e
d
are generators of (k(x)
+
)
d
= E
+
1
k(x)
+
,
then the translates of e
1
, . . . , e
d
under the action of G generate the stalk
E
+
k(x)
+
. It follows that the stalks are torsion free.
Corollary 5.12. Let X be an adic space locally of nite type and let E be a
vector bundle on X endowed with a continuous action of a compact group G.
Then the semisimplication of the reduction E k(x) is locally constant.
Proof. As the statement is local on X, we may assume that X is quasi
compact and admits a Gstable O
+
X
lattice E
+
E. Let A be a Z
p
at
formal model of X such that there exists a model c
+
of E
+
on A. Then
20 E. HELLMANN
c
+
denes a continuous Grepresentations on the special ber
c
+
which is
a vector bundle on the special ber
A of A. As G is compact and the
representations is continuous, the representation on
c
+
has to factor over
some nite quotient H of G. Now the claim follows from Proposition 5.10,
as X is connected if and only if A is connected.
6. A remark on slope filtrations
In this section we give an explicit example of a family (A, ) of modules
over the relative Robba ring which is not tale, but tale at all rigid analytic
points (and hence (A, ) is purely of slope zero). For this section we use
dierent notations. Let K be a totally ramied quadratic extension of Q
p
.
Fix a uniformizer O
K
and a compatible system
n
K of p
n
th roots
of . Let us write K
K(
n
) and G
K
= Gal(
K/K
X,rig
and B
[0,1)
X
= pr
X,
O
XU
.
We consider the following family (D, , T
) of ltered modules on
X = P
1
K
P
1
K
.
Let D = O
2
X
= O
X
e
1
O
X
e
2
and = diag(
1
,
2
), where
1
and
2
are
the zeros of E(u). We consider a ltration T
of D
K
= D
Qp
K such that
T
0
= D
K
and T
2
= 0. Fix an isomorphism D
Qp
K
= O
2
X
O
2
X
and let
the ltration step T
1
be the universal subspace on X. This is a family of
ltered modules in the sense of [He1]. One easily computes that
X
wa
= X(0, 0), (, ),
where X
wa
X is the weakly admissible locus dened in [He1, 4.2]. Gen
eralizing a construction of Kisin [Ki] the family (D, , T
) denes a family
(/, ) consisting of a vector bundle on X
wa
U and an injection :
/
/ such that E(u) coker = 0 (see [He1, Theorem 5.4]).
We dene the family (A, ) over B
R
X
wa as
(6.1) (A, ) = (/, )
B
[0,1)
X
wa
B
R
X
wa.
This is obviously a family of modules over the Robba ring which is tale
at all rigid analytic points.
Proposition 6.1. The family (A, ) over B
R
X
wa dened in (6.1) is not tale.
Lemma 6.2. There exists a covering X
wa
=
U
i
, where each U
i
is a closed
disc or a closed annulus. Further there exists x
i
in the special ber of the
canonical formal model of U
i
such that X
wa
=
V
i
, where V
i
U
i
is the
tube of x
i
.
FAMILIES OF pADIC GALOIS REPRESENTATIONS 21
Proof. We can cover the weakly admissible set X
wa
= X
1
X
2
X
3
X
4
,
where
X
1
=
_
(P
1
) (P
1
)
_
(0, 0)
= A
2
0,
X
2
= (P
1
) (P
1
0)
= A
2
,
X
3
= (P
1
0) (P
1
)
= A
2
,
X
4
=
_
(P
1
0) (P
1
0)
_
(, )
= A
2
0.
Then obviously each of the X
i
can be covered by open subsets of the form
U
= x A
2
[ [[x[[ s for some s > 0,
U
= x = (x
1
, x
2
) A
2
[ [x
i
[ s
2
, s
1
[x
1
[ for some 0 < s
1
s
2
,
U
= x = (x
1
, x
2
) A
2
[ [x
i
[ s
2
, s
1
[x
2
[ for some 0 < s
1
s
2
,
with s, s
1
, s
2
p
Q
.
Choose a covering U
i
of X
wa
, where each U
i
is of the form described above,
and let 
i
be the canonical formal model of U
i
with special ber A
2
resp.
A
1
(A
1
A
1
). Here the two ane lines A
1
A
1
are glued together along
the zero section. Let V
i
U
i
be the tube of the zero section. Then the V
i
also cover X
wa
.
Claim: If the family (A, ) over X
wa
dened by (6.1) was tale, then
there would exist a family of crystalline G
K
representations c on X
wa
such
that
D
cris
(c) = (D, , T
).
Proof of claim. Assume that the family (A, ) is tale. By Theorem 5.7
5
there exists a family of G
K
representations on each of the V
i
which gives
rise to the restriction of / B
R
X
to V
i
. Hence, by [He1, Theorem 8.25],
there exists a family of crystalline G
K
representations on each of the V
i
giving rise to the restriction of our family of ltered isocrystals to V
i
. By the
construction in [He1] this family is naturally contained in D
O
V
i
(O
V
i
B
cris
)
and in fact identied with
Fil
0
_
D
O
V
i
(O
V
i
B
cris
)
_
=id
.
Further the space X
wa
can be covered by the V
i
. It follows that we can
glue these families of crystalline representations to a family c of crystalline
G
K
representations on X
wa
such that D
cris
(c) = (D, , T
).
Proof of Proposition 6.1. Assume by way of contradiction that the family
(A, ) is tale. By the above claim there exists a family of G
K
representations
c on X
wa
such that V
cris
(D k(x)) = c k(x) for all x X.
5
Strictly speaking Theorem 5.7 does not apply here, as we use a slightly dierent kind of
Frobenius in [He1]. However the proof of the theorem works verbatim with the Frobenius
used in loc. cit.
22 E. HELLMANN
Now the space X
wa
contains Kvalued points x
1
, x
2
and x
3
such that
(/, ) k(x
1
)
=
_
O
2
U
K
,
_
0 E(u)
1
1
+
2
__
(/, ) k(x
2
)
=
_
O
2
U
K
,
_
0 (u
1
)
(u
2
)
1
+
2
__
(/, ) k(x
3
)
=
_
O
2
U
K
,
_
(u
1
) 0
0 (u
2
)
__
.
The semisimplications of the reduction modulo of these modules are
(M, ) k(x
1
)
=
_
F
p
[[u]]
2
,
_
0 u
2
1 0
__
,
(M, ) k(x
2
)
=
_
F
p
[[u]]
2
,
_
0 u
u 0
__
,
(M, ) k(x
3
)
=
_
F
p
[[u]]
2
,
_
u 0
0 u
__
.
Using Carusos classication [Ca, Corollary 8] of those modules we nd
that they are all nonisomorphic. After inverting u these modules corre
spond (up to twist) under Fontaines equivalence of categories to the restric
tion to G
K
of the reduction modulo of the constructed Galois represen
tations c k(x
i
). By [Br, Theorem 3.4.3] this restriction is fully faithful and
hence we nd that
c k(x
i
) ,
= c k(x
j
)
as G
K
representations for i ,= j.
However, by Proposition 5.12, we know that the reduction modulo p of the
G
K
representation on the bers of the family c has to be constant. This is
a contradiction, and hence the family (A, ) is not tale.
Remark 6.3. This situation seems to be typical for the weakly admissible
locus in the bers over some xed Frobenius . If we x the Frobenius (or
even its semisimplication) then the main result of [He2] shows that the
weakly admissible locus X
wa
is a Zariski open subset of some ag variety
X. It should be possible to cover X
wa
by open subspaces U
i
such that there
exists formal models 
i
and (locally) closed subschemes Z
i

i
such that
the tubes V
i
U
i
of Z
i
also cover X
wa
. If Conjecture 5.9 holds true, then the
same argument as in this section shows that the weakly admissible family is
not tale unless all residual representations are isomorphic.
This result also claries the relation between certain subspaces of a stack
of ltered modules considered in [He1]. In loc. cit. we construct three
open substacks of the stack D of ltered modules
D
adm
D
int
D
wa
D.
FAMILIES OF pADIC GALOIS REPRESENTATIONS 23
The stack D
wa
parametrizes those families of ltered modules which are
weakly admissible, while the stack D
int
parametrizes those ltered modules
such that the associated family of modules on the open unit disc admits
an tale lattice after restriction to the (relative) Robba ring. Finally D
adm
is
the maximal (open) subspace over which there exists a family of crystalline
Galois representations giving rise to the restriction of the universal family of
ltered modules. In [He1], the stacks D
int
and D
adm
are only constructed
in the case of HodgeTate weights in 0, 1.
As already stressed in [He1], the inclusion D
adm
D
int
is strict, as is
already shown by the family of unramied characters for example. The
above example shows that the inclusion D
int
D
wa
is strict as well.
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