Foundations of Algebraic Geometry
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star walkerFoundations of Algebraic Geometry
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star walkerTHE RISING SEA
Foundations of Algebraic Geometry
[Link]
April 1, 2023 draft
⃝
c 2010–2023 by Ravi Vakil.
Note to reader: the index and formatting have yet to be properly dealt with. There
remain many issues still to be dealt with in the main part of the notes (including many
of your corrections and suggestions).
Contents
Preface 11
0.1. For the reader 12
0.2. For the expert 16
0.3. Background and conventions 17
0.4. ⋆⋆ The goals of this book 19
Part I. Preliminaries 21
Chapter 1. Just enough category theory to be dangerous 23
1.1. Motivation 23
1.2. Categories and functors 25
1.3. Universal properties determine an object up to unique isomorphism 31
1.4. Limits and colimits 40
1.5. Adjoints 45
1.6. An introduction to abelian categories 48
1.7. ⋆ Spectral sequences 59
Chapter 2. Sheaves 69
2.1. Motivating example: The sheaf of smooth functions 69
2.2. Definition of sheaf and presheaf 71
2.3. Morphisms of presheaves and sheaves 76
2.4. Properties determined at the level of stalks, and sheafification 80
2.5. Recovering sheaves from a “sheaf on a base” 84
2.6. Sheaves of abelian groups, and OX -modules, form abelian categories 87
2.7. The inverse image sheaf 90
Part II. Schemes 95
Chapter 3. Toward affine schemes: the underlying set, and topological space 97
3.1. Toward schemes 97
3.2. The underlying set of an affine scheme 99
3.3. Visualizing schemes: Generic points 111
3.4. The underlying topological space of an affine scheme 113
3.5. A base of the Zariski topology on Spec A: Distinguished open sets 116
3.6. Topological (and Noetherian) properties 117
3.7. The function I(·), taking subsets of Spec A to ideals of A 125
Chapter 4. The structure sheaf, and the definition of schemes in general 129
4.1. The structure sheaf of an affine scheme 129
4.2. Visualizing schemes: Nilpotents 133
3
4.3. Definition of schemes 137
4.4. Three examples 140
4.5. Projective schemes, and the Proj construction 146
Chapter 5. Some properties of schemes 155
5.1. Topological properties 155
5.2. Reducedness and integrality 157
5.3. The Affine Covering Lemma, and properties of schemes that can be
checked “affine-locally” 159
5.4. Normality and factoriality 163
Chapter 6. Rings are to modules as schemes are to ... 169
6.1. Quasicoherent sheaves 169
6.2. Characterizing quasicoherence using the distinguished affine base 172
6.3. Quasicoherent sheaves form an abelian category 176
6.4. Finite type quasicoherent, finitely presented, and coherent sheaves 177
6.5. Algebraic aside: The Jordan-Hölder Theorem 180
6.6. Visualizing schemes: Associated points and zerodivisors 184
6.7. ⋆⋆ Coherent modules over non-Noetherian rings 195
Part III. Morphisms of schemes 199
Chapter 7. Morphisms of schemes 201
7.1. Introduction 201
7.2. Morphisms of ringed spaces 202
7.3. From locally ringed spaces to morphisms of schemes 204
7.4. Maps of graded rings and maps of projective schemes 212
7.5. Rational maps from reduced schemes 214
7.6. ⋆ Representable functors and group schemes 220
7.7. ⋆⋆ The Grassmannian: First construction 225
Chapter 8. Useful classes of morphisms of schemes 227
8.1. “Reasonable” classes of morphisms (such as open embeddings) 227
8.2. Algebraic interlude: Lying Over and Nakayama 229
8.3. A gazillion finiteness conditions on morphisms 234
8.4. Images of morphisms: Chevalley’s Theorem and elimination theory 243
Chapter 9. Closed embeddings and related notions 251
9.1. Closed embeddings and closed subschemes 251
9.2. Locally closed embeddings and locally closed subschemes 254
9.3. Important examples from projective geometry 256
9.4. The (closed sub)scheme-theoretic image 263
9.5. Slicing by effective Cartier divisors, regular sequences and regular
embeddings 267
Chapter 10. Fibered products of schemes, and base change 273
10.1. They exist 273
10.2. Computing fibered products in practice 279
10.3. Interpretations: Pulling back families, and fibers of morphisms 282
10.4. Properties preserved by base change 288
10.5. ⋆ Properties not preserved by base change, and how to fix them 290
10.6. Products of projective schemes: The Segre embedding 299
10.7. Normalization 301
Chapter 11. Separated and proper morphisms, and (finally!) varieties 307
11.1. Motivation 307
11.2. Fun with diagonal morphisms, and quasiseparatedness made easy 308
11.3. Separatedness, and varieties 310
11.4. The locus where two morphisms from X to Y agree, and the
“Rational-to-Separated” Theorem 317
11.5. Proper morphisms 321
Part IV. “Geometric” properties of schemes 327
Chapter 12. Dimension 329
12.1. Dimension and codimension 329
12.2. Dimension, transcendence degree, and Noether normalization 334
12.3. Codimension one miracles: Krull and Hartogs 342
12.4. Dimensions of fibers of morphisms of varieties 351
Chapter 13. Regularity and smoothness 357
13.1. The Zariski tangent space 357
13.2. Regularity, and smoothness over a field 363
13.3. Examples 369
13.4. Bertini’s Theorem 372
13.5. Another (co)dimension one miracle: Discrete valuation rings 375
13.6. Smooth (and étale) morphisms: First definition 380
13.7. ⋆ Valuative criteria for separatedness and properness 384
13.8. ⋆ More sophisticated facts about regular local rings 388
13.9. ⋆ Filtered rings and modules, and the Artin-Rees Lemma 390
Part V. Quasicoherent sheaves on schemes, and their uses 393
Chapter 14. More on quasicoherent and coherent sheaves 395
14.1. Introduction 395
14.2. Vector bundles “=” locally free sheaves 395
14.3. More pleasant properties of finite type and coherent sheaves 404
14.4. Pushforwards of quasicoherent sheaves 409
14.5. Pullbacks of quasicoherent sheaves 410
14.6. The quasicoherent sheaf corresponding to a graded module 417
Chapter 15. Line bundles, maps to projective space, and divisors 419
15.1. Some line bundles on projective space 419
15.2. Line bundles and maps to projective space 423
15.3. The Curve-to-Projective Extension Theorem 431
15.4. Line bundles and Weil divisors 433
15.5. Effective Cartier divisors “=” invertible ideal sheaves 443
15.6. The graded module corresponding to a quasicoherent sheaf 445
Chapter 16. Maps to projective space, and properties of line bundles 449
16.1. Globally generated quasicoherent sheaves 449
16.2. Ample and very ample line bundles 451
16.3. Applications to curves 457
16.4. ⋆ The Grassmannian as a moduli space 462
Chapter 17. Projective morphisms, and relative versions of Spec and Proj 467
17.1. Relative Spec of a (quasicoherent) sheaf of algebras 467
17.2. Relative Proj of a (quasicoherent) sheaf of graded algebras 470
17.3. Projective morphisms 474
Chapter 18. Čech cohomology of quasicoherent sheaves 481
18.1. (Desired) properties of cohomology 481
18.2. Definitions and proofs of key properties 486
18.3. Cohomology of line bundles on projective space 492
18.4. Riemann-Roch, and arithmetic genus 495
18.5. A first glimpse of Serre duality 501
18.6. Hilbert functions, Hilbert polynomials, and genus 505
18.7. Higher pushforward (or direct image) sheaves 511
18.8. ⋆ Serre’s cohomological characterization of ampleness 515
18.9. ⋆ From projective to proper hypotheses: Chow’s Lemma and
Grothendieck’s Coherence Theorem 518
Chapter 19. Application: Curves 523
19.1. A criterion for a morphism to be a closed embedding 523
19.2. A series of crucial tools 526
19.3. Curves of genus 0 528
19.4. Classical geometry arising from curves of positive genus 530
19.5. Hyperelliptic curves 532
19.6. Curves of genus 2 536
19.7. Curves of genus 3 537
19.8. Curves of genus 4 and 5 540
19.9. Curves of genus 1 542
19.10. Elliptic curves are group varieties 550
19.11. Counterexamples and pathologies using elliptic curves 557
Chapter 20. Application: A glimpse of intersection theory 561
20.1. Intersecting n line bundles with an n-dimensional variety 561
20.2. Intersection theory on a surface 566
20.3. The Grothendieck group of coherent sheaves, and an algebraic
version of homology 572
20.4. ⋆⋆ The Nakai-Moishezon and Kleiman criteria for ampleness 574
Chapter 21. Differentials 579
21.1. Motivation and game plan 579
21.2. Definitions and first properties 580
21.3. Smoothness of varieties revisited 593
21.4. Examples 596
21.5. Understanding smooth varieties using their cotangent bundles 601
21.6. Unramified morphisms 606
21.7. The Riemann-Hurwitz Formula 607
Chapter 22. ⋆ Blowing up 615
22.1. Motivating example: Blowing up the origin in the plane 615
22.2. Blowing up, by universal property 617
22.3. The blow-up exists, and is projective 622
22.4. Examples and computations 627
Part VI. More cohomological tools 637
Chapter 23. Derived functors 639
23.1. The Tor functors 639
23.2. Derived functors in general 643
23.3. Derived functors and spectral sequences 647
23.4. Derived functor cohomology of O-modules 652
23.5. Čech cohomology and derived functor cohomology agree 655
Chapter 24. Flatness 663
24.1. Introduction 663
24.2. Easier facts 665
24.3. Flatness through Tor 670
24.4. Ideal-theoretic criteria for flatness 672
24.5. Topological aspects of flatness 679
24.6. Local criteria for flatness 684
24.7. Flatness implies constant Euler characteristic 688
Chapter 25. Smooth and étale morphisms, and flatness 693
25.1. Some motivation 693
25.2. Different characterizations of smooth and étale morphisms 695
25.3. Generic smoothness and the Kleiman-Bertini Theorem 701
Chapter 26. Cohomology and base change theorems 705
26.1. Statements and applications 705
26.2. ⋆ Proofs of cohomology and base change theorems 711
26.3. Applying cohomology and base change to moduli problems 717
Chapter 27. Twenty-seven lines 723
27.1. Introduction 723
27.2. Preliminary facts 724
27.3. Every smooth cubic surface (over k) contains 27 lines 726
27.4. Every smooth cubic surface (over k) is a blown up plane 730
Chapter 28. Depth and Cohen-Macaulayness 733
28.1. Depth 733
28.2. Cohen-Macaulay rings and schemes 736
28.3. ⋆ Serre’s R1 + S2 criterion for normality 739
Chapter 29. Power series and the Theorem on Formal Functions 745
29.1. Introduction 745
29.2. Algebraic preliminaries 745
29.3. Types of singularities 749
29.4. The Theorem on Formal Functions 752
29.5. Zariski’s Connectedness Lemma and Stein Factorization 754
29.6. Zariski’s Main Theorem 757
29.7. Castelnuovo’s Criterion for contracting (−1)-curves 761
29.8. ⋆⋆ Proof of the Theorem on Formal Functions 29.4.2 765
Chapter 30. ⋆ Proof of Serre duality 769
30.1. Introduction 769
30.2. Ext groups and Ext sheaves for O-modules 774
30.3. Serre duality for projective k-schemes 778
30.4. The adjunction formula for the dualizing sheaf, and ωX = KX 783
Bibliography 789
Index 795
April 1, 2023 draft 9
Je pourrais illustrer la ... approche, en gardant l’image de la noix qu’il s’agit d’ouvrir.
La première parabole qui m’est venue à l’esprit tantôt, c’est qu’on plonge la noix dans
un liquide émollient, de l’eau simplement pourquoi pas, de temps en temps on frotte pour
qu’elle pénètre mieux, pour le reste on laisse faire le temps. La coque s’assouplit au fil des
semaines et des mois — quand le temps est mûr, une pression de la main suffit, la coque
s’ouvre comme celle d’un avocat mûr à point! . . .
L’image qui m’était venue il y a quelques semaines était différente encore, la chose
inconnue qu’il s’agit de connaı̂tre m’apparaissait comme quelque étendue de terre ou de
marnes compactes, réticente à se laisser pénétrer. ... La mer s’avance insensiblement et
sans bruit, rien ne semble se casser rien ne bouge l’eau est si loin on l’entend à peine...
Pourtant elle finit par entourer la substance rétive...
I can illustrate the ... approach with the ... image of a nut to be opened. The first
analogy that came to my mind is of immersing the nut in some softening liquid, and why
not simply water? From time to time you rub so the liquid penetrates better, and otherwise
you let time pass. The shell becomes more flexible through weeks and months — when the
time is ripe, hand pressure is enough, the shell opens like a perfectly ripened avocado! . . .
A different image came to me a few weeks ago. The unknown thing to be known
appeared to me as some stretch of earth or hard marl, resisting penetration ... the sea
advances insensibly in silence, nothing seems to happen, nothing moves, the water is so
far off you hardly hear it ... yet finally it surrounds the resistant substance.
— A. Grothendieck [Gr6, p. 552-3], translation by C. McLarty [Mc, p. 1]
Preface
This book is intended to give a serious and reasonably complete introduction
to algebraic geometry, not just for (future) experts in the field. The exposition
serves a narrow set of goals (see §0.4), and necessarily takes a particular point of
view on the subject.
It has now been many decades since David Mumford wrote that algebraic
geometry “seems to have acquired the reputation of being esoteric, exclusive, and
very abstract, with adherents who are secretly plotting to take over all the rest of
mathematics! In one respect this last point is accurate ...” ([Mu4, preface] and
[Mu7, p. 227]). The revolution has now fully come to pass, and has fundamentally
changed how we think about many fields of pure mathematics. A remarkable
number of celebrated advances rely in some way on the insights and ideas first
articulated by Alexander Grothendieck, Jean-Pierre Serre, and others.
For a number of reasons, algebraic geometry has earned a reputation of being
inaccessible. The power of the subject comes from rather abstract heavy machin-
ery, and it is easy to lose sight of the intuitive nature of the objects and methods.
Many in nearby fields have only a vague sense of the fundamental ideas of the
subject. Algebraic geometry itself has fractured into many parts, and even within
algebraic geometry, new researchers are often unaware of the basic ideas in sub-
fields removed from their own.
But there is another more optimistic perspective to be taken. The ideas that al-
low algebraic geometry to connect several parts of mathematics are fundamental,
and well-motivated. Many people in nearby fields would find it useful to develop
a working knowledge of the foundations of the subject, and not just at a super-
ficial level. Within algebraic geometry itself, there is a canon (at least for those
approaching the subject from this particular direction), that everyone in the field
can and should be familiar with. The rough edges of scheme theory have been
sanded down over the past half century, although there remains an inescapable
need to understand the subject on its own terms.
0.0.1. The importance of exercises. This book has a lot of exercises. I have found
that unless I have some problems I can think through, ideas don’t get fixed in my
mind. Some exercises are trivial — some experts find this offensive, but I find
this desirable. A very few necessary ones may be hard, but the reader should have
been given the background to deal with them — they are not just an excuse to push
hard material out of the text. The exercises are interspersed with the exposition,
not left to the end. Most have been extensively field-tested. The point of view here
is one I explored with Kedlaya and Poonen in [KPV], a book that was ostensibly
about problems, but secretly a case for how one should learn and do and think
about mathematics. Most people learn by doing, rather than just passively reading.
11
12 The Rising Sea: Foundations of Algebraic Geometry
Judiciously chosen problems can be the best way of guiding the learner toward
enlightenment.
0.0.2. Structure. You will quickly notice that everything is numbered by chapter
and section, and everything is numbered the same way after that (for ease of refer-
ence), except exercises are indicated by letters (and are sprinkled throughout the
text, rather than at the end of sections). Individual paragraphs often get numbers
for ease of reference, or to indicate a new topic. Definitions are in bold, and are
sometimes given in passing.
0.0.3. Acknowledgments.
This one is going to be really hard, so I’ll mostly write this later. Mike Stay
is the author of Jokes 1.3.12 and 21.5.2. The phrase “The Rising Sea” is due to
Grothendieck [Gr6, p. 552-3], with this particular translation by McLarty [Mc, p. 1],
and popularized as the title of Daniel Murfet’s excellent blog [Mur].
0.1 For the reader
This is your last chance. After this, there is no turning back. You take the blue pill,
the story ends, you wake up in your bed and believe whatever you want to believe. You
take the red pill, you stay in Wonderland and I show you how deep the rabbit-hole goes.
— Morpheus
The contents of this book are intended to be a collection of communal wisdom,
necessarily distilled through an imperfect filter. I wish to say a few words on how
you might use it, although it is not clear to me if you should or will follow this
advice.
Before discussing details, I want to say clearly at the outset: the wonderful
machine of modern algebraic geometry was created to understand basic and naive
questions about geometry (broadly construed). The purpose of this book is to
give you a thorough foundation in these powerful ideas. Do not be seduced by the
lotus-eaters into infatuation with untethered abstraction. Hold tight to your geometric
motivation as you learn the formal structures which have proved to be so effective
in studying fundamental questions. When introduced to a new idea, always ask
why you should care. Do not expect an answer right away, but demand an answer
eventually. Try at least to apply any new abstraction to some concrete example
you can understand well.
Understanding algebraic geometry is often thought to be hard because it con-
sists of large complicated pieces of machinery. In fact the opposite is true; to switch
metaphors, rather than being narrow and deep, algebraic geometry is shallow but
extremely broad. It is built out of a large number of very small parts, in keeping
with Grothendieck’s vision of mathematics. It is a challenge to hold the entire
organic structure, with its messy interconnections, in your head.
A reasonable place to start is with the idea of “affine complex varieties”: sub-
sets of Cn cut out by some polynomial equations. Your geometric intuition can im-
mediately come into play — you may already have some ideas or questions about
dimension, or smoothness, or solutions over subfields such as R or Q. Wiser heads
April 1, 2023 draft 13
would counsel spending time understanding complex varieties in some detail be-
fore learning about schemes. Instead, I encourage you to learn about schemes
immediately, learning about affine complex varieties as the central (but not exclu-
sive) example. This is not ideal, but can save time, and is surprisingly workable.
An alternative is to learn about varieties elsewhere, and then come back later.
The intuition for schemes can be built on the intuition for affine complex vari-
eties. Allen Knutson and Terry Tao have pointed out that this involves three differ-
ent simultaneous generalizations, which can be interpreted as three large themes
in mathematics. (i) We allow nilpotents in the ring of functions, which is basically
analysis (looking at near-solutions of equations instead of exact solutions). (ii) We
glue these affine schemes together, which is what we do in differential geometry
(looking at manifolds instead of coordinate patches). (iii) Instead of working over
C (or another algebraically closed field), we work more generally over a ring that
isn’t an algebraically closed field, or even a field at all, which is basically number
theory (solving equations over number fields, rings of integers, etc.).
Because our goal is to be comprehensive, and to understand everything one
should know after a first course, it will necessarily take longer to get to interesting
sample applications. You may be misled into thinking that one has to work this
hard to get to these applications — it is not true! You should deliberately keep an
eye out for examples you would have cared about before. This will take some time
and patience.
As you learn algebraic geometry, you should pay attention to crucial stepping
stones. Of course, the steps get bigger the farther you go.
Chapter 1. Category theory is only language, but it is language with an em-
bedded logic. Category theory is much easier once you realize that it is designed
to formalize and abstract things you already know. The initial chapter on cate-
gory theory prepares you to think cleanly. For example, when someone names
something a “cokernel” or a “product”, you should want to know why it deserves
that name, and what the name really should mean. The conceptual advantages of
thinking this way will gradually become apparent over time. Yoneda’s Lemma —
and more generally, the idea of understanding an object through the maps to it —
will play an important role.
Chapter 2. The theory of sheaves again abstracts something you already un-
derstand well (see the motivating example of §2.1), and what is difficult is under-
standing how one best packages and works with the information of a sheaf (stalks,
sheafification, sheaves on a base, etc.).
Chapters 1 and 2 are a risky gamble, and they attempt a delicate balance. Attempts
to explain algebraic geometry often leave such background to the reader, refer to
other sources the reader won’t read, or punt it to a telegraphic appendix. Instead,
this book attempts to explain everything necessary, but as little as possible, and
tries to get across how you should think about (and work with) these fundamental
ideas, and why they are more grounded than you might fear.
Chapters 3–5. Armed with this background, you will be able to think cleanly
about various sorts of “spaces” studied in different parts of geometry (including
real manifolds, topological spaces, and complex manifolds), as ringed spaces that
locally are of a certain form. A scheme is just another kind of “geometric space”,
14 The Rising Sea: Foundations of Algebraic Geometry
and we are then ready to transport lots of intuition from “classical geometry” to
this new setting. (This also will set you up to later think about other geometric
kinds of spaces in algebraic geometry, such as complex analytic spaces, algebraic
spaces, orbifolds, stacks, rigid analytic spaces, and formal schemes.) The ways
in which schemes differ from your geometric intuition can be internalized, and
your intuition can be expanded to accomodate them. There are many properties
you will realize you will want, as well as other properties that will later prove
important. These all deserve names. Take your time becoming familiar with them.
Chapters 7–11. Thinking categorically will lead you to ask about morphisms
of schemes (and other spaces in geometry). One of Grothendieck’s fundamental
lessons is that the morphisms are central. Important geometric properties should
really be understood as properties of morphisms. There are many classes of mor-
phisms with special names, and in each case you should think through why that
class deserves a name.
Chapters 12–13. You will then be in a good position to think about fundamen-
tal geometric properties of schemes: dimension and smoothness. You may be sur-
prised that these are subtle ideas, but you should keep in mind that they are subtle
everywhere in mathematics.
Chapters 14–21. Vector bundles are ubiquitous tools in geometry, and algebraic
geometry is no exception. They lead us to the more general notion of quasicoher-
ent sheaves, much as free modules over a ring lead us to modules more generally.
We study their properties next, including cohomology. Chapter 19, applying these
ideas to study curves, may help make clear how useful they are.
Chapters 23–30. With this in hand, you are ready to learn more advanced tools
widely used in the subject. Many examples of what you can do are given, and
the classical story of the 27 lines on a smooth cubic surface (Chapter 27) is a good
opportunity to see many ideas come together.
The rough logical dependencies among the chapters are shown in Figure 0.1.
(Caution: this should be taken with a grain of salt. For example, you can avoid
using much of Chapter 19 on curves in later chapters, but it is a crucial source of
examples, and a great way to consolidate your understanding. And Chapter 29 on
completions uses Chapters 19, 20 and 22 only in the discussion of Castelnuovo’s
Criterion 29.7.1.)
In general, I like having as few hypotheses as possible. Certainly a hypothesis
that isn’t necessary to the proof is a red herring. But if a reasonable hypothesis can
make the proof cleaner and more memorable, I am willing to include it.
In particular, Noetherian hypotheses are handy when necessary, but are oth-
erwise misleading. Even Noetherian-minded readers (normal human beings) are
better off having the right hypotheses, as they will make clearer why things are
true.
We often state results particular to varieties, especially when there are tech-
niques unique to this situation that one should know. But restricting to alge-
braically closed fields is useful surprisingly rarely. Geometers needn’t be afraid
of arithmetic examples or of algebraic examples; a central insight of algebraic ge-
ometry is that the same formalism applies without change.
April 1, 2023 draft 15
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F IGURE 0.1. Important logical dependences among chapters (or
more precisely, a directed graph showing which chapter should
be read before which other chapter)
Pathological examples are useful to know. On mountain highways, there are
tall sticks on the sides of the road designed for bad weather. In winter, you cannot
see the road clearly, and the sticks serve as warning signs: if you cross this line,
you will die! Pathologies and (counter)examples serve a similar goal. They also
serve as a reality check, when confronting a new statement, theorem, or conjecture,
whose veracity you may doubt. (See, for example, §4.1.8.)
When working through a book in algebraic geometry, it is particularly helpful
to have other algebraic geometry books at hand, to see different approaches and
to have alternate expositions when things become difficult. This book may serve
as a good secondary book. If it is your primary source, then two other excellent
books with what I consider a similar philosophy are [Liu] and [GW]. De Jong’s
encyclopedic online reference [Stacks] is peerless. There are many other outstand-
ing sources out there, perhaps one for each approach to the subject; you should
browse around and find one you find sympathetic.
16 The Rising Sea: Foundations of Algebraic Geometry
If you are looking for a correct or complete history of the subject, you have
come to the wrong place. This book is not intended to be a complete guide to
the literature, and many important sources are ignored or left out, due to my own
ignorance and laziness.
Finally, if you attempt to read this without working through a significant num-
ber of exercises (see §0.0.1), I will come to your house and pummel you with
[Gr-EGA] until you beg for mercy. It is important to not just have a vague sense of
what is true, but to be able to actually get your hands dirty. To quote Mark Kisin:
“You can wave your hands all you want, but it still won’t make you fly.” Note: The
hints may help you, but sometimes they may not.
0.2 For the expert
If you use this book for a course, you should of course adapt it to your own
point of view and your own interests. In particular, you should think about an
application or theorem you want to reach at the end of the course (which may
well not be in this book), and then work toward it. You should feel no compulsion
to sprint to the end; I advise instead taking more time, and ending at the right
place for your students. (Figure 0.1, showing large-scale dependencies among the
chapters, may help you map out a course.) I have found that the theory of curves
(Chapter 19) and the 27 lines on the cubic surface (Chapter 27) have served this
purpose well at the end of winter and spring quarters. This was true even if some
of the needed background was not covered, and had to be taken by students as
some sort of black box.
Faithfulness to the goals of §0.4 required a brutal triage, and I have made a
number of decisions you may wish to reverse. I will briefly describe some choices
made that may be controversial.
Decisions on how to describe things were made for the sake of the learners.
If there were two approaches, and one was “correct” from an advanced point of
view, and one was direct and natural from a naive point of view, I went with the
latter.
On the other hand, the theory of varieties (over an algebraically closed field,
say) was not done first and separately. This choice brought me close to tears, but
in the end I am convinced that it can work well, if done in the right spirit.
Instead of spending the first part of the course on varieties, I spent the time
in a different way. It is tempting to assume that students will either arrive with
great comfort and experience with category theory and sheaf theory, or that they
should pick up these ideas on their own time. I would love to live in that world.
I encourage you to not skimp on these foundational issues. I have found that
although these first lectures felt painfully slow to me, they were revelatory to a
number of the students, and those with more experience were not bored and did
not waste their time. This investment paid off in spades when I was able to rely
on their ability to think cleanly and to use these tools in practice. Furthermore, if
they left the course with nothing more than hands-on experience with these ideas,
the world was still better off for it.
For the most part, we will state results in the maximal generality that the proof
justifies, but we will not give a much harder proof if the generality of the stronger
April 1, 2023 draft 17
result will not be used. There are a few cases where we work harder to prove
a somewhat more general result that many readers may not appreciate. For ex-
ample, we prove a number of theorems for proper morphisms, not just projective
morphisms. But in such cases, readers are invited or encouraged to ignore the
subtleties required for the greater generality.
I consider line bundles (and maps to projective space) more fundamental than
divisors. General Cartier divisors are not discussed (although effective Cartier divi-
sors play an essential role).
Cohomology is done first using the Čech approach (as Serre first did), and de-
rived functor cohomology is introduced only later. I am well aware that Grothendieck
thinks of the fact that the agreement of Čech cohomology with derived functor co-
homology “should be considered as an accidental phenomenon”, and that “it is
important for technical reasons not to take as definition of cohomology the Čech
cohomology”, [Gr4, p. 108]. But I am convinced that this is the right way for most
people to see this kind of cohomology for the first time. (It is certainly true that
many topics in algebraic geometry are best understood in the language of derived
functors. But this is a view from the mountaintop, looking down, and not the best
way to explore the forests. In order to appreciate derived functors appropriately,
one must understand the homological algebra behind it, and not just take it as a
black box.)
We restrict to the Noetherian case only when it is necessary, or (rarely) when it
really saves effort. In this way, non-Noetherian people will clearly see where they
should be careful, and Noetherian people will realize that non-Noetherian things
are not so terrible. Moreover, even if you are interested primarily in Noetherian
schemes, it helps to see “Noetherian” in the hypotheses of theorems only when
necessary, as it will help you remember how and when this property gets used.
There are some cases where Noetherian readers will suffer a little more than
they would otherwise. As an inflammatory example, instead of using Noetherian
hypotheses, the notion of quasiseparatedness comes up early and often. The cost
is that one extra word has to be remembered, on top of an overwhelming number
of other words. But once that is done, it is not hard to remember that essentially
every scheme anyone cares about is quasiseparated. Furthermore, whenever the
hypotheses “quasicompact and quasiseparated” turn up, the reader will immedi-
ately guess a key idea of the proof. As another example, coherent sheaves and
finite type (quasicoherent) sheaves are the same in the Noetherian situation, but
are still worth distinguishing in statements of the theorems and exercises, for the
same reason: to be clearer on what is used in the proof.
Many important topics are not discussed. Valuative criteria are not proved
(see §13.7), and their statement is relegated to an optional section. Completely
omitted: dévissage, formal schemes, and cohomology with supports. Sorry!
0.3 Background and conventions
“Should you just be an algebraist or a geometer?” is like saying “Would you rather
be deaf or blind?”
— M. Atiyah, [At2, p. 659]
18 The Rising Sea: Foundations of Algebraic Geometry
All rings are assumed to be commutative unless explicitly stated otherwise.
All rings are assumed to contain a unit, denoted 1. Maps of rings must send 1 to
1. We don’t require that 0 ̸= 1; in other words, the “0-ring” (with one element)
is a ring. (There is a ring map from any ring to the 0-ring; the 0-ring only maps
to itself. The 0-ring is the final object in the category of rings.) The definition of
“integral domain” includes 1 ̸= 0, so the 0-ring is not an integral domain. We
accept the Axiom of Choice. In particular, any proper ideal in a ring is contained
in a maximal ideal. (The Axiom of Choice also arises in the argument that the
category of A-modules has enough injectives, see Exercise 23.2.G.)
The reader should be familiar with some basic notions in commutative ring
theory, in particular the notion of ideals (including prime and maximal ideals), var-
ious types of rings (including integral domains, principal ideal domains, unique
factorization domains, and local rings), localization, and modules. Tensor prod-
ucts and exact sequences of A-modules will be important. We will use the notation
(A, m) or (A, m, k) for local rings (rings with a unique maximal ideal) — A is the
ring, m its maximal ideal, and k = A/m its residue field. We will use the struc-
ture theorem for finitely generated modules over a principal ideal domain A: any
such module can be written as the direct sum of principal modules A/(a). Some
experience with field theory will be important from time to time.
Manifolds will be brought up periodically as examples, but for the most part,
they are meant for motivation, so we will often not specify whether they are topo-
logical (real) manifolds, differentiable (C∞ , i.e., smooth) real manifolds, analytic
(real) manifolds, or complex (holomorphic) manifolds. Nonetheless, we will de-
fine all four (Definition 4.3.9).
0.3.1. Caution about foundational issues. We will not concern ourselves with subtle
foundational issues (set-theoretic issues, universes, etc.). It is true that some peo-
ple should be careful about these issues. But is that really how you want to live
your life? (If you are one of these rare people, a good start is [KS2, §1.1].)
0.3.2. Further background. It may be helpful to have books on other subjects at
hand that you can dip into for specific facts, rather than reading them in advance.
In commutative algebra, [E] is good for this. Other popular choices are [AtM] and
[Mat2]. The book [Al] takes a point of view useful to algebraic geometry. For
homological algebra, [Weib] is simultaneously detailed and readable.
Background from other parts of mathematics (topology, geometry, complex
analysis, number theory, ...) will of course be helpful for intuition and grounding.
Some previous exposure to topology is certainly essential.
0.3.3. Nonmathematical conventions. “Unimportant” means “unimportant for the
current exposition”, not necessarily unimportant in the larger scheme of things.
Other words may be used idiosyncratically as well.
There are optional starred sections of topics worth knowing on a second or
third (but not first) reading. They are marked with a star: ⋆. Starred sections are
not necessarily harder, merely unimportant. You should not read double-starred
sections (⋆⋆) unless you really really want to, but you should be aware of their
existence. (It may be strange to have parts of a book that should not be read!)
Let’s now find out if you are taking my advice about double-starred sections.
April 1, 2023 draft 19
0.4 ⋆⋆ The goals of this book
There are a number of possible introductions to the field of algebraic geome-
try: Riemann surfaces; complex geometry; the theory of varieties; a nonrigorous
examples-based introduction; algebraic geometry for number theorists; an abstract
functorial approach; and more. All have their place. Different approaches suit dif-
ferent students (and different advisors). This book takes only one route.
Our intent is to cover a canon completely and rigorously, with enough exam-
ples and calculations to help develop intuition for the machinery. This is often
the content of a second course in algebraic geometry, and in an ideal world, peo-
ple would learn this material over many years, after having background courses
in commutative algebra, algebraic topology, differential geometry, complex analy-
sis, homological algebra, number theory, and French literature. We do not live in
an ideal world. For this reason, the book is written as a first introduction, but a
challenging one.
This book seeks to do a very few things, but to try to do them well. Our goals
and premises are as follows.
The core of the material should be digestible over a single year. After a
year of blood, sweat, and tears, readers should have a broad familiarity with the
foundations of the subject, and be ready to attend seminars, and learn more ad-
vanced material. They should not just have a vague intuitive understanding of
the ideas of the subject; they should know interesting examples, know why they
are interesting, and be able to work through their details. Readers in other fields
of mathematics should know enough to understand the algebro-geometric ideas
that arise in their area of interest.
This means that this book is not encyclopedic, and even beyond that, hard
choices have to be made. (In particular, analytic aspects are essentially ignored,
and are at best dealt with in passing without proof. This is a book about algebraic
algebraic geometry.)
This book is usable (and has been used) for a course, but the course should
(as always) take on the personality of the instructor. With a good course, people
should be able to leave early and still get something useful from the experience.
With this book, it is possible to leave without regret after learning about category
theory, or about sheaves, or about geometric spaces, having become a better per-
son.
The book is also usable (and has been used) for learning on your own. But
most mortals cannot learn algebraic geometry fully on their own; ideally you
should read in a group, and even if not, you should have someone you can ask
questions to (both stupid and smart questions).
There is certainly more than a year’s material here, but I have tried to make
clear which topics are essential, and which are not. Those teaching a class will
choose which “inessential” things are important for the point they wish to get
across, and use them.
There is a canon (at least for this particular approach to algebraic geometry). I
have been repeatedly surprised at how much people in different parts of algebraic
geometry agree on what every civilized algebraic geometer should know after a
first (serious) year. (There are of course different canons for different parts of the
20 The Rising Sea: Foundations of Algebraic Geometry
subject, e.g., complex algebraic geometry, combinatorial algebraic geometry, com-
putational algebraic geometry, etc.) There are extra bells and whistles that different
instructors might add on, to prepare students for their particular part of the field
or their own point of view, but the core of the subject remains unified, despite the
diversity and richness of the subject. There are some serious and painful compro-
mises to be made to reconcile this goal with the previous one.
Algebraic geometry is for everyone (with the appropriate definition of “ev-
eryone”). Algebraic geometry courses tend to require a lot of background, which
makes them inaccessible to all but those who know they will go deeply into the
subject. Algebraic geometry is too important for that; it is essential that many of
those in nearby fields develop some serious familiarity with the foundational ideas
and tools of the subject, and not just at a superficial level. (Similarly, algebraic ge-
ometers uninterested in any nearby field are necessarily arid, narrow thinkers. Do
not be such a person!)
For this reason, this book attempts to require as little background as possible.
The background required will, in a technical sense, be surprisingly minimal — ide-
ally just some commutative ring theory and point-set topology, and some comfort
with things like prime ideals and localization. This is misleading of course — the
more you know, the better. And the less background you have, the harder you will
have to work — this is not a light read. On a related note...
The book is intended to be as self-contained as possible. I have tried to
follow the motto: “if you use it, you must prove it”. I have noticed that most
students are human beings: if you tell them that some algebraic fact is in some late
chapter of a book in commutative algebra, they will not immediately go and read
it. Surprisingly often, what we need can be developed quickly from scratch, and
even if people do not read it, they can see what is involved. The cost is that the
book is much denser, and that significant sophistication and maturity is demanded
of the reader. The benefit is that more people can follow it; they are less likely to
reach a point where they get thrown. On the other hand, people who already have
some familiarity with algebraic geometry, but want to understand the foundations
more completely, should not be bored, and can focus on more subtle issues.
This goal is important because one should not just know what is true, but also
know why things are true, and what is hard, and what is not hard. Also, this helps
the previous goal, by reducing the number of prerequisites.
The book is intended to build intuition for the formidable machinery of al-
gebraic geometry. The exercises are central for this (see §0.0.1). Informal language
can sometimes be helpful. Many examples are given. Learning how to think
cleanly (and in particular categorically) is essential. The advantages of appropriate
generality should be made clear by example, and not by intimidation. The mo-
tivation is more local than global. For example, there is no introductory chapter
explaining why one might be interested in algebraic geometry, and instead there
is an introductory chapter explaining why you should want to think categorically
(and how to actually do this).
Balancing the above goals is already impossible. We must thus give up any
hope of achieving any other desiderata. There are no other goals.
Part I
Preliminaries
CHAPTER 1
Just enough category theory to be dangerous
Was mich nicht umbringt macht mich stärker.
That which does not kill me, makes me stronger.
— F. Nietzsche [N, aphorism number 8]
1.1 Motivation
The introduction of the digit 0 or the group concept was general nonsense too, and
mathematics was more or less stagnating for thousands of years because nobody was
around to take such childish steps...
— A. Grothendieck, [BP, p. 4–5]
Before we get to any interesting geometry, we need to develop a language
to discuss things cleanly and effectively. This is best done in the language of
categories. There is not much to know about categories to get started; it is just
a very useful language. Like all mathematical languages, category theory comes
with an embedded logic, which allows us to abstract intuitions in settings we know
well to far more general situations.
Our motivation is as follows. We will be creating some new mathematical
objects (such as schemes, and certain kinds of sheaves), and we expect them to
act like objects we have seen before. We could try to nail down precisely what
we mean by “act like”, and what minimal set of things we have to check in order
to verify that they act the way we expect. Fortunately, we don’t have to — other
people have done this before us, by defining key notions, such as abelian categories,
which behave like modules over a ring.
Our general approach will be as follows. I will try to tell you what you need to
know, and no more. (This I promise: if I use the word “topoi”, you can shoot me.) I
will begin by telling you things you already know, and describing what is essential
about the examples, in a way that we can abstract a more general definition. We
will then see this definition in less familiar settings, and get comfortable with using
it to solve problems and prove theorems.
For example, we will define the notion of product of schemes. We could just
give a definition of product, but then you should want to know why this precise
definition deserves the name of “product”. As a motivation, we revisit the notion
of product in a situation we know well: (the category of) sets. One way to define
the product of sets U and V is as the set of ordered pairs {(u, v) : u ∈ U, v ∈ V}.
But someone from a different mathematical culture might reasonably define it as
23
24 The Rising Sea: Foundations of Algebraic Geometry
u
the set of symbols { v : u ∈ U, v ∈ V}. These notions are “obviously the same”.
Better: there is “an obvious bijection between the two”.
This can be made precise by giving a better definition of product, in terms
of a universal property. Given two sets M and N, a product is a set P, along with
maps µ : P → M and ν : P → N, such that for any set P ′ with maps µ ′ : P ′ → M and
ν ′ : P ′ → N, these maps must factor uniquely through P:
([Link]) P ′0 PP
00 PPPP ′
00 ∃! PPνPP
00 PPP
PP(
0
′ 0 P /N
µ 00 ν
00 µ
0
M
(The symbol ∃ means “there exists”, and the symbol ! means “unique”.) Thus a
product is a diagram
P
ν /N
µ
M
and not just a set P, although the maps µ and ν are often left implicit.
This definition agrees with the traditional definition, with one twist: there
isn’t just a single product; but any two products come with a unique isomorphism
between them. In other words, the product is unique up to unique isomorphism.
Here is why: if you have a product
P1
ν1
/N
µ1
M
and I have a product
P2
ν2
/N
µ2
M
then by the universal property of my product (letting (P2 , µ2 , ν2 ) play the role of
(P, µ, ν), and (P1 , µ1 , ν1 ) play the role of (P ′ , µ ′ , ν ′ ) in ([Link])), there is a unique
map f : P1 → P2 making the appropriate diagram commute (i.e., µ1 = µ2 ◦ f and
ν1 = ν2 ◦ f). Similarly by the universal property of your product, there is a unique
map g : P2 → P1 making the appropriate diagram commute. Now consider the
universal property of my product, this time letting (P2 , µ2 , ν2 ) play the role of
both (P, µ, ν) and (P ′ , µ ′ , ν ′ ) in ([Link]). There is a unique map h : P2 → P2 such
April 1, 2023 draft 25
that
P20 APP
00AAPPPPPν2
00 hAA PPPP
00 A PPP
0 P'
µ2 0 P /N
00 2 ν2
00 µ2
0
M
commutes. However, I can name two such maps: the identity map idP2 , and f ◦ g.
Thus f ◦ g = idP2 . Similarly, g ◦ f = idP1 . Thus the maps f and g arising from
the universal property are bijections. In short, there is a unique bijection between
P1 and P2 preserving the “product structure” (the maps to M and N). This gives
us the right to name any such product M × N, since any two such products are
uniquely identified.
This definition has the advantage that it works in many circumstances, and
once we define categories, we will soon see that the above argument applies ver-
batim in any category to show that products, if they exist, are unique up to unique
isomorphism. Even if you haven’t seen the definition of category before, you can
verify that this agrees with your notion of product in some category that you have
seen before (such as the category of vector spaces, or the category of manifolds).
This is handy even in cases that you understand. For example, one way of
defining the product of two manifolds M and N is to cut them both up into charts,
then take products of charts, then glue them together. But if I cut up the manifolds
in one way, and you cut them up in another, how do we know our resulting mani-
folds are the “same”? We could wave our hands, or make an annoying argument
about refining covers, but instead, we should just show that they are “categorical
products” and hence canonically the “same” (i.e., isomorphic). We will formalize
this argument in §1.3.
Another set of notions we will abstract are categories that “behave like mod-
ules”. We will want to define kernels and cokernels for new notions, and we
should make sure that these notions behave the way we expect them to. This
leads us to the definition of abelian categories, first defined by Grothendieck in his
Tôhoku paper [Gr1].
In this chapter, we will give an informal introduction to these and related no-
tions, in the hope of giving just enough familiarity to comfortably use them in
practice.
1.2 Categories and functors
Before functoriality, people lived in caves. — B. Conrad
We begin with an informal definition of categories and functors.
1.2.1. Categories.
A category consists of a collection of objects, and for each pair of objects, a
set of morphisms (or arrows) between them. (For experts: technically, this is the
definition of a locally small category. In the correct definition, the morphisms need
26 The Rising Sea: Foundations of Algebraic Geometry
only form a class, not necessarily a set, but see Caution 0.3.1.) Morphisms are often
informally called maps. The collection of objects of a category C is often denoted
obj(C ), but we will usually denote the collection also by C . If A, B ∈ C , then the
set of morphisms from A to B is denoted Mor(A, B). A morphism is often written
f : A → B, and A is said to be the source of f, and B the target of f. (Of course,
Mor(A, B) is taken to be disjoint from Mor(A ′ , B ′ ) unless A = A ′ and B = B ′ .)
Morphisms compose as expected: there is a composition Mor(B, C)×Mor(A, B) →
Mor(A, C), and if f ∈ Mor(A, B) and g ∈ Mor(B, C), then their composition is de-
noted g ◦ f. Composition is associative: if f ∈ Mor(A, B), g ∈ Mor(B, C), and
h ∈ Mor(C, D), then h ◦ (g ◦ f) = (h ◦ g) ◦ f. For each object A ∈ C , there is always
an identity morphism idA : A → A, such that when you (left- or right-)compose a
morphism with the identity, you get the same morphism. More precisely, for any
morphisms f : A → B and g : B → C, idB ◦f = f and g ◦ idB = g. (If you wish,
you may check that “identity morphisms are unique”: there is only one morphism
deserving the name idA .) This ends the definition of a category.
We have a notion of isomorphism between two objects of a category (a mor-
phism f : A → B such that there exists some — necessarily unique — morphism
g : B → A, where f ◦ g and g ◦ f are the identity on B and A respectively), and a
notion of automorphism of an object (an isomorphism of the object with itself).
1.2.2. Example. The prototypical example to keep in mind is the category of sets,
denoted Sets. The objects are sets, and the morphisms are maps of sets. (Because
Russell’s paradox shows that there is no set of all sets, we did not say earlier that
there is a set of all objects. But as stated in §0.3, we are deliberately omitting all
set-theoretic issues.)
1.2.3. Example. Another good example is the category Veck of vector spaces over
a given field k. The objects are k-vector spaces, and the morphisms are linear
transformations. (What are the isomorphisms?)
1.2.A. U NIMPORTANT EXERCISE . A category in which each morphism is an iso-
morphism is called a groupoid. (This notion is not important in what we will
discuss. The point of this exercise is to give you some practice with categories, by
relating them to an object you know well.)
(a) A perverse definition of a group is: a groupoid with one object. Make sense of
this. (Similarly, in case you care: a perverse definition of a monoid is: a category
with one object.)
(b) Describe a groupoid that is not a group.
1.2.B. E XERCISE . If A is an object in a category C , show that the invertible ele-
ments of Mor(A, A) form a group (called the automorphism group of A, denoted
Aut(A)). What are the automorphism groups of the objects in Examples 1.2.2
and 1.2.3? Show that two isomorphic objects have isomorphic automorphism
groups. (For readers with a topological background: if X is a topological space,
then the fundamental groupoid is the category where the objects are points of X,
and the morphisms x → y are paths from x to y, up to homotopy. Then the auto-
morphism group of x0 is the (pointed) fundamental group π1 (X, x0 ). In the case
where X is connected, and π1 (X) is not abelian, this illustrates the fact that for
April 1, 2023 draft 27
a connected groupoid — whose definition you can guess — the automorphism
groups of the objects are all isomorphic, but not canonically isomorphic.)
1.2.4. Example: abelian groups. The abelian groups, along with group homomor-
phisms, form a category Ab.
1.2.5. Important Example: Modules over a ring. If A is a ring, then the A-modules
form a category ModA . (This category has additional structure; it will be the pro-
totypical example of an abelian category, see §1.6.) Taking A = k, we obtain Exam-
ple 1.2.3; taking A = Z, we obtain Example 1.2.4.
1.2.6. Example: rings. There is a category Rings, where the objects are rings, and
the morphisms are maps of rings in the usual sense (maps of sets which respect
addition and multiplication, and which send 1 to 1 by our conventions, §0.3).
1.2.7. Example: topological spaces. The topological spaces, along with continuous
maps, form a category Top. The isomorphisms are homeomorphisms.
In all of the above examples, the objects of the categories were in obvious
ways sets with additional structure (a concrete category, although we won’t use
this terminology). This needn’t be the case, as the next example shows.
1.2.8. Example: partially ordered sets. A partially ordered set, (or poset), is a set S
along with a binary relation ≥ on S satisfying:
(i) x ≥ x (reflexivity),
(ii) x ≥ y and y ≥ z imply x ≥ z (transitivity), and
(iii) if x ≥ y and y ≥ x then x = y (antisymmetry).
A partially ordered set (S, ≥) can be interpreted as a category whose objects are
the elements of S, and with a single morphism from x to y if and only if x ≥ y (and
no morphism otherwise).
A trivial example is (S, ≥) where x ≥ y if and only if x = y. Another example
is
([Link]) •
• / •
Here there are three objects. The identity morphisms are omitted for convenience,
and the two non-identity morphisms are depicted. A third example is
([Link]) • /•
/ •
•
Here the “obvious” morphisms are again omitted: the identity morphisms, and
the morphism from the upper left to the lower right. Similarly,
··· /• /• /•
depicts a partially ordered set, where again, only the “generating morphisms” are
depicted.
28 The Rising Sea: Foundations of Algebraic Geometry
1.2.9. Example: the category of subsets of a set, and the category of open subsets of a topo-
logical space. If X is a set, then the subsets form a partially ordered set, where the
order is given by inclusion. Informally, if U ⊂ V, then we have exactly one mor-
phism U → V in the category (and otherwise none). Similarly, if X is a topological
space, then the open sets form a partially ordered set, where the order is given by
inclusion.
1.2.10. Definition. A subcategory A of a category B has as its objects some of the
objects of B, and some of the morphisms, such that the morphisms of A include
the identity morphisms of the objects of A , and are closed under composition.
(For example, ([Link]) is in an obvious way a subcategory of ([Link]). Also, we
have an obvious “inclusion functor” i : A → B.)
1.2.11. Functors.
A covariant functor F from a category A to a category B, denoted F : A → B,
is the following data. It is a map of objects F : obj(A ) → obj(B), and for each A1 ,
A2 ∈ A , and morphism m : A1 → A2 , a morphism F(m) : F(A1 ) → F(A2 ) in B. We
require that F preserves identity morphisms (for A ∈ A , F(idA ) = idF(A) ), and that
F preserves composition (F(m2 ◦ m1 ) = F(m2 ) ◦ F(m1 )). (You may wish to verify
that covariant functors send isomorphisms to isomorphisms.) A trivial example is
the identity functor id : A → A , whose definition you can guess. Here are some
less trivial examples.
1.2.12. Example: a forgetful functor. Consider the functor from the category of
vector spaces (over a field k) Veck to Sets, that associates to each vector space its
underlying set. The functor sends a linear transformation to its underlying map of
sets. This is an example of a forgetful functor, where some additional structure is
forgotten. Another example of a forgetful functor is ModA → Ab from A-modules
to abelian groups, remembering only the abelian group structure of the A-module.
1.2.13. Topological examples. Examples of covariant functors include the funda-
mental group functor π1 , which sends a topological space X with choice of a point
x0 ∈ X to a group π1 (X, x0 ) (what are the objects and morphisms of the source cat-
egory?), and the ith homology functor Top → Ab, which sends a topological space
X to its ith homology group Hi (X, Z). The covariance corresponds to the fact that
a (continuous) morphism of pointed topological spaces ϕ : X → Y with ϕ(x0 ) = y0
induces a map of fundamental groups π1 (X, x0 ) → π1 (Y, y0 ), and similarly for
homology groups.
1.2.14. Example. Suppose A is an object in a category C . Then there is a func-
tor hA : C → Sets sending B ∈ C to Mor(A, B), and sending f : B1 → B2 to
Mor(A, B1 ) → Mor(A, B2 ) described by
[g : A → B1 ] 7→ [f ◦ g : A → B1 → B2 ].
This seemingly silly functor ends up surprisingly being an important concept.
1.2.15. Definitions. If F : A → B and G : B → C are covariant functors, then we
define a functor G ◦ F : A → C (the composition of G and F) in the obvious way.
Composition of functors is associative in an evident sense.
April 1, 2023 draft 29
A covariant functor F : A → B is faithful if for all A, A ′ ∈ A , the map
MorA (A, A ′ ) → MorB (F(A), F(A ′ )) is injective, and full if it is surjective. A func-
tor that is full and faithful is fully faithful. A subcategory i : A → B is a full
subcategory if i is full. (Inclusions are always faithful, so there is no need for the
phrase “faithful subcategory”.) Thus a subcategory A ′ of A is full if and only if for
all A, B ∈ obj(A ′ ), MorA ′ (A, B) = MorA (A, B). For example, the forgetful func-
tor Veck → Sets is faithful, but not full; and if A is a ring, the category of finitely
generated A-modules is a full subcategory of the category ModA of A-modules.
1.2.16. Definition. A contravariant functor is defined in the same way as a covari-
ant functor, except the arrows switch directions: in the above language, F(A1 →
A2 ) is now an arrow from F(A2 ) to F(A1 ). (Thus F(m2 ◦ m1 ) = F(m1 ) ◦ F(m2 ), not
F(m2 ) ◦ F(m1 ).)
It is wise to state whether a functor is covariant or contravariant, unless the
context makes it very clear. If it is not stated (and the context does not make it
clear), the functor is often assumed to be covariant.
Sometimes people describe a contravariant functor C → D as a covariant func-
tor C opp → D, where C opp is the same category as C except that the arrows go in
the opposite direction. Here C opp is said to be the opposite category to C .
One can define fullness, etc. for contravariant functors, and you should do so.
1.2.17. Linear algebra example. If Veck is the category of k-vector spaces (introduced
in Example 1.2.3), then taking duals gives a contravariant functor (·)∨ : Veck →
Veck . Indeed, to each linear transformation f : V → W, we have a dual transforma-
tion f∨ : W ∨ → V ∨ , and (f ◦ g)∨ = g∨ ◦ f∨ .
1.2.18. Topological example (cf. Example 1.2.13) for those who have seen cohomology. The
ith cohomology functor Hi (·, Z) : Top → Ab is a contravariant functor.
1.2.19. Example. There is a contravariant functor Top → Rings taking a topological
space X to the ring of real-valued continuous functions on X. A morphism of
topological spaces X → Y (a continuous map) induces the pullback map from
functions on Y to functions on X.
1.2.20. Example (the functor of points, cf. Example 1.2.14). Suppose A is an object
of a category C . Then there is a contravariant functor hA : C → Sets sending
B ∈ C to Mor(B, A), and sending the morphism f : B1 → B2 to the morphism
Mor(B2 , A) → Mor(B1 , A) via
[g : B2 → A] 7→ [g ◦ f : B1 → B2 → A].
This example initially looks weird and different, but Examples 1.2.17 and 1.2.19
may be interpreted as special cases; do you see how? What is A in each case? This
functor might reasonably be called the functor of maps (to A), but is actually known
as the functor of points. We will meet this functor again in §1.3.11 and (in the
category of schemes) in Definition 7.3.10.
1.2.21. ⋆ Natural transformations (and natural isomorphisms) of covariant func-
tors, and equivalences of categories.
(This notion won’t come up in an essential way until at least Chapter 7, so you
shouldn’t read this section until then.) Suppose F and G are two covariant functors
30 The Rising Sea: Foundations of Algebraic Geometry
from A to B. A natural transformation of covariant functors F → G is the data
of a morphism mA : F(A) → G(A) for each A ∈ A such that for each f : A → A ′ in
A , the diagram
F(f)
F(A) / F(A ′ )
mA mA ′
G(A) / G(A ′ )
G(f)
commutes. A natural isomorphism of functors is a natural transformation such
that each mA is an isomorphism. (We make analogous definitions when F and G
are both contravariant.)
The data of functors F : A → B and F ′ : B → A such that F ◦ F ′ is naturally
isomorphic to the identity functor idB on B and F ′ ◦ F is naturally isomorphic
to idA is said to be an equivalence of categories. The right notion of when two
categories are “essentially the same” is not isomorphism (a functor giving bijections
of objects and morphisms) but equivalence. Exercises 1.2.C and 1.2.D might give
you some vague sense of this. Later exercises (for example, that “rings” and “affine
schemes” are essentially the same, once arrows are reversed, Exercise 7.3.E) may
help too.
Two examples might make this strange concept more comprehensible. The
double dual of a finite-dimensional vector space V is not V, but we learn early to
say that it is canonically isomorphic to V. We can make that precise as follows. Let
[Link] be the category of finite-dimensional vector spaces over k. Note that this
category contains oodles of vector spaces of each dimension.
1.2.C. E XERCISE . Let (·)∨∨ : [Link] → [Link] be the double dual functor from
the category of finite-dimensional vector spaces over k to itself. Show that (·)∨∨
is naturally isomorphic to the identity functor on [Link] . (Without the finite-
dimensionality hypothesis, we only get a natural transformation of functors from
id to (·)∨∨ .)
Let V be the category whose objects are the k-vector spaces kn for each n ≥ 0
(there is one vector space for each n), and whose morphisms are linear transfor-
mations. The objects of V can be thought of as vector spaces with bases, and the
morphisms as matrices. There is an obvious functor V → [Link] , as each kn is a
finite-dimensional vector space.
1.2.D. E XERCISE . Show that V → [Link] gives an equivalence of categories,
by describing an “inverse” functor. (Recall that we are being cavalier about set-
theoretic assumptions, see Caution 0.3.1, so feel free to simultaneously choose
bases for each vector space in [Link] . To make this precise, you will need to use
Gödel-Bernays set theory or else replace [Link] with a very similar small category,
but we won’t worry about this.)
1.2.22. ⋆⋆ Aside for experts. Your argument for Exercise 1.2.D will show that (mod-
ulo set-theoretic issues) this definition of equivalence of categories is the same as
another one commonly given: a covariant functor F : A → B is an equivalence
of categories if it is fully faithful and every object of B is isomorphic to an object
of the form F(A) for some A ∈ A (F is essentially surjective, a term we will not
April 1, 2023 draft 31
need). Indeed, one can show that such a functor has a quasiinverse (another term
we will not use later), i.e., a functor G : B → A (necessarily also an equivalence
and unique up to unique isomorphism) for which G ◦ F = ∼ idA and F ◦ G = ∼ idB ,
and conversely, any functor that has a quasiinverse is an equivalence.
1.3 Universal properties determine an object up to unique
isomorphism
Given some category that we come up with, we often will have ways of pro-
ducing new objects from old. In good circumstances, such a definition can be
made using the notion of a universal property. Informally, we wish that there were
an object with some property. We first show that if it exists, then it is essentially
unique, or more precisely, is unique up to unique isomorphism. Then we go about
constructing an example of such an object to show existence.
Explicit constructions are sometimes easier to work with than universal prop-
erties, but with a little practice, universal properties are useful in proving things
quickly and slickly. Indeed, when learning the subject, people often find explicit
constructions more appealing, and use them more often in proofs, but as they be-
come more experienced, they find universal property arguments more elegant and
insightful.
1.3.1. Products were defined by a universal property. We have seen one im-
portant example of a universal property argument already in §1.1: products. You
should go back and verify that our discussion there gives a notion of product in
any category, and shows that products, if they exist, are unique up to unique iso-
morphism.
1.3.2. Initial, final, and zero objects. Here are some simple but useful concepts
that will give you practice with universal property arguments. An object of a
category C is an initial object if it has precisely one map to every object. It is a
final object if it has precisely one map from every object. It is a zero object if it is
both an initial object and a final object.
1.3.A. E XERCISE . Show that any two initial objects are uniquely isomorphic. Show
that any two final objects are uniquely isomorphic.
In other words, if an initial object exists, it is unique up to unique isomorphism,
and similarly for final objects. This (partially) justifies the phrase “the initial object”
rather than “an initial object”, and similarly for “the final object” and “the zero
object”. (Convention: we often say “the”, not “a”, for anything defined up to
unique isomorphism.)
1.3.B. E XERCISE . What are the initial and final objects in Sets, Rings, and Top (if
they exist)? How about in the two examples of §1.2.9?
1.3.3. Localization of rings and modules. Another important example of a defi-
nition by universal property is the notion of localization of a ring. We first review a
constructive definition, and then reinterpret the notion in terms of universal prop-
erty. A multiplicative subset S of a ring A is a subset closed under multiplication
32 The Rising Sea: Foundations of Algebraic Geometry
containing 1. We define a ring S−1 A. The elements of S−1 A are of the form a/s
where a ∈ A and s ∈ S, and where a1 /s1 = a2 /s2 if (and only if) for some s ∈ S,
s(s2 a1 − s1 a2 ) = 0. We define (a1 /s1 ) + (a2 /s2 ) = (s2 a1 + s1 a2 )/(s1 s2 ), and
(a1 /s1 ) × (a2 /s2 ) = (a1 a2 )/(s1 s2 ). (If you wish, you may check that this equal-
ity of fractions really is an equivalence relation and the two binary operations on
fractions are well-defined on equivalence classes and make S−1 A into a ring.) We
have a canonical ring map
([Link]) A → S−1 A
given by a 7→ a/1. Note that if 0 ∈ S, S−1 A is the 0-ring.
There are two particularly important flavors of multiplicative subsets. The
first is {1, f, f2 , . . . }, where f ∈ A. This localization is denoted Af . (Can you de-
∼
scribe an isomorphism Af ←→ A[t]/(tf − 1)?) The second is A − p, where p is a
prime ideal. This localization S−1 A is denoted Ap . (Notational warning: If p is a
prime ideal, then Ap means you’re allowed to divide by elements not in p. How-
ever, if f ∈ A, Af means you’re allowed to divide by f. This can be confusing. For
example, if (f) is a prime ideal, then Af ̸= A(f) .)
Warning: sometimes localization is first introduced in the special case where A
is an integral domain and 0 ∈ / S. In that case, A ,→ S−1 A, but this isn’t always true,
as shown by the following exercise. (But we will see that noninjective localizations
needn’t be pathological, and we can sometimes understand them geometrically,
see Exercise 3.2.L.)
1.3.C. E XERCISE . Show that A → S−1 A is injective if and only if S contains no
zerodivisors. (A zerodivisor of a ring A is an element a such that there is a nonzero
element b with ab = 0. The other elements of A are called non-zerodivisors. For
example, an invertible element is never a zerodivisor. Counter-intuitively, 0 is a
zerodivisor in every ring but the 0-ring. More generally, if M is an A-module, then
a ∈ A is a zerodivisor for M if there is a nonzero m ∈ M with am = 0. The other
elements of A are called non-zerodivisors for M. Equivalently, and very usefully,
a ∈ A is a non-zerodivisor for M if and only if ×a : M → M is an injection, or
equivalently in the language of §1.6, if
×a
0 /M /M
is exact.)
If A is an integral domain and S = A−{0}, then S−1 A is called the fraction field
of A, which we denote K(A). The previous exercise shows that A is a subring of its
fraction field K(A). We now return to the case where A is a general (commutative)
ring.
1.3.D. E XERCISE . Verify that A → S−1 A satisfies the following universal property:
S−1 A is initial among A-algebras B where every element of S is sent to an invert-
ible element in B. (Recall: the data of “an A-algebra B” and “a ring map A → B”
are the same.) Translation: any map A → B where every element of S is sent to an
invertible element must factor uniquely through A → S−1 A. Another translation:
a ring map out of S−1 A is the same thing as a ring map from A that sends every
element of S to an invertible element. Furthermore, an S−1 A-module is the same
April 1, 2023 draft 33
thing as an A-module for which s × · : M → M is an A-module isomorphism for
all s ∈ S.
In fact, it is cleaner to define A → S−1 A by the universal property, and to
show that it exists, and to use the universal property to check various properties
S−1 A has. Let’s get some practice with this by defining localizations of modules
by universal property. Suppose M is an A-module. We define the A-module map
ϕ : M → S−1 M as being initial among A-module maps M → N such that elements
of S are invertible in N (s × · : N → N is an isomorphism for all s ∈ S). More
precisely, any such map α : M → N factors uniquely through ϕ:
MF
ϕ
/ S−1 M
FF
FF
F
α FF
∃!
F#
N
(Translation: M → S−1 M is universal (initial) among A-module maps from M to
modules that are actually S−1 A-modules. Can you make this precise by defining
clearly the objects and morphisms in this category?)
Notice: (i) this determines ϕ : M → S−1 M up to unique isomorphism (you
should think through what this means); (ii) we are defining not only S−1 M, but
also the map ϕ at the same time; and (iii) essentially by definition the A-module
structure on S−1 M extends to an S−1 A-module structure.
1.3.E. E XERCISE . Show that ϕ : M → S−1 M exists, by constructing something
satisfying the universal property. Hint: define elements of S−1 M to be of the
form m/s where m ∈ M and s ∈ S, and m1 /s1 = m2 /s2 if and only if for some
s ∈ S, s(s2 m1 − s1 m2 ) = 0. Define the additive structure by (m1 /s1 ) + (m2 /s2 ) =
(s2 m1 + s1 m2 )/(s1 s2 ), and the S−1 A-module structure (and hence the A-module
structure) is given by (a1 /s1 ) · (m2 /s2 ) = (a1 m2 )/(s1 s2 ).
1.3.F. E XERCISE .
(a) Show that localization commutes with finite products, or equivalently, with
finite direct sums. In other words, if M1 , . . . , Mn are A-modules, describe an iso-
morphism (of A-modules, and of S−1 A-modules) S−1 (M1 ×· · ·×Mn ) → S−1 M1 ×
· · · × S−1 Mn .
(b) Show that localization commutes with arbitrary direct sums.
(c) Show that “localization
∏ does not ∏ necessarily commute with infinite products”:
the obvious map S−1 ( i Mi ) → i S−1 Mi induced by the universal property of
localization is not always an isomorphism. (Hint: (1, 1/2, 1/3, 1/4, . . . ) ∈ Q × Q ×
· · · .)
1.3.4. Remark. Localization does not always commute with Hom, see Exam-
ple 1.6.9. But Exercise 1.6.H will show that in good situations (if the first argument
of Hom is finitely presented), localization does commute with Hom.
34 The Rising Sea: Foundations of Algebraic Geometry
1.3.5. Tensor products. Another important example of a universal property con-
struction is the notion of a tensor product of A-modules
⊗A : obj(ModA ) × obj(ModA ) / obj(ModA )
(M, N) / M ⊗A N
The subscript A is often suppressed when it is clear from context. The tensor prod-
uct is often defined as follows. Suppose you have two A-modules M and N. Then
elements of the tensor product M⊗A N are finite A-linear combinations of symbols
m ⊗ n (m ∈ M, n ∈ N), subject to relations (m1 + m2 ) ⊗ n = m1 ⊗ n + m2 ⊗ n,
m ⊗ (n1 + n2 ) = m ⊗ n1 + m ⊗ n2 , a(m ⊗ n) = (am) ⊗ n = m ⊗ (an) (where a ∈ A,
m1 , m2 ∈ M, n1 , n2 ∈ N). More formally, M ⊗A N is the free A-module generated
by M × N, quotiented by the submodule generated by (m1 + m2 , n) − (m1 , n) −
(m2 , n), (m, n1 +n2 )−(m, n1 )−(m, n2 ), a(m, n)−(am, n), and a(m, n)−(m, an)
for a ∈ A, m, m1 , m2 ∈ M, n, n1 , n2 ∈ N. The image of (m, n) in this quotient is
m ⊗ n.
If A is a field k, we recover the tensor product of vector spaces.
1.3.G. E XERCISE ( IF YOU HAVEN ’ T SEEN TENSOR PRODUCTS BEFORE ). Show that
Z/(10) ⊗Z Z/(12) = ∼ Z/(2). (This exercise is intended to give some hands-on prac-
tice with tensor products.)
1.3.H. I MPORTANT E XERCISE : RIGHT- EXACTNESS OF (·) ⊗A N. Show that (·) ⊗A N
gives a covariant functor ModA → ModA . Show that (·) ⊗A N is a right-exact
functor, i.e., if
M ′ → M → M ′′ → 0
is an exact sequence of A-modules (which means f : M → M ′′ is surjective, and
M ′ surjects onto the kernel of f; see §1.6), then the induced sequence
M ′ ⊗A N → M ⊗A N → M ′′ ⊗A N → 0
is also exact. This exercise is repeated in Exercise 1.6.G, but you may get a lot out of
doing it now. (You will be reminded of the definition of right-exactness in §1.6.5.)
In contrast, you can quickly check that tensor product is not left-exact: tensor
the exact sequence of Z-modules
×2
0 /Z /Z / Z/(2) /0
with Z/(2).
The constructive definition ⊗ is a weird definition, and really the “wrong”
definition. To motivate a better one: notice that there is a natural A-bilinear map
M × N → M ⊗A N. (If M, N, P ∈ ModA , a map f : M × N → P is A-bilinear if
f(m1 + m2 , n) = f(m1 , n) + f(m2 , n), f(m, n1 + n2 ) = f(m, n1 ) + f(m, n2 ), and
f(am, n) = f(m, an) = af(m, n).) Any A-bilinear map M × N → P factors through
the tensor product uniquely: M × N → M ⊗A N → P. (Think this through!)
We can take this as the definition of the tensor product as follows. It is an
A-module T along with an A-bilinear map t : M × N → T , such that given any
April 1, 2023 draft 35
A-bilinear map t ′ : M × N → T ′ , there is a unique A-linear map f : T → T ′ such
that t ′ = f ◦ t.
M×N
t /T
GG
GG
GG
GG
t′ G# ∃!f
′
T
1.3.I. E XERCISE . Show that (T, t : M×N → T ) is unique up to unique isomorphism.
Hint: first figure out what “unique up to unique isomorphism” means for such
pairs, using a category of pairs (T, t). Then follow the analogous argument for the
product.
In short: given M and N, there is an A-bilinear map t : M × N → M ⊗A N,
unique up to unique isomorphism, defined by the following universal property:
for any A-bilinear map t ′ : M × N → T ′ there is a unique A-linear map f : M ⊗A
N → T ′ such that t ′ = f ◦ t.
As with all universal property arguments, this argument shows uniqueness
assuming existence. To show existence, we need an explicit construction.
1.3.J. E XERCISE . Show that the construction of §1.3.5 satisfies the universal prop-
erty of tensor product.
The three exercises below are useful facts about tensor products with which
you should be familiar.
1.3.K. I MPORTANT E XERCISE .
(a) If M is an A-module and A → B is a morphism of rings, give B ⊗A M the struc-
ture of a B-module (this is part of the exercise). Show that this describes a functor
ModA → ModB .
(b) If further A → C is another morphism of rings, show that B ⊗A C has a natural
structure of a ring. Hint: multiplication will be given by (b1 ⊗ c1 )(b2 ⊗ c2 ) =
(b1 b2 ) ⊗ (c1 c2 ). (Exercise 1.3.U will interpret this construction as a fibered coprod-
uct.)
1.3.L. I MPORTANT E XERCISE . If S is a multiplicative subset of A and M is an
∼
A-module, describe a natural isomorphism (S−1 A) ⊗A M −→ S−1 M (as S−1 A-
modules and as A-modules).
1.3.M. E XERCISE (⊗ COMMUTES WITH ⊕). Show that tensor products commute
with arbitrary direct sums: if M and {Ni }i∈I are all A-modules, describe an isomor-
phism
∼ / ⊕i∈I (M ⊗ Ni ) .
M ⊗ (⊕i∈I Ni )
1.3.6. Essential Example: Fibered products. Suppose we have morphisms
α : X → Z and β : Y → Z (in any category). Then the fibered product (or fi-
bred product) is an object X ×Z Y along with morphisms prX : X ×Z Y → X and
prY : X ×Z Y → Y, where the two compositions α ◦ prX , β ◦ prY : X ×Z Y → Z agree,
such that given any object W with maps to X and Y (whose compositions to Z
36 The Rising Sea: Foundations of Algebraic Geometry
agree), these maps factor through some unique W → X ×Z Y:
W5 SSS
55 SSSS
55 ∃! SSSSS
55 SSS
55 # SSS
S)
55 X ×Z Y prY / Y
55
55 prX β
5
X
α /Z
(Warning: the definition of the fibered product depends on α and β, even though
they are omitted from the notation X ×Z Y.)
By the usual universal property argument, if it exists, it is unique up to unique
isomorphism. (You should think this through until it is clear to you.) Thus the use
of the phrase “the fibered product” (rather than “a fibered product”) is reasonable,
and we should reasonably be allowed to give it the name X ×Z Y. We know what
maps to it are: they are precisely maps to X and maps to Y that agree as maps to Z.
1.3.7. Definition. As an example, if π : X → Y is a morphism, and the fibered
product X ×Y X exists, then this determines a diagonal morphism δπ : X → X ×Y X.
The diagonal morphism will turn out to be a very useful notion.
Depending on your religion, the diagram
X ×Z Y prY /Y
prX β
X
α /Z
is called a fibered/pullback/Cartesian diagram/square (six possibilities — even
more are possible if you prefer “fibred” to “fibered”).
The right way to interpret the notion of fibered product is first to think about
what it means in the category of sets.
1.3.N. E XERCISE ( FIBERED PRODUCTS OF SETS ). Show that in Sets,
X ×Z Y = {(x, y) ∈ X × Y : α(x) = β(y)}.
More precisely, show that the right side, equipped with its evident maps to X and
Y, satisfies the universal property of the fibered product. (This will help you build
intuition for fibered products.)
1.3.O. E XERCISE . If X is a topological space, show that fibered products always
exist in the category of open sets of X, by describing what a fibered product is.
(Hint: it has a one-word description.)
1.3.P. E XERCISE . If Z is the final object in a category C , and X, Y ∈ C , show that
“X ×Z Y = X × Y”: “the” fibered product over Z is uniquely isomorphic to “the”
product. Assume all relevant (fibered) products exist. (This is an exercise about
unwinding the definition.)
1.3.Q. U SEFUL E XERCISE : TOWERS OF C ARTESIAN DIAGRAMS ARE C ARTESIAN DI -
AGRAMS . If the two squares in the following commutative diagram are Cartesian
April 1, 2023 draft 37
diagrams, show that the “outside rectangle” (involving U, V, Y, and Z) is also a
Cartesian diagram.
U /V
W /X
Y /Z
1.3.R. E XERCISE . Given morphisms X1 → Y, X2 → Y, and Y → Z, show that there
is a natural morphism X1 ×Y X2 → X1 ×Z X2 , assuming that both fibered products
exist. (This is trivial once you figure out what it is saying. The point of this exercise
is to see why it is trivial.)
1.3.S. I MPORTANT EXERCISE : T HE D IAGONAL -B ASE -C HANGE DIAGRAM . Sup-
pose we are given morphisms X1 , X2 → Y and Y → Z. Show that the following
diagram is a Cartesian square.
X1 ×Y X2 / X 1 ×Z X 2
Y / Y ×Z Y
Assume all relevant (fibered) products exist. (If this exercise is too hard now, you
can try it again at Exercise 1.4.B.) You will appreciate how useful this diagram is
when you repeatedly use the diagonal morphism in proofs and constructions; for
this reason some call it the magic diagram.
If you liked this problem, you may enjoy Exercise 11.2.C.
1.3.8. Coproducts. Define coproduct in a category by reversing all the arrows in
the definition of product. Define fibered coproduct in a category by reversing all
the arrows in the definition of fibered product.
1.3.T. E XERCISE . ⨿Show that coproduct for Sets is disjoint union. This is why we
use the notation for disjoint union.
1.3.U. E XERCISE . Suppose A → B and A → C are two ring morphisms, so in
particular B and C are A-modules. Recall (Exercise 1.3.K) that B ⊗A C has a ring
structure. Show that there is a natural morphism B → B ⊗A C given by b 7→ b ⊗ 1.
(This is not necessarily an inclusion; see Exercise 1.3.G.) Similarly, there is a natural
morphism C → B⊗A C. Show that this gives a fibered coproduct on rings, i.e., that
B ⊗OA C o CO
Bo A
satisfies the universal property of fibered coproduct.
1.3.9. Monomorphisms and epimorphisms.
38 The Rising Sea: Foundations of Algebraic Geometry
1.3.10. Definition. A morphism π : X → Y is a monomorphism if any two mor-
phisms µ1 : Z → X and µ2 : Z → X such that π ◦ µ1 = π ◦ µ2 must satisfy µ1 = µ2 .
In other words, there is at most one way of filling in the dotted arrow so that the
diagram
Z?
??
??
≤1 ??
?
X π /Y
commutes — for any object Z, the natural map Mor(Z, X) → Mor(Z, Y) is an in-
jection. Intuitively, it is the categorical version of an injective map, and indeed
this notion generalizes the familiar notion of injective maps of sets. (The reason
we don’t use the word “injective” is that in some contexts, “injective” will have
an intuitive meaning which may not agree with “monomorphism”. One example:
in the category of divisible groups, the map Q → Q/Z is a monomorphism but
not injective. This is also the case with “epimorphism” (to be defined shortly) vs.
“surjective”.)
1.3.V. E XERCISE . Show that the composition of two monomorphisms is a monomor-
phism.
1.3.W. E XERCISE . Prove that a morphism π : X → Y is a monomorphism if and
only if the fibered product X ×Y X exists, and the induced diagonal morphism
δπ : X → X ×Y X (Definition 1.3.7) is an isomorphism. We may then take this
as the definition of monomorphism. (Monomorphisms aren’t central to future
discussions, although they will come up again. This exercise is just good practice.)
1.3.X. E ASY E XERCISE . We use the notation of Exercise 1.3.R. Show that if Y → Z
is a monomorphism, then the morphism X1 ×Y X2 → X1 ×Z X2 you described in
Exercise 1.3.R is an isomorphism. (Hint: for any object V, give a natural bijection
between maps from V to the first and maps from V to the second. It is also possible
to use the Diagonal-Base-Change diagram, Exercise 1.3.S.)
The notion of an epimorphism is “dual” to the definition of monomorphism,
where all the arrows are reversed. This concept will not be central for us, although
it turns up in the definition of an abelian category. Intuitively, it is the categori-
cal version of a surjective map. (But be careful when working with categories of
objects that are sets with additional structure, as epimorphisms need not be surjec-
tive. Example: in the category Rings, Z → Q is an epimorphism, but obviously not
surjective.)
1.3.11. Representable functors and Yoneda’s Lemma. Much of our discussion
about universal properties can be cleanly expressed in terms of representable func-
tors, under the rubric of “Yoneda’s Lemma”. Yoneda’s lemma is an easy fact stated
in a complicated way. Informally speaking, you can essentially recover an object
in a category by knowing the maps into it. For example, we have seen that the
data of maps to X × Y are naturally (canonically) the data of maps to X and to Y.
Indeed, we have now taken this as the definition of X × Y.
Recall Example 1.2.20. Suppose A is an object of category C . For any object
C ∈ C , we have a set of morphisms Mor(C, A). If we have a morphism f : B → C,
April 1, 2023 draft 39
we get a map of sets
([Link]) Mor(C, A) → Mor(B, A),
by composition: given a map from C to A, we get a map from B to A by precom-
posing with f : B → C. Hence this gives a contravariant functor hA : C → Sets.
Yoneda’s Lemma states that the functor hA determines A up to unique isomor-
phism. More precisely:
1.3.Y. I MPORTANT E XERCISE THAT YOU SHOULD DO ONCE IN YOUR LIFE (Y ONEDA’ S
L EMMA ).
(a) Suppose you have two objects A and A ′ in a category C , and morphisms
([Link]) iC : Mor(C, A) → Mor(C, A ′ )
that commute with the maps ([Link]). Show that the iC (as C ranges over the ob-
jects of C ) are induced from a unique morphism g : A → A ′ . More precisely, show
that there is a unique morphism g : A → A ′ such that for all C ∈ C , iC is u 7→ g ◦ u.
(b) If furthermore the iC are all bijections, show that the resulting g is an isomor-
phism. (Hint for both: This is much easier than it looks. This statement is so
general that there are really only a couple of things that you could possibly try.
For example, if you’re hoping to find a morphism A → A ′ , where will you find
it? Well, you are looking for an element Mor(A, A ′ ). So just plug in C = A to
([Link]), and see where the identity goes.)
There is an analogous statement with the arrows reversed, where instead of
maps into A, you think of maps from A. The role of the contravariant functor hA
of Example 1.2.20 is played by the covariant functor hA of Example 1.2.14. Because
the proof is the same (with the arrows reversed), you needn’t think it through.
The phrase “Yoneda’s Lemma” properly refers to a more general statement.
Although it looks more complicated, it is no harder to prove.
1.3.Z. ⋆ E XERCISE .
(a) Suppose A and B are objects in a category C . Give a bijection between the nat-
ural transformations hA → hB of covariant functors C → Sets (see Example 1.2.14
for the definition) and the morphisms B → A.
(b) State and prove the corresponding fact for contravariant functors hA (see Ex-
ample 1.2.20). Remark: A contravariant functor F from C to Sets is said to be
representable if there is a natural isomorphism
∼ / hA .
ξ: F
Thus the representing object A is determined up to unique isomorphism by the
pair (F, ξ). There is a similar definition for covariant functors. (We will revisit
this in §7.6, and this problem will appear again as Exercise 7.6.C. The element
ξ−1 (idA ) ∈ F(A) is often called the “universal object”; do you see why?)
(c) Yoneda’s Lemma. Suppose F is a covariant functor C → Sets, and A ∈ C .
Give a bijection between the natural transformations hA → F and F(A). (The
corresponding fact for contravariant functors is essentially Exercise 10.1.B.)
In fancy terms, Yoneda’s lemma states the following. Given a category C , we
can produce a new category, called the functor category of C , where the objects are
contravariant functors C → Sets, and the morphisms are natural transformations
40 The Rising Sea: Foundations of Algebraic Geometry
of such functors. We have a functor (which we can usefully call h) from C to its
functor category, which sends A to hA . Yoneda’s Lemma states that this is a fully
faithful functor, called the Yoneda embedding. (Fully faithful functors were defined
in §1.2.15.)
1.3.12. Joke. The Yoda embedding, contravariant it is.
1.4 Limits and colimits
Limits and colimits are two important definitions determined by universal
properties. They generalize a number of familiar constructions. I will give the def-
inition first, and then show you why it is familiar. For example, fractions will be
motivating examples of colimits (Exercise 1.4.D(a)), and the p-adic integers (Exam-
ple 1.4.4) will be motivating examples of limits.
1.4.1. Limits. We say that a category is a small category if the objects form a
set and the morphisms form a set. (This is a technical condition intended only for
experts.) Suppose I is any small category, and C is any category. Then a functor
F : I → C (i.e., with an object Ai ∈ C for each element i ∈ I , and appropriate
commuting morphisms dictated by I ) is said to be a diagram indexed by I . We
call I an index category. Our index categories will usually be partially ordered
sets (Example 1.2.8), in which in particular there is at most one morphism between
any two objects. (But other examples are sometimes useful.) For example, if □ is
the category
• /•
/ •
•
and A is a category, then a functor □ → A is precisely the data of a commuting
square in A .
Then the limit of the diagram is an object lim Ai (or lim Ai ) of C along with
I ←−
I
morphisms fj : lim Ai → Aj for each j ∈ I , such that if m : j → k is a morphism
I
in I , then
([Link]) lim Ai
I
DD f
DDk
fj DD
D
F(m) "
Aj / Ak
commutes, and this object and maps to each Ai are universal (final) with respect to
this property. More precisely, given any other object W along with maps gi : W →
Ai commuting with the F(m) (if m : j → k is a morphism in I , then gk = F(m)◦gj ),
then there is a unique map
g : W → lim Ai
I
April 1, 2023 draft 41
so that gi = fi ◦ g for all i. (In some cases, the limit is sometimes called the inverse
limit or projective limit. We won’t use this language.) By the usual universal
property argument, if the limit exists, it is unique up to unique isomorphism.
1.4.2. Examples: products. For example, if I is the partially ordered set
•
• / •
we obtain the fibered product.
If I is
• •
we obtain the product.
If I is a set (i.e., the only morphisms are∏the identity maps), then the limit is
called the product of the Ai , and is denoted i Ai . The special case where I has
two elements is the example of the previous paragraph.
1.4.A. E XERCISE ( REALITY CHECK ). Suppose that the partially ordered set I has
an initial object e. Show that the limit of any diagram indexed by I exists.
1.4.B. E XERCISE : THE D IAGONAL -B ASE -C HANGE DIAGRAM , AGAIN . Solve 1.3.S
again by identifying both X1 ×Y X2 and Y ×(Y×Z Y) (X1 ×Z X2 ) as the limit of the
diagram
X1 @
@@
@@
@@
@
Y /Z
~?
~~~
~~
~~
X2
1.4.3. Example: formal power series. For a ring A, the formal power series, A[[x]],
are often described informally (and somewhat unnaturally) as being the ring
A[[x]] = {a0 + a1 x + a2 x2 + · · · }
(where ai ∈ A, and the ring operations are the “obvious” ones). They are an
example of a limit in the category of rings:
A[[x]] UYUYUYYY
JJ UUUYUYYYYY
JJ
JJ UUUUUYUYUYYYYYYYYY
JJ UUUU
J% UUU* YYYYYYYYYYY
Y,
··· / A[x]/(x3 ) / A[x]/(x2 ) / A[x]/(x).
The universal property of limits yields a natural ring morphism A[x] → A[[x]]. If
A = R or C, this map factors through the ring of convergent power series.
1.4.4. Example: the p-adic integers. For a prime number p, the p-adic integers
(or more informally, p-adics), Zp , are often described informally (and somewhat
42 The Rising Sea: Foundations of Algebraic Geometry
unnaturally) as being of the form
a0 + a1 p + a2 p 2 + · · ·
(where 0 ≤ ai < p). They are an example of a limit in the category of rings:
Zp WFSSWSWWW
FF SSSWSWSWWWWW
FF S WW
FF SSSSSSWWWWWWWWW
F" SSS WWWWW
) WW+
··· / Z/(p )
3 / Z/(p )
2 / Z/(p).
(Warning: Zp is sometimes is used to denote the integers modulo p, but Z/(p) or
Z/pZ is better to use for this, to avoid confusion. Worse: by §1.3.3, Zp also denotes
those rationals whose denominators are a power of p. Hopefully the meaning of
Zp will be clear from the context.)
The similarity of Examples 1.4.3 and 1.4.4 is no coincidence. Formal power
series and the p-adic integers are examples of completions, the topic of Chapter 29.
Limits do not always exist for any index category I . However, you can often
easily check that limits exist if the objects of your category can be interpreted as
sets with additional structure, and arbitrary products exist (respecting the set-like
structure).
1.4.C. I MPORTANT E XERCISE . Show that in the category Sets,
{ }
∏
(ai )i∈I ∈ Ai : F(m)(aj ) = ak for all m ∈ MorI (j, k) ∈ Mor(I ) ,
i
along with the obvious projection maps to each Ai , is the limit lim Ai .
I
This clearly also works in the category ModA of A-modules (in particular Veck
and Ab), as well as Rings.
From this point of view, 2 + 3p + 2p2 + · · · ∈ Zp can be understood as the
sequence (2, 2 + 3p, 2 + 3p + 2p2 , . . . ).
1.4.5. Colimits. More immediately relevant for us will be the dual (arrow-
reversed version) of the notion of limit (or inverse limit). We just flip the arrows
fi in ([Link]), and get the notion of a colimit, which is denoted colimI Ai (or
limI Ai ). (You should draw the corresponding diagram.) Again, if it exists, it
−→
is unique up to unique isomorphism. (In some cases, the colimit is sometimes
called the direct limit, inductive limit, or injective limit. We won’t use this lan-
guage. I prefer using limit/colimit in analogy with kernel/cokernel and prod-
uct/coproduct. This is more than analogy, as kernels and products may be inter-
preted as limits, and similarly with cokernels and coproducts. Also, I remember
that kernels “map to”, and cokernels are “mapped to”, which reminds me that a
limit maps to all the objects in the big commutative diagram indexed by I ; and a
colimit has a map from all the objects.)
1.4.6. Joke. A comathematician is a device for turning cotheorems into ffee.
Even though we have just flipped the arrows, colimits behave quite differently
from limits.
April 1, 2023 draft 43
1.4.7. Example. The abelian group 5−∞ Z of rational numbers whose denominators
are powers of 5 is a colimit colimi∈Z+ 5−i Z. More precisely, 5−∞ Z is the colimit of
the diagram
Z / 5−1 Z / 5−2 Z / ···
in the category of abelian groups. ⨿
The colimit over an index set I is called the coproduct, denoted i Ai , and is
the dual (arrow-reversed) notion to the product.
1.4.D. E XERCISE .
(a) Interpret the statement “Q = colim n1
Z”.
(b) Interpret the union of some subsets of a given set as a colimit. (Dually, the
intersection can be interpreted as a limit.) The objects of the category in question
are the subsets of the given set.
Colimits do not always exist, but there are two useful large classes of examples
for which they do.
1.4.8. Definition. A nonempty partially ordered set (S, ≥) is filtered (or is said to
be a filtered set) if for each x, y ∈ S, there is a z such that x ≥ z and y ≥ z. More
generally (see Figure 1.1, a nonempty category I is filtered if:
(i) for each x, y ∈ I , there is a z ∈ I and arrows x → z and y → z, and
(ii) for every two arrows u : x → y and v : x → y, there is an arrow w : y → z
such that w ◦ u = w ◦ v.
(Other terminologies are also commonly used, such as “directed partially ordered
set” and “filtered index category”, respectively.)
F IGURE 1.1. A filtered category (pictorial definition)
1.4.E. E XERCISE . Suppose I is filtered. (We will
⨿ almost exclusively use the case
where I is a filtered set.) Recall the symbol for disjoint union of sets. Show
that any diagram in Sets indexed by I has the following, with the obvious maps
to it, as a colimit:
{ ⨿ }/( (ai , i) ∼ (aj , j) if and only if there are f : Ai → Ak and )
(ai , i) ∈ Ai
g : Aj → Ak in the diagram for which f(ai ) = g(aj ) in Ak
i∈I
(You will see that the “filtered” hypothesis is there is to ensure that ∼ is an equiva-
lence relation.)
44 The Rising Sea: Foundations of Algebraic Geometry
For example, in Example 1.4.7, each element of the colimit is an element of
something upstairs, but you can’t say in advance what it is an element of. For
instance, 17/125 is an element of the 5−3 Z (or 5−4 Z, or later ones), but not 5−2 Z.
This idea applies to many categories whose objects can be interpreted as sets
with additional structure (such as abelian groups, A-modules, groups, etc.). For ex-
ample, the colimit colim Mi in the category of A-modules ModA can be described
as follows. The set underlying colim Mi is defined as in Exercise 1.4.E. To add the
elements mi ∈ Mi and mj ∈ Mj , choose an ℓ ∈ I with arrows u : i → ℓ and
v : j → ℓ, and then define the sum of mi and mj to be F(u)(mi ) + F(v)(mj ) ∈ Mℓ .
The element mi ∈ Mi is 0 if and only if there is some arrow u : i → k for which
F(u)(mi ) = 0, i.e., if it becomes 0 “later in the diagram”. Last, multiplication by an
element of A is defined in the obvious way.
1.4.F. E XERCISE . Verify that the A-module described above is indeed the colimit.
(Make sure you verify that addition is well-defined, i.e., is independent of the
choice of representatives mi and mj , the choice of ℓ, and the choice of arrows u
and v. Similarly, make sure that scalar multiplication is well-defined.)
1.4.G. U SEFUL E XERCISE ( LOCALIZATION AS A COLIMIT ). Generalize Exercise 1.4.D(a)
to interpret localization of an integral domain as a colimit over a filtered set: sup-
pose S is a multiplicative set of A, and interpret S−1 A = colim 1s A where the limit
is over s ∈ S, and in the category of A-modules. (Aside: Can you make some ver-
sion of this work even if A isn’t an integral domain, e.g., S−1 A = colim As ? This
will work in the category of A-algebras.)
A variant of this construction works without the filtered condition, if you have
another means of “connecting elements in different objects of your diagram”. For
example:
1.4.H. E XERCISE : COLIMITS OF A- MODULES WITHOUT THE FILTERED CONDITION .
Suppose you are given a diagram of A-modules indexed by I : F : I → ModA ,
where we let Mi := F(i). Show that the colimit is ⊕i∈I Mi modulo the relations
mi −F(n)(mi ) for every n : i → j in I (i.e., for every arrow in the diagram). (Some-
what more precisely: “modulo” means “quotiented by the submodule generated
by”.)
1.4.9. Summary. One useful thing to informally keep in mind is the following. In
a category where the objects are “set-like”, an element of a limit can be thought of
as a family of elements of each object in the diagram, that are “compatible” (Exer-
cise 1.4.C). And an element of a colimit can be thought of (“has a representative
that is”) an element of a single object in the diagram (Exercise 1.4.E). Even though
the definitions of limit and colimit are the same, just with arrows reversed, these
interpretations are quite different.
1.4.10. Small remark. In fact, colimits exist in the category of sets for all reasonable
(“small”) index categories (see for example [E, Thm. A6.1]), but that won’t matter
to us.
1.4.11. Joke. What do you call someone who reads a paper on category theory? A
coauthor!
April 1, 2023 draft 45
1.5 Adjoints
We next come to a very useful notion closely related to universal properties.
Just as a universal property “essentially” (up to unique isomorphism) determines
an object in a category (assuming such an object exists), “adjoints” essentially de-
termine a functor (again, assuming it exists). Two covariant functors F : A → B
and G : B → A are adjoint if there is a natural bijection for all A ∈ A and B ∈ B
([Link]) τAB : MorB (F(A), B) → MorA (A, G(B)).
We say that (F, G) form an adjoint pair, and that F is left-adjoint to G (and G is
right-adjoint to F). We say F is a left adjoint (and G is a right adjoint). By “natural”
we mean the following. For all f : A → A ′ in A , we require
Ff∗ / MorB (F(A), B)
([Link]) MorB (F(A ′ ), B)
τA ′ B τAB
∗
MorA (A ′ , G(B))
f / MorA (A, G(B))
to commute, and for all g : B → B ′ in B we want a similar commutative diagram to
commute. (Here f∗ is the map induced by f : A → A ′ , and Ff∗ is the map induced
by Ff : F(A) → F(A ′ ).)
1.5.A. E XERCISE . Write down what this diagram should be.
1.5.B. E XERCISE . Show that the map τAB ([Link]) has the following properties.
For each A there is a map ηA : A → GF(A) so that for any g : F(A) → B, the corre-
sponding τAB (g) : A → G(B) is given by the composition
A
ηA
/ GF(A) Gg
/ G(B).
Similarly, there is a map ϵB : FG(B) → B for each B so that for any f : A → G(B),
the corresponding map τAB −1
(f) : F(A) → B is given by the composition
F(A)
Ff / FG(B) ϵB
/ B.
Here is a key example of an adjoint pair.
1.5.C. E XERCISE . Suppose M, N, and P are A-modules (where A is a ring). De-
scribe a bijection HomA (M ⊗A N, P) ↔ HomA (M, HomA (N, P)). (Hint: try to use
the universal property of ⊗.)
1.5.D. E XERCISE . Show that (·) ⊗A N and HomA (N, ·) are adjoint functors.
1.5.E. E XERCISE . Suppose B → A is a morphism of rings. If M is an A-module,
you can create a B-module MB by considering it as a B-module. This gives a
functor ·B : ModA → ModB . Show that this functor is right-adjoint to · ⊗B A. In
other words, describe a bijection
∼ HomB (N, MB )
HomA (N ⊗B A, M) =
functorial in both arguments. (This adjoint pair is very important.)
46 The Rising Sea: Foundations of Algebraic Geometry
1.5.1. ⋆ Fancier remarks we won’t use. You can check that the left adjoint deter-
mines the right adjoint up to natural isomorphism, and vice versa. The maps
ηA and ϵB of Exercise 1.5.B are called the unit and counit of the adjunction. This
leads to a different characterization of adjunction. Suppose functors F : A → B
and G : B → A are given, along with natural transformations η : idA → GF and
ϵ : FG → idB with the property that Gϵ ◦ ηG = idG (for each B ∈ B, the compo-
sition of ηG(B) : G(B) → GFG(B) and G(ϵB ) : GFG(B) → G(B) is the identity) and
ϵF ◦ Fη = idF . Then you can check that F is left-adjoint to G. These facts aren’t hard
to check, so if you want to use them, you should verify everything for yourself.
1.5.2. Examples from other fields. For those familiar with representation theory:
Frobenius reciprocity may be understood in terms of adjoints. Suppose V is a
finite-dimensional representation of a finite group G, and W is a representation of
a subgroup H < G. Then induction and restriction are an adjoint pair (IndG G
H , ResH )
between the category of G-modules and the category of H-modules.
Topologists’ favorite adjoint pair may be the suspension functor and the loop
space functor.
1.5.3. Example: groupification of abelian semigroups. Here is another motivat-
ing example: getting an abelian group from an abelian semigroup. (An abelian
semigroup is just like an abelian group, except we don’t require an identity or an
inverse. Morphisms of abelian semigroups are maps of sets preserving the binary
operation. One example is the non-negative integers Z≥0 = {0, 1, 2, . . . } under ad-
dition. Another is the positive integers 1, 2, . . . under multiplication. You may
enjoy groupifying both.) From an abelian semigroup, you can create an abelian
group. In our examples, from the nonnegative (Z≥0 , +), we create the integers Z,
and from the positive integers under multiplication (Z>0 , ×), we create the posi-
tive rationals Q>0 . Here is a formalization of that notion. A groupification of a
semigroup S is a map of abelian semigroups π : S → G such that G is an abelian
group, and any map of abelian semigroups from S to an abelian group G ′ factors
uniquely through G:
π /
S@ G
@@
@@
@@ ∃!
G′
(Perhaps “abelian groupification” would be more precise than “groupification”.)
1.5.F. E XERCISE ( AN ABELIAN GROUP IS GROUPIFIED BY ITSELF ). Show that if an
abelian semigroup is already a group then the identity morphism is the groupifi-
cation. (More correct: the identity morphism is a groupification.) Note that you
don’t need to construct groupification (or even know that it exists in general) to
solve this exercise.
1.5.G. E XERCISE . Construct the “groupification functor” H from the category
of nonempty abelian semigroups to the category of abelian groups. (One possible
construction: given an abelian semigroup S, the elements of its groupification H(S)
are ordered pairs (a, b) ∈ S × S, which you may think of as a − b, with the equiva-
lence that (a, b) ∼ (c, d) if a + d + e = b + c + e for some e ∈ S. Describe addition in
this group, and show that it satisfies the properties of an abelian group. Describe
April 1, 2023 draft 47
the abelian semigroup map S → H(S).) Let F be the forgetful functor from the
category of abelian groups Ab to the category of abelian semigroups. Show that H
is left-adjoint to F.
(Here is the general idea for experts: We have a full subcategory of a category.
We want to “project” from the category to the subcategory. We have
Morcategory (S, H) = Morsubcategory (G, H)
automatically; thus we are describing the left adjoint to the forgetful functor. How
the argument worked: we constructed something which was in the smaller cate-
gory, which automatically satisfies the universal property.)
1.5.H. E XERCISE ( CF. E XERCISE 1.5.E). The purpose of this exercise is to give you
more practice with “adjoints of forgetful functors”, the means by which we get
groups from semigroups, and sheaves from presheaves. Suppose A is a ring, and
S is a multiplicative subset. Then S−1 A-modules are a full subcategory (§1.2.15) of
the category of A-modules (via the obvious inclusion ModS−1 A ,→ ModA ). Then
ModA → ModS−1 A can be interpreted as an adjoint to the forgetful functor ModS−1 A →
ModA . State and prove the correct statements.
(Here is the larger story. Every S−1 A-module is an A-module, and this is an
injective map, so we have a covariant forgetful functor F : ModS−1 A → ModA . In
fact this is a fully faithful functor: it is injective on objects, and the morphisms
between any two S−1 A-modules as A-modules are just the same when they are con-
sidered as S−1 A-modules. Then there is a functor G : ModA → ModS−1 A , which
might reasonably be called “localization with respect to S”, which is left-adjoint
to the forgetful functor. Translation: If M is an A-module, and N is an S−1 A-
module, then Mor(GM, N) (morphisms as S−1 A-modules, which are the same as
morphisms as A-modules) are in natural bijection with Mor(M, FN) (morphisms
as A-modules).)
Here is a table of most of the adjoints that will come up for us.
48 The Rising Sea: Foundations of Algebraic Geometry
situation category category left adjoint right adjoint
A B F: A → B G: B → A
A-modules (Ex. 1.5.D) ModA ModA (·) ⊗A N HomA (N, ·)
ring maps (·) ⊗B A M 7→ MB
B → A (Ex. 1.5.E) ModB ModA (extension (restriction
of scalars) of scalars)
(pre)sheaves on a presheaves sheaves
topological space on X on X sheafification forgetful
X (Ex. 2.4.K)
(semi)groups (§1.5.3) semigroups groups groupification forgetful
sheaves, sheaves sheaves π−1 π∗
π : X → Y (Ex. 2.7.B) on Y on X
sheaves of abelian
groups or O-modules, sheaves sheaves π! π−1
open embeddings on U on Y
π : U ,→ Y (Ex. 23.4.G)
quasicoherent sheaves, QCohY QCohX π∗ π∗
π : X → Y (Prop. 14.5.7)
ring maps M 7→ MB N 7→
B → A (Ex. 30.3.A) ModA ModB (restriction HomB (A, N)
of scalars)
quasicoherent sheaves, QCohX QCohY
affine π : X → Y π∗ π!sh
(Ex. 30.3.B(b))
Other examples will also come up, such as the adjoint pair (∼, Γ• ) between
graded modules over a graded ring, and quasicoherent sheaves on the correspond-
ing projective scheme (§15.6).
1.5.4. Useful comment for experts. One last comment only for people who have seen
adjoints before: If (F, G) is an adjoint pair of functors, then F commutes with col-
imits, and G commutes with limits. Also, limits commute with limits and colimits
commute with colimits. We will prove these facts (and a little more) in §1.6.13.
1.6 An introduction to abelian categories
Ton papier sur l’Algèbre homologique a été lu soigneusement, et a converti tout le
monde (même Dieudonné, qui semble complètement fonctorisé!) à ton point de vue.
Your paper on homological algebra was read carefully and converted everyone (even
Dieudonné, who seems to be completely functorised!) to your point of view.
— J.-P. Serre, letter to A. Grothendieck, Jul 13, 1955 [GrS, p. 17-18]
Since learning linear algebra, you have been familiar with the notions and
behaviors of kernels, cokernels, etc. Later in your life you saw them in the category
of abelian groups, and later still in the category of A-modules.
April 1, 2023 draft 49
We will soon define some new categories (certain sheaves) that will have familiar-
looking behavior, reminiscent of that of modules over a ring. The notions of ker-
nels, cokernels, images, and more will make sense, and they will behave “the way
we expect” from our experience with modules. This can be made precise through
the notion of an abelian category. Abelian categories are the right general setting
in which one can do “homological algebra”, in which notions of kernel, cokernel,
and so on are used, and one can work with complexes and exact sequences.
We will see enough to motivate the definitions that we will see in general:
monomorphism (and subobject), epimorphism, kernel, cokernel, and image. But
in this book we will avoid having to show that they behave “the way we expect”
in a general abelian category because the examples we will see are directly inter-
pretable in terms of modules over rings. In particular, it is not worth memorizing
the definition of abelian category.
Two central examples of an abelian category are the category Ab of abelian
groups, and the category ModA of A-modules. The first is a special case of the
second (just take A = Z). As we give the definitions, you should verify that ModA
is an abelian category.
We first define the notion of additive category. We will use it only as a stepping
stone to the notion of an abelian category. Two examples you can keep in mind
while reading the definition: the category of free A-modules (where A is a ring),
and real (or complex) Banach spaces.
1.6.1. Definition. A category C is said to be additive if it satisfies the following
properties.
Ad1. For each A, B ∈ C , Mor(A, B) is an abelian group, such that composition
of morphisms distributes over addition. (You should think about what
this means — it translates to two distinct statements.)
Ad2. C has a zero object, denoted 0. (This is an object that is simultaneously
an initial object and a final object, Definition 1.3.2.)
Ad3. It has products of two objects (a product A × B for any pair of objects),
and hence by induction, products of any finite number of objects.
In an additive category, the morphisms are often called homomorphisms, and
Mor is denoted by Hom. In fact, this notation Hom is a good indication that you’re
working in an additive category. A functor between additive categories preserving
the additive structure of Hom, is called an additive functor.
1.6.2. Remarks. It is a consequence of the definition of additive category that finite
direct products are also finite direct sums (coproducts) — the details don’t matter
to us. The symbol ⊕ is used for this notion. Also, it is quick to show that additive
functors send zero objects to zero objects (show that Z is a 0-object if and only if
idZ = 0Z ; additive functors preserve both id and 0), and preserve products.
One motivation for the name 0-object is that the 0-morphism in the abelian
group Hom(A, B) is the composition A → 0 → B. (We also remark that the notion
of 0-morphism thus makes sense in any category with a 0-object.)
The category of A-modules ModA is clearly an additive category, but it has
even more structure, which we now formalize as an example of an abelian cate-
gory.
(A cleaner axiomatization of additive categories that makes clear that the abelian
group structure of Mor(A, B) is intrinsic to the category itself is the following, [Lur,
50 The Rising Sea: Foundations of Algebraic Geometry
p. 21–22]. A0. C has a zero object. A1. C has products of any two objects, and coproducts
of any two objects. By the universal
⨿ property of product and coproduct, we have
natural morphisms ϕAB : A B → A × B. A2. ϕAB is an isomorphism. This allows
us to to define a binary operation on Mor(A, B), with f + g (for f, g ∈ Mor(A, B))
defined by the composition
/ B⨿B
(f,g) ϕ−1
A / B×B BB
/B
where the last map is the “codiagonal” defined by universal property of coproduct.
A little work shows that this endows Mor(A, B) with the structure of a commuta-
tive monoid, i.e., an abelian subgroup with identity. The identity is the composi-
tion A → 0 → B. A3. This commutative monoid Mor(A, B) is an abelian group.)
1.6.3. Definition. Let C be a category with a 0-object (and thus 0-morphisms). A
kernel of a morphism f : B → C is a map i : A → B such that f ◦ i = 0, and that is
universal with respect to this property. Diagramatically:
Z ?OOO
?? OO
?? OOO0
∃! ?? OOO
? OOO
A
i / B f /8' C
0
(Note that the kernel is not just an object; it is a morphism of an object to B.) Hence
it is unique up to unique isomorphism by universal property nonsense. The kernel
is written ker f → B. A cokernel (denoted coker f) is defined dually by reversing
the arrows — do this yourself. The kernel of f : B → C is the limit (§1.4) of the
diagram
([Link]) 0
B
f /C
and similarly the cokernel is a colimit (see ([Link])).
If i : A → B is a monomorphism, then we say that A is a subobject of B, where
the map i is implicit. There is also the notion of quotient object, defined dually to
subobject.
An abelian category is an additive category satisfying three additional prop-
erties.
(1) Every map has a kernel and cokernel.
(2) Every monomorphism is the kernel of its cokernel.
(3) Every epimorphism is the cokernel of its kernel.
It is a nonobvious (and imprecisely stated) fact that every property you want
to be true about kernels, cokernels, etc. follows from these three. (Warning: in
part of the literature, additional hypotheses are imposed as part of the definition.)
The image of a morphism f : A → B is defined as im(f) = ker(coker f) when-
ever it exists (e.g., in every abelian category). The morphism f : A → B factors
uniquely through im f → B whenever im f exists, and A → im f is an epimor-
phism and a cokernel of ker f → A in every abelian category. The reader may
want to verify this as a (hard!) exercise.
April 1, 2023 draft 51
The cokernel of a monomorphism is called the quotient. The quotient of a
monomorphism A → B is often denoted B/A (with the map from B implicit).
We will leave the foundations of abelian categories untouched. The key thing
to remember is that if you understand kernels, cokernels, images and so on in
the category of modules over a given ring, you can manipulate objects in any
abelian category. This is made precise by Freyd-Mitchell Embedding Theorem
(Remark 1.6.4).
However, the abelian categories we will come across will obviously be related
to modules, and our intuition will clearly carry over, so we needn’t invoke a the-
orem whose proof we haven’t read. For example, we will show that sheaves of
abelian groups on a topological space X form an abelian category (§2.6), and the
interpretation in terms of “compatible germs” will connect notions of kernels, cok-
ernels etc. of sheaves of abelian groups to the corresponding notions of abelian
groups.
1.6.4. Small remark on chasing diagrams. It is useful to prove facts (and solve ex-
ercises) about abelian categories by chasing elements. Unfortunately, some com-
monly used abelian categories, such as the category of complexes (to be defined in
Exercise 1.6.C), do not have “elements” — they are not naturally “sets with addi-
tional structure” in any obvious way. Nonetheless, proof by element-chasing can
be justified by the Freyd-Mitchell Embedding Theorem: If C is an abelian category
whose objects form a set, such that Hom(X, Y) is a set for all X, Y ∈ C , then there is
a ring A and an exact, fully faithful functor from C into ModA , which embeds C as
a full subcategory. (Unfortunately, the ring A need not be commutative.) A proof
is sketched in [Weib, §1.6], and references to a complete proof are given there. A
proof is also given in [KS1, §9.7]. The upshot is that to prove something about
a diagram in some abelian category, we may assume that it is a diagram of mod-
ules over some ring, and we may then “diagram-chase” elements. Moreover, any
fact about kernels, cokernels, and so on that holds in ModA holds in any abelian
category.
If invoking a theorem whose proof you haven’t read bothers you, a short al-
ternative is Mac Lane’s “elementary rules for chasing diagrams”, [Mac, Thm. 3,
p. 200]; [Mac, Lem. 4, p. 201] gives a proof of the Five Lemma (Exercise 1.7.6) as an
example.
But in any case, do what you need to do to put your mind at ease, so you can
move forward. Do as little as your conscience will allow.
1.6.5. Complexes, exactness, and homology.
(In this entire discussion, we assume we are working in an abelian category.)
We say a sequence
([Link]) ··· /A f /B g
/C / ···
is a complex at B if g ◦ f = 0, and is exact at B if ker g = im f. (More specifically,
g has a kernel that is an image of f. Exactness at B implies being a complex at B
— do you see why?) A sequence is a complex (resp. exact) if it is a complex (resp.
exact) at each (internal) term. A short exact sequence is an exact sequence with
five terms, the first and last of which are zeros — in other words, an exact sequence
of the form
0 /A /B /C / 0.
52 The Rising Sea: Foundations of Algebraic Geometry
For example, 0 /A / 0 is exact if and only if A = 0;
0 /A f /B
is exact if and only if f is a monomorphism (with a similar statement for A
f /B / 0 );
0 /A f /B /0
is exact if and only if f is an isomorphism; and
0 /A f /B g
/C
f / g
/C / 0 ).
is exact if and only if f is a kernel of g (with a similar statement for A B
To show some of these facts it may be helpful to prove that ([Link]) is exact at B if
and only if the cokernel of f is a cokernel of the kernel of g.
If you would like practice in playing with these notions before thinking about
homology, you can prove the Snake Lemma (stated in Example 1.7.5, with a stronger
version in Exercise 1.7.B), or the Five Lemma (stated in Example 1.7.6, with a
stronger version in Exercise 1.7.C). (I would do this in the category of A-modules,
but see [KS1, Lem. 12.1.1, Lem. 8.3.13] for proofs in general.)
If ([Link]) is a complex at B, then its homology at B (often denoted by H) is
ker g / im f. (More precisely, there is some monomorphism im f ,→ ker g, and that
H is the cokernel of this monomorphism.) Therefore, ([Link]) is exact at B if and
only if its homology at B is 0. We say that elements of ker g (assuming the ob-
jects of the category are sets with some additional structure) are the cycles, and
elements of im f are the boundaries (so homology is “cycles mod boundaries”). If
the complex is indexed in decreasing order, the indices are often written as sub-
scripts, and Hi is the homology at Ai+1 → Ai → Ai−1 . If the complex is indexed
in increasing order, the indices are often written as superscripts, and the homology
Hi at Ai−1 → Ai → Ai+1 is often called cohomology.
An exact sequence
([Link]) A• : ··· / Ai−1 fi−1 / Ai fi / Ai+1 fi+1 / ···
can be “factored” into short exact sequences
0 / ker fi / Ai / ker fi+1 /0
which is helpful in proving facts about long exact sequences by reducing them to
facts about short exact sequences.
More generally, if ([Link]) is assumed only to be a complex, then it can be
“factored” into short exact sequences.
([Link]) 0 / ker fi / Ai / im fi /0
0 / im fi−1 / ker fi / Hi (A• ) /0
April 1, 2023 draft 53
1.6.A. E XERCISE . Describe exact sequences
([Link]) 0 / im fi / Ai+1 / coker fi /0
0 / Hi (A• ) / coker fi−1 / im fi /0
(These are somehow dual to ([Link]). In fact in some mirror universe this might
have been given as the standard definition of homology.) Assume the category is
that of modules over a fixed ring for convenience, but be aware that the result is
true for any abelian category.
1.6.B. E XERCISE AND IMPORTANT DEFINITION . Suppose
0
d0 / A1 d1 / ··· dn−1 /
An
dn /0
•
is a complex of finite-dimensional k-vector
∑ spaces (often called
∑ Ai for short). De-
fine h (A ) := dim H (A ).∑Show that (−1) dim A = (−1) hi (A• ). In par-
i • i • i i
ticular, if A• is exact, then (−1)i dim Ai = 0. (If you haven’t dealt much with
cohomology, this will give you some practice.)
1.6.C. I MPORTANT E XERCISE . Suppose C is an abelian category. Define the cate-
gory ComC of complexes) as follows. The objects are infinite complexes
A• : ··· / Ai−1 fi−1 / Ai fi / Ai+1 fi+1 / ···
in C , and the morphisms A• → B• are commuting diagrams
([Link]) ··· / Ai−1 fi−1 / Ai fi / Ai+1 fi+1 / ···
gi−1
gi
gi+1
··· / Bi−1 / Bi / Bi+1 / ···
Show that ComC is an abelian category. Feel free to deal with the special case of
modules over a fixed ring. (Remark for experts: Essentially the same argument
shows that C I is an abelian category for any small category I and any abelian
category C . This immediately implies that the category of presheaves on a topo-
logical space X with values in an abelian category C is automatically an abelian
category, cf. §2.3.5.)
1.6.D. I MPORTANT E XERCISE . Show that ([Link]) induces a map of homology
Hi (A• ) → Hi (B• ). Show furthermore that Hi is a covariant functor ComC → C .
(Again, feel free to deal with the special case ModA .)
1.6.6. Homotopic maps induce the same maps on homology. We say two maps of
complexes f : C• → C•′ and g : C• → C•′ are homotopic if there is a sequence of
′
maps w : Ci → Ci+1 such that f − g = dw + wd.
1.6.E. E XERCISE . Show that two homotopic maps give the same map on homology.
54 The Rising Sea: Foundations of Algebraic Geometry
1.6.7. Theorem (Long exact sequences). — A short exact sequence of complexes
0• : ··· /0 /0 /0 / ···
A• : ··· / Ai−1 fi−1 / Ai fi / Ai+1 fi+1 / ···
gi−1
gi
gi+1
B• : ··· / Bi−1 / Bi / Bi+1 / ···
C• : ··· / Ci−1 hi−1 / Ci hi / Ci+1 hi+1 / ···
0• : ··· /0 /0 /0 / ···
induces a long exact sequence in cohomology
... / Hi−1 (C• ) /
Hi (A• ) / Hi (B• ) / Hi (C• ) /
Hi+1 (A• ) / ···
(This requires a definition of the connecting homomorphism Hi−1 (C• ) →
H (A• ), which is “natural” in an appropriate sense.) In the category of modules
i
over a ring, Theorem 1.6.7 will come out of our discussion of spectral sequences,
see Exercise 1.7.F, but this is a somewhat perverse way of proving it. For a proof
in general, see [KS1, Theorem 12.3.3]. You may want to prove it yourself, by first
proving a weaker version of the Snake Lemma (Example 1.7.5), where in the hy-
potheses ([Link]), the 0’s in the bottom left and top right are removed, and in the
conclusion ([Link]), the first and last 0’s are removed.
1.6.8. Exactness of functors. If F : A → B is an additive covariant functor from one
abelian category to another, we say that F is right-exact if the exactness of
A′ /A / A ′′ / 0,
in A implies that
F(A ′ ) / F(A) / F(A ′′ ) /0
is also exact. Dually, we say that F is left-exact if the exactness of
0 / A′ /A / A ′′ implies
0 / F(A ′ ) / F(A) / F(A ′′ ) is exact.
April 1, 2023 draft 55
An additive contravariant functor is left-exact if the exactness of
A′ /A / A ′′ /0 implies
0 / F(A ′′ ) / F(A) / F(A ′ ) is exact.
The reader should be able to deduce what it means for a contravariant functor to
be right-exact.
An additive covariant or contravariant functor is exact if it is both left-exact
and right-exact.
1.6.F. E XERCISE . Suppose F is an exact functor. Show that applying F to an exact
sequence preserves exactness. For example, if F is covariant, and A ′ → A → A ′′ is
exact, then FA ′ → FA → FA ′′ is exact. (This will be generalized in Exercise 1.6.I(c).)
1.6.G. E XERCISE . Suppose A is a ring, S ⊂ A is a multiplicative subset, and M is
an A-module.
(a) Show that localization of A-modules ModA → ModS−1 A is an exact covariant
functor.
(b) Show that (·) ⊗A M is a right-exact covariant functor ModA → ModA . (This is a
repeat of Exercise 1.3.H.)
(c) Show that Hom(M, ·) is a left-exact covariant functor ModA → ModA . If C is
any abelian category, and C ∈ C , show that Hom(C, ·) is a left-exact covariant
functor C → Ab.
(d) Show that Hom(·, M) is a left-exact contravariant functor ModA → ModA . If C
is any abelian category, and C ∈ C , show that Hom(·, C) is a left-exact contravari-
ant functor C → Ab.
1.6.H. E XERCISE . Suppose M is a finitely presented A-module: M has a finite
number of generators, and with these generators it has a finite number of relations;
or usefully equivalently, fits in an exact sequence
([Link]) A⊕q / A⊕p /M /0
Use ([Link]) and the left-exactness of Hom to describe an isomorphism
∼
S−1 HomA (M, N) ←→ HomS−1 A (S−1 M, S−1 N).
(You might be able to interpret this in light of a variant of Exercise 1.6.I below, for
left-exact contravariant functors rather than right-exact covariant functors.)
1.6.9. Example: Hom doesn’t always commute with localization. In the language of
Exercise 1.6.H, take A = N = Z, M = Q, and S = Z \ {0}.
1.6.10. ⋆ Two useful facts in homological algebra.
We now come to two (sets of) facts I wish I had learned as a child, as they
would have saved me lots of grief. They encapsulate what is best and worst of
abstract nonsense. The statements are so general as to be nonintuitive. The proofs
are very short. They generalize some specific behavior that is easy to prove on an
ad hoc basis. Once they are second nature to you, many subtle facts will become
obvious to you as special cases. And you will see that they will get used (implicitly
or explicitly) repeatedly.
56 The Rising Sea: Foundations of Algebraic Geometry
1.6.11. ⋆ Interaction of homology and (right/left-)exact functors.
You might wait to prove this until you learn about cohomology in Chapter 18,
when it will first be used in a serious way.
1.6.I. I MPORTANT E XERCISE ( THE FHHF T HEOREM ). This result can take you
far, and perhaps for that reason it has sometimes been called the Fernbahnhof
(FernbaHnHoF) Theorem, notably in [Vak1, Exer. 1.6.I]. Suppose F : A → B is a
covariant functor of abelian categories, and C• is a complex in A .
(a) (F right-exact yields FH• / H• F ) If F is right-exact, describe a natu-
• •
ral morphism FH → H F. (More precisely, for each i, the left side is F
applied to the cohomology at piece i of C• , while the right side is the
cohomology at piece i of FC• .)
(b) (F left-exact yields FH• o H• F ) If F is left-exact, describe a natural mor-
• •
phism H F → FH .
∼ /
(c) (F exact yields FH• o H• F ) If F is exact, show that the morphisms of
(a) and (b) are inverses and thus isomorphisms.
d / i+1
i
/ coker di / 0 to give an isomorphism
Hint for (a): use Ci C
i ∼
F coker d ←→ coker Fd . Then use the first line of ([Link]) to give a epimorphism
i
F im di / / im Fdi . Then use the second line of ([Link]) to give the desired map
FHi C• / Hi FC• . While you are at it, you may as well describe a map for the
fourth member of the quartet {coker, im, H, ker}: F ker di / ker Fdi .
1.6.12. If this makes your head spin, you may prefer to think of it in the following
specific case, where both A and B are the category of A-modules, and F is (·) ⊗ N
for some fixed N-module. Your argument in this case will translate without change
to yield a solution to Exercise 1.6.I(a) and (c) in general. If ⊗N is exact, then N is
called a flat A-module. (The notion of flatness will turn out to be very important,
and is discussed in detail in Chapter 24.)
For example, localization is exact (Exercise 1.6.G(a)), so S−1 A is a flat A-algebra
for all multiplicative sets S. Thus taking cohomology of a complex of A-modules
commutes with localization — something you could verify directly.
1.6.13. Interaction of adjoints, (co)limits, and (left- and right-) exactness.
A surprising number of arguments boil down to the statement:
Limits commute with limits and right adjoints. In particular, in an abelian category,
because kernels are limits, both limits and right adjoints are left-exact.
as well as its dual:
Colimits commute with colimits and left adjoints. In particular, because cokernels are
colimits, both colimits and left adjoints are right-exact.
These statements were promised in §1.5.4, and will be proved below. The latter
has a useful extension:
In ModA , colimits over filtered index categories are exact. “Filtered” was defined
in §1.4.8.
1.6.14. ⋆⋆ Caution. It is not true that in abelian categories in general, colimits
over filtered index categories are exact. (Grothendieck realized the desirability of
April 1, 2023 draft 57
such colimits being exact, and formalized this as his “AB5” axiom, see for exam-
ple [Stacks, tag 079A].) Here is a counterexample. Because the axioms of abelian
categories are self-dual, it suffices to give an example in which a filtered limit fails
to be exact, and we do this. Fix a prime p. In the category Ab of abelian groups,
for each positive integer n, we have an exact sequence Z → Z/(pn ) → 0. Taking
the limit over all n in the obvious way, we obtain Z → Zp → 0, which is certainly
not exact.)
See Unimportant Remark 1.6.17 for another dashed hope.
1.6.15. If you want to use these statements (for example, later in this book), you
will have to prove them. Let’s now make them precise.
1.6.J. E XERCISE ( KERNELS COMMUTE WITH LIMITS ). Suppose C is an abelian
category, and a : I → C and b : I → C are two diagrams in C indexed by I .
For convenience, let Ai = a(i) and Bi = b(i) be the objects in those two diagrams.
Let hi : Ai → Bi be maps commuting with the maps in the diagram. (Translation:
h is a natural transformation of functors a → b, see §1.2.21.) Then the ker hi
form another diagram in C indexed by I . Describe a canonical isomorphism
∼
lim ker hi ←→ ker(lim Ai → lim Bi ), assuming the limits exist.
Implicit in the previous exercise is the idea that limits should somehow be
understood as functors.
1.6.K. E XERCISE . Make sense of the statement that “limits commute with lim-
its” in a general category, and prove it. (Hint: recall that kernels are limits. The
previous exercise should be a corollary of this one.)
1.6.16. Proposition (right adjoints commute with limits). — Suppose (F : C →
D, G : D → C ) is a pair of adjoint functors. If A = lim Ai is a limit in D of a diagram
indexed by I , then GA = lim GAi (with the corresponding maps GA → GAi ) is a limit
in C .
Proof. We must show that GA → GAi satisfies the universal property of limits.
Suppose we have maps W → GAi commuting with the maps of I . We wish to
show that there exists a unique W → GA extending the W → GAi . By adjointness
of F and G, we can restate this as: Suppose we have maps FW → Ai commuting
with the maps of I . We wish to show that there exists a unique FW → A extending
the FW → Ai . But this is precisely the universal property of the limit. □
Of course, the dual statements to Exercise 1.6.K and Proposition 1.6.16 hold by
the dual arguments.
If F and G are additive functors between abelian categories, and (F, G) is an
adjoint pair, then (as kernels are limits and cokernels are colimits) G is left-exact
and F is right-exact.
1.6.L. E XERCISE . Show that in ModA , colimits over filtered index categories are
exact. (Your argument will apply without change to any abelian category whose
objects can be interpreted as “sets with additional structure”.) Right-exactness
follows from the above discussion, so the issue is left-exactness. (Possible hint:
After you show that localization is exact, Exercise 1.6.G(a), or stalkification is exact,
58 The Rising Sea: Foundations of Algebraic Geometry
Exercise 2.6.D, in a hands-on way, you will be easily able to prove this. Conversely,
if you do this exercise, those two will be easy.)
1.6.M. E XERCISE . Show that filtered colimits commute with homology in ModA .
Hint: use the FHHF Theorem (Exercise 1.6.I), and the previous Exercise.
In light of Exercise 1.6.M, you may want to think about how limits (and colim-
its) commute with homology in general, and which way maps go. The statement
of the FHHF Theorem should suggest the answer. (Are limits analogous to left-
exact functors, or right-exact functors?) We won’t directly use this insight, but see
§18.1 (vii) for an example.
Just as colimits are exact (not just right-exact) in especially good circumstances,
limits are exact (not just left-exact) too. The following will be used twice in Chap-
ter 29.
1.6.N. E XERCISE . Suppose
.. .. ..
. . .
0 / An+1 / Bn+1 / Cn+1 /0
0 / An / Bn / Cn /0
.. .. ..
. . .
0 / A0 / B0 / C0 /0
0 0 0
is an inverse system of exact sequences of modules over a ring, such that the maps
An+1 → An are surjective. (We say: “transition maps of the left term are surjec-
tive”.) Show that the limit
([Link]) 0 / lim An / lim Bn / lim Cn /0
is also exact. (You will need to define the maps in ([Link]).)
1.6.17. Unimportant Remark. Based on these ideas, you may suspect that right-
exact functors always commute with colimits. The fact that tensor product com-
mutes with infinite direct sums (Exercise 1.3.M) may reinforce this idea. Unfortu-
nately, it is not true — “double dual” ·∨∨ : Veck → Veck is covariant and right exact
(in fact, exact), but does not commute with infinite direct sums, as ⊕∞ i=1 (k
∨∨
) is
∞ ∨∨
not isomorphic to (⊕i=1 k) .
April 1, 2023 draft 59
1.6.18. ⋆ Dreaming of derived functors. When you see a left-exact functor, you
should always dream that you are seeing the end of a long exact sequence. If
0 / M′ /M / M ′′ /0
is an exact sequence in abelian category A , and F : A → B is a left-exact functor,
then
0 / FM ′ / FM / FM ′′
is exact, and you should always dream that it should continue in some natural
way. For example, the next term should depend only on M ′ , call it R1 FM ′ , and if it
is zero, then FM → FM ′′ is an epimorphism. This remark holds true for left-exact
and contravariant functors too. In good cases, such a continuation exists, and is
incredibly useful. We will discuss this in Chapter 23.
1.7 ⋆ Spectral sequences
Je suis quelque peu affolé par ce déluge de cohomologie, mais j’ai courageusement tenu
le coup. Ta suite spectrale me paraı̂t raisonnable (je croyais, sur un cas particulier, l’avoir
mise en défaut, mais je m’étais trompé, et cela marche au contraire admirablement bien).
I am a bit panic-stricken by this flood of cohomology, but have borne up courageously.
Your spectral sequence seems reasonable to me (I thought I had shown that it was wrong
in a special case, but I was mistaken, on the contrary it works remarkably well).
— J.-P. Serre, letter to A. Grothendieck, March 14, 1956 [GrS, p. 38]
Spectral sequences are a powerful book-keeping tool for proving things in-
volving complicated commutative diagrams. They were introduced by Leray in
the 1940’s at the same time as he introduced sheaves. They have a reputation for
being abstruse and difficult. It has been suggested that the name ‘spectral’ was
given because, like spectres, spectral sequences are terrifying, evil, and danger-
ous. I have heard no one disagree with this interpretation, which is perhaps not
surprising since I just made it up.
Nonetheless, the goal of this section is to tell you enough that you can use
spectral sequences without hesitation or fear, and why you shouldn’t be frightened
when they come up in a seminar. What is perhaps different in this presentation is
that we will use spectral sequences to prove things that you may have already seen,
and that you can prove easily in other ways. This will allow you to get some hands-
on experience for how to use them. We will also see them only in the special case of
double complexes (the version by far the most often used in algebraic geometry),
and not in the general form usually presented (filtered complexes, exact couples,
etc.). See [Weib, Ch. 5] for more detailed information if you wish.
You should not read this section when you are reading the rest of Chapter 1.
Instead, you should read it just before you need it for the first time. When you
finally do read this section, you must do the exercises up to Exercise 1.7.F.
For concreteness, we work in the category ModA of module over a ring A.
However, everything we say will apply in any abelian category. (And if it helps
you feel secure, work instead in the category Veck of vector spaces over a field k.)
1.7.1. Double complexes.
60 The Rising Sea: Foundations of Algebraic Geometry
A double complex is a collection of A-modules Ep,q (p, q ∈ Z), and “right-
ward” morphisms dp,q → : E
p,q
→ Ep+1,q and “upward” morphisms dp,q ↑ : Ep,q →
Ep,q+1 . In the superscript, the first entry denotes the column number (the “x-
coordinate”), and the second entry denotes the row number (the “y-coordinate”).
(Warning: this is opposite to the convention for matrices.) The subscript is meant
to suggest the direction of the arrows. We will always write these as d→ and d↑
and ignore the superscripts. We require that d→ and d↑ satisfy (a) d2→ = 0, (b)
d2↑ = 0, and one more condition: (c) either d→ d↑ = d↑ d→ (all the squares com-
mute) or d→ d↑ + d↑ d→ = 0 (they all anticommute). Both come up in nature, and
you can switch from one to the other by replacing dp,q
↑ with (−1)p dp,q
↑ . So I will
assume that all the squares anticommute, but that you know how to turn the com-
muting case into this one. (You will see that there is no difference in the recipe,
basically because the image and kernel of a homomorphism f equal the image and
kernel respectively of −f.)
dp,q+1
Ep,q+1
→
/ Ep+1,q+1
O O
dp,q
↑ anticommutes dp+1,q
↑
dp,q
Ep,q
→
/ Ep+1,q
There are variations on this definition, where for example the vertical arrows
go downwards, or some subset of the Ep,q is required to be zero.
From the double complex we construct a corresponding (single) complex E•
with Ek = ⊕i Ei,k−i , with d = d→ + d↑ . In other words, when there is a single
superscript k, we mean a sum of the kth antidiagonal of the double complex. The
single complex is sometimes called the total complex. Note that d2 = (d→ +d↑ )2 =
d2→ + (d→ d↑ + d↑ d→ ) + d2↑ = 0, so E• is indeed a complex.
The cohomology of the single complex is sometimes called the hypercoho-
mology of the double complex. We will instead use the phrase cohomology of the
double complex.
Our initial goal will be to find the cohomology of the double complex. You
will see later that we secretly also have other goals.
A spectral sequence is a recipe for computing some information about the
cohomology of the double complex. I won’t yet give the full recipe. Surprisingly,
this fragmentary bit of information is sufficent to prove lots of things.
1.7.2. Approximate Definition. A spectral sequence with rightward orientation
is a sequence of tables or pages → Ep,q p,q p,q p,q
0 , → E1 , → E2 , . . . (p, q ∈ Z), where → E0 =
Ep,q , along with a differential
p,q
→ dr : → Ep,q
r → → Ep−r+1,q+r
r
with → dp,q
r ◦ → dp+r−1,q−r
r = 0, and with an isomorphism of the cohomology of
p,q
→ dr at → Er (i.e., ker → dp,q p+r−1,q−r
r / im → dr ) with → Ep,q
r+1 .
The orientation indicates that our 0th differential is the rightward one: d0 =
d→ . The left subscript “→” is usually omitted.
April 1, 2023 draft 61
The order of the morphisms is best understood visually:
([Link]) • Z5
55
55
55
55 •
55 W//
55 //
d3 5 /
55 /
5d52/ •O
55//
5/5/ d1
5/
• /•
d0
(the morphisms each apply to different pages). Notice that the map always is
“degree 1” in terms of the grading of the single complex E• . (You should figure
out what this informal statement really means.)
The actual definition describes what E•,• •,•
r and dr really are, in terms of E
•,•
.
We will describe d0 , d1 , and d2 below, and you should for now take on faith that
this sequence continues in some natural way.
Note that Ep,q
r is always a subquotient of the corresponding term on the ith
page Ep,q
i for all i < r. In particular, if Ep,q = 0, then Ep,q
r = 0 for all r.
Suppose now that E•,• is a first quadrant double complex, i.e., Ep,q = 0 for
p < 0 or q < 0 (so Ep,q r = 0 for all r unless p, q ∈ Z≥0 ). Then for any fixed p, q,
•,•
once r is sufficiently large, Ep,q
r+1 is computed from (Er , dr ) using the complex
0 Y3
33
33
33 p,q
33dr
33
33
Ep,q
r Y3
33
33
33 dp+r−1,q−r
33 r
33
33
0
and thus we have canonical isomorphisms
Ep,q ∼ Ep,q =
= ∼ Ep,q =
∼ ··· .
r r+1 r+2
We denote this module Ep,q ∞ . The same idea works in other circumstances, for
example if the double complex is only nonzero in a finite number of rows — Ep,q =
0 unless q0 < q < q1 . This will come up for example in the mapping cone and
long exact sequence discussion (Exercises 1.7.F and 1.7.E below).
We now describe the first few pages of the spectral sequence explicitly. As
stated above, the differential d0 on E•,•
0 = E
•,•
is defined to be d→ . The rows are
62 The Rising Sea: Foundations of Algebraic Geometry
complexes:
• /• /•
The 0th page E0 : • /• /•
• /• /•
and so E1 is just the table of cohomologies of the rows. You should check that
there are now vertical maps dp,q p,q
1 : E1 → Ep,q+1
1 of the row cohomology groups,
induced by d↑ , and that these make the columns into complexes. (This is essen-
tially the fact that a map of complexes induces a map on homology.) We have
“used up the horizontal morphisms”, but “the vertical differentials live on”.
•O •O •O
The 1st page E1 : •O •O •O
• • •
We take cohomology of d1 on E1 , giving us a new table, It turns out that Ep,q
2 .
there are natural morphisms from each entry to the entry two above and one to the
left, and that the composition of these two is 0. (It is a very worthwhile exercise
to work out how this natural morphism d2 should be defined. Your argument
may be reminiscent of the connecting homomorphism in the Snake Lemma 1.7.5
or in the long exact sequence in cohomology arising from a short exact sequence
of complexes, Theorem 1.6.7. This is no coincidence.)
•W. •W. •
.. ..
.. ..
.. ..
The 2nd page E2 : • ... • ... •
.. ..
.. ..
. .
• • •
This is the beginning of a pattern.
Then it is a theorem that there is a filtration of Hk (E• ) by Ep,q
∞ where p + q = k.
(We can’t yet state it as an official Theorem because we haven’t precisely defined
the pages and differentials in the spectral sequence.) More precisely, there is a
filtration
E ∞ E∞
1,k−1 2,k−2
Ek,0
([Link]) E0,k
∞
/ ? / ···
∞
/ Hk (E• )
where the quotients are displayed above each inclusion. (Here is a tip for remem-
ber which way the quotients are supposed to go. The differentials on later and later
pages point deeper and deeper into the filtration. Thus the entries in the direction
of the later arrowheads are the subobjects, and the entries in the direction of the
April 1, 2023 draft 63
later “arrowtails” are quotients. This tip has the advantage of being independent
of the details of the spectral sequence, e.g., the “quadrant” or the orientation.)
We say that the spectral sequence → E•,• • converges to H• (E• ). We often say
•,• • •
that → E2 (or any other page) abuts to H (E ).
Although the filtration gives only partial information about H• (E• ), some-
times one can find H• (E• ) precisely. One example is if all Ei,k−i
∞ are zero, or if
all but one of them are zero (e.g., if E•,•
r has precisely one nonzero row or col-
umn, in which case one says that the spectral sequence collapses at the rth step,
although we will not use this term). Another example is in the category of vector
spaces over a field, in which case we can find the dimension of Hk (E• ). Also, in
lucky circumstances, E2 (or some other small page) already equals E∞ .
1.7.A. E XERCISE : INFORMATION FROM THE SECOND PAGE . Show that H0 (E• ) =
E0,0 0,0
∞ = E2 and
d1,0
0 / E0,1 / H1 (E• ) / E1,0 2
/ E0,2 / H2 (E• )
2 2 2
is exact.
1.7.3. The other orientation.
You may have observed that we could as well have done everything in the
opposite direction, i.e., reversing the roles of horizontal and vertical morphisms.
Then the sequences of arrows giving the spectral sequence would look like this
(compare to ([Link])).
([Link]) •O
• OJJOO / •
JJOOO
JJOOO
JJ OO
JJ OOO
JJ '
JJ •
JJ
JJ
JJ
JJ
J%
•
•,•
This spectral sequence is denoted ↑ E• (“with the upward orientation”). Then
we would again get pieces of a filtration of H• (E• ) (where we have to be a bit
careful with the order with which ↑ Ep,q ∞ corresponds to the subquotients — it is
the opposite order to that of ([Link]) for → Ep,q
∞ ). Warning: in general there is no
isomorphism between → Ep,q ∞ and ↑ E p,q
∞ .
In fact, this observation that we can start with either the horizontal or vertical
maps was our secret goal all along. Both algorithms compute information about
the same thing (H• (E• )), and usually we don’t care about the final answer — we
often care about the answer we get in one way, and we get at it by doing the
spectral sequence in the other way.
1.7.4. Examples.
We are now ready to see how this is useful. The moral of these examples is
the following. In the past, you may have proved various facts involving various
sorts of diagrams, by chasing elements around. Now, you will just plug them into
64 The Rising Sea: Foundations of Algebraic Geometry
a spectral sequence, and let the spectral sequence machinery do your chasing for
you.
1.7.5. Example: Proving the Snake Lemma. Consider the diagram
([Link]) 0 /D /E /F /0
O O O
α β γ
0 /A /B /C /0
where the rows are exact in the middle (at A, B, C, D, E, F) and the squares com-
mute. (Normally the Snake Lemma is described with the vertical arrows pointing
downwards, but I want to fit this into my spectral sequence conventions.) We wish
to show that there is an exact sequence
([Link]) 0 → ker α → ker β → ker γ → coker α → coker β → coker γ → 0.
We plug this into our spectral sequence machinery. We first compute the co-
homology using the rightward orientation, i.e., using the order ([Link]). Then be-
cause the rows are exact, Ep,q
1 = 0, so the spectral sequence has already converged:
Ep,q
∞ = 0.
We next compute this “0” in another way, by computing the spectral sequence
using the upward orientation. Then ↑ E•,•1 (with its differentials) is:
0 / coker α / coker β / coker γ /0
0 / ker α / ker β / ker γ / 0.
Then ↑ E•,•
2 is of the form:
0 NNN 0 OOO
NNN O
NNN OOOOO
NNN OOO
NN' OO
0 OOO ?? NN ' ? OOO ? 0
OOO NNNN OOO
OOO N O
OOO NNNNN OOOOO
OO' NN' OO'
0 ? ? OOO ?? NN 0
OOO NNN
OOO N N
OOO NNNNN
OO' NN'
0 0
We see that after ↑ E2 , all the terms will stabilize except for the double question
marks — all maps to and from the single question marks are to and from 0-entries.
And after ↑ E3 , even these two double-question-mark terms will stabilize. But in
the end our complex must be the 0 complex. This means that in ↑ E2 , all the entries
must be zero, except for the two double question marks, and these two must be
isomorphic. This means that 0 → ker α → ker β → ker γ and coker α → coker β →
coker γ → 0 are both exact (that comes from the vanishing of the single question
marks), and
coker(ker β → ker γ) =∼ ker(coker α → coker β)
is an isomorphism (that comes from the equality of the double question marks).
Taken together, we have proved the exactness of ([Link]), and hence the Snake
April 1, 2023 draft 65
Lemma! (Notice: in the end we didn’t really care about the double complex. We
just used it as a prop to prove the Snake Lemma.)
Spectral sequences make it easy to see how to generalize results further. For
example, if A → B is no longer assumed to be injective, how would the conclusion
change?
1.7.B. U NIMPORTANT E XERCISE ( GRAFTING EXACT SEQUENCES , A VARIANT OF
THE S NAKE L EMMA ). Extend the Snake Lemma as follows. Suppose we have a
commuting diagram
0O / X′ / Y′ / Z′ / A′ / ···
O O O O
a b c
··· /W /X /Y /Z / 0.
where the top and bottom rows are exact. Show that the top and bottom rows can
be “grafted together” to an exact sequence
··· /W / ker a / ker b / ker c
/ coker a / coker b / coker c / A′ / ··· .
1.7.6. Example: the Five Lemma. Suppose
([Link]) FO /G /H /I /J
O O O O
α β γ δ ϵ
A /B /C /D /E
where the rows are exact and the squares commute.
Suppose α, β, δ, ϵ are isomorphisms. We will show that γ is an isomorphism.
We first compute the cohomology of the total complex using the rightward
orientation ([Link]). We choose this because we see that we will get lots of zeros.
Then → E•,•
1 looks like this:
?O 0O 0O 0O ?O
? 0 0 0 ?
Then → E2 looks similar, and the sequence will converge by E2 , as we will never get
any arrows between two nonzero entries in a table thereafter. We can’t conclude
that the cohomology of the total complex vanishes, but we can note that it van-
ishes in all but four degrees — and most important, it vanishes in the two degrees
corresponding to the entries C and H (the source and target of γ).
We next compute this using the upward orientation ([Link]). Then ↑ E1 looks
like this:
0 /0 /? /0 /0
0 /0 /? /0 /0
66 The Rising Sea: Foundations of Algebraic Geometry
and the spectral sequence converges at this step. We wish to show that those two
question marks are zero. But they are precisely the cohomology groups of the total
complex that we just showed were zero — so we are done!
The best way to become comfortable with this sort of argument is to try it out
yourself several times, and realize that it really is easy. So you should do the fol-
lowing exercises! Many can readily be done directly, but you should deliberately
try to use this spectral sequence machinery in order to get practice and develop
confidence.
1.7.C. E XERCISE : A SUBTLER F IVE L EMMA . By looking at the spectral sequence
proof of the Five Lemma above, prove a subtler version of the Five Lemma, where
one of the isomorphisms can instead just be required to be an injection, and an-
other can instead just be required to be a surjection. (I am deliberately not telling
you which ones, so you can see how the spectral sequence is telling you how to
improve the result.)
1.7.D. E XERCISE : ANOTHER SUBTLE VERSION OF THE FIVE LEMMA . If β and δ (in
([Link])) are injective, and α is surjective, show that γ is injective. Give the dual
statement (whose proof is of course essentially the same).
The next two exercises no longer involve first quadrant double complexes.
You will have to think a little to realize why there is no reason for confusion or
alarm.
1.7.E. E XERCISE ( THE MAPPING CONE ). Suppose µ : A• → B• is a morphism of
complexes. Suppose C• is the single complex associated to the double complex
A• → B• . (C• is called the mapping cone of µ.) Show that there is a long exact
sequence of complexes:
· · · → Hi−1 (C• ) → Hi (A• ) → Hi (B• ) → Hi (C• ) → Hi+1 (A• ) → · · · .
(There is a slight notational ambiguity here; depending on how you index your
double complex, your long exact sequence might look slightly different.) In partic-
ular, we will use the fact that µ induces an isomorphism on cohomology if and only
if the mapping cone is exact. (We won’t use it until the proof of Theorem 18.2.4.)
1.7.F. E XERCISE . Use spectral sequences to show that a short exact sequence of
complexes gives a long exact sequence in cohomology (Theorem 1.6.7). (This is a
generalization of Exercise 1.7.E.)
The Grothendieck composition-of-functors spectral sequence (Theorem 23.3.5)
will be an important example of a spectral sequence that specializes in a number
of useful ways.
You are now ready to go out into the world and use spectral sequences to your
heart’s content!
1.7.7. Complete definition of spectral sequences, and proof.
You should most definitely not read the precise definition of a spectral se-
quence, and the proof that they work as advertised, any time soon after reading the
introduction to spectral sequences above. But after a suitable interval, you should
at least flip through a construction and proof to convince yourself that nothing
fancy is involved. The idea is not as bad as you might think, see [Vak2].
April 1, 2023 draft 67
It is useful to notice that the proof implies that spectral sequences are functo-
rial in the 0th page: the spectral sequence formalism has good functorial proper-
ties in the double complex. Unfortunately, Grothendieck’s terminology “spectral
functor” [Gr1, §2.4] did not catch on.
CHAPTER 2
Sheaves
It is perhaps surprising that geometric spaces are often best understood in
terms of (nice) functions on them. For example, a differentiable manifold that is
a subset of Rn can be studied in terms of its smooth (C∞ ) functions. Because
“geometric spaces” can have few (everywhere-defined) functions, a more precise
version of this insight is that the structure of the space can be well understood
by considering all functions on all open subsets of the space. This information
is encoded in something called a sheaf. Sheaves were introduced by Leray in the
1940’s, and Serre introduced them to algebraic geometry. (The reason for the name
will be somewhat explained in Remark 2.4.3.) We will define sheaves and describe
useful facts about them. We will begin with a motivating example to convince you
that the notion is not so foreign.
One reason sheaves are slippery to work with is that they keep track of a huge
amount of information, and there are some subtle local-to-global issues. There are
also three different ways of getting a hold of them:
• in terms of open sets (the definition §2.2) — intuitive but in some ways
the least helpful;
• in terms of stalks (see §2.4.1); and
• in terms of a base of a topology (§2.5).
(Some people strongly prefer the espace étalé interpretation, §2.2.11, as well.) Know-
ing which to use requires experience, so it is essential to do a number of exercises
on different aspects of sheaves in order to truly understand the concept.
2.1 Motivating example: The sheaf of smooth functions
Consider smooth (C∞ ) functions on the topological space X = Rn (or more
generally on a manifold X). The sheaf of smooth functions on X is the data of all
smooth functions on all open subsets on X. We will see how to manage these data,
and observe some of their properties. On each open set U ⊂ X, we have a ring of
smooth functions. We denote this ring of functions O(U).
Given a smooth function on an open set, you can restrict it to a smaller open
set, obtaining a smooth function there. In other words, if U ⊂ V is an inclusion of
open sets, we have a “restriction map” resV,U : O(V) → O(U).
Take a smooth function on a big open set, and restrict it to a medium open set,
and then restrict that to a small open set. The result is the same as if you restrict
the smooth function on the big open set directly to the small open set. In other
69
70 The Rising Sea: Foundations of Algebraic Geometry
words, if U ,→ V ,→ W, then the following diagram commutes:
O(W)
resW,V
/ O(V)
HH w
HH ww
HH ww
resW,U HHH wwwresV,U
# {w
O(U)
Next take two smooth functions f1 and f2 on a big open set U, and an open
cover of U by some collection of open subsets {Ui }. (We say {Ui } covers U, or is
an open cover of U, if U = ∪Ui .) Suppose that f1 and f2 agree on each of these
Ui . Then they must have been the same function to begin with. In other words, if
{Ui }i∈I is a cover of U, and f1 , f2 ∈ O(U), and resU,Ui f1 = resU,Ui f2 , then f1 = f2 .
Thus we can identify functions on an open set by looking at them on a covering by
small open sets.
Finally, suppose you are given the same U and cover {Ui }, take a smooth func-
tion on each of the Ui — a function f1 on U1 , a function f2 on U2 , and so on — and
assume they agree on the pairwise overlaps. Then they can be “glued together”
to make one smooth function on all of U. In other words, given fi ∈ O(Ui ) for
all i, such that resUi ,Ui ∩Uj fi = resUj ,Ui ∩Uj fj for all i and j, then there is some
f ∈ O(U) such that resU,Ui f = fi for all i.
The entire example above would have worked just as well with continuous
functions, or real-analytic functions, or just plain real-valued functions. Thus all
of these classes of “nice” functions share some common properties. We will soon
formalize these properties in the notion of a sheaf.
2.1.1. The germ of a smooth function. Before we do, we first give another def-
inition, that of the germ of a smooth function at a point p ∈ X. Intuitively, it is a
“shred” of a smooth function at p. Germs are objects of the form
{(f, open set U) : p ∈ U, f ∈ O(U)}
modulo the relation that (f, U) ∼ (g, V) if there is some open set W ⊂ U, V contain-
ing p where f|W = g|W (i.e., resU,W f = resV,W g). In other words, two functions
that are the same in an open neighborhood of p (but may differ elsewhere) have
the same germ. We call this set of germs the stalk at p, and denote it Op . Notice
that the stalk is a ring: you can add two germs, and get another germ: if you have
a function f defined on U, and a function g defined on V, then f + g is defined on
U ∩ V. Moreover, f + g is well-defined: if f̃ has the same germ as f, meaning that
there is some open set W containing p on which they agree, and g̃ has the same
germ as g, meaning they agree on some open W ′ containing p, then f̃ + g̃ is the
same function as f + g on U ∩ V ∩ W ∩ W ′ .
Notice also that if p ∈ U, you get a map O(U) → Op . Experts may already see
that we are talking about germs as colimits.
We can see that Op is a local ring as follows. Consider those germs vanishing
at p, which we denote mp ⊂ Op . They certainly form an ideal: mp is closed under
addition, and when you multiply something vanishing at p by any function, the
result also vanishes at p. We check that this ideal is maximal by showing that the
quotient ring is a field:
([Link]) 0 / mp := ideal of germs vanishing at p / Op f7→f(p)/ R /0
April 1, 2023 draft 71
2.1.A. E XERCISE . Show that this is the only maximal ideal of Op . (Hint: show that
every element of Op \ mp is invertible.)
Note that we can interpret the value of a function at a point, or the value of
a germ at a point, as an element of the local ring modulo the maximal ideal. (We
will see that this doesn’t work for more general sheaves, but does work for things
behaving like sheaves of functions. This will be formalized in the notion of a locally
ringed space, which we will see, briefly, in §7.3.)
2.1.2. Aside. Notice that mp /m2p is a module over Op /mp = ∼ R, i.e., it is a real vector
space. It turns out to be naturally (whatever that means) the cotangent space to the
differentiable or analytic manifold at p. This insight will prove handy later, when
we define tangent and cotangent spaces of schemes.
2.1.B. ⋆ E XERCISE FOR THOSE WITH DIFFERENTIAL GEOMETRIC BACKGROUND .
Prove this. (Rhetorical question for experts: what goes wrong if the sheaf of contin-
uous functions is substituted for the sheaf of smooth functions? What goes wrong
if you use the sheaf of C1 functions?)
2.2 Definition of sheaf and presheaf
We now formalize these notions, by defining presheaves and sheaves. Presheaves
are simpler to define, and notions such as kernel and cokernel are straightforward.
Sheaves are more complicated to define, and some notions such as cokernel re-
quire more thought. But sheaves are more useful because they are in some vague
sense more geometric; you can get information about a sheaf locally.
2.2.1. Definition of sheaf and presheaf on a topological space X.
To be concrete, we will define sheaves of sets. However, in the definition the
category Sets can be replaced by any category, and other important examples are
abelian groups Ab, k-vector spaces Veck , rings Rings, modules over a ring ModA ,
and more. (You may have to think more when dealing with a category of objects
that aren’t “sets with additional structure”, but there aren’t any new complications.
In any case, this won’t be relevant for us, although people who want to do this
should start by solving Exercise 2.2.C.) Sheaves (and presheaves) are often written
in calligraphic font. The fact that F is a sheaf on a topological space X is often
written as
F
2.2.2. Definition: Presheaf. A presheaf F on a topological space X is the follow-
ing data.
• To each open set U ⊂ X, we have a set F (U) (e.g., the set of differentiable
functions in our motivating example). (Notational warning: Several notations are
in use, for various good reasons: F (U) = Γ (U, F ) = H0 (U, F ). We will use them
all.) The elements of F (U) are called sections of F over U. (§2.2.11 combined
72 The Rising Sea: Foundations of Algebraic Geometry
with Exercise 2.2.G gives a motivation for this terminology, although this isn’t so
important for us.)
By convention, if the “U” is omitted, it is implicitly taken to be X: “sections of
F ” means “sections of F over X”. These are also called global sections.
• For each inclusion U ,→ V of open sets, we have a restriction map
resV,U : F (V) → F (U)
(just as we did for differentiable functions). If f ∈ F (V), we often write
f|U
for resV,U (f).
The data is required to satisfy the following two conditions.
• The map resU,U is the identity: resU,U = idF (U) .
• If U ,→ V ,→ W are inclusions of open sets, then the restriction maps com-
mute, i.e.,
F (W)
resW,V
/ F (V)
II v
II v
II vvv
I
resW,U II v
v resV,U
$ {vv
F (U)
commutes.
2.2.A. E XERCISE FOR CATEGORY- LOVERS : “A PRESHEAF IS THE SAME AS A CON -
TRAVARIANT FUNCTOR ”. Given any topological space X, we have a “category
of open sets” (Example 1.2.9), where the objects are the open sets and the mor-
phisms are inclusions. Verify that the data of a presheaf is precisely the data of a
contravariant functor from the category of open sets of X to the category of sets.
(This interpretation is surprisingly useful.)
2.2.3. Definition: Stalks and germs. We define the stalk of a presheaf at a point
in two equivalent ways. One will be hands-on, and the other will be as a colimit.
2.2.4. Define the stalk of a presheaf F at a point p to be the set of germs of F at p,
denoted Fp , as in the example of §2.1.1. Germs correspond to sections over some
open set containing p, and two of these sections are considered the same if they
agree on some smaller open set. More precisely: the stalk is
{(f, open U) : p ∈ U, f ∈ F (U)}
modulo the relation that (f, U) ∼ (g, V) if there is some open set W ⊂ U, V where
p ∈ W and resU,W f = resV,W g. (To explain the agricultural terminology: the
French name “germe” is meant to suggest a tiny shoot sprouting from a seed, cf.
“germinate”.)
2.2.5. A useful equivalent definition of a stalk is as a colimit of all F (U) over all
open sets U containing p:
Fp = colim F (U).
The index category is a filtered set (given any two such open sets, there is a third
such set contained in both), so these two definitions are the same by Exercise 1.4.E.
Hence we can define stalks for sheaves of sets, groups, rings, and other things for
April 1, 2023 draft 73
which colimits exist for directed sets. It is very helpful to keep both definitions of
stalk in mind at the same time.
If p ∈ U, and f ∈ F (U), then the image of f in Fp is called the germ of f at p.
(Warning: unlike the example of §2.1.1, in general, the value of a section at a point
doesn’t make sense.)
2.2.6. Definition: Sheaf. A presheaf is a sheaf if it satisfies two more axioms.
Notice that these axioms use the additional information of when some open sets
cover another.
Identity axiom. If {Ui }i∈I is an open cover of U, and f1 , f2 ∈ F (U), and
f1 |Ui = f2 |Ui for all i, then f1 = f2 .
(A presheaf satisfying the identity axiom is called a separated presheaf, but
we will not use that notation in any essential way.)
Gluability axiom. If {Ui }i∈I is an open cover of U, then given fi ∈ F (Ui ) for
all i, such that fi |Ui ∩Uj = fj |Ui ∩Uj for all i, j, then there is some f ∈ F (U) such
that resU,Ui f = fi for all i.
In mathematics, definitions often come paired: “at most one” and “at least
one”. In this case, identity means there is at most one way to glue, and gluability
means that there is at least one way to glue.
(For experts and scholars of the empty set only: an additional axiom some-
times included is that F (∅) is a one-element set, and in general, for a sheaf with
values in a category, F (∅) is required to be the final object in the category. This
actually follows from the above definitions, assuming that the empty product is
appropriately defined as the final object.)
Example. If U and V are disjoint, then F (U ∪ V) = F (U) × F (V). Here we use
the fact that F (∅) is the final object.
The stalk of a sheaf at a point is just its stalk as a presheaf — the same defini-
tion applies — and similarly for the germs of a section of a sheaf.
2.2.B. U NIMPORTANT EXERCISE : PRESHEAVES THAT ARE NOT SHEAVES . Show
that the following are presheaves on C (with the classical topology), but not sheaves:
(a) bounded functions, (b) holomorphic functions admitting a holomorphic square
root.
Both of the presheaves in the previous Exercise satisfy the identity axiom. A
“natural” example failing even the identity axiom is implicit in Remark 2.5.5.
We now make a couple of points intended only for category-lovers.
2.2.7. Interpretation in terms of the equalizer exact sequence. The two axioms for a
presheaf to be a sheaf can be interpreted as “exactness” of the “equalizer exact
sequence”: · / F (U) / ∏ F (Ui ) // ∏ F (U ∩ U ). Identity is exact-
i j
∏
ness at F (U), and gluability is exactness at F (Ui ). I won’t make this precise,
or even explain what the double right arrow means. (What is an exact sequence of
sets?!) But you may be able to figure it out from the context.
2.2.C. E XERCISE . The identity and gluability axioms may be interpreted as saying
that F (∪i∈I Ui ) is a certain limit. What is that limit?
Here are a number of examples of sheaves.
74 The Rising Sea: Foundations of Algebraic Geometry
2.2.D. E XERCISE .
(a) Verify that the examples of §2.1 are indeed sheaves (of smooth functions, or
continuous functions, or real-analytic funcitons, or plain real-valued functions, on
a manifold or Rn ).
(b) Show that real-valued continuous functions on (open sets of) a topological
space X form a sheaf.
2.2.8. Important Example: Restriction of a sheaf. Suppose F is a sheaf on X, and U
is an open subset of X. Define the restriction of F to U, denoted F |U , to be the
collection F |U (V) = F (V) for all open subsets V ⊂ U. Clearly this is a sheaf on
U. (Unimportant but fun fact: §2.7 will tell us how to restrict sheaves to arbitrary
subsets.)
2.2.9. Important Example: the skyscraper sheaf. Suppose X is a topological space,
with p ∈ X, and S is a set. Let ip : p → X be the inclusion. Then ip,∗ S defined by
{
S if p ∈ U, and
ip,∗ S(U) =
{e} if p ∈ /U
forms a sheaf. Here {e} is any one-element set. (Check this if it isn’t clear to you —
what are the restriction maps?) This is called a skyscraper sheaf supported at p,
because the informal picture of it looks like a skyscraper at p. (Mild caution: this
informal picture suggests that the only nontrivial stalk of a skyscraper sheaf is at p,
which isn’t the case. Exercise 6.1.B(b) gives an example, although it certainly isn’t
the simplest one.) There is an analogous definition for sheaves of abelian groups,
except ip,∗ (S)(U) = {0} if p ∈
/ U; and for sheaves with values in a category more
generally, ip,∗ S(U) should be a final object.
(This notation is admittedly hideous, and the alternative (ip )∗ S is equally bad.
In §2.2.12 we explain this notation.)
2.2.10. Constant presheaves and constant sheaves. Let X be a topological space, and S
a set. Define Spre (U) = S for all open sets U. You will readily verify that Spre forms
a presheaf (with restriction maps the identity). This is called the constant presheaf
associated to S. This isn’t (in general) a sheaf. (It may be distracting to say why.
Lovers of the empty set will insist that the sheaf axioms force the sections over the
empty set to be the final object in the category, i.e., a one-element set. But even if
we patch the definition by setting Spre (∅) = {e}, if S has more than one element,
and X is the two-point space with the discrete topology, i.e., where every subset
is open, you can check that Spre fails gluability.)
2.2.E. E XERCISE ( CONSTANT SHEAVES ). Now let F (U) be the maps to S that
are locally constant, i.e., for any point p in U, there is an open neighborhood of p
where the function is constant. Show that this is a sheaf. (A better description is
this: endow S with the discrete topology, and let F (U) be the continuous maps
U → S.) This is called the constant sheaf (with values in S); do not confuse it with
the constant presheaf. We denote this sheaf S.
2.2.F. E XERCISE (“ MORPHISMS GLUE ”). Suppose Y is a topological space. Show
that “continuous maps to Y” form a sheaf of sets on X. More precisely, to each
open set U of X, we associate the set of continuous maps of U to Y. Show that this
April 1, 2023 draft 75
forms a sheaf. (Exercise 2.2.D(b), with Y = R, and Exercise 2.2.E, with Y = S with
the discrete topology, are both special cases.)
2.2.G. E XERCISE . This is a fancier version of the previous exercise.
(a) (sheaf of sections of a map) Suppose we are given a continuous map µ : Y → X.
Show that “sections of µ” form a sheaf. More precisely, to each open set U of X,
associate the set of continuous maps s : U → Y such that µ ◦ s = id|U . Show that
this forms a sheaf. (For those who have heard of vector bundles, these are a good
example.) This is motivation for the phrase “section of a sheaf”.
(b) (This exercise is for those who know what a topological group is. If you don’t
know what a topological group is, you might be able to guess.) Suppose that Y is
a topological group. Show that continuous maps to Y form a sheaf of groups.
2.2.11. ⋆ The space of sections (espace étalé) of a (pre)sheaf. Depending on your back-
ground, you may prefer the following perspective on sheaves. Suppose F is a
presheaf (e.g., a sheaf) on a topological space X. Construct a topological space F
along with a continuous map π : F → X as follows: as a set, F is the disjoint union
of all the stalks of F . This naturally gives a map of sets π : F → X. Topologize F as
follows. Each s in F (U) determines a subset {(x, sx ) : x ∈ U} of F. The topology
on F is the weakest topology such that these subsets are open. (These subsets form
a base of the topology. For each y ∈ F, there is an open neighborhood V of y and
an open neighborhood U of π(y) such that π|V is a homeomorphism from V to U.
Do you see why these facts are true?) The topological space F could be thought of
as the space of sections of F (and in French is called the espace étalé of F ). We
will not discuss this construction at any length, but it can have some advantages:
(a) It is always better to know as many ways as possible of thinking about a con-
cept. (b) Pullback has a natural interpretation in this language (mentioned briefly
in Exercise 2.7.C). (c) Sheafification has a natural interpretation in this language
(see Remark 2.4.7).
2.2.H. I MPORTANT E XERCISE /D EFINITION : THE PUSHFORWARD SHEAF OR DIRECT
IMAGE SHEAF. Suppose π : X → Y is a continuous map, and F is a presheaf on X.
Then define π∗ F by π∗ F (V) = F (π−1 (V)), where V is an open subset of Y. Show
that π∗ F is a presheaf on Y, and is a sheaf if F is. This is called the pushforward
or direct image of F . More precisely, π∗ F is called the pushforward of F by π.
2.2.12. As the notation suggests, the skyscraper sheaf (Example 2.2.9) can be inter-
preted as the pushforward of the constant sheaf S on a one-point space p, under
the inclusion morphism ip : {p} → X.
Once we endow sheaves with the structure of a category, we will see that the
pushforward is a functor from sheaves on X to sheaves on Y (Exercise 2.3.B).
2.2.I. E XERCISE ( PUSHFORWARD INDUCES MAPS OF STALKS ). Suppose π : X → Y
is a continuous map, and F is a sheaf of sets (or rings or A-modules) on X. If
π(p) = q, describe the natural morphism of stalks (π∗ F )q → Fp . (You can use the
explicit definition of stalk using representatives, §2.2.4, or the universal property,
§2.2.5. If you prefer one way, you should try the other.)
2.2.13. Important Example: Ringed spaces, and OX -modules. Suppose OX is
a sheaf of rings on a topological space X (i.e., a sheaf on X with values in the
76 The Rising Sea: Foundations of Algebraic Geometry
category of Rings). Then (X, OX ) is called a ringed space. The sheaf of rings is
often denoted by OX , pronounced “oh-X”. This sheaf is called the structure sheaf
of the ringed space. Sections of the structure sheaf OX over an open subset U
are called functions on U. Functions on X are called global functions, or just
functions. (Caution: what we call “functions”, others sometimes call “regular functions”.
Furthermore, we will later define “rational functions” on schemes in §5.2.I and §6.6.36,
which are not precisely functions in this sense; they are a particular type of “partially-
defined function”.)
The symbol OX will always refer to the structure sheaf of a ringed space X.
The restriction OX |U of OX to an open subset U ⊂ X is denoted OU . (We will later
call (U, OU ) → (X, OX ) an open embedding of ringed spaces, see Definition 7.2.1.)
The stalk of OX at a point p is written “OX,p ”, because this looks less hideous than
“OXp ”.
Just as we have modules over a ring, we have OX -modules over a sheaf of
rings OX . There is only one possible definition that could go with the name OX -
module (or often O-module) — a sheaf of abelian groups F with the following
additional structure. For each U, F (U) is an OX (U)-module. Furthermore, this
structure should behave well with respect to restriction maps: if U ⊂ V, then
OX (V) × F (V)
action / F (V)
([Link]) resV,U × resV,U resV,U
action /
OX (U) × F (U) F (U)
commutes. (You should convince yourself that I haven’t forgotten anything.)
Recall that the notion of A-module generalizes the notion of abelian group,
because an abelian group is the same thing as a Z-module. Similarly, the notion
of OX -module generalizes the notion of sheaf of abelian groups, because the latter
is the same thing as a Z-module. Hence when we are proving things about OX -
modules, we are also proving things about sheaves of abelian groups.
2.2.J. E XERCISE . If (X, OX ) is a ringed space, and F is an OX -module, describe
how for each p ∈ X, Fp is an OX,p -module.
2.2.14. For those who know about vector bundles. The motivating example of OX -
modules is the sheaf of sections of a vector bundle. If (X, OX ) is a differentiable
manifold (so OX is the sheaf of smooth functions), and π : V → X is a vector bundle
over X, then the sheaf of smooth sections σ : X → V is an OX -module. Indeed,
given a section s of π over an open subset U ⊂ X, and a function f on U, we can
multiply s by f to get a new section fs of π over U. Moreover, if U ′ is a smaller
subset, then we could multiply f by s and then restrict to U ′ , or we could restrict
both f and s to U ′ and then multiply, and we would get the same answer. That is
precisely the commutativity of ([Link]).
2.3 Morphisms of presheaves and sheaves
April 1, 2023 draft 77
2.3.1. Definitions. Whenever one defines a new mathematical object, category the-
ory teaches to try to understand maps between them. We now define morphisms
of presheaves, and similarly for sheaves. In other words, we will describe the
category of presheaves (of sets, abelian groups, etc.) and the category of sheaves.
A morphism of presheaves of sets (or indeed of presheaves with values in
any category) on X, ϕ : F → G , is the data of maps ϕ(U) : F (U) → G (U) for all U
behaving well with respect to restriction: if U ,→ V then
ϕ(V)
F (V) / G (V)
resV,U resV,U
ϕ(U)
F (U) / G (U)
commutes. (Notice: the underlying space of both F and G is X.)
Morphisms of sheaves are defined identically: the morphisms from a sheaf F
to a sheaf G are precisely the morphisms from F to G as presheaves. (Translation:
The category of sheaves on X is a full subcategory of the category of presheaves on
X.) If (X, OX ) is a ringed space, then morphisms of OX -modules have the obvious
definition. (Can you write it down?)
An example of a morphism of sheaves is the map from the sheaf of smooth
functions on R to the sheaf of continuous functions. This is a “forgetful map”: we
are forgetting that these functions are differentiable, and remembering only that
they are continuous.
2.3.2. Notation. We may as well set some notation: let SetsX , AbX , etc. denote
the category of sheaves of sets, abelian groups, etc. on a topological space X. Let
pre
ModOX denote the category of OX -modules on a ringed space (X, OX ). Let SetsX ,
etc. denote the category of presheaves of sets, etc. on X.
2.3.3. Aside for category-lovers. If you interpret a presheaf on X as a contravari-
ant functor (from the category of open sets), a morphism of presheaves on X is a
natural transformation of functors (§1.2.21).
2.3.A. E XERCISE : MORPHISMS OF ( PRE ) SHEAVES INDUCE MORPHISMS OF STALKS .
If ϕ : F → G is a morphism of presheaves on X, and p ∈ X, describe an induced
morphism of stalks ϕp : Fp → Gp . Translation: taking the stalk at p induces a
functor SetsX → Sets. (Your proof will extend in obvious ways. For example, if ϕ
is a morphism of OX -modules, then ϕp is a map of OX,p -modules.)
2.3.B. E XERCISE . Suppose π : X → Y is a continuous map of topological spaces
(i.e., a morphism in the category of topological spaces). Show that pushforward
gives a functor π∗ : SetsX → SetsY . Here Sets can be replaced by other categories.
(Watch out for some possible confusion: a presheaf is a functor, and presheaves
form a category. It may be best to forget that presheaves are functors for now.)
2.3.C. I MPORTANT E XERCISE AND D EFINITION : “S HEAF Hom”. Suppose F and
G are two sheaves of sets on X. (In fact, it will suffice that F is a presheaf.) Let
Hom (F , G ) be the collection of data
Hom (F , G )(U) := Mor(F |U , G |U ).
78 The Rising Sea: Foundations of Algebraic Geometry
(Recall the notation F |U , the restriction of the sheaf to the open set U, Exam-
ple 2.2.8.) Show that this is a sheaf of sets on X. (To avoid a common confusion:
the right side does not say Mor(F (U), G (U)).) This sheaf is called “sheaf Hom ”.
(Strictly speaking, we should reserve Hom for when we are in an additive cate-
gory, so this should possibly be called “sheaf Mor”. But the terminology “sheaf
Hom” is too established to uproot.) It will be clear from your construction that,
like Hom, Hom is a contravariant functor in its first argument and a covariant func-
tor in its second argument.
Warning: Hom does not commute with taking stalks. More precisely: it is
not true that Hom (F , G )p is isomorphic to Hom(Fp , Gp ). (Can you think of a
counterexample? There is at least a map from one of these to the other — in which
direction?)
2.3.4. We will use many variants of the definition of Hom . For example, if F and
G are sheaves of abelian groups on X, then Hom AbX (F , G ) is defined by taking
Hom AbX (F , G )(U) to be the maps as sheaves of abelian groups F |U → G |U . (Note
that Hom AbX (F , G ) has the structure of a sheaf of abelian groups in a natural way.)
Similarly, if F and G are OX -modules, we define Hom ModOX (F , G ) in the analo-
gous way (and it is an OX -module). Obnoxiously, the subscripts AbX and ModOX
are often dropped (here and in the literature), so be careful which category you are
working in! We call Hom ModOX (F , OX ) the dual of the OX -module F , and denote
it F ∨ .
2.3.D. U NIMPORTANT E XERCISE ( REALITY CHECK ).
∼ F , where {p}
(a) If F is a sheaf of sets on X, then show that Hom ({p}, F ) =
is the constant sheaf “with values in the one element set {p}”.
∼F
(b) If F is a sheaf of abelian groups on X, then show that Hom AbX (Z, F ) =
(an isomorphism of sheaves of abelian groups).
(c) If F is an OX -module, then show that Hom ModOX (OX , F ) = ∼ F (an iso-
morphism of OX -modules).
A key idea in (b) and (c) is that 1 “generates” (in some sense) Z (in (b)) and OX (in
(c)).
2.3.5. Presheaves of abelian groups (and even “presheaf OX -modules”) form an
abelian category.
We can make module-like constructions using presheaves of abelian groups
on a topological space X. (Throughout this section, all (pre)sheaves are of abelian
groups.) For example, we can clearly add maps of presheaves and get another map
of presheaves: if ϕ, ψ : F → G , then we define the map ϕ + ψ by (ϕ + ψ)(V) =
ϕ(V) + ψ(V). (There is something small to check here: that the result is indeed a
map of presheaves.) In this way, presheaves of abelian groups form an additive
category (Definition 1.6.1: the morphisms between any two presheaves of abelian
groups form an abelian group; there is a 0-object; and one can take finite products).
For exactly the same reasons, sheaves of abelian groups also form an additive
category.
If ϕ : F → G is a morphism of presheaves, define the presheaf kernel kerpre ϕ
by (kerpre ϕ)(U) := ker ϕ(U).
April 1, 2023 draft 79
2.3.E. E XERCISE . Show that kerpre ϕ is a presheaf. (Hint: if U ,→ V, define the
restriction map by chasing the following diagram:
0 / kerpre ϕ(V) / F (V) / G (V)
∃! resV,U resV,U
0 / kerpre ϕ(U) / F (U) / G (U)
You should check that the restriction maps compose as desired.)
Define the presheaf cokernel cokerpre ϕ similarly. It is a presheaf by essentially
the same (dual) argument.
2.3.F. E XERCISE : THE COKERNEL DESERVES ITS NAME . Show that the presheaf cok-
ernel satisfies the universal property of cokernels (Definition 1.6.3) in the category
of presheaves.
Similarly, kerpre ϕ → F satisfies the universal property for kernels in the cate-
gory of presheaves.
It is not too tedious to verify that presheaves of abelian groups form an abelian
category, and the reader is free to do so. The key idea is that all abelian-categorical
notions may be defined and verified “open set by open set”. We needn’t worry
about restriction maps — they “come along for the ride”. Hence we can define
terms such as subpresheaf, image presheaf (or presheaf image), and quotient
presheaf (or presheaf quotient), and they behave as you would expect. You con-
struct kernels, quotients, cokernels, and images open set by open set. Homological
algebra (exact sequences and so forth) works, and also “works open set by open
set”. In particular:
2.3.G. E ASY E XERCISE . Show (or observe) that for a topological space X with open
pre
set U, F 7→ F (U) gives a functor from presheaves of abelian groups on X, AbX ,
to abelian groups, Ab. Then show that this functor is exact.
2.3.H. E XERCISE . Show that a sequence of presheaves 0 → F1 → F2 → · · · →
Fn → 0 is exact if and only if 0 → F1 (U) → F2 (U) → · · · → Fn (U) → 0 is exact
for all U.
The above discussion essentially carries over without change to presheaves
with values in any abelian category. (Think this through if you wish.)
However, we are interested in more geometric objects, sheaves, where things
can be understood in terms of their local behavior, thanks to the identity and glu-
ing axioms. We will soon see that sheaves of abelian groups also form an abelian
category, but a complication will arise that will force the notion of sheafification on
us. Sheafification will be the answer to many of our prayers. We just haven’t yet
realized what we should be praying for.
To begin with, sheaves AbX form an additive category, as described in the first
paragraph of §2.3.5.
Kernels work just as with presheaves:
80 The Rising Sea: Foundations of Algebraic Geometry
2.3.I. I MPORTANT E XERCISE . Suppose ϕ : F → G is a morphism of sheaves. Show
that the presheaf kernel kerpre ϕ is in fact a sheaf. Show that it satisfies the uni-
versal property of kernels (Definition 1.6.3). (Hint: the second question follows
immediately from the fact that kerpre ϕ satisfies the universal property in the cate-
gory of presheaves.)
Thus if ϕ is a morphism of sheaves, we define
ker ϕ := kerpre ϕ.
The problem arises with the cokernel.
2.3.J. I MPORTANT E XERCISE . Let X be C with the classical topology, let OX be the
sheaf of holomorphic functions, and let F be the presheaf of functions admitting a
holomorphic logarithm. Describe an exact sequence of presheaves on X:
0 /Z / OX /F /0
where Z → OX is the natural inclusion and OX → F is given by f 7→ exp(2πif).
(Be sure to verify exactness.) Show that F is not a sheaf. (Hint: F does not satisfy
the gluability axiom. The problem is that there are functions that don’t have a
logarithm but locally have a logarithm.) This will come up again in Example 2.4.9.
We will have to put our hopes for understanding cokernels of sheaves on hold
for a while. We will first learn to understand sheaves using stalks.
2.4 Properties determined at the level of stalks, and sheafification
2.4.1. Properties determined by stalks. We now come to the second way of
understanding sheaves mentioned at the start of the chapter. In this section, we
will see that lots of facts about sheaves can be checked “at the level of stalks”.
We call any property determined at the level of stalks stalk-local. This isn’t true
for presheaves, and reflects the local nature of sheaves. We will see that sections
and morphisms are determined “by their stalks”, and the property of a morphism
being an isomorphism may be checked at stalks. (The last one is the trickiest.)
2.4.A. I MPORTANT EASY EXERCISE (sections are determined by germs). Prove
that a section of a sheaf of sets is determined by its germs, i.e., the natural map
F (U) /∏
([Link]) p∈U Fp
is injective. Hint 1: you won’t use the gluability axiom, so this is true for separated
presheaves. Hint 2: it is false for presheaves in general, see Exercise 2.4.E, so you
will use the identity axiom. (Your proof will also apply to sheaves of groups, rings,
etc. — to categories of “sets with additional structure”. The same is true of many
exercises in this section.)
Exercise 2.4.A suggests a question: which elements of the right side of ([Link])
are in the image of the left side?
April 1, 2023 draft 81
2.4.2.
∏ Important definition. We say that an element (sp )p∈U of the right side
p∈U Fp of ([Link]) consists of compatible germs if for all p ∈ U, there is some
representative
(s̃p ∈ F (Up ), Up open in U)
for sp (where p ∈ Up ⊂ U) such that the germ of s̃p at all q ∈ Up is sq . Equiv-
alently, there is an open cover {Ui } of U, and sections fi ∈ F (Ui ), such that if
p ∈ Ui , then sp is the germ of fi at p. Clearly any section s of F over U gives a
choice of compatible germs for U.
2.4.B. I MPORTANT E XERCISE . Prove that any choice of compatible germs for a
sheaf of sets F over U is the image of a section of F over U. (Hint: you will use
gluability.)
We have thus completely described the image of ([Link]), in a way that will
prove useful.
2.4.3. Remark. This perspective motivates the agricultural terminology “sheaf”: a
sheaf is (the data of) a bunch of stalks, bundled together appropriately.
Now we throw morphisms into the mix. Recall Exercise 2.3.A: morphisms of
(pre)sheaves induce morphisms of stalks.
2.4.C. E XERCISE (morphisms are determined by stalks). If ϕ1 and ϕ2 are mor-
phisms from a presheaf of sets F to a sheaf of sets G that induce the same maps
on each stalk, show that ϕ1 = ϕ2 . Hint: consider the following diagram.
([Link]) F (U) / G (U)
_
∏
Fp /∏ Gp
p∈U p∈U
2.4.D. T RICKY E XERCISE (isomorphisms are determined by stalks). Show that a
morphism of sheaves of sets is an isomorphism if and only if it induces an isomor-
phism of all stalks. Hint: Use ([Link]). Once you have injectivity, show surjectivity,
perhaps using Exercise 2.4.B, or gluability in some other way; this is more subtle.
Warning: This exercise does not say that if two sheaves have isomorphic stalks,
then they are isomorphic.
2.4.E. E XERCISE .
(a) Show that Exercise 2.4.A is false for general presheaves.
(b) Show that Exercise 2.4.C is false for general presheaves.
(c) Show that Exercise 2.4.D is false for general presheaves.
(General hint for finding counterexamples of this sort: consider a 2-point space
with the discrete topology.)
2.4.4. Sheafification.
Every sheaf is a presheaf (and indeed by definition sheaves on X form a full
subcategory of the category of presheaves on X). Just as groupification (§1.5.3)
82 The Rising Sea: Foundations of Algebraic Geometry
gives an abelian group that best approximates an abelian semigroup, sheafifica-
tion gives the sheaf that best approximates a presheaf, with an analogous univer-
sal property. (One possible example to keep in mind is the sheafification of the
presheaf of holomorphic functions admitting a square root on C with the classical
topology. See also the exponential exact sequence, Example 2.4.9.)
2.4.5. Definition. If F is a presheaf on X, then a morphism of presheaves sh : F →
F sh on X is a sheafification of F if F sh is a sheaf, and for any sheaf G , and
any presheaf morphism g : F → G , there exists a unique morphism of sheaves
f : F sh → G making the diagram
FD / F sh
sh
DD
DD
D
g DD
f
D!
G
commute.
We still have to show that it exists. The following two exercises require exis-
tence (which we will show shortly), but not the details of the construction.
2.4.F. E XERCISE . Show that sheafification is unique up to unique isomorphism, as-
suming it exists. Show that if F is a sheaf, then the sheafification is id : F /F .
(This should be second nature by now.)
2.4.G. E ASY E XERCISE ( SHEAFIFICATION IS A FUNCTOR ). Assume for now that
sheafification exists. Use the universal property to show that for any morphism of
presheaves ϕ : F → G , we get a natural induced morphism of sheaves ϕsh : F sh →
G sh . Show that sheafification is a functor from presheaves on X to sheaves on X.
2.4.6. Construction. We next show that any presheaf of sets (or groups, rings, etc.)
has a sheafification. Suppose F is a presheaf. Define F sh by defining F sh (U) as
the set of “compatible germs” of the presheaf F over U. Explicitly:
F sh (U) := {(fp ∈ Fp )p∈U : for all p ∈ U, there exists an open neighborhood V
of p, contained in U, and s ∈ F (V) with sq = fq for all q ∈ V}.
Here sq means the germ of s at q — the image of s in the stalk Fq .
2.4.H. E ASY E XERCISE . Show that F sh (using the tautological restriction maps)
forms a sheaf.
2.4.I. E ASY E XERCISE . Describe a natural map of presheaves sh : F → F sh .
2.4.J. E XERCISE . Show that the map sh satisfies the universal property of sheafifi-
cation (Definition 2.4.5). (This is easier than you might fear.)
2.4.K. U SEFUL EXERCISE , NOT JUST FOR CATEGORY- LOVERS . Show that the sheafi-
fication functor is left-adjoint to the forgetful functor from sheaves on X to presheaves
on X. This is not difficult — it is largely a restatement of the universal property.
But it lets you use results from §1.6.13, and can “explain” why you don’t need to
sheafify when taking kernel (why the presheaf kernel is already the sheaf kernel),
April 1, 2023 draft 83
and why you need to sheafify when taking cokernel and (soon, in Exercise 2.6.J)
⊗.
2.4.L. E XERCISE . Show F → F sh induces an isomorphism of stalks. (Possible
hint: Use the concrete description of the stalks. Another possibility once you read
Remark 2.7.3: judicious use of adjoints.)
As a reality check, you may want to verify that “the sheafification of a constant
presheaf is the corresponding constant sheaf” (see §2.2.10): if X is a topological
space and S is a set, then (Spre )sh may be naturally identified with S.
2.4.7. ⋆ Remark. The “space of sections” (or “espace étalé”) construction (§2.2.11)
yields a different-sounding description of sheafification which may be preferred
by some readers. The main idea is identical: if F is a presheaf, let F be the space of
sections (or espace étalé) of F . You may wish to show that if F is a presheaf, the
sheaf of sections of F → X (defined in Exercise 2.2.G(a)) is the sheafification of F .
Exercise 2.2.E may be interpreted as an example of this construction. The “space
of sections” construction of the sheafification is essentially the same as Construc-
tion 2.4.6.
2.4.8. Subsheaves and quotient sheaves.
We now discuss subsheaves and quotient sheaves from the perspective of
stalks.
2.4.M. E XERCISE . Suppose ϕ : F → G is a morphism of sheaves of sets on a
topological space X. Show that the following are equivalent.
(a) ϕ is a monomorphism in the category of sheaves.
(b) ϕ is injective on the level of stalks: ϕp : Fp → Gp is injective for all p ∈ X.
(c) ϕ is injective on the level of open sets: ϕ(U) : F (U) → G (U) is injective
for all open U ⊂ X.
(Possible hints: for (b) implies (a), recall that morphisms are determined by stalks,
Exercise 2.4.C. For (a) implies (c), use the “indicator sheaf” with one section over
every open set contained in U, and no section over any other open set.) If these
conditions hold, we say that F is a subsheaf of G (where the “inclusion” ϕ is
sometimes left implicit).
(You may later wish to extend your solution to Exercise 2.4.M to show that for
any morphism of presheaves, if all maps of sections are injective, then all stalk maps
are injective. And furthermore, if ϕ : F → G is a morphism from a separated
presheaf to an arbitrary presheaf, then injectivity on the level of stalks implies
that ϕ is a monomorphism in the category of presheaves. This is useful in some
approaches to Exercise 2.6.C.)
2.4.N. E XERCISE . Continuing the notation of the previous exercise, show that the
following are equivalent.
(a) ϕ is an epimorphism in the category of sheaves.
(b) ϕ is surjective on the level of stalks: ϕp : Fp → Gp is surjective for all
p ∈ X.
(Possible hint: use a skyscraper sheaf.)
If these conditions hold, we say that G is a quotient sheaf of F .
84 The Rising Sea: Foundations of Algebraic Geometry
Thus monomorphisms and epimorphisms — subsheafiness and quotient sheafiness —
can be checked at the level of stalks.
Both exercises generalize readily to sheaves with values in any reasonable cat-
egory, where “injective” is replaced by “monomorphism” and “surjective” is re-
placed by “epimorphism”.
Notice that there was no part (c) to Exercise 2.4.N, and Example 2.4.9 shows
why. (But there is a version of (c) that implies (a) and (b): surjectivity on all open
sets in the base of a topology implies that the corresponding map of sheaves is an
epimorphism, Exercise 2.5.D.)
2.4.9. Example (cf. Exercise 2.3.J). Let X = C with the classical topology, and define
OX to be the sheaf of holomorphic functions, and OX∗ to be the sheaf of invertible
(nowhere zero) holomorphic functions. This is a sheaf of abelian groups under
multiplication. We have maps of sheaves
×2πi exp
([Link]) 0 /Z / OX / O∗ / 1.
X
(You can figure out what the sheaves 0 and 1 mean; they are isomorphic, and are
written in this way for reasons that may be clear.) We will soon interpret this as
an exact sequence of sheaves of abelian groups (the exponential exact sequence, see
Exercise 2.6.E), although we don’t yet have the language to do so.
2.4.O. E NLIGHTENING E XERCISE . Show that exp : OX / O ∗ describes O ∗ as
X X
a quotient sheaf of OX . Find an open set on which this map is not surjective.
This is a great example to get a sense of what “surjectivity” means for sheaves:
nowhere vanishing holomorphic functions (such as the function x away from the
origin) have logarithms locally, but they need not have logarithms globally.
2.5 Recovering sheaves from a “sheaf on a base”
Sheaves are natural things to want to think about, but hard to get our hands on.
We like the identity and gluability axioms, but they make proving things trickier
than for presheaves. We have discussed how we can understand sheaves using
stalks (using “compatible germs”). We now introduce a second way of getting a
hold of sheaves, by introducing the notion of a sheaf on a base. Warning: this way
of understanding an entire sheaf from limited information is confusing. It may
help to keep sight of the central insight that this partial information is enough
to understand germs, and the notion of when they are compatible (with nearby
germs).
First, we define the notion of a base of a topology. Suppose we have a topo-
logical space X, i.e., we know which subsets Ui of X are open. Then a base of
a topology is a subcollection of the open sets {Bj } ⊂ {Ui }, such that each Ui is a
union of the Bj . Here is one example that you have seen early in your mathemati-
cal life. Suppose X = Rn . Then the way the classical topology is often first defined
is by defining open balls Br (x) = {y ∈ Rn : |y − x| < r}, and declaring that any
union of open balls is open. So the balls form a base of the classical topology — we
say they generate the classical topology. As an application of how we use them, to
April 1, 2023 draft 85
check continuity of some map π : X → Rn , you need only think about the pullback
of balls on Rn — part of the traditional δ-ϵ definition of continuity.
Now suppose we have a sheaf F on a topological space X, and a base {Bi } of
open sets on X. Then consider the information
({F (Bi )}, {resBi ,Bj : F (Bi ) → F (Bj )}),
which is a subset of the information contained in the sheaf — we are only paying
attention to the information involving elements of the base, not all open sets.
We can recover the entire sheaf from this information. This is because we can
determine the stalks from this information, and we can determine when germs are
compatible.
2.5.A. I MPORTANT E XERCISE . Make this precise. How can you recover a sheaf F
from this partial information?
This suggests a notion, called a sheaf on a base. A sheaf of sets (or abelian
groups, rings, . . . ) on a base {Bi } is the following. For each Bi in the base, we have
a set F(Bi ). If Bi ⊂ Bj , we have maps resBj ,Bi : F(Bj ) → F(Bi ), with resBi ,Bi =
idF(Bi ) . (Things called “B” are always assumed to be in the base.) If Bi ⊂ Bj ⊂ Bk ,
then resBk ,Bi = resBj ,Bi ◦ resBk ,Bj . So far we have defined a presheaf on a base
{Bi }.
We also require the base identity axiom: If B = ∪Bi , then if f, g ∈ F(B) are
such that resB,Bi f = resB,Bi g for all i, then f = g.
We require the base gluability axiom too: If B = ∪Bi , and we have fi ∈
F(Bi ) such that fi agrees with fj on any basic open set contained in Bi ∩ Bj (i.e.,
resBi ,Bk fi = resBj ,Bk fj for all Bk ⊂ Bi ∩ Bj ) then there exists f ∈ F(B) such that
resB,Bi f = fi for all i.
2.5.1. Theorem. — Suppose {Bi } is a base on X, and F is a sheaf of sets on this base.
∼
Then there is a sheaf F extending F (with isomorphisms F (Bi ) ←→ F(Bi ) agreeing with
the restriction maps). This sheaf F is unique up to unique isomorphism.
Proof. We will define F as the sheaf of compatible germs of F.
Define the stalk of a presheaf F on a base at p ∈ X by
Fp = colim F(Bi )
where the colimit is over all Bi (in the base) containing p.
We will say a family of germs in an open set U is compatible near p if there is a
section s of F over some Bi containing p such that the germs over Bi are precisely
the germs of s. More formally, define
F (U) := {(fp ∈ Fp )p∈U : for all p ∈ U, there exists B with p ∈ B ⊂ U, s ∈ F(B),
with sq = fq for all q ∈ B}
where each B is in our base.
This is a sheaf (for the same reasons that the sheaf of compatible germs was,
cf. Exercise 2.4.H).
I next claim that if B is in our base, the natural map F(B) → F (B) is an isomor-
phism.
86 The Rising Sea: Foundations of Algebraic Geometry
2.5.B. E XERCISE . Verify that F(B) → F (B) is an isomorphism, likely by showing
that it is injective and surjective (or else by describing the inverse map and verify-
ing that it is indeed inverse). Possible hint: elements of F (B) are determined by
stalks, as are elements of F(B).
It will be clear from your solution to Exercise 2.5.B that the restriction maps
for F are the same as the restriction maps of F (for elements of the base).
Finally, you should verify to your satisfaction that F is indeed unique up to
unique isomorphism. (First be sure that you understand what this means!) □
Theorem 2.5.1 shows that sheaves on X can be recovered from their “restriction
to a base”. It is clear from the argument (and in particular the solution to the
Exercise 2.5.B) that if F is a sheaf and F is the corresponding sheaf on the base B,
then for any p ∈ X, Fp is naturally isomorphic to Fp .
Theorem 2.5.1 is a statement about objects in a category, so we should hope for
a similar statement about morphisms.
2.5.C. I MPORTANT E XERCISE : M ORPHISMS OF SHEAVES CORRESPOND TO MOR -
PHISMS OF SHEAVES ON A BASE . Suppose {Bi } is a base for the topology of X. A
morphism F → G of sheaves on the base is a collection of maps F(Bk ) → G(Bk )
such that the diagram
F(Bi ) / G(Bi )
resBi ,Bj resBi ,Bj
F(Bj ) / G(Bj )
commutes for all Bj ,→ Bi .
(a) Verify that a morphism of sheaves is determined by the induced morphism of
sheaves on the base.
(b) Show that a morphism of sheaves on the base gives a morphism of the induced
sheaves. (Possible hint: compatible stalks.)
2.5.2. Remark. The above constructions and arguments describe an equivalence of
categories (§1.2.21) between sheaves on X and sheaves on a given base of X. There
is no new content to this statement, but you may wish to think through what it
means. What are the functors in each direction? Why aren’t their compositions
the identity?
2.5.3. Remark. It will be useful to extend these notions to OX -modules (see for
example Exercise 6.2.C). You will readily be able to verify that there is a correspon-
dence (really, equivalence of categories) between OX -modules and “OX -modules
on a base”. Rather than working out the details, you should just informally think
through the main points: what is an “OX -module on a base”? Given an OX -module
on a base, why is the corresponding sheaf naturally an OX -module? Later, if you
are forced at gunpoint to fill in details, you will be able to.
2.5.D. U NIMPORTANT EXERCISE . Suppose a morphism of sheaves F → G on a
base {Bi } is surjective for all Bi (i.e., F(Bi ) → G(Bi ) is surjective for all i). Show
that the corresponding morphism of sheaves (not on the base) is surjective (or more
precisely: an epimorphism). The converse is not true, unlike the case for injectivity.
This gives a useful sufficient criterion for “surjectivity”: a morphism of sheaves is
April 1, 2023 draft 87
an epimorphism (“surjective”) if it is surjective for sections on a base. You may
enjoy trying this out with Example 2.4.9 (dealing with holomorphic functions in
the classical topology on X = C), showing that the exponential map exp : OX → OX∗
is surjective, using the base of contractible open sets.
2.5.4. Gluing sheaves.
We will repeatedly see the theme of constructing some object by gluing, in
many different contexts. Keep an eye out for it! In each case, we carefully consider
what information we need in order to glue.
2.5.E. I MPORTANT E XERCISE . Suppose X = ∪Ui is an open cover of X, and we
have sheaves Fi on Ui along with isomorphisms
∼
ϕij : Fi |Ui ∩Uj −→ Fj |Ui ∩Uj
(with ϕii the identity) that agree on triple overlaps, i.e.,
([Link]) ϕjk ◦ ϕij = ϕik
on Ui ∩ Uj ∩ Uk (this is called the cocycle condition, for reasons we ignore). Show
that these sheaves can be glued together into a sheaf F on X (unique up to unique
∼
isomorphism), with isomorphisms F |Ui −→ Fi , and the isomorphisms over Ui ∩
Uj are the obvious ones. Warning: we are not assuming this is a finite cover, so you
cannot use induction. For this reason this exercise can be perplexing. (You can use
the ideas of this section to solve this problem, but you don’t necessarily need to.
Hint: As the base, take those open sets contained in some Ui .)
Thus we can “glue sheaves together”, using limited patching information.
Small observation: the hypothesis ϕii is the identity is extraneous, as it follows
from the cocycle condition.
2.5.5. Remark for experts. Exercise 2.5.E almost says that the “set” of sheaves forms
a sheaf itself, but not quite. Making this precise leads one to the notion of a stack.
2.6 Sheaves of abelian groups, and OX -modules, form abelian
categories
We are now ready to see that sheaves of abelian groups, and their cousins, OX -
modules, form abelian categories. In other words, we may treat them similarly to
vector spaces, and modules over a ring. In the process of doing this, we will see
that this is much stronger than an analogy; kernels, cokernels, exactness, and so
forth can be understood at the level of stalks (which are just abelian groups), and
the compatibility of the germs will come for free.
The category of sheaves of abelian groups on a topological space X is clearly an
additive category (Definition 1.6.1). In order to show that it is an abelian category,
we must begin by showing that any morphism ϕ : F → G has a kernel and a
cokernel. We have already seen that ϕ has a kernel (Exercise 2.3.I): the presheaf
kernel is a sheaf, and is a kernel in the category of sheaves.
88 The Rising Sea: Foundations of Algebraic Geometry
2.6.A. E XERCISE . Show that the stalk of the kernel is the kernel of the stalks: for
all p ∈ X, there is a natural isomorphism
∼
(ker(F → G ))p ←→ ker(Fp → Gp ).
We next address the issue of the cokernel. Now ϕ : F → G has a cokernel in
the category of presheaves; call it Hpre (where the subscript is meant to remind us
that this is a presheaf). Let sh : Hpre → H be its sheafification. Recall that the
cokernel is defined using a universal property: it is the colimit of the diagram
([Link]) F
ϕ
/G
0
in the category of presheaves (cf. ([Link]) and the comment thereafter).
2.6.1. Proposition. — The composition G → H is the cokernel of ϕ in the category of
sheaves.
Proof. We show that it satisfies the universal property. Given any sheaf E and a
commutative diagram
F
ϕ
/G
0 /E
We construct
F
ϕ
/G
0 VVVVV / Hpre
sh /
H
VVVV
VVVV
VVVV
VVVV
VVVV
*E
We show that there is a unique morphism H → E making the diagram commute.
As Hpre is the cokernel in the category of presheaves, there is a unique morphism
of presheaves Hpre → E making the diagram commute. But then by the universal
property of sheafification (Definition 2.4.5), there is a unique morphism of sheaves
H → E making the diagram commute. □
2.6.B. E XERCISE . Show that the stalk of the cokernel is naturally isomorphic to
the cokernel of the stalk.
We have now defined the notions of kernel and cokernel, and verified that they
may be checked at the level of stalks. We have also verified that the properties of
a morphism being a monomorphism or epimorphism are also determined at the
level of stalks (Exercises 2.4.M and 2.4.N). Hence we have proved the following:
2.6.2. Theorem. — Sheaves of abelian groups on a topological space X form an abelian
category.
April 1, 2023 draft 89
That’s all there is to it — what needs to be proved has been shifted to the stalks,
where everything works because stalks are abelian groups!
And we see more: all structures coming from the abelian nature of this cate-
gory may be checked at the level of stalks. For example:
2.6.C. E XERCISE . Suppose ϕ : F → G is a morphism of sheaves of abelian groups.
Show that the image sheaf im ϕ is the sheafification of the image presheaf. (You
must use the definition of image in an abelian category. In fact, this gives the
accepted definition of image sheaf for a morphism of sheaves of sets.) Show that
the stalk of the image is the image of the stalk.
As a consequence, exactness of a sequence of sheaves may be checked at the
level of stalks. In particular:
2.6.D. I MPORTANT E XERCISE ( CF. E XERCISE 2.3.A). Show that taking the stalk of
a sheaf of abelian groups is an exact functor. More precisely, if X is a topological
space and p ∈ X is a point, show that taking the stalk at p defines an exact functor
AbX → Ab.
2.6.E. E XERCISE . Check that the exponential exact sequence ([Link]) is exact.
2.6.F. E XERCISE : L EFT- EXACTNESS OF THE FUNCTOR OF “ SECTIONS OVER U”. Sup-
pose U ⊂ X is an open set, and 0 → F → G → H is an exact sequence of sheaves
of abelian groups. Show that
0 / F (U) / G (U) / H (U)
is exact. (You should do this “by hand”, even if you realize there is a very fast
proof using the left-exactness of the “forgetful” right adjoint to the sheafification
functor.) Show that the section functor need not be exact: show that if 0 → F →
G → H → 0 is an exact sequence of sheaves of abelian groups, then
0 / F (U) / G (U) / H (U) /0
need not be exact. (Hint: the exponential exact sequence ([Link]). But feel free to
make up a different example.)
2.6.G. E XERCISE : L EFT- EXACTNESS OF PUSHFORWARD . Suppose 0 → F → G →
H is an exact sequence of sheaves of abelian groups on X. If π : X → Y is a contin-
uous map, show that
0 / π∗ F / π∗ G / π∗ H
is exact. (The previous exercise, dealing with the left-exactness of the global sec-
tion functor can be interpreted as a special case of this, in the case where Y is a
point.)
2.6.H. E XERCISE : L EFT- EXACTNESS OF Hom ( CF. E XERCISE 1.6.G( C ) AND ( D )).
Suppose F is a sheaf of abelian groups on a topological space X. Show that
Hom (F , ·) is a left-exact covariant functor AbX → AbX . Show that Hom (·, F ) is
a left-exact contravariant functor AbX → AbX .
2.6.3. OX -modules.
90 The Rising Sea: Foundations of Algebraic Geometry
2.6.I. E XERCISE . Show that if (X, OX ) is a ringed space, then OX -modules form an
abelian category. (There is a fair bit to check, but there aren’t many new ideas.)
2.6.4. Many facts about sheaves of abelian groups carry over to OX -modules with-
out change, because a sequence of OX -modules is exact if and only if the under-
lying sequence of sheaves of abelian groups is exact. You should be able to easily
check that all of the statements of the earlier exercises in §2.6 also hold for OX -
modules, when modified appropriately. For example (Exercise 2.6.H), Hom OX (·, ·)
is a left-exact contravariant functor in its first argument and a left-exact covariant
functor in its second argument.
We end with a useful construction using some of the ideas in this section.
2.6.J. I MPORTANT E XERCISE : T ENSOR PRODUCTS OF OX - MODULES .
(a) Suppose OX is a sheaf of rings on X. Define (categorically) what we should
mean by tensor product of two OX -modules. Give an explicit construction, and
show that it satisfies your categorical definition. Hint: take the “presheaf tensor
product” — which needs to be defined — and sheafify. Note: ⊗OX is often written
⊗ when the subscript is clear from the context. (An example showing sheafifica-
tion is necessary will arise in Example 15.1.1.)
(b) Show that the tensor product of stalks is the stalk of the tensor product. (If you
can show this, you may be able to make sense of the phrase “colimits commute
with tensor products”.)
2.6.5. Conclusion. Just as presheaves of abelian groups on a topological space
form an abelian category because all abelian-categorical notions make sense open
set by open set, sheaves of abelian groups on a topological space form an abelian
category because all abelian-categorical notions make sense stalk by stalk.
2.7 The inverse image sheaf
We next describe a notion that is fundamental, but rather intricate. We will
not need it for some time, so this may be best left for a second reading. Suppose
we have a continuous map π : X → Y. If F is a sheaf on X, we have defined
the pushforward or direct image sheaf π∗ F , which is a sheaf on Y. There is also a
notion of inverse image sheaf. (We will not call it the pullback sheaf, reserving that
name for a later construction for quasicoherent sheaves, §14.5.) This is a covariant
functor π−1 from sheaves on Y to sheaves on X. If the sheaves on Y have some
additional structure (e.g., group or ring), then this structure is respected by π−1 .
2.7.1. Definition by adjoint: elegant but abstract. We define the inverse image π−1 as
the left adjoint to π∗ .
This isn’t really a definition; we need a construction to show that the adjoint
exists. Note that we then get canonical maps π−1 π∗ F → F (associated to the
identity in MorY (π∗ F , π∗ F )) and G → π∗ π−1 G (associated to the identity in
April 1, 2023 draft 91
MorX (π−1 G , π−1 G )).
π−1 G /F
zz kkkkk
zz k
kkk
zzz kkkkk
z k k
kzkk / π∗ F
X G
yyy kk kkk
y kk
π yy kkkk
yykykkkk
Yk
2.7.2. Construction: concrete but ugly. Define the temporary notation
pre G (U) = colimV⊃π(U) G (V).
π−1
(Recall the explicit description of colimit: sections of π−1
pre over U are sections on
open sets containing π(U), with an equivalence relation. Note that π(U) won’t be
an open set in general.)
2.7.A. E XERCISE . Show that this defines a presheaf on X. Show that it needn’t
form a sheaf. (Hint: map 2 points to 1 point.)
Now define the inverse image of G by π−1 G := (π−1 pre G ) . Note that π
sh −1
is a functor from sheaves on Y to sheaves on X. The next exercise shows that
π−1 is indeed left-adjoint to π∗ . But you may wish to try the later exercises first,
and come back to Exercise 2.7.B at another time. (For the later exercises, try to
give two proofs, one using the universal property, and the other using the explicit
description.)
2.7.B. I MPORTANT T RICKY E XERCISE ((π−1 , π∗ ) ARE ADJOINT ). If π : X → Y is a
continuous map, and F is a sheaf on X and G is a sheaf on Y, describe a bijection
∼
MorX (π−1 G , F ) o / MorY (G , π∗ F ).
Observe that your bijection is “natural” in the sense of the definition of adjoints
(i.e., functorial in both F and G ). Thus Construction 2.7.2 satisfies the universal
property of Definition 2.7.1. Possible hint: Show that both sides agree with the
following third construction, which we denote MorYX (G , F ). A collection of maps
ϕVU : G (V) → F (U) (as U runs through all open sets of X, and V runs through all
open sets of Y containing π(U)) is said to be compatible if for all open U ′ ⊂ U ⊂ X
and all open V ′ ⊂ V ⊂ Y with π(U) ⊂ V, π(U ′ ) ⊂ V ′ , the diagram
([Link]) G (V)
ϕVU
/ F (U)
resV,V ′ resU,U ′
ϕV ′ U ′
G (V ′ ) / F (U ′ )
commutes. Define MorYX (G , F ) to be the set of all compatible collections ϕ =
{ϕVU }.
2.7.3. Remark (“stalk and skyscraper are an adjoint pair”). As a special case, if X is a
point p ∈ Y, we see that π−1 G is the stalk Gp of G , and maps from the stalk Gp to
a set S are the same as maps of sheaves on Y from G to the skyscraper sheaf with
92 The Rising Sea: Foundations of Algebraic Geometry
set S supported at p. You may prefer to prove this special case by hand directly
before solving Exercise 2.7.B, as it is enlightening. (It can also be useful — can you
use it to solve Exercises 2.4.L and 2.4.N?)
2.7.C. E XERCISE . Show that the stalks of π−1 G are the same as the stalks of G .
∼
More precisely, if π(p) = q, describe a natural isomorphism Gq −→ (π−1 G )p . (Pos-
sible hint: use the concrete description of the stalk, as a colimit. Recall that stalks
are preserved by sheafification, Exercise 2.4.L. Alternatively, use adjointness.)
Exercise 2.7.C, along with the notion of compatible germs, may give you a
simple way of thinking about (and perhaps visualizing) inverse image sheaves.
Closely related: you can think of sections of the inverse image sheaf as, locally,
pullbacks of sections on the target. (Those preferring the “espace étalé” or “space
of sections” perspective, §2.2.11, can check that the pullback of the “space of sec-
tions” is the “space of sections” of the pullback.)
2.7.D. E XERCISE ( EASY BUT USEFUL ). If U is an open subset of Y, i : U → Y is the
inclusion, and G is a sheaf on Y, show that i−1 G is naturally isomorphic to G |U
(the restriction of G to U, §2.2.8).
2.7.E. E XERCISE . Show that π−1 is an exact functor from sheaves of abelian groups
on Y to sheaves of abelian groups on X (cf. Exercise 2.6.D). (Hint: exactness can be
checked on stalks, and by Exercise 2.7.C, the stalks are the same.) Essentially the
same argument will show that π−1 is an exact functor from OY -modules (on Y) to
(π−1 OY )-modules (on X), but don’t bother writing that down. (Remark for experts:
π−1 is a left adjoint, hence right-exact by abstract nonsense, as discussed in §1.6.13.
Left-exactness holds because colimits of abelian groups over filtered index sets are
exact, Exercise 1.6.L.)
2.7.4. Definition: The push-pull map.
Suppose
β′
([Link]) W /X
α′ α
Y
β
/Z
is a commutative (not necessarily Cartesian!) diagram, and F is a sheaf on X.
Define the push-pull map
([Link]) β−1 α∗ F / α∗′ (β ′ )−1 F
∼
of sheaves on Y as follows. Start with the identity (β ′ )−1 F −→ (β ′ )−1 F on W.
By adjointness of ((β ′ )−1 , β∗′ ), this is the same as the data of a morphism F →
(β∗′ )(β ′ )−1 F on X. Apply α∗ to get a map α∗ F → α∗ (β∗′ )(β ′ )−1 F on Z. By
the commutativity of ([Link]), this is the map α∗ F → β∗ (α∗′ )(β ′ )−1 F on Z. By
adjointness of (β−1 , β∗ ), this yields a map ([Link]).
We observe that this entire construction is functorial in F (i.e., given a map
F → G of sheaves on X, we get a certain commutative diagram of sheaves on Y —
what is it?). (We will later extend this to O-modules, quasicoherent sheaves, and
cohomology, see Exercises 7.2.D(f), 14.5.K, and 18.7.B.)
April 1, 2023 draft 93
2.7.F. E XERCISE . We could have defined the push-pull map in a “dual way” start-
ing with the identity α∗ F → α∗ F on Z, then using adjointness of (α∗ , α∗ ), and
continuing from there. Why does this give the same definition of the push-pull
map?
2.7.5. The support of a sheaf, and the support of a section of a sheaf.
Exercise 2.7.H below gives us an excuse to introduce the notion of support,
which we use repeatedly later.
2.7.6. Definition. Suppose F is a sheaf (or indeed separated presheaf) of abelian
groups on X, and s is a global section of F . Define the support of the section s,
denoted Supp s, to be the set of points p of X where s has a nonzero germ:
Supp s := {p ∈ X : sp ̸= 0 in Fp }.
We think of this as the subset of X where “the section s lives” — the complement
is the locus where s is the 0-section. (Unimportant: We ∏ could define this even if
F is a presheaf, but without the inclusion F (U) ,→ p∈U Fp of Exercise 2.4.A,
we could have the strange situation where we have a nonzero section that “lives
nowhere”, because it is 0 “near every point”, i.e., is 0 in every stalk.) Define the
support of a sheaf G of sets, denoted Supp G , as the locus where the stalks are
nonzero:
Supp G := {p ∈ X : |Gp | ̸= 0}.
Equivalently, Supp G is the union of supports of sections over all open sets. Clearly
support is a “stalk-local notion”, and hence “commutes” with to restriction to open
sets.
More generally, if the sheaf has value in some category, the support consists of
points where the stalk is not the initial object.
2.7.G. E XERCISE ( THE SUPPORT OF A SECTION IS CLOSED ). Show that Supp s is a
closed subset of X.
2.7.7. Caution: the locus where a continuous function is nonzero is open; the locus where
the germ of a function is nonzero is closed. Basically by the definition of continuity, the
locus where the value of a continuous function is nonzero is open. (More generally,
the locus where the value of a function on a locally ringed space is nonzero is
open, see Exercise 4.3.F(a).) In contrast, Exercise 2.7.G shows that the locus where
the germ of a function is nonzero is closed. We will try to avoid misunderstanding
by using phrases like “f is 0 at p” (the value of f is zero, i.e., f(p) = 0) and “f is 0
near p” (the germ of f is zero, i.e., f = 0 in OX,p , or equivalently, f is zero in some
neighborhood of p).
2.7.H. E XERCISE .
(a) Suppose Z ⊂ Y is a closed subset, and i : Z ,→ Y is the inclusion. If F is a sheaf
of sets on Z, then show that the stalk (i∗ F )q is ∅ if q ∈
/ Z, and Fq if q ∈ Z.
(b) Suppose Supp G ⊂ Z where Z is closed. Show that the natural map G → i∗ i−1 G
is an isomorphism. Thus a sheaf supported on a closed subset can be considered
a sheaf on that closed subset.
2.7.8. Extension by zero, an occasional left adjoint to the inverse image functor.
In addition to always being a left adjoint, π−1 can sometimes be a right adjoint,
94 The Rising Sea: Foundations of Algebraic Geometry
when π is an inclusion of an open subset. We discuss this when we need it, in
§23.4.7.
Part II
Schemes
L’idée même de schéma est d’une simplicité enfantine — si simple, si humble, que
personne avant moi n’avait songé à se pencher si bas. Si “bébête” même, pour tout dire,
que pendant des années encore et en dépit de l’évidence, pour beaucoup de mes savants
collègues, ça faisait vraiment “pas sérieux”!
The very idea of scheme is of infantile simplicity — so simple, so humble, that no one
before me thought of stooping so low. So childish, in short, that for years, despite all the
evidence, for many of my erudite colleagues, it was really “not serious”!
— A. Grothendieck [Gr6, p. P32], translated by C. McLarty [Mc, p. 313]
CHAPTER 3
Toward affine schemes: the underlying set, and
topological space
There is no serious historical question of how Grothendieck found his definition of
schemes. It was in the air. Serre has well said that no one invented schemes... The question
is, what made Grothendieck believe he should use this definition to simplify an 80 page
paper by Serre into some 1000 pages of Élements de Géométrie Algébrique?
— C. McLarty [Mc, p. 313]
3.1 Toward schemes
We are now ready to consider the notion of a scheme, which is the type of geometric
space central to algebraic geometry. We should first think through what we mean
by “geometric space”. You have likely seen the notion of a manifold, and we wish
to abstract this notion so that it can be generalized to other settings, notably so that
we can deal with nonsmooth and arithmetic objects.
The key insight behind this generalization is the following: we can understand
a geometric space (such as a manifold) well by understanding the functions on this
space. More precisely, we will understand it through the sheaf of functions on the
space. If we are interested in differentiable manifolds, we will consider smooth
functions; if we are interested in analytic manifolds, we will consider real analytic
functions; and so on.
Thus we will define a scheme to be the following data
• The set: the points of the scheme
• The topology: the open sets of the scheme
• The structure sheaf: the sheaf of “algebraic functions” (a sheaf of rings) on
the scheme.
Recall that a topological space with a sheaf of rings is called a ringed space (§2.2.13).
We will try to draw pictures throughout. Pictures can help develop geometric
intuition, which can guide the algebraic development (and, eventually, vice versa).
Some people find pictures very helpful, while others are repulsed or confused.
We will try to make all three notions as intuitive as possible. For the set, in
the key example of complex (affine) varieties (roughly, things cut out in Cn by
polynomials), we will see that the points are the “traditional points” (n-tuples of
complex numbers), plus some extra points that will be handy to have around. For
the topology, we will require that “the subset where an algebraic function vanishes
must be closed”, and require nothing else. For the sheaf of algebraic functions (the
structure sheaf), we will expect that in the complex plane, (3x2 +y2 )/(2x+4xy+1)
97
98 The Rising Sea: Foundations of Algebraic Geometry
should be an algebraic function on the open set consisting of points where the
denominator doesn’t vanish, and this will largely motivate our definition.
3.1.1. Example: Differentiable manifolds. As motivation, we return to our
example of differentiable manifolds, reinterpreting them in this light. We will be
quite informal in this discussion. Suppose X is a differentiable manifold. It is a
topological space, and has a sheaf of smooth (C∞ ) functions OX (see §2.1). This gives
X the structure of a ringed space. We have observed that evaluation at a point
p ∈ X gives a surjective map from the stalk to R
OX,p / / R,
so the kernel, the (germs of) functions vanishing at p, is a maximal ideal mX,p (see
§2.1.1).
We could define a differentiable real manifold as a topological space X with a
sheaf of rings (see Definition 4.3.9). We would require that there is a cover of X
by open sets such that on each open set the ringed space is isomorphic to a ball
around the origin in Rn (with the sheaf of smooth functions on that ball). With this
definition, the ball is the basic patch, and a general manifold is obtained by gluing
these patches together. (Admittedly, a great deal of geometry comes from how
one chooses to patch the balls together!) In the algebraic setting, the basic patch
is the notion of an affine scheme, which we will discuss soon. (In the definition of
manifold, there is an additional requirement that the topological space be Haus-
dorff and second-countable, to avoid pathologies. Schemes are often required to
be “separated” to avoid essentially the same pathologies. Separatedness will be
discussed in Chapter 11.)
Functions are determined by their values at points. This is an obvious statement,
but won’t be true for schemes in general. We will see an example in Exercise 3.2.A(a),
and discuss this behavior further in §3.2.12.
Morphisms of manifolds. How can we describe maps of differentiable manifolds
π : X → Y? They are certainly continuous maps — but which ones? We can pull
back functions along continuous maps. Smooth functions pull back to smooth
functions. More formally, we have a map π−1 OY → OX . (The inverse image sheaf
π−1 was defined in §2.7.) Inverse image is left-adjoint to pushforward, so we also
get a map π♯ : OY → π∗ OX .
Certainly given a map of differentiable manifolds, smooth functions pull back
to smooth functions. It is less obvious that this is a sufficient condition for a continuous
map to be smooth.
3.1.A. I MPORTANT E XERCISE FOR THOSE WITH A LITTLE EXPERIENCE WITH MANI -
FOLDS . Suppose that π : X → Y is a continuous map of differentiable manifolds (as
topological spaces — not a priori smooth). Show that π is smooth if smooth func-
tions pull back to smooth functions, i.e., if pullback by π gives a map OY → π∗ OX .
(Hint: check this on small patches. Once you figure out what you are trying to
show, you will realize that the result is immediate.)
3.1.B. E XERCISE . Show that a morphism of differentiable manifolds π : X →
Y with π(p) = q induces a morphism of stalks π♯ : OY,q → OX,p . Show that
π♯ (mY,q ) ⊂ mX,p . In other words, if you pull back a function that vanishes at
April 1, 2023 draft 99
q, you get a function that vanishes at p — not a huge surprise. (In §7.3, we for-
malize this by saying that maps of manifolds are maps of locally ringed spaces.)
3.1.2. Aside. Here is a little more for experts: Notice that π induces a map on
tangent spaces (see Aside 2.1.2)
(mX,p /m2X,p )∨ / (mY,q /m2 )∨ .
Y,q
This is the tangent map you would geometrically expect. Again, it is interesting
that the cotangent map mY,q /m2Y,q → mX,p /m2X,p is algebraically more natural than
the tangent map (there are no “duals”).
Experts are now free to try to interpret other differential-geometric informa-
tion using only the map of topological spaces and map of sheaves. For example:
how can one check if π is a submersion of manifolds? How can one check if f
is an immersion? (We will see that the algebro-geometric version of these no-
tions are smooth morphism and unramified morphism; see Definition 13.6.2 and §21.6,
respectively.)
3.1.3. Side Remark. Manifolds are covered by disks that are all isomorphic. This
isn’t true for schemes (even for “smooth complex varieties”). There are examples
of two “smooth complex curves” (the algebraic version of Riemann surfaces) X
and Y so that no nonempty open subset of X is isomorphic to a nonempty open
subset of Y (see Exercise 7.5.L). And there is a Riemann surface X such that no two
open subsets of X are isomorphic (see Exercise 19.7.F). Informally, this is because
in the Zariski topology on schemes, all nonempty open sets are “huge” and have
more “structure”.
3.1.4. Other examples. If you are interested in differential geometry, you might
be interested in differentiable manifolds, on which the functions under considera-
tion are smooth functions. Similarly, if you are interested in topology, you will be
interested in topological spaces, on which you will consider the continuous func-
tions. If you are interested in complex geometry, you will be interested in complex
manifolds (or possibly “complex analytic varieties”), on which the functions are
holomorphic functions. In each of these cases of interesting “geometric spaces”,
the topological space and sheaf of functions is clear. The notion of scheme fits
naturally into this family.
3.2 The underlying set of an affine scheme
For any ring A, we are going to define something called Spec A, the spectrum
of A. In this section, we will define it as a set, but we will soon endow it with a
topology, and later we will define a sheaf of rings on it (the structure sheaf). Such
an object is called an affine scheme. Later Spec A will denote the set along with
the topology, and a sheaf of functions. But for now, as there is no possibility of
confusion, Spec A will just be the set.
100 The Rising Sea: Foundations of Algebraic Geometry
3.2.1. The set Spec A is the set of prime ideals of A. The prime ideal p of A when
considered as an element of Spec A will be denoted [p], to avoid confusion. Ele-
ments a ∈ A will be called functions on Spec A, and their value at the point [p]
will be a (mod p). This is weird: a function can take values in different rings at differ-
ent points — the function 5 on Spec Z takes the value 1 (mod 2) at [(2)] and 2 (mod 3)
at [(3)].
“An element a of the ring lying in a prime ideal p” translates to “a function a that
is 0 at the point [p]” or “a function a vanishing at the point [p]”, and we will use
these phrases interchangeably. Notice that if you add or multiply two functions,
you add or multiply their values at all points; this is a translation of the fact that
A → A/p is a ring morphism. These translations are important — make sure you
are very comfortable with them! They should become second nature.
If A is generated over a base field (or base ring) by elements x1 , . . . , xr , the
elements x1 , . . . , xr are often called coordinates, because we will later be able to
reinterpret them as restrictions of “coordinates on r-space”, via the idea of §3.2.10,
made precise in Exercise 7.2.F.
3.2.2. Beginning of a grand dictionary between algebra and geometry. We are building
up the beginning of a grand dictionary; see the first part of §3.7.2.
3.2.3. Glimpses of the future. In §4.1.3: we will interpret functions on Spec A as
global sections of the “structure sheaf”, i.e., as a function on a ringed space, in the
sense of §2.2.13. We repeat a caution from §2.2.13: what we will call “functions”,
others may call “regular functions”. And we will later define “rational functions”
(§6.6.36), which are not precisely functions in this sense; they are a particular type
of “partially-defined function”.
The notion of “value of a function” will be later interpreted as a value of a
function on a particular locally ringed space, see Definition 4.3.7.
3.2.4. We now give some examples.
Example 1 (the complex affine line): A1C := Spec C[x]. Let’s find the prime
ideals of C[x]. As C[x] is an integral domain, 0 is prime. Also, (x − a) is prime, for
any a ∈ C: it is even a maximal ideal, as the quotient by this ideal is a field:
f7→f(a)
0 / (x − a) / C[x] /C /0
(This exact sequence may remind you of ([Link]) in our motivating example of
manifolds.)
We now show that there are no other prime ideals. We use the fact that C[x]
has a division algorithm, and is a unique factorization domain. Suppose p is a
prime ideal. If p ̸= (0), then suppose f(x) ∈ p is a nonzero element of smallest
degree. It is not constant, as prime ideals can’t contain 1. If f(x) is not linear,
then factor f(x) = g(x)h(x), where g(x) and h(x) have positive degree. (Here we
use that C is algebraically closed.) Then g(x) ∈ p or h(x) ∈ p, contradicting the
minimality of the degree of f. Hence there is a linear element x − a of p. Then I
claim that p = (x − a). Suppose f(x) ∈ p. Then the division algorithm would give
f(x) = g(x)(x − a) + m where m ∈ C. Then m = f(x) − g(x)(x − a) ∈ p. If m ̸= 0,
then 1 ∈ p, giving a contradiction.
April 1, 2023 draft 101
Thus we can and should (and must!) make a picture of A1C = Spec C[x] (see
Figure 3.1). This is just the first illustration of a point of view of Sophie Germain
[Ge]: “L’algèbre n’est qu’une géométrie écrite; la géométrie n’est qu’une algèbre
figurée.” (Algebra is but written geometry; geometry is but drawn algebra.)
There is one “traditional” point for each complex number, plus one extra (“bonus”)
point [(0)]. We can mostly picture A1C as C: the point [(x − a)] we will reasonably
associate to a ∈ C. Where should we picture the point [(0)]? The best way of think-
ing about it is somewhat zen. It is somewhere on the complex line, but nowhere in
particular. Because (0) is contained in all of these prime ideals, we will somehow
associate it with this line passing through all the other points. This new point [(0)]
is called the “generic point” of the line. (We will formally define “generic point”
in §3.6.) It is “generically on the line” but you can’t pin it down any further than
that. It is not at any particular place on the line. (This is misleading too — we will
see in Easy Exercise 3.6.N that it is “near” every point. So it is near everything, but
located nowhere precisely.) We will place it far to the right for lack of anywhere
better to put it. You will notice that we sketch A1C as one-(real-)dimensional (even
though we picture it as an enhanced version of C); this is to later remind ourselves
that this will be a one-dimensional space, where dimensions are defined in an al-
gebraic (or complex-geometric) sense. (Dimension will be defined in Chapter 12.)
F IGURE 3.1. A picture of A1C = Spec C[x]
To give you some feeling for this space, we make some statements that are
currently undefined, but suggestive. The functions on A1C are the polynomials. So
f(x) = x2 − 3x + 1 is a function. What is its value at [(x − 1)], which we think of as
the point 1 ∈ C? Answer: f(1)! Or equivalently, we can evaluate f(x) modulo x − 1
— this is the same thing by the division algorithm. (What is its value at [(0)]? It is
f(x) (mod 0), which is just f(x).)
Here is a more complicated example: g(x) = (x − 3)3 /(x − 2) is a “rational
function”. It is defined everywhere but x = 2. (When we know what the structure
102 The Rising Sea: Foundations of Algebraic Geometry
sheaf is, we will be able to say that it is an element of the structure sheaf on the
open set A1C \ {2}.) We want to say that g(x) has a triple zero at 3, and a single pole
at 2, and we will be able to after §13.5.
Example 2 (the affine line over k = k): A1k := Spec k[x] where k is an alge-
braically closed field. This is called the affine line over k. All of our discussion in
the previous example carries over without change. We will use the same picture,
which is after all intended to just be a metaphor.
Example 3: Spec Z. An amazing fact is that from our perspective, this will
look a lot like the affine line Ak1 . The integers, like k[x], form a unique factorization
domain, with a division algorithm. The prime ideals are: (0), and (p) where p
is prime. Thus everything from Example 1 carries over without change, even the
picture. Our picture of Spec Z is shown in Figure 3.2.
(2) (3) (5) ··· (0)
F IGURE 3.2. A “picture” of Spec Z, which looks suspiciously like Figure 3.1
Let’s blithely carry over our discussion of functions to this space. 100 is a
function on Spec Z. Its value at (3) is “1 (mod 3)”. Its value at (2) is “0 (mod 2)”,
and in fact it has a double zero. 27/4 is a “rational function” on Spec Z, defined
away from (2). We want to say that it has a double pole at (2), and a triple zero at
(3). Its value at (5) is
27 × 4−1 ≡ 2 × (−1) ≡ 3 (mod 5).
(We will gradually make this discussion precise over time.)
Example 4: silly but important examples, and the German word for bacon.
The set Spec k where k is any field is boring: one point. Spec 0, where 0 is the
zero-ring, is the empty set, as 0 has no prime ideals.
3.2.A. A SMALL EXERCISE ABOUT SMALL SCHEMES .
(a) Describe the set Spec k[ϵ]/(ϵ2 ). The ring k[ϵ]/(ϵ2 ) is called the ring of dual
numbers, and will turn out to be quite useful. You should think of ϵ as a very small
number, so small that its square is 0 (although it itself is not 0). It is a nonzero func-
tion whose value at all points is zero, thus giving our first example of functions
not being determined by their values at points. We will discuss this phenomenon
further in §3.2.12.
(b) Describe the set Spec k[x](x) (see §1.3.3 for a discussion of localization). We
will see this scheme again repeatedly, starting with §3.2.9 and Exercise 3.4.K. You
might later think of it as a shred of a particularly nice “smooth curve”.
In Example 2, we restricted to the case of algebraically closed fields for a rea-
son: things are more subtle if the field is not algebraically closed.
Example 5 (the affine line over R): A1R = Spec R[x]. Using the fact that R[x]
is a Euclidean domain, similar arguments to those of Examples 1–3 show that the
April 1, 2023 draft 103
prime ideals are (0), (x − a) where a ∈ R, and (x2 + ax + b) where x2 + ax + b
is an irreducible quadratic. The latter two are maximal ideals, i.e., their quotients
∼ R, R[x]/(x2 + 1) =
are fields. For example: R[x]/(x − 3) = ∼ C.
3.2.B. U NIMPORTANT E XERCISE . Show that for the last type of prime, of the form
(x2 + ax + b), the quotient is always isomorphic to C.
So we have the points that we would normally expect to see on the real line,
corresponding to real numbers; the generic point 0; and new points which we may
interpret as conjugate pairs of complex numbers (the roots of the quadratic). This
last type of point should be seen as more akin to the real numbers than to the
generic point. You can picture A1R as the complex plane, folded along the real axis.
But the key point is that Galois-conjugate points (such as i and −i) are considered
glued.
Let’s explore functions on this space. Consider the function f(x) = x3 − 1. Its
value at the point [(x − 2)] is f(x) = 7, or perhaps better, 7 (mod x − 2). How about
at (x2 + 1)? We get
x3 − 1 ≡ −x − 1 (mod x2 + 1),
which may be profitably interpreted as −i − 1.
One moral of this example is that we can work over a non-algebraically closed
field if we wish. It is more complicated, but we can recover much of the informa-
tion we care about.
3.2.C. I MPORTANT E XERCISE . Describe the set A1Q . (This is harder to picture in a
way analogous to A1R . But the rough cartoon of points on a line, as in Figure 3.1,
remains a reasonable sketch.)
Example 6 (the affine line over Fp ): A1Fp = Spec Fp [x]. As in the previous
examples, Fp [x] is a Euclidean domain, so the prime ideals are of the form (0) or
(f(x)) where f(x) ∈ Fp [x] is an irreducible polynomial, which can be of any degree.
Irreducible polynomials correspond to sets of Galois conjugates in Fp .
Note that Spec Fp [x] has p points corresponding to the elements of Fp , but
also many more (infinitely more, see Exercise 3.2.D). This makes this space much
richer than simply p points. For example, a polynomial f(x) is not determined by
its values at the p elements of Fp , but it is determined by its values at the points of
Spec Fp [x]. (As we have mentioned before, this is not true for all schemes.)
You should think about this, even if you are a geometric person — this intu-
ition will later turn up in geometric situations. Even if you think you are interested
only in working over an algebraically closed field (such as C), you will have non-
algebraically closed fields (such as C(x)) forced upon you.
3.2.D. E XERCISE . If k is a field, show that Spec k[x] has infinitely many points.
(Hint: Euclid’s proof of the infinitude of primes of Z.)
Example 7 (the complex affine plane): A2C = Spec C[x, y]. (As with Examples 1
and 2, our discussion will apply with C replaced by any algebraically closed field.)
Sadly, C[x, y] is not a principal ideal domain: (x, y) is not a principal ideal. We
can quickly name some prime ideals. One is (0), which has the same flavor as the
(0) ideals in the previous examples. (x − 2, y − 3) is prime, and indeed maximal,
∼ C, where this isomorphism is via f(x, y) 7→ f(2, 3).
because C[x, y]/(x − 2, y − 3) =
104 The Rising Sea: Foundations of Algebraic Geometry
More generally, (x − a, y − b) is prime for any (a, b) ∈ C2 . Also, if f(x, y) is an
irreducible polynomial (e.g., y − x2 or y2 − x3 ) then (f(x, y)) is prime.
3.2.E. E XERCISE . Show that we have identified all the prime ideals of C[x, y]. Hint:
Suppose p is a prime ideal that is not principal. Show you can find f(x, y), g(x, y) ∈
p with no common factor. By considering the Euclidean algorithm in the Euclidean
domain C(x)[y], show that you can find a nonzero h(x) ∈ (f(x, y), g(x, y)) ⊂ p.
Using primality, show that one of the linear factors of h(x), say (x − a), is in p.
Similarly show there is some (y − b) ∈ p.
F IGURE 3.3. Picturing A2C = Spec C[x, y]
We now attempt to draw a picture of A2C (see Figure 3.3). The maximal prime
ideals of C[x, y] correspond to the traditional points in C2 : [(x − a, y − b)] corre-
sponds to (a, b) ∈ C2 . We now have to visualize the “bonus points”. [(0)] some-
how lives behind all of the traditional points; it is somewhere on the plane, but
nowhere in particular. So for example, it does not lie on the parabola y = x2 . The
point [(y − x2 )] lies on the parabola y = x2 , but nowhere in particular on it. (Fig-
ure 3.3 is a bit misleading. For example, the point [(0)] isn’t in the fourth quadrant;
it is somehow near every other point, which is why it is depicted as a somewhat
diffuse large dot.) You can see from this picture that we already are implicitly
thinking about “dimension”. The prime ideals (x − a, y − b) are somehow of di-
mension 0, the prime ideals (f(x, y)) are of dimension 1, and (0) is of dimension
2. (All of our dimensions here are complex or algebraic dimensions. The complex
plane C2 has real dimension 4, but complex dimension 2. Complex dimensions
are in general half of real dimensions.) We won’t define dimension precisely until
Chapter 12, but you should feel free to keep it in mind before then.
Note too that maximal ideals correspond to the “smallest” points. Smaller
ideals correspond to “bigger” points. “One prime ideal contains another” means
that the points “have the opposite containment.” All of this will be made precise
once we have a topology. This order-reversal is a little confusing, and will remain
so even once we have made the notions precise.
We now come to the obvious generalization of Example 7.
April 1, 2023 draft 105
Example 8 (complex affine n-space — important!): Let An C := Spec C[x1 , . . . , xn ].
(Important definition: More generally, An A is defined to be Spec A[x1 , . . . , xn ], where
A is an arbitrary ring. When the base ring is clear from context, the subscript A is
often omitted. For pedants: the notation An A implicitly includes the data of the n
“coordinate functions” x1 , . . . , xn .) For concreteness, let’s consider n = 3. We now
have an interesting question in what at first appears to be pure algebra: What are
the prime ideals of C[x, y, z]?
Analogously to before, (x − a, y − b, z − c) is a prime ideal. This is a maximal
ideal, because its residue ring is a field (C); we think of these as “0-dimensional
points”. We will often write (a, b, c) for [(x − a, y − b, z − c)] because of our geomet-
ric interpretation of these ideals. There are no more maximal ideals, by Hilbert’s
Weak Nullstellensatz.
3.2.5. Hilbert’s Weak Nullstellensatz. — If k is an algebraically closed field, then the
maximal ideals of k[x1 , . . . , xn ] are precisely those ideals of the form (x1 − a1 , . . . , xn −
an ), where ai ∈ k.
We may as well state a slightly stronger version now.
3.2.6. Hilbert’s Nullstellensatz. — If k is any field, every maximal ideal of k[x1 , . . . , xn ]
has residue field a finite extension of k. Translation: any field extension of k that is finitely
generated as a ring is necessarily also finitely generated as a module (i.e., is a finite exten-
sion of fields).
This statement is also often called Zariski’s Lemma.
3.2.F. E XERCISE . Show that the Nullstellensatz 3.2.6 implies the Weak Nullstellen-
satz 3.2.5.
We will prove the Nullstellensatz in §8.4.3, and again in Exercise 12.2.B.
The following fact is a useful accompaniment to the Nullstellensatz.
3.2.G. E XERCISE ( NOT REQUIRING THE N ULLSTELLENSATZ ). Any integral do-
main A which is a finite k-algebra (i.e., a k-algebra that is a finite-dimensional vec-
tor space over k) must be a field. Hint: for any nonzero x ∈ A, show ×x : A → A is
an isomorphism. (Thus, in combination the Nullstellensatz 3.2.6, we see that prime
ideals of k[x1 , . . . , xn ] with finite-dimensional residue ring are the same as maximal ideals
of k[x1 , . . . , xn ]. This is worth remembering.)
There are other prime ideals of C[x, y, z] too. We have (0), which corresponds
to a “3-dimensional point”. We have (f(x, y, z)), where f is irreducible. To this
we associate the “hypersurface” f = 0, so this is “2-dimensional” in nature. But
we have not found them all! One clue: we have prime ideals of “dimension” 0,
2, and 3 — we are missing “dimension 1”. Here is one such prime ideal: (x, y).
We picture this as the locus where x = y = 0, which is the z-axis. This is a prime
∼ C[z] is an integral domain
ideal, as the corresponding quotient C[x, y, z]/(x, y) =
(and should be interpreted as the functions on the z-axis). There are lots of “1-
dimensional prime ideals”, and it is not possible to classify them in a reasonable
way. It will turn out that they correspond to things that we think of as irreducible
curves. Thus remarkably the answer to the purely algebraic question (“what are
the prime ideals of C[x, y, z]”) is fundamentally geometric!
106 The Rising Sea: Foundations of Algebraic Geometry
The fact that the points of A1Q corresponding to maximal ideals of the ring Q[x]
(what we will soon call “closed points”, see Definition 3.6.8) can be interpreted as
points of Q where Galois-conjugates
√ √ are glued together
√ √(Exercise 3.2.C) extends
√ √ to
AnQ . For example, in A 2
Q , ( 2, 2) is glued to (− 2, − 2) but not to ( 2, − 2).
The following exercise will give you some idea of how this works.
√ √
√ . Describe the maximal ideal of Q[x, y] corresponding to √
3.2.H. E√XERCISE ( 2, √2)
and (− √2, − √ 2). Describe the maximal ideal of Q[x, y] corresponding to ( 2, − 2)
and (− 2, 2). What are the residue fields in each case?
The description of “closed points” of A2Q (those points corresponding to maxi-
2
mal ideals of the ring Q[x, y]) as Galois-orbits of points in Q can even be extended
to other “nonclosed” points, as follows.
3.2.I. U NIMPORTANT AND TRICKY BUT FUN EXERCISE . Consider the map of sets
ϕ : C2 → A2Q defined as follows. (z1 , z2 ) is sent to the prime ideal of Q[x, y] con-
sisting of polynomials vanishing at (z1 , z2 ).
(a) What is the image of (π, π2 )?
⋆ (b) Show that ϕ is surjective. (Warning: You will need some ideas we haven’t
discussed in order to solve this. Once we define the Zariski topology on A2Q , you
will be able to check that ϕ is continuous, where we give C2 the classical topology.
This example generalizes. For example, you may later be able to generalize this to
arbitrary dimension.)
3.2.7. Quotients and localizations. Two natural ways of getting new rings from
old — quotients and localizations — have interpretations in terms of spectra.
3.2.8. Quotients: Spec A/I as a subset of Spec A. It is an important fact that the
prime ideals of A/I are in bijection with the prime ideals of A containing I.
3.2.J. E SSENTIAL ALGEBRA EXERCISE ( MANDATORY IF YOU HAVEN ’ T SEEN IT BE -
FORE ). Suppose A is a ring, and I an ideal of A. Let ϕ : A → A/I. Show that ϕ−1
gives an inclusion-preserving bijection between prime ideals of A/I and prime
ideals of A containing I. Thus we can picture Spec A/I as a subset of Spec A.
As an important motivational special case, you now have a picture of affine
complex varieties. Suppose A is a finitely generated C-algebra, generated by x1 , . . . ,
xn , with relations f1 (x1 , . . . , xn ) = · · · = fr (x1 , . . . , xn ) = 0. Then this description
in terms of generators and relations naturally gives us an interpretation of Spec A
as a subset of An C , which we think of as “traditional points” (n-tuples of complex
numbers) along with some “bonus” points we haven’t yet fully described. To see
which of the traditional points are in Spec A, we simply solve the equations f1 =
· · · = fr = 0. For example, Spec C[x, y, z]/(x2 +y2 −z2 ) may be pictured as shown in
Figure 3.4. (Admittedly this is just a “sketch of the R-points”, but we will still find
it helpful later.) This entire picture carries over (along with the Nullstellensatz)
with C replaced by any algebraically closed field. Indeed, the picture of Figure 3.4
can be said to depict k[x, y, z]/(x2 + y2 − z2 ) for most algebraically closed fields k
(although it is misleading in characteristic 2, because of the coincidence x2 + y2 −
z2 = (x + y + z)2 ).
April 1, 2023 draft 107
F IGURE 3.4. A “picture” of Spec C[x, y, z]/(x2 + y2 − z2 )
3.2.9. Localizations: Spec S−1 A as a subset of Spec A. The following exercise shows
how prime ideals behave under localization.
3.2.K. E SSENTIAL ALGEBRA EXERCISE ( MANDATORY IF YOU HAVEN ’ T SEEN IT BE -
FORE ). Suppose S is a multiplicative subset of A. Describe an order-preserving
bijection of the prime ideals of S−1 A with the prime ideals of A that don’t meet the
multiplicative set S.
Recall from §1.3.3 that there are two important flavors of localization. The
first is Af = {1, f, f2 , . . . }−1 A where f ∈ A. A motivating example is A = C[x, y],
f = y − x2 . The second is Ap = (A − p)−1 A, where p is a prime ideal. A motivating
example is A = C[x, y], S = A − (x, y).
If S = {1, f, f2 , . . . }, the prime ideals of S−1 A are just those prime ideals not con-
taining f — the points where “f doesn’t vanish”. (In §3.5, we will call this a distin-
guished open set, once we know what open sets are.) So to picture Spec C[x, y]y−x2 ,
we picture the affine plane, and throw out those points on the parabola y − x2 —
the points (a, a2 ) for a ∈ C (by which we mean [(x − a, y − a2 )]), as well as the
“new kind of point” [(y − x2 )].
It can be initially confusing to think about localization in the case where zerodi-
visors are inverted, because localization A → S−1 A is not injective (Exercise 1.3.C).
Geometric intuition can help. Consider the case A = C[x, y]/(xy) and f = x. What
is the localization Af ? The space Spec C[x, y]/(xy) “is” the union of the two axes
in the plane. Localizing means throwing out the locus where x vanishes. So we
are left with the x-axis, minus the origin, so we expect Spec C[x]x . So there should
be some natural isomorphism
∼ / C[x]x .
(C[x, y]/(xy))x
3.2.L. E XERCISE . Show that these two rings are isomorphic. (You will see that y
on the left goes to 0 on the right.)
If S = A−p, the prime ideals of S−1 A are just the prime ideals of A contained in
p. In our example A = C[x, y], p = (x, y), we keep all those points corresponding to
“things through the origin”, i.e., the 0-dimensional point (x, y), the 2-dimensional
point (0), and those 1-dimensional points (f(x, y)) where f(0, 0) = 0, i.e., those
108 The Rising Sea: Foundations of Algebraic Geometry
“irreducible curves through the origin”. You can think of this being a shred of the
plane near the origin; anything not actually “visible” at the origin is discarded (see
Figure 3.5).
Spec C[x, y](x,y)
F IGURE 3.5. Picturing Spec C[x, y](x,y) as a “shred of A2C ”. Only
those points near the origin remain.
Another example is when A = k[x], and p = (x) (or more generally when p is
any maximal ideal). Then Ap has only two prime ideals (Exercise 3.2.A(b)). You
should see this as the germ of a “smooth curve”, where one point is the “classical
point”, and the other is the “generic point of the curve”. This is an example of a
discrete valuation ring, and indeed all discrete valuation rings should be visual-
ized in such a way. We will discuss discrete valuation rings in §13.5. By then we
will have justified the use of the words “smooth” and “curve”. (Reality check: try
to picture Spec of Z localized at (2) and at (0). How do the two pictures differ?)
3.2.10. Important fact: Maps of rings induce maps of spectra (as sets). We now
make an observation that will later grow up to be the notion of morphisms of
schemes.
3.2.M. I MPORTANT EASY EXERCISE . If ϕ : B → A is a map of rings, and p is a
prime ideal of A, show that ϕ−1 (p) is a prime ideal of B.
Hence a map of rings ϕ : B → A induces a map of sets Spec A → Spec B “in
the opposite direction”. This gives a contravariant functor from the category of
rings to the category of sets: the composition of two maps of rings induces the
composition of the corresponding maps of spectra.
3.2.N. E ASY E XERCISE ( REALITY CHECK ). Let B be a ring.
(a) Suppose I ⊂ B is an ideal. Show that the map Spec B/I → Spec B is the inclu-
sion of §3.2.8.
(b) Suppose S ⊂ B is a multiplicative set. Show that the map Spec S−1 B → Spec B
is the inclusion of §3.2.9.
3.2.11. An explicit example. In the case of “affine complex varieties” (or indeed
affine varieties over any algebraically closed field), the translation between maps
given by explicit formulas and maps of rings is quite direct. For example, consider
a map from the parabola in C2 (with coordinates a and b) given by b = a2 , to the
April 1, 2023 draft 109
“curve” in C3 (with coordinates x, y, and z) cut out by the equations y = x2 and
z = y2 . Suppose the map sends the point (a, b) ∈ C2 to the point (a, b, b2 ) ∈ C3 .
In our new language, we have a map
Spec C[a, b]/(b − a2 ) / Spec C[x, y, z]/(y − x2 , z − y2 )
given by
C[a, b]/(b − a2 ) o C[x, y, z]/(y − x2 , z − y2 )
(a, b, b2 ) o (x, y, z),
i.e., x 7→ a, y 7→ b, and z 7→ b2 . If the idea is not yet clear, the following two
exercises are very much worth doing — they can be very confusing the first time
you see them, and very enlightening (and finally, trivial) when you finally figure
them out.
y-line x-line
F IGURE 3.6. The map C → C given by x 7→ y = x2
3.2.O. I MPORTANT E XERCISE ( SPECIAL CASE ). Consider the map of complex
manifolds sending C → C via x 7→ y = x2 . We interpret the “source” C as the
“x-line”, and the “target” C the “y-line”. You can picture it as the projection of
the parabola y = x2 in the xy-plane to the y-axis (see Figure 3.6). Interpret the
corresponding map of rings as given by C[y] → C[x] by y 7→√x2 . Verify that the
preimage (the fiber) above the point a ∈ C is the point(s) ± a ∈ C, using the
definition given above. (A more sophisticated version of this example appears
in Example 10.3.4. Warning: the roles of x and y are swapped there, in order to
picture double covers in a certain way.)
3.2.P. I MPORTANT E XERCISE ( GENERALIZING E XAMPLE 3.2.11). Suppose k is a
field, and f1 , . . . , fn ∈ k[x1 , . . . , xm ] are given. Let ϕ : k[y1 , . . . , yn ] → k[x1 , . . . , xm ]
be the ring morphism defined by yi 7→ fi .
(a) Show that ϕ induces a map of sets Spec k[x1 , . . . , xm ]/I → Spec k[y1 , . . . , yn ]/J
for any ideals I ⊂ k[x1 , . . . , xm ] and J ⊂ k[y1 , . . . , yn ] such that ϕ(J) ⊂ I. (You may
wish to consider the case I = 0 and J = 0 first. In fact, part (a) has nothing to do
with k-algebras; you may wish to prove the statement when the rings k[x1 , . . . , xm ]
110 The Rising Sea: Foundations of Algebraic Geometry
and k[y1 , . . . , yn ] are replaced by general rings A and B.)
(b) Show that the map of part (a) sends the point (a1 , . . . , am ) ∈ km (or more
precisely, [(x1 − a1 , . . . , xm − am )] ∈ Spec k[x1 , . . . , xm ]) to
(f1 (a1 , . . . , am ), . . . , fn (a1 , . . . , am )) ∈ kn .
3.2.Q. E XERCISE : P ICTURING An Z. Consider the map of sets π : An Z → Spec Z,
given by the ring map Z → Z[x1 , . . . , xn ]. If p is prime, describe a bijection between
the fiber π−1 ([(p)]) and AFnp . (You won’t need to describe either set! Which is good
because you can’t.) This exercise may give you a sense of how to picture maps
(see Figure 3.7), and in particular why you can think of An n
Z as an “A -bundle”
over Spec Z. (Can you interpret the fiber over [(0)] as Ak for some field k?)
n
F IGURE 3.7. A picture of An
Z → Spec Z as a “family of A ’s”, or
n
an “A -bundle over Spec Z”. What is the field k? How should
n
you “geometrically” think of the three points indicated?
3.2.12. Functions are not determined by their values at points: the fault of nilpo-
tents. We conclude this section by describing some strange behavior. We are de-
veloping machinery that will let us bring our geometric intuition to algebra. There
is one serious serious point where your intuition will be false, so you should know
now, and adjust your intuition appropriately. As noted by Mumford ([Mu2, p. 12]),
“it is this aspect of schemes which was most scandalous when Grothendieck de-
fined them.”
Suppose we have a function (ring element) vanishing at all points. Then it is
not necessarily the zero function! The translation of this question is: is the inter-
section of all prime ideals necessarily just 0? The answer is no, as is shown by the
example of the ring of dual numbers k[ϵ]/(ϵ2 ): ϵ ̸= 0, but ϵ2 = 0. (We saw this
ring in Exercise 3.2.A(a).) Any function whose power is zero certainly lies in the
intersection of all prime ideals.
April 1, 2023 draft 111
3.2.R. E XERCISE . Ring elements that have a power that is 0 are called nilpotents.
(a) Show that if I is an ideal of nilpotents, then the inclusion Spec B/I → Spec B
of Exercise 3.2.J is a bijection. Thus nilpotents don’t affect the underlying set. (We
will soon see in §3.4.7 that they won’t affect the topology either — the difference
will be in the structure sheaf.)
(b) Show that the nilpotents of a ring B form an ideal. This ideal is called the
nilradical, and is denoted N = N(B).
Thus the nilradical is contained in the intersection of all the prime ideals. The
converse is also true:
3.2.13. Theorem. — The nilradical N(A) is the intersection of all the prime ideals of A.
Geometrically: a function on Spec A vanishes at every point if and only if it is nilpotent.
3.2.S. E XERCISE . If you don’t know this theorem, then look it up, or better yet,
prove it yourself. (Hint: Use the fact that any proper ideal of A is contained in
a maximal ideal, which requires Zorn’s Lemma. Possible further hint: Suppose
x∈/ N(A). We wish to show that there is a prime ideal not containing x. Show that
Ax is not the 0-ring, by showing that 1 ̸= 0.)
3.2.14. In particular, although it is upsetting that functions are not determined by
their values at points, we have precisely specified what the failure of this intuition
is: two functions have the same values at points if and only if they differ by a
nilpotent. You should think of this geometrically: a function vanishes at every
point of the spectrum of a ring if and only if it has a power that is zero. And if
there are no nonzero nilpotents — if N = (0) — then functions are determined by
their values at points. If a ring has no nonzero nilpotents, we say that it is reduced.
3.2.T. F UN UNIMPORTANT EXERCISE : DERIVATIVES WITHOUT DELTAS AND EPSILONS
( OR AT LEAST WITHOUT DELTAS ). Suppose we have a polynomial f(x) ∈ k[x]. In-
stead, we work in k[x, ϵ]/(ϵ2 ). What then is f(x + ϵ)? (Do a couple of examples,
then prove the pattern you observe.) This is a hint that nilpotents will be important
in defining differential information (Chapter 21).
3.3 Visualizing schemes: Generic points
A heavy warning used to be given that pictures are not rigorous; this has never had
its bluff called and has permanently frightened its victims into playing for safety. Some
pictures, of course, are not rigorous, but I should say most are (and I use them whenever
possible myself).
— J. E. Littlewood, [Lit, p. 54]
We all know that Art is not truth. Art is a lie that makes us realize truth, at least
the truth that is given us to understand. The artist must know the manner whereby to
convince others of the truthfulness of his lies.
— P. Picasso [Pi, p. 315]
For years, you have been able to picture x2 + y2 = 1 in the plane, and you
now have an idea of how to picture Spec Z. If we are claiming to understand rings
as geometric objects (through the Spec functor), then we should wish to develop
112 The Rising Sea: Foundations of Algebraic Geometry
geometric insight into them. To develop geometric intuition about schemes, it is
helpful to have pictures in your mind, extending your intuition about geometric
spaces you are already familiar with. As we go along, we will empirically develop
some idea of what schemes should look like. This section summarizes what we
have gleaned so far.
Some mathematicians prefer to think completely algebraically, and never think
in terms of pictures. Others will be disturbed by the fact that this is an art, not a sci-
ence. And finally, this hand-waving will necessarily never be used in the rigorous
development of the theory. For these reasons, you may wish to skip these sections.
However, having the right picture in your mind can greatly help understanding
what facts should be true, and how to prove them.
Our starting point is the example of “affine complex varieties” (things cut
out by equations involving a finite number of variables over C), and more gen-
erally similar examples over arbitrary algebraically closed fields. We begin with
notions that are intuitive (“traditional” points behaving the way you expect them
to), and then add in the two features which are new and disturbing, generic points
and nonreduced behavior. You can then extend this notion to seemingly different
spaces, such as Spec Z.
Hilbert’s Weak Nullstellensatz 3.2.5 shows that the “traditional points” are
present as points of the scheme, and this carries over to any algebraically closed
field. If the field is not algebraically closed, the traditional points are glued to-
gether into clumps by Galois conjugation, as in Examples 5 (the real affine line)
and 6 (the affine line over Fp ) in §3.2. This is a geometric interpretation of Hilbert’s
Nullstellensatz 3.2.6.
But we have some additional points to add to the picture. You should re-
member that they “correspond” to “irreducible” “closed” (algebraic) subsets. As
motivation, consider the case of the complex affine plane (Example 7): we had
one for each irreducible polynomial, plus one corresponding to the entire plane.
We will make “closed” precise when we define the Zariski topology (in the next
section). You may already have an idea of what “irreducible” should mean; we
make that precise at the start of §3.6. By “correspond” we mean that each closed
irreducible subset has a corresponding point sitting on it, called its generic point
(defined in §3.6). It is a new point, distinct from all the other points in the subset.
(The correspondence is described in Exercise 3.7.F for Spec A, and in Exercise 5.1.B
for schemes in general.) We don’t know precisely where to draw the generic point,
so we may stick it arbitrarily anywhere, but you should think of it as being “almost
everywhere”, and in particular, near every other point in the subset.
In §3.2.8, we saw how the points of Spec A/I should be interpreted as a subset
of Spec A. So for example, when you see Spec C[x, y]/(x + y), you should picture
this not just as a line, but as a line in the xy-plane; the choice of generators x and y
of the algebra C[x, y] implies an inclusion into affine space.
In §3.2.9, we saw how the points of Spec S−1 A should be interpreted as subsets
of Spec A. The two most important cases were discussed. The points of Spec Af
correspond to the points of Spec A where f doesn’t vanish; we will later (§3.5)
interpret this as a distinguished open set.
If p is a prime ideal, then Spec Ap should be seen as a “shred of the space
Spec A near the subset corresponding to p”. The simplest nontrivial case of this
April 1, 2023 draft 113
is A = k[x] and p = (x) ⊂ A (see Exercise 3.2.A, which we discuss again in Exer-
cise 3.4.K).
The test of a first-rate intelligence is the ability to hold two opposed ideas in the mind
at the same time, and still retain the ability to function.
— F. Scott Fitzgerald, The Crack-Up [Fi, p. 41]
3.4 The underlying topological space of an affine scheme
We next introduce the Zariski topology on the spectrum of a ring. When you
first hear the definition, it seems odd, but with a little experience it becomes rea-
sonable. As motivation, consider A2C = Spec C[x, y], the complex plane (with a few
extra points). In algebraic geometry, we will only be allowed to consider algebraic
functions, i.e., polynomials in x and y. The locus where a polynomial vanishes
should reasonably be a closed set, and the Zariski topology is defined by saying
that the only sets we should consider closed should be these sets, and other sets
forced to be closed by these. In other words, it is the coarsest topology where these
sets are closed.
3.4.1. In particular, although topologies are often described using open subsets, it
will be more convenient for us to define this topology in terms of closed subsets.
If S is a subset of a ring A, define the Vanishing set of S by
V(S) := {[p] ∈ Spec A : S ⊂ p}.
It is the set of points on which all elements of S are zero. (It should now be second
nature to equate “vanishing at a point” with “contained in a prime”.) We declare
that these — and no others — are the closed subsets.
For example, consider V(xy, yz) ⊂ A3C = Spec C[x, y, z]. Which points are con-
tained in this locus? We think of this as solving xy = yz = 0. Of the “traditional”
points (interpreted as ordered triples of complex numbers, thanks to the Hilbert’s
Nullstellensatz 3.2.5), we have the points where y = 0 or x = z = 0: the xz-plane
and the y-axis respectively. Of the “new” points, we have the generic point of the
xz-plane (also known as the point [(y)]), and the generic point of the y-axis (also
known as the point [(x, z)]). You might imagine that we also have a number of
“one-dimensional” points contained in the xz-plane.
3.4.A. E ASY E XERCISE . Check that the x-axis is contained in V(xy, yz). (The x-axis
is defined by y = z = 0, and the y-axis and z-axis are defined analogously.)
Let’s return to the general situation. The following exercise lets us restrict
attention to vanishing sets of ideals.
3.4.B. E ASY E XERCISE . Show that if (S) is the ideal generated by S, then V(S) =
V((S)).
3.4.2. Definition. We define the Zariski topology by declaring that V(S) is closed
for all S. (We may as well state here that Zariski closure means closure in the
Zariski topology.) Let’s check that the Zariski topology is indeed a topology:
114 The Rising Sea: Foundations of Algebraic Geometry
3.4.C. E XERCISE .
(a) Show that ∅ and Spec A are both open subsets of Spec A.
(b)∑If Ii is a collection of ideals (as i runs over some index set), show that ∩i V(Ii ) =
V( i Ii ). Hence the union of any collection of open sets is open.
(c) Show that V(I1 ) ∪ V(I2 ) = V(I1 I2 ). (The product of two ideals I1 and I2 of A
are finite A-linear
∑n combinations of products of elements of I1 and I2 , i.e., elements
of the form j=1 i1,j i2,j , where ik,j ∈ Ik . Equivalently, it is the ideal generated by
products of elements of I1 and I2 . You should quickly check that this is an ideal,
and that products are associative, i.e., (I1 I2 )I3 = I1 (I2 I3 ).) Hence the intersection
of any finite number of open sets is open.
3.4.3. Properties of the “vanishing set” function V(·). The function V(·) is ob-
viously inclusion-reversing: If S1 ⊂ S2 , then V(S2 ) ⊂ V(S1 ). Warning: We could
have equality in the second inclusion without equality in the first, as the next exer-
cise shows.
3.4.D. E XERCISE /D EFINITION . If I ⊂ A is an ideal, then define its radical by
√
I := {r ∈ A : rn ∈ I for some n ∈ Z>0 }.
√ √
For example, the nilradical N√ (§3.2.R) is (0). Show that I is an ideal (cf. Exer-
cise 3.2.R(b)). Show that√V( I) = V(I). We say an ideal is radical if it equals its
√ √
own radical. Show that I = I, and that prime ideals are radical.
Here are two useful consequences. As (I ∩ J)2 ⊂ IJ ⊂ I ∩ J (products of ideals
were defined in Exercise 3.4.C), we have that V(IJ) = V(I ∩ J) (= V(I) ∪ V(J)
by Exercise √
3.4.C(c)). Also, combining this with Exercise 3.4.B, we see V(S) =
V((S)) = V( (S)).
3.4.E. E XERCISE ( RADICALS COMMUTE √ WITH FINITE √INTERSECTIONS ). If I1 , . . . ,
In are ideals of a ring A, show that ∩n I
i=1 i = ∩n
i=1 Ii . We will use this property
repeatedly without referring back to this exercise.
√
3.4.F. E XERCISE FOR LATER USE . Show that I is the intersection of all the prime
ideals containing I. (Hint: Use Theorem 3.2.13 on an appropriate ring.)
3.4.4. Examples. Let’s see how this meshes with our examples from the previous
section.
Recall that A1C , as a set, was just the “traditional” points (corresponding to
maximal ideals, in bijection with a ∈ C), and one “new” point [(0)]. The Zariski
topology on A1C is not that exciting: the open sets are the empty set, and A1C minus a
finite number of maximal ideals. (It “almost” has the cofinite topology. Notice that
the open sets are determined by their intersections with the “traditional points”.
The “new” point [(0)] comes along for the ride, which is a good sign that it is
harmless. Ignoring the “new” point, observe that the topology on A1C is a coarser
topology than the classical topology on C.)
3.4.G. E XERCISE . Describe the topological space A1k (cf. Exercise 3.2.D). (Notice
that the strange new point [(0)] is “near every other point” — every neighborhood
of every point contains [(0)]. This is typical of these new points, see Easy Exer-
cise 3.6.N.)
April 1, 2023 draft 115
The case of Spec Z is similar. The topology is “almost” the cofinite topology in
the same way. The open sets are the empty set, and Spec Z minus a finite number
of “ordinary” ((p) where p is prime) primes.
3.4.5. Closed subsets of A2C . The case A2C is more interesting. You should think
through where the “one-dimensional prime ideals” fit into the picture. In Exer-
cise 3.2.E, we identified all the prime ideals of C[x, y] (i.e., the points of A2C ) as the
maximal ideals [(x − a, y − b)] (where a, b ∈ C — “zero-dimensional points”), the
“one-dimensional points” [(f(x, y))] (where f(x, y) is irreducible), and the “two-
dimensional point” [(0)].
Then the closed subsets are of the following form:
(a) the entire space (the closure of the “two-dimensional point” [(0)]),
(b) a finite number (possibly none) of “curves” (each the closure of a “one-
dimensional point” — the “one-dimensional point” along with the “zero-dimensional
points” “lying on it”) and a finite number (possibly none) of “zero-dimensional”
points (what we will soon call “closed points”, see Definition 3.6.8).
We will soon know enough to verify this using general theory, but you can
prove it yourself now, using ideas in Exercise 3.2.E. (The key idea: if f(x, y) and
g(x, y) are irreducible polynomials that are not multiples of each other, why do
their zero sets intersect in a finite number of points?)
3.4.6. Important fact: Maps of rings induce continuous maps of topological
spaces. We saw in §3.2.10 that a map of rings ϕ : B → A induces a map of sets
π : Spec A → Spec B.
3.4.H. I MPORTANT EASY EXERCISE . By showing that closed sets pull back to
closed sets, show that π is a continuous map. Interpret Spec as a contravariant
functor Rings → Top.
Not all continuous maps arise in this way. Consider for example the contin-
uous map on A1C that is the identity except 0 and 1 (i.e., [(x)] and [(x − 1)]) are
swapped; no polynomial can manage this marvellous feat.
In §3.2.10, we saw that Spec B/I and Spec S−1 B are naturally subsets of Spec B.
It is natural to ask if the Zariski topology behaves well with respect to these inclu-
sions, and indeed it does.
3.4.I. I MPORTANT E XERCISE ( CF. E XERCISE 3.2.N). Suppose that I, S ⊂ B are an
ideal and multiplicative subset respectively.
(a) Show that Spec B/I is naturally a closed subset of Spec B. If S = {1, f, f2 , . . . }
(f ∈ B), show that Spec S−1 B is naturally an open subset of Spec B. Show that for
arbitrary S, Spec S−1 B need not be open or closed. (Hint: Spec Q ⊂ Spec Z, or
possibly Figure 3.5.)
(b) Show that the Zariski topology on Spec B/I (resp. Spec S−1 B) is the subspace
topology induced by inclusion in Spec B. (Hint: compare closed subsets.)
3.4.7. In particular, if I ⊂ N is an ideal of nilpotents, the bijection Spec B/I →
Spec B (Exercise 3.2.R) is a homeomorphism. Thus nilpotents don’t affect the topo-
logical space. (The difference will be in the structure sheaf.)
116 The Rising Sea: Foundations of Algebraic Geometry
√ . Suppose I ⊂ B is an ideal. Show that f van-
3.4.J. U SEFUL EXERCISE FOR LATER
ishes on V(I) if and only if f ∈ I (i.e., fn ∈ I for some n ≥ 1). (Hint: Exercise 3.4.F.
If you are stuck, you will get another hint when you see Exercise 3.5.E.)
3.4.K. E ASY E XERCISE ( CF. E XERCISE 3.2.A). Describe the topological space Spec k[x](x) .
3.5 A base of the Zariski topology on Spec A: Distinguished open
sets
If f ∈ A, define the distinguished open set
D(f) := {[p] ∈ Spec A : f ∈
/ p}
= {[p] ∈ Spec A : f([p]) ̸= 0}.
It is the locus where f doesn’t vanish. (I often privately write this as D(f ̸= 0)
to remind myself of this. I also privately call this the “Doesn’t-vanish set” of f
in analogy with V(f) being the Vanishing set of f.) We have already seen this set
when discussing Spec Af as a subset of Spec A. For example, we have observed
that the Zariski-topology on the distinguished open set D(f) ⊂ Spec A coincides
with the Zariski topology on Spec Af (Exercise 3.4.I).
The reason these sets are important is that they form a particularly nice base
for the (Zariski) topology:
3.5.A. E ASY E XERCISE . Show that the distinguished open sets form a base for the
(Zariski) topology. (Hint: Given a subset S ⊂ A, show that the complement of
V(S) is ∪f∈S D(f).)
Here are some important but not difficult exercises to give you a feel for this
concept.
3.5.B. N IFTY E XERCISE . Suppose fi ∈ A as i runs over some index set J. Show that
∪i∈J D(fi ) = Spec A if and only if ({fi }i∈J ) = A, or equivalently
∑ and very usefully,
if there are ai (i ∈ J), all but finitely many 0, such that i∈J ai fi = 1. (One of the
directions will use the fact that any proper ideal of A is contained in some maximal
ideal.)
3.5.C. E XERCISE . Show that if Spec A is an infinite union of distinguished open
sets ∪j∈J D(fj ), then in fact it is a union of a finite number of these, i.e., there is a
finite subset J ′ so that Spec A = ∪j∈J ′ D(fj ). (Hint: Exercise 3.5.B.)
3.5.D. E ASY E XERCISE . Show that D(f) ∩ D(g) = D(fg).
3.5.E. I MPORTANT E XERCISE ( CF. E XERCISE 3.4.J). Show that D(f) ⊂ D(g) if and
only if fn ∈ (g) for some n ≥ 1, if and only if g is an invertible element of Af .
We will use Exercise 3.5.E often. You can solve it thinking purely algebraically,
but the following geometric interpretation may be helpful. (You should try to
draw your own picture to go with this discussion.) Inside Spec A, we have the
closed subset V(g) = Spec A/(g), where g vanishes, and its complement D(g),
where g doesn’t vanish. Then f is a function on this closed subset V(g) (or more
April 1, 2023 draft 117
precisely, on Spec A/(g)), and by assumption it vanishes at all points of the closed
subset. Now any function vanishing at every point of the spectrum of a ring must
be nilpotent (Theorem 3.2.13). In other words, there is some n such that fn = 0 in
A/(g), i.e., fn ≡ 0 (mod g) in A, i.e., fn ∈ (g).
3.5.F. E ASY E XERCISE . Show that D(f) = ∅ if and only if f ∈ N.
3.5.G. U NIMPORTANT E XERCISE ( INJECTIVE MAPS OF RINGS INDUCE MAPS OF
SPECTRA WITH DENSE IMAGE ). Show that if B ,→ A, then the induced map of
topological spaces Spec A → Spec B has dense image.
3.6 Topological (and Noetherian) properties
Many topological notions are useful when applied to the topological space
Spec A, and later, to schemes.
3.6.1. Possible topological attributes of Spec A: connectedness, irreducibility,
quasicompactness.
3.6.2. Connectedness.
A topological space X is connected if it cannot be written as the disjoint union
of two nonempty open sets. Exercise 3.6.A below gives an example of a noncon-
nected Spec A, and the subsequent remark explains that all examples are of this
form.
3.6.A. E ⨿
XERCISE .
⨿If A⨿= A1 × A2 × · · · × An , describe a homeomorphism
Spec A1 Spec A2 · · · Spec An → Spec A for which each ∏nSpec Ai is
⨿mapped
n
onto a distinguished open subset D(fi ) of Spec A. Thus Spec i=1 Ai = i=1 Spec Ai
as topological spaces. (Hint: reduce to n = 2 for convenience. Let f1 = (1, 0) and
f2 = (0, 1).)
3.6.3. Remark: the idempotent-connectness package. An extension of Exercise 3.6.A
(that you can prove if you wish) is that Spec A is not connected if and only if A is
isomorphic to the product of nonzero rings A1 and A2 . The key idea is to show
that both conditions are equivalent to there existing nonzero a1 , a2 ∈ A for which
a21 = a1 , a22 = a2 , a1 + a2 = 1, and hence a1 a2 = 0. An element a ∈ A satisfying
a2 = a is called an idempotent. This will appear as Exercise 10.5.L.
3.6.4. Irreducibility.
A topological space is said to be irreducible if it is nonempty, and it is not
the union of two proper closed subsets. In other words, a nonempty topological
space X is irreducible if whenever X = Y ∪ Z with Y and Z closed in X, we have
Y = X or Z = X. Equivalently (and helpfully): any two nonempty open subsets of
X intersect. This is a less useful notion in classical geometry — C2 is reducible (i.e.,
not irreducible), but we will see that A2C is irreducible (Exercise 3.6.C).
3.6.B. E ASY E XERCISE .
(a) Show that in an irreducible topological space, any nonempty open set is dense.
(For this reason, you will see that unlike in the classical topology, in the Zariski
118 The Rising Sea: Foundations of Algebraic Geometry
topology, nonempty open sets are all “huge”.)
(b) If X is a topological space, and Z is a subset (with the subspace topology), show
that Z is irreducible if and only if the closure Z in X is irreducible.
3.6.C. E ASY E XERCISE . If A is an integral domain, show that Spec A is irreducible.
(Hint: pay attention to the generic point [(0)].) We will generalize this in Exer-
cise 3.7.G.
3.6.D. E XERCISE . Show that an irreducible topological space is connected.
3.6.E. E XERCISE . Give (with proof!) an example of a ring A where Spec A is
connected but reducible. (Possible hint: a picture may help. The symbol “×” has
two “pieces” yet is connected.)
3.6.F. T RICKY E XERCISE .
(a) Suppose I = (wz−xy, wy−x2 , xz−y2 ) ⊂ k[w, x, y, z]. Show that Spec k[w, x, y, z]/I
is irreducible, by showing that k[w, x, y, z]/I is an integral domain. (This is hard,
so here is one of several possible hints: Show that k[w, x, y, z]/I is isomorphic to
the subring of k[a, b] generated by monomials of degree divisible by 3. There are
other approaches as well, some of which we will see later. This is an example of
a hard question: how do you tell if an ideal is prime?) We will later see this as
the cone over the twisted cubic curve (the twisted cubic curve is defined in Exer-
cise 9.3.A, and is a special case of a Veronese embedding, §9.3.6).
⋆ (b) Note that the generators of the ideal of part (a) may be rewritten as the equa-
tions ensuring that
( )
w x y
rank ≤ 1,
x y z
i.e., as the determinants of the 2 × 2 submatrices. Generalize part (a) to the ideal of
rank one 2 × n matrices. This notion will correspond to the cone (§9.3.11) over the
degree n rational normal curve (Exercise 9.3.I).
3.6.5. Quasicompactness.
A topological space X is quasicompact if given any cover X = ∪i∈I Ui by open
sets, there is a finite subset S of the index set I such that X = ∪i∈S Ui . Informally:
every open cover has a finite subcover. We will like this condition, because we are
afraid of infinity. Depending on your definition of “compactness”, this is the defi-
nition of compactness, minus possibly a Hausdorff condition. However, this isn’t
really the algebro-geometric analog of “compact” (we certainly wouldn’t want A1C
to be compact) — the right analog is “properness” (§11.5).
3.6.G. E XERCISE .
(a) Show that Spec A is quasicompact. (Hint: Exercise 3.5.C.)
⋆ (b) (less important) Show that in general Spec A can have nonquasicompact open
sets. Possible hint: let A = k[x1 , x2 , x3 , . . . ] and m = (x1 , x2 , . . . ) ⊂ A, and consider
the complement of V(m). This example will be useful to construct other “coun-
terexamples” later, e.g., Exercises 8.1.F and 5.1.K. In Exercise 3.6.U, we will see
that such weird behavior doesn’t happen for “suitably nice” (Noetherian) rings.
3.6.H. E XERCISE .
(a) If X is a topological space that is a finite union of quasicompact spaces, show
April 1, 2023 draft 119
that X is quasicompact.
(b) Show that every closed subset of a quasicompact topological space is quasicom-
pact.
⨿n ∼
3.6.6.∏⋆⋆ Fun but irrelevant remark. Exercise 3.6.A shows that i=1 Spec Ai =
n
Spec i=1 Ai , but this never holds if “n is infinite” and all Ai are nonzero, as
Spec of any ring is quasicompact ∏ (Exercise 3.6.G(a)). This leads to an ⨿∞ interesting
∞
phenomenon. We show that Spec i=1 Ai is “strictly bigger” than i=1 Spec Ai
where
⨿∞ each Ai is isomorphic ∏∞ to the field k. First, we have an∏ inclusion of sets
i=1 Spec A i ,→ Spec i=1 A i , as there is a maximal ideal of Ai correspond-
ing to each i (precisely,
∏ those elements 0 in the ith component.) But there are other
maximal ideals of Ai . Hint: describe a proper ∏ ideal not contained in any of these
maximal ideals. (One idea: consider elements ai that are “eventually zero”, i.e.,
ai = 0 for i ≫ 0.) This leads to the notion of ultrafilters, which are very useful, but
irrelevant to our current discussion.
3.6.7. Possible topological properties of points of Spec A.
3.6.8. Definition. A point of a topological space p ∈ X is said to be a closed point
if {p} is a closed subset. In the classical topology on Cn , all points are closed. In
Spec Z and Spec k[t], all the points are closed except for [(0)].
3.6.I. E XERCISE . Show that the closed points of Spec A correspond to the maxi-
mal ideals. (In particular, nonempty affine schemes have closed points, as nonzero
rings have maximal ideals, §0.3.)
3.6.9. Connection to the classical theory of varieties. Hilbert’s Nullstellensatz lets us
interpret the closed points of An C as the n-tuples of complex numbers. More gen-
erally, the closed points of Spec k[x1 , . . . , xn ]/(f1 , . . . , fr ) are naturally interpreted
n
as those points in k satisfying the equations f1 = · · · = fr = 0 (see Exercises 3.2.J
and 3.2.N(a) for example). Hence from now on we will say “closed point” instead
of “traditional point” and “non-closed point” instead of “bonus” point when dis-
cussing subsets of An k
. The following exercise is the reason that on algebraic vari-
eties, closed points are dense (cf. Exercise 5.3.F and Definition 11.3.9).
3.6.J. E XERCISE .
(a) Suppose that k is a field, and A is a finitely generated k-algebra. Show that
closed points of Spec A are dense, by showing that if f ∈ A, and D(f) is a nonempty
(distinguished) open subset of Spec A, then D(f) contains a closed point of Spec A.
Hint: note that Af is also a finitely generated k-algebra. Use the Nullstellensatz 3.2.6
to recognize closed points of Spec of a finitely generated k-algebra B as those for
which the residue field is a finite extension of k. Apply this to both B = A and
B = Af .
(b) Show that if A is a k-algebra that is not finitely generated, the closed points
need not be dense. (Hint: Exercise 3.4.K.)
3.6.K. E XERCISE . Suppose k is an algebraically closed field, and A = k[x1 , . . . , xn ]/I
is a finitely generated k-algebra with N(A) = {0} (so the discussion of §3.2.14 ap-
plies). Consider the set X = Spec A as a subset of An k . The space Ak contains
n
120 The Rising Sea: Foundations of Algebraic Geometry
the “classical” points kn . Show that functions on X are determined by their val-
ues on the closed points (by the weak Nullstellensatz 3.2.5, the “classical” points
kn ∩ Spec A of Spec A). Hint: if f and g are different functions on X, then f − g is
nowhere zero on an open subset of X. Use Exercise 3.6.J(a).
Once we know what a variety is (Definition 11.3.9), this will immediately im-
ply that a function on a variety over an algebraically closed field is determined by its values
on the “classical points”. (Before the advent of scheme theory, functions on varieties
— over algebraically closed fields — were thought of as functions on “classical”
points, and Exercise 3.6.K basically shows that there is no harm in thinking of “tra-
ditional” varieties as a particular flavor of schemes.)
3.6.10. Specialization and generization. Given two points x, y of a topological space
X, we say that x is a specialization of y, and y is a generization of x, if x ∈ {y}.
This (and Exercise 3.6.L) now makes precise our hand-waving about “one point
containing another”. It is of course nonsense for a point to contain another. But it
is not nonsense to say that the closure of a point contains another. For example, in
A2C = Spec C[x, y], [(y − x2 )] is a generization of [(x − 2, y − 4)] = (2, 4) ∈ C2 , and
(2, 4) is a specialization of [(y − x2 )] (see Figure 3.8).
F IGURE 3.8. (2, 4) = [(x − 2, y − 4)] is a specialization of [(y − x2 )].
[(y − x2 )] is a generization of (2, 4).
3.6.L. E XERCISE . If X = Spec A, show that [q] is a specialization of [p] if and only
if p ⊂ q. Hence show that V(p) = {[p]}.
3.6.11. Definition. We say that a point p ∈ X is a generic point for a closed subset
K if {p} = K.
This important notion predates Grothendieck. The early twentieth-century
Italian algebraic geometers had a notion of “generic points” of a variety, by which
they meant points with no special properties, so that anything proved of “a generic
point” was true of “almost all” the points on that variety. The modern “generic
point” has the same intuitive meaning. If something is “generically” or “mostly”
true for the points of an irreducible subset, in the sense of being true for a dense
open subset (for “almost all points”), then it is true for the generic point, and vice
April 1, 2023 draft 121
versa. (This is a statement of principle, not of fact. An interesting case is “re-
ducedness”, for which this principle does not hold in general, but does hold for
“reasonable” schemes such as varieties, see Remark 5.2.2.) For example, a function
has value zero at the generic point of an irreducible scheme if and only if it has the
value zero at all points. You should keep an eye out for other examples of this.
The phrase general point does not have the same meaning. The phrase “the
general point of X satisfies such-and-such a property” means “every point of some
dense open subset of X satisfies such-and-such a property”. Be careful not to con-
fuse “general” and “generic”. But be warned that accepted terminology does not
always follow this convention; witness “generic freeness” (see Lemma 24.5.13),
“generic flatness” (§24.5.12), and “generic smoothness” (§25.3, for example).
3.6.M. E XERCISE . Verify that [(y − x2 )] ∈ A2C is a generic point for V(y − x2 ).
As more motivation for the terminology “generic”: we think of [(y − x2 )] as
being some nonspecific point on the parabola (with the closed points (a, a2 ) ∈
C2 , i.e., (x − a, y − a2 ) for a ∈ C, being “specific points”); it is “generic” in the
conventional sense of the word. We might “specialize it” to a specific point of
the parabola; hence for example (2, 4) is a specialization of [(y − x2 )]. (Again, see
Figure 3.8.) To make this somewhat more precise:
3.6.N. E ASY E XERCISE . Suppose p is a generic point for the closed subset K. Show
that it is “near every point q of K” (every neighborhood of q contains p), and “not
near any point r not in K” (there is a neighborhood of r not containing p). (This
idea was mentioned in §3.2.4 Example 1 and in Exercise 3.4.G.)
We will soon see (Exercise 3.7.F) that there is a natural bijection between points
of Spec A and irreducible closed subsets of Spec A, sending each point to its clo-
sure, and each irreducible closed subset to its (unique) generic point. You can
prove this now, but we will wait until we have developed some convenient termi-
nology.
3.6.12. Irreducible and connected components, and Noetherian conditions.
An irreducible component of a topological space is a maximal irreducible
subset (an irreducible subset not contained in any larger irreducible subset). Irre-
ducible components are closed (as the closure of irreducible subsets are irreducible,
Exercise 3.6.B(b)), and it can be helpful to think of irreducible components of a
topological space X as maximal among the irreducible closed subsets of X. We
think of these as the “pieces of X” (see Figure 3.9).
Similarly, a subset Y of a topological space X is a connected component if it
is a maximal connected subset (a connected subset not contained in any larger
connected subset).
3.6.O. E XERCISE ( EVERY TOPOLOGICAL SPACE IS THE UNION OF IRREDUCIBLE
COMPONENTS ). Show that every point p of a topological space X is contained
in an irreducible component of X. Hint: Zorn’s Lemma. More precisely, consider
the partially ordered set S of irreducible closed subsets of X containing p. Show
that there exists a maximal totally ordered subset {Zα } of S . Show that ∪Zα is
irreducible.
122 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 3.9. This closed subset of A2C has six irreducible components
3.6.13. Remark. Every point is contained in a connected component, and con-
nected components are always closed. You can prove this now, but we deliberately
postpone this until we need it, in an optional starred section (Exercise 10.5.J). On
the other hand, connected components need not be open, see [Stacks, tag 004T].
An example
∏∞ of an affine scheme with connected components that are not open is
Spec( 1 F2 ).
3.6.14. In the examples we have considered, the spaces have naturally broken up
into a finite number of irreducible components. For example, the locus xy = 0
in A2C we think of as having two “pieces” — the two axes. The reason for this is
that their underlying topological spaces (as we shall soon establish) are Noether-
ian. A topological space X is called Noetherian if it satisfies the descending chain
condition for closed subsets: any sequence Z1 ⊃ Z2 ⊃ · · · ⊃ Zn ⊃ · · · of closed
subsets eventually stabilizes: there is an r such that Zr = Zr+1 = · · · . Here is a
first example (which you should work out explicitly, not using Noetherian rings).
3.6.P. E XERCISE . Show that A2C is a Noetherian topological space: any decreasing
sequence of closed subsets of A2C = Spec C[x, y] must eventually stabilize. Note
that it can take arbitrarily long to stabilize. (The closed subsets of A2C were de-
scribed in §3.4.5.) Show that C2 with the classical topology is not a Noetherian
topological space.
3.6.15. Proposition. — Suppose X is a Noetherian topological space. Then every
nonempty closed subset Z can be expressed uniquely as a finite union Z = Z1 ∪ · · · ∪ Zn
of irreducible closed subsets, none contained in any other.
Translation: any closed subset Z has a finite number of “pieces”.
Proof. The following technique is called Noetherian induction, for reasons that
will be clear. We will use it again, many times.
April 1, 2023 draft 123
Consider the collection of nonempty closed subsets of X that cannot be ex-
pressed as a finite union of irreducible closed subsets. We will show that this
collection is empty. Otherwise, let Y1 be one such. If Y1 properly contains another
such, then choose one, and call it Y2 . If Y2 properly contains another such, then
choose one, and call it Y3 , and so on. By the descending chain condition, this must
eventually stop, and we must have some Yr that cannot be written as a finite union
of irreducible closed subsets, but every closed subset properly contained in it can
be so written. But then Yr is not itself irreducible, so we can write Yr = Y ′ ∪ Y ′′
where Y ′ and Y ′′ are both proper closed subsets. Both of these by hypothesis can
be written as the union of a finite number of irreducible subsets, and hence so can
Yr , yielding a contradiction. Thus each closed subset can be written as a finite
union of irreducible closed subsets. We can assume that none of these irreducible
closed subsets contain any others, by discarding some of them.
We now show uniqueness. Suppose
Z = Z1 ∪ Z2 ∪ · · · ∪ Zr = Z1′ ∪ Z2′ ∪ · · · ∪ Zs′
are two such representations. Then Z1′ ⊂ Z1 ∪ Z2 ∪ · · · ∪ Zr , so Z1′ = (Z1 ∩ Z1′ ) ∪
· · · ∪ (Zr ∩ Z1′ ). Now Z1′ is irreducible, so one of these is Z1′ itself, say (without
loss of generality) Z1 ∩ Z1′ . Thus Z1′ ⊂ Z1 . Similarly, Z1 ⊂ Za′ for some a; but
because Z1′ ⊂ Z1 ⊂ Za′ , and Z1′ is contained in no other Zi′ , we must have a = 1,
and Z1′ = Z1 . Thus each element of the list of Z’s is in the list of Z ′ ’s, and vice
versa, so they must be the same list. □
3.6.Q. E XERCISE . Show that every connected component of a topological space
X is the union of irreducible components of X. Show that any subset of X that is
simultaneously open and closed must be the union of some of the connected com-
ponents of X. If X is a Noetherian topological space, show that the union of any
subset of the connected components of X is always open and closed in X. (In par-
ticular, connected components of Noetherian topological spaces are always open,
which is not true for more general topological spaces, see Remark 3.6.13.)
3.6.16. Noetherian rings. It turns out that all of the spectra we have considered
(except in starred Exercise 3.6.G(b)) are Noetherian topological spaces, but that
isn’t true of the spectra of all rings. The key characteristic all of our examples have
had in common is that the rings were Noetherian. A ring is Noetherian if every
ascending sequence I1 ⊂ I2 ⊂ · · · of ideals eventually stabilizes: there is an r such
that Ir = Ir+1 = · · · . (This is called the ascending chain condition on ideals.)
Here are some quick facts about Noetherian rings. You should be able to prove
them all.
• Fields are Noetherian. Z is Noetherian.
• (Noetherianness is preserved by quotients.) If A is Noetherian, and I is any
ideal of A, then A/I is Noetherian.
• (Noetherianness is preserved by localization.) If A is Noetherian, and S is any
multiplicative set, then S−1 A is Noetherian.
3.6.R. E XERCISE . Show that principal ideal domains are Noetherian rings.
3.6.S. I MPORTANT E XERCISE . Show that a ring A is Noetherian if and only if every
ideal of A is finitely generated.
124 The Rising Sea: Foundations of Algebraic Geometry
The next fact is nontrivial.
3.6.17. The Hilbert Basis Theorem. — If A is Noetherian, then so is A[x].
Hilbert proved this in the epochal paper [Hil] where he also proved the Hilbert
Syzygy Theorem (§16.1.2), and defined Hilbert functions and showed that they are
eventually polynomial (§18.6).
3.6.18. By the results described above, any polynomial ring over any field, or over
the integers, is Noetherian — and also any quotient or localization thereof. Hence
for example any finitely generated algebra over k or Z, or any localization thereof,
is Noetherian. Most “nice” rings are Noetherian, but not all rings are Noether-
ian: k[x1 , x2 , . . . ] is not, because (x1 ) ⊂ (x1 , x2 ) ⊂ (x1 , x2 , x3 ) ⊂ · · · is a strictly
ascending chain of ideals (cf. Exercise 3.6.G(b)).
3.6.19. Proof of the Hilbert Basis Theorem 3.6.17. We show that any ideal I ⊂ A[x]
is finitely generated. We inductively produce a set of generators f1 , . . . as follows.
For n ≥ 0, if I ̸= (f1 , . . . , fn ), let fn+1 be any nonzero element of I − (f1 , . . . , fn )
of lowest degree. Thus f1 is any element of I of lowest degree, assuming I ̸= (0).
If this procedure terminates, we are done. Otherwise, let an ∈ A be the initial
coefficient of fn for all n > 0. As A is Noetherian, (a1 , a2 , . . . ) = (a1 , . . . , aN ) for
∑N
some N. Say aN+1 = i=1 bi ai . Then
∑
N
fN+1 − bi fi xdeg fN+1 −deg fi
i=1
is an element of I that is not in (f1 , . . . , fN ) (as fN+1 ∈
/ (f1 , . . . , fN )), and of lower
degree than fN+1 , contradicting how we were supposed to have chosen fN+1 . □
We now connect Noetherian rings and Noetherian topological spaces.
3.6.T. E XERCISE . If A is Noetherian, show that Spec A is a Noetherian topological
space. Describe a ring A such that Spec A is not a Noetherian topological space.
(Aside: if Spec A is a Noetherian topological space, A need not be Noetherian.
One example is A = k[x1 , x2 , x3 , . . . ]/(x1 , x22 , x33 , . . . ). Then Spec A has one point,
so is Noetherian. But A is not Noetherian as (x1 ) ⊊ (x1 , x2 ) ⊊ (x1 , x2 , x3 ) ⊊ · · · in
A.)
3.6.U. E XERCISE ( PROMISED IN E XERCISE 3.6.G( B )). Show that every open subset
of a Noetherian topological space is quasicompact. Hence if A is Noetherian, every
open subset of Spec A is quasicompact. (If you prefer, show the result for any
subset, with the induced topology.)
3.6.20. For future use: Noetherian conditions for modules. An important related
notion is that of a Noetherian module. Although we won’t use this notion for some
time (§10.7.3), we will develop their most important properties, while Noetherian
ideas are still fresh in your mind. If A is any ring, not necessarily Noetherian,
we say an A-module is Noetherian if it satisfies the ascending chain condition
for submodules. Thus for example a ring A is Noetherian if and only if it is a
Noetherian A-module.
April 1, 2023 draft 125
3.6.V. E XERCISE ( CF. I MPORTANT E XERCISE 3.6.S). Show that if M is a Noetherian
A-module, then any submodule of M is a finitely generated A-module. (In fact the
converse is true, and you are welcome to prove that too.)
3.6.W. E XERCISE . If 0 → M ′ → M → M ′′ → 0 is exact, show that M ′ and M ′′ are
Noetherian if and only if M is Noetherian. (Hint: Given an ascending chain in M,
we get two simultaneous ascending chains in M ′ and M ′′ . Possible further hint:
prove that if
M′ /M ϕ
/ M ′′
is exact, and N ⊂ N ′ ⊂ M, and N ∩ M ′ = N ′ ∩ M ′ and ϕ(N) = ϕ(N ′ ), then
N = N ′ .)
3.6.X. E XERCISE . Show that if A is a Noetherian ring, then A⊕n is a Noetherian
A-module.
3.6.Y. E XERCISE . Show that if A is a Noetherian ring and M is a finitely generated
A-module, then M is a Noetherian module. Hence by Exercise 3.6.V, any submod-
ule of a finitely generated module over a Noetherian ring is finitely generated.
3.6.21. Why you should not worry about Noetherian hypotheses. Should you
work hard to eliminate Noetherian hypotheses? Should you worry about Noether-
ian hypotheses? Should you stay up at night thinking about non-Noetherian rings?
For the most part, the answer to these questions is “no”. Most people will never
need to worry about non-Noetherian rings, but there are reasons to be open to
them. First, they can actually come up. For example, fibered products of Noether-
ian schemes over Noetherian schemes (and even fibered products of Noetherian
points over Noetherian points!) can be non-Noetherian (Warning 10.1.5), and the
normalization of Noetherian rings can be non-Noetherian (Warning 10.7.4). You
can either work hard to show that the rings or schemes you care about don’t have
this pathology, or you can just relax and not worry about it. Second, there is often
no harm in working with schemes in general. Knowing when Noetherian condi-
tions are needed will help you remember why results are true, because you will
have some sense of where Noetherian conditions enter into arguments. Finally,
for some people, non-Noetherian rings naturally come up. For example, adeles
are not Noetherian. And many valuation rings that naturally arise in arithmetic
and tropical geometry are not Noetherian.
3.7 The function I(·), taking subsets of Spec A to ideals of A
We now introduce a notion that is in some sense “inverse” to the vanishing set
∩ S ⊂ Spec A, I(S) is the set of functions vanishing on
function V(·). Given a subset
S. In other words, I(S) = [p]∈S p ⊂ A (at least when S is nonempty).
We make three quick observations. (Do you see why they are true?)
• I(S) is clearly an ideal of A.
• I(·) is inclusion-reversing: if S1 ⊂ S2 , then I(S2 ) ⊂ I(S1 ).
• I(S) = I(S).
126 The Rising Sea: Foundations of Algebraic Geometry
3.7.A. E XERCISE . Let A = k[x, y]. If S = {[(y)], [(x, y − 1)]} (see Figure 3.10), then
I(S) consists of those polynomials vanishing on the x-axis, and at the point (0, 1).
Give generators for this ideal.
F IGURE 3.10. The set S of Exercise 3.7.A, pictured as a subset of A2
3.7.B. E XERCISE . Suppose S ⊂ A3C is the union of the three axes. Give generators
for the ideal I(S). Be sure to prove it! We will see in Exercise 13.1.F that this ideal
is not generated by less than three elements.
3.7.C. E XERCISE . Show that V(I(S)) = S. Hence V(I(S)) = S for a closed set S.
√
Note that I(S) is always a radical ideal — if f ∈ I(S), then fn vanishes on S
for some n > 0, so then f vanishes on S, so f ∈ I(S).
√
3.7.D. E ASY E XERCISE . Prove that if J ⊂ A is an ideal, then I(V(J)) = J. (Huge
hint: Exercise 3.4.J.)
Exercises 3.7.C and 3.7.D show that V and I are “almost” inverse. More pre-
cisely:
3.7.1. Theorem. — V(·) and I(·) give an inclusion-reversing bijection between closed
subsets of Spec A and radical ideals of A (where a closed subset gives a radical ideal by
I(·), and a radical ideal gives a closed subset by V(·)).
Theorem 3.7.1 is sometimes called Hilbert’s Nullstellensatz, but we reserve
that name for Theorem 3.2.6.
3.7.E. E XERCISE . Let J = (x2 + y2 − 1, y − 1). Find, with proof, an element of
I(V(J)) \ J.
3.7.F. I MPORTANT E XERCISE ( CF. E XERCISE 3.7.G). Show that V(·) and I(·) give
a bijection between irreducible closed subsets of Spec A and prime ideals of A. From
this conclude that in Spec A there is a bijection between points of Spec A and irre-
ducible closed subsets of Spec A (where a point determines an irreducible closed
subset by taking the closure). Hence each irreducible closed subset of Spec A has pre-
cisely one generic point — any irreducible closed subset Z can be written uniquely
as {z}.
3.7.G. E XERCISE / DEFINITION . A prime ideal of a ring A is a minimal prime ideal
(or more simply, minimal prime) if it is minimal with respect to inclusion. (For
example, the only minimal prime of k[x, y] is (0).) If A is any ring, show that the
irreducible components of Spec A are in bijection with the minimal prime ideals of
A. In particular, Spec A is irreducible if and only if A has only one minimal prime
ideal; this generalizes Exercise 3.6.C.
April 1, 2023 draft 127
Proposition 3.6.15, Exercise 3.6.T, and Exercise 3.7.G imply that every Noe-
therian ring has a finite number of minimal prime ideals. An algebraic fact is now
revealed to be really a “geometric” fact!
3.7.H. E XERCISE ( REALITY CHECK ). In An = Spec k[x1 , . . . , xn ], the subset cut
out by f(x1 , . . . , xn ) ∈ k[x1 , . . . , xn ] should certainly have irreducible components
corresponding to the distinct irreducible factors of f. Prove this. (What property
of the ring k[x1 , . . . , xn ] makes this work?)
3.7.I. E XERCISE . What are the minimal prime ideals of k[x, y]/(xy) (where k is a
field)?
3.7.2. Beginning of a grand dictionary between algebra and geometry. We are
now well on our away to building a grand dictionary between algebra and geom-
etry. You should add more entries to the table as your understanding deepens.
algebra geometry reference
ring A affine scheme Spec A §3.2.1
p = I(p) prime ideal of A p = [p] point of Spec A §3.2.1, §3.7
element f ∈ A function f on Spec A §3.2.1
f (mod p) f(p); value of the function f at p §3.2.1
f∈p √ the function f vanishes (is zero) at p §3.2.1
nilradical ideal N = (0) = ∩p of A functions vanishing at every point Thm. 3.2.13
maximal ideal of A irreducible closed subset of Spec A
that is a point
(= closed point of Spec A) Ex. 3.6.I
p = I(Z) prime ideal of A irreducible closed subset Z = V(p)
(a repeat!) of Spec A Ex. 3.7.F
minimal prime ideal
√ of A irreducible component of Spec A §3.7.G
radical ideal I = I = I(S) of A closed subset S = V(I) of Spec A Thm. 3.7.1
CHAPTER 4
The structure sheaf, and the definition of schemes in
general
4.1 The structure sheaf of an affine scheme
The final ingredient in the definition of an affine scheme is the structure sheaf
OSpec A , which we think of as the “sheaf of algebraic functions”. You should keep
in your mind the example of “algebraic functions” on Cn , which you understand
well. For example, in A2 , we expect that on the open set D(xy) (away from the
two axes), (3x4 + y + 4)/x7 y3 should be an algebraic function.
These functions will have values at points, but won’t be determined by their
values at points. But like all sections of sheaves, they will be determined by their
germs (see §4.3.6).
It suffices to describe the structure sheaf as a sheaf (of rings) on the base of
distinguished open sets (Theorem 2.5.1 and Exercise 3.5.A).
4.1.1. Definition. Define OSpec A (D(f)) to be the localization of A at the multiplica-
tive set of all functions that do not vanish outside of V(f) (i.e., those g ∈ A such
that V(g) ⊂ V(f), or equivalently D(f) ⊂ D(g), cf. Exercise 3.5.E). This depends
only on D(f), and not on f itself. (Scholars of the empty set might notice that by
Exercise 3.5.F, we have that OSpec A (∅) = {0}.)
4.1.A. G REAT E XERCISE . Show that the natural map Af → OSpec A (D(f)) is an
isomorphism. (Possible hint: Exercise 3.5.E.)
If D(f ′ ) ⊂ D(f), define the restriction map
resD(f),D(f ′ ) : OSpec A (D(f)) / OSpec A (D(f ′ ))
in the obvious way: the latter ring is a further localization of the former ring.
The restriction maps obviously compose: this is a “presheaf on the distinguished
base”.
4.1.2. Theorem. — The data just described give a sheaf on the distinguished base, and
hence determine a sheaf on the topological space Spec A.
4.1.3. This sheaf is called the structure sheaf, and will be denoted OSpec A , or some-
times O if the subscript is clear from the context. The notation Spec A will hereafter
denote the data of a topological space with a structure sheaf. Such a topological
space, with structure sheaf, will be called an affine scheme (Definition 4.3.1). We
129
130 The Rising Sea: Foundations of Algebraic Geometry
continue to use the language of ringed spaces (§2.2.13): functions on open sets,
global functions, and so forth. An important lesson of Theorem 4.1.2 is not just
that OSpec A is a sheaf, but also that the distinguished base provides a good way of
working with OSpec A . Notice also that we have justified interpreting elements of
A as functions on Spec A.
Proof. We must show the base identity and base gluability axioms hold (§2.5). We
show that they both hold for the open set that is the entire space Spec A, and leave
to you the trick which extends them to arbitrary distinguished open sets (Exer-
cises 4.1.B and 4.1.C). Suppose Spec A = ∪i∈I D(fi ), or equivalently (Exercise 3.5.B)
the ideal generated by the fi is the entire ring A.
(Aside: experts familiar with the equalizer exact sequence of §2.2.7 will realize
that we are showing exactness of
([Link]) 0 /A /∏ Afi /∏ Afi fj
i∈I i̸=j∈I
where {fi }i∈I is a set of functions with (fi )i∈I = A. Signs are involved in the right-
hand map: the map Afi → Afi fj is the localization map, and the map Afj → Afi fj
is the negative of the localization map. Base∏ identity corresponds to injectivity at A,
and gluability corresponds to exactness at i Afi .)
We check identity on the base. Suppose that Spec A = ∪i∈I D(fi ) where i
runs over some index set I. Then there is some finite subset of I, which we name
{1, . . . , n}, such that Spec A = ∪n i=1 D(fi ), i.e., (f1 , . . . , fn ) = A (quasicompactness
of Spec A, Exercise 3.5.C). Suppose we are given s ∈ A such that resSpec A,D(fi ) s =
0 in Afi for all i. We wish to show that s = 0. The fact that resSpec A,D(fi ) s = 0 in
Afi implies that there is some m such that for each i ∈ {1, . . . , n}, fm i s = 0. Now
(fm
1 , . . . , f m
)
n ∑ = A (for example, from Spec A = ∪D(f i ) = ∪D(f m
i )), so there are
n
ri ∈ A with i=1 ri fm i = 1 in A, from which
(∑ ) ∑
s= ri fm
i s= ri (fm
i s) = 0.
Thus we have checked the “base identity” axiom for Spec A.
4.1.B. E XERCISE . Make tiny changes to the above argument to show base identity
for any distinguished open D(f). (Hint: judiciously replace A by Af in the above
argument.)
We next show base gluability. (Serre has described this as a “partition of unity”
argument, and if you look at it in the right way, his insight is very enlightening.)
Suppose again ∪i∈I D(fi ) = Spec A, where I is an index set (possibly horribly infi-
nite). Suppose we are given elements in each Afi that agree on the overlaps Afi fj .
Note that intersections of distinguished open sets are also distinguished open sets.
Assume first that I is finite, say I = {1, . . . , n}. We have elements ai /flii ∈ Afi
agreeing on overlaps Afi fj (see Figure 4.1(a)). Letting gi = flii , using D(fi ) =
D(gi ), we can simplify notation by considering our elements as of the form ai /gi ∈
Agi (Figure 4.1(b)).
The fact that ai /gi and aj /gj “agree on the overlap” (i.e., in Agi gj ) means that
for some mij ,
(gi gj )mij (gj ai − gi aj ) = 0
April 1, 2023 draft 131
F IGURE 4.1. Base gluability of the structure sheaf
in A. By taking m = max mij (here we use the finiteness of I), we can simplify
notation:
(gi gj )m (gj ai − gi aj ) = 0
m+1
for all i, j (Figure 4.1(c)). Let bi = ai gm
i for all i, and hi = gi (so D(hi ) = D(gi )).
Then we can simplify notation even more (Figure 4.1(d)): on each D(hi ), we have
a function bi /hi , and the overlap condition is
([Link]) hj bi = hi bj .
∑n
Now ∪i D(hi ) = Spec A, implying that 1 = i=1 ri hi for some ri ∈ A. Define
∑
([Link]) r= ri bi .
This will be the element of A that restricts to each bj /hj . Indeed, from the overlap
condition ([Link]),
∑ ∑
rhj = ri bi hj = ri hi bj = bj .
i i
We next deal with the case where I is infinite. Choose a finite subset {1, . . . , n} ⊂
I with (f1 , . . . , fn ) = A (or equivalently, use quasicompactness of Spec A to choose
a finite subcover by D(fi )). Construct r as above, using ([Link]). We will show that
for any z ∈ I − {1, . . . , n}, r restricts to the desired element az /flzz of Afz . Repeat
the entire process above with {1, . . . , n, z} in place of {1, . . . , n}, to obtain r ′ ∈ A
which restricts to ai for i ∈ {1, . . . , n, z}. Then by the base identity axiom, r ′ = r.
(Note that we use base identity to prove base gluability. This is an example of how
the identity axiom is somehow “prior” to the gluability axiom.) Hence r restricts
to the desired element az /flzz of Afz .
4.1.C. E XERCISE . Alter this argument appropriately to show base gluability for
any distinguished open D(f).
We have now completed the proof of Theorem 4.1.2. □
4.1.4. ⋆⋆ Remark. Definition 4.1.1 and Theorem 4.1.2 suggests a potentially slick
way of describing sections of OSpec A over any open subset: perhaps OSpec A (U) is
the localization of A at the multiplicative set of all functions that do not vanish at
132 The Rising Sea: Foundations of Algebraic Geometry
any point of U. This is not true. A counterexample (that you will later be able to
make precise): let Spec A be two copies of A2k glued together at their origins (see
([Link]) for explicit equations) and let U be the complement of the origin(s). Then
the function which is 1 on the first copy of A2k \ {(0, 0)} and 0 on the second copy
of A2k \ {(0, 0)} is not of this form. (Follow-up question: why would this discussion
not work for two copies of A1k glued at a point?)
4.1.5. Important notion for future use: OSpec A -modules coming from A-modules.
The following generalization of Theorem 4.1.2 will be essential in the definition of
a quasicoherent sheaf in Chapter 6. You can leave these exercises for then, but they
may be easiest to solve now, while the ideas are fresh in your mind.
4.1.D. I MPORTANT E XERCISE /D EFINITION . Suppose M is an A-module. Show
that the following construction describes a sheaf Mf on the distinguished base. De-
f
fine M(D(f)) to be the localization of M at the multiplicative set of all functions
that do not vanish outside of V(f). Define restriction maps resD(f),D(g) in the anal-
ogous way to OSpec A . Show that this defines a sheaf on the distinguished base,
and hence a sheaf on Spec A. Then show that this is an OSpec A -module.
4.1.6. Important Remark. In the course of answering the previous exercise, you will
show that if (fi )i∈I = A,
∏ ∏
([Link]) 0 /M / /
i∈I Mfi i̸=j∈I Mfi fj
(cf. ([Link])) is exact. In particular, M can be identified with a specific submodule
of Mf1 × · · · × Mfr . Even though M → Mfi may not be an inclusion for any fi ,
M → Mf1 × · · · × Mfr is an inclusion. This will be useful later: we will want to
show that if M has some nice property, then Mf does too, which will be easy. We
will also want to show that if (f1 , . . . , fn ) = A, and the Mfi have this property,
then M does too. This idea will be made precise in the Affine Communication
Lemma 5.3.2.
4.1.E. E XERCISE . Suppose p is a prime ideal of A. Describe a canonical isomor-
∼
f[p] −→ f and the localization of M.
phism M Mp between the stalk of M
The following exercise shows how an important result can be understood
quite differently from algebraic and geometric perspectives.
4.1.F. E XERCISE . Suppose M is an A-module. Show that the natural map
/∏
M p∈Spec A Mp
is an injection in two ways: (a) by considering the kernel of the map, and show that
any element of it must be 0, and (b) by applying Exercise 2.4.A (sections of a sheaf
are determined by germs) to the sheaf M. f (Thus an A-module is zero if and only
if all its localizations at prime ideals are zero, and we see this as a simultaneously
(a) algebraic and (b) geometric fact.)
4.1.G. E XERCISE . Describe a bijection between maps of A-modules M → N, and
maps of OSpec A -modules Mf → N. e (Fancy translation: you will have described
ModA as a full subcategory of ModOSpec A .)
April 1, 2023 draft 133
4.1.7. Definition: Support of a module. Motivated by Exercise 4.1.E, and the notion
of support of a sheaf (Definition 2.7.6), define the support of m ∈ M by
Supp m := {[p] ∈ Spec A : mp ̸= 0} ⊂ Spec A,
which is the support of m considered as a section of M.f By Exercise 2.7.G, Supp m
is a closed subset of Spec A.
Similarly (also following Definition 2.7.6), define the support of M by
f = {[p] ∈ Spec A : Mp ̸= 0} ⊂ Spec A.
Supp M := Supp M
These notions will come up repeatedly. We will discuss support in more detail in
§6.6.3.
4.1.8. Recurring (counter)examples. The example of two planes meeting at a
point (§4.1.4) will appear many times as an example or a counterexample. It is
important to have such examples (or counterexamples) at the back of your mind,
as “boundary markers” reminding you of what is reasonable, and what to watch
out for when you hear a new statement. The appearances of the following are
listed in the index (under “recurring (counter)examples”), so you can see how
often they come up, and where. You do not have the language to understand
many of these yet, but you can come back to this list later.
• two planes meeting at a point
• affine space minus the origin, and its inclusion in affine space
• affine space with doubled origin
• (the cone over) the quadric surface, A = k[w, x, y, z]/(wz − xy)
• an embedded point on a line, k[x, y]/(y2 , xy)
• x2 = 0 in the projective plane ⨿
• infinite disjoint unions of schemes (especially Spec k[x]/(xn ))
• the morphism Spec Q → Spec Q
• k(x) ⊗k k(y)
4.2 Visualizing schemes: Nilpotents
The price of metaphor is eternal vigilance.
— A. Rosenbluth and N. Wiener (attribution by [Lew, p. 4])
In §3.3, we discussed how to visualize the underlying set of schemes, adding
in generic points to our previous intuition of “classical” (or closed) points. Our
later discussion of the Zariski topology fit well with that picture. In our definition
of the “affine scheme” (Spec A, OSpec A ), we have the additional information of
nilpotents, which are invisible on the level of points (§3.2.12), so now we figure
out to picture them. We will then readily be able to glue them together to picture
schemes in general, once we have made the appropriate definitions. As we are
building intuition, we cannot be rigorous or precise.
134 The Rising Sea: Foundations of Algebraic Geometry
As motivation, note that we have incidence-reversing bijections
maximal ideals of A o / closed points of Spec A (Exercise 3.6.I)
prime ideals of A o / irreducible closed subsets of Spec A (Exercise 3.7.F)
radical ideals of A o / closed subsets of Spec A (Theorem 3.7.1)
If we take the things on the right as “pictures”, our goal is to figure out how to
picture ideals that are not radical:
ideals of A o / ???
(We will later fill this in rigorously in a different way with the notion of a closed
subscheme, the scheme-theoretic version of closed subsets, §9.1. But our goal now
is to create a picture.)
As motivation, when we see the expression, Spec C[x]/(x(x − 1)(x − 2)), we
immediately interpret it as a closed subset of A1C , namely {0, 1, 2}. In particular, the
map C[x] → C[x]/(x(x − 1)(x − 2)) can be interpreted (via the Chinese Remainder
Theorem) as: take a function on A1 , and restrict it to the three points 0, 1, and 2.
This will guide us in how to visualize a nonradical ideal. The simplest exam-
ple to consider is Spec C[x]/(x2 ) (Exercise 3.2.A(a)). As a subset of A1 , it is just
the origin 0 = [(x)], which we are used to thinking of as Spec C[x]/(x) (i.e., corre-
sponding to the ideal (x), not (x2 )). We want to enrich this picture in some way.
We should picture C[x]/(x2 ) in terms of the information the quotient remembers.
The image of a polynomial f(x) is the information of its value at 0, and its deriva-
tive (cf. Exercise 3.2.T). We thus picture this as being the point, plus a little bit more
— a little bit of infinitesimal “fuzz” on the point (see Figure 4.2). The sequence of
restrictions C[x] → C[x]/(x2 ) → C[x]/(x) should be interpreted as nested pictures.
C[x] / / C[x]/(x2 ) / / C[x]/(x)
f(x) / f(0),
Similarly, C[x]/(x3 ) remembers even more information — the second derivative as
well. Thus we picture this as the point 0 with even more fuzz.
More subtleties arise in two dimensions (see Figure 4.3). Consider
Spec C[x, y]/(x, y)2 ,
which is sandwiched between two rings we know well:
C[x, y] / / C[x, y]/(x, y)2 / / C[x, y]/(x, y)
f(x, y) / f(0, 0).
Again, taking the quotient by (x, y)2 remembers the first derivative, “in all di-
rections”. We picture this as fuzz around the point, in the shape of a circle (no
April 1, 2023 draft 135
Spec C[x]/(x)
Spec C[x]/(x2 )
Spec C[x]/(x3 )
Spec C[x] = A1C
F IGURE 4.2. Picturing quotients of C[x]
direction is privileged). Similarly, (x, y)3 remembers the second derivative “in all
directions” — bigger circular fuzz.
Spec C[x, y]/(x, y) Spec C[x, y]/(x2 , y) Spec C[x, y]/(x, y)2
Spec C[x, y]/(x2 , y2 ) Spec C[x, y]/(y2 )
F IGURE 4.3. Picturing quotients of C[x, y]
Consider instead the ideal (x2 , y). What it remembers is the derivative only
in the x direction — given a polynomial, we remember its value at 0, and the
coefficient of x. We remember this by picturing the fuzz only in the x direction.
This gives us some handle on picturing more things of this sort, but now it
becomes more an art than a science. For example, Spec C[x, y]/(x2 , y2 ) we might
picture as a fuzzy square around the origin. (Could you believe that this square is
circumscribed by the circular fuzz Spec C[x, y]/(x, y)3 , and inscribed by the circu-
lar fuzz Spec C[x, y]/(x, y)2 ?) One feature of this example is that given two ideals I
and J of a ring A (such as C[x, y]), your fuzzy picture of Spec A/(I, J) should be the
“intersection” of your picture of Spec A/I and Spec A/J in Spec A. (You will make
this precise in Exercise 9.1.I(a).) For example, Spec C[x, y]/(x2 , y2 ) should be the
intersection of two thickened lines. (How would you picture Spec C[x, y]/(x5 , y3 )?
Spec C[x, y, z]/(x3 , y4 , z5 , (x + y + z)2 )? Spec C[x, y]/((x, y)5 , y3 )?)
One final example that will motivate us in §6.6 is Spec C[x, y]/(y2 , xy). Know-
ing what a polynomial in C[x, y] is modulo (y2 , xy) is the same as knowing its
value on the x-axis, as well as first-order differential information around the ori-
gin. This is worth thinking through carefully: do you see how this information is
captured (however imperfectly) in Figure 4.4?
136 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 4.4. A picture of the scheme Spec k[x, y]/(y2 , xy). The
fuzz at the origin indicates where “there is nonreducedness”.
Our pictures capture useful information that you already have some intuition
for. For example, consider the intersection of the parabola y = x2 and the x-axis
(in the xy-plane), see Figure 4.5. You already have a sense that the intersection has
multiplicity two. In terms of this visualization, we interpret this as intersecting (in
Spec C[x, y]):
Spec C[x, y]/(y − x2 ) ∩ Spec C[x, y]/(y) = Spec C[x, y]/(y − x2 , y)
= Spec C[x, y]/(y, x2 )
which we interpret as the fact that the parabola and line not just meet with multi-
plicity two, but that the “multiplicity 2” part is in the direction of the x-axis. You
will make this example precise in Exercise 9.1.I(b).
intersect =
F IGURE 4.5. The “scheme-theoretic” intersection of the parabola
y = x2 and the x-axis is a nonreduced scheme (with fuzz in the
x-direction)
4.2.1. We will later make the location of the fuzz more precise when we discuss
associated points. We will see that in reasonable circumstances, the fuzz is concen-
trated on closed subsets (Exercise 6.6.N).
On a bien souvent répété que la Géométrie est l’art de bien raisonner sur des figures
mal faites; encore ces figures, pour ne pas nous tromper, doivent-elles satisfaire à certaines
conditions; les proportions peuvent être grossièrement altérées, mais les positions relatives
des diverses parties ne doivent pas être bouleversées.
It is often said that geometry is the art of reasoning well from badly made figures;
however, these figures, if they are not to deceive us, must satisfy certain conditions; the
proportions may be grossly altered, but the relative positions of the different parts must
not be upset.
— H. Poincaré, [Po1, p. 2] (see J. Stillwell’s translation [Po2, p. ix])
April 1, 2023 draft 137
4.3 Definition of schemes
4.3.1. Definitions. We can now define scheme in general. First, define an isomor-
phism of ringed spaces (X, OX ) → (Y, OY ) as (i) a homeomorphism π : X → Y, and
(ii) an isomorphism of sheaves OX and OY , considered to be on the same space
∼
via π. (Part (ii), more precisely, is an isomorphism OY −→ π∗ OX of sheaves on
∼
Y, or equivalently, an isomorphism π−1 OY −→ OX of sheaves on X.) In other
words, we have a “correspondence” of sets, topologies, and structure sheaves.
Every isomorphism α : (X, OX ) → (Y, OY ) clearly has an “inverse isomorphism”
α−1 : (Y, OY ) → (X, OX ).
An affine scheme is a ringed space that is isomorphic to (Spec A, OSpec A ) for
some A. A scheme (X, OX ) is a ringed space such that any point of X has an
open neighborhood U such that (U, OX |U ) is an affine scheme. The topology on
a scheme is called the Zariski topology. The scheme can be denoted (X, OX ), al-
though it is often denoted X, with the structure sheaf OX left implicit.
An isomorphism of schemes (X, OX ) → (Y, OY ) is an isomorphism as ringed
spaces. Recall the definition of Γ (·, ·) in §2.2.2. If U ⊂ X is an open subset, then
the elements of Γ (U, OX ) are said to be the functions on U; this generalizes the
definition of functions on an affine scheme, §3.2.1.
4.3.2. Remark. From the definition of the structure sheaf on an affine scheme,
several things are clear. First of all, if we are told that (X, OX ) is an affine scheme,
we may recover its ring (i.e., find the ring A such that Spec A = X) by taking the
ring of global sections, as X = D(1), so:
Γ (X, OX ) = Γ (D(1), OSpec A ) as D(1) = Spec A
= A.
(You can verify that we get more, and can “recognize X as the scheme Spec A”: we
∼
get an isomorphism π : (Spec Γ (X, OX ), OSpec Γ (X,OX ) ) −→ (X, OX ). For example, if
m is a maximal ideal of Γ (X, OX ), then {π([m])} = V(m).) The following exercise
will make these ideas rigorous — they are subtler than they first appear.
4.3.3. Caution. It is not part of the definition that the overlap of two affine open
subsets is also affine (see Exercise 4.4.C for an example), although this is true in
most cases of interest (see Proposition 11.3.13).
4.3.A. E NLIGHTENING E XERCISE ( WHICH CAN BE STRANGELY CONFUSING ). De-
∼
scribe a bijection between the isomorphisms Spec A −→ Spec A ′ and the ring iso-
∼
morphisms A ′ −→ A. Hint: the hardest part is to show that if an isomorphism
∼ ∼
π : Spec A −→ Spec A ′ induces an isomorphism π♯ : A ′ −→ A, which in turn in-
∼
duces an isomorphism ρ : Spec A −→ Spec A ′ , then π = ρ. First show this on the
level of points; this is (surprisingly) the trickiest part. Then show π = ρ as maps
of topological spaces. Finally, to show π = ρ on the level of structure sheaves, use
the distinguished base. Feel free to use insights from later in this section, but be
careful to avoid circular arguments. Even struggling with this exercise and failing
(until reading later sections) will be helpful.
138 The Rising Sea: Foundations of Algebraic Geometry
More generally, given f ∈ A, Γ (D(f), OSpec A ) = ∼ Af . Thus under the natural
inclusion of sets Spec Af ,→ Spec A, the Zariski topology on Spec A restricts to
give the Zariski topology on Spec Af (Exercise 3.4.I), and the structure sheaf of
Spec A restricts to the structure sheaf of Spec Af , as the next exercise shows.
4.3.B. I MPORTANT BUT EASY EXERCISE . Suppose f ∈ A. Show that under the
identification of D(f) in Spec A with Spec Af (§3.5), there is a natural isomorphism
∼
of ringed spaces (D(f), OSpec A |D(f) ) ←→ (Spec Af , OSpec Af ). Hint: notice that dis-
tinguished open sets of Spec Af are already distinguished open sets in Spec A.
4.3.C. E ASY E XERCISE . If X is a scheme, and U is any open subset, prove that
(U, OX |U ) is also a scheme.
4.3.4. Definitions. We say (U, OX |U ) is an open subscheme of X. If U is also an
affine scheme, we often say U is an affine open subset, or an affine open sub-
scheme, or sometimes informally just an affine open. For example, D(f) is an
affine open subscheme of Spec A. (Fun fact: it is not true that every affine open
subscheme of Spec A is of the form D(f); see §19.11.10 for an example.)
4.3.D. E ASY E XERCISE . Show that if X is a scheme, then the affine open sets form
a base for the Zariski topology.
4.3.E. E ASY E XERCISE . The disjoint union of schemes is defined as you would
expect: it is the disjoint union of sets, with the expected topology (thus it is the
disjoint
⨿ union of topological spaces), with the expected sheaf. We use the symbol
X Y for the disjoint union of X and Y, because once we know what morphisms
of schemes are, this construction will turn out to be the coproduct in the category
of schemes (Exercise 7.3.K).
(a) Show that the disjoint union of a finite number of affine schemes is also an affine
scheme. (Hint: Exercise 3.6.A.)
(b) (a first example of a non-affine scheme) Show that an infinite disjoint union of
(nonempty) affine schemes is not an affine scheme. (Hint: affine schemes are qua-
sicompact, Exercise 3.6.G(a). This is basically answered in Remark 3.6.6.)
4.3.5. Remark: A first glimpse of closed subschemes. Open subsets of a scheme come
with a natural scheme structure (Definition 4.3.4). For comparison, closed subsets
can have many “natural” scheme structures. We will discuss this later (in §9.1), but
for now, it suffices for you to know that a closed subscheme of X is, informally, a
particular kind of scheme structure on a closed subset of X. As an example: if I ⊂ A
is an ideal, then Spec A/I endows the closed subset V(I) ⊂ Spec A with a scheme
structure; but note that there can be different ideals with the same vanishing set
(for example (x) and (x2 ) in k[x]).
4.3.6. Stalks of the structure sheaf: germs, values at a point, and the residue field
of a point. Like every sheaf, the structure sheaf has stalks, and unsurprisingly,
they are interesting from an algebraic point of view. In fact, we have seen them
before.
4.3.7. Definition. We say a ringed space is a locally ringed space if its stalks are
local rings. By Exercise 4.1.F, the stalk of OSpec A at the point [p] is the local ring
April 1, 2023 draft 139
Ap . Hence schemes are locally ringed spaces. Manifolds are another example of
locally ringed spaces, see §2.1.1. In both cases, taking the quotient by the maximal
ideal may be interpreted as evaluating at the point. The maximal ideal of the local
ring OX,p is denoted mX,p or mp , and the residue field OX,p /mp is denoted κ(p).
Functions on an open subset U of a locally ringed space have values at each point
of U. The value at p of such a function lies in κ(p). As usual, we say that a function
vanishes at a point p if its value at p is 0. (This generalizes our notion of the value
of a function on Spec A, defined in §3.2.1.) Notice that we can’t even make sense
of the phrase of “function vanishing” on ringed spaces in general.
4.3.F. U SEFUL E XERCISE .
(a) If f is a function on a locally ringed space X, show that the subset of X where f
vanishes is closed. Hint: if f is a function on a ringed space X, show that the subset
of X where the germ of f is invertible is open. (Thus the locus on a locally ringed
space where a function has nonzero value is open. In contrast, the locus it has
nonzero germ is closed, as mentioned in Caution 2.7.7.)
(b) Show that if f is a function on a locally ringed space that vanishes nowhere,
then f is invertible.
Consider a point [p] of an affine scheme Spec A. (Of course, any point of a
scheme can be interpreted in this way, as each point has an affine open neigh-
borhood.) The residue field at [p] is Ap /pAp , which is isomorphic to K(A/p), the
fraction field of the quotient. It is useful to note that localization at p and taking
the quotient by p “commute”, i.e., the following diagram commutes.
([Link]) Ap H
}}> HH
HHquotient
localize }
} HH
}}} HH
$
}
AA Ap /pAp K(A/p)
AA :
AA vv
AA vvv
A vv
quotient
vv localize, i.e., K(·)
A/p
For example, consider the scheme A2k = Spec k[x, y], where k is a field of char-
acteristic not 2. Then (x2 + y2 )/x(y2 − x5 ) is a function away from the y-axis
and the curve y2 − x5 . Its value at (2, 4) (by which we mean [(x − 2, y − 4)]) is
(22 + 42 )/(2(42 − 25 )), as
x2 + y2 22 + 42
2 5
≡
x(y − x ) 2(42 − 25 )
in the residue field — check this if it seems mysterious. And its value at [(y)], the
x2 4
generic point of the x-axis, is −x 6 = −1/x , which we see by setting y to 0. This
is indeed an element of the fraction field of k[x, y]/(y), i.e., k(x). (If you think
you care only about algebraically closed fields, let this example be a first warning:
Ap /pAp won’t be algebraically closed in general, even if A is a finitely generated
C-algebra!)
If anything makes you nervous, you should make up an example to make you
feel better. Here is one: 27/4 is a function on Spec Z − {[(2)], [(7)]} or indeed on an
even bigger open set. What is its value at [(5)]? Answer: 2/(−1) ≡ −2 (mod 5).
140 The Rising Sea: Foundations of Algebraic Geometry
What is its value at the generic point [(0)]? Answer: 27/4. Where does it vanish?
At [(3)].
4.3.8. Definition: the fiber and rank of an OX -module at a point. If F is an OX -module
on a scheme X (or more generally, a locally ringed space), define the fiber (or fibre)
of F at a point p ∈ X by
F |p := Fp ⊗OX,p κ(p).
The fiber is a vector space over κ(p). The dimension of this vector space dimκ(p) F |p
is called the rank of F at p, and is denoted rankp F . For example, OX |p is κ(p),
and rankp OX = 1.
4.3.9. ⋆ Definition: Manifolds of various sorts. In the same way, we can cleanly
and concisely define (various notions of) manifolds. A topological (respectively,
differentiable, C∞ = smooth) (real) manifold is a ringed space (X, OX ), whose
underlying topological space X is Hausdorff and second countable, such that any
point of X has an open neighborhood U such that (U, OX |U ) is isomorphic to an
open ball in Rn with the sheaf of continuous (respectively, differentiable, C∞ =
smooth) real-valued functions on it. The phrase manifold (without adjective)
often means smooth manifold. A complex manifold is a ringed space (X, OX ),
whose underlying topological space X is Hausdorff and second countable, such
that any point of X has an open neighborhood U such that (U, OX |U ) is isomorphic
to an open ball in Cn with the sheaf of holomorphic functions on it.
4.4 Three examples
We now give three extended examples. Our short-term goal is to see that we
can really work with the structure sheaf, and can compute the ring of sections of
interesting open sets that aren’t just distinguished open sets of affine schemes. Our
long-term goal is to meet interesting examples that will come up repeatedly in the
future.
4.4.1. First example: The plane minus the origin. This example will show you
that the distinguished base is something that you can work with. Let A = k[x, y],
so Spec A = A2k . Let’s work out the space of functions on the open set U = A2 −
{(0, 0)} = A2 − {[(x, y)]}.
It is not immediately obvious whether this is a distinguished open set. (In fact
it is not — you may be able to figure out why within a few paragraphs, if you
can’t right now. It is not enough to show that (x, y) is not a principal ideal.) But
in any case, we can describe it as the union of two things which are distinguished
open sets: U = D(x) ∪ D(y). We will find the functions on U by gluing together
functions on D(x) and D(y).
The functions on D(x) are, by Definition 4.1.1, Ax = k[x, y, 1/x]. The functions
on D(y) are Ay = k[x, y, 1/y]. Note that A injects into its localizations (if 0 is not
inverted), as it is an integral domain (Exercise 1.3.C), so A injects into both Ax
and Ay , and both inject into Axy (and indeed into k(x, y) = K(A)). So we are
looking for functions on D(x) and D(y) that agree on D(x) ∩ D(y) = D(xy), i.e.,
we are interpreting Ax ∩ Ay in Axy (or in k(x, y)). Clearly those rational functions
with only powers of x in the denominator, and also with only powers of y in the
April 1, 2023 draft 141
denominator, are the polynomials. Translation: Ax ∩ Ay = A. Thus we conclude:
([Link]) Γ (U, OA2 ) ≡ k[x, y].
In other words, we get no extra functions by removing the origin. Notice how easy
that was to calculate!
4.4.2. Aside. Notice that any function on A2 − {(0, 0)} extends over all of A2 . This is
an analog of Hartogs’s Lemma in complex geometry: you can extend a holomorphic
function defined on the complement of a set of codimension at least two on a com-
plex manifold over the missing set. This will work more generally in the algebraic
setting: you can extend over points in codimension at least 2 not only if they are
“smooth”, but also if they are mildly singular — what we will call normal. We will
make this precise in §12.3.14. This fact will be very useful for us.
4.4.3. We now show an interesting fact: (U, OA2 |U ) is a scheme, but it is not an
affine scheme. (This is confusing, so you will have to pay attention.) Here’s
∼ (Spec A, OSpec A ), then we can recover A by taking
why: otherwise, if (U, OA2 |U ) =
global sections:
A = Γ (U, OA2 |U ),
which we have already identified in ([Link]) as k[x, y]. So if U is affine, then
U= ∼ A2 . But this bijection between prime ideals in a ring and points of the spec-
k
trum is more constructive than that: given the prime ideal I, you can recover the point
as the generic point of the closed subset cut out by I, i.e., V(I), and given the point p, you
can recover the ideal as those functions vanishing at p, i.e., I(p). In particular, the prime
ideal (x, y) of A should cut out a point of Spec A. But on U, V(x) ∩ V(y) = ∅. Con-
clusion: U is not an affine scheme. (If you are ever looking for a counterexample
to something, and you are expecting one involving a non-affine scheme, keep this
example in mind!)
4.4.4. Gluing two copies of A1 together in two different ways. We have now
seen two examples of non-affine schemes: an infinite disjoint union of nonempty
schemes (Exercise 4.3.E) and A2 − {(0, 0)}. I want to give you two more examples.
They are important because they are the first examples of fundamental behavior,
the first pathological, and the second central.
First, I need to tell you how to glue two schemes together. Before that, you
should review how to glue topological spaces together along isomorphic open
sets. Given two topological spaces X and Y, and open subsets U ⊂ X and V ⊂ Y
∼ /
along with a homeomorphism U o V , we can create a new topological space
∼ /
W, that we think of as gluing
⨿ X and Y together along U o V . It is the quotient
of the disjoint union X Y by the equivalence relation U ∼ V, where the quotient
is given the quotient topology. Then X and Y are naturally (identified with) open
subsets of W, and indeed cover W. Can you restate this cleanly with an arbitrary
(not necessarily finite) number of topological spaces?
Now that we have discussed gluing topological spaces, let’s glue schemes
together. (This applies without change more generally to ringed spaces.) Sup-
pose you have two schemes (X, OX ) and (Y, OY ), and open subsets U ⊂ X and
∼ / V , and an isomorphism of
V ⊂ Y, along with a homeomorphism π : U
∼ ∼
/ π∗ OU (i.e., an isomorphism of schemes (U, OX |U ) ←→
structure sheaves OV
142 The Rising Sea: Foundations of Algebraic Geometry
(V, OY |V )). Then we can glue these together to get a single scheme. Reason: let W
∼
be X and Y glued together using the isomorphism U ←→ V. Then Exercise 2.5.E
shows that the structure sheaves can be glued together to get a sheaf of rings. Note
that this is indeed a scheme: any point has an open neighborhood that is an affine
scheme. (Do you see why?)
4.4.A. E SSENTIAL E XERCISE ( CF. E XERCISE 2.5.E). Show that you can glue an
arbitrary collection of schemes together. Suppose we are given:
• schemes Xi (as i runs over some index set I, not necessarily finite),
• open subschemes Xij ⊂ Xi with Xii = Xi ,
∼
• isomorphisms fij : Xij −→ Xji with fii the identity
such that
• (the cocycle condition) the isomorphisms “agree on triple intersections”,
i.e., fik |Xij ∩Xik = fjk |Xji ∩Xjk ◦ fij |Xij ∩Xik (so implicitly, to make sense of
the right side, fij (Xik ∩ Xij ) ⊂ Xjk ).
(The cocycle condition ensures that fij and fji are inverses. In fact, the hypothesis
that fii is the identity also follows from the cocycle condition.) Show that there is a
unique scheme X (up to unique isomorphism) along with open subsets isomorphic
to the Xi respecting this gluing data in the obvious sense. (Hint: what is X as a set?
What is the topology on this set? In terms of your description of the open sets of
X, what are the sections of this sheaf over each open set?)
I will now give you two non-affine schemes. Both are handy to know. In both
cases, I will glue together two copies of the affine line A1k . Let X = Spec k[t], and
Y = Spec k[u]. Let U = D(t) = Spec k[t, 1/t] ⊂ X and V = D(u) = Spec k[u, 1/u] ⊂
Y. We will get both examples by gluing X and Y together along U and V. The
difference will be in how we glue.
4.4.5. Second example: the affine line with the doubled origin. Consider the
∼ ∼
isomorphism U ←→ V via the isomorphism k[t, 1/t] ←→ k[u, 1/u] given by t ←→
u (cf. Exercise 4.3.A). The resulting scheme is called the affine line with doubled
origin. Figure 4.6 is a picture of it.
F IGURE 4.6. The affine line with doubled origin
As the picture suggests, intuitively this is an analog of a failure of Hausdorffness.
Now A1 itself is not Hausdorff, so we can’t say that it is a failure of Hausdorffness.
We see this as weird and bad, so we will want to make a definition that will pre-
vent this from happening. This will be the notion of separatedness (to be discussed
in Chapter 11). (In fact, in some sense, separatedness is the right definition of Haus-
dorfness, see Exercise 11.3.B!) This will answer other of our prayers as well. For
example, on a separated scheme, the “affine base of the Zariski topology” is nice
— the intersection of two affine open sets will be affine (Proposition 11.3.13).
April 1, 2023 draft 143
4.4.B. E XERCISE . Show that the affine line with doubled origin is not affine. Hint:
calculate the ring of global sections, and look back at the argument for A2 − {(0, 0)}.
4.4.C. E ASY E XERCISE . Do the same construction with A1 replaced by A2 . You
will have defined the affine plane with doubled origin. Describe two affine open
subsets of this scheme whose intersection is not an affine open subset. (This exam-
ple was promised in Caution 4.3.3. Also, an “infinite-dimensional” version comes
up in Exercise 5.1.K.)
4.4.6. Third example: the projective line. Consider the isomorphism U = ∼ V via
the isomorphism k[t, 1/t] = ∼ k[u, 1/u] given by t ↔ 1/u. Figure 4.7 is a suggestive
picture of this gluing. The resulting scheme is called the projective line over the
field k, and is denoted P1k .
F IGURE 4.7. Gluing two affine lines together to get P1
Notice how the points glue. Let me assume that k is algebraically closed for
convenience. (You can think about how this changes otherwise.) On the first affine
line, we have the closed (“traditional”) points [(t − a)], which we think of as “a
on the t-line”, and we have the generic point [(0)]. On the second affine line, we
have closed points that are “b on the u-line”, and the generic point. Then a on
the t-line is glued to 1/a on the u-line (if a ̸= 0 of course), and the generic point
is glued to the generic point (the ideal (0) of k[t] becomes the ideal (0) of k[t, 1/t]
upon localization, and the ideal (0) of k[u] becomes the ideal (0) of k[u, 1/u]. And
∼
(0) in k[t, 1/t] is (0) in k[u, 1/u] under the isomorphism t ←→ 1/u).
4.4.7. If k is algebraically closed, we can interpret the closed points of P1k in the
following way, which may make this sound closer to the way you have seen pro-
jective space defined earlier. The points are of the form [a, b], where a and b are
not both zero, and [a, b] is identified with [ac, bc] where c ∈ k× . Then if b ̸= 0, this
is identified with a/b on the t-line, and if a ̸= 0, this is identified with b/a on the
u-line.
4.4.8. Proposition. — P1k is not affine.
Proof. We do this by calculating the ring of global sections. The global sections
correspond to sections over X and sections over Y that agree on the overlap. A
section on X is a polynomial f(t). A section on Y is a polynomial g(u). If we restrict
144 The Rising Sea: Foundations of Algebraic Geometry
f(t) to the overlap, we get something we can still call f(t); and similarly for g(u).
Now we want them to be equal: f(t) = g(1/t). But the only polynomials in t that
are at the same time polynomials in 1/t are the constants k. Thus Γ (P1 , OP1 ) = k.
If P1 were affine, then it would be Spec Γ (P1 , OP1 ) = Spec k, i.e., one point. But it
isn’t — it has lots of points. □
We have proved an analog of an important theorem: the only holomorphic
functions on CP1 are the constants! (See §11.5.7 for a serious yet easy generaliza-
tion.)
4.4.9. Important Example: Projective space. We now make a preliminary defi-
nition of projective n-space over a field k, denoted Pn k , by gluing together n + 1
open sets each isomorphic to An k . Judicious choice of notation for these open sets
will make our life easier. Our motivation is as follows. In the construction of P1
above, we thought of points of projective space as [x0 , x1 ], where (x0 , x1 ) are only
determined up to scalars, i.e., (x0 , x1 ) is considered the same as (λx0 , λx1 ). Then
the first patch can be interpreted by taking the locus where x0 ̸= 0, and then we
consider the points [1, t], and we think of t as x1 /x0 ; even though x0 and x1 are not
well-defined, x1 /x0 is. The second corresponds to where x1 ̸= 0, and we consider
the points [u, 1], and we think of u as x0 /x1 . It will be useful to instead use the
notation x1/0 for t and x0/1 for u.
For Pn , we glue together n + 1 open sets, one for each of i = 0, . . . , n. The ith
open set Ui will have coordinates x0/i , . . . , x(i−1)/i , x(i+1)/i , . . . , xn/i . It will be
convenient to write this as
([Link]) Spec k[x0/i , x1/i , . . . , xn/i ]/(xi/i − 1)
(so we have introduced a “dummy variable” xi/i which we immediately set to
1). We glue the distinguished open set D(xj/i ) of Ui to the distinguished open set
D(xi/j ) of Uj , by identifying these two schemes by describing the identification of
rings
∼
Spec k[x0/i , x1/i , . . . , xn/i , 1/xj/i ]/(xi/i − 1) =
Spec k[x0/j , x1/j , . . . , xn/j , 1/xi/j ]/(xj/j − 1)
via xk/i = xk/j /xi/j and xk/j = xk/i /xj/i (which implies xi/j xj/i = 1). We need to
check that this gluing information agrees over triple overlaps.
4.4.D. E XERCISE . Check this, as painlessly as possible. (Possible hint: the triple
intersection is affine; describe the corresponding ring.)
4.4.10. Definition: Pn
A. Note that our definition does not use the fact that k is a
field. Hence we may as well define Pn
A for any ring A. This will be useful later.
4.4.E. E XERCISE . Show that the only functions on Pn ∼
k are constants (Γ (Pk , O) = k),
n
and hence that Pk is not affine if n > 0. Hint: you might fear that you will need
n
some delicate interplay among all of your affine open sets, but you will only need
two of your open sets to see this. There is even some geometric intuition behind
this: the complement of the union of two open sets has codimension 2. But “Al-
gebraic Hartogs’s Lemma” (discussed informally in §4.4.2, and to be stated rigor-
ously in Theorem 12.3.14) says that any function defined on this union extends
to be a function on all of projective space. Because we are expecting to see only
April 1, 2023 draft 145
constants as functions on all of projective space, we should already see this for this
union of our two affine open sets.
4.4.F. E XERCISE ( GENERALIZING §4.4.7). Show that if k is algebraically closed,
the closed points of Pn k may be interpreted in the traditional way: the points are
of the form [a0 , . . . , an ], where the ai are not all zero, and [a0 , . . . , an ] is identified
with [λa0 , . . . , λan ] where λ ∈ k× .
Helpful translation: we think of the closed points of Pn k (where k = k) as
[x0 , x1 , . . . , xn ], with xi ∈ k (not all xi zero), and we identify [x0 , x1 , . . . , xn ] with
[λx0 , λx1 , . . . , λxn ] for all λ ∈ k× . Then [x0 , x1 , . . . , xn ] corresponds to a line through
the origin, and (x0/i , x1/i , . . . , xn/i ) is where this line meets the hyperplane xi = 1.
We will later give other definitions of projective space (Definition 4.5.8, §15.2.3),
and the xi will be called projective coordinates there. Our first definition here will
often be handy for computing things. But there is something unnatural about it
— projective space is highly symmetric, and that isn’t clear from our current defi-
nition. Furthermore, as noted by Herman Weyl [Wey, p. 90], “The introduction of
numbers as coordinates is an act of violence.”
4.4.11. Fun aside: The Chinese Remainder Theorem is a geometric fact. The
Chinese Remainder Theorem is embedded in what we have done. We will see this
in a single example, but you should then figure out the general statement. The
Chinese Remainder Theorem says that knowing an integer modulo 60 is the same
as knowing an integer modulo 3, 4, and 5. Here is how to see this in the language
of schemes. What is Spec Z/(60)? What are the prime ideals of this ring? Answer:
those prime ideals containing (60), i.e., those primes dividing 60, i.e., (2), (3), and
(5). Figure 4.8 is a sketch of Spec Z/(60). They are all closed points, as these are
all maximal ideals, so the topology is the discrete topology. What are the stalks?
You can check that they are Z/(4), Z/(3), and Z/(5). The nilpotents “at (2)” are
indicated by the “fuzz” on that point. (We discussed visualizing nilpotents with
“infinitesimal fuzz” in §4.2.) So what are global sections on this scheme? They are
sections on this open set (2), this other open set (3), and this third open set (5). In
other words, we have a natural isomorphism of rings
∼ / Z/(22 ) × Z/(3) × Z/(5).
Z/(60)
[(2)] [(3)] [(5)]
F IGURE 4.8. A picture of the scheme Spec Z/(60)
4.4.12. ⋆⋆ Example. Here is an example of a function on an open subset of a scheme
with some surprising behavior. On X = Spec k[w, x, y, z]/(wz − xy), consider the
open subset D(y) ∪ D(w). Clearly the function z/y on D(y) agrees with x/w on
D(w) on the overlap D(y) ∩ D(w). Hence they glue together to give a section. You
may have seen this before when thinking about analytic continuation in complex
146 The Rising Sea: Foundations of Algebraic Geometry
geometry — we have a “holomorphic” function which has the description z/y on
an open set, and this description breaks down elsewhere, but you can still “analyt-
ically continue” it by giving the function a different definition on different parts of
the space.
Follow-up for curious experts. This function has no “single description” as a
well-defined expression in terms of w, x, y, z! There is a lot of interesting geom-
etry here, and this scheme will be a constant source of (counter)examples for us
(look in the index under “cone over smooth quadric surface”). Here is a glimpse,
in terms of words we have not yet defined. The space Spec k[w, x, y, z] is A4 , and
is, not surprisingly, 4-dimensional. We are working with the subset X, which is a
hypersurface, and is 3-dimensional. It is a cone over a smooth quadric surface in
P3 (flip to Figure 9.2). The open subset D(y) ⊂ X is X minus some hypersurface,
so we are throwing away a codimension 1 locus. D(w) involves throwing away
another codimension 1 locus. You might think that the intersection of these two
discarded loci is then codimension 2, and that failure of extending this weird func-
tion to a global polynomial comes because of a failure of our Hartogs’s Lemma-
type theorem. But that’s not true — V(y) ∩ V(w) is in fact codimension 1. Here
is what is actually going on. The space V(y) is obtained by throwing away the
(cone over the) union of two lines ℓ and m1 , one in each “ruling” of the surface,
and V(w) also involves throwing away the (cone over the) union of two lines ℓ
and m2 . The intersection is the (cone over the) line ℓ, which is a codimension 1
set. Remarkably, despite being “pure codimension 1” the cone over ℓ is not cut out
even set-theoretically by a single equation (see Exercise 15.4.T). This means that
any expression f(w, x, y, z)/g(w, x, y, z) for our function cannot correctly describe
our function on D(y)∪D(w) — at some point of D(y)∪D(w) it must be 0/0. Here’s
why. Our function can’t be defined on V(y) ∩ V(w), so g must vanish here. But g
can’t vanish just on the cone over ℓ — it must vanish elsewhere too.
4.5 Projective schemes, and the Proj construction
Projective schemes are important for a number of reasons. Here are a few.
Schemes that were of “classical interest” in geometry — and those that you would
have cared about before knowing about schemes — are all projective or an open
subset thereof (basically, quasiprojective, see §4.5.9). Moreover, most “schemes of
interest” tend to be projective or quasiprojective. In fact, it is very hard to even
give an example of a scheme satisfying basic properties — for example, finite type
and “Hausdorff” (“separated”) over a field — that is provably not quasiprojective.
For complex geometers: it is hard to find a compact complex variety that is prov-
ably not projective (see Remark 11.5.6), and it is quite hard to come up with a
complex variety that is provably not an open subset of a projective variety. So pro-
jective schemes are really ubiquitous. Also, the notion of “projective k-scheme” is
a good approximation of the algebro-geometric version of compactness (“proper-
ness”, see §11.5).
Finally, although projective schemes may be obtained by gluing together affine
schemes, and we know that keeping track of gluing can be annoying, there is a
simple means of dealing with them without worrying about gluing. Just as there
is a rough dictionary between rings and affine schemes, we will have a (slightly
April 1, 2023 draft 147
looser) analogous dictionary between graded rings and projective schemes. Just
as one can work with affine schemes by instead working with rings, one can work
with projective schemes by instead working with graded rings.
4.5.1. Motivation from classical geometry.
For geometric intuition, we recall how one thinks of projective space “classi-
cally” (in the classical topology, over the real numbers). Pn can be interpreted as
the lines through the origin in Rn+1 . Thus subsets of Pn correspond to unions of
lines through the origin of Rn+1 , and closed subsets correspond to such unions
which are closed. (The same is not true with “closed” replaced by “open”!)
One often pictures Pn as being the “points at infinite distance” in Rn+1 , where
the points infinitely far in one direction are associated with the points infinitely far
in the opposite direction. We can make this more precise using the decomposition
⨿
Pn+1 = Rn+1 Pn
by which we mean that there is an open subset in Pn+1 identified with Rn+1 (the
points with last “projective coordinate” nonzero), and the complementary closed
subset identified with Pn (the points with last “projective coordinate” zero). (The
phrase “projective coordinate” will be formally defined in §4.5.8, but we will use
it even before then, in Exercises 4.5.B and 4.5.E.)
Then for example any equation cutting out some set V of points in Pn will also
cut out some set of points in Rn+1 that will be a closed union of lines. We call this
the affine cone of V. These equations will cut out some union of P1 ’s in Pn+1 , and
we call this the projective cone of V. The projective cone is the disjoint union of the
affine cone and V. For example, the affine cone over x2 + y2 = z2 in P2 is just
the “classical” picture of a cone in R3 , see Figure 4.9. We will make this analogy
precise in our algebraic setting in §9.3.11.
x2 + y2 = z2 in P2
projective cone in P3
affine cone: x2 + y2 = z2 in R3
F IGURE 4.9. The affine and projective cone of x2 + y2 = z2 in
classical geometry
4.5.2. Projective schemes, a first description.
We now describe a construction of projective schemes, which will help moti-
vate the Proj construction. We begin by giving an algebraic interpretation of the
cone just described, and more generally, getting some practice with transforming
between projective coordinates, and coordinates on the standard affine open sub-
sets. We switch coordinates from x, y, z to x0 , x1 , x2 in order to use the notation of
148 The Rising Sea: Foundations of Algebraic Geometry
§4.4.9. For the next questions, in P2k , we take projective coordinates x0 , x1 , x2 . (The
terminology “projective coordinate” will not be formally defined until §4.5.8, but
you should be able to solve these exercises anyway.) The big open set (or “coordi-
nate chart”) U0 = {[x0 , x1 , x2 ] : x0 ̸= 0} has coordinates x1/0 and x2/0 , which we
interpret as x1 /x0 and x2 /x0 . We have similar definitions for U1 and U2 . It will be
convenient to define x0/0 as 1.
4.5.A. E XERCISE . Describe (x0/1 , x2/1 ) in terms of (x1/0 , x2/0 ).
4.5.B. E XERCISE . Explain how to define a scheme that should be interpreted as
x20 + x21 − x22 = 0 “in P2k ”. Hint: in the affine open subset corresponding to x2 ̸= 0,
it should (in the language of 4.4.9) be cut out by x20/2 + x21/2 − 1 = 0, i.e., it should
“be” the scheme Spec k[x0/2 , x1/2 ]/(x20/2 + x21/2 − 1). You can similarly guess what
it should be on the other two standard open sets, and show that the three schemes
glue together.
4.5.C. E XERCISE . (a) Describe all homogeneous polynomials in x0 , x1 , x2 that can
be “dehomogenized” to x21/0 + x52/0 = 1. Explain which one is “best”. (b) In what
points do the vanishing sets of these polynomials meet the “line at infinity” x0 = 0
in P2k ?
4.5.D. E XERCISE . Consider the parabola x2/0 = x21/0 (or, if you prefer, y = x2 ).
How does it meet the line at infinity? (What does this mean?) What is its descrip-
tion in the different coordinate patches U1 and U2 ?
4.5.3. Remark: Degree d hypersurfaces in Pn . The degree d homogeneous( poly- )
nomials in n + 1 variables over a field form a vector space of dimension n+d d .
(This is essentially the content of Exercise 9.3.J and Exercise 15.1.C.) It is almost
true that two polynomials cut out the same subset of Pn k if one is a nonzero scalar
multiple of the other. Unfortunately, the examples of x2 y = 0 and xy2 = 0 show
that this isn’t quite right. You will later be able to check (for example, using Exer-
cise 9.5.C) that two polynomials cut out the same closed subscheme (whatever that
means) if and only if one is a nonzero multiple of the other. (This is some evidence
that the notion of a “closed subscheme” is better than that of a “closed subset”.)
The zero polynomial doesn’t really cut out a hypersurface in any reasonable sense
of the word. Thus we informally imagine that “degree d hypersurfaces in Pn are
n+d
parametrized by P( d )−1 ”. This intuition will come up repeatedly (in special
cases), and we will give it some precise meaning in §26.3.5. (We will properly de-
fine hypersurfaces in §9.3.2, once we have the language of closed subschemes. At
that time we will also define line, hyperplane, quadric hypersurfaces, conic curves,
and other wondrous notions.)
4.5.E. E XERCISE ( GENERALIZING E XERCISE 4.5.B). Consider Pn A , with projective
coordinates x0 , . . . , xn . Given a collection of homogeneous polynomials fi ∈
A[x0 , . . . , xn ], make sense of the scheme “cut out in Pn
A by the fi .” (This will later
be made precise as an example of a “vanishing scheme”, see Exercise 4.5.S.)
This could be taken as the definition of a projective A-scheme, but we will wait
until §4.5.9 to state it a little better.
April 1, 2023 draft 149
4.5.4. Preliminaries on graded rings.
The Proj construction produces a scheme out of a graded ring. We now give
some background on graded rings.
4.5.5. Definition: Z-graded rings. A Z-graded ring is a ring S• = ⊕n∈Z Sn (the
subscript is called the grading), where multiplication respects the grading, i.e.,
sends Sm × Sn to Sm+n . Clearly S0 is a subring, each Sn is an S0 -module, and S• is
a S0 -algebra. Suppose for the remainder of §4.5.5 that S• is a Z-graded ring. Those
elements of some Sn are called homogeneous elements of S• . An ideal I of S• is a
homogeneous ideal (or a graded ideal, although we won’t use this terminology) if
it is generated by homogeneous elements. Nonzero homogeneous elements have
an obvious degree. An element of Sd is called a form of degree d.
4.5.F. E XERCISE .
(a) Show that an ideal I is homogeneous if and only if it contains the degree n piece
of each of its elements for each n. (Hence I can be decomposed into homogeneous
pieces, I = ⊕In , and S• /I has a natural Z-grading. This is the reason for the name
homogeneous ideal.)
(b) Show that the set of homogeneous ideals of a given Z-graded ring S• is closed
under sum, product, intersection, and radical.
(c) Show that a homogeneous ideal I ⊂ S• is prime if I ̸= S• , and if for any homoge-
neous a, b ∈ S• , if ab ∈ I, then a ∈ I or b ∈ I.
If T is a multiplicative subset of S• containing only homogeneous elements,
then T −1 S• has a natural structure as a Z-graded ring.
4.5.6. Z≥0 -graded rings, graded ring over A, and finitely generated graded rings. A
Z≥0 -graded ring is a Z-graded ring with no elements of negative degree.
For the remainder of the book, graded ring will refer to a Z≥0 -graded ring.
Warning: this convention is nonstandard (for good reason).
From now on, unless otherwise stated, S• is assumed to be a graded ring. Fix
a ring A, which we call the base ring. If S0 = A, we say that S• is a graded ring
over A. A key example is A[x0 , . . . , xn ], or more generally A[x0 , . . . , xn ]/I where
I is a homogeneous ideal with I ∩ S0 = 0 (cf. Exercise 4.5.E). Here we take the
conventional grading on A[x0 , . . . , xn ], where each xi has weight 1.
The subset S+ := ⊕i>0 Si ⊂ S• is an ideal, called the irrelevant ideal. The rea-
son for the name “irrelevant” will be clearer in a few paragraphs. If the irrelevant
ideal S+ is a finitely generated ideal, we say that S• is a finitely generated graded
ring over A. If S• is generated by S1 as an A-algebra, we say that S• is generated in
degree 1. (We will later find it useful to interpret “S• is generated in degree 1” as
“the natural map Sym• S1 → S• is a surjection”. The symmetric algebra construction
will be briefly discussed in §14.2.14.)
4.5.G. E XERCISE .
(a) Show that a graded ring S• over A is a finitely generated graded ring (over
A) if and only if S• is a finitely generated graded A-algebra, i.e., generated over
A = S0 by a finite number of homogeneous elements of positive degree. (Hint
for the forward implication: show that the generators of S+ as an ideal are also
generators of S• as an algebra.)
150 The Rising Sea: Foundations of Algebraic Geometry
(b) Show that a graded ring S• over A is Noetherian if and only if A = S0 is
Noetherian and S• is a finitely generated graded ring.
4.5.7. The Proj construction.
We now define a scheme Proj S• , where S• is a (Z≥0 -)graded ring. Here are two
examples, to provide a light at the end of the tunnel. If S• = A[x0 , . . . , xn ], we will
recover Pn A ; and if S• = A[x0 , . . . , xn ]/(f(x0 , . . . , xn )) where f is homogeneous, we
will construct something “cut out in Pn A by the equation f = 0” (cf. Exercise 4.5.E).
As we did with Spec of a ring, we will build Proj S• first as a set, then as a
topological space, and finally as a ringed space. In our preliminary definition of
PnA , we glued together n + 1 well-chosen affine pieces, but we don’t want to make
any choices, so we do this by simultaneously considering “all possible” affine open
sets. Our affine building blocks will be as follows. For each homogeneous f ∈ S+ ,
note that the localization (S• )f is naturally a Z-graded ring, where deg(1/f) =
− deg f. Consider
([Link]) Spec((S• )f )0 .
where ((S• )f )0 means the 0-graded piece of the graded ring (S• )f . (These will be
our affine building blocks, as f varies over the homogeneous elements of S+ .) The
notation ((S• )f )0 is admittedly horrible — the first and third subscripts refer to the
grading, and the second refers to localization. As motivation for considering this
construction: applying this to S• = k[x0 , . . . , xn ], with f = xi , we obtain the ring
appearing in ([Link]):
k[x0/i , x1/i , . . . , xn/i ]/(xi/i − 1).
(Before we begin the construction: another possible way of defining Proj S• is
by gluing together affines of this form, by jumping straight to Exercises 4.5.N and
4.5.O. If you prefer that, by all means do so.)
The points of Proj S• are the set of homogeneous prime ideals of S• not contain-
ing the irrelevant ideal S+ (the “relevant homogeneous prime ideals”).
4.5.H. I MPORTANT AND TRICKY EXERCISE . Suppose f ∈ S+ is homogeneous.
(a) Give a bijection between the prime ideals of ((S• )f )0 and the homogeneous
prime ideals of (S• )f . Hint: Avoid notational confusion by proving instead that if
A is a Z-graded ring with a homogeneous invertible element f in positive degree,
then there is a bijection between prime ideals of A0 and homogeneous prime ideals
of A. Using the ring map A0 → A, from each homogeneous prime ideal of A we
find a prime ideal of A0 . The reverse direction is the harder one. Given a prime
ideal P0 ⊂ A0 , define P ⊂ A (a priori only a subset) as ⊕Qi , where Qi ⊂ Ai , and
a ∈ Qi if and only if adeg f /fi ∈ P0 . Note that Q0 = P0 . Show that a ∈ Qi if and
only if a2 ∈ Q2i ; show that if a1 , a2 ∈ Qi then a21 + 2a1 a2 + a22 ∈ Q2i and hence
a1 + a2 ∈ Qi ; then show that P is a homogeneous ideal of A; then show that P is
prime.
(b) Interpret the set of prime ideals of ((S• )f )0 as a subset of Proj S• .
The correspondence of the points of Proj S• with homogeneous prime ideals
helps us picture Proj S• . For example, if S• = k[x, y, z] with the usual grading, then
we picture the homogeneous prime ideal (z2 − x2 − y2 ) first as a subset of Spec S• ;
it is a cone (see Figure 4.9). As in §4.5.1, we picture P2k as the “plane at infinity”.
April 1, 2023 draft 151
Thus we picture this equation as cutting out a conic “at infinity” (in Proj S• ). We
will make this intuition somewhat more precise in §9.3.11.
Motivated by the affine case, if T is a set of homogeneous elements of S• , de-
fine the (projective) vanishing set of T , V(T ) ⊂ Proj S• , to be those homogeneous
prime ideals containing T but not S+ . Define V(f) if f is a homogeneous element of
positive degree in the obvious way. Let D+ (f) := Proj S• \ V(f) (the projective dis-
tinguished open set) be the complement of V(f). (The subscript is intended to dis-
tinguish this notation from the similar D(f).) Once we define a scheme structure
on Proj S• , we will (without comment) use D+ (f) to refer to the open subscheme,
not just the open subset. (These definitions can certainly be extended to remove
the positive degree hypotheses. For example, the definition of V(T ) makes sense
for any subset T of S• , and the definition of D+ (f) makes sense even if f has degree
0. In what follows, we deliberately stick to these narrower definitions. For exam-
ple, we will want the D+ (f) to form an affine cover, and if f has degree 0, then
D+ (f) needn’t be affine.)
4.5.I. E XERCISE . Show that D+ (f) “is” (or more precisely, “corresponds to”) the
subset Spec((S• )f )0 you described in Exercise 4.5.H(b). For example, in §4.4.9, the
D+ (xi ) are the standard open sets covering projective space.
As in the affine case, the V(I)’s satisfy the axioms of the closed sets of a topol-
ogy, and we call this the Zariski topology on Proj S• . (Other definitions given in
the literature may look superficially different, but can be easily shown to be the
same.) Many statements about the Zariski topology on Spec of a ring carry over to
this situation with little extra work. Clearly D+ (f) ∩ D+ (g) = D+ (fg), by the same
immediate argument as in the affine case (Exercise 3.5.D).
4.5.J. E ASY E XERCISE . Verify that the projective distinguished open sets D+ (f)
(as f runs through the homogeneous elements of S+ ) form a base of the Zariski
topology.
4.5.K. E XERCISE . Fix a graded ring S• .
(a) Suppose I is any homogeneous ideal of S• contained in S+ , and f is a homoge-
neous element of positive degree. Show that f vanishes on V(I) (i.e., V(I) ⊂ V(f))
if and only if fn ∈ I for some n. (Hint: Mimic the affine case; see Exercise 3.4.J.) In
particular, as in the affine case (Exercise 3.5.E), if D+ (f) ⊂ D+ (g), then fn ∈ (g) for
some n, and vice versa. (Here g is also homogeneous of positive degree.)
(b) If Z ⊂ Proj S• , define I(Z) ⊂ S+ . Show that it is a homogeneous ideal of S• . For
any two subsets, show that I(Z1 ∪ Z2 ) = I(Z1 ) ∩ I(Z2 ).
(c) For any subset Z ⊂ Proj S• , show that V(I(Z)) = Z.
4.5.L. E XERCISE ( CF. E XERCISE 3.5.B). Fix a graded ring S• , and a homogeneous
ideal I ⊆ S+ . Show that the following are equivalent.
(a) V(I) = ∅.
(b) For any fi (as i runs through some index set) generating I, ∪D+ (fi ) =
Proj
√ S• .
(c) I = S+ .
This is more motivation for the ideal S+ being “irrelevant”: any ideal whose radi-
cal contains it is “geometrically irrelevant”.
152 The Rising Sea: Foundations of Algebraic Geometry
We now construct Proj S• as a scheme.
4.5.M. E XERCISE . Suppose some homogeneous f ∈ S+ is given. Via the inclusion
D+ (f) = Spec((S• )f )0 ,→ Proj S•
of Exercise 4.5.I, show that the Zariski topology on Proj S• restricts to the Zariski
topology on Spec((S• )f )0 .
Now that we have defined Proj S• as a topological space, we are ready to
define the structure sheaf. On D+ (f), we wish it to be the structure sheaf of
Spec((S• )f )0 . We will glue these sheaves together using Exercise 2.5.E on gluing
sheaves.
4.5.N. E XERCISE . If f, g ∈ S+ are homogeneous and nonzero, describe an isomor-
phism between Spec((S• )fg )0 and the distinguished open subset D(gdeg f /fdeg g )
of Spec((S• )f )0 .
Similarly, Spec((S• )fg )0 is identified with a distinguished open subset of Spec((S• )g )0 .
We then glue the various Spec((S• )f )0 (as f varies) altogether, using these pairwise
gluings.
4.5.O. E XERCISE . By checking that these gluings behave well on triple overlaps
(see Exercise 2.5.E), finish the definition of the scheme Proj S• .
4.5.P. E XERCISE . (Some will find this essential, others will prefer to ignore it.)
(Re)interpret the structure sheaf of Proj S• in terms of compatible germs.
4.5.8. Definition. We (re)define projective space (over a ring A) by
Pn
A := Proj A[x0 , . . . , xn ].
This definition involves no messy gluing, or special choice of patches. Note that
the variables x0 , . . . , xn , which we call the projective coordinates on Pn
A , are part
of the definition. (They may have other names than x’s, depending on the context.)
4.5.Q. E XERCISE . Check that this agrees with our earlier construction of PnA
(§4.4.9). (How do you know that the D+ (xi ) cover Proj A[x0 , . . . , xn ]?)
Notice that with our old definition of projective space, it would have been a
nontrivial exercise to show that D+ (x2 + y2 − z2 ) ⊂ P2k (the complement of a plane
conic) is affine; with our new perspective, it is immediate — it is Spec(k[x, y, z](x2 +y2 −z2 ) )0 .
4.5.R. E XERCISE . Suppose that k is an algebraically closed field. We know
from Exercise 4.4.F that the closed points of Pn k , as defined in §4.4.9, are in bijec-
tion with the points of “classical” projective space. By Exercise 4.5.Q, the scheme
Pnk as defined in §4.4.9 is isomorphic to Proj k[x0 , . . . , xn ]. Therefore, each point
[a0 , . . . , an ] of classical projective space corresponds to a homogeneous prime
ideal of k[x0 , . . . , xn ]. Which homogeneous prime ideal is it?
We now figure out the “right definition” of the vanishing scheme, in analogy
with the vanishing set V(·) (§3.4.1). You will be defining a closed subscheme (men-
tioned in Remark 4.3.5, and to be properly defined in §9.1).
April 1, 2023 draft 153
4.5.S. E XERCISE . If S• is generated in degree 1, and f ∈ S+ is homogeneous,
explain how to define V(f) “in” Proj S• , the vanishing scheme of f. This is the
same notation as the “vanishing set” V(·), but now means something richer than
a mere set. (Exercise 9.1.K is similar. Warning: in general, f isn’t a function on
Proj S• . We will later interpret it as something close: a section of a line bundle,
see for example §15.1.2.) Hence define V(I) for any homogeneous ideal I of S+ .
(Another solution in more general circumstances will be given in Exercise 14.2.O.)
4.5.9. Projective and quasiprojective schemes.
We call a scheme of the form (i.e., isomorphic to) Proj S• , where S• is a finitely
generated graded ring over A, a projective scheme over A, or a projective A-
scheme. A quasiprojective A-scheme is a quasicompact open subscheme of a
projective A-scheme. The “A” is omitted if it is clear from the context; often A is
a field.
4.5.10. Unimportant remarks. (i) Note that Proj S• makes sense even when S• is not
finitely generated. This can be useful. For example, you will later be able to do
Exercise 7.4.D without worrying about Exercise 7.4.H.
(ii) The quasicompact requirement in the definition of quasiprojectivity is of
course redundant in the Noetherian case (cf. Exercise 3.6.U), which is all that mat-
ters to most.
∼ Spec A. Thus “Spec A is a
4.5.11. Silly example. Note that P0A = Proj A[T ] =
projective A-scheme”.
4.5.12. Example: projectivization of a vector space PV. We can make this def-
inition of projective space even more choice-free as follows. Let V be an (n + 1)-
dimensional vector space over k. (Here k can be replaced by any ring A as usual.)
Define
Sym• V ∨ = k ⊕ V ∨ ⊕ Sym2 V ∨ ⊕ · · · .
(The reason for the dual is explained by the next exercise.) If for example V is
the dual of the vector space with basis associated to x0 , . . . , xn , we would have
Sym• V ∨ = k[x0 , . . . , xn ]. Then we can define PV := Proj(Sym• V ∨ ). In this
language, we have an interpretation for x0 , . . . , xn : they are linear functionals
on the underlying vector space V. (Warning: some authors use the definition
PV = Proj(Sym• V), so be cautious.)
4.5.T. U NIMPORTANT EXERCISE . Suppose k is algebraically closed. Describe a
natural bijection between one-dimensional subspaces of V and the closed points
of PV. Thus this construction canonically (in a basis-free manner) describes the
one-dimensional subspaces of the vector space V.
Unimportant remark: you may be surprised at the appearance of the dual in
the definition of PV. This is partially explained by the previous exercise. Most
normal (traditional) people define the projectivization of a vector space V to be
the space of one-dimensional subspaces of V. Grothendieck considered the projec-
tivization to be the space of one-dimensional quotients. One motivation for this is
that it gets rid of the annoying dual in the definition above. There are better rea-
sons, that we won’t go into here. In a nutshell, quotients tend to be better-behaved
154 The Rising Sea: Foundations of Algebraic Geometry
than subobjects for coherent sheaves, which generalize the notion of vector bun-
dle. (Coherent sheaves are discussed in Chapter 14.)
On another note related to Exercise 4.5.T: you can also describe a natural bijec-
tion between points of V and the closed points of Spec(Sym• V ∨ ). This construc-
tion respects the affine/projective cone picture of §9.3.11.
4.5.13. The Grassmannian. At this point, we could describe the fundamental geo-
metric object known as the Grassmannian, and give the “wrong” (but correct) defi-
nition of it. We will instead wait until §7.7 to give the wrong definition, when we
will know enough to sense that something is amiss. The right definition will be
given in §16.4.
CHAPTER 5
Some properties of schemes
5.1 Topological properties
We will now define some useful properties of schemes. As you see each exam-
ple, you should try these out in specific examples of your choice, such as particular
schemes of the form Spec C[x1 . . . , xn ]/(f1 , . . . , fr ).
The definitions of connected, connected component, (ir)reducible, irreducible com-
ponent, quasicompact, generization, specialization, generic point, Noetherian topological
space, and closed point, were given in §3.6. You should have pictures in your mind
of each of these notions.
Exercise 3.6.C shows that An k is irreducible (it was easy). This argument “be-
haves well under gluing”, yielding:
5.1.A. E ASY E XERCISE . Show that Pn
k is irreducible.
5.1.B. E XERCISE . Exercise 3.7.F showed that there is a bijection between irre-
ducible closed subsets and points for affine schemes (the map sending a point p to
the closed subset {p} is a bijection). Show that this is true of schemes in general.
5.1.C. E ASY E XERCISE . Prove that if X is a scheme that has a finite cover X =
∪ni=1 Spec Ai where Ai is Noetherian, then X is a Noetherian topological space
(§3.6.14). (We will soon call a scheme with such a cover a Noetherian scheme, §5.3.4.)
Hint: show that a topological space that is a finite union of Noetherian subspaces
is itself Noetherian.
Thus Pn k and PZ are Noetherian topological spaces: we built them by gluing
n
together a finite number of spectra of Noetherian rings.
5.1.D. E ASY E XERCISE . Show that a scheme X is quasicompact if and only if it can
be written as a finite union of affine open subschemes. (Hence Pn
A is quasicompact
for any ring A.)
5.1.E. E XERCISE : Q UASICOMPACT SCHEMES HAVE CLOSED POINTS . Show that if X
is a quasicompact scheme, then every point has a closed point in its closure. Show
that every nonempty closed subset of X contains a closed point of X. In particular,
every nonempty quasicompact scheme has a closed point. (Warning: there exist
nonempty schemes with no closed points — see for example [Liu, Exer. 3.27], or
[Schw], or Hochster’s thesis [Ho1, Ho2] — so your argument had better use the
quasicompactness hypothesis!)
155
156 The Rising Sea: Foundations of Algebraic Geometry
This exercise will often be used in the following way. If there is some prop-
erty P of points of a scheme that is “open” (if a point p has P, then there is some
open neighborhood U of p such that all the points in U have P), then to check if
all points of a quasicompact scheme have P, it suffices to check only the closed
points. (A first example of this philosophy is Exercise 5.2.E.) This provides a con-
nection between schemes and the classical theory of varieties — the points of tra-
ditional varieties are the closed points of the corresponding schemes (essentially
by the Nullstellensatz, see §3.6.9 and Exercise 5.3.F). In many good situations, the
closed points are dense (such as for varieties, see §3.6.9 and Exercise 5.3.F again),
but this is not true in some fundamental cases (see Exercise 3.6.J(b)).
5.1.1. Quasiseparated schemes. Quasiseparatedness is a weird notion that comes
in handy for certain people. (Warning: we will later realize that this is really a
property of morphisms, not of schemes, §8.3.1.) Most people, however, can ignore
this notion, as the schemes they will encounter in real life will all have this prop-
erty. A topological space is quasiseparated if the intersection of any two quasi-
compact open subsets is quasicompact. (The motivation for the “separatedness”
in the name is that it is a weakened version of separated, for which the intersection
of any two affine open sets is affine, see Proposition 11.3.13.)
5.1.F. S HORT EXERCISE . Show that a scheme is quasiseparated if and only if the
intersection of any two affine open subsets is a finite union of affine open subsets.
5.1.G. E XERCISE . Show that affine schemes are quasiseparated. (Possible hint:
Exercise 5.1.F.)
5.1.H. E XERCISE . Show that a scheme X is quasiseparated if and only if there
exists a cover of X by affine open subsets, any two of which have intersection also
covered by a finite number of affine open subsets.
We will see that quasiseparatedness will be a useful hypothesis in theorems (in
conjunction with quasicompactness), and that various interesting kinds of schemes
(affine, locally Noetherian, separated, see Exercises 5.1.G, 5.3.A, and 11.3.D respec-
tively) are quasiseparated, and this will allow us to state theorems more succinctly
(e.g., “if X is quasicompact and quasiseparated” rather than “if X is quasicompact,
and either this or that or the other thing hold”).
“Quasicompact and quasiseparated” means something concrete:
5.1.I. E XERCISE . Show that a scheme X is quasicompact and quasiseparated if
and only if X can be covered by a finite number of affine open subsets, any two of
which have intersection also covered by a finite number of affine open subsets.
5.1.2. Qcqs. So when you see “quasicompact and quasiseparated” as hypotheses
in a theorem, you should take this as a clue that you will use this interpretation,
and that finiteness will be used in an essential way. This combination of hypothe-
ses is so common that people often describe it a “qcqs” for short (see for example
the Qcqs Lemma 6.2.8).
5.1.J. E ASY E XERCISE . Show that all projective A-schemes are quasicompact and
quasiseparated. (Hint: use the fact that the graded ring in the definition is finitely
generated — those finite number of generators will lead you to a covering set.)
April 1, 2023 draft 157
5.1.K. E XERCISE ( A NONQUASISEPARATED SCHEME ). Let X = Spec k[x1 , x2 , . . . ],
and let U be X−[m] where m is the maximal ideal (x1 , x2 , . . . ). Take two copies of X,
glued along U (“affine ∞-space with a doubled origin”, see Example 4.4.5 and Ex-
ercise 4.4.C for “finite-dimensional” versions). Show that the result is not quasisep-
arated. Hint: This “open embedding” U ⊂ X came up earlier in Exercise 3.6.G(b)
as an example of a nonquasicompact open subset of an affine scheme.
5.1.3. Dimension. One very important topological notion is dimension. (It is
amazing that this is a topological idea.) But despite being intuitively fundamental,
it is more difficult, so we postpone it until Chapter 12.
5.2 Reducedness and integrality
Recall that one of the alarming things about schemes is that functions are not deter-
mined by their values at points, and that was because of the presence of nilpotents
(§3.2.12).
5.2.1. Definition. We say that a scheme X is reduced if its stalks OX,p have no
nonzero nilpotents (for all p).
5.2.A. E XERCISE . Show that if f and g are two functions (global sections of OX )
∏ a reduced scheme that agree at all points, then f = g. (Two hints: OX (U) ,→
on
p∈U OX,p from Exercise 2.4.A, and the nilradical is intersection of all prime ideals
from Theorem 3.2.13.)
5.2.B. E XERCISE . Recall that a ring is said to be reduced if it has no nonzero nilpo-
tents (§3.2.14). Show that A is a reduced ring if and only if Spec A is reduced. Show
that a scheme X is reduced if OX (U) is reduced for every open set U of X.
5.2.C. E ASY E XERCISE . Show that An
k and Pk are reduced.
n
The scheme Spec k[x, y]/(y2 , xy) is nonreduced. When we sketched it in Fig-
ure 4.4, we indicated that the fuzz represented nonreducedness at the origin. The
following exercise is a first stab at making this precise.
( )
5.2.D. E XERCISE . Show that k[x, y]/(y2 , xy) x has no nonzero nilpotent elements.
(Possible hint: show that it is isomorphic to another ring, by considering the geo-
metric picture. Exercise 3.2.L may give another hint.) Show that the only point of
Spec k[x, y]/(y2 , xy) with a nonreduced stalk is the origin.
5.2.E. U NIMPORTANT E XERCISE . If X is a quasicompact scheme, show that it suf-
fices to check reducedness at closed points. Hint: Do not try to show that reduced-
ness is an open condition (see Remark 5.2.2). Instead show that any nonreduced
point has a nonreduced closed point in its closure, using Exercise 5.1.E. (This result
is interesting, but we won’t use it.)
5.2.2. Remark. We will see in Exercise 6.6.N that reducedness is an open condi-
tion for locally Noetherian schemes. But in general, reducedness is not an open
158 The Rising Sea: Foundations of Algebraic Geometry
condition. You may be able to identify the underlying topological space of
X = Spec C[x, y1 , y2 , . . . ]/(y21 , y22 , y23 , . . . , (x − 1)y1 , (x − 2)y2 , (x − 3)y3 , · · · )
with that of Spec C[x], and then to show that the nonreduced points of X are pre-
cisely the closed points corresponding to the positive integers. The complement
of this set is not Zariski open.
5.2.3. ⋆ Warning for experts. If a scheme X is reduced, then from the definition of
reducedness, its ring of global sections is reduced. However, the converse is not
true. You already know enough to verify that if X is the scheme cut out by x2 = 0
∼ k, and that X is nonreduced. (This example will come up
in P2k , then Γ (X, OX ) =
again in §11.5.7 and §18.6.U.)
5.2.F. E XERCISE . Suppose X is quasicompact, and f is a function that vanishes
at all points of X. Show that there is some n such that fn = 0. Show that this
may fail if X is not quasicompact. (This exercise is less important, but shows why
we like quasicompactness, and gives a standard pathology when quasicompact-
ness doesn’t hold.) Hint: take an infinite disjoint union of Spec An with An :=
k[ϵ]/(ϵn ). This scheme arises again in §9.4.2 (see Figure 9.5 for a picture) and in
Caution/Example 9.4.11.
5.2.4. Definition. A scheme X is integral if it is nonempty, and OX (U) is an integral
domain for every nonempty open subset U of X.
5.2.G. I MPORTANT E XERCISE . Show that a scheme X is integral if and only if it
is irreducible and reduced. (Thus we picture integral schemes as: “one piece, no
fuzz”. Possible hint: Exercise 4.3.F.)
5.2.H. E XERCISE . Show that an affine scheme Spec A is integral if and only if A is
an integral domain.
5.2.I. E XERCISE . Suppose X is an integral scheme. Then X (being irreducible)
has a generic point η. Suppose Spec A is any nonempty affine open subset of X.
Show that OX,η (the stalk of OX at η) is naturally identified with K(A), the fraction
field of A. This is called the function field K(X) of X. It can be computed on any
nonempty open set of X, as any such open set contains the generic point. The
elements of K(X) are called rational functions on X (to be generalized further in
Definition 6.6.36).
5.2.J. E XERCISE . Suppose X is an integral scheme. Show that the restriction maps
resU,V : OX (U) → OX (V) are inclusions so long as V ̸= ∅. Suppose Spec A is any
nonempty affine open subset of X (so A is an integral domain). Show that the
natural map OX (U) → OX,η = K(A) (where U is any nonempty open subset) is an
inclusion.
Thus irreducible varieties (an important example of integral schemes defined
later) have the convenient property that sections over different open sets can be
considered subsets of the same ring. In particular, restriction maps (except to the
empty set) are always inclusions, and gluing is easy: functions fi on a cover Ui
of U (as i runs over an index set) glue if and only if they are the same element of
April 1, 2023 draft 159
K(X). This is one reason why (irreducible) varieties are usually introduced before
schemes.
5.2.5. Caution. Integrality is not⨿stalk-local (the disjoint union of two integral
schemes is not integral, as Spec A Spec B = Spec(A × B) by Exercise 3.6.A), but
it almost is, see Exercise 5.3.C.
5.3 The Affine Covering Lemma, and properties of schemes that
can be checked “affine-locally”
This section is intended to address something tricky in the definition of schemes.
We have defined a scheme as a topological space with a sheaf of rings, that can be
covered by affine schemes. Hence we have all of the affine open sets in the cover,
but we don’t know how to communicate between any two of them. Somewhat
more explicitly, if I have an affine cover, and you have an affine cover, and we
want to compare them, and I calculate something on my cover, there should be
some way of us getting together, and figuring out how to translate my calcula-
tion over to your cover. The Affine Communication Lemma 5.3.2 will provide a
convenient machine for doing this.
Thanks to this lemma, we can define a host of important properties of schemes.
All of these are “affine-local”, in that they can be checked on any affine cover, i.e.,
a covering by open affine sets. (We state this more formally after the statement of
the Affine Communication Lemma.) We like such properties because we can check
them using any affine cover we like. If the scheme in question is quasicompact,
then we need only check a finite number of affine open sets.
5.3.1. Proposition. — Suppose Spec A and Spec B are affine open subschemes of a
scheme X. Then Spec A ∩ Spec B is the union of open sets that are simultaneously distin-
guished open subschemes of Spec A and Spec B.
Spec Af Spec B
Spec A
Spec Bg
[p]
F IGURE 5.1. A trick to show that the intersection of two affine
open sets may be covered by open sets that are simultaneously
distinguished in both affine open sets
Proof. (See Figure 5.1.) Given any point p ∈ Spec A ∩ Spec B, we produce an open
neighborhood of p in Spec A ∩ Spec B that is simultaneously distinguished in both
Spec A and Spec B. Let Spec Af be a distinguished open subset of Spec A contained
160 The Rising Sea: Foundations of Algebraic Geometry
in Spec A ∩ Spec B and containing p. Let Spec Bg be a distinguished open subset
of Spec B contained in Spec Af and containing p. Then g ∈ Γ (Spec B, OX ) restricts
to an element g ′ ∈ Γ (Spec Af , OX ) = Af . The points of Spec Af where g vanishes
are precisely the points of Spec Af where g ′ vanishes, so
Spec Bg = Spec Af \ {[p] : g ′ ∈ p}
= Spec(Af )g ′ .
If g ′ = g ′′ /fn (g ′′ ∈ A) then Spec(Af )g ′ = Spec Afg ′′ , and we are done. □
The following easy result will be crucial for us.
5.3.2. Affine Communication Lemma. — Let P be some property enjoyed by some
affine open subsets of a scheme X, such that for any affine open subset Spec A ,→ X,
(i) if Spec A ,→ X has property P then for any f ∈ A, Spec Af ,→ X does too.
(ii) if (f1 , . . . , fn ) = A (i.e., the Spec Afi cover Spec A, see Exercise 3.5.B), and
Spec Afi ,→ X has P for all i, then so does Spec A ,→ X.
Suppose that X = ∪i∈I Spec Ai where Spec Ai has property P. Then every affine open
subset of X has P too.
We say such a property is affine-local: a property is affine-local if we can check
it on any affine cover. (For example, reducedness is an affine-local property. Do
you understand why?) Note that if U is an open subscheme of X, then U inherits
any affine-local property of X. Note also that any property that is stalk-local (a
scheme has property P if and only if all its stalks have property Q) is necessarily
affine-local (a scheme has property P if and only if all of its affine open sets have
property R, where an affine scheme has property R if and only if all its stalks have
property Q). But it is sometimes not so obvious what the right definition of Q is;
see for example the discussion of normality in the next section.
Proof. Let Spec A be an affine subscheme of X. Cover Spec A with a finite num-
ber of distinguished open sets Spec Agj , each of which is distinguished in some
Spec Ai . This is possible by Proposition 5.3.1 and the quasicompactness of Spec A
(Exercise 3.6.G(a)). By (i), each Spec Agj has P. By (ii), Spec A has P. □
By choosing the property P appropriately, we define some important proper-
ties of schemes.
5.3.3. Proposition. — Suppose A is a ring, and (f1 , . . . , fn ) = A.
(a) If A is a Noetherian ring, then so is Afi . If each Afi is Noetherian, then so is A.
(b) Suppose B is a ring, and A is a B-algebra. (Hence Ag is a B-algebra for all
g ∈ A.) If A is a finitely generated B-algebra, then so is Afi . If each Afi is a
finitely generated B-algebra, then so is A.
We will prove these shortly (§5.3.9). But let’s first motivate you to read the
proof by giving some interesting definitions and results assuming Proposition 5.3.3
is true.
5.3.4. Important Definition. Suppose X is a scheme. If X can be covered by affine
open sets Spec A where A is Noetherian, we say that X is a locally Noetherian
scheme. If in addition X is quasicompact, or equivalently can be covered by finitely
many such affine open sets, we say that X is a Noetherian scheme. (We will see a
April 1, 2023 draft 161
number of definitions of the form “if X has this property, we say that it is locally Q;
if further X is quasicompact, we say that it is Q.”) By Exercise 5.1.C, the underlying
topological space of a Noetherian scheme is Noetherian. Hence by Exercise 3.6.U,
all open subsets of a Noetherian scheme are quasicompact.
5.3.A. E XERCISE . Show that locally Noetherian schemes are quasiseparated.
5.3.B. E XERCISE . Show that a Noetherian scheme has a finite number of irre-
ducible components. (Hint: Proposition 3.6.15.) Show that a Noetherian scheme
has a finite number of connected components, each a finite union of irreducible
components.
5.3.C. E XERCISE . Show that a Noetherian scheme X is integral if and only if
X is nonempty and connected and all stalks OX,p are integral domains. Thus in
“good situations”, integrality is the union of local (stalks are integral domains) and
global (connected) conditions. Hint: Recall that integral = irreducible + reduced
(Exercise 5.2.G). If a scheme’s stalks are integral domains, then it is reduced (re-
ducedness is a stalk-local condition, Exercise 5.2.A). If a scheme X has underlying
topological space that is Noetherian, then X has finitely many irreducible compo-
nents (by the previous exercise); if two of them meet at a point p, then OX,p is
not an integral domain. (You can readily extend this from Noetherian schemes to
locally Noetherian schemes, by showing that a connected scheme is irreducible if
and only if it is nonempty and has a cover by open irreducible subsets. But some
Noetherian hypotheses are necessary, see [Stacks, tag 0568].)
5.3.5. Unimportant caution. The ring of sections of a Noetherian scheme need not
be Noetherian, see Exercise 19.11.H.
5.3.6. Schemes over a given field k, or more generally over a given ring A (A-
schemes). You may be particularly interested in working over a particular field,
such as C or Q, or over a ring such as Z. Motivated by this, we define the notion
of A-scheme, or scheme over A, where A is a ring, as a scheme where all the
rings of sections of the structure sheaf (over all open sets) are A-algebras, and
all restriction maps are maps of A-algebras. (Like some earlier notions such as
quasiseparatedness, this will later in Exercise 7.3.I be properly understood as a
“relative notion”; it is the data of a morphism X → Spec A.) Suppose now X is an
A-scheme. If X can be covered by affine open sets Spec Bi where each Bi is a finitely
generated A-algebra, we say that X is locally of finite type over A, or that it is a
locally finite type A-scheme. (This is admittedly cumbersome terminology; it will
make more sense later, once we know about morphisms in §8.3.9.) If furthermore
X is quasicompact, X is (of) finite type over A, or a finite type A-scheme. Note
that a scheme locally of finite type over k or Z (or indeed any Noetherian ring) is
locally Noetherian, and similarly a scheme of finite type over any Noetherian ring
is Noetherian. As our key “geometric” examples: (i) Spec C[x1 , . . . , xn ]/I is a finite
type C-scheme; and (ii) Pn C is a finite type C-scheme. (The field C may be replaced
by an arbitrary ring A.)
5.3.D. E XERCISE .
(a) (quasiprojective implies finite type) If X is a quasiprojective A-scheme (Defini-
tion 4.5.9), show that X is of finite type over A. If A is furthermore assumed to
162 The Rising Sea: Foundations of Algebraic Geometry
be Noetherian, show that X is a Noetherian scheme, and hence has a finite number
of irreducible components.
(b) Suppose U is an open subscheme of a projective A-scheme. Show that U is
locally of finite type over A. If A is Noetherian, show that U is quasicompact, and
hence quasiprojective over A, and hence by (a) of finite type over A. Show this
need not be true if A is not Noetherian. Better: give an example of an open sub-
scheme of a projective A-scheme that is not quasicompact, necessarily for some
non-Noetherian A. (Hint: Silly example 4.5.11.)
5.3.7. Varieties. We now make a connection to the classical language of varieties.
An affine scheme that is reduced and of finite type over k is said to be an affine
variety (over k), or an affine k-variety. A reduced (quasi)projective k-scheme is
a (quasi)projective variety (over k), or a (quasi)projective k-variety. (Warning:
in the literature, it is sometimes also assumed in the definition of variety that the
scheme is irreducible, or that k is algebraically closed.)
5.3.E. E XERCISE .
(a) Show that Spec k[x1 , . . . , xn ]/I is an affine k-variety if and only if I ⊂ k[x1 , . . . , xn ]
is a radical ideal.
(b) Suppose I ⊂ k[x0 , . . . , xn ] is a radical graded ideal. Show that Proj k[x0 , . . . , xn ]/I
is a projective k-variety. (Caution: The example of I = (x20 , x0 x1 , . . . , x0 xn ) shows
that Proj k[x0 , . . . , xn ]/I can be a projective k-variety without I being radical.)
We will not define varieties in general until §11.3.9; we will need the notion of
separatedness first, to exclude abominations like the line with the doubled origin
(Example 4.4.5). But many of the statements we will make in this section about
affine k-varieties will automatically apply more generally to k-varieties.
5.3.F. E XERCISE . Show that a point of a locally finite type k-scheme is a closed
point if and only if the residue field of the stalk of the structure sheaf at that point
is a finite extension of k. Show that on a locally finite type k-scheme, the closed
points are dense. Hint: §3.6.9. (Warning: closed points need not be dense even on
quite reasonable schemes, see Exercise 3.6.J(b).)
5.3.8. Definition. The degree of a closed point p of a locally finite type k-scheme
(e.g., a variety over k) is the degree of the field extension κ(p)/k. For example,
in A1k = Spec k[t], the point [(p(t))] (p(t) ∈ k[t] irreducible) is deg p(t). If k is
algebraically closed, the degree of every closed point is 1.
5.3.9. Proof of Proposition 5.3.3. We divide each part into (i) and (ii) following the
statement of the Affine Communication Lemma 5.3.2.
Proof of Proposition 5.3.3(a). (i) If I1 ⊊ I2 ⊊ I3 ⊊ · · · is a strictly increasing chain
of ideals of Af , then we can verify that J1 ⊊ J2 ⊊ J3 ⊊ · · · is a strictly increasing
chain of ideals of A, where
Jj = {r ∈ A : r ∈ Ij }
where r ∈ Ij means “the image of r in Af lies in Ij ”. (We think of this as Ij ∩ A,
except in general A needn’t inject into Afi .) Clearly Jj is an ideal of A. If x/fn ∈
Ij+1 \ Ij where x ∈ A, then x ∈ Jj+1 , and x ∈
/ Jj (or else x(1/f)n ∈ Ij as well).
April 1, 2023 draft 163
(ii) Suppose I1 ⊊ I2 ⊊ I3 ⊊ · · · is a strictly increasing chain of ideals of A.
Then for each 1 ≤ i ≤ n,
Ii,1 ⊂ Ii,2 ⊂ Ii,3 ⊂ · · ·
is an increasing chain of ideals in Afi , where Ii,j = Ij ⊗A Afi . It remains to show
that for each j, Ii,j ⊊ Ii,j+1 for some i; the result will then follow.
5.3.G. E XERCISE . Finish
∏ the proof of Proposition 5.3.3(a). (Hint: if M := Ij /Ij−1 ̸=
0, then from M ,→ Mfi ([Link]), one of the Mfi is nonzero.)
Proof of Proposition 5.3.3(b). Part (i) is clear: if A is generated over B by r1 , . . . ,
rn , then Af is generated over B by r1 , . . . , rn , 1/f. ∑
(ii) Here is the idea. As the fi generate A, we can write 1 = ci fi for ci ∈ A.
k
We have generators of Afi : rij /fi j , where rij ∈ A. I claim that {fi }i ∪ {ci } ∪ {rij }ij
generate A as a B-algebra. Here is why. Suppose you have any r ∈ A. Then in
Afi , we can write r as some polynomial in the rij ’s and fi , divided by some huge
power of fi . So “in each Afi , we have described r in the desired way”, except for
this annoying denominator. Now use a “partition of unity” type argument as in
the proof of Theorem 4.1.2 to combine all of these into a single expression, killing
the denominator. Show that the resulting expression you build still agrees with
r in each of the Afi . Thus it is indeed r (by the identity axiom for the structure
sheaf).
5.3.H. E XERCISE . Make this argument precise.
This concludes the proof of Proposition 5.3.3. □
5.4 Normality and factoriality
5.4.1. Normality.
We can now define a property of schemes that says that they are “not too
far from smooth”, called normality, which will come in very handy. We will see
later that “locally Noetherian normal schemes satisfy Hartogs’s Lemma” (Alge-
braic Hartogs’s Lemma 12.3.14 for Noetherian normal schemes): functions defined
away from a set of codimension 2 extend over that set. (We saw a first glimpse of
this in §4.4.2.) As a consequence, rational functions (defined in Exercise 5.2.I) that
have no poles (certain sets of codimension one where the function isn’t defined)
are defined everywhere. We need definitions of dimension and poles to make this
precise. See §13.8.7 and §28.3.5 for the fact that “smoothness” (really, “regularity”)
implies normality.
Recall that an integral domain A is integrally closed if the only zeros in K(A)
to any monic polynomial in A[x] must lie in A itself. The basic example is Z (see
Exercise 5.4.F for a reason). We say a scheme X is normal if all of its stalks OX,p
are normal, i.e., are integral domains, and integrally closed in their fraction fields.
(So by definition, normality is a stalk-local property.) As reducedness is a stalk-
local property (Definition 5.2.1), normal schemes are reduced. (One might say
that a ring A is a normal ring if Spec A is normal, thereby extending the notion of
“integral closure” to rings that are not integral domains.)
164 The Rising Sea: Foundations of Algebraic Geometry
5.4.A. E XERCISE . Show that integrally closed domains behave well under local-
ization: if A is an integrally closed domain, and S is a multiplicative subset not
containing 0, show that S−1 A is an integrally closed domain. (Hint: assume that
xn + an−1 xn−1 + · · · + a0 = 0 where ai ∈ S−1 A has a root in the fraction field.
Turn this into another equation in A[x] that also has a root in the fraction field.)
It is no fun checking normality at every single point of a scheme. Thanks
to this exercise, we know that if A is an integrally closed domain, then Spec A
is normal. Also, for quasicompact or locally finite type schemes, normality can be
checked at closed points, thanks to this exercise, and the fact that for such schemes,
any point is a generization of a closed point (Exercises 5.1.E and 5.3.F).
It is not true that normal schemes are integral. ⨿ For example, the disjoint
union of two normal schemes is normal. Thus Spec k Spec k = ∼ Spec(k × k) =∼
Spec k[x]/(x(x − 1)) is normal, but its ring of global sections is not an integral do-
main.
5.4.B. E XERCISE . Show that a Noetherian scheme is normal if and only if it is the
finite disjoint union of integral Noetherian normal schemes. (Hint: Exercise 5.3.C.)
We are close to proving a useful result in commutative algebra, so we may as
well go all the way.
5.4.2. Proposition. — If A is an integral domain, then the following are equivalent.
(i) A is integrally closed.
(ii) Ap is integrally closed for all prime ideals p ⊂ A.
(iii) Am is integrally closed for all maximal ideals m ⊂ A.
Proof. Exercise 5.4.A shows that integral closedness is preserved by localization, so
(i) implies (ii). Clearly (ii) implies (iii).
It remains to show that (iii) implies (i). This argument involves a pretty con-
struction that we will use again. Suppose A is not integrally closed. We show that
there is some m such that Am is also not integrally closed. Suppose
([Link]) xn + an−1 xn−1 + · · · + a0 = 0
(with ai ∈ A) has a solution s in K(A) \ A. Let I be the ideal of denominators of s:
([Link]) I := {r ∈ A : rs ∈ A}.
(Note that I is clearly an ideal of A.) Now I ̸= A, as 1 ∈ / I. Thus there is some
maximal ideal m containing I. Then s ∈ / Am , so equation ([Link]) in Am [x] shows
that Am is not integrally closed as well, as desired. □
5.4.C. U NIMPORTANT E XERCISE . If A is an integral domain, show that A =
∩Am , where the intersection runs over all maximal ideals of A. (We won’t use this
exercise, but it gives good practice with the ideal of denominators.)
5.4.D. U NIMPORTANT E XERCISE RELATING TO THE IDEAL OF DENOMINATORS .
One might naively hope from experience with unique factorization domains that
the ideal of denominators is principal. This is not true. As a counterexample,
April 1, 2023 draft 165
consider our new friend A = k[w, x, y, z]/(wz − xy) (which we first met in Exam-
ple 4.4.12, and which we will later recognize as the cone over the quadric surface),
and w/y = x/z ∈ K(A). Show that the ideal of denominators of this element of
K(A) is (y, z).
We will see that the I in the above exercise is not principal (Exercise 13.1.D —
you may be able to show it directly, using the fact that I is a homogeneous ideal of a
graded ring). But we will also see that in good situations (Noetherian, normal), the
ideal of denominators is “pure codimension 1” — this is the content of Algebraic
Hartogs’s Lemma 12.3.14. In its proof, §12.3.16, we give a geometric interpretation
of the ideal of denominators.
5.4.3. Factoriality.
If all the stalks of a scheme X are unique factorization domains, we say that X
is factorial. (Unimportant remark: the locus of points on an affine variety over an
algebraically closed field that are factorial is an open subset, [BGS, p. 1].)
5.4.E. E XERCISE . Show that any nonzero localization of a unique factorization
domain is a unique factorization domain.
5.4.4. Thus if A is a unique factorization domain, then Spec A is factorial. The
converse need not hold, see Exercise 5.4.N. In fact, we will see that elliptic curves
are factorial, yet no affine open set is the Spec of a unique factorization domain,
§19.11.1. Hence one can show factoriality by finding an appropriate affine cover,
but there need not be such a cover of a factorial scheme. (One might reasonably
call a ring A such that Spec A is factorial, a factorial ring; this is a strictly weaker
notion than unique factorization domain. We won’t need this terminology.)
5.4.5. Remark: How to check if a ring is a unique factorization domain. There are
very few means of checking that a Noetherian integral domain is a unique factor-
ization domain. Some useful ones are: (0) elementary means: rings with a Eu-
clidean algorithm such as Z, k[t], and Z[i]; polynomial rings over a unique factor-
ization domain, by Gauss’s Lemma (see e.g., [Lan, IV.2.3]). (1) the localization of a
unique factorization domain is also a unique factorization domain (Exercise 5.4.E).
(2) height 1 prime ideals are principal (Proposition 12.3.7). (3) normal and Cl = 0
(Exercise 15.4.V). (4) Nagata’s Lemma (Exercise 15.4.W). (Caution: even if A is a
unique factorization domain, A[[t]] need not be; see [Mat2, p. 165]. The first ex-
ample, due to P. Salmon, was A = k(u)[[x, y, z]]/(z2 + x3 + uz6 ), see [Sa, Dan].)
5.4.6. Factoriality implies normality. One reason we like factoriality is that it implies
normality.
5.4.F. I MPORTANT E XERCISE . Show that unique factorization domains are inte-
grally closed. Hence factorial schemes are normal, and if A is a unique factor-
ization domain, then Spec A is normal. (However, rings can be integrally closed
without being unique factorization domains, as we will see in Exercise 5.4.L. An-
other example is given without proof in Exercise 5.4.N; in that example, Spec of
the ring is factorial. A variation on Exercise 5.4.L will show that schemes can be
normal without being factorial, see Exercise 13.1.E.)
166 The Rising Sea: Foundations of Algebraic Geometry
5.4.7. Examples.
5.4.G. E ASY E XERCISE . Show that the following schemes are normal: An k , Pk ,
n
Spec Z. (As usual, k is a field. Although it is true that if A is integrally closed then
A[x] is as well — see [Bo, Ch. 5, §1, no. 3, Cor. 2] or [E, Ex. 4.18] — this is not an
easy fact, so do not use it here.)
5.4.H. H ANDY E XERCISE ( YIELDING MANY ENLIGHTENING EXAMPLES LATER ). Sup-
pose A is a unique factorization domain with 2 invertible, and z2 − f is irreducible
in A[z].
(a) Show that if f ∈ A has no repeated prime factors, then Spec A[z]/(z2 − f) is
normal. Hint: B := A[z]/(z2 − f) is an integral domain, as (z2 − f) is prime in
A[z]. Suppose we have monic F(T ) ∈ B[T ] so that F(T ) = 0 has a solution α in
K(B) \ K(A). Then by replacing F(T ) by F(T )F(T ), we can assume F(T ) ∈ A[T ]. Also,
α = g + hz where g, h ∈ K(A). Now α is the solution of Q(T ) = 0 for monic
Q(T ) = T 2 − 2gT + (g2 − h2 f) ∈ K(A)[T ], so we can factor F(T ) = P(T )Q(T ) in
K(A)[T ]. By Gauss’s lemma, 2g, g2 − h2 f ∈ A. Say g = r/2, h = s/t (s and t have
no common factors, r, s, t ∈ A). Then g2 − h2 f = (r2 t2 − 4s2 f)/4t2 . Then t is
invertible.
(b) Show that if f ∈ A has repeated prime factors, then Spec A[z]/(z2 − f) is not
normal.
5.4.I. E XERCISE . Show that the following schemes are normal:
(a) Spec Z[x]/(x2 −n) where n is a square-free integer congruent to 3 modulo
4. Caution: the hypotheses of Exercise 5.4.H do not apply, so you will
have to do this directly. (Your argument may also show √ the result when 3
is replaced by 2. A similar argument shows that Z[(1+ n)/2] is integrally
closed if n ≡ 1 (mod 4) is square-free.)
(b) Spec k[x1 , . . . , xn ]/(x21 + x22 + · · · + x2m ) where char k ̸= 2, n ≥ m ≥ 3.
(c) Spec k[w, x, y, z]/(wz − xy) where char k ̸= 2. This is our cone over a
quadric surface example from Example 4.4.12 and Exercise 5.4.D. Hint:
Exercise 5.4.J may help. (The result also holds for char k = 2, but don’t
worry about this.)
5.4.J. E XERCISE ( DIAGONALIZING QUADRATIC FORMS ). Suppose k is an alge-
braically closed field of characteristic not 2. (The hypothesis that k is algebraically
closed is not necessary, so feel free to deal with this more general case.)
(a) Show that any quadratic form in n variables can be “diagonalized” by chang-
ing coordinates to be a sum of at most n squares (e.g., uw − v2 = ((u + w)/2)2 +
(i(u − w)/2)2 + (iv)2 ), where the linear forms appearing in the squares are linearly in-
dependent. (Hint: use induction on the number of variables, by “completing the
square” at each step.)
(b) Show that the number of squares appearing depends only on the quadratic.
For example, x2 + y2 + z2 cannot be written as a sum of two squares. (Possible
approach: given a basis x1 , . . . , xn of the linear forms, write the quadratic form as
x1
( ) .
x1 · · · xn M ..
xn
April 1, 2023 draft 167
where M is a symmetric matrix. Determine how M transforms under a change of
basis, and show that the rank of M is independent of the choice of basis.)
The rank of the quadratic form is the number of (“linearly independent”)
squares needed. If the number of squares equals the number of variables, the
quadratic form is said to be full rank or (of) maximal rank.
5.4.K. E ASY E XERCISE ( RINGS CAN BE INTEGRALLY CLOSED BUT NOT √ UNIQUE
FACTORIZATION DOMAINS , ARITHMETIC VERSION ). Show that Z[ −5] is inte-
grally closed√but not a √
unique factorization domain. (Hints: Exercise 5.4.I(a) and
2 × 3 = (1 + −5)(1 − −5).)
5.4.L. E ASY E XERCISE ( RINGS CAN BE INTEGRALLY CLOSED BUT NOT UNIQUE
FACTORIZATION DOMAINS , GEOMETRIC VERSION ). Suppose char k ̸= 2. Let
A = k[w, x, y, z]/(wz − xy), so Spec A is the cone over the smooth quadric surface
(cf. Exercises 4.4.12 and 5.4.D).
(a) Show that A is integrally closed. (Hint: Exercises 5.4.I(c) and 5.4.J.)
(b) Show that A is not a unique factorization domain. (Clearly wz = xy. But why
are w, x, y, and z irreducible? Hint: A is a graded integral domain. Show that if a
homogeneous element factors, the factors must be homogeneous.)
The previous two exercises look similar, but there is a difference. The cone
over the quadric surface is normal (by √ Exercise 5.4.L) but not factorial; see Exer-
cise 13.1.E. On the other hand, Spec Z[ −5] is factorial — all of its stalks are unique
√
factorization domains. (You will later be able to show this by showing that Z[ −5]
is a Dedekind domain, §13.5.16, whose stalks are necessarily unique factorization
domains by Theorem 13.5.8(f).)
5.4.M. E XERCISE . Suppose A is a k-algebra, and l/k is a finite extension of fields.
(Your proof might not use finiteness; this hypothesis is included to avoid distrac-
tion by infinite-dimensional vector spaces.) Show that if A⊗k l is a normal integral
domain, then A is a normal integral domain as well. (Although we won’t need this,
a version of the converse is true if l/k is separable, [Gr-EGA, IV2 .6.14.2].) Hint: fix
a k-basis for l, b1 = 1, . . . , bd . Explain why 1 ⊗ b1 , . . . , 1 ⊗ bd forms a free A-basis
for A ⊗k l. Explain why we have injections
A / K(A)
A ⊗k l / K(A) ⊗k l.
Show that K(A) ⊗k l = K(A ⊗k l). (Idea: A ⊗k l ⊂ K(A) ⊗k l ⊂ K(A ⊗k l). Why
is K(A) ⊗k l a field?) Show that (A ⊗k l) ∩ K(A) = A. Now assume P(T ) ∈ A[T ] is
monic and has a root α ∈ K(A), and proceed from there.
5.4.N. E XERCISE (UFD- NESS IS NOT AFFINE - LOCAL ). Let A = (Q[x, y]x2 +y2 )0
denote the homogeneous degree 0 part of the ring Q[x, y]x2 +y2 . In other words, it
consists of quotients f(x, y)/(x2 + y2 )n , where f has pure degree 2n. Show that the
2 2
distinguished open sets D( x2x+y2 ) and D( x2y+y2 ) cover Spec A. (Hint: the sum of
those two fractions is 1.) Show that A x2 and A y2 are unique factorization
x2 +y2 x2 +y2
168 The Rising Sea: Foundations of Algebraic Geometry
domains. (Hint: show that both rings are isomorphic to Q[t]t2 +1 ; this is a localiza-
tion of the unique factorization domain Q[t].) Finally, show that A is not a unique
factorization domain. Possible hint:
( )2 ( )( )
xy x2 y2
= .
x2 + y2 x2 + y2 x2 + y2
(This is generalized in Exercise 15.4.N . It is also related to Exercise 15.4.S.)
√
Number theorists may prefer the example of Exercise 5.4.K: Z[ −5] is not a
unique factorization domain, but it turns out that you can cover it with two affine
open subsets D(2) and D(3), each corresponding
√ to√unique factorization domains.
(For number theorists: to show that Z[ −5]2 and √ Z[ −5]3 are unique factorization
domains, first show that the class group of Z[ −5] is Z/2 using the geometry√ of
numbers,
√ as in [Ar4, Ch. 11, Thm. 7.9]. Then show that the ideals (1 + √−5, 2) and
(1 + −5, 3) are not principal, using the usual norm in C.) The ring Z[ −5] is an
example of a Dedekind domain, as we will discuss in §13.5.16.
5.4.8. Remark. For an example of k-algebra A that is not a unique factorization
domain, but becomes one after a particular field extension, see Exercise 15.4.P.
CHAPTER 6
Rings are to modules as schemes are to ...
6.1 Quasicoherent sheaves
When considering the notion of rings for the first time, one is quickly led to
define the notion of module. For example, any ring morphism R → S expresses S
as an R-module. An ideals I of a ring R is also a module, as is the quotient R/I; and
the exact sequence 0 → I → R → R/I → 0 is a first example of the utility of the
abelian category structure of ModR .
With a scheme X, you may think that we already have the right analog of
modules: the category of OX -modules ModX , which also forms an abelian category
(§2.6). But the right analog for a scheme X turns out to be better-behaved subset
(subcategory!) of ModX , called quasicoherent OX -modules, or quasicoherent sheaves.
Given an A-module M, we defined an O-module M f on Spec A in §4.1.5 — the
sections over D(f) were Mf . (Now is a good time to complete the exercises in
§4.1.5 if you have not done so already.) These are our “local models” for quasi-
coherent sheaves. In the same way that a scheme is defined by “gluing together
rings”, a quasicoherent sheaf over that scheme is obtained by “gluing together
modules over those rings”.
6.1.1. Definition: the category of quasicoherent sheaves. If X is a scheme, then an
OX -module F is a quasicoherent sheaf if for every affine open subset Spec A ⊂ X,
∼M
F |Spec A = f for some A-module M. We make quasicoherent sheaves on a scheme
X into category QCohX by taking the morphisms to be morphisms as OX -modules.
6.1.2. Theorem. — Let X be a scheme, and F an OX -module. Suppose P is the property
∼M
of affine open subschemes Spec A ⊂ X that F |Spec A = f for some A-module M. Then P
satisfies the two hypotheses of the Affine Communication Lemma 5.3.2.
Thus to check quasicoherence of an O-module, it suffices to check a collection
f is a quasicoherent sheaf on Spec A.
of affine open sets covering X. For example, M
Exercise 4.1.G shows that the category ModA and the category QCohSpec A are es-
∼
sentially the same (we have described an equivalence ModA ←→ QCohSpec A ).
Proof. As usual, the first hypothesis of the Affine Communication Lemma 5.3.2 is
easier: if Spec A has property P, then so does the distinguished open Spec Af : if M
is an A-module, then M| f Spec A =∼ Mgf as sheaves of OSpec A -modules (both sides
f f
agree on the level of distinguished open sets and their restriction maps).
169
170 The Rising Sea: Foundations of Algebraic Geometry
We next show the second hypothesis of the Affine Communication Lemma 5.3.2.
We are given:
• an OSpec A -module F ,
• elements f1 , . . . , fn generating A,
• Afi -modules Mi ,
∼ fi .
• and isomorphisms ϕi : F |D(fi ) −→ M
The isomorphisms
F |D(fi )∩D(fj )
nn PPP
∼nnnn PPP∼
nn PPP
vnnn PP(
fi |D(f
M )∩D(f ) Mfj |D(f
i j i )∩D(fj )
∼
yield (by taking sections over D(fi ) ∩ D(fj )) isomorphisms ϕij : (Mi )fj −→ (Mj )fi
of Afi fj -modules, satisfying the cocycle condition ([Link]). As suggestive notation,
let Mij := (Mi )fj (identified with (Mj )fi via ϕij ).
f ←→ ∼
We seek an A-module M with an isomorphism M F , and ([Link]) sug-
gests that we should define M by
([Link]) 0 /M / M1 × · · · × Mn γ
/ M12 × M13 × · · · × M(n−1)n .
(Equation ([Link]) shows how the map γ should be defined, with approrpiate
∼
fD(f ) −→
signs.) Translation: M = ker(γ). If we can describe an isomorphism M i
∼
fi on each D(fi ) (or equivalently, an isomorphism Mf −→ Mi of Af -modules),
M i i
such that triangle
f D(f )∩D(f )
M|
nn
i
PjPP
∼ nnn PPP ∼
nnn PPP
nn PPP
wnn g
'
ϕ
fi |D(f
M )∩D(f )
ij
/ f
Mj |D(f
i j ∼ i )∩D(fj )
of sheaves on Spec Afi fj commutes (for all i, j), then Exercise 2.5.E (on gluing
f ←→ ∼
sheaves) gives our desired isomorphism M F.
∼
By Exercise 4.1.G, we need only describe an isomorphism Mfi −→ Mi such
that the triangles
([Link]) Mfi fj
HH
vvv HH ∼
HH
∼
vv HH
vv H$
zvv ϕij
(Mi )fj / (Mj )fi
commute.
For notational convenience, we assume i = 1. Because localization is exact,
from ([Link]) we have an exact sequence
γf1
0 / Mf / (M1 )f × · · · × (Mn )f / (M12 )f × (M13 )f × · · · × (M(n−1)n )f
1 1 1 1 1 1
April 1, 2023 draft 171
We will show that
([Link])
γf1
0 / M1 β
/ (M1 )f × · · · × (Mn )f / (M12 )f × (M13 )f × · · · × (M(n−1)n )f
1 1 1 1 1
is an exact sequence (do you see how β should be defined?), yielding our desired
∼
isomorphism Mf1 −→ M1 . We rewrite ([Link]) as
([Link]) 0 / M1 / (M1 )f × (M1 )f × · · · × (M1 )fn
1 2
α / (M1 )f f × · · · × (M1 )f fn × (M1 )f f × · · · × (M1 )f fn .
1 2 1 2 3 n−1
But this is precisely the exact sequence ([Link]), except the ring A is replaced by
Af1 , and the module M is replaced by M1 .
6.1.A. E XERCISE . Tie up the last loose end: Why does the triangle ([Link]) com-
mute?
□
⋆⋆ Remark for experts: The proof of Theorem 6.1.2, phrased slightly more care-
fully, shows that quasicoherent sheaves satisfy faithfully flat descent.
6.1.3. Stray concluding topics.
6.1.B. U NIMPORTANT E XERCISE ( NOT EVERY OX - MODULE IS A QUASICOHERENT
SHEAF ).
(a) Suppose X = Spec k[t]. Let F be the skyscraper sheaf supported at the origin
[(t)], with group k(t) and the usual k[t]-module structure. Show that this is an
OX -module that is not a quasicoherent sheaf. (More generally, if X is an integral
scheme, and p ∈ X is not the generic point, we could take the skyscraper sheaf at p
with group the function field of X. Except in silly circumstances, this sheaf won’t
be quasicoherent.) See Exercises 9.1.G and 6.2.H for more (pathological) examples
of OX -modules that are not quasicoherent.
(b) Suppose X = Spec k[t]. Let F be the skyscraper sheaf supported at the generic
point [(0)], with group k(t). Give this the structure of an OX -module. Show that
this is a quasicoherent sheaf. Describe the restriction maps in the distinguished
topology of X. (Remark: Your argument will apply more generally, for example
when X is an integral scheme with generic point η, and F is the skyscraper sheaf
iη,∗ K(X).)
6.1.4. Torsion-free sheaves (a stalk-local condition) and torsion sheaves. An A-
module M is said to be torsion-free if am = 0 implies that either a is a zerodivisor
in A or m = 0.
In the case where A is an integral domain, which is basically the only context in
which we will use this concept, the definition of torsion-freeness can be restated as
am = 0 only if a = 0 or m = 0. In this case, the torsion submodule of M, denoted
Mtors , consists of those elements of M annihilated by some nonzero element of
A. (If A is not an integral domain, this construction needn’t yield an A-module.)
Clearly M is torsion-free if and only if Mtors = 0. We say a module M over an
integral domain A is torsion if M = Mtors ; this is equivalent to M ⊗A K(A) = 0.
If X is a scheme, then an OX -module F is said to be torsion-free if Fp is a
torsion-free OX,p -module for all p.
172 The Rising Sea: Foundations of Algebraic Geometry
6.1.5. Definition: torsion quasicoherent sheaves on reduced schemes. Motivated by the
definition of Mtors above, we say that a quasicoherent sheaf on a reduced scheme is
torsion if its stalk at the generic point of every irreducible component is 0. We will
mainly use this for coherent sheaves on regular curves, where this notion is very
simple indeed (see Exercise 14.3.G(b)), but in the literature it comes up in more
general situations.
6.2 Characterizing quasicoherence using the distinguished affine
base
Because quasicoherent sheaves are locally of a very special form, in order to
“know” a quasicoherent sheaf, we need only know what the sections are over every
affine open set, and how to restrict sections from an affine open set U to a distin-
guished affine open subset of U. We make this precise by defining what we will call
the distinguished affine base of the Zariski topology — not a base in the usual sense.
This is a refinement of the notion of a sheaf on base. The point of this discussion is
to give a useful characterization of quasicoherence, but you may wish to just jump
to §6.2.3.
The open sets of the distinguished affine base are the affine open subsets of
X. We have already observed that this forms a base. But forget that fact. We like
distinguished open sets Spec Af ,→ Spec A, and we don’t really understand open
embeddings of one random affine open subset in another. So we just remember
the “nice” inclusions.
6.2.1. Definition. The distinguished affine base of a scheme X is the data of the
affine open sets and the distinguished inclusions.
In other words, we remember only some of the open sets (the affine open sets),
and only some of the morphisms between them (the distinguished morphisms). For
experts: if you think of a topology as a category (the category of open sets), we
have described a subcategory.
We can define a sheaf on the distinguished affine base in the obvious way: we
have a set (or abelian group, or ring) for each affine open set, and we know how
to restrict to distinguished open sets. (You should think through the statement of
the identity and gluability axioms yourself.)
Given a sheaf F on X, we get a sheaf on the distinguished affine base. You
can guess where we are going: we will show that all the information of the sheaf
is contained in the information of the sheaf on the distinguished affine base.
As a warm-up, we can recover stalks as follows. (We will be implicitly using
only the following fact. We have a collection of open subsets, and some inclusions
among these subsets, such that if we have any p ∈ U, V where U and V are in our
collection of open sets, there is some W containing p, and contained in U and V
such that W ,→ U and W ,→ V are both in our collection of inclusions. In the case
we are considering here, this is the key Proposition 5.3.1 that given any two affine
open sets Spec A, Spec B in X, Spec A ∩ Spec B could be covered by affine open sets
that were simultaneously distinguished in Spec A and Spec B. In fancy language:
the category of affine open sets, and distinguished inclusions, forms a filtered set.)
April 1, 2023 draft 173
The stalk Fp is the colimit colim(f ∈ F (U)) where the colimit is over all open
sets contained in X. We compare this to colim(f ∈ F (U)) where the colimit is
over all affine open sets, and all distinguished inclusions. You can check that the
elements of one correspond to elements of the other. (Think carefully about this!)
6.2.A. E XERCISE . Show that a section of a sheaf on the distinguished affine base
is determined by the section’s germs.
6.2.2. Theorem. —
(a) A sheaf on the distinguished affine base F b determines a unique (up to unique
isomorphism) sheaf F which when restricted to the affine base is F b . (Hence
if you start with a sheaf, and take the sheaf on the distinguished affine base, and
then take the induced sheaf, you get the sheaf you started with.)
(b) A morphism of sheaves on a distinguished affine base uniquely determines a
morphism of sheaves.
(c) An OX -module “on the distinguished affine base” yields an OX -module.
This proof is identical to our argument of §2.5 showing that sheaves are (es-
sentially) the same as sheaves on a base, using the “sheaf of compatible germs”
construction. The main reason for repeating it is to let you see that all that is
needed is for the open sets to form a filtered set (or in the current case, that the
category of open sets and distinguished inclusions is filtered).
For experts: (a) and (b) are describing an equivalence of categories between
sheaves on the Zariski topology of X and sheaves on the distinguished affine base
of X.
Proof. (a) Suppose F b is a sheaf on the distinguished affine base. Then we can
define stalks.
For any open set U of X, define the sheaf of compatible germs
F (U) := {(fp ∈ Fpb )p∈U : for all p ∈ U, there exists Up with p ∈ Up ⊂ U,
s ∈ F b (Up ) such that sq = fq for all q ∈ Up }
where each Up is in our base, and sq means “the germ of s at q”. (As usual, those
who want to worry about the empty set are welcome to.)
This really is a sheaf: convince yourself that we have restriction maps, identity,
and gluability, really quite easily.
I next claim that if U is in our base, that F (U) = F b (U). We clearly have a
map F b (U) → F (U). This is an isomorphism on stalks, and hence an isomor-
phism by Exercise 2.4.D.
6.2.B. E XERCISE . Prove (b) (cf. Exercise 2.5.C).
6.2.C. E XERCISE . Prove (c) (cf. Remark 2.5.3).
The proof of Theorem 6.2.2 is now complete. □
6.2.3. A characterization of quasicoherent sheaves in terms of distinguished in-
clusions. We use this perspective to give a useful characterization of quasicoher-
ent sheaves among OX -modules. Suppose F is an OX -module, and Spec Af ,→
Spec A ⊂ X is a distinguished open subscheme of an affine open subscheme of
174 The Rising Sea: Foundations of Algebraic Geometry
X. Let ϕ : Γ (Spec A, F ) → Γ (Spec Af , F ) be the restriction map. The source of ϕ
is an A-module, and the target is an Af -module, so by the universal property of
localization (Exercise 1.3.D), ϕ naturally factors as:
Γ (Spec A, F )
ϕ
/ Γ (Spec Af , F )
QQQ m6
QQQ
QQQ mmmmm
⊗A Af QQQ mmmα
( mmm
Γ (Spec A, F )f
6.2.D. V ERY IMPORTANT EXERCISE . Show that an OX -module F is quasicoherent
if and only if for each such distinguished Spec Af ,→ Spec A, α is an isomorphism.
Thus a quasicoherent sheaf is (equivalent to) the data of one module for each
affine open subset (a module over the corresponding ring), such that the mod-
ule over a distinguished open set Spec Af is given by localizing the module over
Spec A.
6.2.E. E XERCISE ( GOOD PRACTICE : THE SHEAF OF NILPOTENTS ). If A is a ring, and
f ∈ A, show that N(Af ) =∼ N(A)f . Use this to define/construct the quasicoherent
sheaf of nilpotents on any scheme X. This is an example of an ideal sheaf (of OX ).
6.2.4. Tensor products. Tensor products can also be cleanly described in terms of
affine open sets.
6.2.F. E XERCISE . If F and G are quasicoherent sheaves on a scheme X, show
that F ⊗ G is a quasicoherent sheaf described by the following information: If
Spec A ⊂ X is an affine open subset, and Γ (Spec A, F ) = M and Γ (Spec A, G ) = N,
then Γ (Spec A, F ⊗ G ) = M ⊗A N, and the restriction map Γ (Spec A, F ⊗ G ) →
Γ (Spec Af , F ⊗ G ) is precisely the localization map M ⊗A N → (M ⊗A N)f = ∼
Mf ⊗Af Nf . (We are using the algebraic fact that (M⊗A N)f = ∼ Mf ⊗A Nf . You can
f
prove this by universal property if you want, or by using the explicit construction.)
Note that thanks to the machinery behind the distinguished affine base, sheafi-
fication is taken care of. This is a feature we will use often: constructions involving
quasicoherent sheaves that involve sheafification for general sheaves don’t require
sheafification when considered on the distinguished affine base. Along with the
fact that injectivity, surjectivity, kernels, tensor products and so on may be com-
puted on affine opens, this is the reason that it is particularly convenient to think
about quasicoherent sheaves in terms of affine open sets. (There is a slight caveat
in the case of Hom , see Exercise 14.3.A.)
6.2.5. Definition. Given a section s of F and a section t of G , we have a section
s ⊗ t of F ⊗ G . If F is an invertible sheaf, this section is often denoted st.
6.2.6. Xf and the Qcqs lemma. The next result will be useful in the future in
showing certain constructions yield quasicoherent sheaves.
April 1, 2023 draft 175
6.2.7. Definition: Xf . If X is a scheme, and f ∈ Γ (X, OX ) is a function, let Xf ⊂ X be
the subset on which f doesn’t vanish. By Exercise 4.3.F(a), Xf is open. (We avoid
the notation D(f) to avoid any suggestion that X is affine.)
6.2.8. The Qcqs Lemma. — Suppose X is a quasicompact and quasiseparated scheme,
F is a quasicoherent sheaf on X, and f ∈ Γ (X, OX ) is a function on X. Then the restriction
map
resX ⊂X : Γ (X, F ) / Γ (Xf , F )
f
∼
is precisely localization: there is an isomorphism Γ (X, F )f −→ Γ (Xf , F ) making the
following diagram commute.
res Xf ⊂X
Γ (X, F ) / Γ (Xf , F )
LLL r8
LLL
LLL rrrrr
r ∼
⊗Γ (X,OX ) (Γ (X,OX )f ) L
% rrr
Γ (X, F )f
6.2.G. I MPORTANT EXERCISE . Prove the Qcqs Lemma 6.2.8. Hint: The “quasi-
compact quasiseparated” hypothesis translates precisely to “covered by a finite
number of affine open sets, the pairwise intersection of which is also covered by a
finite number of affine open sets”. Apply the exact functor ⊗Γ (X,OX ) Γ (X, OX )f to
the exact sequence
0 / Γ (X, F ) / ⊕i Γ (Ui , F ) / ⊕Γ (Uijk , F ),
where the Ui form a finite affine cover of X and Uijk form a finite affine cover of
Ui ∩ Uj .
6.2.H. L ESS IMPORTANT EXERCISE . Give a counterexample to show that the Qcqs
Lemma 6.2.8 is false without the quasicompactness hypothesis. (Possible hint:
take an infinite disjoint union of affine schemes. The key idea is that infinite di-
rect products do not commute with localization.)
6.2.9. ⋆⋆ Grothendieck topologies. The distinguished affine base isn’t a topol-
ogy in the usual sense — the union of two affine sets isn’t necessarily affine, for
example. It is however a first new example of a generalization of a topology —
the notion of a site or a Grothendieck topology. We give the definition to satisfy
the curious, but we certainly won’t use this notion. (For a clean statement, see
[Stacks, tag 00VH]; our discussion here is intended only as motivation.) The idea
is that we should abstract away only those notions we need to define sheaves. We
need the notion of open set, but it turns out that we won’t even need an under-
lying set, i.e., we won’t even need the notion of points! Let’s think through how
little we need. For our discussion of sheaves to work, we needed to know what
the open sets were, and what the (allowed) inclusions were, and these should “be-
have well”, and in particular the data of the open sets and inclusions should form
a category. (For example, the composition of an allowed inclusion with another
allowed inclusion should be an allowed inclusion — in the distinguished affine
base, a distinguished open set of a distinguished open set is a distinguished open
set.) So we just require the data of this category. At this point, we can already
176 The Rising Sea: Foundations of Algebraic Geometry
define presheaf (as just a contravariant functor from this category of “open sets”).
We saw this idea earlier in Exercise 2.2.A.
In order to extend this definition to that of a sheaf, we need to know more
information. We want two open subsets of an open set to intersect in an open
set, so we want the category to be closed under fibered products (cf. Exercise 1.3.O).
For the identity and gluability axioms, we need to know when some open sets cover
another, so we also remember this as part of the data of a Grothendieck topology.
The data of the coverings satisfy some obvious properties. Every open set covers
itself (i.e., the identity map in the category of open sets is a covering). Coverings pull
back: if we have a map Y → X, then any cover of X pulls back to a cover of Y. Finally,
a cover of a cover should be a cover. Such data (satisfying these axioms) is called a
Grothendieck topology or a site. (There are useful variants of this definition in the
literature. Again, we are following [Stacks].) We can define the notion of a sheaf
on a Grothendieck topology in the usual way, with no change. A topos is a scary
name for a category of sheaves of sets on a Grothendieck topology.
Grothendieck topologies are used in a wide variety of contexts in and near
algebraic geometry. Étale cohomology (using the étale topology), a generalization
of Galois cohomology, is a central tool, as are more general flat topologies, such
as the smooth topology. The definition of a Deligne-Mumford or Artin stack uses
the étale and smooth topology, respectively. Tate developed a good theory of non-
archimedean analytic geometry over totally disconnected ground fields such as Qp
using a suitable Grothendieck topology. Work in K-theory (related for example to
Voevodsky’s work) uses exotic topologies.
6.3 Quasicoherent sheaves form an abelian category
Morphisms from one quasicoherent sheaf on a scheme X to another are de-
fined to be just morphisms as OX -modules. In this way, the quasicoherent sheaves
on a scheme X form a category, denoted QCohX . (By definition it is a full subcat-
egory of ModOX .) We now show that quasicoherent sheaves on X form an abelian
category.
When you show that something is an abelian category, you have to check
many things, because the definition has many parts. However, if the objects you
are considering lie in some ambient abelian category, then it is much easier. You
have seen this idea before: there are several things you have to do to check that
something is a group. But if you have a subset of group elements, it is much easier
to check that it forms a subgroup.
You can look at back at the definition of an abelian category, and you will see
that in order to check that a subcategory is an abelian subcategory, it suffices to
check only the following:
(i) 0 is in the subcategory
(ii) the subcategory is closed under finite sums
(iii) the subcategory is closed under kernels and cokernels
In our case of QCohX ⊂ ModOX , the first two are cheap: 0 is certainly quasico-
herent, and the subcategory is closed under finite sums: if F and G are sheaves
April 1, 2023 draft 177
on X, and over Spec A, F = ∼ Mf and G = ∼ N,
e then F ⊕ G = ∼ M ^⊕ N (Do you see
why?), so F ⊕ G is a quasicoherent sheaf.
We now check (iii), using the characterization of Important Exercise 6.2.D. Sup-
pose α : F → G is a morphism of quasicoherent sheaves. Then on any affine open
set U, where the morphism is given by β : M → N, define (ker α)(U) = ker β
and (coker α)(U) = coker β. Then these behave well under inversion of a single
element: if
0 /K /M /N /P /0
is exact, then so is
0 / Kf / Mf / Nf / Pf / 0,
from which (ker β)f =∼ ker(βf ) and (coker β)f =∼ coker(βf ). Thus both of these
define quasicoherent sheaves. Moreover, by checking stalks, they are indeed the
kernel and cokernel of α (exactness can be checked stalk-locally). Thus the quasi-
coherent sheaves indeed form an abelian category.
6.3.A. E XERCISE . Show that a sequence of quasicoherent sheaves F → G → H
on X is exact if and only if it is exact on every open set in any given affine cover of X.
(In particular, taking sections over an affine open Spec A is an exact functor from
the category of quasicoherent sheaves on X to the category of A-modules. Recall
that taking sections is only left-exact in general, see §2.6.F.) Thus we may check
injectivity or surjectivity of a morphism of quasicoherent sheaves by checking on
an affine cover of our choice.
Caution: If 0 → F → G → H → 0 is an exact sequence of quasicoherent
sheaves, then for any open set
0 / F (U) / G (U) / H (U)
is exact, and exactness on the right is guaranteed to hold only if U is affine. (To set
you up for cohomology: whenever you see left-exactness, you expect to eventually
interpret this as a start of a long exact sequence. So we are expecting H1 ’s on the
right, and now we expect that H1 (Spec A, F ) = 0. This will indeed be the case.)
6.3.B. L ESS IMPORTANT EXERCISE ( CONNECTION TO ANOTHER DEFINITION , AND
QUASICOHERENT SHEAVES ON RINGED SPACES IN GENERAL ). Show that an OX -
module F on a scheme X is quasicoherent if and only if there exists an open cover
by Ui such that on each Ui , F |Ui is isomorphic to the cokernel of a map of two
“free sheaves”:
⊕I
OU / O ⊕J / F |U /0
i Ui i
is exact. This is the definition of a quasicoherent sheaf on a ringed space in general.
It is useful in many circumstances, for example in complex analytic geometry.
6.4 Finite type quasicoherent, finitely presented, and coherent
sheaves
178 The Rising Sea: Foundations of Algebraic Geometry
Here are three natural finiteness conditions on an A-module M. If A is a Noe-
therian ring, which is the case that almost all of you will ever care about, they are
all the same.
The first is the simplest: a module could be finitely generated. In other words,
there is a surjection A⊕p → M → 0.
The second is reasonable too. It could be finitely presented — it could have
a finite number of generators with a finite number of relations. Translation: there
exists a finite presentation, i.e., an exact sequence
A⊕q / A⊕p /M / 0.
6.4.1. The third notion is frankly a bit surprising. We say that an A-module M is co-
herent if (i) it is finitely generated, and (ii) for any map A⊕p → M (not necessarily
surjective!), the kernel is finitely generated.
6.4.2. Proposition. — If A is Noetherian, then these three definitions are the same.
Proof. Clearly coherent implies finitely presented, which in turn implies finitely
generated. So suppose M is finitely generated. Take any α : A⊕p → M. Then
ker α is a submodule of a finitely generated module over A, and is thus finitely
generated by Exercise 3.6.Y. Thus M is coherent. □
Hence most people can think of these three notions as the same.
6.4.3. Proposition. — The coherent A-modules form an abelian subcategory of the
category of A-modules.
The proof in general is a series of short exercises in §6.7. You should try them
only if you are particularly curious.
Proof if the ring A is Noetherian. Recall from our discussion at the start of §6.3 that
we must check three things:
(i) The 0-module is coherent.
(ii) The category of coherent modules is closed under finite sums.
(iii) The category of coherent modules is closed under kernels and cokernels.
The first two are clear. For (iii), suppose that f : M → N is a map of finitely gen-
erated modules. Then coker f is finitely generated (it is the image of N), and ker f
is too (it is a submodule of a finitely generated module over a Noetherian ring,
Exercise 3.6.Y). □
We now extend these notions to quasicoherent sheaves.
6.4.A. E XERCISE ( FINITE GENERATION SATISFIES THE HYPOTHESES OF THE A FFINE
C OMMUNICATION L EMMA 5.3.2).
(a) If f ∈ A, and M is a finitely generated A-module, show that Mf is a finitely
generated Af -module.
(b) If (f1 , . . . , fn ) = A, and Mfi is a finitely generated Afi -module for all i, show
that M is a finitely generated A-module.
For the finite presentation case, the following result is handy, and versions
apply in other situations (see Lemma 8.3.R for the “algebra” version). For the
longest time I didn’t even suspect such a thing could be true.
April 1, 2023 draft 179
6.4.4. Lemma: Finitely presented implies always finitely presented (module ver-
sion). — Suppose M is a finitely presented A-module (for some surjection from a finite
free module, the kernel is finitely generated), and ϕ : A⊕p → M is any surjection. Then
ker ϕ is finitely generated.
Proof. Choose a finite presentation of M:
⊕rk=1 Afk
β
/ ⊕n Axi α /M /0
i=1
so α(x1 ), . . . , α(xn ) generate M. Write the surjection of the hypothesis as ϕ : ⊕p
j=1
Ayj → M. Choose lifts gj ∈ ⊕Axi of ϕ(yj ) ∈ M. Then we can write
M = ⊕Axi / (β(f1 ), . . . , β(fr ))
= (⊕Axi ⊕ Ayj ) / (β(f1 ), . . . , β(fr ), y1 − g1 , . . . , yp − gp )
As the {ϕ(yj )} generate M, for each i = 1, . . . , n we can choose hi ∈ ⊕p
j=1 Ayj (i.e.,
p
a map h : ⊕i=1 Axi → ⊕j=1 Ayj ) so that α(xi ) = ϕ(hi ). Thus
n
M = (⊕Axi ⊕ Ayj ) / (β(f1 ), . . . , β(fr ), y1 − g1 , . . . , yp − gp , x1 − h1 , . . . , xn − hn )
= ⊕Ayj / (h(β(f1 )), . . . , h(β(fr )), y1 − h(g1 ), . . . , yp − h(gp ))
□
6.4.B. E XERCISE ( FINITE PRESENTATION SATISFIES THE HYPOTHESES OF THE A FFINE
C OMMUNICATION L EMMA 5.3.2).
(a) If f ∈ A, and if M is a finitely presented A-module, show that Mf is a finitely
presented Af -module.
(b) If (f1 , . . . , fn ) = A, and Mfi is a finitely presented Afi -module for all i, show
that M is a finitely presented A-module. (Hint: use Exercise 6.4.A(b) to show first
that M is finitely generated, so we may write M = coker(α : N ,→ A⊕n ) for some
submodule N ⊂ A⊕n . We wish to show that N is finitely-generated. Localize at
the fi , use Lemma 6.4.4 to show Nfi is a finitely generated Afi module, then apply
Exercise 6.4.A(b) to N.)
6.4.C. E XERCISE ( COHERENCE SATISFIES THE HYPOTHESES OF THE A FFINE C OM -
MUNICATION L EMMA 5.3.2).
(a) If f ∈ A, and M is a coherent A-module, show that Mf is a coherent Af -module.
(b) If (f1 , . . . , fn ) = A, and Mfi is a coherent Afi -module for all i, show that M is
a coherent A-module. (Hint: if ϕ : A⊕p → M, then (ker ϕ)fi = ker(ϕfi ), which is
finitely generated for all i. Then apply Exercise 6.4.A(b).)
6.4.5. Definition. A quasicoherent sheaf F is finite type (resp. finitely presented,
coherent) if for every affine open Spec A, Γ (Spec A, F ) is a finitely generated (resp.
finitely presented, coherent) A-module. Note that coherent sheaves are always
finite type, and that on a locally Noetherian scheme, all three notions are the same
(by Proposition 6.4.2). Proposition 6.4.3 implies that the coherent sheaves on X
form an abelian category, which we denote CohX .
By the Affine Communication Lemma 5.3.2, and Exercises 6.4.A, 6.4.B, and 6.4.C,
it suffices to check “finite typeness” (resp. finite presentation, coherence) on the
open sets in a single affine cover.
180 The Rising Sea: Foundations of Algebraic Geometry
6.4.6. Warning. It is not uncommon in the later literature to incorrectly define
coherent as finitely generated. Please only use the correct definition, as the wrong
definition causes confusion. Besides doing this for the reason of honesty, it will
also help you see what hypotheses are actually necessary to prove things. And
that always helps you remember what the proofs are — and hence why things are
true.
6.4.7. Why coherence? Proposition 6.4.3 is a good motivation for the definition of
coherence: it gives a small (in a non-technical sense) abelian category in which we
can think about vector bundles.
There are two sorts of people who should care about the details of this defi-
nition, rather than living in a Noetherian world where coherent means finite type.
Complex geometers should care. They consider complex-analytic spaces with the
classical topology. One can define the notion of coherent OX -module in a way
analogous to this (see [Se1, Def. 2]). Then Oka’s Theorem states that the structure
sheaf of Cn (hence of any complex manifold) is coherent, and this is very hard (see
[GR, §2.5] or [Rem, §7.2]).
The second sort of people who should care are the sort of arithmetic people
who may need to work with non-Noetherian rings, see §3.6.21, or work in non-
archimedean analytic geometry.
6.4.8. Remark: Quasicoherent and coherent sheaves on ringed spaces. We will discuss
quasicoherent and coherent sheaves on schemes, but they can be defined more
generally (see Exercise 6.3.B for quasicoherent sheaves, and [Se1, Def. 2] for co-
herent sheaves). Many of the results we state will hold in greater generality, but
because the proofs look slightly different, we restrict ourselves to schemes to avoid
distraction.
6.4.9. ⋆⋆ Coherence is not a good notion in smooth geometry. The following exam-
ple from B. Conrad shows that in quite reasonable (but less “rigid”) situations, the
structure sheaf is not coherent over itself. Consider the ring O0 of germs of smooth
(C∞ ) functions at 0 ∈ R, with coordinate x. Now O0 is a local ring. Its maximal
ideal m is generated by x. (Key idea: suppose f ∈ m, and suppose f has a represen-
∫t ∫1
tative defined on (ϵ, ϵ). Then for t ∈ (−ϵ, ϵ), f(t) = 0 f ′ (u) du = t 0 f ′ (tv) dv. By
∫1
“differentiating under the integral sign” repeatedly, we may check that 0 f ′ (tv) dv
is smooth. We deal with the case t = 0 separately as usual.)
Let ϕ ∈ O0 be the germ of a smooth function that is 0 for x ≤ 0, and positive
2
for x > 0 (such as ϕ(x) = e−1/x for x > 0). Consider the map ×ϕ : O0 → O0 . The
kernel is the ideal Iϕ of functions vanishing for x ≥ 0. Clearly Iϕ is nonzero (for
example, ϕ(−x) ∈ Iϕ ), but as m = (x), Iϕ = xIϕ , so Iϕ cannot be finitely generated
or else Nakayama’s Lemma 8.2.9 would be contradicted. (Essentially the same
argument shows that the sheaf of smooth functions on R is not coherent.) This is
why coherence has no useful meaning for smooth manifolds.
6.5 Algebraic aside: The Jordan-Hölder Theorem
April 1, 2023 draft 181
The Jordan-Hölder theorem in group theory is part of a more fundamental
and somehow simpler story. The Jordan-Hölder “yoga” is why you can often fac-
tor some sort of algebraic object into primes or irreducibles, uniquely (in an appro-
priate sense), where each prime/irreducible appears the same number of times no
matter how you factor. From this point of view, it generalizes unique factoriza-
tion of integers; well-definedness of dimension of vector spaces; classification of
finitely-generated abelian groups; classificaiton of finitlely generated mdules over
principal ideal domains unique factorization of ideals in a Dedekind domain; and
the traditional Jordan-Hölder theorem in group theory.
We will be mostly interested in modules over a ring, but there is no harm in
working in a general abelian category C . (This can be readily generalized further,
as in Exercise 6.5.G.)
We say an object M ∈ C is simple (or irreducible) if its only subobjects are 0
and itself. A composition serieshas a (finite) composition series. for M is a (finite)
filtration
([Link]) 0 = M0 ⊊ M1 ⊊ · · · ⊊ Mn−1 ⊊ Mn = M
such that the quotients Mi+1 /Mi are all simple. If M has a composition series, we
say that M has finite length.
6.5.1. The Jordan-Hölder Theorem. — If M has a finite composition series, then all
composition series for M have the same length, and the quotients are all the same, possibly
rearranged.
6.5.2. Definition. We call the length of any of the composition series for M the
length of M, denoted ℓ(M). This notion is well-defined by the Jordan-Hölder
Theorem. But we even have a refined notion: we have the multiplicity with which
each simple object appears in any composition series for M.
If M is not of finite length, we say ℓ(M) = ∞.
6.5.3. Example. In the category of abelian groups, the finite-length objects are the
finite abelian groups. The Jordan-Hölder Theorem in this case, applied to Z/nZ,
can be used to give the unique factorization of n.
6.5.4. Proof of the Jordan-Hölder Theorem 6.5.1.
Suppose we have two finite composition series, ([Link]) and
0 = M0′ ⊊ M1′ ⊊ · · · ⊊ Mn′ ′ −1 ⊊ Mn′ ′ = M,
of one object M ∈ C . Make a rectangular array with entries Mi,j := Mi′ ∩ Mj′′ , as
in Figure 6.1. Figure 6.2 shows this construction applied to two composition series
for the Z-module Z/(12),
(12) ⊊ (6) ⊊ (2) ⊊ (1) and (12) ⊊ (4) ⊊ (2) ⊊ (1).
6.5.5. Observe that
• Mi,j ⊂ Mi ′ ,j ′ if i ≤ i ′ and j ≤ j ′ ,
• Mn,j = Mj′ and Mi,n ′ = Mi ,
• M0,j = Mi,0 = 0, and
• Mi,j ∩ Mi ′ ,j ′ = Mmin(i,i ′ ),min(j,j ′ ) .
182 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 6.1. The rectangular array in the proof of the Jordan-
Hölder Theorem
F IGURE 6.2. A sample “Jordan-Hölder table” for two composi-
tion series for Z/(12)
6.5.A. E XERCISE . Show (by descending induction on i) that Mi,j /Mi,j−1 is 0 or
isomorphic to the simple element Mj′ /Mj−1
′
.
Similarly, we have the analogous statement for Mi,j /Mi−1,j . In the rectangu-
lar array, draw a thick line between these two (horizontally or vertically adjacent)
entries if the quotient is nonzero, and label that line with the (isomorphism class
of) the simple group (again, see Figure 6.1).
Consider any 2 × 2 subsquare of the array:
Mi,j Mi,j+1 A B
=
Mi+1,j Mi+1,j+1 C D
We will see that the thick lines inside the square form one of the following five
patterns (each of which appears in Figure 6.2).
April 1, 2023 draft 183
From A = B ∩ C, we see that (i) if D = B, then A = C, and (ii) if D = C, then
A = B. That takes care of the first three cases.
Suppose next that both D/B and D/C are both nonzero (hence simple). If B =
C, we are in the fourth (“elbow”) case.
Finally, otherwise, we will see that D/B = ∼ C/A (and similarly, D/C = ∼ B/A),
and we are in the fifth case. Consider the map C → D/B. Then A is precisely
the kernel, from A = B ∩ C (§6.5.5). Thus we have an injection C/A ,→ D/B. By
simplicity of D/B, either C/A is zero, or this injection is actually an isomorphism
∼
C/A −→ D/B. □
6.5.B. E XERCISE . Prove the Jordan-Hölder Theorem. Hint: notice that the thick-
ened lines can be interpreted as paths from the right side of the table to the bottom
of the table, with one left turn. This will give a bijection between the simple quo-
tients of one filtration, and the simple quotients of the other filtration.
6.5.C. E XERCISE . Show that every subquotient of a finite-length object M is finite
length. Possible approach: suppose the subquotient if M ′′ /M ′ , where M ′ ⊆ M ′′ ⊆
M. Choose a composition series M• for M. Make a new rectangular table in a
similar way, using the composition series M• , and the filtration 0 ⊆ M ′ ⊆ M ′′ ⊆
M. Think suitably about paths, similar to the proof of the Jordan-Hölder Theorem.
6.5.D. E XERCISE . Show that length is additive in exact sequences: if 0 → M ′ →
M → M ′′ → 0 is an exact sequence, then ℓ(M) = ℓ(M ′ ) + ℓ(M ′′ ). (Do not assume
these objects have finite length.)
6.5.E. E XERCISE . Show that any filtration of a finite length module can be refined
into a composition series.
6.5.F. U NIMPORTANT EXERCISE . Show thow that the finite length objects in C
form a full subcategory of C .
The category of groups does not form an abelian category, so Theorem 6.5.1
can’t immediately imply the traditional Jordan-Hölder Theorem for groups. How-
ever, the same proof applies without change, with only one additional input.
6.5.G. E XERCISE ( THAT WE WON ’ T USE ). Prove the Jordan-Hölder Theorem for
groups. You will need the second isomorphism theorem: if N1 and N2 are normal
∼ (N1 N2 )/N1 .
subgroups, then N1 N2 forms a normal subgroup, and N2 /(N1 ∩N2 ) =
6.5.6. Additional facts particular to modules over a ring.
We now apply these concepts specifically to the category ModA .
6.5.H. E XERCISE . Show that the simple objects of ModA are precisely the objects
of the form A/m, where m is a maximal ideal of A.
6.5.I. E XERCISE . Suppose M is a finite length A-module, and ([Link]) is a compo-
sition series for M, with Mi /Mi−1 =∼ A/mi (where the mi are maximal ideals, not
necessarily distinct). Show that M is annihilated by m1 · · · mn . Equivalently, M is
an A/(m1 · · · mn )-module.
184 The Rising Sea: Foundations of Algebraic Geometry
Suppose now that the list (m1 , . . . , mn ) consists of the distinct maximal ideals
n1 , . . . , ns , appearing with multiplicity ℓ1 , . . . , ℓs . (These are the “refined” lengths
mentioned in Definition 6.5.2.)
By the Chinese Remainder Theorem,
∼ A/nℓ1 · · · nℓs =
A/m1 . . . mn = ∼ A/nℓ1 × · · · A/nℓs .
1 s 1 s
For 1 ≤ i ≤ s, let ei ∈ A be an element of A so that ei ≡ 1 (mod nℓii ) and
ℓ
ei ≡ 0 (mod nj j ) for i ̸= j. The ei exist by the Chinese Remainder Theorem.
6.5.J. E XERCISE . Show that M =∼ e1 M × · · · × es M, and ei M is a finite-length
module where all the simple quotients are A/mi . Thus M is a product of pieces,
each with composition series with only one type of “simple factor”.
6.5.K. E XERCISE . Suppose M is a finite length A-module. Show that M is finitely
generated, and Supp M consists of finitely many points of Spec A, all closed. (The
converse will be proved in Exercise 6.6.X(a).) We thus have a notion of the “length
of M at each of these cloesd points”.
6.5.7. Applying this language to schemes. We next consider the category QCohX of
quasicoherent sheaves on a scheme X. We have the notion of the length ℓ(F ) of a
finite-length quasicoherent sheaf on X.
6.5.L. E XERCISE . Show that the simple objects of QCohX are the structure sheaves
of closed points.
6.5.M. E XERCISE . Suppose that F is a finite length element of QCohX . Show that
F is finite type, and Supp F consists of finitely many points of X, all closed. (The
converse will be proved in Exercise 6.6.X(b).) Explain how to define the length of
a F at one of the points of Supp F .
6.5.8. Definition. The length of a scheme X is the length of the structure sheaf OX
(in QCohX ). A scheme X is finite length or Artinian if OX is finite length.
6.6 Visualizing schemes: Associated points and zerodivisors
The theory of associated points of a module refines the notion of support (§4.1.7).
Associated points will help us understand and visualize nilpotents, and generalize
the notion of “rational functions” to non-integral schemes. They are useful in ways
we won’t use, for example through their connection to primary decomposition.
They might be most useful for us in helping us understand and visualize (non-
)zerodivisors, which will come up repeatedly, through effective Cartier divisors
and line bundles, regular sequences, depth and Cohen-Macaulayness, and more.
There is no particular reason to discuss associated points now, and this section
can be read independently, at leisure. But it is a good opportunity to practice
visualizing geometry, and to learn some useful algebra.
6.6.1. Motivation. Figure 6.3 is a sketch of a scheme X. We see two connected com-
ponents, and three irreducible components. The irreducible components of X have
April 1, 2023 draft 185
dimensions 2, 1, and 1, although we won’t be able to make sense of “dimension”
until Chapter 12. Both connected components are nonreduced.
We see a little more in this picture, which we will make precise in this section,
in terms of “associated points”. The reducible connected component seems to have
different amounts of nonreduced behavior on different loci. The scheme X has six
associated points, which are the generic points of the irreducible subsets “visible”
in the picture. A function on X is a zerodivisor if its zero locus contains any of
these six irreducible subvarieties.
F IGURE 6.3. This scheme has six associated points, of which
three are embedded points. A function is a zerodivisor if it van-
ishes at any of these six points.
Suppose M is a finitely generated module over a Noetherian ring A. For ex-
ample, M could be A itself. Then there are some special points of Spec A that
are particularly crucial to understanding M. These are the associated points of M
(or equivalently, the associated prime ideals of M — we will use these terms inter-
changeably). As motivation, we give a zillion properties of associated points, and
leave it to you to verify them from the theory developed in the rest of this section.
As you read this section, you may wish to keep in mind
M = A = k[x, y]/(y2 , xy)
(Figure 4.4) as a running example.
6.6.2. A zillion properties of associated points. Here are some of the properties
of associated points that we will prove.
There are finitely many associated points AssA M ⊂ Spec A.
The support of M is the closure of the associated points of M: Supp M =
AssA M. The support of any submodule of M is the closure of some subset of the
associated points of M. The support of any element of M is the closure of some
subset of the associated points.
The associated points of M are precisely the generic points of irreducible com-
ponents of Supp m for all m ∈ M. The associated points of M are precisely the
generic points of those Supp m which are irreducible (as m runs over the elements
of M). The associated primes of M are precisely those prime ideals that are anni-
hilators of some element of M.
Taking “associated points” commutes with localization. Hence this notion is
“geometric in nature”, which will (in §6.6.2) allow us to extend the notion to coher-
ent sheaves on locally Noetherian schemes.
Associated points behave fairly well in exact sequences. For example, the asso-
ciated points of a submodule are a subset of the associated points of the module.
186 The Rising Sea: Foundations of Algebraic Geometry
If I ⊂ A is an ideal, the associated primes p of A/I are precisely those p such
that a p-primary ideal appears in the primary decomposition of I.
We will repeatedly use the fact that an element of A is a zerodivisor if and only if
it vanishes at an associated point.
An element of A is nilpotent if and only if it vanishes at every associated point.
The locus of points [p] of Spec A where the stalk Ap is nonreduced is the closure of
some subset of the associated points.
An associated point that is in the closure of another associated point is said
to be an embedded point. If A is reduced, then Spec A has no embedded points.
Hypersurfaces in An k have no embedded points. We will later see that complete
intersections have no embedded points (§28.2.7).
Elements of M are determined by their localization at the associated points.
Sections of the corresponding sheaf M f (Exercise/Definition 4.1.D) are determined
by their germs at the associated points.
This discussion immediately implies a notion of associated point for a coher-
ent sheaf on a locally Noetherian scheme, with all the good properties described
here. The phrase associated point of a locally Noetherian scheme X (without ex-
plicit mention of a coherent sheaf) means “associated point of OX ”, and similarly
for embedded points.
We now establish these zillion facts.
6.6.3. More on the notion of support.
The notion of associated points of an A-module M refines the notion of support
(in the case where M is finitely generated over a Noetherian ring A). (In what fol-
lows, we make no assumptions that A is Noetherian or that M is finitely generated
until we need to.) To set this up, recall (§4.1.7) that the support of m ∈ M,
Supp m = {[p] ∈ Spec A : mp ̸= 0},
is a closed subset, and thus of the form V(I) for some I. Exercise 6.6.A gives the
“best such” I. Define the annihilator ideal AnnA m ⊂ A of an element m of an
A-module M by:
×m
AnnA m := {a ∈ A : am = 0} = ker(A −−→ M).
The subscript A is omitted if it is clear from context.
6.6.A. E ASY I MPORTANT E XERCISE . Show that Supp m = V(Ann m).
Recall (Definition 2.7.6) that
f = {p ∈ Spec A : M
Supp M fp ̸= 0},
and the analogous Definition 4.1.7 of the support of the module M,
([Link]) Supp M := {p ∈ Spec A : Mp ̸= 0},
f If M is a principal module generated by m ∈ M, then
so Supp M = Supp M.
Supp M = Supp Am = Supp m = V(Ann m).
The notions of support and associated points behave well in exact sequences,
and under localization. We begin to explain this now.
6.6.4. The notion of support behaves well in exact sequences.
April 1, 2023 draft 187
6.6.B. E XERCISE . Suppose that 0 → M ′ → M → M ′′ → 0 is a short exact sequence
of A-modules.
(a) Show that Supp M = Supp M ′ ∪ Supp M ′′ .
(b) Show that if M is a finitely generated module, then Supp M is a closed
subset of Spec A. (Hint: induction on the number of generators.)
Warning: Supp M need not be closed in general; consider A = Z and M =
⊕p prime Z/(p).
6.6.C. E XERCISE . Suppose M is a finitely generated A-module, and x ∈ A has
value 0 at all the points of Supp M, i.e., x is contained in all of the primes where
M is supported. Show that some power xn of x annihilates every element of M.
(Hint: annihilate a generating set.)
6.6.D. E XERCISE ( FOR USE IN §18.6). Suppose M is a finitely generated module
over a Noetherian ring A, and x ∈ A. Show that Supp(M/xM) = (Supp M) ∩ V(x).
Here M/xM is defined by the exact sequence
×x
0 /M /M / M/xM / 0.
6.6.5. Definition: Associated points and associated primes.
Define the associated prime ideals of an A-module M to be those prime ideals
of A of the form AnnA (m) for some m ∈ M. Define the associated points of M to
be the corresponding points of Spec A; we use the terminology “associated points”
and “associated primes” interchangeably. The set of associated points is denoted
AssA M ⊂ Spec A. The subscript A is dropped if it is clear from the context. (To
help remember the definition and the notation, some call these the assassins, as
they are the primes that can ruthlessly annihilate elements of the module, without
remorse. But we will not use this term.)
6.6.6. The associated primes of a ring A are the associated primes of A considered
as an A-module (i.e., M = A).
6.6.E. E ASY E XERCISE ( ASSOCIATED POINTS OF INTEGRAL DOMAINS ). If A is an
integral domain, show that Ass A = {[(0)]} — the zero ideal is the only associated
prime.
6.6.F. E XERCISE ( ASSOCIATED POINTS OF HYPERSURFACES ). Given f ∈ k[x1 , . . . , xn ],
show that the associated primes of k[x1 , . . . , xn ]/(f) are those principal ideals gen-
erated by the prime factors of f. (Your argument will apply more generally to any
f ∈ A where A is a Unique Factorization Domain.)
6.6.7. The observation that [p] ∈ AssA (M) if and only if there is an injection A/p ,→ M
of A-modules will be essential. The next exercise might drive this home.
6.6.G. E XERCISE .
(a) Suppose M ′ ⊂ M. Show that Ass M ′ ⊂ Ass M. (The corresponding statement
for “support” is implicit in Exercise 6.6.B(a).)
(b) Show that Ass M ⊂ Supp M.
188 The Rising Sea: Foundations of Algebraic Geometry
If M is finitely generated, then Supp M is closed (Exercise 6.6.B), so Ass M ⊂
Supp M. Equality will be shown in Proposition 6.6.24, when A is Noetherian.
6.6.8. Nonzero modules over Noetherian rings have associated points.
Suppose m is a nonzero element of an A-module M. Observe that for any
nonzero multiple xm of m, Ann m ⊆ Ann xm ⊊ A.
6.6.H. E XERCISE . Suppose A is Noetherian. Show that there is some multiple
n = xm such that any nonzero multiple yn ̸= 0 of n satisfies Ann yn = Ann n.
6.6.9. Proposition. — Continuing the notation of the previous exercise, we have that
Ann n is a prime ideal.
Proof. Suppose ab ∈ Ann n, so abn = 0. Then either bn = 0 (in which case
b ∈ Ann n), or else a ∈ Ann bn = Ann n. □
We have thus proved the following.
6.6.10. Proposition (nonzero modules over Noetherian rings have associated
primes). — If M is a nonzero module over a Noetherian ring A, then AssA M is
nonempty. More precisely, for any m ̸= 0 in M, there is an associated prime p containing
Ann m, and p = Ann xm for some x ∈ A.
6.6.11. Localizations at the associated∏primes.
Recall the useful fact that M → p∈Spec A Mp is an injection (Exercise 4.1.F).
Our current situation is much better: we can take the product over only the local-
ization at associated primes.
6.6.I. E XERCISE . Suppose M is a module over a Noetherian ring A. Show that the
natural map
([Link]) M /∏ Mp
p∈Ass M
is an injection. Hint: if the kernel K is nonzero, then K has an associated prime p,
which is the annihilator of some m ∈ K ⊂ M, and m is nonzero in Mp .
Clearly we need only the maximal among the associated primes in ([Link]).
6.6.12. Zerodivisors = elements of associated primes.
6.6.13. Proposition. — Suppose f ∈ A, with A Noetherian. Then f is a zerodivisor on
M if and only if f vanishes at an associated point of M. Translation: the set of zerodivisors
is the union of the associated prime ideals.
Again, we need only the maximal among the associated primes. For example,
if (A, m) is a local ring, then m is an associated prime if and only if every element
of m is a zerodivisor.
Proof. Suppose f vanishes at an associated point [p] of M. Choose m with Ann m =
p. Then fm = 0 while m ̸= 0, so f is a zerodivisor.
April 1, 2023 draft 189
Conversely, if f is vanishes at no associated point, consider the commuting
diagram
/∏
M p∈Ass M Mp
×f ×f
M /∏ Mp ,
p∈Ass M
where the rows are the maps of ([Link]). The vertical arrow on the right (multi-
plication by f) is an injection by hypothesis, so the vertical arrow on the left must
be an injection as well. □
6.6.14. Associated points behave fairly well in exact sequences.
6.6.15. Proposition. — Suppose
([Link]) 0 / M′ /M / M ′′ /0
is a short exact sequence of A-modules. Then
([Link]) Ass M ′ ⊂ Ass M ⊂ Ass M ′ ∪ Ass M ′′ .
We come to our first complicated proof of the section.
Proof. The first inclusion of ([Link]) was shown in Exercise 6.6.G(a).
Suppose next that [p] ∈ Ass M, so there is some m ∈ M with Ann m = p. We
wish to find a submodule of M ′ or M ′′ isomorphic to A/p. If this proposition were
true, we would expect to find such a submodule in the “part of ([Link]) spanned
by m”. So we consider instead the exact sequence
0 / Am ∩ M ′ / Am / Am/(Am ∩ M ′ ) / 0,
noting that the three modules appearing here are submodules of the correspond-
ing modules in ([Link]). So by Exercise 6.6.G(a) it suffices to prove the result in
this “special case”, which can be rewritten as
0 / I/p / A/p / A/I /0
where I is the annihilater of m considered as an element of the module Am/(Am ∩
M ′ ). For convenience, let B = A/p (an integral domain), so we rewrite the exact
sequence further as the top row of
0 / J / B / B/J /0
_ _ _
0 / M′ /M / M ′′ /0
Now localize the top row of B-modules at (0) ⊂ B, so it becomes an exact se-
quence of vector spaces over the fraction field K(B), and the central element is
one-dimensional:
0 / J ⊗ K(B) / K(B) / (B/J) ⊗ K(B) / 0.
Thus one of the outside terms J ⊗ K(B) and (B/J) ⊗ K(B) has a nonzero element,
which (tracing our argument backwards) gives an element of M ′ or M ′′ whose
annihilator is precisely p. □
190 The Rising Sea: Foundations of Algebraic Geometry
6.6.16. Cautionary example. The short exact sequence of Z-modules
×2
0 /Z /Z / Z/2 /0
(and Easy Exercise 6.6.E) shows it is not always true that Ass M = Ass M ′ ∪
Ass M ′′ . However, sometimes we can still ensure some associated primes of M ′′
lift to associated primes of M, as we shall see in §6.6.20.
6.6.17. Finitely generated modules over Noetherian rings have finitely many
associated points/primes.
6.6.J. I MPORTANT E XERCISE . Suppose that M is a finitely generated module over
a Noetherian ring A. Show that M has a (finite) filtration
([Link])
0 = M0 ⊂ M1 ⊂ · · · ⊂ Mn = M where Mi+1 /Mi = ∼ A/pi for some prime pi .
Hint: Build ([Link]) inductively from left to right, using Proposition 6.6.10, and
show the process terminates.
6.6.K. E XERCISE . Suppose an A-module M has a finite filtration ([Link]), with
no assumptions of finite generation or Noetherianity. Show that every associated
prime of M appears as one of the pi . In particular, under this hypothesis (for
example, if M is finitely generated over a Noetherian ring) M has finitely many
associated points/primes. (Hint: Exercise 6.6.E and Proposition 6.6.15.)
6.6.18. Caution: Non-associated prime ideals may unavoidably appear among the quo-
tients in ([Link]). Example 6.6.16 shows that the non-associated prime ideals may
be among the quotients in ([Link]), although in that case it is because the filtration
was chosen unwisely. But better choices will not always remedy the problem:
6.6.L. E XERCISE . Consider the module M = (x, y) ⊂ A = k[x, y] over the ring A.
Show that any filtration ([Link]) of M contains a quotient A/pi where pi is not an
associated prime.
6.6.19. Remark. However, not all is lost: Exercise 6.6.P will show that for any
quotient A/pi in any filtration ([Link]) of M, pi must contain an associated prime
of M.
6.6.20. Associated points behave fairly well in exact sequences, continued.
6.6.21. Proposition. — We continue to consider the short exact sequence
0 / M′ /M / M ′′ /0
of A-modules. Suppose p ∈ Ass M ′′ , but p ∈
/ Supp M ′ (a stronger hypothesis than
p∈/ Ass M ′ ). Then p ∈ Ass M.
We come to our second complicated proof of the section.
Proof. Choose m ′′ ∈ M ′′ with p = Ann m ′′ in M ′′ . Choose a lift of m ∈ M of
m ′′ ∈ M ′′ . We apply a strategy similar to that of our proof of Proposition 6.6.15.
April 1, 2023 draft 191
Consider the “inclusion of short exact sequences”
0 / ker (Am → Am ′′ ) / Am
_ / Am ′′ /0
_ _
0 / M′ /M / M ′′ / 0.
As Supp(ker(Am → Am ′′ )) ⊂ Supp M ′ , Ass(Am) ⊂ Ass M, and Ass(Am ′′ ) ⊂
Ass M ′′ (Exercises 6.6.B(a) and 6.6.G(a)), we have reduced to considering the top
row instead of the bottom row. The top row can be conveniently rewritten as
0 / p/I / A/I / A/p /0
(here I = Ann(m)) where our hypothesis translates to [p] ∈
/ Supp(p/I). For conve-
nience, let B = A/I so we may now consider the sequence
0 /q /B / B/q / 0,
where q is prime, with the confusion-inducing hypothesis [q] ∈ / Supp q.
From the confusing hypothesis, there is an element b of B that vanishes on
Supp q but doesn’t vanish at [q]. Translation: (i) b lies in all the primes of Supp q,
but (ii) b ∈/ q. Then from (i) there is some power bn of b that annihilates all
elements of q (Exercise 6.6.C). From (ii), bn ∈
/ q.
Then Ann(bn ) contains q from (i), but does not contain any element of B \ q
from (ii), so Ann(bn ) = q. hence q is an associated prime of B, which (unwinding
our argument) shows that p is an associated prime of M. □
6.6.22. Minimal primes are associated.
6.6.M. E XERCISE : MINIMAL PRIMES (“ IRREDUCIBLE COMPONENTS ”) ARE ASSOCI -
ATED . Suppose M is a finitely generated module over Noetherian A, and p ⊂ A
is a prime ideal corresponding to an irreducible component of Supp M ⊂ Spec A.
Show that [p] ∈ Ass M. Hint: Exercise 6.6.J and Proposition 6.6.21.
6.6.23. Non-Noetherian Remark. By combining Proposition 6.6.13 with Exercise 6.6.M,
we see that if A is a Noetherian ring, then any element of any minimal prime p is
a zerodivisor. This is true without Noetherian hypotheses: suppose s ∈ p. Then
by minimality of p, pAp is the unique prime ideal in Ap , so the element s/1 of
Ap is nilpotent (because it is contained in all prime ideals of Ap , Theorem 3.2.13).
Thus for some t ∈ A \ p, tsn = 0, so s is a zerodivisor in A. We will use this in
Exercise 12.1.H.
6.6.24. Proposition. — Suppose M is a finitely generated module over a Noetherian
ring A. Then Supp M = Ass M.
Proof. Combine Exercises 6.6.G(b) and 6.6.M. □
6.6.N. E XERCISE . Suppose A is a Noetherian ring. Show that the locus of points
[p] where Ap is nonreduced is the support of the nilradical Supp N. Hence show
that the “reduced locus” of a locally Noetherian scheme is open.
192 The Rising Sea: Foundations of Algebraic Geometry
The following justifies a simple way of thinking about associated primes of a
ring.
6.6.O. E XERCISE . Show that a prime ideal p ⊂ A is an associated prime of a
Noetherian ring A if and only if there is f ∈ A such that Supp f = V(p) = [p].
6.6.P. E XERCISE , PROMISED IN R EMARK 6.6.19. Show that for each quotient in the
filtration ([Link]) of M, Supp A/pi = [p] ⊂ Supp M, and that every pi contains a
minimal prime, and hence an associated prime.
6.6.25. “Support” and “associated points” commute with localization.
Suppose S is a multiplicative subset of A, and p ⊂ A is a prime ideal not
meeting S, so (abusing notation slightly) [p] ∈ Spec S−1 A ⊂ Spec A (§3.2.9).
6.6.Q. E XERCISE (Supp COMMUTES WITH LOCALIZATION ). Show that for any
A-module M, SuppA M ∩ Spec S−1 A = SuppS−1 A S−1 M.
6.6.26. Proposition (Ass commutes with localization). — Let M be a finitely-
generated module over a Noetherian ring A. For an A-module M, we have AssA M ∩
Spec S−1 A = AssS−1 A S−1 M.
Proof. We first show that AssA M ∩ Spec S−1 A ⊂ AssS−1 A S−1 M. If p ∈ AssA M,
then we have an injection A/p ,→ M. Localizing by S (which preserves injectivity),
we have (S−1 A)/(S−1 p) ,→ M. (Where did we use p ∈ Spec S−1 A?)
We next show that AssS−1 A S−1 M ⊂ AssA M ∩ Spec S−1 A. Suppose q :=
S p ∈ AssS−1 A S−1 M, so q = AnnS−1 A (m/s), for some s ∈ S, and m ∈ M.
−1
Since the elements of S are units in S−1 A, we have that q = AnnS−1 A m. As
support commutes with localization, V(p) must be an irreducible component of
Supp m (as Supp m ∩ Spec S−1 M contains [q], but no generizations of [q]). Then by
Exercise 6.6.M, p is an associated prime of M. □
6.6.27. Embedded points/primes.
6.6.28. Definition. The associated points that are not the generic points of ir-
reducible components of Supp M are called embedded points, and their corre-
sponding primes are called embedded primes. The motivation for this language
is their geometric incarnation as embedded points (§6.6.32 shortly). For example,
the scheme of Figure 6.3 has three embedded points (the corresponding ring has
three embedded primes).
6.6.29. Remark. Exercise 6.6.F translates to “hypersurfaces in Ank have no embed-
ded points”. More generally, if A is a unique factorization domain, then Spec A/(f)
has no embedded points for any f ∈ A. Generalizing in a different direction, we
will see that “complete intersections have no embedded points” in §28.2.7.
6.6.R. E XERCISE . Suppose A is a reduced ring (i.e., A has no nonzero nilpotents).
Show that Spec A has no embedded primes. (Hints: if p = Ann a is an embed-
ded prime, show that you can find an element b of p not contained in any of the
minimal primes of A. From ab = 0, show that a is contained in all the minimal
April 1, 2023 draft 193
primes. Show that a vanishes at all points of Spec A, and hence by Theorem 3.2.13
is nilpotent.)
Thus reduced rings have no embedded primes. Even better: the only elements of a
ring that an embedded prime can annihilate are nilpotents.
6.6.30. Remark. The converse to Exercise 6.6.R is false. Rings without embedded
primes can still have nilpotents — witness k[x]/(x2 ).
6.6.S. E XERCISE . Show that if p is an embedded prime of a ring A, then Ap is
nonreduced.
6.6.31. Get your hands dirty: Explicit algebraic exercises.
6.6.T. E XERCISE . (See Figure 4.4.)
(a) Suppose f is a function on Spec k[x, y]/(y2 , xy), i.e., f ∈ k[x, y]/(y2 , xy). Show
that Supp f is either the empty set, or the origin, or the entire space. Hence find
the associated points of Spec k[x, y]/(y2 , xy).
(b) Show explicitly by hand that f ∈ k[x, y]/(y2 , xy) is a zerodivisor if and only if
f(0, 0) = 0.
6.6.U. E XERCISE ( PRACTICE WITH FUZZY PICTURES ). Suppose X = Spec C[x, y]/I,
and that the associated points of X are [(y − x2 )], [(x − 1, y − 1)], and [(x − 2, y − 2)].
(Exercise 6.6.U will verify that such an X actually exists.)
(a) Sketch X as a subset of A2C = Spec C[x, y], including fuzz.
(b) Do you have enough information to know if X is reduced?
(c) Do you have enough information to know if x + y − 2 is a zerodivisor? How
about x + y − 3? How about y − x2 ?
(d) Let I = (y − x2 )3 ∩ (x − 1, y − 1)15 ∩ (x − 2, y − 2). Show that X = Spec C[x, y]/I
satisfies the hypotheses of this exercise. (Rhetorical question: Is there a “smaller”
example? Is there a “smallest”?)
6.6.32. Geometric definitions.
6.6.V. E XERCISE /D EFINITION . Define the associated points and embedded points
of a coherent sheaf on a locally Noetherian scheme. (Idea/hint: do it affine-
locally.)
6.6.W. E XERCISE . Suppose X is a locally Noetherian scheme, and U ⊂ X is an
open subscheme. Show that the natural map
Γ (U, OX ) /∏
([Link]) p∈Ass X∩U OX,p
(cf. ([Link])) is an injection.
6.6.33. Scheme-theoretic density (and the adjective “scheme-theoretic” more generally).
An open subscheme U of a scheme X is said to be scheme-theoretically dense if
any function on any open set V is 0 if it restricts to 0 on U ∩ V. This is a stronger
than density in the usual (topological) sense. For example, you can show that if
X is locally Noetherian, then you can use the injection ([Link]) (with M = A) to
show that an open subscheme U ⊂ X is scheme-theoretically dense if and only if
it contains all the associated points of X.
194 The Rising Sea: Foundations of Algebraic Geometry
More generally, the adjctive scheme-theoretic typically indicates an ideal-theoretic
definition, enriching and refining the more naive set-theoretic definition. Exam-
ples will include:
• scheme-theoretically dense (here)
• scheme-theoretic intersection (Figure 4.5, Exercise 9.1.I, Exercise 10.4.B)
• scheme-theoretic support (Definition 9.1.4)
• scheme-theoretic image (§9.4.1)
• scheme-theoretic closure (§9.4.8)
• scheme-theoretic preimage (§10.3.1)
• scheme-theoretic fiber (Definition 10.3.3)
6.6.34. Revisiting the notion of length.
6.6.X. E XERCISE .
(a) (converse to Exercise 6.5.K) Show that any finitely generated module whose
support consists of finitely many points of Spec A, all closed, has finite length.
(b) (converse to Exercise 6.5.M) Suppose F is a finite type quasicoherent sheaf on
a scheme X, supported at finitely many points of Spec A, all closed. Show that F
has finite length.
6.6.Y. E XERCISE .
(a) Show that each finite length scheme (Definition 6.5.8) has a finite number of
points, with the discrete topology.
(b) If X is a k-scheme of finite length ℓ, show that dimk Γ (X, OX ) = ℓ.
6.6.35. Generalizing the fraction field: the total fraction ring.
6.6.36. Definitions: Rational functions on locally Noetherian schemes. A rational func-
tion on a locally Noetherian scheme is an element of the image of Γ (U, OU ) in
([Link]) for some U containing all the associated points. Equivalently, the set of
rational functions is the colimit of OX (U) over all open sets containing the associ-
ated points.
x−2
For example, on Spec k[x, y]/(y2 , xy) (Figure 4.4), (x−1)(x−3) is a rational func-
x−2
tion, but x(x−1) is not.
A rational function has a maximal domain of definition, because any two
actual functions on an open set (i.e., sections of the structure sheaf over that open
set) that agree as “rational functions” (i.e., on small enough open sets containing
associated points) must be the same function, by the injectivity of ([Link]). We say
that a rational function f is regular at a point p if p is contained in this maximal
domain of definition (or equivalently, if there is some open set containing p where
x−2
f is defined). For example, on Spec k[x, y]/(y2 , xy), the rational function (x−1)(x−3)
has domain of definition consisting of everything but 1 and 3 (i.e., [(x − 1)] and
[(x − 3)]), and is regular away from those two points. A rational function is regular
if it is regular at all points. (Unfortunately, “regular” is a regularly overused word
in mathematics, and in algebraic geometry in particular.)
The complement of the domain of definition of a rational function f is called
the indeterminacy locus of f (a phrase we’ll see again in §11.4.3).
The rational functions form a ring, called the total fraction ring or total quo-
tient ring of X. If X = Spec A is affine, then this ring is called the total fraction
April 1, 2023 draft 195
(or quotient) ring of A. If X is integral, the total fraction ring is the function field
K(X) — the stalk at the generic point — so this extends our earlier Definition 5.2.I
of K(·).
6.6.Z. E XERCISE . Show that the ring of rational functions on a locally Noetherian
scheme is the colimit of the functions over all open sets containing the associated
points:
colimU : Ass X⊂U O(U).
Slightly better (but slightly different): show that a rational function is the data
of a function f defined on an open set U containing all associated points, where
two such data (U, f) and (U ′ , f ′ ) define the same rational function if and only if
′
fU∩U ′ = fU∩U ′ (cf. §1.4.9). If X is reduced, show that this is the same as requiring
that they are defined on an open set of each of the irreducible components.
6.6.37. Remark: Associated points of integral schemes. In order for some of our discus-
sion elsewhere to make sense in non-Noetherian settings, we note that the notion
of associated points for integral schemes works perfectly, because it works for in-
tegral domains — only the generic point is associated. In particular, the definition
above of rational functions on an integral scheme X agrees with Definition 5.2.I, as
precisely the elements of the function field K(X).
6.6.38. ⋆⋆ Aside: Primary ideals and associated primes. Primary decomposition
was introduced by the world chess champion E. Lasker, and axiomatized by world
math champion E. Noether. We won’t need it, but here is the beginning of the story,
for the curious reader. An ideal I ⊂ A in a ring is primary if √
I ̸= A, and xy ∈ I
implies either x ∈ I or yn ∈ I for some n > 0. In this case, I is prime, and I
is said to be p-primary. Equivalently, if I ⊂ A then I is p-primary if and only if
A/I has only one associated prime p. If I is an ideal of a Noetherian ring A, then
the associated prime ideals A/I turn out to be precisely the radicals of ideals in
a primary decomposition. See [E, §3.3], for example, for more of this important
story.
6.7 ⋆⋆ Coherent modules over non-Noetherian rings
This section is intended for people who might work with non-Noetherian rings,
or who otherwise might want to understand coherent sheaves in a more general
setting. Even these people should read this much later. Read this only if you really
want to!
Suppose A is a ring. Recall the definition of when an A-module M is finitely
generated, finitely presented, and coherent (§6.4). The reason we like coherence
is that coherent modules form an abelian category. Here are some accessible exer-
cises working out why these notions behave well. Some repeat earlier discussion
in order to keep this section self-contained.
The notion of coherence of a module is only interesting in the case that a ring is
coherent over itself. Similarly, coherent sheaves on a scheme X will be interesting
only when OX is coherent (“over itself”). In this case, coherence is clearly the
same as finite presentation. An example where non-Noetherian coherence comes
196 The Rising Sea: Foundations of Algebraic Geometry
up is the ring R⟨x1 , . . . , xn ⟩ of “restricted power series” over a valuation ring R of
a non-discretely valued K (for example, a completion of the algebraic closure of
Qp ). This is relevant to Tate’s theory of non-archimedean analytic geometry over
K (which you can read about in [BCDKT], for example). The importance of the
coherence of the structure sheaf underlines the importance of Oka’s Theorem in
complex geometry (stated in §6.4.6).
6.7.A. E XERCISE . Show that coherent implies finitely presented implies finitely
generated. (This was discussed at the start of §6.4.)
6.7.B. E XERCISE . Show that 0 is coherent.
Suppose for problems 6.7.C–6.7.I that
([Link]) 0 /M /N /P /0
is an exact sequence of A-modules. In this series of problems, we will show that if
two of {M, N, P} are coherent, the third is as well, which will prove very useful.
6.7.1. Hint †. The following hint applies to several of the problems: try to write
0 / A⊕p / A⊕(p+q) / A⊕q /0
0 /M /N /P /0
and possibly use the Snake Lemma 1.7.5.
6.7.C. E XERCISE . Show that N finitely generated implies P finitely generated.
(You will only need right-exactness of ([Link]).)
6.7.D. E XERCISE . Show that M, P finitely generated implies N finitely generated.
Possible hint: †. (You will only need right-exactness of ([Link]).)
6.7.E. E XERCISE . Show that N, P finitely generated need not imply M finitely
generated. (Hint: if I is an ideal, we have 0 → I → A → A/I → 0.)
6.7.F. E XERCISE . Show that N coherent, M finitely generated implies M coherent.
(You will only need left-exactness of ([Link]).)
6.7.G. E XERCISE . Show that N, P coherent implies M coherent. Hint for (i) in the
definition of coherence (§6.4.1):
A⊕qG
GG
GG
GG
G#
A⊕pC
CC
CC
CC
CC
!
0 /M /N /P /0
>>
>>
>>
>>
0 0 0
April 1, 2023 draft 197
(You will only need left-exactness of ([Link]).)
6.7.H. E XERCISE . Show that M finitely generated and N coherent implies P coher-
ent. Hint for (ii) in the definition of coherence (§6.4.1): †.
6.7.I. E XERCISE . Show that M, P coherent implies N coherent. (Hint: †.)
6.7.J. E XERCISE . Show that a finite direct sum of coherent modules is coherent.
6.7.K. E XERCISE . Suppose M is finitely generated, N coherent. Then if ϕ : M → N
is any map, then show that Im ϕ is coherent.
6.7.L. E XERCISE . Show that the kernel and cokernel of maps of coherent modules
are coherent.
At this point, we have verified that coherent A-modules form an abelian sub-
category of the category of A-modules. (Things you have to check: 0 should be
in this set; it should be closed under finite sums; and it should be closed under
taking kernels and cokernels.)
6.7.M. E XERCISE . Suppose M and N are coherent submodules of the coherent
module P. Show that M + N and M ∩ N are coherent. (Hint: consider the right
map M ⊕ N → P.)
6.7.N. E XERCISE . Show that if A is coherent (as an A-module) then finitely pre-
sented modules are coherent. (Of course, if finitely presented modules are coher-
ent, then A is coherent, as A is finitely presented!)
6.7.O. E XERCISE . If M is finitely presented and N is coherent, show that Hom(M, N)
is coherent. (Hint: Hom is left-exact in its first argument.)
6.7.P. E XERCISE . If M is finitely presented, and N is coherent, show that M ⊗A N
is coherent.
Part III
Morphisms of schemes
CHAPTER 7
Morphisms of schemes
7.1 Introduction
We now describe the morphisms between schemes. We will define some easy-
to-state properties of morphisms, but leave more subtle properties for later.
Recall that a scheme is (i) a set, (ii) with a topology, (iii) and a (structure) sheaf
of rings, and that it is sometimes helpful to think of the definition as having three
steps. In the same way, the notion of morphism of schemes X → Y may be defined
(i) as a map of sets, (ii) that is continuous, and (iii) with some further informa-
tion involving the sheaves of functions. In the case of affine schemes, we have
already seen the map of sets (§3.2.10) and later saw that this map is continuous
(Exercise 3.4.H).
Here are two motivations for how morphisms should behave. The first is alge-
braic, and the second is geometric.
7.1.1. Algebraic motivation. We will want morphisms of affine schemes Spec A →
Spec B to be precisely the ring maps B → A. We have already seen that ring maps
B → A induce maps of topological spaces in the opposite direction (Exercise 3.4.H);
the main new ingredient will be to see how to add the structure sheaf of functions
into the mix. Then a morphism of schemes should be something that “on the level
of affine open sets, looks like this”.
7.1.2. Geometric motivation. Motivated by the theory of manifolds (§3.1.1), which
like schemes are ringed spaces, we want morphisms of schemes at the very least
to be morphisms of ringed spaces; we now motivate what these are. (We will
formalize this in the next section.) Notice that if π : X → Y is a map of differ-
entiable manifolds, then a smooth function on Y pulls back to a smooth func-
tion on X. More precisely, given an open subset U ⊂ Y, there is a natural map
Γ (U, OY ) → Γ (π−1 (U), OX ). This behaves well with respect to restriction (restrict-
ing a function to a smaller open set and pulling back yields the same result as
pulling back and then restricting), so in fact we have a map of sheaves on Y:
OY → π∗ OX . Similarly a morphism of schemes π : X → Y should induce a map
OY → π∗ OX . But in fact in the category of differentiable manifolds a continuous
map π : X → Y is a map of differentiable manifolds precisely when smooth func-
tions on Y pull back to smooth functions on X (i.e., the pullback map from smooth
functions on Y to functions on X in fact lies in the subset of smooth functions, i.e.,
the continuous map π induces a pullback of smooth functions, which can be inter-
preted as a map OY → π∗ OX ), so this map of sheaves characterizes morphisms in
201
202 The Rising Sea: Foundations of Algebraic Geometry
the differentiable category. So we could use this as the definition of morphism in
the differentiable category (see Exercise 3.1.A).
But how do we apply this to the category of schemes? In the category of dif-
ferentiable manifolds, a continuous map π : X → Y induces a pullback of (the sheaf
of) functions, and we can ask when this induces a pullback of smooth functions.
However, functions are odder on schemes, and we can’t recover the pullback map
just from the map of topological spaces. The right patch is to hardwire this into
the definition of morphism, i.e., to have a continuous map π : X → Y, along with a
pullback map π♯ : OY → π∗ OX . This leads to the definition of the category of ringed
spaces.
One might hope to define morphisms of schemes as morphisms of ringed
spaces. This isn’t quite right, as then Motivation 7.1.1 isn’t satisfied: as desired,
to each morphism A → B there is a morphism Spec B → Spec A, but there can be
additional morphisms of ringed spaces Spec B → Spec A not arising in this way
(see Exercise 7.2.G). A revised definition as morphisms of ringed spaces that locally
look of this form will work, but to avoid the awkwardness of sorting out the de-
tails, we take a different approach, using locally ringed spaces, which corresponds
to asking not just that functions pull back, but also that values of functions pull back.
However, we will check that our eventual definition actually is equivalent to this
(Exercise 7.3.D).
We begin by formally defining morphisms of ringed spaces.
7.2 Morphisms of ringed spaces
7.2.1. Definition. A morphism of ringed spaces π : X → Y is a continuous map
of topological spaces (which we unfortunately also call π) along with a map OY →
π∗ OX , which we think of as a “pullback map”. By adjointness (§2.7.1), this is the
same as a map π−1 OY → OX . (It can be convenient to package this information as
in the diagram ([Link]).) There is an obvious notion of composition of morphisms,
so ringed spaces form a category. Hence we have notion of automorphisms and
isomorphisms. You can easily verify that an isomorphism of ringed spaces means
the same thing as it did before (Definition 4.3.1).
If U ⊂ Y is an open subset, then there is a natural morphism of ringed spaces
(U, OY |U ) → (Y, OY ) (which implicitly appeared earlier in §2.2.13). More precisely,
if U → Y is an isomorphism of U with an open subset V of Y, and we are given
∼ ∼
an isomorphism (U, OU ) −→ (V, OY |V ) (via the isomorphism U −→ V), then the
resulting map of ringed spaces is called an open embedding (or open immersion)
of ringed spaces, and the morphism U → Y is often written U ,→ Y.
7.2.A. E XERCISE ( MORPHISMS OF RINGED SPACES GLUE ). Suppose (X, OX ) and
(Y, OY ) are ringed spaces, X = ∪i Ui is an open cover of X, and we have morphisms
of ringed spaces πi : Ui → Y that “agree on the overlaps”, i.e., πi |Ui ∩Uj = πj |Ui ∩Uj .
Show that there is a unique morphism of ringed spaces π : X → Y such that π|Ui =
πi . (Exercise 2.2.F essentially showed this for topological spaces.)
7.2.B. E XERCISE . Show that open embeddings of ringed spaces are monomor-
phisms (in the category of ringed spaces).
April 1, 2023 draft 203
7.2.C. E ASY IMPORTANT EXERCISE : PUSHING FORWARD O - MODULES . Given a
morphism of ringed spaces π : X → Y, show that sheaf pushforward induces a
functor ModOX → ModOY .
7.2.D. I MPORTANT EXECISE FOR LATER : PULLING BACK O - MODULES . (You may
wish to ignore this exercise until when you need it, because you may not appreci-
ate it until then.) Suppose π : (X, OX ) → (Y, OY ) is a morphism of ringed spaces.
A slight variation on the inverse image allows us to pull back an OY -module G to
get an OX -module π∗ F .
(a) Show that (X, π−1 OY ) is a ringed space, and that the morphism of ringed
spaces π factors into (X, OX ) → (X, π−1 OY ) → (Y, OY ).
(b) Show that π−1 G is a π−1 OY -module, and describe how π−1 G ⊗π−1 OY OX
is an OX -module, which we call π∗ G , the pullback of G .
(c) Show that π∗ is a covariant functor ModOY → ModOX .
(d) If furthermore ρ : (W, OW ) → (X, OX ) is another morphism of ringed
spaces, show that “ρ∗ π∗ = (π ◦ ρ)∗ ” (or more precisely, describe a natural
∼
isomorphism of functors ρ∗ π∗ ←→ (π ◦ ρ)∗ ).
∗
(e) (Cf. Exercise 2.7.B.) Show that π is left-adjoint to π∗ . More precisely, for
any F ∈ ModOX , describe a natural bijection
∼
Hom(X,OX ) (π∗ G , F ) o / Hom(Y,O ) (G , π∗ F )
Y
that is functorial in both F ∈ ModOX and G ∈ ModOY .
(f) (the push-pull map for O-modules) Suppose
β′
W /X
α′ α
Y
β
/Z
is a commutative (not necessarily Cartesian) diagram of ringed spaces, and
F is an OX -module. Explain how to define the push-pull map
β∗ α∗ F / α∗′ (β ′ )∗ F
(cf. ([Link])) of OY -modules, by following the discussion of §2.7.4 for the
push-pull map for sheaves.
7.2.E. E ASY IMPORTANT EXERCISE . Given a morphism of ringed spaces π : X → Y
with π(p) = q, show that there is a map of stalks (OY )q → (OX )p .
7.2.F. K EY E XERCISE . Suppose π♯ : B → A is a morphism of rings. Define a
morphism of ringed spaces π : Spec A → Spec B as follows. The map of topo-
logical spaces was given in Exercise 3.4.H. To describe a morphism of sheaves
OSpec B → π∗ OSpec A on Spec B, it suffices to describe a morphism of sheaves on the
distinguished base of Spec B. On D(g) ⊂ Spec B, we define
OSpec B (D(g)) / OSpec A (π−1 D(g)) = OSpec A (D(π♯ g))
by Bg → Aπ♯ g . Verify that this makes sense (e.g., is independent of g), and that
this describes a morphism of sheaves on the distinguished base. (This is the third
in a series of exercises. We saw that a morphism of rings induces a map of sets in
204 The Rising Sea: Foundations of Algebraic Geometry
§3.2.10, a map of topological spaces in Exercise 3.4.H, and now a map of ringed
spaces here.)
The map of ringed spaces of Key Exercise 7.2.F is really not complicated. Here
is an example. Consider the ring map C[y] → C[x] given by y 7→ x2 (see Figure 3.6).
We are mapping the affine line with coordinate x to the affine line with coordinate
y. The map is (on closed points) a 7→ a2 . For example, where does [(x − 3)] go to?
Answer: [(y − 9)], i.e., 3 7→ 9. What is the preimage of [(y − 4)]? Answer: those
prime ideals in C[x] containing [(x2 − 4)], i.e., [(x − 2)] and [(x + 2)], so the preimage
of 4 is indeed ±2. This is just about the map of sets, which is old news (§3.2.10), so
let’s now think about functions pulling back. What is the pullback of the function
3/(y − 4) on D(y − 4) = A1 − {4}? Of course it is 3/(x2 − 4) on A1 − {−2, 2}.
The construction of Key Exercise 7.2.F will soon be an example of a morphism
of schemes. In fact we could make that definition right now. Before we do, we
point out (via the next exercise) that not every morphism of ringed spaces between
affine schemes is of the form of Key Exercise 7.2.F. (In the language of §7.3, this
morphism of ringed spaces is not a morphism of locally ringed spaces.) We won’t
use this exercise, but it answers a question that everyone will have.
7.2.G. E XERCISE . Recall (Exercise 3.4.K) that Spec k[y](y) has two points, [(0)] and
[(y)], where the second point is closed, and the first is not. Describe a map of ringed
spaces Spec k(x) → Spec k[y](y) sending the unique point of Spec k(x) to the closed
point [(y)], where the pullback map on global sections sends k to k by the identity,
and sends y to x. Show that this map of ringed spaces is not of the form described
in Key Exercise 7.2.F.
7.2.2. Tentative Definition we won’t use (cf. Motivation 7.1.1 in §7.1). A mor-
phism of schemes π : (X, OX ) → (Y, OY ) is a morphism of ringed spaces that “lo-
cally looks like” the maps of affine schemes described in Key Exercise 7.2.F. Pre-
cisely, for each choice of affine open sets Spec A ⊂ X, Spec B ⊂ Y, such that
π(Spec A) ⊂ Spec B, the induced map of ringed spaces should be of the form
shown in Key Exercise 7.2.F.
We would like this definition to be checkable on any affine cover, and we
might hope to use the Affine Communication Lemma to develop the theory in
this way. This works, but it will be more convenient to use a clever trick: in the
next section, we will use the notion of locally ringed spaces, and then once we
have used it, we will discard it like yesterday’s garbage.
7.3 From locally ringed spaces to morphisms of schemes
In order to prove that morphisms behave in a way we hope, we will use the
notion of a locally ringed space. It will not be used later, although it is useful else-
where in geometry. The notion of locally ringed spaces (and maps between them)
is inspired by what we know about manifolds (see Exercise 3.1.B). If π : X → Y
is a morphism of manifolds, with π(p) = q, and f is a function on Y vanishing
at q, then the pulled back function π♯ (f) on X should vanish on p. Put differently:
germs of functions (at q ∈ Y) vanishing at q should pull back to germs of functions
(at p ∈ X) vanishing at p.
April 1, 2023 draft 205
7.3.1. Definition. Recall (Definition 4.3.7) that a locally ringed space is a ringed space
(X, OX ) such that the stalks OX,p are all local rings. A morphism of locally ringed
spaces π : X → Y is a morphism of ringed spaces such that the induced map of
stalks π♯ : OY,q → OX,p (Exercise 7.2.E) sends the maximal ideal mY,q of the former
into the maximal ideal mX,p of the latter (a “morphism of local rings”). (Note
in particular that locally ringed spaces form a category.) This means something
rather concrete and intuitive: “if p 7→ q, and g is a function vanishing at q, then it
will pull back to a function vanishing at p.” You would also want: “if p 7→ q, and
g is a function not vanishing at q, then it will pull back to a function not vanishing
at p.” This is a consequence of the following exercise.
7.3.A. E XERCISE ( VALUES OF FUNCTIONS ON LOCALLY RINGED SPACES PULL BACK ).
If π : X → Y is a morphism of locally ringed spaces, and π(p) = q, show that π
induces an inclusion κ(q) ,→ κ(p) of residue fields. This captures the fact pull-
back sends the locus where a function is zero (respecively, nonzero) to the locus
where the pulled back function is zero (respectively, nonzero). In particular, by
Exercise 4.3.F(b), the pullback of invertible functions are invertible functions.
To summarize: we use the notion of locally ringed space only to define mor-
phisms of schemes, and to show that morphisms have reasonable properties. The
main things you need to remember about locally ringed spaces are (i) that the
functions have values at points, and (ii) that given a map of locally ringed spaces,
values of functions “pull back”, and in particular, zeros of functions “pull back”.
7.3.B. E XERCISE . Show that morphisms of locally ringed spaces glue (cf. Exer-
cise 7.2.A). (Hint: your solution to Exercise 7.2.A may work without change.)
7.3.C. E ASY IMPORTANT EXERCISE .
Recall (§4.3.7) that Spec A is a locally ringed space. Show that the morphism of
ringed spaces π : Spec A → Spec B defined by a ring morphism π♯ : B → A (Exer-
cise 7.2.F) is a morphism of locally ringed spaces.
7.3.2. Key Proposition. — If π : Spec A → Spec B is a morphism of locally ringed
spaces then it is the morphism of locally ringed spaces induced by the map π♯ : B =
Γ (Spec B, OSpec B ) → Γ (Spec A, OSpec A ) = A as in Exercise 7.3.C.
(Aside: Exercise 4.3.A is a special case of Key Proposition 7.3.2. You should
look back at your solution to Exercise 4.3.A, and see where you implicitly used
ideas about locally ringed spaces.)
Proof. Suppose π : Spec A → Spec B is a morphism of locally ringed spaces. We
wish to show that it is determined by its map on global sections π♯ : B → A. We
first need to check that the map of points is determined by global sections. Now
a point p of Spec A can be identified with the prime ideal of global functions van-
ishing on it. The image point π(p) in Spec B can be interpreted as the unique point
q of Spec B, where the functions vanishing at q are precisely those that pull back
to functions vanishing at p. (Here we use the fact that π is a map of locally ringed
spaces.) This is precisely the way in which the map of sets Spec A → Spec B in-
duced by a ring map B → A was defined (§3.2.10).
Note in particular that if b ∈ B, π−1 (D(b)) = D(π♯ b), again using the hypoth-
esis that π is a morphism of locally ringed spaces.
206 The Rising Sea: Foundations of Algebraic Geometry
It remains to show that π♯ : OSpec B → π∗ OSpec A is the morphism of sheaves
given by Exercise 7.2.F (cf. Exercise 7.3.C). It suffices to check this on the distin-
guished base (Exercise 2.5.C(a)). We now want to check that for any map of locally
ringed spaces inducing the map of sheaves OSpec B → π∗ OSpec A , the map of sec-
tions on any distinguished open set D(g) ⊂ Spec B (g ∈ B)is determined by the
map of global sections B → A.
Consider the commutative diagram
π♯Spec B
B Γ (Spec B, OSpec B ) / Γ (Spec A, OSpec A ) A
resSpec B,D(b) resSpec A,D(π♯ b)
π♯D(g)
Bg Γ (D(g), OSpec B ) / Γ (D(π♯ g), OSpec A ) Aπ♯ g = A ⊗B Bg .
The vertical arrows (restrictions to distinguished open sets) are localizations by
g, so the lower horizontal map π♯D(g) is determined by the upper map (it is just
localization by g). □
We are ready for our definition.
7.3.3. Definition. If X and Y are schemes, then a morphism π : X → Y as locally
ringed spaces is called a morphism of schemes. We have thus defined the category
of schemes, which we denote Sch. (We then have notions of isomorphism — just
the same as before, §4.3.1 — and automorphism. The target Y of π is sometimes
called the base scheme or the base, when we are interpreting π as a “family of
schemes parametrized by Y” — this may become clearer once we have defined the
fibers of morphisms in §10.3.2.)
The definition in terms of locally ringed spaces easily implies Tentative Defi-
nition 7.2.2:
7.3.D. I MPORTANT E XERCISE . Show that a morphism of schemes π : X → Y is
a morphism of ringed spaces that looks locally like morphisms of affine schemes.
Precisely, if Spec A is an affine open subset of X and Spec B is an affine open subset
of Y, and π(Spec A) ⊂ Spec B, then the induced morphism of ringed spaces is a
morphism of affine schemes. (In case it helps, note: if W ⊂ X and Y ⊂ Z are both
open embeddings of ringed spaces, then any morphism of ringed spaces X → Y
induces a morphism of ringed spaces W → Z, by composition W → X → Y → Z.)
Show that it suffices to check on a set (Spec Ai , Spec Bi ) where the Spec Ai form
an open cover of X and the Spec Bi form an open cover of Y.
In practice, we will use the affine cover interpretation, and forget completely
about locally ringed spaces. In particular, put imprecisely, the category of affine
schemes is the category of rings with the arrows reversed. More precisely:
7.3.E. E XERCISE . Show that the category of rings and the opposite category of
affine schemes are equivalent (see §1.2.16 and §1.2.21 to read about opposite and
equivalent categories, respectively).
In particular, there can be many different maps from one point to another! For
example, here are two different maps from the point Spec C to the point Spec C: the
April 1, 2023 draft 207
identity (corresponding to the identity C → C), and complex conjugation. (There
are even more such maps!)
It is clear (from the corresponding facts about locally ringed spaces) that mor-
phisms of schemes glue (Exercise 7.3.B), and the composition of two morphisms is
a morphism. Isomorphisms in this category are precisely what we defined them
to be earlier (§4.3.7).
7.3.F. E NLIGHTENING E XERCISE . (This exercise can give you some practice with
understanding morphisms of schemes by cutting up into affine open sets.) Make
sense of the following sentence: “Akn+1 \ {⃗0} → Pn
k given by
(x0 , x1 , . . . , xn ) 7→ [x0 , x1 , . . . , xn ]
is a morphism of schemes.” Caution: you can’t just say where points go; you have
to say where functions go. So you may have to divide these up into affines, and
describe the maps, and check that they glue. (Can you generalize to the case where
k is replaced by a general ring B? See Exercise 7.3.O for an answer.)
7.3.4. Morphisms to affine schemes.
The following result shows that it is easy to describe morphisms to an affine
scheme without working hard to cover the source with affine open sets.
7.3.G. E SSENTIAL EXERCISE . Show that morphisms X → Spec A are in natural
bijection with ring morphisms A → Γ (X, OX ). Hint: Show that this is true when X
is affine. Use the fact that morphisms glue, Exercise 7.3.B. (This is even true in the
category of locally ringed spaces. You are free to prove it in this generality, but it
is easier in the category of schemes.)
In particular, there is a canonical morphism from a scheme to Spec of its ring of
global sections. (Warning: Even if X is a finite type k-scheme, the ring of global sec-
tions might be nasty! In particular, it might not be finitely generated, see 19.11.13.)
The canonical morphism X → Spec Γ (X, OX ) is an isomorphism if and only if X is
affine (i.e., isomorphic to Spec A for some ring A), and in this case it is the isomor-
phism hinted at in Remark 4.3.2.
7.3.H. E ASY E XERCISE . If S• is a finitely generated graded A-algebra, describe a
natural “structure morphism” Proj S• → Spec A.
7.3.5. Remark. From Essential Exercise 7.3.G, it is one small step to show that some
products of schemes exist: if A and B are rings, then Spec A × Spec B = Spec(A ⊗Z
B); and if A and B are C-algebras, then Spec A ×Spec C Spec B = Spec(A ⊗C B). But
we are in no hurry, so we wait until Exercise 10.1.A to discuss this properly.
7.3.6. ⋆⋆ Side fact for experts: Γ and Spec are adjoints. We have a contravariant
functor Spec from rings to locally ringed spaces, and a contravariant functor Γ
from locally ringed spaces to rings. In fact (Γ, Spec) is an adjoint pair! (Caution:
we have only discussed adjoints for covariant functors; if you care, you will have
to figure out how to define adjoints for contravariant functors.) Thus we could
have defined Spec by requiring it to be right-adjoint to Γ . (Fun but irrelevant side
question: if you used ringed spaces rather than locally ringed spaces, Γ again has
a right adjoint. What is it?)
208 The Rising Sea: Foundations of Algebraic Geometry
Our ability to easily describe morphisms to affine schemes will allow us to
revisit our earlier discussions of schemes over a given field or ring (§5.3.6).
7.3.7. The category of complex schemes (or more generally the category of k-
schemes where k is a field, or more generally the category of A-schemes where
A is a ring, or more generally the category of S-schemes where S is a scheme).
The category of S-schemes SchS (where S is a scheme) is defined as follows. The
objects (S-schemes) are morphisms of the form
S
(The morphism to S is called the structure morphism. A motivation for this termi-
nology is the fact that if S = Spec A, the structure morphism gives the functions
on each open set of X the structure of an A-algebra, cf. §5.3.6.) The morphisms in
the category of S-schemes are defined to be commutative diagrams
X /Y
S
= /S
which is more conveniently written as a commutative diagram
X> /Y
>>
>>
>>
>
S
When there is no confusion (if the base scheme is clear), simply the top row of
the diagram is given. In the case where S = Spec A, where A is a ring, we get
the notion of an A-scheme, which is the same as the same definition as in §5.3.6
(Exercise 7.3.I), but in a more satisfactory form. For example, complex geometers
may consider the category of C-schemes.
7.3.I. E ASY E XERCISE . Show that this definition of A-scheme given in §7.3.7 agrees
with the earlier definition of §5.3.6.
7.3.J. E ASY E XERCISE . Show that Spec Z is the final object in the category of
schemes. In other words, if X is any scheme, there exists a unique morphism
to Spec Z. (Hence the category of schemes is isomorphic to the category of Z-
schemes.) If A is any ring (for example, a field k), show that Spec A is the final
object in the category of A-schemes.
7.3.8. Coproducts of schemes.
7.3.K. E ASY
⨿ E XERCISE . Suppose X and Y are schemes. Show that their disjoint
union X Y (defined in Exercise 4.3.E) is the coproduct of X⨿and Y in the cate-
gory of schemes, justifying the use of the coproduct symbol . (See §3.6.3 for a
surprising connection to idempotents.)
April 1, 2023 draft 209
7.3.9. Morphisms from (some) affine schemes.
Morphisms from affine schemes are not quite as simple as morphisms to affine
schemes, but some cases are worth pointing out.
7.3.L. E XERCISE .
(a) Suppose p is a point of a scheme X. Describe a canonical (choice-free) morphism
Spec OX,p → X. (Hint: do this for affine X first. But then for general X be sure to
show that your morphism is independent of choice.)
(b) Define a canonical morphism Spec κ(p) → X. (This is often written p → X; one
gives p the obvious interpretation as a scheme, Spec κ(p).)
7.3.M. E XERCISE ( MORPHISMS FROM Spec OF A LOCAL RING TO X). Suppose
X is a scheme, and (A, m) is a local ring. Suppose we have a scheme morphism
π : Spec A → X sending [m] to p. Show that any open set containing p contains the
image of π. Show that there is a bijection between Mor(Spec A, X) and
{(p ∈ X, local homomorphisms OX,p → A)} .
(Possible hint: Exercise 7.3.L(a).)
These exercises lead us to the notion of field-valued points, and more generally
ring-valued points, and more generally still, scheme-valued points.
7.3.10. Definition: The functor of points, and scheme-valued points (and ring-
valued points, and field-valued points) of a scheme. If Z is a scheme, then
Z-valued points of a scheme X, denoted X(Z), are defined to be maps Z → X. If A
is a ring, then A-valued points of a scheme X, denoted X(A), are defined to be the
(Spec A)-valued points of the scheme. (The most common case of this is when A
is a field.)
If you are working over a base scheme B — for example, complex algebraic
geometers will consider only schemes and morphisms over B = Spec C — then in
the above definition, there is an implicit structure map Z → B (or Spec A → B in
the case of X(A)). For example, for a complex geometer, if X is a scheme over C,
the C(t)-valued points of X correspond to commutative diagrams of the form
Spec C(t) /X
KKK zz
KKK zz
K
ξ KKK zzzπ
% |zz
Spec C
where π : X → Spec C is the structure map for X, and ξ corresponds to the obvious
inclusion of rings C → C(t). (Warning: a k-valued point of a k-scheme X is some-
times called a “rational point” of X, which is dangerous, as for most of the world,
“rational” refers to Q. We will use the safer phrase “k-valued point” of X. Another
safe choice is “k-rational point” of X or k-point.)
The terminology “Z-valued point” (and A-valued point) is unfortunate, be-
cause we earlier defined the notion of points of a scheme, and Z-valued points
(and A-valued points) are not (necessarily) points! But these usages are well-
established in the literature. (Look in the index under “point” to see even more
inconsistent use of adjectives that modify this word.)
210 The Rising Sea: Foundations of Algebraic Geometry
7.3.N. E XERCISE .
(a) (easy) Show that a morphism of schemes X → Y induces a map of Z-valued
points X(Z) → Y(Z).
(b) Note that morphisms of schemes X → Y are not determined by their “underly-
ing” map of points. (What is an example?) Show that they are determined by their
induced maps of Z-valued points, as Z varies over all schemes. (Hint: pick Z = X.
In the course of doing this exercise, you will largely prove Yoneda’s Lemma in the
guise of Exercise 10.1.B.)
7.3.11. Furthermore, we will see that “products of Z-valued points” behave as
you might hope (§10.1.3). A related reason this language is suggestive: the no-
tation X(Z) suggests the interpretation of X as a (contravariant) functor hX from
schemes to sets — the functor of (scheme-valued) points of the scheme X (cf. Ex-
ample 1.2.20).
Here is a low-brow reason A-valued points are a useful notion: the A-valued
points of an affine scheme Spec Z[x1 , . . . , xn ]/(f1 , . . . , fr ) (where fi ∈ Z[x1 , . . . , xn ] are
relations) are precisely the solutions to the equations
f1 (x1 , . . . , xn ) = · · · = fr (x1 , . . . , xn ) = 0
in the ring A. For example, the rational solutions to x2 + y2 = 16 are precisely the
Q-valued points of Spec Z[x, y]/(x2 + y2 − 16). The integral solutions are precisely
the Z-valued points. So A-valued points of an affine scheme (finite type over Z)
can be interpreted simply. In the special case where A is local, A-valued points of
a general scheme have a good interpretation too (Exercises 7.3.L and 7.3.M).
On the other hand, Z-valued points of projective space can be subtle. There
are some maps we can write down easily, as shown by applying the next exercise
in the case X = Spec A, where A is a B-algebra.
7.3.O. E ASY ( BUT SURPRISINGLY ENLIGHTENING ) E XERCISE ( CF. E XERCISE 7.3.F).
(a) Suppose B is a ring. If X is a B-scheme, and f0 , . . . , fn are n + 1 functions on X
with no common zeros, then show that [f0 , . . . , fn ] gives a morphism of B-schemes
X → Pn B.
(b) Suppose g is a nowhere vanishing function on X, and fi are as in part (a). Show
that the morphisms [f0 , . . . , fn ] and [gf0 , . . . , gfn ] to Pn
B are the same.
7.3.12. Example (Exercise 7.3.F revisited). Consider the n + 1 functions x0 , . . . , xn
on An+1 (otherwise known as n + 1 sections of the trivial bundle). They have no
common zeros on An+1 − {⃗0}. Hence they determine a morphism An+1 − {⃗0} → Pn .
7.3.13. You might hope that Exercise 7.3.O(a) gives all morphisms to projective
space (over B). But this isn’t the case. Indeed, even the identity morphism X =
P1k → P1k isn’t of this form, as the source P1 has no nonconstant global functions
with which to build this map. (There are similar examples with an affine source.)
However, there is a correct generalization (characterizing all maps from schemes
to projective schemes) in Theorem 15.2.2. This result roughly states that this works,
so long as the fi are not quite functions, but sections of a line bundle. Our desire
to understand maps to projective schemes in a clean way will be one important
motivation for understanding line bundles.
April 1, 2023 draft 211
We will see more ways to describe maps to projective space in the next section.
A different description directly generalizing Exercise 7.3.O(a) will be given in Exer-
cise 15.2.A, which will turn out (in Theorem 15.2.2) to be a “universal” description.
Incidentally, before Grothendieck, it was considered a real problem to figure
out the right way to interpret points of projective space with “coordinates” in a
ring. These difficulties were due to a lack of functorial reasoning. And the clues
to the right answer already existed (the same problems arise for maps from a man-
ifold to RPn ) — if you ask such a geometric question (for projective space is geo-
metric), the answer is necessarily geometric, not purely algebraic!
7.3.14. Visualizing morphisms: Picturing maps of schemes when nilpotents are present.
You now know how to visualize the points of schemes (§3.3), and nilpotents (§4.2
and §6.6). The following imprecise exercise will give you some sense of how to vi-
sualize maps of schemes when nilpotents are involved. Suppose a ∈ C. Consider
the map of rings C[x] → C[ϵ]/(ϵ2 ) given by x 7→ aϵ. Recall that Spec C[ϵ]/(ϵ2 )
may be pictured as a point with a tangent vector (§4.2). How would you picture
this map if a ̸= 0? How does your picture change if a = 0? (The tangent vector
should be “crushed” in this case.)
Exercise 13.1.G will extend this considerably. You may enjoy reading its state-
ment now.
7.3.15. ⋆⋆ For readers with appropriate background: Analytification of complex
algebraic varieties. Warning: Any discussion of analytification is only for read-
ers who are familiar with the notion of complex analytic varieties, or willing to
develop it on their own in parallel with our development of schemes.
7.3.P. E XERCISE ( ANALYTIFYING COMPLEX ALGEBRAIC VARIETIES ). Suppose X is
a reduced, finite type C-scheme. Define the corresponding complex analytic pre-
variety Xan . (The definition of an analytic prevariety is the same as the definition
of a variety without the Hausdorff condition.) Caution: your definition should
not depend on a choice of an affine cover of X. (Hint: First explain how to ana-
lytify reduced finite type affine C-schemes. Then glue.) Give a bijection between
the closed points of X and the points of Xan , using the weak Nullstellensatz 3.2.5.
(In fact one may construct a continuous map of sets Xan → X generalizing Exer-
cise 3.2.I.)
7.3.Q. E XERCISE ( THE ANALYTIFICATION FUNCTOR ). Recall the analytification
construction of Exercise 7.3.16. For each morphism of reduced finite type C-schemes
π : X → Y (over C), define a morphism of complex analytic prevarieties πan : Xan →
Yan (the analytification of π). Show that analytification gives a functor from the
category of reduced finite type C-schemes to the category of complex analytic pre-
varieties.
7.3.16. Remark. Two nonisomorphic varieties can have isomorphic analytifica-
tions. For example, Serre described two different algebraic structures on the com-
plex manifold C∗ × C∗ , see [Ha2, p. 232] and [MO68421]; one is “the obvious one”,
and the other is a P1 -bundle over an elliptic curve, with a section removed. For
an example of a smooth complex surface with infinitely many algebraic structures,
see §19.11.3. On the other hand, a compact complex variety can have only one
algebraic structure (see [Se3, §19]).
212 The Rising Sea: Foundations of Algebraic Geometry
7.3.17. Further facts about analytification. For more on analytification, see Exer-
cises 11.3.K (Hausdorffness), 14.2.J, 18.4.H, 18.4.T (line bundles), 18.6.5, 20.1.7 (de-
gree), 21.3.B (manifolds). For background on complex analytic spaces, see [GR].
7.4 Maps of graded rings and maps of projective schemes
As maps of rings correspond to maps of affine schemes in the opposite direc-
tion, maps of graded rings (over a base ring A) sometimes give maps of projective
schemes in the opposite direction. This is an imperfect generalization: not every
map of graded rings gives a map of projective schemes (§7.4.2); not every map
of projective schemes comes from a map of graded rings (§19.11.9); and different
maps of graded rings can yield the same map of schemes (Exercise 7.4.C).
You may find it helpful to think through Examples 7.4.1 and 7.4.2 while work-
ing through the following exercise.
7.4.A. E SSENTIAL EXERCISE . Suppose that ϕ : S• / R• is a morphism of (Z≥0 -
)graded rings. (By map of graded rings, we mean a map of rings that preserves
the grading as a map of “graded semigroups” (or “graded monoids”). In other
words, there is a d > 0 such that Sn maps to Rdn for all n.) Show that this induces
a morphism of schemes
(Proj R• ) \ V(ϕ(S+ )) → Proj S• .
(Hint: Suppose f is a homogeneous element of S+ . Define a map D(ϕ(f)) → D(f).
Show that they glue together (as f runs over all homogeneous elements of S+ ).
Show that this defines a map from all of Proj R• \ V(ϕ(S+ )).) In particular, if
([Link]) V(ϕ(S+ )) = ∅,
then we have a morphism Proj R• → Proj S• . From your solution, it will be clear
that if ϕ is furthermore a morphism of A-algebras, then the induced morphism
Proj R• \ V(ϕ(S+ )) → Proj S• is a morphism of A-schemes.
7.4.1. Example. Let’s see Exercise 7.4.A in action. We will scheme-theoretically
interpret the map of complex projective manifolds CP1 to CP2 given by
CP1 / CP2
[s, t] / [s20 , s9 t11 , t20 ]
Notice first that this is well-defined: [λs, λt] is sent to the same point of CP2 as
[s, t]. The reason for it to be well-defined is that the three polynomials s20 , s9 t11 ,
and t20 are all homogeneous of degree 20.
Algebraically, this corresponds to a map of graded rings in the opposite direc-
tion
C[x, y, z] → C[s, t]
given by x 7→ s20 , y 7→ s9 t11 , z 7→ t20 . You should interpret this in light of your
solution to Exercise 7.4.A, and compare this to the affine example of §3.2.11.
April 1, 2023 draft 213
7.4.2. Example. Notice that there is no map of complex manifolds CP2 → CP1
given by [x, y, z] 7→ [x, y], because the map is not defined when x = y = 0. This
corresponds to the fact that the map of graded rings C[s, t] → C[x, y, z] given by
s 7→ x and t 7→ y, doesn’t satisfy hypothesis ([Link]).
√
7.4.B. E XERCISE . Show that if ϕ : S• → R• satisfies (ϕ(S+ )) = R+ , then hypoth-
esis ([Link]) is satisfied. (Hint: Exercise 4.5.L.) This algebraic formulation of the
more geometric hypothesis can sometimes be easier to verify.
7.4.C. U NIMPORTANT EXERCISE . This exercise shows that different maps of
graded rings can give the same map of schemes. Let R• = k[x, y, z]/(xz, yz, z2 )
and S• = k[a, b, c]/(ac, bc, c2 ), where every variable has degree 1. Show that
∼ Proj S• =
Proj R• = ∼ P1 . Show that the maps S• → R• given by (a, b, c) 7→ (x, y, z)
k
and (a, b, c) 7→ (x, y, 0) give the same (iso)morphism Proj R• → Proj S• . (The real
reason is that all of these constructions are insensitive to what happens in a finite
number of degrees. This will be made precise in a number of ways later, most
immediately in Exercise 7.4.F.)
7.4.3. Unimportant remark. Exercise 15.2.K shows that not every morphism of
schemes Proj R• → Proj S• comes from a map of graded rings S• → R• , even in
quite reasonable circumstances.
7.4.4. Veronese subrings.
Here is a useful construction. Suppose S• is a finitely generated graded ring.
Define the nth Veronese subring of S• by Sn• = ⊕∞ j=0 Snj . (The “old degree” n is
“new degree” 1.) The geometric interpretation of this construction is the important
Veronese embedding, discussed in §9.3.6.
7.4.D. E XERCISE . Show that the map of graded rings Sn• ,→ S• induces an iso-
∼
morphism Proj S• −→ Proj Sn• . (Hint: if f ∈ S+ is homogeneous of degree divisible
by n, identify D(f) on Proj S• with D(f) on Proj Sn• . Why do such distinguished
open sets cover Proj S• ?)
7.4.E. E XERCISE . If S• is generated in degree 1, show that Sn• is also generated in
degree 1. (You may want to consider the case of the polynomial ring first.)
7.4.F. E XERCISE . Show that if R• and S• are the same finitely generated graded
∼
rings except in a finite number of nonzero degrees (make this precise!), then Proj R• =
Proj S• .
7.4.G. E XERCISE . Suppose S• is generated over S0 by f1 , . . . , fn . Find a d such that
Sd• is finitely generated in “new” degree 1 (= “old” degree d). (This is surprisingly
tricky, so here is a hint. Suppose there are generators x1 , . . . , xn of degrees d1 , . . . ,
Show that any monomial xa 1 · · · xn of degree at least nd1 . . . dn
an
dn respectively.
∏
1
has ai ≥ ( j dj )/di for some i. Show that the (nd1 . . . dn )th Veronese subring is
generated by elements in “new” degree 1.)
Exercise 7.4.G, in combination with Exercise 7.4.D, shows that there is little
harm in assuming that finitely generated graded rings are generated in degree 1,
as after a regrading (or more precisely, keeping only terms of degree a multiple of
d, then dividing the degree by d), this is indeed the case. This is handy, as it means
214 The Rising Sea: Foundations of Algebraic Geometry
that, using Exercise 7.4.D, we can assume that any finitely generated graded ring
is generated in degree 1. Exercise 9.3.F will later imply as a consequence that we
can embed every Proj in some projective space.
7.4.H. L ESS IMPORTANT EXERCISE . Suppose S• is a finitely generated graded ring.
Show that Sn• is a finitely generated graded ring. (Possible approach: use the
previous exercise, or something similar, to show there is some N such that SnN• is
generated in degree 1, so the graded ring SnN• is finitely generated. Then show
that for each 0 < j < N, SnN•+nj is a finitely generated module over SnN• .)
7.5 Rational maps from reduced schemes
Informally speaking, a “rational map” is “a morphism defined almost every-
where”, much as a rational function (Definition 6.6.36, Exercise 5.2.I) is a name for a
function defined almost everywhere. We will later see that in good situations, just
as with rational functions, where a rational map is defined, it is uniquely defined
(the Reduced-to-Separated Theorem 11.4.2), and has a largest “domain of definition”
(§11.4.3). For this section only, we assume X to be reduced. A key example will be
irreducible varieties (§7.5.6), and the language of rational maps is most often used
in this case.
7.5.1. Definition. A rational map π of reduced schemes, from X to Y, denoted
π : X 99K Y, is the data of a morphism α : U → Y from a dense open set U ⊂ X, with
the equivalence relation (α : U → Y) ∼ (β : V → Y) if there is a dense open set Z ⊂
U ∩ V such that α|Z = β|Z . (In §11.4.3, we will improve this to: if α|U∩V = β|U∩V
in good circumstances — when Y is separated.) People often use the word “map”
for “morphism”, which is quite reasonable, except that a rational map need not be
a map. So to avoid confusion, when one means “rational map”, one should never
just say “map”.
We will also discuss rational maps of S-schemes for a scheme S. The definition
is the same, except now X and Y are S-schemes, and α : U → Y is a morphism of
S-schemes.
7.5.2. ⋆ Rational maps more generally. Just as with rational functions, Definition 7.5.1
can be extended to where X is not reduced, as is (using the same name, “rational
map”), or in a version that imposes some control over what happens over the
nonreduced locus (pseudo-morphisms, [Stacks, tag 01RX]). We will see in §11.4 that
rational maps from reduced schemes to separated schemes behave particularly
well, which is why they are usually considered in this context. The reason for
the definition of pseudo-morphisms is to extend these results to when X is nonre-
duced. We will not use the notion of pseudo-morphism.
7.5.3. An obvious example of a rational map is a morphism. Another important
example is the projection Pn A 99K PA
n−1
given by [x0 , · · · , xn ] 7→ [x0 , · · · , xn−1 ].
(How precisely is this a rational map in the sense of Definition 7.5.1?)
7.5.A. E XERCISE . Suppose X is a reduced scheme. Describe how rational maps
X 99K A1 should be identified with rational functions on X.
April 1, 2023 draft 215
A rational map π : X 99K Y is dominant (or in some sources, dominating) if
for some (and hence every) representative U → Y, the image is dense in Y. A
morphism is a dominant morphism (or dominating morphism) if it is dominant as
a rational map.
7.5.B. E XERCISE . Show that a rational map π : X 99K Y of irreducible schemes is
dominant if and only if π sends the generic point of X to the generic point of Y.
A little thought will convince you that you can compose (in a well-defined
way) a dominant map π : X 99K Y from an irreducible scheme X to an irreducible
scheme Y with a rational map ρ : Y 99K Z. Furthermore, the composition ρ ◦ π
will be dominant if ρ is dominant. Integral schemes and dominant rational maps
between them form a category which is geometrically interesting.
7.5.C. E ASY E XERCISE . Show that dominant rational maps of integral schemes
give morphisms of function fields in the opposite direction.
In “suitably classical situations” (integral finite type k-schemes — and in par-
ticular, irreducible varieties, to be defined in §11.3.9) — this is reversible: dominant
rational maps correspond to inclusions of function fields in the opposite direction.
We make this precise in §7.5.6 below. But it is not true that morphisms of function
fields always give dominant rational maps, or even rational maps. For example,
Spec k[x] and Spec k(x) have the same function field k(x), but there is no corre-
sponding rational map Spec k[x] 99K Spec k(x) of k-schemes. Reason: such a ra-
tional map would correspond to a morphism from an open subset U of Spec k[x],
say Spec k[x, 1/f(x)], to Spec k(x). But there is no map of rings k(x) → k[x, 1/f(x)]
(sending k identically to k and x to x) for any one f(x).
(If you want more evidence that the topologically-defined notion of domi-
nance is simultaneously algebraic, you can show that if ϕ : A → B is a ring mor-
phism, then the corresponding morphism Spec B → Spec A is dominant if and
only if ϕ has kernel contained in the nilradical of A.)
7.5.4. Definition. A rational map π : X 99K Y is said to be birational if it is dominant,
and there is another rational map (a “rational inverse”) ψ that is also dominant,
such that π ◦ ψ is (in the same equivalence class as) the identity on Y, and ψ ◦
π is (in the same equivalence class as) the identity on X. This is the notion of
isomorphism in the category of integral schemes and dominant rational maps. (In
the differentiable category, this is not particularly interesting.) A morphism is a
birational morphism if it is birational as a rational map. (Note that the “inverse”
to a birational morphism may be only a rational map, not a morphism.)
We say X and Y are birational (to each other) if there exists a birational map
X 99K Y. If X and Y are irreducible, then birational maps induce isomorphisms
of function fields. The fact that maps of function fields correspond to rational
maps in the opposite direction for integral finite type k-schemes, to be proved in
Proposition 7.5.7, shows that a map between integral finite type k-schemes that
induces an isomorphism of function fields is birational. An integral finite type
k-scheme is said to be rational if it is birational to An
k for some n.
7.5.5. Proposition. — Suppose X and Y are reduced schemes. Then X and Y are bira-
tional if and only if there is a dense open subscheme U of X and a dense open subscheme V
of Y such that U =∼ V.
216 The Rising Sea: Foundations of Algebraic Geometry
(We have “integral” hypotheses for simplicity. The hypotheses can be dropped
with sufficient care and modified definitions.)
Proposition 7.5.5 tells you how to think of birational maps. Just as a rational
map is a “mostly-defined function”, two birational reduced schemes are “mostly
isomorphic”. For example, a reduced finite type k-scheme (such as an affine k-
variety) is rational if and only if it has a dense open subscheme isomorphic to an
open subscheme of An k.
Proof. The “if” direction is immediate, so we prove the “only if” direction. We
basically follow our nose, and use what we are given (see Figure 7.1).
f g◦f g◦f
=id as: g f◦g f◦g
=id as:
∼
rat’l rat’l rat’l
XO ^=_o _ _/ @ YO rat’l rat’l rat’l
map map map == map map map
==
===
? =
morphism ? morphism
” ” XO 1 @YO 1 ” ”
?
morphism
” ” XO 2
? ?
” ” morphism
XO 3 o YO 2 ” morphism
”
?
X4 o
∼ / Y? 3 ” ” morphism
F IGURE 7.1. Outline of the proof of Proposition 7.5.5
We have inverse rational maps F : X 99K Y and G : Y 99K X. Choose repre-
sentative morphisms f : X1 → Y (where X1 ⊂ X) and g : Y1 → X (where Y1 ⊂ Y)
for the rational maps F and G respectively. If X2 = (f|X1 )−1 (Y1 ) ⊂ X1 , then g ◦ f
is a morphism from X2 to X that is the identity as a rational map. Thus there is a
dense open subset X3 ⊂ X2 such that the morphism g ◦ f : X3 → X is the identity
morphism onto X3 (or more precisely, it is the open embedding X3 ,→ X).
Similarly, let Y2 = (g|Y1 )−1 (X3 ) ⊂ Y1 , so f ◦ g is a morphism from Y2 to Y that
is the identity as a rational map. Then let Y3 ⊂ Y2 be a dense open subset such that
f ◦ g : Y3 → Y is the inclusion (the “identity”).
Finally, if X4 = (f|X3 )−1 (Y3 ) ⊂ X3 , then (g ◦ f)|X4 is the identity morphism on
X4 (by way of Y3 ), and (f ◦ g)|Y3 is the identity morphism on Y3 (by way of X4 ),
so we have found our isomorphism of open sets that is a “representative” for our
birational map. □
7.5.6. Rational maps of irreducible varieties.
April 1, 2023 draft 217
7.5.7. Proposition. — Suppose X is an integral k-scheme and Y is an integral finite type
k-scheme, and we are given an extension of function fields ϕ♯ : K(Y) ,→ K(X) preserving
k. Then there exists a dominant rational map of k-schemes ϕ : X 99K Y inducing ϕ♯ .
Proof. By replacing Y with an open subset, we may assume that Y is affine, say
Spec B, where B is generated over k by finitely many elements y1 , . . . , yn . Since
we only need to define ϕ on an open subset of X, we may similarly assume that
X = Spec A is affine. Then ϕ♯∏ gives an inclusion ϕ♯ : B ,→ K(A). Write ϕ♯ (yi ) as
fi /gi (fi , gi ∈ A), and let g := gi . Then ϕ♯ further induces an inclusion B ,→ Ag .
Therefore ϕ : Spec Ag → Spec B induces ϕ♯ . The morphism ϕ is dominant because
the inverse image of the zero ideal under the inclusion B ,→ Ag is the zero ideal,
so ϕ takes the generic point of X to the generic point of Y. □
7.5.D. E XERCISE . Let K be a finitely generated field extension of k. (Recall that a
field extension K over k is finitely generated if there is a finite “generating set” x1 ,
. . . , xn in K such that every element of K can be written as a rational function in x1 ,
. . . , xn with coefficients in k.) Show that there exists an irreducible affine k-variety
with function field K. (Hint: Consider the map k[t1 , . . . , tn ] → K given by ti 7→ xi ,
and show that the kernel is a prime ideal p, and that k[t1 , . . . , tn ]/p has fraction
field K. Interpreted geometrically: consider the map Spec K → Spec k[t1 , . . . , tn ]
given by the ring map ti 7→ xi , and take the closure of the one-point image.)
7.5.E. E XERCISE . Describe equivalences of categories among the following.
(a) the category with objects “integral affine k-varieties”, and morphisms “dom-
inant rational maps defined over k”; and
(b) the opposite (“arrows-reversed”) category with objects “finitely gener-
ated field extensions of k”, and morphisms “inclusions extending the
identity on k”.
(Once we define varieties in general in §11.3.9, you can add in: (c) the category with
objects “integral k-varieties”, and morphisms “dominant rational maps defined
over k”.)
In particular, an integral affine k-variety X is rational if its function field K(X)
is a purely transcendental extension of k, i.e., K(X) = ∼ k(x1 , . . . , xn ) for some n.
(This needs to be said more precisely: the map k ,→ K(X) induced by X → Spec k
should agree with the “obvious” map k ,→ k(x1 , . . . , xn ) under this isomorphism.)
7.5.8. More examples of rational maps.
A recurring theme in these examples is that domains of definition of rational
maps to projective schemes extend over regular codimension one points. We will
make this precise in the Curve-to-Projective Extension Theorem 15.3.1, when we
discuss curves.
The first example is the classical formula for Pythagorean triples, and its deriva-
tion by ”stereographic projection”. Suppose you are looking for rational points on
the circle C given by x2 +y2 = 1 (Figure 7.2). One rational point is p = (1, 0). If q is
another rational point, then pq is a line of rational (non-infinite) slope. This gives
a rational map from the conic C (now interpreted as Spec Q[x, y]/(x2 + y2 − 1))
to A1Q , given by (x, y) 7→ y/(x − 1). (Something subtle just happened: we were
talking about Q-points on a circle, and ended up with a rational map of schemes.)
218 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 7.2. Finding primitive Pythagorean triples using geometry
Conversely, given a line of slope m through p, where m is rational, we can recover
q by solving the equations y = m(x − 1), x2 + y2 = 1. We substitute the first equa-
tion into the second, to get a quadratic equation in x. We know that we will have
a solution x = 1 (because the line meets the circle at (x, y) = (1, 0)), so we expect
to be able to factor this out, and find the other factor. This indeed works:
x2 + (m(x − 1))2 = 1
=⇒ (m2 + 1)x2 + (−2m2 )x + (m2 − 1) = 0
=⇒ (x − 1)((m2 + 1)x − (m2 − 1)) = 0
The other solution is x = (m2 − 1)/(m2 + 1), which gives y = −2m/(m2 + 1). Thus
we get a birational map between the conic C and A1 with coordinate m, given by
f : (x, y) 7→ y/(x − 1) (which is defined for x ̸= 1), and with inverse rational map
given by m 7→ ((m2 − 1)/(m2 + 1), −2m/(m2 + 1)) (which is defined away from
m2 + 1 = 0).
We can extend this to a rational map C 99K P1Q via the “inclusion” A1Q → P1Q
(which we later call an open embedding). Then f is given by (x, y) 7→ [y, x − 1]. We
then have an interesting question: what is the domain of definition of f? It appears
to be defined everywhere except for where y = x − 1 = 0, i.e., everywhere but p.
But in fact it can be extended over p! Note that (x, y) 7→ [x + 1, −y] (where (x, y) ̸=
(−1, 0)) agrees with f on their common domains of definition, as [x + 1, −y] =
[y, x − 1]. Hence this rational map can be extended farther than we at first thought.
This will be a special case of the Curve-to-Projective Extension Theorem 15.3.1.
7.5.F. E XERCISE . Use the above to find a “formula” yielding all Pythagorean
triples.
7.5.G. E XERCISE . Show that the conic x2 +y2 = z2 in P2k is isomorphic to P1k for any
field k of characteristic not 2. (See Exercise 4.5.S for the definition of “x2 + y2 = z2
in P2k ” if you need it.)
April 1, 2023 draft 219
7.5.9. In fact, any conic in P2k with a k-valued point (i.e., a point with residue field
k) of rank 3 (after base change to k, so “rank” makes sense, see Exercise 5.4.J) is iso-
morphic to P1k . (The hypothesis of having a k-valued point is certainly necessary:
x2 + y2 + z2 = 0 over k = R is a conic that is not isomorphic to P1k .
7.5.H. E XERCISE . Find all rational solutions to y2 = x3 +x2 , by finding a birational
map to A1Q , mimicking what worked with the conic. Hint: what point should you
project from? (In Exercise 19.10.H, we will see that these points basically form a
group, and that this is a degenerate elliptic curve.)
You will obtain a rational map to P1Q that is not defined over the node x =
y = 0, and cannot be extended over this codimension 1 set. This is an example of
the limits of our future result, the Curve-to-Projective Extension Theorem 15.3.1,
showing how to extend rational maps to projective space over codimension 1 sets:
the codimension 1 sets have to be regular.
7.5.I. E XERCISE . Use a similar idea to find a birational map from the quadric
surface Q = {x2 + y2 = w2 + z2 } ⊂ P3Q to P2Q . Use this to find all rational points
on Q. (This illustrates a good way of solving Diophantine equations. You will find
a dense open subset of Q that is isomorphic to a dense open subset of P2 , where
you can easily find all the rational points. There will be a closed subset of Q where
the rational map is not defined, or not an isomorphism, but you can deal with this
subset in an ad hoc fashion.)
7.5.J. E XERCISE ( THE C REMONA TRANSFORMATION , A USEFUL CLASSICAL CON -
STRUCTION ). Consider the rational map P2 k 99K Pk , given by [x, y, z] → [1/x, 1/y, 1/z].
2
What is the domain of definition? (It is bigger than the locus where xyz ̸= 0!) You
will observe that you can extend it over “codimension 1 sets” (ignoring the fact
that we don’t yet know what codimension means). This again foreshadows the
Curve-to-Projective Extension Theorem 15.3.1.
7.5.10. ⋆ Complex curves that are not rational (fun but inessential).
We now describe two examples of curves C that do not admit a nonconstant
rational map from P1C . (Admittedly, we do not yet know what “curve” means, but
no matter.) Both proofs are by Fermat’s method of infinite descent. These results
can be interpreted (as you will later be able to check using Theorem 16.3.3) as the
fact that these curves have no “nontrivial” C(t)-valued points, where by this, we
mean that any C(t)-valued point is secretly a C-valued point. You may notice that
if you consider the same examples with C(t) replaced by Q (and where C is a
curve over Q rather than C), you get two fundamental questions in number theory
and geometry. The analog of Exercise 7.5.M is the question of rational points on
elliptic curves, and you may realize that the analog of Exercise 7.5.K is even more
famous. Also, the arithmetic analog of Exercise 7.5.M(a) is the “Four Squares The-
orem” (there are not four integer squares in arithmetic progression), first stated
by Fermat. These examples will give you a glimpse of how and why facts over
number fields are often parallelled by facts over function fields of curves. This
parallelism is a recurring deep theme in the subject.
7.5.K. E XERCISE . If n > 2, show that P1C has no dominant rational maps to the
“Fermat curve” xn + yn = zn in P2C . Hint: reduce this to showing that there is
220 The Rising Sea: Foundations of Algebraic Geometry
no “nonconstant” solution (f(t), g(t), h(t)) to f(t)n + g(t)n = h(t)n , where f(t),
g(t), and h(t) are rational functions in t (that is, elements of C(t)). By clearing
denominators, reduce this to showing that there is no nonconstant solution where
f(t), g(t), and h(t) are relatively prime polynomials. For this, assume there is a
solution, and consider one of the lowest positive degree. Then∏n use the fact that
C[t] is a unique factorization domain, and h(t)n − g(t)n = i=1 (h(t) − ζi g(t)),
where ζ is a primitive nth root of unity. Argue that each h(t) − ζi g(t) is an nth
power. Then use
( )
(h(t) − g(t)) + α (h(t) − ζg(t)) = β h(t) − ζ2 g(t)
for suitably chosen α and β to get a solution of smaller degree. (How does this
argument fail for n = 2?)
7.5.L. E XERCISE . Give two smooth complex curves X and Y so that no nonempty
open subset of X is isomorphic to a nonempty open subset of Y. (Try not to be both-
ered by the fact that we have not yet defined “smoothness”.) Hint: Exercise 7.5.K.
7.5.M. E XERCISE . Suppose a, b, and c are distinct complex numbers. By the
following steps, show that if x(t) and y(t) are two rational functions of t such that
([Link]) y(t)2 = (x(t) − a)(x(t) − b)(x(t) − c),
then x(t) and y(t) are constants (x(t), y(t) ∈ C). (Here C may be replaced by any
field K of characteristic not 2; slight extra care is needed if K is not algebraically
closed.)
(a) Suppose P, Q ∈ C[t] are relatively prime polynomials such that four linear
combinations of them are perfect squares, no two of which are constant multi-
ples of each other. Show that P and Q are constant (i.e., P, Q ∈ C). Hint: By
renaming P and Q, show that you may assume that the perfect squares are P, Q,
P − Q, P − λQ (for some λ ∈ C). Define u and √ v to be √ square roots of P and
Q respectively. Show that u − v, u + v, u − λv, u + λv are perfect squares,
and that u and v are relatively prime. If P and Q are not both constant, note that
0 < max(deg u, deg v) < max(deg P, deg Q). Assume from the start that P and Q
were chosen as a counterexample with minimal max(deg P, deg Q) to obtain a con-
tradiction. (Aside: It is possible to have three distinct linear combinations that are
perfect squares. Such examples essentially correspond to primitive Pythagorean
triples in C(t) — can you see how?)
(b) Suppose (x, y) = (p/q, r/s) is a solution to ([Link]), where p, q, r, s ∈ C[t],
and p/q and r/s are in lowest terms. Clear denominators to show that r2 q3 =
s2 (p − aq)(p − bq)(p − cq). Show that s2 |q3 and q3 |s2 , and hence that s2 = δq3 for
some δ ∈ C. From r2 = δ(p − aq)(p − bq)(p − cq), show that (p − aq), (p − bq),
(p − cq) are perfect squares. Show that q is also a perfect square, and then apply
part (a).
A much better geometric approach to Exercises 7.5.K and 7.5.M is given in
Exercise 21.7.H.
7.6 ⋆ Representable functors and group schemes
April 1, 2023 draft 221
7.6.1. Maps to A1 correspond to functions. If X is a scheme, there is a bijection
between the maps X → A1 and global sections of the structure sheaf: by Exer-
cise 7.3.G, maps π : X → A1Z correspond to maps of rings π♯ : Z[t] → Γ (X, OX ), and
π♯ (t) is a function on X; this is reversible.
This map is very natural in an informal sense: you can even picture this map
to A1 as being given by the function. (By analogy, a function on a manifold is a
map to R.) But it is natural in a more precise sense: this bijection is functorial in X.
We will ponder this example at length, and see that it leads us to two important
sophisticated notions: representable functors and group schemes.
7.6.A. E ASY E XERCISE . Suppose X is a C-scheme. Verify that there is a natural
bijection between maps X → A1C in the category of C-schemes and functions on X.
(Here the base ring C can be replaced by any ring A.)
This interpretation can be extended to rational maps, as follows.
7.6.B. U NIMPORTANT E XERCISE . Interpret rational functions on an integral scheme
(Exercise 5.2.I)) as rational maps to A1Z .
(If you wish, you can extend your argument to rational maps on locally Noe-
therian schemes, see Definition 6.6.36.)
7.6.2. Representable functors. We restate the bijection of §7.6.1 as follows. We
have two different contravariant functors from Sch to Sets: maps to A1 (i.e., H : X 7→
Mor(X, A1Z )), and functions on X (F : X 7→ Γ (X, OX )). The “naturality” of the bijec-
tion — the functoriality in X — is precisely the statement that the bijection gives a
natural isomorphism of functors (§1.2.21): given any π : X → X ′ , the diagram
H(π)
H(X ′ ) / H(X)
F(π)
F(X ′ ) / F(X)
(where the vertical maps are the bijections given in §7.6.1) commutes.
More generally, if Y is an element of a category C (we care about the spe-
cial case C = Sch), recall the contravariant functor hY : C → Sets defined by
hY (X) = Mor(X, Y) (Example 1.2.20). We say a contravariant functor from C to
Sets is represented by Y if it is naturally isomorphic to the functor hY . We say it is
representable if it is represented by some Y.
The bijection of §7.6.1 may now be restated as: the global section functor is repre-
sented by A1 .
7.6.C. I MPORTANT E ASY E XERCISE ( REPRESENTING OBJECTS ARE UNIQUE UP TO
UNIQUE ISOMORPHISM ). Show that if a contravariant functor F is represented
∼
by Y and by Z, then we have a unique isomorphism Y −→ Z induced by the
∼
natural isomorphism of functors hY −→ hZ . Hint: this is a version of the universal
property arguments of §1.3: once again, we are recognizing an object (up to unique
isomorphism) by maps to that object. This exercise is essentially Exercise 1.3.Z(b).
(This extends readily to Yoneda’s Lemma in this setting, Exercise 10.1.B. You are
welcome to try that now.)
222 The Rising Sea: Foundations of Algebraic Geometry
You have implicitly seen this notion before: you can interpret the existence of
products and fibered products in a category as examples of representable functors.
∼
(You may wish to work out how a natural isomorphism hY×Z −→ hY ×hZ induces
the projection maps Y × Z → Y and Y × Z → Z.)
7.6.D. E XERCISE ( WARM - UP ). Suppose F is the contravariant functor Sch → Sets
defined by F(X) = {Grothendieck} for all schemes X. Show that F is representable.
(What is it representable by?)
7.6.E. E XERCISE . In this exercise, Z may be replaced by any ring.
(a) (Affine n-space represents the functor of n functions.) Show that the contravariant
functor from (Z-)schemes to Sets
X / {(f , . . . , f ) : f ∈ Γ (X, O )}
1 n i X
1 ∼
is represented by An Z . Show that AZ ×Z AZ = AZ , i.e., that A satisfies the universal
1 2 2
property of A ∑× A . (You will undoubtedly be able to immediately show that
1 1
∏ mi ∼ m
AZ ←→ AZ i .)
(b) (The functor of invertible functions is representable.) Show that the contravariant
functor from (Z-)schemes to Sets taking X to invertible functions on X is repre-
sentable by Spec Z[t, t−1 ].
7.6.3. Definition. The scheme defined in Exercise 7.6.E(b) is called the multiplica-
tive group Gm . “Gm over a field k” (“the multiplicative group over k”) means
Spec k[t, t−1 ], with the same group operations. Better: it represents the group of
invertible functions in the category of k-schemes. We can similarly define Gm over
an arbitrary ring or even arbitrary scheme.
7.6.F. L ESS IMPORTANT EXERCISE . Fix a ring A. Consider the functor H from the
category of locally ringed spaces to Sets given by H(X) = {A → Γ (X, OX )}. Show
that this functor is representable (by Spec A). This gives another (admittedly odd)
motivation for the definition of Spec A, closely related to that of §7.3.6.
7.6.4. ⋆⋆ Group schemes (or more generally, group objects in a category).
(The rest of §7.6 should be read only for entertainment.) We return again to
Example 7.6.1. Functions on X are better than a set: they form a group. (Indeed
they even form a ring, but we will worry about this later.) Given a morphism
X → Y, pullback of functions Γ (Y, OY ) → Γ (X, OX ) is a group homomorphism.
So we should expect A1 to have some group-like structure. This leads us to the
notion of group scheme, or more generally a group object in a category, which we
now define.
Suppose C is a category with a final object Z and with products. (We know
that Sch has a final object Z = Spec Z, by Exercise 7.3.J. We will later see that it has
products, §10.1. But in Exercise 7.6.K we will give an alternative characterization
of group objects that applies in any category, so we won’t worry about this.)
A group object in C is an element X along with three morphisms:
• multiplication: m : X × X → X
• inverse: i : X → X
• identity element: e : Z → X (not the identity map)
These morphisms are required to satisfy several conditions.
April 1, 2023 draft 223
(i) associativity axiom:
(m,id)
X×X×X / X×X
(id,m) m
X×X
m /X
commutes. (Here id means the equality X → X.)
(ii) identity axiom:
∼ / Z×X e×id
/ X×X m /X
X
and
∼ / id×e
/ X×X m / X
X X×Z
are both the identity map X → X. (This corresponds to the group axiom: “multi-
plication by the identity element is the identity map”.)
i,id / m / X and X id,i / X × X m / X are
(iii) inverse axiom: X X×X
both the map that is the composition X /Z e /X.
As motivation, you can check that a group object in the category of sets is in
fact the same thing as a group. (This is symptomatic of how you take some notion
and make it categorical. You write down its axioms in a categorical way, and if
all goes well, if you specialize to the category of sets, you get your original notion.
You can apply this to the notion of “rings” in an exercise below.)
A group scheme is defined to be a group object in the category of schemes. A
group scheme over a ring A (or a scheme S) is defined to be a group object in the
category of A-schemes (or S-schemes).
7.6.G. E XERCISE . Give A1Z the structure of a group scheme, by describing the
three structural morphisms, and showing that they satisfy the axioms. (Hint: the
morphisms should not be surprising. For example, inverse is given by t 7→ −t.
Note that we know that the product A1Z × A1Z exists, by Exercise 7.6.E(a).)
7.6.H. E XERCISE . Show that if G is a group object in a category C , then for any X ∈
C , Mor(X, G) has the structure of a group, and the group structure is preserved by
pullback (i.e., Mor(·, G) is a contravariant functor to Groups).
7.6.I. E XERCISE . Show that the group structure described by the previous exercise
translates the group scheme structure on A1Z to the group structure on Γ (X, OX ),
via the bijection of §7.6.1.
7.6.J. E XERCISE . Define the notion of abelian group scheme, and ring scheme.
(You will undoubtedly at the same time figure out how to define the notion of
abelian group object and ring object in any category C . You may discover a more
efficient approach to such questions after reading §7.6.5.)
7.6.5. Group schemes, more functorially. There was something unsatisfactory about
our discussion of the “group-respecting” nature of the bijection in §7.6.1: we ob-
served that the right side (functions on X) formed a group, then we developed
the axioms of a group scheme, then we cleverly figured out the maps that made
A1Z into a group scheme, then we showed that this induced a group structure on
224 The Rising Sea: Foundations of Algebraic Geometry
the left side of the bijection (Mor(X, A1 )) that precisely corresponded to the group
structure on the right side (functions on X).
The picture is more cleanly explained as follows. The language of scheme-
valued points (Definition 7.3.10) has the following advantage: notice that the points
of a group scheme need not themselves form a group (consider A1Z ). But Exer-
cise 7.6.H shows that the Z-valued points of a group scheme (where Z is any given
scheme) indeed form a group.
7.6.K. E XERCISE . Suppose we have a contravariant functor F from Sch (or indeed
any category) to Groups. Suppose further that F composed with the forgetful func-
tor Groups → Sets is represented by an object Y. Show that the group operations
on F(X) (as X varies through Sch) uniquely determine m : Y × Y → Y, i : Y → Y,
e : Z → Y satisfying the axioms defining a group scheme, such that the group op-
eration on Mor(X, Y) is the same as that on F(X).
In particular, the definition of a group object in a category was forced upon
us by the definition of group. More generally, you should expect that any class of
objects that can be interpreted as sets with additional structure should fit into this
picture.
You should apply this exercise to A1Z , and see how the explicit formulas you
found in Exercise 7.6.G are forced on you.
7.6.L. E XERCISE . Work out the maps m, i, and e in the group schemes of Exer-
cise 7.6.E.
7.6.M. E XERCISE . Explain why the product of group objects in a category can be
naturally interpreted as a group object in that category.
7.6.N. E XERCISE .
(a) Define morphism of group schemes.
(b) Recall that if A is a ring, then GLn (A) (the general linear group over A) is the
group of invertible n × n matrices with entries in the ring A. Figure out the right
definition of the group scheme GLn (over a ring A), and describe the determinant
map det : GLn → Gm .
(c) Make sense of the statement: “(·n ) : Gm → Gm given by t 7→ tn is a morphism
of group schemes.”
The language of Exercise 7.6.N(a) suggests that group schemes form a cate-
gory; feel free to prove this if you want. In fact, the category of group schemes has
a zero object. What is it?
7.6.O. E XERCISE ( KERNELS OF MAPS OF GROUP SCHEMES ). Suppose F : G1 → G2
is a morphism of group schemes. Consider the contravariant functor Sch → Groups
given by X 7→ ker(Mor(X, G1 ) → Mor(X, G2 )). If this is representable, by a group
scheme G0 , say, show that G0 → G1 is the kernel of F in the category of group
schemes.
7.6.P. E XERCISE . Show that the kernel of (·n ) (Exercise 7.6.N) is representable. If
n > 0, show that over a field k of characteristic p dividing n, this group scheme is
nonreduced. (This group scheme, denoted µn , is important, although we will not
use it.)
April 1, 2023 draft 225
7.6.Q. E XERCISE . Show that the kernel of det : GLn → Gm is representable. This
is the group scheme SLn . (You can do this over Z, or over a field k, or even over
an arbitrary ring A; the algebra is the same.)
7.6.R. E XERCISE . Show (as easily as possible) that A1k is a ring k-scheme. (Here k
can be replaced by any ring.)
7.6.S. E XERCISE .
(a) Define the notion of a (left) group scheme action (of a group scheme on a
scheme).
(b) Suppose A is a ring. Show that specifying an integer-valued grading on A
is equivalent to specifying an action of Gm on Spec A. (This interpretation of a
grading is surprisingly enlightening. Caution: there are two possible choices of
the integer-valued grading, and there are reasons for both. Both are used in the
literature.)
7.6.6. Aside: Hopf algebras. Here is a notion that we won’t use, but it is easy
enough to define now. Suppose G = Spec A is an affine group scheme, i.e., a group
scheme that is an affine scheme. The categorical definition of group scheme can be
restated in terms of the ring A. (This requires thinking through Remark 7.3.5; see
Exercise 10.1.A.) Then these axioms define a Hopf algebra. For example, we have
a “comultiplication map” A → A ⊗ A.
7.6.T. E XERCISE . As A1Z is a group scheme, Z[t] has a Hopf algebra structure.
Describe the comultiplication map Z[t] → Z[t] ⊗Z Z[t].
7.7 ⋆⋆ The Grassmannian: First construction
The Grassmannian is a useful geometric construction that is “the geometric
object underlying linear algebra”. In (classical) geometry over a field K = R or
C, just as projective space parametrizes one-dimensional subspaces of a given
n-dimensional vector space, the Grassmannian parametrizes k-dimensional sub-
spaces of n-dimensional space. The Grassmannian G(k, n) is a manifold of dimen-
sion k(n − k) (over the field). The manifold structure is given as follows. Given a
basis (v1 , . . . , vn ) of n-space, “most” k-planes can be described as the span of the
k vectors
⟨ ⟩
∑n ∑
n ∑
n
([Link]) v1 + a1i vi , v2 + a2i vi , . . . , vk + aki vi .
i=k+1 i=k+1 i=k+1
(Can you describe which k-planes are not of this form? Hint: row reduced echelon
form. Aside: the stratification of G(k, n) by normal form is the decomposition of
the Grassmannian into Schubert cells. You may be able to show using the normal
form that each Schubert cell is isomorphic to an affine space.) Any k-plane of
this form can be described in such a way uniquely. We use this to identify those k-
planes of this form with the manifold Kk(n−k) (with coordinates aji ). This is a large
affine patch on the Grassmannian (called the “open Schubert cell” with respect to
this basis). As the vi vary, these patches cover the Grassmannian (why?), and the
manifold structures agree (a harder fact).
226 The Rising Sea: Foundations of Algebraic Geometry
We now define the Grassmannian in algebraic geometry, over a ring A. Sup-
pose v = (v1 , . . . , vn ) is a basis for A⊕n . More precisely: vi ∈ A⊕n , and the map
A⊕n → A⊕n given by (a1 , . . . , an ) 7→ a1 v1 + · · · + an vn is an isomorphism.
7.7.A. E XERCISE . Show that any two bases are related by an invertible n × n
matrix over A — a matrix with entries in A whose determinant is an invertible
element of A.
∼ Ak(n−k) , with coordinates
For each such basis v, we consider the scheme Uv = A
aji (k + 1 ≤ i ≤ n, 1 ≤ j ≤ k), which we imagine as corresponding to the k-plane
spanned by the vectors ([Link]).
7.7.B. E XERCISE . Given two bases v and w, explain how to glue Uv to Uw along
appropriate open sets. You may find it convenient to work with coordinates aji
where i runs from 1 to n, not just k + 1 to n, but imposing aji = δji (i.e., 1 when
i = j and 0 otherwise) when i ≤ k. This convention is analogous to coordinates
xi/j on the patches of projective space (§4.4.9). Hint: the relevant open subset of
Uv will be where a certain determinant doesn’t vanish.
7.7.C. E XERCISE /D EFINITION . By checking triple intersections, verify that these
patches (over all possible bases) glue together to a single scheme (Exercise 4.4.A).
This is the Grassmannian G(k, n) over the ring A. Because it can be interpreted as
A ’s” in PA , it is often also written G(k − 1, n − 1). (You will
a space of linear “Pk−1 n−1
see that this is wise notation in Exercise 12.2.N, for example.)
Although this definition is pleasantly explicit (it is immediate that the Grass-
mannian is covered by Ak(n−k) ’s), and perhaps more “natural” than our original
definition of projective space in §4.4.9 (we aren’t making a choice of basis; we
use all bases), there are several things unsatisfactory about this definition of the
Grassmannian. In fact the Grassmannian is projective; this isn’t obvious with this
definition. Furthermore, the Grassmannian comes with a natural morphism to
n
P( k )−1 (which is an example of a closed embedding, a notion we will meet in Defi-
nition 9.1.1), called the Plücker embedding. Finally, there is an action of GLn on
the space of k-planes in n-space, so we should be able to see this in our algebraic
incarnation. We will address these issues in §16.4, by giving a better description,
as a moduli space.
7.7.1. (Partial) flag varieties. Just as the Grassmannian “parametrizes” k-planes in
n-space, the flag variety parametrizes “flags”: nested sequences of subspaces of
n-space
F0 ⊂ F1 ⊂ · · · ⊂ Fn
where dim Fi = i. Generalizing both of these is the notion of a partial flag variety
associated to some data 0 ≤ a1 < · · · < aℓ ≤ n, which parametrizes nested
sequences of subspaces of n-space
Fa1 ⊂ · · · ⊂ Faℓ
where dim Fai = ai . You should be able to generalize all of the discussion in §7.7
to this setting.
CHAPTER 8
Useful classes of morphisms of schemes
We now define an excessive number of types of morphisms. Some (often finite-
ness properties) are useful because most “reasonable” morphism has such prop-
erties, and they will be used in proofs in obvious ways. Others correspond to
geometrically meaningful behavior, and you should have a picture of what each
means.
8.0.1. Change of perspective: morphisms are more fundamental than objects. One of
Grothendieck’s lessons is that things that we often think of as properties of objects
are better understood as properties of morphisms. One way of turning properties of
objects into properties of morphisms is as follows. If P is a property of schemes, we
often (but not always) say that a morphism π : X → Y has P if for every affine open
subset U ⊂ Y, π−1 (U) has P. We will see this for P = quasicompact, quasiseparated,
affine, and more. (As you might hope, in good circumstances, P will satisfy the
hypotheses of the Affine Communication Lemma 5.3.2, so we don’t have to check
every affine open subset.) Informally, you can think of such a morphism as one
where all the fibers have P. (You can quickly define the fiber of a morphism as a
topological space, but once we define fibered product, we will define the scheme-
theoretic fiber, and then this discussion will make sense.) But it means more than
that: it means that “being P” is really not just fiber-by-fiber, but behaves well as
the fiber varies. (For comparison, “submersion of manifolds” means more than
that the fibers are smooth.)
8.1 “Reasonable” classes of morphisms (such as open
embeddings)
8.1.1. You will notice that almost all classes of morphisms that are useful have
many properties in common, which follow from the following three basic prop-
erties. We call any class of morphisms satisfying these properties a “reasonable”
class of morphisms of schemes.
(i) The class is preserved by composition: if π : X → Y and ρ : Y → Z are
both in this class, then so is ρ ◦ π.
(ii) The class is preserved by “base change” (or “pullback” or “fibered prod-
uct”). Precisely: if π : X → Y is in this class, then for any Y ′ → Y, the
induced map X ×Y Y ′ → Y ′ is also in this class. (Implicit in this statement
is that the fibered product X ×Y Y ′ exists; but we will soon see that all
fibered products of schemes exist, §10.1.)
227
228 The Rising Sea: Foundations of Algebraic Geometry
(iii) The class is local on the target. In other words, (a) if π : X → Y is in the
class, then for any open subset V of Y, the restricted morphism π−1 (V) →
V is in the class; and (b) for a morphism π : X → Y, if there is an open
cover {Vi } of Y for which each restricted morphism π−1 (Vi ) → Vi is in
the class, then π is in the class. In particular, as schemes are built out of
affine schemes, properties are often easy to verify on any affine cover (the
properties are “affine-local” on the target), as described in §8.0.1. (Stalk-
local properties are automatically local on the target.)
Properties (i) and (ii) imply a useful additional property — (iv) “reasonable”
classes of morphisms are preserved by product:
8.1.A. E XERCISE . Suppose P is a property of morphisms preserved by composi-
tion and base change ((i) and (ii) above), and X → Y and X ′ → Y ′ are two mor-
phisms of S-schemes with property P. Assume that X ×S X ′ and Y ×S Y ′ exist
(which is indeed true, §10.1). Show that X ×S X ′ → Y ×S Y ′ has property P as well.
Hint:
X ×S X ′ / X ×S Y ′ / Y ×S Y ′
v r L L FF
vvv rrrr LLL FF
FF
vv rr LLL
vv rr LL FF
{v yrr L% F#
X ′ / Y ′
X /Y
(v) Another extremely important consequence of (i) and (ii) is the Cancellation
Theorem for such morphisms, Theorem 11.2.1.
When you learn of a new class of morphisms, you should immediately ask
whether these properties (i)–(iii) (and hence (iv) and (v)) hold. The answer will
almost always be “yes”; and if it is “no”, then you should exercise caution, and
possibly figure out how to make the definition better (see for example §10.5).
To prepare you think about these properties for schemes, you may want to
verify that the analogous properties to (i)–(iii) hold in the category of topological
spaces with the classes “injections”, “surjections”, “open embeddings” (open em-
bedding of topological spaces = isomorphism with an open subset), and “closed
embeddings” (closed embedding of topological spaces = isomorphism with a closed
subset).
As a first example in the category of schemes:
8.1.B. E ASY E XERCISE . Show that “isomorphisms” of schemes are “reasonable”
in this sense, i.e., that they satisfy the three properties (i)–(iii) above.
We are now ready to introduce a fundamental class of morphisms of schemes.
8.1.2. Definition. A morphism π : X → Y of schemes is an open embedding (or
open immersion) if it is an open embedding as ringed spaces (§7.2.1). In other
words, a morphism π : (X, OX ) → (Y, OY ) of schemes is an open embedding if π
factors as
(X, OX )
ρ
/ (U, OY |U ) τ / (Y, OY )
∼
where ρ is an isomorphism, and τ : U ,→ Y is an inclusion of an open set. It is
immediate that isomorphisms are open embeddings. The symbol ,→ is often used
to indicate that a morphism is an open embedding (or more generally, a locally
closed embedding, see §9.2).
April 1, 2023 draft 229
If X is actually a subset of Y (and π is the inclusion, i.e., ρ is the identity), then
we say (X, OX ) is an open subscheme of (Y, OY ). The difference between open
embeddings and open subschemes is a bit confusing, and not too important: at the
level of sets, open subschemes are subsets, while open embeddings are bijections
onto subsets.
“Open subschemes” are scheme-theoretic analogs of open subsets. (“Closed
subschemes” are scheme-theoretic analogs of closed subsets, but they have a sur-
prisingly different flavor, as we will see in §9.1.)
The next two Exercises verify that the class of open embeddings is “reason-
able” in the sense described above.
8.1.C. E XERCISE . Verify that the class of open embeddings satisfies properties (i)
and (iii) of §8.1.
8.1.D. I MPORTANT BUT EASY EXERCISE : FIBERED PRODUCTS WITH OPEN EMBED -
DINGS EXIST. Verify that the class of open embeddings satisfies property (ii) of
§8.1. More specifically: suppose i : U → Z is an open embedding, and ρ : Y → Z
is any morphism. Show that U ×Z Y exists and U ×Z Y → Y is an open embed-
ding. (Hint: I’ll even tell you what U ×Z Y is: (ρ−1 (U), OY |ρ−1 (U) ).) In particular, if
U ,→ Z and V ,→ Z are open embeddings, U ×Z V = ∼ U ∩ V: “intersection of open
embeddings is fiber product”.
8.1.E. E ASY EXERCISE . Show that open embeddings of schemes are monomor-
phisms (in the category of schemes). Hint: Exercise 7.2.B.
8.1.F. E ASY E XERCISE . Suppose π : X → Y is an open embedding. Show that if
Y is locally Noetherian, then X is too. Show that if Y is Noetherian, then X is too.
However, show that if Y is quasicompact, X need not be. (Hint: let Y be affine but
not Noetherian, see Exercise 3.6.G(b).)
8.1.3. Definition. In analogy with “local on the target” (§8.1.1), we define what
it means for a property P of morphisms to be local on the source: to check if a
morphism π : X → Y has P, it suffices to check on any open cover {Ui } of X. We then
define affine-local on the source (and affine-local on the target) in the obvious
way: it suffices to check on any affine open cover of the source (resp. target). The
use of “affine-local” rather than “local” is to emphasize that the criterion on affine
schemes is simple to describe. (Clearly the Affine Communication Lemma 5.3.2
will be very handy.)
8.1.G. E XERCISE ( PRACTICE WITH THE CONCEPT ). Show that the notion of “open
embedding” is not local on the source.
8.2 Algebraic interlude: Lying Over and Nakayama
Algebra is the offer made by the devil to the mathematician. The devil says: I will give
you this powerful machine, it will answer any question you like. All you need to do is give
me your soul: give up geometry and you will have this marvelous machine.
— M. Atiyah, [At2, p. 659]; but see the Atiyah quote at the start of §0.3
230 The Rising Sea: Foundations of Algebraic Geometry
To set up our discussion in the next section on integral morphisms, we de-
velop some algebraic preliminaries. A clever trick we use can also be used to
show Nakayama’s Lemma, so we discuss this as well.
Suppose ϕ : B → A is a ring morphism. We say a ∈ A is integral over B if a
satisfies some monic polynomial
an + ?an−1 + · · · + ? = 0
where the coefficients lie in ϕ(B). A ring morphism ϕ : B → A is integral if every
element of A is integral over ϕ(B). An integral ring morphism ϕ is an integral
extension if ϕ is an inclusion of rings. You should think of integral morphisms
and integral extensions as ring-theoretic generalizations of the notion of algebraic
extensions of fields.
8.2.A. E XERCISE . Show that if ϕ : B → A is a ring morphism, (b1 , . . . , bn ) = 1
in B, and Bbi → Aϕ(bi ) is integral for all i, then ϕ is integral. Hint: replace B by
ϕ(B) to reduce to the case where B is a subring of A. Suppose a ∈ A. Show that
there is some t and m such that bti am ∈ B + Ba + Ba2 + · · · + Bam−1 for some
t and m independent of i. Use a “partition of unity” argument as in the proof of
Theorem 4.1.2 to show that am ∈ B + Ba + Ba2 + · · · + Bam−1 .
8.2.B. E XERCISE .
(a) Show that the property of a morphism ϕ : B → A being integral is always
preserved by localization and quotient of B, and quotient of A, but not localiza-
tion of A. More precisely: suppose ϕ is integral. Show that the induced maps
T −1 B → ϕ(T )−1 A, B/J → A/ϕ(J)A, and B → A/I are integral (where T is a multi-
plicative subset of B, J is an ideal of B, and I is an ideal of A), but B → S−1 A need
not be integral (where S is a multiplicative subset of A). (Hint for the latter: show
that k[t] → k[t] is an integral ring morphism, but k[t] → k[t](t) is not.)
(b) Show that the property of ϕ being an integral extension is preserved by localiza-
tion of B, but not localization or quotient of A. (Hint for the latter: k[t] → k[t] is an
integral extension, but k[t] → k[t]/(t) is not.)
(c) In fact the property of ϕ being an integral extension (as opposed to integral
morphism) is not preserved by taking quotients of B either. (Let B = k[x, y]/(y2 )
and A = k[x, y, z]/(z2 , xz − y). Then B injects into A, but B/(x) doesn’t inject into
A/(x).) But it is in some cases. Suppose ϕ : B → A is an integral extension, and
J ⊂ B is the restriction of an ideal I ⊂ A. (Side Remark: you can show that this
holds if J is prime.) Show that the induced map B/J → A/JA is an integral ex-
tension. (Hint: show that the composition B/J → A/JA → A/I is an injection.)
The following lemma uses a useful but sneaky trick.
8.2.1. Lemma. — Suppose ϕ : B → A is a ring morphism. Then a ∈ A is integral over
B if and only if it is contained in a subalgebra of A that is a finitely generated B-module.
Proof. If a satisfies a monic polynomial equation of degree n, then the B-submodule
of A generated by 1, a, . . . , an−1 is closed under multiplication, and hence a sub-
algebra of A.
April 1, 2023 draft 231
Assume conversely that a is contained in a subalgebra A ′ of A that is a finitely
generated B-module. ∑ Choose a finite generating set m1 , . . . , mn of A ′ (as a B-
module). Then ami = bij mj , for some bij ∈ B. Thus
m1 0
.. ..
([Link]) (aIdn×n − [bij ]ij ) . = . ,
mn 0
where Idn is the n × n identity matrix in A. We can’t invert the matrix (aIdn×n −
[bij ]ij ), but we almost can. Recall that an n × n matrix M has an adjugate matrix
adj(M) such that adj(M)M = det(M)Idn . (The (i, j)th entry of adj(M) is the de-
terminant of the matrix obtained from M by deleting the ith column and jth row,
times (−1)i+j . You have likely seen this in the form of a formula for M−1 when
there is an inverse; see for example [DF, p. 440].) The coefficients of adj(M) are
polynomials in the coefficients of M. Multiplying ([Link]) by adj(aIdn×n − [bij ]ij ),
we get
m1 0
.. ..
det(aIdn×n − [bij ]ij ) . = . .
mn 0
So det(aI − [bij ]) annihilates the generating elements mi , and hence every element
of A ′ , i.e., det(aI − [bij ]) = 0. But expanding the determinant yields an integral
equation for a with coefficients in B. □
8.2.2. Corollary (finite implies integral). — If A is a finite B-algebra (a finitely
generated B-module), then ϕ is an integral ring morphism.
The converse is false: integral does not imply finite, as Q ,→ Q is an integral
ring morphism, but Q is not a finite Q-module. (A field extension is integral if it is
algebraic.)
8.2.C. E XERCISE . Show that if C → B and B → A are both integral ring morphisms,
then so is their composition.
8.2.D. E XERCISE . Suppose ϕ : B → A is a ring morphism. Show that the elements
of A integral over B form a subalgebra of A.
8.2.3. Remark: Transcendence theory. These ideas lead to the main facts about
transcendence theory we will need for a discussion of dimension of varieties, see
Exercise/Definition 12.2.A.
8.2.4. The Lying Over and Going-Up Theorems. The Lying Over Theorem is a
useful property of integral extensions.
8.2.5. The Lying Over Theorem. — Suppose ϕ : B → A is an integral extension.
Then for any prime ideal q ⊂ B, there is a prime ideal p ⊂ A such that p ∩ B = q.
To be clear on how weak the hypotheses are: B need not be Noetherian, and
A need not be finitely generated over B.
8.2.6. Geometric translation: if B → A is an integral extension, then Spec A → Spec B
is surjective. Although the Lying Over Theorem 8.2.5 is a theorem in algebra, the
232 The Rising Sea: Foundations of Algebraic Geometry
name can be interpreted geometrically: the theorem asserts that the corresponding
morphism of schemes is surjective. (A map of schemes is surjective if the under-
lying map of sets is surjective.) Translation: “above” every prime q “downstairs”,
there is a prime p “upstairs”, see Figure 8.1. (For this reason, it is often said that p
“lies over” q if p ∩ B = q.)
F IGURE 8.1. A picture of the Lying Over Theorem 8.2.5: if ϕ : B →
A is an integral extension, then Spec A → Spec B is surjective
The following exercise sets up the proof.
8.2.E. ⋆ E XERCISE . Show that the special case where A is a field translates to: if
B ⊂ A is a subring with A integral over B, then B is a field. Prove this. (Hint: you
must show that all nonzero elements in B have inverses in B. Here is the start: If
b ∈ B, then 1/b ∈ A, and this satisfies some integral equation over B.)
⋆ Proof of the Lying Over Theorem 8.2.5. We first make a reduction: by localizing at
q (preserving integrality by Exercise 8.2.B(b)), we can assume that (B, q) is a local
ring. Then let p be any maximal ideal of A. Consider the following diagram.
AO / / A/p field
O
? ?
B / / B/(p ∩ B)
The right vertical arrow is an integral extension by Exercise 8.2.B(c). By Exer-
cise 8.2.E, B/(p ∩ B) is a field too, so p ∩ B is a maximal ideal, hence it is q. □
8.2.F. I MPORTANT E XERCISE ( THE Going-Up Theorem).
(a) Suppose ϕ : B → A is an integral ring morphism (not necessarily an integral
extension). Show that if q1 ⊂ q2 ⊂ · · · ⊂ qn is a chain of prime ideals of B, and
p1 ⊂ · · · ⊂ pm is a chain of prime ideals of A such that pi “lies over” qi (and
1 ≤ m < n), then the second chain can be extended to p1 ⊂ · · · ⊂ pn so that this
remains true. (Hint: reduce to the case m = 1, n = 2; reduce to the case where
q1 = (0) and p1 = (0); use the Lying Over Theorem 8.2.5.)
(b) Draw a picture of this theorem (akin to Figure 8.1).
April 1, 2023 draft 233
There are analogous “Going-Down” results (requiring quite different hypothe-
ses); see for example Theorem 12.2.12 and Exercise 24.5.E.
8.2.7. Nakayama’s Lemma.
The trick in the proof of Lemma 8.2.1 can be used to quickly prove Nakayama’s
Lemma, which we will use repeatedly in the future. This name is used for several
different but related results, which we discuss here. (A geometric interpretation
will be given in Exercise 14.3.E.) We may as well prove it while the trick is fresh in
our minds.
8.2.8. Nakayama’s Lemma version 1. — Suppose A is a ring, I is an ideal of A, and
M is a finitely generated A-module, such that M = IM. Then there exists an a ∈ A with
a ≡ 1 (mod I) with aM = 0. (Equivalently, there is some i ∈ I for which multiplication
by i induces the identity on M: im = m for all m ∈ M.)
Proof.
∑ Say M is generated by m1 , . . . , mn . Then as M = IM, we have mi =
j ij j for some aij ∈ I. Thus
a m
m1
([Link]) (Idn − Z) ... = 0
mn
where Z = (aij ). Multiplying both sides of ([Link]) on the left by adj(Idn − Z), we
obtain
m1
det(Idn − Z) ... = 0.
mn
But when you expand out det(Idn − Z), as Z has entries in I, you get something
that is 1 (mod I). □
Here is why you care. Suppose I is contained in all maximal ideals of A. (The
intersection of all the maximal ideals is called the Jacobson radical, but we won’t
use this phrase. For comparison, recall that the nilradical was the intersection of
the prime ideals of A.) Then any a ≡ 1 (mod I) is invertible. (We are not using
Nakayama yet!) Reason: otherwise (a) ̸= A, so the ideal (a) is contained in some
maximal ideal m — but a ≡ 1 (mod m), contradiction. As a is invertible, we have
the following.
8.2.9. Nakayama’s Lemma version 2. — Suppose A is a ring, I is an ideal of A
contained in all maximal ideals, and M is a finitely generated A-module. (The most inter-
esting case is when A is a local ring, and I is the maximal ideal.) Suppose M = IM. Then
M = 0.
8.2.G. E XERCISE (N AKAYAMA’ S L EMMA VERSION 3). Suppose A is a ring, and I
is an ideal of A contained in all maximal ideals. Suppose M is a finitely generated
A-module, and N ⊂ M is a submodule. If N/IN → M/IM is surjective, then
M = N.
8.2.H. I MPORTANT E XERCISE (N AKAYAMA’ S L EMMA VERSION 4: GENERATORS OF
M/mM LIFT TO GENERATORS OF M). Suppose (A, m) is a local ring. Suppose M is
a finitely generated A-module, and f1 , . . . , fn ∈ M, with (the images of) f1 , . . . , fn
234 The Rising Sea: Foundations of Algebraic Geometry
generating M/mM. Then f1 , . . . , fn generate M. (In particular, taking M = m, if
we have generators of m/m2 , they also generate m.)
8.2.I. I MPORTANT E XERCISE GENERALIZING L EMMA 8.2.1. Recall that a B-module
N is said to be faithful if the only element of B acting on N by the identity is 1 (or
equivalently, if the only element of B acting as the 0-map on N is 0). Suppose S is
a subring of a ring A, and r ∈ A. Suppose there is a faithful S[r]-module M that is
finitely generated as an S-module. Show that r is integral over S. (Hint: change a
few words in the proof of version 1 of Nakayama, Lemma 8.2.8.)
8.2.J. E XERCISE . Suppose A is an integral domain, and A e is the integral closure
of A in K(A), i.e., those elements of K(A) integral over A, which form a subalgebra
by Exercise 8.2.D. Show that A e is integrally closed in K(A)
e = K(A).
8.3 A gazillion finiteness conditions on morphisms
By the end of this section, you will have seen the following types of mor-
phisms: quasicompact, quasiseparated, affine, finite, integral, closed, (locally) of
finite type, quasifinite — and possibly, (locally) of finite presentation.
8.3.1. Quasicompact and quasiseparated morphisms.
A morphism π : X → Y of schemes is quasicompact if for every open affine
subset U of Y, π−1 (U) is quasicompact. (Equivalently, the preimage of any quasi-
compact open subset is quasicompact. This is the right definition in other parts of
geometry.)
We will like this notion because (i) finite sets have advantages over infinite
sets (e.g., a finite set of integers has a maximum; also, things can be proved induc-
tively), and (ii) most reasonable schemes will be quasicompact.
Along with quasicompactness comes the weird notion of quasiseparatedness.
A morphism π : X → Y is quasiseparated if for every affine open subset U of
Y, π−1 (U) is a quasiseparated scheme (§5.1.1). (Equivalently, the preimage of
any quasicompact open subset is quasiseparated, although we won’t worry about
proving this. This is the definition that extends to other parts of geometry.) This
will be a useful hypothesis in theorems, usually in conjunction with quasicompact-
ness. (For this reason, “quasicompact and quasiseparated” is often abbreviated
as qcqs, cf. §5.1.2.) Various interesting kinds of morphisms (locally Noetherian
source, affine, separated, see Exercises 8.3.B(b), 8.3.D, and 11.3.D resp.) are qua-
siseparated, and having the word “quasiseparated” will allow us to state theo-
rems more succinctly. Important remark: we will give an equivalent definition of
quasiseparatedness in §11.2.4 (“quasiseparated = quasicompact diagonal”), which
will be much simpler to use.
8.3.A. E ASY E XERCISE . Show that the composition of two quasicompact mor-
phisms is quasicompact. (It is also true — but not easy — that the composition
of two quasiseparated morphisms is quasiseparated. You are free to show this
directly, but will in any case follow easily once we understand it in a more sophis-
ticated way, see §11.2.5.)
April 1, 2023 draft 235
Following Grothendieck’s philosophy of thinking that the important notions
are properties of morphisms, not of objects (§8.0.1), we can restate the definition
of a quasicompact (resp. quasiseparated) scheme as a scheme that is quasicom-
pact (resp. quasiseparated) over the final object Spec Z in the category of schemes
(Exercise 7.3.J).
8.3.B. E ASY E XERCISE .
(a) Show that any morphism from a Noetherian scheme is quasicompact.
(b) Show that any morphism from a quasiseparated scheme is quasiseparated.
Thus by Exercise 5.3.A, any morphism from a locally Noetherian scheme is qua-
siseparated. Thus readers working only with locally Noetherian schemes may
take quasiseparatedness as a standing hypothesis.
8.3.2. Caution. The two parts of the Exercise 8.3.B may lead you to suspect that
any morphism π : X → Y with quasicompact source and target is necessarily qua-
sicompact. This is false, and you may verify that the following is a counterexam-
ple. Let Z be the nonquasiseparated scheme constructed in Exercise 5.1.K, and let
X = Spec k[x1 , x2 , . . . ] as in Exercise 5.1.K. The obvious open embedding π : X → Z
(identifying X with one of the two pieces glued together to get Z) is not quasicom-
pact. (But once you see the Cancellation Theorem 11.2.1, you will quickly see that
any morphism from a quasicompact source to a quasiseparated target is necessarily
quasicompact.)
8.3.C. E XERCISE . (Obvious hint for both parts: the Affine Communication Lemma 5.3.2.)
(a) (quasicompactness is affine-local on the target) Show that a morphism π : X → Y is
quasicompact if there is a cover of Y by affine open sets Ui such that π−1 (Ui ) is
quasicompact.
(b) (quasiseparatedness is affine-local on the target) Show that a morphism π : X → Y
is quasiseparated if there is a cover of Y by affine open sets Ui such that π−1 (Ui )
is quasiseparated.
8.3.3. Affine morphisms.
A morphism π : X → Y is affine if for every affine open set U of Y, π−1 (U)
(interpreted as an open subscheme of X) is an affine scheme. Trivially, the compo-
sition of two affine morphisms is affine.
8.3.D. FAST E XERCISE . Show that affine morphisms are quasicompact and qua-
siseparated. (Hint for the second: Exercise 5.1.G.)
8.3.4. Proposition (the property of “affineness” of a morphism is affine-local on
the target). — A morphism π : X → Y is affine if there is a cover of Y by affine open sets
U such that π−1 (U) is affine.
Proof. We apply the Affine Communication Lemma 5.3.2 to the condition “π is
affine over”. We check our two criteria. First, suppose π : X → Y is affine over
Spec B, i.e., π−1 (Spec B) = Spec A. Then for any s ∈ B, π−1 (Spec Bs ) = Spec Aπ♯ s .
(Do you see why?)
Second, suppose we are given π : X → Spec B and (s1 , . . . , sn ) = B with Xπ♯ si
affine (Spec Ai , say). (Recall from Definition 6.2.7 that Xπ♯ si is the open subset of X
where π♯ si doesn’t vanish.) We wish to show that X is affine too. Let A = Γ (X, OX ).
236 The Rising Sea: Foundations of Algebraic Geometry
Then X → Spec B factors through the tautological map α : X → Spec A (arising
from the (iso)morphism A → Γ (X, OX ), Exercise 7.3.G).
∪i Xπ♯ si = X
α / Spec A
QQQ nn
QQQ n
QQ nn
π QQQQ
Q( nnnnnβ
wn
∪i D(si ) = Spec B
We want to show that α is an isomorphism. Now β−1 (D(si )) = D(β♯ si ) = ∼
Spec Aβ♯ si (the preimage of a distinguished open set is a distinguished open set),
and π−1 (D(si )) = Spec Ai . Furthermore, X is quasicompact and quasiseparated
by the affine-locality of these notions (Exercise 8.3.C), so the hypotheses of the
Qcqs Lemma 6.2.8 are satisfied. Hence by the Qcqs Lemma 6.2.8, we have an
induced isomorphism of Aβ♯ si = Γ (X, OX )β♯ si =∼ Γ (Xβ♯ s , OX ) = Ai . Thus α in-
i
∼
duces an isomorphism Spec Ai −→ Spec Aβ♯ si (an isomorphism of rings induces
an isomorphism of affine schemes, Exercise 4.3.A). Thus α is an isomorphism over
each Spec Aβ♯ si , which cover Spec A, and hence α is an isomorphism. Therefore
X → Spec A is an isomorphism, so X is affine as desired. □
The affine-locality of affine morphisms (Proposition 8.3.4) has some nonobvi-
ous consequences, as shown in the next exercise.
8.3.E. U SEFUL E XERCISE . Suppose Z is a closed subset of an affine scheme Spec A
locally cut out by one equation. (In other words, Spec A can be covered by smaller
open sets, and on each such set Z is cut out by one equation.) Show that the
complement Y of Z is affine. (This is clear if Z is globally cut out by one equation
f, even set-theoretically; then Y = Spec Af . However, Z is not always of this form,
see §19.11.10.)
8.3.5. Finite and integral morphisms.
Before defining finite and integral morphisms, we give an example to keep in
mind. If L/K is a field extension, then Spec L → Spec K (i) is always affine; (ii) is
integral if L/K is algebraic; and (iii) is finite if L/K is finite.
Recall that if we have a ring morphism B → A such that A is a finitely gen-
erated B-module then we say that A is a finite B-algebra. This is stronger than be-
ing a finitely generated B-algebra. (The similarity of the terminology “finite” and
“finitely-generated” B-algebra is unfortunate.) We say a morphism π : X → Y is
finite if for every affine open set Spec B of Y, π−1 (Spec B) is the spectrum of a finite
B-algebra. By definition, finite morphisms are affine.
8.3.F. E XERCISE ( THE PROPERTY OF FINITENESS IS AFFINE - LOCAL ON THE TARGET ).
Show that a morphism π : X → Y is finite if there is a cover of Y by affine open sets
Spec A such that π−1 (Spec A) is the spectrum of a finite A-algebra.
The following four examples will give you some feeling for finite morphisms.
In each example, you will notice two things. In each case, the maps are always
finite-to-one (as maps of sets). We will verify this in general in Exercise 8.3.J. You
will also notice that the morphisms are closed as maps of topological spaces, i.e.,
the images of closed sets are closed. We will show that finite morphisms are always
closed in Exercise 8.3.L (and give a second proof in §9.3.5). Intuitively, you should
April 1, 2023 draft 237
think of finite as being closed plus finite fibers, although this isn’t quite true. We
will make this precise in Theorem 29.6.2.
Example 1: Branched covers. Consider the morphism Spec k[t] → Spec k[u]
given by u 7→ p(t), where p(t) ∈ k[t] is a degree n polynomial (see Figure 8.2).
This is finite: k[t] is generated as a k[u]-module by 1, t, t2 , . . . , tn−1 .
F IGURE 8.2. The “branched cover” A1k → A1k of the “u-line” by
the “t-line” given by u 7→ p(t) is finite
Example 2: Closed embeddings (to be defined soon, in §9.1.1). If I is an ideal of
a ring A, consider the morphism Spec A/I → Spec A given by the obvious map
A → A/I (see Figure 8.3 for an example, with A = k[t], I = (t)). This is a finite
morphism (A/I is generated as a A-module by the element 1 ∈ A/I).
F IGURE 8.3. The “closed embedding” Spec k → Spec k[t] given
by t 7→ 0 is finite
Example 3: Normalization (to be defined in §10.7). Consider the morphism Spec k[t] →
Spec k[x, y]/(y2 − x2 − x3 ) corresponding to k[x, y]/(y2 − x2 − x3 ) → k[t] given by
x 7→ t2 − 1, y 7→ t3 − t (check that this is a well-defined ring map!), see Figure 8.4.
This is a finite morphism, as k[t] is generated as a (k[x, y]/(y2 − x2 − x3 ))-module
by 1 and t. (The figure suggests that this is an isomorphism away from the “node”
of the target. You can verify this, by checking that it induces an isomorphism be-
tween D(t2 − 1) in the source and D(x) in the target. We will meet this example
again repeatedly!)
8.3.G. I MPORTANT E XERCISE (E XAMPLE 4, FINITE MORPHISMS TO Spec k). Show
that if X → Spec k is a finite morphism, then X is a finite union of points with
the discrete topology, each point with residue field a finite extension of k, see
238 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 8.4. The “normalization” of the nodal cubic Spec k[t] →
Spec k[x, y]/(y2 − x2 − x3 ) given by (x, y) 7→ (t2 − 1, t3 − t) is finite
Figure 8.5. (An example is Spec(F8 ×F4 [x, y]/(x2 , y4 )×F4 [t]/(t9 )×F2 ) → Spec F2 .)
Do not just quote some fancy theorem! Possible approach: By Exercise 3.2.G, any
integral domain which is a finite k-algebra must be a field. If X = Spec A, show
that every prime p of A is maximal. Show that the irreducible components of
Spec A are closed points. Show Spec A is discrete and hence finite. Show that the
residue fields K(A/p) of A are finite extensions of k. (See Exercise 8.4.D for an
extension to quasifinite morphisms.)
F IGURE 8.5. A picture of a finite morphism to Spec k. Bigger
fields are depicted as bigger points.
8.3.H. E ASY E XERCISE ( CF. E XERCISE 8.2.C). Show that the composition of two
finite morphisms is also finite.
8.3.I. E XERCISE (“ FINITE MORPHISMS TO Spec A ARE PROJECTIVE ”). If R is an
A-algebra, define a graded ring S• by S0 = A, and Sn = R for n > 0. (What is the
multiplicative structure? Hint: you know how to multiply elements of R together,
and how to multiply elements of A with elements of R.) Describe an isomorphism
∼
Proj S• −→ Spec R. Show that if R is a finite A-algebra (finitely generated as an A-
module) then S• is a finitely generated graded ring over A, and hence that Spec R
is a projective A-scheme (§4.5.9).
April 1, 2023 draft 239
Hence finite morphisms are affine (by definition) and projective. The converse
is also true, see Corollary 18.1.5.
8.3.J. I MPORTANT E XERCISE . Show that finite morphisms have finite fibers. (This
is a useful exercise, because you will have to figure out how to get at points in a
fiber of a morphism: given π : X → Y, and q ∈ Y, what are the points of π−1 (q)?
This will be easier to do once we discuss fibers in greater detail, see Remark 10.3.5,
but it will be enlightening to do it now.) Hint: if X = Spec A and Y = Spec B
are both affine, and q = [q], then we can throw out everything in B outside q
by modding out by q; show that the preimage is Spec(A/π♯ qA). Then you have
reduced to the case where Y is the Spec of an integral domain B, and [q] = [(0)]
is the generic point. We can throw out the rest of the points of B by localizing at
(0). Show that the preimage is Spec of A localized at π♯ (B \ {0}). Show that the
condition of finiteness is preserved by the constructions you have done, and thus
reduce the problem to Exercise 8.3.G.
The previous two exercises show that finite morphisms are projective and
have finite fibers. The converse is also true, see Theorem 18.1.6.
There is more to finiteness than finite fibers, and three examples to keep in
mind are Example 8.3.6, Exercise 8.3.K, and Figure 19.1 (a variant of Figure 8.4
showing a morphism that is affine, closed, one-to-one on points and even a monomor-
phism, but not finite).
8.3.6. Example. The open embedding A2k − {(0, 0)} → A2k has finite fibers, but is not
affine (as A2k − {(0, 0)} isn’t affine, §4.4.1) and hence not finite.
8.3.K. E ASY E XERCISE . Show that the open embedding A1C − {0} → A1C has finite
fibers and is affine, but is not finite.
8.3.7. Definition. A morphism π : X → Y of schemes is integral if π is affine, and
for every affine open subset Spec B ⊂ Y, with π−1 (Spec B) = Spec A, the induced
map B → A is an integral ring morphism. This is an affine-local condition by Exer-
cises 8.2.A and 8.2.B, and the Affine Communication Lemma 5.3.2. It is closed un-
der composition by Exercise 8.2.C. Integral morphisms are mostly useful because
finite morphisms are integral by Corollary 8.2.2. Note that the converse implica-
tion doesn’t hold (witness Spec Q → Spec Q, as discussed after the statement of
Corollary 8.2.2).
8.3.L. E XERCISE . Prove that integral morphisms are closed, i.e., that the image
of closed subsets are closed. (Hence finite morphisms are closed. A second proof
will be given in §9.3.5.) Hint: Reduce to the affine case. If π♯ : B → A is a ring map,
inducing the integral morphism π : Spec A → Spec B, then suppose I ⊂ A cuts out
a closed set of Spec A, and J = (π♯ )−1 (I), then note that B/J ⊂ A/I, and apply the
Lying Over Theorem 8.2.5 here.
8.3.M. U NIMPORTANT EXERCISE . Suppose B → A is integral. Show that for any
ring morphism B → ∑nC, the induced map C → A ⊗B C is integral. (Hint: We wish
to show that any i=1 ai ⊗ ci ∈ A ⊗B C is integral over C. Use the fact that
each of the finitely many ai are integral over B, and then Exercise 8.2.D.) Once we
240 The Rising Sea: Foundations of Algebraic Geometry
know what “base change” is, this will imply that the property of integrality of a
morphism is preserved by base change, Exercise 10.4.D(e).
8.3.8. Fibers of integral morphisms. Unlike finite morphisms (Exercise 8.3.J), inte-
gral morphisms don’t always have finite fibers. (Can you think of an example?)
However, once we make sense of fibers as topological spaces (or even schemes) in
§10.3.2, you can check (Exercise 12.1.E) that the fibers have the property that no
point is in the closure of any other point.
8.3.9. Morphisms (locally) of finite type.
A morphism π : X → Y is locally of finite type if for every affine open set
Spec B of Y, and every affine open subset Spec A of π−1 (Spec B), the induced
morphism B → A expresses A as a finitely generated B-algebra. By the affine-
locality of finite-typeness of B-schemes (Proposition 5.3.3(b)), this is equivalent to:
π−1 (Spec B) can be covered by affine open subsets Spec Ai so that each Ai is a
finitely generated B-algebra.
A morphism π is of finite type if it is locally of finite type and quasicompact.
Translation: for every affine open set Spec B of Y, π−1 (Spec B) can be covered with
a finite number of open sets Spec Ai so that the induced morphism B → Ai expresses
Ai as a finitely generated B-algebra.
8.3.10. Linguistic curiosity. It is a common practice to name properties as follows:
P equals locally P plus quasicompact. Two exceptions are “ringed space” (§7.3)
and “finite presentation” (§8.3.13).
8.3.N. E XERCISE ( THE NOTIONS “ LOCALLY FINITE TYPE ” AND “ FINITE TYPE ” ARE
AFFINE - LOCAL ON THE TARGET ). Show that a morphism π : X → Y is locally of
finite type if there is a cover of Y by affine open sets Spec Bi such that π−1 (Spec Bi )
is locally finite type over Bi .
Example: the “structure morphism” Pn A → Spec A is of finite type, as PA is
n
covered by n + 1 open sets of the form Spec A[x1 , . . . , xn ].
Our earlier definition of schemes of “finite type over k” (or “finite type k-
schemes”) from §5.3.6 is now a special case of this more general notion: the phrase
“a scheme X is of finite type over k” means that we are given a morphism X →
Spec k (the “structure morphism”) that is of finite type.
Here are some properties enjoyed by morphisms of finite type.
8.3.O. E XERCISE ( FINITE = INTEGRAL + FINITE TYPE ).
(a) (easier) Show that finite morphisms are of finite type.
(b) Show that a morphism is finite if and only if it is integral and of finite type.
8.3.P. E XERCISES ( NOT HARD , BUT IMPORTANT ).
(a) Show that every open embedding is locally of finite type, and hence that every
quasicompact open embedding is of finite type. Show that every open embedding
into a locally Noetherian scheme is of finite type.
(b) Show that the composition of two morphisms locally of finite type is locally of
finite type. (Hence as the composition of two quasicompact morphisms is quasi-
compact, Easy Exercise 8.3.A, the composition of two morphisms of finite type is
of finite type.)
April 1, 2023 draft 241
(c) Suppose π : X → Y is locally of finite type, and Y is locally Noetherian. Show
that X is also locally Noetherian. If π : X → Y is a morphism of finite type, and Y is
Noetherian, show that X is Noetherian.
8.3.Q. E XERCISE . Suppose X is a scheme over Fp . Explain how to define (without
choice) an endomorphism F : X → X such that for each affine open subset Spec A ⊂
X, F corresponds to the map A → A given by f 7→ fp for all f ∈ A. (The morphism
F is called the absolute Frobenius morphism.)
8.3.11. Less important definition. A morphism π : X → Y is quasifinite if it is of
finite type, and for all q ∈ Y, π−1 (q) is a finite set. The main point of this definition
is the “finite fiber” part; the “finite type” hypothesis will ensure that this notion is
“preserved by fibered product,” Exercise 10.4.F.
Combining Exercise 8.3.J with Exercise 8.3.O(a), we see that finite morphisms
are quasifinite. There are quasifinite morphisms which are not finite, such as
A2k − {(0, 0)} → A2k (Example 8.3.6). However, we will soon see that quasifinite
morphisms to Spec k are finite (Exercise 8.4.D). A key example of a morphism
with finite fibers that is not quasifinite is Spec C(t) → Spec C. Another is Spec Q →
Spec Q. (For interesting behavior caused by the fact that Spec Q → Spec Q is not of
finite type, see Warning 10.1.5.)
8.3.12. How to picture quasifinite morphisms. If π : X → Y is a finite morphism of
locally Noetherian schemes, then for any quasicompact open subset U ⊂ X, the
induced morphism π|U : U → Y is quasifinite. In fact every reasonable quasifinite
morphism arises in this way. (This simple-sounding statement is in fact a deep and
important result — a form of Zariski’s Main Theorem, see Exercise 29.6.E.) Thus
the right way to visualize quasifiniteness is as a finite map with some (closed locus
of) points removed.
8.3.13. ⋆⋆ (Locally) finitely presented morphisms. The following variant of
“locally of finite type” is useful in non-Noetherian situations.
8.3.14. Definition. A ring A is a finitely presented B-algebra (or B → A is finitely
presented) if “A has a finite number of generators and a finite number of relations
over B”:
∼ B[x1 , . . . , xn ]/(f1 (x1 , . . . , xn ), . . . , fr (x1 , . . . , xn )).
A=
If B is Noetherian, then finitely presented is the same as finite type (“finite number
of relations” comes for free, Exercise 3.6.S), so normal people will not care.
8.3.R. E XERCISE : F INITELY PRESENTED IMPLIES ALWAYS FINITELY PRESENTED ( AL -
GEBRA VERSION ). Suppose A = B[x1 , . . . , xn ]/(f1 , . . . , fr ), where fi ∈ B[x1 , . . . , xn ].
Suppose also that Y1 , . . . , Ym generate A as an B-algebra, so we have a surjec-
tion ϕ : B[y1 , . . . , ym ] / / A where yj 7→ Yj . Show that the ideal ker(ϕ) ⊂
B[y1 , . . . , ym ] is finitely generated. Hint: follow the proof of Lemma 6.4.4.
8.3.15. Lemma (finite presentation of A over B is an affine-local property in A). —
The condition of a B-algebra being finitely presented satisfies the hypotheses of the Affine
Communication Lemma 5.3.2.
242 The Rising Sea: Foundations of Algebraic Geometry
Proof. (i) The first hypothesis of the Affine Communication Lemma is the content
of the following Exercise.
8.3.S. E XERCISE . Suppose A = B[x1 , . . . , xn ]/(f1 , . . . , fr ), and g ∈ A. Show that
Ag is a finitely presented B-algebra. (Hint: it has one more generator and one
more relation.)
(ii) (This argument is the hardest part of our discussion on finite presentation.)
We suppose that A is a B-algebra, and g1 , . . . , gm ∈ A with (g1 , . . . , gm ) = A, and
Agi finitely presented over B. We wish to show that A is finitely presented over B.
Now the Agi are finitely generated over B, so by Proposition 5.3.3(b), A is finitely
generated over B, say ϕ : B[x1 , . . . , xn ] / / A . We will show that I := ker(ϕ) is
a finitely generated ideal of B[x1 , . . . , xn ].
As (g1 , . . . , gm ) = A, we may choose hj ∈ A so that 1 = h1 g1 + · · · + hm gm .
Choose lifts Hj and Gj of the hj and gj respectively to B[x1 , . . . , xn ]. Define G0 =
1 − H1 G1 − · · · − Hm Gm , so G0 ∈ I, and (G0 , G1 , . . . , Gm ) = 1 in B[x1 , . . . , xn ].
8.3.T. E XERCISE . Show that IGj is a finitely generated module over B[x1 , . . . , xn ]Gj =
B[x1 , . . . , xn , yj ]/(yj Gj −1). (The case j = 0 is different but easy — IG0 = (1)!) Hint:
Lemma 8.3.R.
Then by Exercise 6.4.A (“finite generation of modules is an affine-local condi-
tion”), I is a finitely generated B[x1 , . . . , xn ]-module, i.e., a finitely generated ideal
of B[x1 , . . . , xn ], as desired. □
8.3.16. Definition. We say a B-scheme X → Spec B is locally finitely presented over
B if there exists an affine cover X = ∪ Spec Ai such that Ai is finitely presented over
B. This is equivalent (by Lemma 8.3.15) to A being finitely presented over B for all
affine open subsets Spec A of X.
8.3.U. E XERCISE ( THE NOTION OF “ LOCALLY FINITELY PRESENTED MORPHISM ” IS
AFFINE - LOCAL IN THE TARGET. Suppose π : X → Y is a morphism of schemes.
Show as Spec B ⊂ Y runs through the affine open subsets of Y, the condition
that π : π−1 (Spec B) → Spec B is locally finitely presented over Spec B satisfies
the hypotheses of the Affine Communication Lemma. (This is notably easier than
Lemma 8.3.15.)
8.3.17. Definition. A morphism π : X → Y is locally finitely presented (or locally
of finite presentation) if for every affine open set Spec B of Y, π−1 (Spec B) →
Spec B is locally finitely presented over Spec B. By Exercise 8.3.U, it suffices to
check a single affine cover of Y. (Hence this subsumes Definition 8.3.16.)
8.3.V. E XERCISE . Suppose π : X → Y is a morphism of schemes.
(a) Show that if π is locally of finite presentation, then for any open subscheme
Spec B of Y and any affine open subscheme Spec A of X with π(Spec A) ⊂ Spec B,
A is a finitely presented B-algebra.
(b) Suppose ∪ Spec Ai = X is an affine open cover of X, and Spec Bi are affine open
subsets of Y with π(Spec Ai ) ⊂ Spec Bi . Suppose Ai is finitely presented over Bi .
Show that π is locally finitely presented.
8.3.W. E XERCISE . Show that open embeddings are locally finitely presented.
April 1, 2023 draft 243
8.3.X. E XERCISE . Show that the composition of two locally finitely presented
morphisms is locally finitely presented.
8.3.18. ⋆⋆ Remark. A morphism π : X → Y is locally finitely presented if and only
if for every projective system of Y-schemes {Sλ }λ∈I with each Sλ an affine scheme,
the natural map
colimλ HomY (Sλ , X) → HomY (lim Sλ , X)
λ
is a bijection (see [Gr-EGA, IV3 .8.14.2]). This characterization of locally finitely
presented morphisms as “limit-preserving” can be useful.
8.3.19. Definition. A morphism is finitely presented (or of finite presentation) if
it is locally finitely presented, quasicompact, and quasiseparated.
This definition violates the principle that erasing “locally” is the same as adding
“quasicompact and” (Remark 8.3.10). But it is well motivated: finite presentation
means “finite in all possible ways” (the algebra corresponding to each affine open
set has a finite number of generators, and a finite number of relations, and a finite
number of such affine open sets cover, and their intersections are also covered by
a finite number affine open sets) — it is all you would hope for in a scheme with-
out it actually being Noetherian. Exercise 10.3.H makes this precise, and explains
how this notion often arises in practice.
If Y is locally Noetherian, then locally of finite presentation is the same as
locally of finite type, and finite presentation is the same as finite type. So if you are
a Noetherian person, you don’t need to worry about this notion.
8.4 Images of morphisms: Chevalley’s Theorem and elimination
theory
In this section, we will answer a question that you may have wondered about
long before hearing the phrase “algebraic geometry”. If you have a number of
polynomial equations in a number of variables with indeterminate coefficients,
you would reasonably ask what conditions there are on the coefficients for a (com-
mon) solution to exist. Given the algebraic nature of the problem, you might hope
that the answer should be purely algebraic in nature — it shouldn’t be “random”,
or involve bizarre functions like exponentials or cosines. You should expect the an-
swer to be given by “algebraic conditions”. This is indeed the case, and it can be
profitably interpreted as a question about images of maps of varieties or schemes,
in which guise it is answered by Chevalley’s Theorem 8.4.2 (see §8.4.8 for a more
precise proof). As a consequence we get an immediate proof of the Nullstellen-
satz 3.2.6 (§8.4.3).
In certain cases, the image is nicer still. For example, the image of a finite
morphism is always closed (Exercise 8.3.L). We will prove a classical result, the
Fundamental Theorem of Elimination Theory 8.4.10, which essentially generalizes
this (as explained in §9.3.5) to maps from projective space.
In a different direction, in the distant future we will see that in certain good
circumstances (“flat” plus a bit more, see Exercise 24.5.G), morphisms are open
244 The Rising Sea: Foundations of Algebraic Geometry
(the image of open subsets is open); one example (which you can try to show
directly) is An
B → Spec B.
8.4.1. Chevalley’s Theorem.
If π : X → Y is a morphism of schemes, the notion of the image of π as sets is
clear: we just take the points in Y that are the image of points in X. We know that
the image can be open (open embeddings), and we have seen examples where it
is closed, and more generally, locally closed. But it can be weirder still: consider
the morphism A2k → A2k given by (x, y) 7→ (x, xy). The image is the plane, with
the y-axis removed, but the origin put back in (Figure 8.6). We make a definition
to capture this phenomenon. A constructible subset of a Noetherian topological
space is a subset which belongs to the smallest family of subsets such that (i) every
open set is in the family, (ii) a finite intersection of family members is in the family,
and (iii) the complement of a family member is also in the family. For example, the
image of (x, y) 7→ (x, xy) is constructible.
F IGURE 8.6. The image of (x, y) 7→ (x, xy) = (u, v).
8.4.A. E XERCISE : CONSTRUCTIBLE SUBSETS ARE FINITE DISJOINT UNIONS OF LO -
CALLY CLOSED SUBSETS . Recall that a subset of a topological space X is locally
closed if it is the intersection of an open subset and a closed subset. (Equivalently,
it is an open subset of a closed subset, or a closed subset of an open subset. We
will later have trouble extending this to open and closed and locally closed sub-
schemes, see Exercise 9.2.B.) Show that a subset of a Noetherian topological space
X is constructible if and only if it is the finite disjoint union of locally closed subsets.
As a consequence, if X → Y is a continuous map of Noetherian topological
spaces, then the preimage of a constructible set is a constructible set. (Important
remark: the only reason for the hypothesis of the topological space in question
being Noetherian is because this is the only setting in which we have defined con-
structible sets. An extension of the notion of constructibility to more general topo-
logical spaces is mentioned in Exercise 10.3.I.)
8.4.B. E ASY E XERCISE ( USED IN §8.4.3). Show that the generic point of A1k does
not form a constructible subset of A1k (where k is a field).
April 1, 2023 draft 245
8.4.C. E XERCISE ( USED IN E XERCISE 24.5.G).
(a) Show that a constructible subset of a Noetherian scheme is closed if and only if
it is “stable under specialization”. More precisely, if Z is a constructible subset of a
Noetherian scheme X, then Z is closed if and only if for every pair of points y1 and
y2 with y1 ∈ y2 , if⨿y2 ∈ Z, then y1 ∈ Z. Hint for the “if” implication: show that Z
n
can be written as i=1 U⨿ i ∩ Zi where Ui ⊂ X is open and Zi ⊂ X is closed. Show
n
that Z can be written as i=1 Ui ∩ Zi (with possibly different n, Ui , Zi ) where
each Zi is irreducible and meets Ui . Now use “stability under specialization” and
the generic point of Zi to show that Zi ⊂ Z for all i, so Z = ∪Zi .
(b) Show that a constructible subset of a Noetherian scheme is open if and only if
it is “stable under generization”. (Hint: this follows in one line from (a).)
The image of a morphism of schemes can be stranger than a constructible set.
Indeed if S is any subset of a scheme Y, it can be the image of a morphism: let X
be the disjoint union of spectra of the residue fields of all the points of S, and let
π : X → Y be the natural map. This is quite pathological, but in any reasonable sit-
uation, the image is essentially no worse than what arose in the previous example
of (x, y) 7→ (x, xy). This is made precise by Chevalley’s Theorem.
8.4.2. Chevalley’s Theorem. — If π : X → Y is a finite type morphism of Noetherian
schemes, the image of any constructible set is constructible. In particular, the image of π
is constructible.
(For the minority who might care: see §10.3.8 for an extension to locally finitely
presented morphisms.) We discuss the proof after giving some important conse-
quences that may seem surprising, in that they are algebraic corollaries of a seem-
ingly quite geometric and topological theorem. The first is a proof of the Nullstel-
lensatz.
8.4.3. Proof of the Nullstellensatz 3.2.6. We wish to show that if K is a field extension
of k that is finitely generated as a k-algebra, say by x1 , . . . , xn , then it is a finite
extension of fields. It suffices to show that each xi is algebraic over k. But if xi is not
algebraic over k, then we have an inclusion of rings k[xi ] → K, corresponding to
a dominant morphism π : Spec K → A1k of finite type k-schemes. Of course Spec K
is a single point, so the image of π is one point. By Chevalley’s Theorem 8.4.2 and
Exercise 8.4.B, the image of π is not the generic point of A1k , so im(π) is a closed
point of A1k , and thus π is not dominant. □
A similar idea can be used in the following exercise.
8.4.D. E XERCISE ( QUASIFINITE MORPHISMS TO A FIELD ARE FINITE ). Suppose
π : X → Spec k is a quasifinite morphism. Show that π is finite. (Hint: deal first
with the affine case, X = Spec A, where A is finitely generated over k. Suppose
A contains an element x that is not algebraic over k, i.e., we have an inclusion
k[x] ,→ A. Exercise 8.3.G may help.)
8.4.E. E XERCISE . Suppose X is a scheme of finite type over Spec Z, and p is a
closed point of X. Show that the residue field κ(p) is a finite field.
8.4.F. E XERCISE ( FOR MAPS OF VARIETIES , SURJECTIVITY CAN BE CHECKED ON
CLOSED POINTS ). Assume Chevalley’s Theorem 8.4.2. Show that a morphism
246 The Rising Sea: Foundations of Algebraic Geometry
of affine k-varieties π : X → Y is surjective if and only if it is surjective on closed
points (i.e., if every closed point of Y is the image of a closed point of X). (Once we
define varieties in general, in Definition 11.3.9, you will see that your argument
works without change with the adjective “affine” removed.)
8.4.4. Proof of Chevalley’s Theorem 8.4.2.
8.4.G. E XERCISE .
(a) Reduce the proof of Chevalley’s Theorem to the case where Y is affine, say
Y = Spec B.
(b) Reduce further to the case where X is affine, say X = Spec B[t1 , . . . , tn ]/I.
(c) Reduce further to the case where X = An B = Spec B[t1 , . . . , tn ].
(d) Reduce further to the case where X = A1B = Spec B[t].
We have simplified the task to showing that given π : X = Spec B[t] →
Spec B = Y, the image of any constructible subset of X is constructible in Y. Be-
cause constructible sets are finite unions of locally closed subsets (Exercise 8.4.A
— we are in the Noetherian situation), we need only show that the image of any
locally closed subset Z of X is constructible in Y.
8.4.5. An important special case. We begin with the case when Z is a closed subset of
X = A1B , say
Z = V(f1 (t), . . . , fr (t)), where fi (t) = aidi tdi + · · · + ai1 t + ai0 ,
with aij ∈ B, so fi (t) ∈ B[t] and di = deg fi (t).
Now Y = Spec B is the finite disjoint union of locally closed subsets Y⃗e indexed
by ⃗e = (e1 , . . . , er ), where ei ∈ Z, −1 ≤ ei ≤ di , and Y⃗e is the locus where
f1 (t), . . . , fr (t) have “true degree” e1 , . . . , er respectively: the coefficient of tei in
fi (t) is nonzero, and the “higher” coefficients are zero (at the points of Y⃗e ). More
precisely: Y⃗e ⊂ Y is the locus where aiei ̸= 0, and aij = 0 for j > ei . (The zero
polynomial has “true degree” −1 under this convention.) More precisely still, we
define Y⃗e := Spec B⃗e , where
∩
∏
B i aiei
B⃗e := , so Y⃗e = (∩i D(aiei )) ∩ V(aij ) .
(aij )j>ei i
j>ei
If ⃗e = (−1, . . . , −1), then
([Link]) π−1 (Y⃗e )
π / Y⃗e
is surjective (the map ([Link]) is Spec B(−1,...,−1) [t] → Spec B(−1,...,−1) ), and if
⃗e ̸= (−1, . . . , −1), ([Link]) is a finite morphism corresponding to the map of rings
( )
B⃗e / B⃗e [t]/ te1 + a1(e1 −1) te1 −1 + · · · + a10 , . . . , ter + ar(er −1) ter −1 + · · · + ar0
.
a1e 1
a1e 1
arer arer
(The ring on the right is generated as a B⃗e -module by 1, t, . . . , tmax(ei ) .) Because
the images of finite morphisms are closed (Exercise 8.3.L), π(Z) ∩ Y⃗e (the image of
([Link])) is a locally closed subset of Y, so π(Z) is indeed constructible when Z is
closed. We have completed our important special case.
April 1, 2023 draft 247
8.4.6. Note that the locus of points q ∈ Y where the entire fiber π−1 (q) is con-
tained in Z, {q ∈ Y : π−1 (q) ⊂ Z}, is a closed subset of Y: it is Spec B(−1,...,−1) =
Spec B/(aij ). We call this FL(Z) ⊂ Y, the “fibral locus for Z”, only for the rest of
this proof.
8.4.7. Finally, if Z is locally closed, then Z ⊂ X is closed, so π(Z) is a constructible
subset of Y = Spec B. Define δZ := Z \ Z, a closed subset of X; FL(Z) and FL(δZ)
are both closed subsets of Y by §8.4.6. Since FL(Z) \ FL(δZ) is contained in π(Z),
and FL(δZ) is contained in the complement of π(Z), it suffices to prove the result
for the open subset Y ′ := Y \ (FL(Z) ∪ FL(δZ)) ⊂ Y. Let π ′ : X ′ = A1Y ′ → Y ′ be the
restriction of π above Y ′ , and let Z ′ = Z ∩ A1Y ′ (which is quasifinite above Y ′ ), and
δZ ′ = Z ′ \ Z ′ ⊂ A1Y ′ (where Z ′ is the closure of Z ′ in A1Y ′ ).
8.4.H. E XERCISE . Show that the closed subset δZ ′ ⊂ A1Y ′ does not meet any
generic fiber of π ′ , i.e., the preimage of any generic point of Y ′ . Hence show that
there is a dense open subset of Y ′ not intersecting the constructible set π ′ (δZ ′ ).
We have now proved the result above a dense open subset of Spec B.
8.4.I. E XERCISE . Finish the proof of Chevalley’s Theorem 8.4.2 by invoking Noe-
therian induction (in a suitably rigorous manner).
□
8.4.8. ⋆ Elimination of quantifiers. A basic sort of question that arises in any
number of contexts is when a system of equations has a solution. Suppose for
example you have some polynomials in variables x1 , . . . , xn over an algebraically
closed field k, some of which you set to be zero, and some of which you set to
be nonzero. (This question is of fundamental interest even before you know any
scheme theory!) Then there is an algebraic condition on the coefficients which will
n
tell you if there is a solution. Define the Zariski topology on k in the obvious way:
closed subsets are cut out by equations. (A mild generalization of this appears in
Exercise 12.2.L.)
8.4.J. E XERCISE ( ELIMINATION OF QUANTIFIERS , OVER AN ALGEBRAICALLY CLOSED
FIELD ). Fix an algebraically closed field k. Suppose
f1 , . . . , fp , g1 , . . . , gq ∈ k[W1 , . . . , Wm , X1 , . . . Xn ]
m
are given. Show that there is a (Zariski-)constructible subset Y of k such that
([Link]) f1 (w1 , . . . , wm , X1 , . . . , Xn ) = · · · = fp (w1 , . . . , wm , X1 , . . . , Xn ) = 0
and
([Link]) g1 (w1 , . . . , wm , X1 , . . . , Xn ) ̸= 0 ··· gq (w1 , . . . , wm , X1 , . . . , Xn ) ̸= 0
n
has a solution (X1 , . . . , Xn ) = (x1 , . . . , xn ) ∈ k if and only if (w1 , . . . , wm ) ∈ Y.
Hints: if Z is a finite type scheme over k, and the closed points are denoted Zcl (“cl”
is for either “closed” or “classical”), then under the inclusion of topological spaces
Zcl ,→ Z, the Zariski topology on Z induces the Zariski topology on Zcl . Note that
p
we can identify (Ap k
)cl with k by the Nullstellensatz (Exercise 5.3.F). If X is the
locally closed subset of Am+n cut out by the equalities and inequalities ([Link])
248 The Rising Sea: Foundations of Algebraic Geometry
and ([Link]), we have the diagram
/ X
Xcl / Am+n
loc. cl.
ww
www
πcl π
ww
m {ww
k / Am
where Y = im πcl . By Chevalley’s Theorem 8.4.2, im π is constructible, and hence
m m
so is (im π) ∩ k . It remains to show that (im π) ∩ k = Y (= im πcl ). You might
use the Nullstellensatz.
This is called “elimination of quantifiers” because it gets rid of the quantifier
“there exists a solution”. The analogous statement for real numbers, where inequal-
ities are also allowed, is a special case of Tarski’s celebrated theorem of elimination
of quantifiers for real closed fields (see, for example, [Ta]).
8.4.9. The Fundamental Theorem of Elimination Theory.
In the case of projective space (and later, projective morphisms), one can do
better than Chevalley (at least in describing images of closed subsets).
8.4.10. Theorem (Fundamental Theorem of Elimination Theory). — The mor-
phism π : Pn
A → Spec A is closed (sends closed sets to closed sets).
Note that no Noetherian hypotheses are needed.
A great deal of classical algebra and geometry is contained in this theorem as
special cases. Here are some examples.
First, let A = k[a, b, c, . . . , i], and consider the closed subset of P2A (taken with
coordinates x, y, z) corresponding to ax + by + cz = 0, dx + ey + fz = 0, gx + hy +
iz = 0. Then we are looking for the locus in Spec A where these equations have a
nontrivial solution. This indeed corresponds to a Zariski-closed set — where
a b c
det d e f = 0.
g h i
Thus the idea of the determinant is embedded in elimination theory.
As a second example, let A = k[a0 , a1 , . . . , am , b0 , b1 , . . . , bn ]. Now consider
the closed subset of P1A (taken with coordinates x and y) corresponding to a0 xm +
a1 xm−1 y + · · · + am ym = 0 and b0 xn + b1 xn−1 y + · · · + bn yn = 0. Then there is a
polynomial in the coefficients a0 , . . . , bn (an element of A) which vanishes if and
only if these two polynomials have a common nonzero root — this polynomial is
called the resultant.
More generally, given a number of homogeneous equations in n + 1 variables
with indeterminate coefficients, Theorem 8.4.10 implies that one can write down
equations in the coefficients that precisely determine when the equations have a
nontrivial solution.
8.4.11. Proof of the Fundamental Theorem of Elimination Theory 8.4.10. Suppose
Z ,→ PnA is a closed subset. We wish to show that π(Z) is closed.
By the definition of the Zariski topology on Proj A[x0 , . . . , xn ] (§4.5.7), Z is cut
out (set-theoretically) by some homogeneous elements f1 , f2 , . . . ∈ A[x0 , . . . , xn ].
We wish to show that the points p ∈ Spec A that are in π(Z) form a closed subset.
April 1, 2023 draft 249
Equivalently, we want to show that those p for which f1 , f2 , . . . have a common
zero in Proj κ(p)[x0 , . . . , xn ] form a closed subset of Spec A.
To motivate our argument, we consider a related question. Suppose that S• :=
k[x0 , . . . , xn ], and that g1 , g2 , . . . ∈ k[x0 , . . . , xn ] are homogeneous polynomials.
How can we tell if g1 , g2 , . . . have a common zero in Proj S• = Pn k?
They would have a common zero if and only if in
An+1
k = Spec S• ,
they cut out (set-theoretically) more than the origin, i.e., if set-theoretically
V(g1 , g2 , . . . ) ̸⊂ V(x0 , . . . , xn ).
By the inclusion-reversing bijection between closed subsets and radical ideals (The-
orem 3.7.1), this is true if and only if
√ √
(g1 , g2 , . . . ) ̸⊃ (x0 , . . . , xn ).
But (x0 , . . . , xn ) is radical, so this is true if and only if
√
(g1 , g2 , . . . ) ̸⊃ (x0 , . . . , xn ).
This is√true if and only if not all of the generators x0 , . . . , xn of the ideal (x0 , . . . , xn )
are in (g1 , g2 , . . . ), which is true if only if there is some i such that no power of
xi is in (g1 , g2 , . . . ). This is true if and only if
(x0 , . . . , xn )N ̸⊂ (g1 , g2 , . . . ) for all N.
(Do you see why this implication goes both ways?) This is equivalent to
SN ̸⊂ (g1 , g2 , . . . ) for all N,
which may be rewritten as
([Link]) SN ̸⊂ g1 SN−deg g1 ⊕ g2 SN−deg g2 ⊕ · · ·
for all N. In other words, this is equivalent to the statement that the k-linear map
SN−deg g1 ⊕ SN−deg g2 ⊕ · · · → SN
is not surjective. This map is given by a matrix with dim SN rows. (It may have an
infinite number of columns, but this will not bother us.) To check that this linear
map is not surjective, we need only check that all the “maximal” (dim SN ×dim SN )
determinants are zero. (Of course, we need to check this for all N.) Thus the
condition that g1 , g2 , . . . have no common zeros in Pnk is the same as checking
some (admittedly infinite) number of equations. In other words, it is a Zariski-
closed condition on the coefficients of the polynomials g1 , g2 , . . . .
8.4.K. E XERCISE . Complete the proof of the Fundamental Theorem of Elimination
Theory 8.4.10. (Hint: follow precisely the same argument, with k replaced by A,
and the gi replaced by the fi . How and why does this prove the theorem?) □
Notice that projectivity was crucial to the proof: we used graded rings in an
essential way. Notice also that the proof is essentially just linear algebra.
CHAPTER 9
Closed embeddings and related notions
9.1 Closed embeddings and closed subschemes
The scheme-theoretic analog of closed subsets has a surprisingly different fla-
vor from the analog of open sets (open subschemes/embeddings). However, just
as open subschemes (the scheme-theoretic version of open set) are locally mod-
eled on open sets U ⊂ Y, the analog of closed subsets also has a local model. This
was foreshadowed by our understanding of closed subsets of Spec B as roughly
corresponding to ideals. If I ⊂ B is an ideal, then Spec B/I ,→ Spec B is a mor-
phism of schemes, and we have checked that on the level of topological spaces, this
describes Spec B/I as a closed subset of Spec B, with the subspace topology (Exer-
cise 3.4.I). This morphism is our “local model” of a closed subscheme/embedding.
9.1.1. Definition. A morphism π : X → Y is a closed embedding (or closed im-
mersion) if it is an affine morphism, and for every affine open subset Spec B ⊂ Y,
with π−1 (Spec B) = ∼ Spec A, the map B → A is surjective (i.e., of the form B → B/I,
our desired local model). (“Embedding” is preferable to “immersion”, because the
differential geometric notion of immersion is closer to what algebraic geometers
call unramified, which we will define in §21.6.) The symbol ,→ often is used to in-
dicate that a morphism is a closed embedding (or more generally, a locally closed
embedding, §9.2).
If X is a subset of Y (and π on the level of sets is the inclusion), we say that X is a
closed subscheme of Y. A closed embedding is the same thing as an isomorphism
with a closed subscheme.
9.1.A. E XERCISE . Show that a closed embedding identifies the topological space
of X with a closed subset of the topological space of Y. (Caution: The closed em-
beddings Spec k[x]/(x) ,→ Spec k[x] and Spec k[x]/(x2 ) ,→ Spec k[x] show that the
closed subset does not determine the closed subscheme. The “infinitesimal” infor-
mation, or “fuzz”, is lost.)
9.1.B. E ASY E XERCISE . Show that closed embeddings are finite morphisms, hence
of finite type.
9.1.C. E ASY E XERCISE . Show that the composition of two closed embeddings is a
closed embedding.
9.1.D. E XERCISE . Show that the property of being a closed embedding is affine-
local on the target.
251
252 The Rising Sea: Foundations of Algebraic Geometry
In particular, if B → A is a surjection of rings, then the induced morphism
Spec A → Spec B is a closed embedding.
9.1.2. Important: Closed subschemes correspond to quasicoherent sheaves of
ideals. A closed subscheme π : X ,→ Y gives a surjection of OY -modules
OY / π∗ OX . The kernel IX/Y of this map is a sub-OY -module of OY , which
we quite reasonably call an ideal sheaf (or sheaf of ideals) on Y. On each open subset
U, it gives an ideal IX/Y (U) of the ring OY (U); on the affine open subset Spec B, it
gives the ideal I of B determining the surjection B → A = B/I in the definition of
“closed subscheme”. We call the exact sequence (of OY -modules)
([Link]) 0 / IX/Y / OY / π∗ OX /0
the closed subscheme exact sequence. It is actually an exact sequence of quasico-
herent sheaves on Y:
9.1.E. E XERCISE . Show that π∗ OX is a quasicoherent sheaf on Y. (One way of
proceeding is to use Exercise 6.2.D.)
Quasicoherent sheaves form an abelian category, so IX/Y = ker(OY → π∗ OX )
is also a quasicoherent sheaf on Y.
We recover X (and its map to Y) from the ideal sheaf IX/Y via ([Link]): for each
affine open subset Spec B ⊂ Y, the sections over Spec B give us an exact sequence
0 /I /B / B/I / 0, ,
and Spec B/I is π−1 (Spec B).
The converse holds:
9.1.F. I MPORTANT E XERCISE . Prove that every quasicoherent sheaf of ideals on Y
produces a closed subscheme on Y in this way.
This is a hard exercise, so as a hint, here are two different ways of proceed-
ing; some combination of them may work for you. Approach 1. For each affine
open Spec B, we have a closed subscheme Spec B/I(B) ,→ Spec B. (i) For any two
affine open subschemes Spec A and Spec B, show that the two closed subschemes
Spec A/I(A) ,→ Spec A and Spec B/I(B) ,→ Spec B restrict to the same closed sub-
scheme of their intersection. (Hint: cover their intersection with open sets simulta-
neously distinguished in both affine open sets, Proposition 5.3.1.) Thus for exam-
ple we can glue these two closed subschemes together to get a closed subscheme of
Spec A ∪ Spec B. (ii) Use Exercise 4.4.A on gluing schemes (or the ideas therein) to
glue together the closed embeddings in all affine open subschemes simultaneously.
You will only need to worry about triple intersections. Approach 2. (i) Describe X
first as a subset of Y. (ii) Check that X is closed. (iii) Define the sheaf of functions
OX on this subset, perhaps using compatible germs. (iv) Check that this resulting
ringed space is indeed locally the closed subscheme given by Spec B/I ,→ Spec B.
EXERCISE : A SHEAF OF IDEALS ( AS O - MODULES ) THAT IS
9.1.G. U NIMPORTANT
NOT QUASICOHERENT. Let X = Spec k[x](x) , the “germ of the affine line at the
origin”, which has two points, the closed point and the generic point η. Define
I (X) = {0} ⊂ OX (X) = k[x](x) , and I (η) = k(x) = OX (η). Show that this sheaf of
ideals does not correspond to a closed subscheme.
April 1, 2023 draft 253
9.1.H. ⋆⋆ H ARD ( AND FRANKLY UNIMPORTANT ) E XERCISE ( NOT USED LATER ). In
the literature, the usual definition of a closed embedding is a morphism π : X → Y
such that π induces a homeomorphism of the underlying topological space of X
onto a closed subset of the topological space of Y, and the induced map π♯ : OY →
π∗ OX of sheaves on Y is surjective. (By “surjective” we mean that the ring mor-
phism on stalks is surjective.) Show that this definition agrees with the one given
above. (To show that our definition involving surjectivity on the level of affine
open sets implies this definition, you can use the fact that surjectivity of a mor-
phism of sheaves can be checked on a suitably chosen base, Exercise 2.5.D.)
We have now defined the analog of open subsets and closed subsets in the
land of schemes. Their definition is slightly less “symmetric” than in the classical
topological setting: the “complement” of a closed subscheme is a unique open
subscheme, but there are many “complementary” closed subschemes to a given
open subscheme in general. (We will soon define one that is “best”, that has a
reduced structure, §9.4.9.)
9.1.3. Examples and properties.
9.1.I. I MPORTANT E XERCISE .
(a) In analogy with closed subsets, define the notion of a finite (scheme-theoretic)
union of closed subschemes of X, and an arbitrary (not necessarily finite) (scheme-
theoretic) intersection of closed subschemes of X. (Exercise 9.1.F may help.) Hint:
If X is affine, then you might expect that the union of closed subschemes corre-
sponding to I1 and I2 would be the closed subscheme corresponding to either
I1 ∩ I2 or I1 I2 — but which one? We would want the union of a closed subscheme
with itself to be itself, so the right choice is I1 ∩ I2 .
(b) Describe the scheme-theoretic intersection of V(y − x2 ) and V(y) in A2 . See
Figure 4.5 for a picture. (For example, explain informally how this corresponds
to two curves meeting at a single point with multiplicity 2 — notice how the 2 is
visible in your answer. Alternatively, what is the nonreducedness telling you —
both its “size” and its “direction”?) Describe their scheme-theoretic union.
(c) Show that the underlying set of a finite union of closed subschemes is the finite
union of the underlying sets, and similarly for arbitrary intersections.
(d) Describe the scheme-theoretic intersection of V(y2 − x2 ) and V(y) in A2 . Draw
a picture. (Did you expect the intersection to have multiplicity one or multiplic-
ity two?) Hence show that if X, Y, and Z are closed subschemes of W, then
(X ∩ Z) ∪ (Y ∩ Z) ̸= (X ∪ Y) ∩ Z in general. In particular, not all properties of
intersection and union carry over from sets to schemes.
9.1.J. E XERCISE . Show that closed embeddings (like open embeddings, Easy Ex-
ercise 8.1.E) are monomorphisms.
In many cases, loci which are a priori closed sets often have enriched versions
as closed subschemes. The remaining exercises are examples of this. (As described
in §6.6.33, we often indicate that we are considering scheme-theoretic enrichments
by adding the adjective scheme-theoretic — for example, we say “scheme-theoretic
intersection”, “scheme-theoretic union”, and so forth.)
254 The Rising Sea: Foundations of Algebraic Geometry
9.1.K. I MPORTANT E XERCISE /D EFINITION : THE VANISHING S CHEME ( CF. E XER -
CISE 4.5.S).
(a) Suppose Y is a scheme, and s ∈ Γ (Y, OY ). Define the closed subscheme cut out
by s. We call this the vanishing scheme V(s) of s, as it is the scheme-theoretic ver-
sion of our earlier (set-theoretical) version of V(s) (§3.4.1). (Hint: on affine open
Spec B, we just take Spec B/(sB ), where sB is the restriction of s to Spec B. Use
Exercise 9.1.F to show that this yields a well-defined closed subscheme.)
(b) If u is an invertible function, show that V(s) = V(su).
(c) If S is a set of functions, define V(S).
9.1.4. Definition: scheme-theoretic support. If M is an A-module, we call the closed
subscheme Spec(A/ Ann m) of Spec A the scheme-theoretic support of m. (This
is often described as the “smallest closed subscheme on which m is defined”. Can
you make this precise?)
9.1.L. E XERCISE . Show that the underlying set of the scheme-theoretic support of
m is the usual “set-theoretic” support, Supp m.
9.1.M. E XERCISE . Define the scheme-theoretic support of a finitely generated
A-module M to be the scheme-theoretic intersection of all closed subschemes
Spec A/I ,→ Spec A for which M is an (A/I)-module. Show that it is the scheme-
theoretic union of the scheme-theoretic supports of any finite generating set of M.
9.1.N. E XERCISE ( GLOBALIZING THE PREVIOUS EXERCISE ). Suppose X is a scheme,
and F is a finite type quasicoherent sheaf on X. How will you define the scheme-
theoretic support of F ?
9.2 Locally closed embeddings and locally closed subschemes
Now that we have defined analogs of open and closed subsets, it is natural
to define the analog of locally closed subsets. Recall that locally closed subsets
are intersections of open subsets and closed subsets. Hence they are closed sub-
sets of open subsets, or equivalently open subsets of closed subsets. The analog
of these equivalences will be a little problematic in the land of schemes. (Simiarly,
the notion of subgroup and quotient group are not quite complementary. Rhetor-
ical question: should “subquotient” of a group G be defined as a subgroup of a
quotient of G , or a quotient of a subgroup of G, or are these the same? We will
confront the same issue when defining locally closed embeddings.)
We say a morphism π : X → Y is a locally closed embedding (or locally closed
immersion) if π can be factored into
/ Z
X /Y
ρ τ
closed open
where (as indicated) ρ is a closed embedding and τ is an open embedding. For
example, the morphism Spec k[t, t−1 ] → Spec k[x, y] given by (x, y) 7→ (t, 0) is
a locally closed embedding (Figure 9.1). The symbol ,→ is often used to indi-
cate that a morphism is a locally closed embedding. Because closed embeddings
and open embeddings are monomorphisms (Exercises 9.1.J and 8.1.E respectively),
April 1, 2023 draft 255
and monomorphisms are preserved by composition, locally closed embeddings
are also monomorphisms.
F IGURE 9.1. The locally closed embedding Spec k[t, t−1 ] →
Spec k[x, y] (t 7→ (t, 0) = (x, y), i.e., (x, y) → (t, 0))
(Warning: The term immersion is often used instead of locally closed embedding
or locally closed immersion, but this is unwise terminology, for reasons that already
arose for closed embeddings in Definition 9.1.1: The differential geometric notion
of immersion is closer to what algebraic geometers call unramified, which we will
define in §21.6. Also, the naked term embedding should be avoided, because it is
needlessly imprecise.)
9.2.1. If X is a subset of Y (and π on the level of sets is the inclusion), we say X is
a locally closed subscheme of Y. (Warning: the naked term subscheme is often
used to mean locally closed subscheme, but we will avoid this unhappy usage.)
9.2.A. E ASY EXERCISE . Show that locally closed embeddings are locally of finite
type.
At this point, you could define the intersection of two locally closed embed-
dings in a scheme X (which will also be a locally closed embedding in X). But
it would be awkward, as you would have to show that your construction is in-
dependent of the factorizations of each locally closed embedding into a closed
embedding and an open embedding. Instead, we wait until Exercise 10.2.C, when
recognizing the intersection as a fibered product will make this easier.
Clearly an open subscheme U of a closed subscheme V of X can be interpreted
as a closed subscheme of an open subscheme: as the topology on V is induced
from the topology on X, the underlying set of U is the intersection of some open
subset U ′ on X with V. We can take V ′ = V ∩ U ′ , and then V ′ → U ′ is a closed
embedding, and U ′ → X is an open embedding.
It is not clear that a closed subscheme V ′ of an open subscheme U ′ can be
expressed as an open subscheme of a closed subscheme V. In the category of
topological spaces, we would take V as the closure of V ′ , so we are now motivated
to define the analogous construction, which will give us an excuse to introduce
256 The Rising Sea: Foundations of Algebraic Geometry
several related ideas, in §9.4. We will then resolve this issue in good cases (e.g., if
X is Noetherian) in Exercise 9.4.C.
We formalize our discussion in an exercise.
9.2.B. E XERCISE . Suppose V → X is a morphism. Consider three conditions:
(i) V is the intersection of an open subscheme of X and a closed subscheme
of X (you will have to define the meaning of “intersection” here, see Ex-
ercise 8.1.D, or else see the hint below).
(ii) V is an open subscheme of a closed subscheme of X, i.e., it factors into an
open embedding followed by a closed embedding.
(iii) V is a closed subscheme of an open subscheme of X, i.e., V is a locally
closed embedding.
Show that (i) and (ii) are equivalent, and both imply (iii). (Remark: (iii) does not
always imply (i) and (ii), see the pathological example [Stacks, tag 01QW].) Hint:
It may be helpful to think of the problem as follows. You might hope to think of a
locally closed embedding as a fibered diagram.
V _
open emb.
/ K
_
closed emb. closed emb.
U /X
open emb.
(We already know that fibered products with open embeddings exist, by Exer-
cise 8.1.D.) Interpret (i) as the existence of the diagram. Interpret (ii) as this dia-
gram minus the lower left corner. Interpret (iii) as the diagram minus the upper
right corner.
9.2.C. E XERCISE . Show that the composition of two locally closed embeddings is
a locally closed embedding. (Hint: you might use (ii) implies (iii) in the previous
exercise.)
9.2.2. Unimportant but fun remark. It may feel odd that in the definition of a
locally closed embedding, we had to make a choice (as a composition of a closed
embedding followed by an open embedding, rather than vice versa), but this type
of issue comes up earlier: a subquotient of a group can be defined as the quotient
of a subgroup, or a subgroup of a quotient. Which is the right definition? Or are
they the same? (Hint: compositions of two subquotients should certainly be a
subquotient, cf. Exercise 9.2.C.)
9.3 Important examples from projective geometry
We now interpret closed embeddings in terms of graded rings. Don’t worry;
most of the annoying foundational discussion of graded rings is complete, and we
now just take advantage of our earlier work.
9.3.1. Example: Closed embeddings in projective space Pn A . Recall the definition
of projective space Pn
A given in §4.4.10 (and the terminology defined there). Any
homogeneous polynomial f in x0 , . . . , xn defines a closed subscheme. (Thus even if
April 1, 2023 draft 257
f doesn’t make sense as a function, its vanishing scheme still makes sense.) On
the open set Ui , the closed subscheme is V(f(x0/i , . . . , xn/i )), which we privately
deg f
think of as V(f(x0 , . . . , xn )/xi ). On the overlap
Ui ∩ Uj = Spec A[x0/i , . . . , xn/i , x−1
j/i ]/(xi/i − 1),
these functions on Ui and Uj don’t exactly agree, but they agree up to a nonva-
nishing scalar, and hence cut out the same closed subscheme of Ui ∩ Uj (Exer-
cise 9.1.K(b)):
deg f
f(x0/i , . . . , xn/i ) = xj/i f(x0/j , . . . , xn/j ).
Similarly, a collection of homogeneous polynomials in A[x0 , . . . , xn ] cuts out a
closed subscheme of Pn A . (Exercise 15.6.J will show that all closed subschemes
of Pn
A are of this form.)
9.3.2. Definition. As usual, let k be a field. A closed subscheme of Pn k cut out by
a single (nonzero, homogeneous) equation is called a hypersurface (in Pn k ). (Be
careful: the word “hypersurface” can be used to mean slightly different things in
algebraic geometry, for entirely reasonable reasons, see for example §12.1.5.) Of
course, a hypersurface is not cut out by a single global function on Pn k : there are
no nonconstant global functions (Exercise 4.4.E). The degree of a hypersurface is
the degree of the polynomial. (Implicit in this is that this notion can be determined
from the subscheme itself. You may have the tools to prove this now, but we won’t
formally prove it until Exercise 18.6.G.) A hypersurface of degree 1 (resp. degree 2,
3, . . . ) is called a hyperplane (resp. quadric, cubic, quartic, quintic, sextic, septic,
octic, . . . hypersurface). If n = 2, hypersurfaces are called curves; a degree 1
hypersurface is called a line, and a degree 2 hypersurface is called a conic curve,
or a conic for short. If n = 3, a hypersurface is called a surface. (In Chapter 12, we
will justify the terms curve and surface.)
9.3.A. E XERCISE .
(a) Show that wz = xy, x2 = wy, y2 = xz describes an irreducible subscheme in
P3k . In fact it is a curve, a notion we will define once we know what dimension
is. This curve is called the twisted cubic. (The twisted cubic is a good nontrivial
example of many things, so you should make friends with it as soon as possible.
It implicitly appeared earlier in Exercise 3.6.F.)
(b) Show that the twisted cubic is isomorphic to P1k .
We now extend this discussion to projective schemes in general.
9.3.B. E XERCISE . Suppose that S• / / R• is a surjection of graded rings. Show
that the domain of the induced morphism (Exercise 7.4.A) is Proj R• , and that the
induced morphism Proj R• → Proj S• is a closed embedding.
Exercise 15.6.J will show the converse to Exercise 9.3.B: every closed embed-
ding X ,→ Proj S• into a projective A-scheme (S• is a finitely generated graded
A-algebra) is of the form Proj(S• /I), where I is a homogeneous ideal, of “projec-
tive functions” vanishing on X. (You may be able to prove this now.)
9.3.C. E XERCISE . Show that an injective linear map of k-vector spaces V ,→ W
induces a closed embedding PV ,→ PW. (This is another justification for the defi-
nition of PV in Example 4.5.12 in terms of the dual of V.)
258 The Rising Sea: Foundations of Algebraic Geometry
9.3.3. Definition. The closed subscheme defined in Exercise 9.3.C is called a lin-
ear space. Once we know about dimension, we will call this closed subscheme a
linear space of dimension dim V − 1 = dim PV. More explicitly, a linear space of
dimension n in PN is any closed subscheme cut out by N − n k-linearly indepen-
dent homogeneous linear polynomials in x0 , . . . , xN . A linear space of dimension
1 (resp. 2, n, dim PW − 1) is called a line (resp. plane, n-plane, hyperplane). (If
the linear map in the previous exercise is not injective, then the hypothesis ([Link])
of Exercise 7.4.A fails.)
9.3.D. E XERCISE ( A SPECIAL CASE OF B ÉZOUT ’ S T HEOREM ). Suppose X ⊂ Pn k is
a degree d hypersurface cut out by f = 0, and ℓ is a line not contained in X. A
very special case of Bézout’s Theorem (Exercise 18.6.J) implies that X and ℓ meet
with multiplicity d, “counted correctly”. Make sense of this, by restricting the
homogeneous degree d polynomial f to the line ℓ, and using the fact that a degree
d polynomial in k[x] has d roots, counted properly. (If it makes you feel better,
assume k = k.)
9.3.E. E XERCISE . Show that the map of graded rings k[w, x, y, z] → k[s, t] given
by (w, x, y, z) 7→ (s3 , s2 t, st2 , t3 ) induces a closed embedding P1k ,→ P3k , which
yields an isomorphism of P1k with the twisted cubic (defined in Exercise 9.3.A —
in fact, this will solve Exercise 9.3.A(b)). Doing this in a hands-on way will set
you up well for the general Veronese construction of §9.3.6; see Exercise 9.3.I for a
generalization.
9.3.4. A particularly nice case: when S• is generated in degree 1.
Suppose S• is a finitely generated graded ring generated in degree 1. Then
S1 is a finitely generated S0 -module, and the irrelevant ideal S+ is generated in
degree 1 (cf. Exercise 4.5.G(a)).
9.3.F. E XERCISE . Show that if S• is generated (as an A-algebra) in degree 1 by n + 1
elements x0 , . . . , xn , then Proj S• may be described as a closed subscheme of Pn
A as
follows. Consider A⊕(n+1) as a free module with generators t0 , . . . , tn associated
to x0 , . . . , xn . The surjection of
( )
Sym• A⊕(n+1) = A[t0 , t1 , . . . , tn ] / / S•
ti / xi
implies S• = A[t0 , t1 , . . . tn ]/I, where I is a homogeneous ideal. (In particular,
Proj S• can always be interpreted as a closed subscheme of some Pn A if S• is finitely
generated in degree 1. Then using Exercises 7.4.D and 7.4.G, you can remove the
hypothesis of generation in degree 1.)
This is analogous to the fact that if R is a finitely generated A-algebra, then
choosing n generators of R as an algebra is the same as describing Spec R as a
closed subscheme of An A . In the affine case this is “choosing coordinates”; in the
projective case this is “choosing projective coordinates”.
April 1, 2023 draft 259
Recall (Exercise 4.4.F) that if k is algebraically closed, then we can interpret the
closed points of Pn as the lines through the origin in (n + 1)-space. The following
exercise states this more generally.
9.3.G. E XERCISE . Suppose S• is a finitely generated graded ring over an alge-
braically closed field k, generated in degree 1 by x0 , . . . , xn , inducing closed em-
beddings Proj S• ,→ Pn and Spec S• ,→ An+1 . Give a bijection between the closed
points of Proj S• and the “lines through the origin” in Spec S• ⊂ An+1 .
9.3.5. A second proof that finite morphisms are closed. This interpretation of Proj S• as
a closed subscheme of projective space (when it is generated in degree 1) yields the
following second proof of the fact (shown in Exercise 8.3.L) that finite morphisms
are closed. Suppose π : X → Y is a finite morphism. The question is local on the
target, so it suffices to consider the affine case Y = Spec B. It suffices to show that
π(X) is closed. Then by Exercise 8.3.I, X is a projective B-scheme, and hence by the
Fundamental Theorem of Elimination Theory 8.4.10, its image is closed.
9.3.6. Important classical construction: The Veronese embedding.
Suppose S• = k[x, y], so Proj S• = P1k . Then S2• = k[x2 , xy, y2 ] ⊂ k[x, y] (see
§7.4.4 on the Veronese subring). We identify this subring as follows.
∼ k[u, v, w]/(uw −
9.3.H. E XERCISE . Let u = x2 , v = xy, w = y2 . Show that S2• =
2 2 2
v ), by mapping u, v, w to x , xy, y , respectively.
We have a graded ring generated by three elements in degree 1. Thus we think
of it as sitting “in” P2 , via the construction of §9.3.F. This can be interpreted as “P1
as a conic in P2 ”.
9.3.7. Thus if k is algebraically closed of characteristic not 2, using the fact that
we can diagonalize quadratics (Exercise 5.4.J), the conics in P2 , up to change of
coordinates, come in only a few flavors: sums of 3 squares (e.g., our conic of the
previous exercise), sums of 2 squares (e.g., y2 −x2 = 0, the union of 2 lines), a single
square (e.g., x2 = 0, which looks set-theoretically like a line, and is nonreduced),
and 0 (perhaps not a conic at all). Thus we have proved: any plane conic (over an
algebraically closed field of characteristic not 2) that can be written as the sum of
three nonzero squares is isomorphic to P1 . (See Exercise 7.5.G for a closely related
fact.)
We now soup up this example.
9.3.I. E XERCISE . We continue to take S• = k[x, y]. Show that Proj Sd• is given by
the equations that
( )
y0 y1 ··· yd−1
y1 y2 ··· yd
is rank 1 (i.e., that all the 2 × 2 minors vanish). This is called the degree d rational
normal curve “in” Pd . You did the twisted cubic case d = 3 in Exercises 9.3.A and
9.3.E.
260 The Rising Sea: Foundations of Algebraic Geometry
9.3.8. Definition. More generally, if S• = k[x0 , . . . , xn ], then νd : Proj Sd• → PN−1
(where N is the dimension of the vector space of homogeneous degree d polyno-
mials in x0 , . . . , xn ) is called the d-uple embedding or the (d-uple) Veronese em-
bedding. (Combining Exercise 7.4.E with Exercise 9.3.F shows that νd is a closed
embedding.)
( )
9.3.J. C OMBINATORIAL EXERCISE ( CF. R EMARK 4.5.3). Show that N = n+d d .
9.3.K. U NIMPORTANT EXERCISE . Find six linearly independent quadratic equa-
tions vanishing on the Veronese surface Proj S2• where S• = k[x0 , x1 , x2 ], which
sits naturally in P5 . (You needn’t show that these equations generate all the equa-
tions cutting out the Veronese surface, although this is in fact true.) Possible hint:
use the identity
x0 x0 x0 x1 x0 x2
det x1 x0 x1 x1 x1 x2 = 0.
x2 x0 x2 x1 x2 x2
9.3.9. Rulings on the quadric surface. We return to rulings on the quadric surface,
which first appeared in the optional (starred) section §4.4.12.
9.3.L. U SEFUL GEOMETRIC EXERCISE : THE RULINGS ON THE QUADRIC SURFACE
wz = xy. This exercise is about the lines on the quadric surface X given by
wz − xy = 0 in P3k (where the projective coordinates on P3k are ordered w, x, y, z).
This construction arises all over the place in nature.
(a) Suppose a0 and b0 are given elements of k, not both zero. Make sense of the
statement: as [c, d] varies in P1 , [a0 c, b0 c, a0 d, b0 d] is a line in the quadric surface.
(This describes “a family of lines parametrized by P1 ”, although we can’t yet make
this precise.) Find another family of lines. These are the two rulings of the smooth
quadric surface.
(b) Show that through every k-valued point of the quadric surface X, there passes
one line from each ruling.
(c) Show there are no other lines. (There are many ways of proceeding. At risk
of predisposing you to one approach, here is a germ of an idea. Suppose L is a
line on the quadric surface, and [1, x, y, z] and [1, x ′ , y ′ , z ′ ] are distinct points on
it. Because they are both on the quadric, z = xy and z ′ = x ′ y ′ . Because all of L
is on the quadric, (1 + t)(z + tz ′ ) − (x + tx ′ )(y + ty ′ ) = 0 for all t. After some
algebraic manipulation, this translates into (x − x ′ )(y − y ′ ) = 0. How can this be
made watertight? Another possible approach uses Bézout’s Theorem, in the form
of Exercise 9.3.D.)
Hence by Exercise 5.4.J, if we are working over an algebraically closed field
of characteristic not 2, we have shown that all rank 4 quadric surfaces have two
rulings of lines. (In Example 10.6.2, we will recognize this quadric as P1 × P1 .)
9.3.10. Side Remark: Rulings on quadrics. The existence of these two rulings is the
first chapter of a number of important and beautiful stories. The second chapter is
often the following. If k is an algebraically closed field, then a maximal rank (Ex-
ercise 5.4.J) quadric hypersurface X of dimension m contains no linear spaces of
dimension greater than m/2. (We will see in Exercise 13.3.D that the maximal rank
quadric hypersurfaces are the “smooth” quadrics.) If m = 2a + 1, then X contains
April 1, 2023 draft 261
F IGURE 9.2. One of the two rulings on the quadric surface V(wz−
xy) ⊂ P3 . One ruling contains the line V(w, x), and the other
contains the line V(w, y).
( )
an irreducible a+2 -dimensional family of a-planes. If m = 2a, then X contains
(2a+1)
two irreducible 2 -dimensional families of a-planes, and furthermore two a-
planes Λ and Λ ′ are in the same family if and only if dim(Λ ∩ Λ ′ ) ≡ a (mod 2).
These families of linear spaces are also called rulings. (For more information, see
[GH1, §6.1, p. 735, Prop.].) You already know enough to think through the exam-
ples of m = 0, 1, and 2. (The case m = 2, rulings on a quadric surface, turn up in
§4.4.12, Figure 9.2, Exercise 9.3.L, §10.6.2, §12.2.19, §13.2.12, Exercise 15.4.W, and
Exercise 19.10.L.) The case m = 3 is discussed in Exercise 16.4.K.
9.3.11. Affine and projective cones (Figure 9.3).
If S• is a finitely generated graded ring, then the affine cone of Proj S• is
Spec S• . Caution: this terminology is not ideal, as this construction depends on S• ,
not just on Proj S• . As motivation, consider the graded ring S• = C[x, y, z]/(z2 −
x2 − y2 ). Figure 9.4 is a sketch of Spec S• . (Here we draw the “real picture” of
z2 = x2 + y2 in R3 .) It is a cone in the traditional sense; the origin (0, 0, 0) is the
“cone point”.
F IGURE 9.3. The affine and projective cones of Proj S•
262 The Rising Sea: Foundations of Algebraic Geometry
This gives a useful way of picturing Proj (even over arbitrary rings, not just
C). Intuitively, you could imagine that if you discarded the origin, you would
get something that would project onto Proj S• . The following exercise makes that
precise.
9.3.M. E XERCISE . If Proj S• is a projective scheme over a field k, describe a natural
morphism Spec S• \ V(S+ ) → Proj S• . (Can you see why V(S+ ) is a single point,
and should reasonably be called the origin?)
This readily generalizes to the following exercise, which again motivates the
terminology “irrelevant”.
9.3.N. E ASY E XERCISE . If S• is a finitely generated graded ring over a base ring A,
describe a natural morphism Spec S• \ V(S+ ) → Proj S• .
In fact, it can be made precise that Proj S• is the quotient (by the multiplicative
group of scalars) of the affine cone minus the origin.
9.3.12. Definition. The projective cone of Proj S• is Proj S• [T ], where T is a new vari-
able of degree 1. For example, the cone corresponding to the conic Proj k[x, y, z]/(z2 −
x2 − y2 ) is Proj k[x, y, z, T ]/(z2 − x2 − y2 ). The projective cone is sometimes called
the projective completion of Spec S• . (Note: this depends on S• , not just on
Proj S• .)
9.3.O. L ESS IMPORTANT EXERCISE ( CF. §4.5.1). Show that the “projective cone”
Proj S• [T ] of Proj S• has a closed subscheme isomorphic to Proj S• (informally, cor-
responding to T = 0), whose complement (the distinguished open set D(T )) is
isomorphic to the affine cone Spec S• .
This construction can be usefully pictured as the affine cone union some points
“at infinity”, and the points at infinity form the Proj. (The reader may wish to start
with Figure 9.4, and try to visualize the conic curve “at infinity”, and then compare
this visualization to Figure 4.9.)
We have thus completely described the algebraic analog of the classical picture
of §4.5.1.
9.3.13. Definition. If we put a nonstandard weighting on the variables of k[x1 , . . . , xn ]
— say we give xi degree di — then Proj k[x1 , . . . , xn ] is called weighted projective
space P(d1 , d2 , . . . , dn ).
9.3.P. E XERCISE . (a) Show that P(m, n) is isomorphic to P1 . (b) Show that
∼
P(1, 1, 2) = Proj k[u, v, w, z]/(uw − v2 ). Hint: do this by looking at the even-
graded parts of k[x0 , x1 , x2 ], cf. Exercise 7.4.D. (This is a projective cone over a
conic curve. Over a field of characteristic not 2, it is isomorphic to the traditional
cone x2 + y2 = z2 in P3 , see Figure 9.4.)
9.3.Q. E XERCISE ( COMBINING A NUMBER OF THE ABOVE CONCEPTS ). Show that
the P(1, 1, n) is isomorphic to the projective cone over the degree n rational normal
curve.
April 1, 2023 draft 263
F IGURE 9.4. The cone x2 + y2 = z2 .
9.4 The (closed sub)scheme-theoretic image
We now define a series of notions that are all of the form “the smallest closed
subscheme such that something or other is true”. One example will be the notion
of scheme-theoretic closure of a locally closed embedding, which will allow us
to interpret locally closed embeddings in three equivalent ways (open subscheme
intersect closed subscheme; open subscheme of closed subscheme; and closed sub-
scheme of open subscheme — cf. Exercise 9.2.B).
9.4.1. Scheme-theoretic image.
We start with the notion of scheme-theoretic image. Set-theoretic images are
badly behaved in general (§8.4.1), and even with reasonable hypotheses such as
those in Chevalley’s Theorem 8.4.2, things can be confusing. For example, there is
no reasonable way to impose a scheme structure on the image of A2k → A2k given
by (x, y) 7→ (x, xy). It will be useful (e.g., Exercise 9.4.C) to define a notion of
a closed subscheme of the target that “best approximates” the image. This will
incorporate the notion that the image of something with nonreduced structure
(“fuzz”) can also have nonreduced structure. As usual, we will need to impose
reasonable hypotheses to make this notion behave well (see Theorem 9.4.4 and
Corollary 9.4.5).
9.4.2. Definition. Suppose i : Z ,→ Y is a closed subscheme, giving an exact se-
quence 0 → IZ/Y → OY → i∗ OZ → 0. We say that the image of π : X → Y lies
in Z if the composition IZ/Y → OY → π∗ OX is zero. Informally, locally, functions
vanishing on Z pull back to the zero function on X. If the image of π lies in some
subschemes Zj (as j runs over some index set), it clearly lies in their intersection
(cf. Exercise 9.1.I(a) on intersections of closed subschemes). We then define the
scheme-theoretic image of π, a closed subscheme of Y, as the “smallest closed
subscheme containing the image”, i.e., the intersection of all closed subschemes
containing the image. In particular (and in our first examples), if Y is affine, the
scheme-theoretic image is cut out by functions on Y that are 0 when pulled back to
X.
Other reasonable names for this concept are the closed subscheme-theoretic image,
or image closed subscheme. They have the advantage that they remind the reader
264 The Rising Sea: Foundations of Algebraic Geometry
that the scheme-theoretic image is a closed subscheme, but we won’t use these
phrases.
Example 1. Consider π : Spec k[ϵ]/(ϵ2 ) → Spec k[x] = A1k given by x 7→ ϵ.
Then the scheme-theoretic image of π is given by Spec k[x]/(x2 ) (the polynomials
pulling back to 0 are precisely multiples of x2 ). Thus the image of the fuzzy point
still has some fuzz.
Example 2. Consider π : Spec k[ϵ]/(ϵ2 ) → Spec k[x] = A1k given by x 7→ 0. Then
the scheme-theoretic image is given by Spec k[x]/(x): the image is reduced. In this
picture, the fuzz is “collapsed” by π.
Example 3. Consider π : Spec k[t, t−1 ] = A1 − {0} → A1 = Spec k[u] given by
u 7→ t. Any function g(u) which pulls back to 0 as a function of t must be the
zero-function. Thus the scheme-theoretic image is everything. The set-theoretic
image, on the other hand, is the distinguished open set A1 − {0}. Thus in not-too-
pathological cases, the underlying set of the scheme-theoretic image is not the set-
theoretic image. But the situation isn’t terrible: the underlying set of the scheme-
theoretic image must be closed, and indeed it is the closure of the set-theoretic
image. We might imagine that in reasonable cases this will be true, and in even
nicer cases, the underlying set of the scheme-theoretic image will be set-theoretic
image. We will later see that this is indeed the case (§9.4.6).
But sadly pathologies can sometimes happen in, well, pathological situations.
⨿
Example 4 (Figure 9.5). Let X = Spec k[ϵn ]/((ϵn )n ) (a scheme which ap-
peared in the hint to Exercise 5.2.F) and Y = Spec k[x], and define X → Y by x → ϵn
on the nth component of X. If a function g(x) on Y pulls back to 0 on X, then its
Taylor expansion is 0 to order n (by examining the pullback to the nth component
of X) for all n, so g(x) must be 0. (This argument will be vastly generalized in Ex-
ercise 13.9.A(b).) Thus the scheme-theoretic image is V(0) on Y, i.e., Y itself, while
the set-theoretic image is easily seen to be just the origin (the closed point 0). (This
morphism implicitly arises in Caution/Example 9.4.11.)
F IGURE 9.5. Yuck (Example 4 of Definition 9.4.2)
9.4.3. Criteria for computing scheme-theoretic images affine-locally. Example 4 clearly
is weird though, and we can show that in “reasonable circumstances” such pathol-
ogy doesn’t occur.
In the special case where the target Y is affine (pay attention to how this argu-
ment works in Examples 1 through 3), say Y = Spec B, almost by definition the
April 1, 2023 draft 265
scheme-theoretic image of π : X → Y is cut out by the ideal I ⊂ B of functions on Y
which pull back to zero on X.
It would be great to use this to compute the scheme-theoretic image affine
by affine (affine-locally). On the affine open set Spec B ⊂ Y, define the ideal
I(B) ⊂ B of functions which pull back to 0 on X. Formally, I(B) := ker(B →
Γ (Spec B, π∗ (OX )). If for each such B, and each g ∈ B, the map ϕ : I(B)g → I(Bg ) is
an isomorphism, then we will have defined the scheme-theoretic image as a closed
subscheme (see Exercise 9.1.F). Injectivity of ϕg is straightforward: if r ∈ B and
r/gn pulls back to 0 on π−1 (Spec Bg ), then as g is nonvanishing at all points of
Spec Bg = D(g), we have that π−1 (r) is 0 on π−1 (Spec Bg ) as well.
So the question is the surjectivity of ϕ, which translates to: given a function
r/gn on D(g) that pulls back to zero on π−1 (D(g)), is it true that for some m,
rgm = 0 when pulled back to π−1 (Spec B)?
(i) We first show that the answer is yes if π−1 (Spec B) is reduced. In this case
we can take advantage of Exercise 5.2.A, that a function on a reduced scheme is
zero if it has value zero at every point. We may then take m = 1 (as π−1 (r) van-
ishes on π−1 (D(g)) and g vanishes on V(g), so π−1 (rg) vanishes on π−1 (Spec B) =
π−1 (D(g)) ∪ π−1 (V(g)).)
(ii) The answer is also yes if π−1 (Spec B) is affine, say Spec A: if r ′ = π♯ r and
g ′ = π♯ g in A, then if r ′ = 0 on D(g ′ ), then there is an m such that r ′ (g ′ )m = 0 (as
the statement r ′ = 0 in D(g ′ ) means precisely this fact — the functions on D(g ′ )
are Ag ′ ).
(ii)’ More generally, the answer is yes if π−1 (Spec B) is quasicompact: cover
−1
π (Spec B) with finitely many affine open sets. For each one there will be some
mi so that rgmi = 0 when pulled back to this open set. Then let m = max(mi ).
(We see again that quasicompactness is our friend!)
In conclusion, we have proved the following (subtle) theorem.
9.4.4. Theorem. — Suppose π : X → Y is a morphism of schemes. If X is reduced or π
is quasicompact, then the scheme-theoretic image of π may be computed affine-locally: on
Spec A ⊂ Y, it is cut out by the functions (elements of A) that pull back to the function 0
(on π−1 (Spec A)).
9.4.5. Corollary. — Under the hypotheses of Theorem 9.4.4, the closure of the set-
theoretic image of π is the underlying set of the scheme-theoretic image.
(Example 4 above shows how we need these hypotheses.)
9.4.6. In particular, if the set-theoretic image is closed (e.g., if π is finite or projec-
tive), the set-theoretic image is the underlying set of the scheme-theoretic image,
as promised in Example 3 above.
9.4.7. Proof of Corollary 9.4.5. The set-theoretic image is in the underlying set
of the scheme-theoretic image. (Check this!) The underlying set of the scheme-
theoretic image is closed, so the closure of the set-theoretic image is contained in
the underlying set of the scheme-theoretic image. On the other hand, if U is the
complement of the closure of the set-theoretic image, π−1 (U) = ∅. Under these
hypotheses, the scheme theoretic image can be computed locally, so the scheme-
theoretic image is the empty set on U. □
266 The Rising Sea: Foundations of Algebraic Geometry
We conclude with a few stray remarks.
9.4.A. E ASY E XERCISE . If X is reduced, show that the scheme-theoretic image of
π : X → Y is also reduced.
More generally, you might expect there to be no unnecessary nonreduced
structure on the image not forced by nonreduced structure on the source. The fol-
lowing makes this precise in the locally Noetherian case (when we can talk about
associated points).
9.4.B. ⋆ U NIMPORTANT EXERCISE . If π : X → Y is a quasicompact morphism of
locally Noetherian schemes, show that the associated points of the image sub-
scheme are a subset of the image of the associated points of X. (The example of
⨿
a∈C Spec C[t]/(t − a) → Spec C[t] shows what can go wrong if you give up qua-
sicompactness — note that reducedness of the source doesn’t help.) Hint: reduce
to the case where X and Y are affine. (Can you develop your geometric intuition
so that this becomes plausible to you?)
9.4.8. Scheme-theoretic closure of a locally closed subscheme.
We define the scheme-theoretic closure of a locally closed embedding π : X ,→
Y as the scheme-theoretic image of π. (A shorter phrase for this is schematic closure,
although this more elegant nomenclature has not caught on.)
9.4.C. E XERCISE . If a locally closed embedding V ,→ X is quasicompact (e.g., if
V is Noetherian, Exercise 8.3.B(a)), or if V is reduced, show that (iii) implies (i)
and (ii) in Exercise 9.2.B. Thus in this fortunate situation, a locally closed embed-
ding can be thought of in three different ways, whichever is convenient. (Hint:
Corollary 9.4.5.)
9.4.D. U NIMPORTANT EXERCISE , USEFUL FOR INTUITION . If π : X ,→ Y is a locally
closed embedding into a locally Noetherian scheme (so X is also locally Noether-
ian), then the associated points of the scheme-theoretic closure are (naturally in bi-
jection with) the associated points of X. (Hint: Exercise 9.4.B.) Informally, the only
nonreduced structure on the scheme-theoretic closure is that “forced by” nonre-
duced structure on X.
9.4.9. The (reduced) subscheme structure on a closed subset.
Suppose Xset is a closed subset of a scheme Y. Then we can define a canonical
scheme structure X on Xset that is reduced. We could describe it as being cut out by
those functions whose values are zero at all the points of Xset . On the affine open
set Spec B of Y, if the set Xset corresponds to the radical ideal I = I(Xset ∩ SpecB)
(recall the I(·) function from §3.7), the scheme X corresponds to Spec B/I. You can
quickly check that this behaves well with respect to any distinguished inclusion
Spec Bf ,→ Spec B. We could also consider this construction as an example of a
scheme-theoretic image in the following crazy way: let W be the scheme that is a
disjoint union of all the points of Xset , where the point corresponding to p in Xset
is Spec of the residue field of OY,p . Let ρ : W → Y be the “canonical” map sending
“p to p”, and giving an isomorphism on residue fields. Then the scheme structure
on X is the scheme-theoretic image of ρ. A third definition: it is the smallest closed
subscheme whose underlying set contains Xset .
April 1, 2023 draft 267
9.4.E. E XERCISE . Show that all three definitions are the same.
This construction is called the (induced) reduced subscheme structure on the
closed subset Xset . (Vague exercise: Make a definition of the reduced subscheme
structure precise and rigorous to your satisfaction.)
9.4.F. E XERCISE . Show that the underlying set of the induced reduced subscheme
X ,→ Y is indeed the closed subset Xset . Show that X is reduced.
9.4.10. Reduced version of a scheme.
In the main interesting case where Xset is all of Y, we obtain a reduced closed sub-
scheme Y red → Y, called the reduction of Y. On the affine open subset Spec B ,→ Y,
Y red ,→ Y corresponds to (the quotient by) the nilradical N(B) of B. The reduction
of a scheme is the “reduced version” of the scheme, and informally corresponds
to “shearing off the fuzz”.
An alternative equivalent definition of the reduction: on the affine open subset
Spec B ,→ Y, the reduction of Y corresponds to the nilradical N(B) ⊂ B. We easily
check that for any f ∈ B, N(B)f = N(Bf ). By Exercise 9.1.F this defines a closed
subscheme, which we call the reduction.
⨿ U ⊂ Y, Γ (U,nOY red )
9.4.11. ⋆ Caution/Example. It is not true that for every open subset
is Γ (U, OY ) modulo its nilpotents. For example, on Y = Spec k[x]/(x ), the
function x is not nilpotent, but is 0 on Y red , as it is “locally nilpotent”. This may
remind you of Example 4 after Definition 9.4.2.
9.5 Slicing by effective Cartier divisors, regular sequences and
regular embeddings
We now introduce regular embeddings, an important class of locally closed
embeddings. Locally closed embeddings of regular schemes in regular schemes
are one important example of regular embeddings (Exercise 13.2.M(b)). Effective
Cartier divisors, basically the codimension 1 case, will turn out to be repeatedly
useful as well, with repeated “slicing by effective Cartier divisors” providing the
inductive step in many arguments.
9.5.1. Locally principal closed subschemes, and effective Cartier divisors. A
closed subscheme is locally principal if on each open set in a small enough open
cover it is cut out by a single equation (i.e., by a principal ideal, hence the termi-
nology). More specifically, a locally principal closed subscheme is a closed sub-
scheme π : X ,→ Y for which there is an open cover {Ui } of Y for which for each i,
π−1 (Ui ) ,→ Ui the closed subscheme V(si ) of Ui for some si ∈ Γ (Ui , OX ). (These
open cover can clearly chosen to be by affine open subsets.)
For example, hypersurfaces in Pn k (Definition 9.3.2) are locally principal: each
homogeneous polynomial in n + 1 variables defines a locally principal closed sub-
scheme of Pn A . (Warnings: unlike “local principality”, “principality” is not an
affine-local condition, see §19.11.10! Also, the example of a projective hypersur-
face, §9.3.1, shows that a locally principal closed subscheme need not be cut out
268 The Rising Sea: Foundations of Algebraic Geometry
by a globally-defined function. Finally, we unfortunately use the phrase “locally
principal” in a different way in §15.4.7.)
If the ideal sheaf is locally generated near every point by a function that is
not a zerodivisor, we call the closed subscheme an effective Cartier divisor. More
precisely: if π : X → Y is a closed embedding, and there is a cover Y by affine
open subsets Spec Ai ⊂ Y, and there exist non-zerodivisors ti ∈ Ai with V(ti ) =
X|Spec Ai (scheme-theoretically — i.e., the ideal sheaf of X over Spec Ai is generated
by ti ), then we say that X is an effective Cartier divisor on Y. (We will not explain
the origin of the phrase, as it is not relevant for this point of view.) We will often
use the evocative phrase slicing by an effective Cartier divisor when we mean
“restrict to an effective Cartier divisor”.
The notion of an effective Cartier divisor is central. The notion of a locally
principal closed subscheme is much less so.
9.5.A. E XERCISE . Suppose t ∈ A is a non-zerodivisor. Show that t is a non-
zerodivisor in Ap for each prime p.
9.5.2. Caution. If D is an effective Cartier divisor on an affine scheme Spec A,
it is not necessarily true that D = V(t) for some t ∈ A (see Exercise 15.4.O —
§19.11.10 gives a different flavor of example). In other words, the condition of a
closed subscheme being an effective Cartier divisor can be verified on an affine
cover, but cannot be checked on an arbitrary affine cover — it is not an affine-local
condition in this obvious a way.
9.5.B. E XERCISE . Suppose X is a locally Noetherian scheme, If t ∈ Γ (X, OX ) is
a function on X, show that t (or more precisely the closed subscheme V(t)) is an
effective Cartier divisor if and only if it doesn’t vanish on any associated point of X.
Show that a locally principal closed subscheme of X is an effective Cartier divisor
if and only if it doesn’t contain any associated points of X.
9.5.C. E XERCISE . Suppose V(t) = V(t ′ ) ,→ Spec A is an effective Cartier divisor,
with t and t ′ non-zerodivisors in A. Show that t is an invertible function times t ′ .
The idea of effective Cartier divisors leads us to the notion of regular sequences.
(We will close the loop in Exercise 9.5.H, where we will interpret effective Cartier
divisors on any reasonable scheme as regular embeddings of codimension 1.)
9.5.3. Regular sequences.
The notion of “regular sequence”, like so much else, is due to Serre, [Se2]. The
definition of regular sequence is the algebraic version of the following geometric
idea: locally, we take an effective Cartier divisor (a non-zerodivisor); then an ef-
fective Cartier divisor on that; then an effective Cartier divisor on that; and so on,
a finite number of times. A little care is necessary; for example, we might want
this to be independent of the order of the equations imposed, and this is true only
when we say this in the right way.
We make the definition of regular sequence for a ring A, and more generally
for an A-module M.
April 1, 2023 draft 269
9.5.4. Definition. If M is an A-module, a sequence x1 , . . . , xr ∈ A is called an M-
regular sequence (or a regular sequence for M) if the following two conditions
are satisfied.
(i) For each i, xi is not a zerodivisor for M/(x1 , . . . , xi−1 )M. (The case i =
1 should be interpreted as: “x1 is not a zerodivisor of M.” Recall that
zerodivisors were defined in Exercise 1.3.C.)
(ii) We have a proper inclusion (x1 , . . . , xr )M ⊊ M.
In the case most relevant to us, when M = A, this should be seen as a reason-
able approximation of a “complete intersection”, and indeed we will use this as
the definition (§9.5.7).
We say r is the length of the regular sequence x1 , . . . , xr ∈ A. An A-regular
sequence is just called a regular sequence.
9.5.D. E XERCISE . If M is an A-module, show that an M-regular sequence con-
tinues to satisfy condition (i) of the Definition 9.5.4 of regular sequence upon any
localization. (Once you know what flatness is, you will see that your argument
shows that condition (i) is preserved by any flat base change.)
9.5.E. E XERCISE . If x, y is an M-regular sequence, show that xN , y is an M-
regular sequence. Hint: the difficult part is showing that y is not a zerodivisor of
M/(xN M). Show this by induction on N. If y is a zerodivisor of M/(xN M), then
ym ≡ 0 (mod xN ) for some m ∈ M \ xN M. Hence ym = xN k for some k ∈ M.
Use the fact that x, y is a regular sequence to show that m is a multiple of x. (Your
argument will easily extend to show more generally that if x1 , . . . , xn is a regular
sequence, and a1 , . . . , an ∈ Z+ , then xa an
1 , . . . , xn is a regular sequence .)
1
9.5.5. The regularity of a sequence depends on its order. We now give an example
([E, Example 17.3]) showing that the order of a regular sequence matters. Suppose
A = k[x, y, z]/(x − 1)z, so X = Spec A is the union of the z = 0 plane and the
x = 1 plane — X is reduced and has two components (see Figure 9.6). You can
readily verify that x is a non-zerodivisor of A (x = 0 misses one component of
X, and doesn’t vanish entirely on the other), and that the corresponding effective
Cartier divisor X ′ = Spec k[x, y, z]/(x, z) (on X) is integral. Then (x − 1)y gives
an effective Cartier divisor on X ′ (it doesn’t vanish entirely on X ′ ), so x, (x − 1)y
is a regular sequence for A. However, (x − 1)y is not a non-zerodivisor of A, as
it does vanish entirely on one of the two components. Thus (x − 1)y, x is not a
regular sequence. The reason that reordering the regular sequence x, (x − 1)y
ruins regularity is clear: there is a locus on which (x − 1)y isn’t effective Cartier,
but it disappears if we enforce x = 0 first. The problem is one of “nonlocality” —
“near” x = y = z = 0 there is no problem. This may motivate the fact that in the
(Noetherian) local situation, this problem disappears. We now make this precise.
9.5.6. Theorem. — Suppose (A, m) is a Noetherian local ring, and M is a finitely
generated A-module. Then any M-regular sequence (x1 , . . . , xr ) in m remains a regular
sequence upon any reordering.
(In [Di], Dieudonné gives a half-page example showing that Noetherian hy-
potheses are necessary in Theorem 9.5.6.)
Before proving Theorem 9.5.6 (in Exercise 9.5.F), we prove the first nontrivial
case, when r = 2. This discussion is secretly a baby case of the Koszul complex.
270 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 9.6. Order matters in a regular sequence (in the “non-
local” situation), for silly reasons
Suppose x, y ∈ m, and x, y is an M-regular sequence. Translation: x ∈ m is a
non-zerodivisor on M, and y ∈ m is a non-zerodivisor on M/xM.
Consider the double complex
×(−x)
([Link]) M /M
O O
×y ×y
×x
M /M
where the bottom left is considered to be in position (0, 0). (The only reason for
the minus sign in the top row is solely our arbitrary preference for anti-commuting
rather than commuting squares in §1.7.1, but it really doesn’t matter.)
We compute the cohomology of the total complex using a (simple) spectral
sequence, beginning with the rightward orientation. (The gratuitous use of spec-
tral sequences here, as in many of our other applications, is overkill; we do this
partially in order to get practice with the machine.) On the first page, we have
×x
ker(M −−→ M) M/xM
O O
×y ×y
×x
ker(M −−→ M) M/xM
×x
The entries ker(M −−→ M) in the first column are 0, as x is a non-zerodivisor on
M. Taking homology in the vertical direction to obtain the second page, we find
([Link]) 0 M/(x, y)M
0 0
using the fact that y is a non-zerodivisor on M/xM. The sequence clearly con-
verges here. Thus the original double complex ([Link]) only has nonzero cohomol-
ogy in degree 2, where it is M/(x, y)M.
April 1, 2023 draft 271
Now we run the spectral sequence on ([Link]) using the upward orientation.
The first page of the sequence is:
×(−x)
M/yM / M/yM
×y ×x ×y
ker(M −−→ M) / ker(M −
−→ M)
The sequence must converge to ([Link]) after the next step. From the top row, we
see that multiplication by x must be injective on M/yM, so x is a non-zerodivisor
on M/yM. From the bottom row, multiplication by x gives an isomorphism of
×y
ker(M −−→ M) with itself. As x ∈ m, by version 2 of Nakayama’s Lemma (Lemma 8.2.9),
×y
this implies that ker(M −−→ M) = 0, so y is a non-zerodivisor on M. Thus we have
shown that y, x is a regular sequence on M — the r = 2 case of Theorem 9.5.6.
9.5.F. E ASY E XERCISE . Prove Theorem 9.5.6. (Hint: show it first in the case of
a reordering where only two adjacent xi are swapped, using the r = 2 case just
discussed.) Where are the Noetherian hypotheses used?
9.5.7. Regular embeddings.
Suppose π : X ,→ Y is a locally closed embedding. We say that π is a regular
embedding (of codimension r) at a point p ∈ X if in the local ring OY,p , the ideal
of X is generated by a regular sequence (of length r). We say that π is a regular
embedding (of codimension r) if it is a regular embedding (of codimension r) at
all p ∈ X. (Another reasonable name for a regular embedding might be “local
complete intersection”. Unfortunately, “local complete intersection morphism”,
or “lci morphism”, is already used for a related notion, see [Stacks, tag 068E].)
Our terminology uses the word “codimension”, which we have not defined as
a word on its own. The reason for using this word will become clearer once you
meet Krull’s Principal Ideal Theorem 12.3.3 and Krull’s Height Theorem 12.3.10.
9.5.G. E XERCISE ( THE CONDITION OF A LOCALLY CLOSED EMBEDDING BEING A
REGULAR EMBEDDING IS OPEN ). Show that if a locally closed embedding π : X ,→
Y of locally Noetherian schemes is a regular embedding at p, then it is a regular
embedding in some open neighborhood of p in X. Hint: reduce to the case where
π is a closed embedding, and then where Y (hence X) is affine — say Y = Spec B,
X = Spec B/I, and p = [p] — and there are f1 , . . . , fr such that in OY,p , the images
of the fi are a regular sequence generating Ip . We wish to show that (f1 , . . . , fr ) = I
“in an open neighborhood of p”. Prove the following fact in algebra: if I and J are
ideals of a Noetherian ring A, and p ⊂ A is a prime ideal such that Ip = Jp , show
that there exists a ∈ A \ p such that Ia = Ja in Aa . To do this, show that it suffices
to consider the special case I ⊂ J, by considering I ∩ J and J instead of I and J. To
show this special case, let K = J/I, a finitely generated module, and show that if
Kp = 0 then Ka = 0 for some a ∈ A \ p.
Hence if X is locally of finite type over a field (e.g., a variety), then to check
that a closed embedding π is a regular embedding it suffices to check at closed
points of X (Exercise 5.3.F).
272 The Rising Sea: Foundations of Algebraic Geometry
Exercise 13.1.F(b) will show that not all closed embeddings are regular embed-
dings.
9.5.H. E XERCISE . Show that a closed embedding X ,→ Y of locally Noetherian
schemes is a regular embedding of codimension 1 if and only if X is an effective
Cartier divisor on Y. Unimportant remark: the Noetherian hypotheses can be re-
placed by requiring OY to be coherent, and essentially the same argument applies.
It is interesting to note that “effective Cartier divisor” implies “regular embedding
of codimension 1” always, but that the converse argument requires Noetherian(-
like) assumptions. (See [MO129242] for a counterexample to the converse.)
9.5.8. Definition. A codimension r complete intersection in a scheme Y is a
closed subscheme X that can be written as the scheme-theoretic intersection of r
effective Cartier divisors D1 , . . . , Dr , such that at every point p ∈ X, the equa-
tions corresponding to D1 , . . . , Dr form a regular sequence. The phrase complete
intersection means “codimension r complete intersection for some r”.
CHAPTER 10
Fibered products of schemes, and base change
10.1 They exist
Before we get to products, we note that coproducts exist in the category of
schemes: just as with the category of sets (Exercise 1.3.T), coproduct is disjoint
union. The next exercise makes this precise (and directly extends to coproducts of
an infinite number of schemes).
We will now construct the fibered product in the category of schemes.
10.1.1. Theorem: Fibered products exist. — Suppose α : X → Z and β : Y → Z are
morphisms of schemes. Then the fibered product
α′ /Y
X ×Z Y
β′ β
X
α /Z
exists in the category of schemes.
Note: if A is a ring, people often sloppily write ×A for ×Spec A . If B is an A-
algebra, and X is an A-scheme, people often write XB or X×A B for X×Spec A Spec B.
10.1.2. Warning: products of schemes aren’t products of sets. Before showing exis-
tence, here is a warning: the product of schemes isn’t a product of sets (and more
generally for fibered products). We have made a big deal about schemes being
sets, endowed with a topology, upon which we have a structure sheaf. So you might
think that we will construct the product in this order: take the product set, endow
it with the product topology, and then figure out what the structure sheaf must
be. But we won’t, because scheme products behave oddly on the level of sets.
You may have checked (Exercise 7.6.E(a)) that the product of two affine lines over
∼ A2 . But
your favorite algebraically closed field k is the affine plane: A1k ×k A1k = k
the underlying set of the latter is not the underlying set of the former —- we get
additional points, corresponding to curves in A2 that are not lines parallel to the
axes!
10.1.3. On the other hand, W-valued points (where W is a scheme, Definition 7.3.10)
do behave well under (fibered) products (as mentioned in §7.3.11). This is just the
universal property definition of fibered product: a W-valued point of a scheme X
is defined as an element of Hom(W, X), and the fibered product is defined (via
273
274 The Rising Sea: Foundations of Algebraic Geometry
Yoneda, see §1.3.1) by
([Link]) Hom(W, X ×Z Y) = Hom(W, X) ×Hom(W,Z) Hom(W, Y).
This is one justification for making the definition of scheme-valued point. For
this reason, those classical people preferring to think only about varieties over
an algebraically closed field k (or more generally, finite type schemes over k), and
preferring to understand them through their closed points — or equivalently, the k-
valued points, by the Nullstellensatz (Exercise 5.3.F) — needn’t worry: the closed
points of the product of two finite type k-schemes over k are (naturally identified
with) the product of the closed points of the factors. This will follow from the fact
that the product is also finite type over k, which we verify in Exercise 10.2.E. This
is one of the reasons that varieties over algebraically closed fields can be easier
to work with. But over a nonalgebraically closed field, things become even more
interesting; Example 10.2.3 is a first glimpse.
10.1.4. Fancy aside. You may feel that (i) “products of topological spaces are
products on the underlying sets” is natural, while (ii) “products of schemes are
not necessarily products on the underlying sets” is weird. But really (i) is the
lucky consequence of the fact that the underlying set of a topological space can
be interpreted as set of p-valued points, where p is a point, so it is best seen as a
consequence of paragraph 10.1.3, which is the “more correct” — i.e., more general
— fact.
10.1.5. Warning on Noetherianness. The fibered product of Noetherian schemes
need not be Noetherian. You will later be able to verify that Exercise 10.2.F gives an
example, i.e., that A := Q ⊗Q Q is not Noetherian, as follows. By Exercise 12.1.H(a),
dim A = 0. A Noetherian dimension 0 scheme has a finite number of points (Exer-
cise 12.1.C). But by Exercise 10.2.F, Spec A has an infinite number of points.
On the other hand, the fibered product of finite type k-schemes over finite
type k-schemes is a finite type k-scheme (Exercise 10.2.E), so this pathology does
not arise for varieties.
10.1.6. Philosophy behind the proof of Theorem 10.1.1. The proof of Theo-
rem 10.1.1 can be confusing. The following comments may help a little.
We already basically know existence of fibered products in two cases: the case
where X, Y, and Z are affine (stated explicitly below), and the case where β : Y → Z
is an open embedding (Exercise 8.1.D).
10.1.A. E XERCISE ( PROMISED IN R EMARK 7.3.5). Use Exercise 7.3.G (HomSch (W, Spec A) =
HomRings (A, Γ (W, OW ))) to show that given ring maps C → A and C → B,
∼ Spec A ×Spec C Spec B.
Spec(A ⊗C B) =
(Interpret tensor product as the “fibered coproduct” in the category of rings.) Hence
the fibered product of affine schemes exists (in the category of schemes). (This gen-
eralizes the fact that the product of affine lines exist, Exercise 7.6.E(a).)
The main theme of the proof of Theorem 10.1.1 is that because schemes are
built by gluing affine schemes along open subsets, these two special cases will be
all that we need. The argument will repeatedly use the same ideas — roughly,
April 1, 2023 draft 275
that schemes glue (Exercise 4.4.A), and that morphisms of schemes glue (Exer-
cise 7.3.B). This is a sign that something more structural is going on; §10.1.7 de-
scribes this for experts.
Proof of Theorem 10.1.1. The key idea is this: we cut everything up into affine open
sets, do fibered products there, and show that everything glues nicely. The concep-
tually difficult part of the proof comes from the gluing, and the realization that we
have to check almost nothing. We divide the proof up into a number of bite-sized
pieces.
Step 1: fibered products of affine with “almost-affine” over affine. We begin by com-
bining the affine case with the open embedding case as follows. Suppose X and Z
ι
are affine, and β : Y → Z factors as Y / Y′ / Z where ι is an open embed-
′
ding and Y is affine. Then X ×Z Y exists. This is because if the two small squares
of
W _ / Y
_
open open
W′ / Y′
X /Z
are fibered diagrams, then the “outside rectangle” is also a fibered diagram. (This
was Exercise 1.3.Q, although you should be able to see this on the spot.) It will be
important to remember (from Important Exercise 8.1.D) that “open embeddings”
are “preserved by fibered product”: the fact that Y → Y ′ is an open embedding
implies that W → W ′ is an open embedding.
Key Step 2: fibered product of affine with arbitrary over affine exists. We now come
to the key part of the argument: if X and Z are affine, and Y is arbitrary. This is
confusing when you first see it, so we first deal with a special case, when Y is the
union of two affine open sets Y1 ∪ Y2 . Let Y12 = Y1 ∩ Y2 .
Now for i = 1 and 2, X ×Z Yi exists by the affine case, Exercise 10.1.A. Call
this Wi . Also, X ×Z Y12 exists by Step 1 (call it W12 ), and comes with canonical
open embeddings into W1 and W2 (by construction of fibered products with open
embeddings, see the last sentence of Step 1). Thus we can glue W1 to W2 along
W12 ; call this resulting scheme W.
We check that the result is the fibered product by verifying that it satisfies the
universal property. Suppose we have maps α ′′ : V → X, β ′′ : V → Y that compose
(with α and β respectively) to the same map V → Z. We need to construct a unique
map γ : V → W, so that α ′ ◦ γ = β ′′ and β ′ ◦ γ = α ′′ .
([Link]) V0APPP
00AA PPP β ′′
0∃!γ? PP
00 AAA PPPPP
00 PP'
/Y
α ′′ 00 W α ′
00
00 β ′ β
X α /Z
276 The Rising Sea: Foundations of Algebraic Geometry
For i = 1 and 2, define Vi := (β ′′ )−1 (Yi ). Define V12 := (β ′′ )−1 (Y12 ) = V1 ∩ V2 .
Then there is a unique map Vi → Wi such that the composed maps Vi → X and
Vi → Yi are as desired (by the universal property of the fibered product X ×Z
Yi = Wi ), hence a unique map γi : Vi → W. Similarly, there is a unique map
γ12 : V12 → W such that the composed maps V12 → X and V12 → Y are as desired.
But the restriction of γi to V12 is one such map, so it must be γ12 . Thus the maps
γ1 and γ2 agree on V12 , and glue together to a unique map γ : V → W. We have
shown existence and uniqueness of the desired γ.
We have thus shown that if Y is the union of two affine open sets, and X and
Z are affine, then X ×Z Y exists.
We now tackle the general case. (You may prefer to first think through the
case where “two” is replaced by “three”.) We now cover Y with open sets Yi , as
i runs over some index set (not necessarily finite!). As before, we define Wi and
Wij . We can glue these together to produce a scheme W along with open sets
we identify with Wi (Exercise 4.4.A — you should check the triple intersection
“cocycle” condition).
As in the two-affine case, we show that W is the fibered product by show-
ing that it satisfies the universal property. Suppose we have maps α ′′ : V → X,
β ′′ : V → Y that compose to the same map V → Z. We construct a unique map
γ : V → W, so that α ′ ◦ γ = β ′′ and β ′ ◦ γ = α ′′ . Define Vi = (β ′′ )−1 (Yi ) and
Vij := (β ′′ )−1 (Yij ) = Vi ∩ Vj . Then there is a unique map Vi → Wi such that
the composed maps Vi → X and Vi → Yi are as desired, hence a unique map
γi : Vi → W. Similarly, there is a unique map γij : Vij → W such that the com-
posed maps Vij → X and Vij → Y are as desired. But the restriction of γi to Vij
is one such map, so it must be γij . Thus the maps γi and γj agree on Vij . Thus
the γi glue together to a unique map γ : V → W. We have shown existence and
uniqueness of the desired γ, completing this step.
Step 3: Z affine, X and Y arbitrary. We next show that if Z is affine, and X and
Y are arbitrary schemes, then X ×Z Y exists. We just follow Step 2, with the roles
of X and Y reversed, using the fact that by the previous step, we can assume that
the fibered product of an affine scheme with an arbitrary scheme over an affine
scheme exists.
Step 4: Z “almost-affine”, X and Y arbitrary. This is akin to Step 1. Let Z ,→ Z ′
be an open embedding into an affine scheme. Then X ×Z Y satisfies the universal
property of X ×Z ′ Y. (If you don’t see this directly, one argument is to use Easy
Exercise 1.3.X and that open embeddings are monomorphisms, Exercise 8.1.E.)
Step 5: the general case. We employ the same trick yet again. Suppose α : X → Z,
β : Y → Z are two morphisms of schemes. Cover Z with affine open subschemes
Zi , and let Xi = α−1 (Zi ) and Yi = β−1 (Zi ). Define Zij := Zi ∩ Zj , Xij := α−1 (Zij ),
and Yij := β−1 (Zij ). Then Wi := Xi ×Zi Yi exists for all i (Step 3), and Wij :=
Xij ×Zij Yij exists for all i, j (Step 4), and for each i and j, Wij comes with a canoni-
cally open embedding into both Wi and Wj (see the last sentence in Step 1). As Wi
satisfies the universal property of X ×Z Yi (Do you see why?), we may canonically
identify Wi (which we know to exist by Step 3) with X×Z Yi . Similarly, we identify
Wij with X ×Z Yij .
We then proceed exactly as in Step 2: the Wi ’s can be glued together along the
Wij (the cocycle condition can be readily checked to be satisfied), and W can be
checked to satisfy the universal property of X×Z Y (again, exactly as in Step 2). □
April 1, 2023 draft 277
10.1.7. ⋆⋆ Describing the existence of fibered products using the high-falutin’
language of representable functors. The proof above can be described more
cleanly in the language of representable functors (§7.6). This will be enlightening
only after you have absorbed the above argument and meditated on it for a long
time. It may be most useful to shed light on representable functors, rather than on
the existence of the fibered product.
Until the end of §10.1 only, by functor, we mean contravariant functor from the cate-
gory Sch of schemes to the category of Sets. For each scheme X, we have a functor hX ,
taking a scheme Y to the set Mor(Y, X) (§1.2.20). Recall (§1.3.11, §7.6) that a functor
is representable if it is naturally isomorphic to some hX . If a functor is representable,
then the representing scheme is unique up to unique isomorphism (Exercise 7.6.C).
This can be usefully extended as follows:
10.1.B. E XERCISE (Yoneda’s Lemma).
(a) If X and Y are schemes, describe a bijection between morphisms of schemes X →
Y and natural transformations of functors hX → hY . Hence show that the category
of schemes is a full subcategory (defined in §1.2.15) of the “functor category” (all
contravariant functors Sch → Sets).
(b) If X is a scheme and F is a contravariant functor Sch → Sets, give a bijection
between F(X) and the natural transformation of functors hX → F. (You are free to
check that your bijection is “functorial” in both F and X.)
Hint: this question has nothing to do with schemes; your argument will work
in any category. This is the contravariant version of Exercise 1.3.Z(c).
One of Grothendieck’s insights is that we should try to treat such functors as
“geometric spaces”, without worrying about representability. Many notions carry
over to this more general setting without change, and some notions are easier. For
example, fibered products of functors always exist: h ×h ′′ h ′ may be defined by
(h ×h ′′ h ′ )(W) = h(W) ×h ′′ (W) h ′ (W),
where the fibered product on the right is a fibered product of sets, which always
exists. (This isn’t quite enough to define a functor; we have only described where
objects go. You should work out where morphisms go too.) We didn’t use any-
thing about schemes; this works with Sch replaced by any category.
Then “X ×Z Y exists” translates to “hX ×hZ hY is representable”.
10.1.8. Representable functors are Zariski sheaves. Because “morphisms to schemes
glue” (Exercise 7.3.B), we have a necessary condition for a functor to be repre-
sentable. We know that if {Ui } is an open cover of Y, a morphism Y → X is deter-
mined by its restrictions Ui → X, and given morphisms Ui → X that agree on the
overlap Ui ∩ Uj → X, we can glue them together to get a morphism Y → X. In the
language of equalizer exact sequences (§2.2.7),
· / h (Y)
X
/ ∏ h (U )
X i
// ∏ h (U ∩ U )
X i j
is exact. Thus morphisms to X (i.e., the functor hX ) form a sheaf on every scheme
Y. If this holds, we say that the functor is a Zariski sheaf. (You can impress your
friends by telling them that this is a sheaf on the big Zariski site.) We can repeat this
discussion with Sch replaced by the category SchS of schemes over a given base
scheme S. We have proved (or observed) that in order for a functor to be representable,
it is necessary for it to be a Zariski sheaf.
278 The Rising Sea: Foundations of Algebraic Geometry
The fibered product passes this test:
10.1.C. E XERCISE . If X, Y → Z are schemes, show that hX ×hZ hY is a Zariski sheaf.
(Do not use the fact that hX ×hZ hY is representable! The point of this section is to
recover representability from a more sophisticated perspective.)
We can make some other definitions that extend notions from schemes to func-
tors. We say that a map (i.e., natural transformation) of functors h ′ → h expresses
h ′ as a subfunctor of h if for all schemes X, the induced map of sets h ′ (X) → h(X)
is an inclusion. We say that a subfunctor h ′ ,→ h is an open subfunctor if for
all schemes X and maps hX → h (i.e., all elements of h(X)), the fibered product
hX ×h h ′ is representable, by the scheme U say, and hU → hX corresponds to an
open embedding of schemes U → X. The following Cartesian square may help.
open
hU / hX
h′ /h
10.1.D. E XERCISE . Show that a map of representable functors hW → hZ is an open
subfunctor if and only if W → Z is an open embedding, so this indeed extends the
notion of open embedding to (contravariant) functors (Sch → Sets).
10.1.E. E XERCISE ( THE GEOMETRIC NATURE OF THE NOTION OF “ OPEN SUBFUNC -
TOR ”).
(a) Show that an open subfunctor of an open subfunctor is also an open subfunc-
tor.
(b) Suppose h ′ → h and h ′′ → h are two open subfunctors of h. Define the inter-
section of these two open subfunctors, which should also be an open subfunctor
of h.
(c) Suppose U and V are two open subschemes of a scheme X, so hU → hX and
hV → hX are open subfunctors. Show that the intersection of these two open
subfunctors is, as you would expect, hU∩V .
10.1.F. E XERCISE . Suppose α : X → Z and β : Y → Z are morphisms of schemes,
and U ⊂ X, V ⊂ Y, W ⊂ Z are open embeddings, where U and V map to W.
Interpret hU ×hW hV as an open subfunctor of hX ×hZ hY . (Hint: given a map
hT → hX×Z Y , what open subset of T should correspond to U ×W V?)
A collection hi of open subfunctors of h is said to cover h if for every map
hX → h from a representable subfunctor, the corresponding open subsets Ui ,→ X
cover X.
Given that functors do not have an obvious underlying set (let alone a topol-
ogy), it is rather amazing that we are talking about when one is an “open subset”
of another, or when some functors “cover” another!
10.1.G. E XERCISE . Suppose {Zi }i is an affine cover of Z, {Xij }j is an affine cover
of the preimage of Zi in X, and {Yik }k is an affine cover of the preimage of Zi in
Y. Show that {hXij ×hZi hYik }ijk is an open cover of the functor hX ×hZ hY . (Hint:
consider a map hT → hX ×hZ hY , and extend your solution to Exercise 10.1.F.)
April 1, 2023 draft 279
We now come to a key point: a Zariski sheaf that is “locally representable”
must be representable:
10.1.H. K EY E XERCISE . If a functor h is a Zariski sheaf that has an open cover by
representable functors (“is covered by schemes”), then h is representable. (Hint:
use Exercise 4.4.A to glue together the schemes representing the open subfunctors.)
This immediately leads to the existence of fibered products as follows. Exer-
cise 10.1.C shows that hX ×hZ hY is a Zariski sheaf. But hXij ×hZi hYik is rep-
resentable for each i, j, k (fibered products of affines over an affine exist, Exer-
cise 10.1.A), and these functors are an open cover of hX ×hZ hY by Exercise 10.1.G,
so by Key Exercise 10.1.H we are done.
10.2 Computing fibered products in practice
Before giving some examples, we first see how to compute fibered products
in practice. There are four types of morphisms (1)–(4) that it is particularly easy
to take fibered products with, and all morphisms can be built from these atomic
components. More precisely, (1) will imply that we can compute fibered products
locally on the source and target. Thus to understand fibered products in general,
it suffices to understand them on the level of affine sets, i.e., to be able to compute
A ⊗B C given ring maps B → A and B → C. Any map B → A (and similarly
B → C) may be expressed as B → B[t1 , . . . ]/I, so if we know how to base change by
“adding variables” (2) and “taking quotients” (3), we can “compute” any fibered
product (at least in theory). The fourth type of morphism (4), corresponding to
localization, is useful to understand explicitly as well.
(1) Base change by open embeddings.
We have already done this (Exercise 8.1.D), and we used it in the proof that
fibered products of schemes exist.
(2) Adding an extra variable.
10.2.A. E ASY ALGEBRA EXERCISE . Show that A ⊗B B[t] = ∼ A[t], so the following is
a fibered diagram. (Your argument might naturally extend to allow the addition
of infinitely many variables, but we won’t need this generality.) Hint: show that
A[t] satisfies an appropriate universal property.
Spec A[t] / Spec B[t]
Spec A / Spec B
10.2.1. Definition (affine space over an arbitrary scheme). If X is any scheme, we
define AnX as X ×Z Spec Z[x1 , . . . , xn ]. Clearly ASpec A is canonically the same as AA
n n
as defined in Example 8 of §3.2.4.
(3) Base change by closed embeddings.
280 The Rising Sea: Foundations of Algebraic Geometry
10.2.B. E XERCISE . Suppose ϕ : B → A is a ring morphism, and I ⊂ B is an
ideal. Let Ie := ⟨ϕ(i)⟩i∈I ⊂ A be the extension of I to A. Describe a natural
∼
isomorphism A/Ie ←→ A ⊗B (B/I). (Hint: consider I → B → B/I → 0, and use
the right-exactness of ⊗B A, Exercise 1.3.H.)
10.2.2. As an immediate consequence: the fibered product with a closed sub-
scheme is a closed subscheme of the fibered product in the obvious way. We say
that “closed embeddings are preserved by base change”.
10.2.C. E XERCISE .
(a) Interpret the intersection of two closed embeddings into X (cf. Exercise 9.1.I) as
their fibered product over X.
(b) Show that “locally closed embeddings” are preserved by base change.
(c) Define the intersection of n locally closed embeddings Xi ,→ Z (1 ≤ i ≤ n) by
the fibered product of the Xi over Z (mapping to Z). Show that the intersection of
(a finite number of) locally closed embeddings is also a locally closed embedding.
10.2.D. E XERCISE . Suppose I ⊂ A[x1 , . . . , xm ] and J ⊂ A[y1 , . . . , yn ] are ideals.
Prove the isomorphism
∼
A[x1 , . . . , xm ]/I ⊗A A[y1 , . . . , yn ]/J o / A[x1 , . . . , xm , y1 , . . . , yn ]/(I, J).
Hint: Exercises 10.2.A and 10.2.B.
As an application, we can compute tensor products of finitely generated k-
algebras over k. For example, we have
∼ k[x1 , x2 , y1 , y2 ]/(x2 − x2 , y3 + y3 ).
k[x1 , x2 ]/(x21 − x2 ) ⊗k k[y1 , y2 ]/(y31 + y32 ) = 1 1 2
10.2.E. E XERCISE . Suppose X and Y are locally of finite type A-schemes. Show
that X ×A Y is also locally of finite type over A. Prove the same thing with “locally”
removed from both the hypothesis and conclusion.
10.2.3. Example. We can use these ideas to compute C ⊗R C:
∼ C ⊗R (R[x]/(x2 + 1))
C ⊗R C =
∼ (C ⊗R R[x])/(x2 + 1)
= by §10.2(3)
∼ C[x]/(x2 + 1)
= by §10.2(2)
∼ C[x]/ ((x − i)(x + i))
=
=∼ C[x]/(x − i) × C[x]/(x + i) by the Chinese Remainder Theorem
=∼ C × C
Thus Spec C ×R Spec C = ∼ Spec C ⨿ Spec C. This example is the first example of
many different behaviors. Notice for example that two points somehow corre-
spond to the Galois group of C over R; for one of them, x (the “i” in one of the
copies of C) equals i (the “i” in the other copy of C), and in the other, x = −i.
10.2.4. ⋆ Remark. Here is a clue that there is something deep going on behind
Example 10.2.3. If L/K is a (finite) Galois extension with Galois group G, then
L ⊗K L is isomorphic to LG (the product of |G| copies of L). This turns out to be
a restatement of the classical form of linear independence of characters! In the
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language of schemes, Spec L ×K Spec L is a union of a number of copies of Spec L
that naturally form a torsor over the Galois group G; but we will not define torsor
here.
10.2.F. ⋆ H ARD BUT FASCINATING EXERCISE FOR THOSE FAMILIAR WITH Gal(Q/Q).
Show that the points of Spec Q ⊗Q Q are in natural bijection with Gal(Q/Q), and
the Zariski topology on the former agrees with the profinite topology on the latter.
(Some hints: first do the case of finite Galois extensions. Relate the topology on
Spec of a direct limit of rings to the inverse limit of Specs. Can you see which point
corresponds to the identity of the Galois group?)
At this point, we can compute any A⊗B C (where A and C are B-algebras): any
map of rings ϕ : B → A can be interpreted by adding variables (perhaps infinitely
many) to B, and then imposing relations. But in practice (4) is useful, as we will
see in examples.
(4) Base change of affine schemes by localization.
10.2.G. E XERCISE . Suppose ϕ : B → A is a ring morphism, and S ⊂ B is a multi-
plicative subset of B, which implies that ϕ(S) is a multiplicative subset of A. De-
∼
scribe a natural isomorphism ϕ(S)−1 A ←→ A ⊗B (S−1 B).
Informal translation: “the fibered product with a localization is the localiza-
tion of the fibered product in the obvious way”. We say that “localizations are
preserved by base change”. This is handy if the localization is of the form B ,→ Bf
(corresponding to taking distinguished open sets) or (if B is an integral domain)
B ,→ K(B) (corresponding to taking the generic point), and various things in be-
tween.
10.2.5. Examples. These four facts let you calculate lots of things in practice, and
we will use them freely.
10.2.H. E XERCISE : THE THREE IMPORTANT TYPES OF MONOMORPHISMS OF SCHEMES .
Show that the following are monomorphisms (Definition 1.3.10): open embed-
dings, closed embeddings, and localization of affine schemes. As monomorphisms
are closed under composition (Exercise 1.3.V) compositions of the above are also
monomorphisms — for example, locally closed embeddings, or maps from “Spec
of stalks at points of X” to X. (Caution: if p is a point of a scheme X, the natural
morphism Spec OX,p → X, cf. Exercise 7.3.M, is a monomorphism but is not in
general an open embedding.)
10.2.I. E XERCISE . Recall that An ∼ n
A = AZ ×Spec Z Spec A (§10.2.1). Prove similarly
n ∼
that PA = PZ ×Spec Z Spec A. Thus affine space and projective space are pulled
n
back from their “universal manifestation” over the final object Spec Z.
10.2.6. Extending the base field. One special case of base change is called extending
the base field: if X is a k-scheme, and ℓ is a field extension (often ℓ is the algebraic
closure of k), then X ×Spec k Spec ℓ (sometimes informally written X ×k ℓ or Xℓ ) is an
ℓ-scheme. Often properties of X can be checked by verifying them instead on Xℓ .
This is the subject of descent — certain properties “descend” from Xℓ to X. We have
282 The Rising Sea: Foundations of Algebraic Geometry
already seen that the property of being the Spec of a normal integral domain de-
scends in this way (Exercise 5.4.M). Exercises 10.2.J and 10.2.K give other examples
of properties which descend: the property of two morphisms being equal, and the
property of a(n affine) morphism being a closed embedding, both descend in this
way. Those interested in schemes over non-algebraically closed fields will use this
repeatedly, to reduce results to the algebraically closed case.
10.2.J. E XERCISE . Suppose π : X → Y and ρ : X → Y are morphisms of k-schemes,
ℓ/k is a field extension, and πℓ : X ×Spec k Spec ℓ → Y ×Spec k Spec ℓ and ρℓ : X ×Spec k
Spec ℓ → Y ×Spec k Spec ℓ are the induced maps of ℓ-schemes. (Be sure you under-
stand what this means!) Show that if πℓ = ρℓ then π = ρ. (Hint: show that π and ρ
are the same on the level of sets. To do this, you may use that X ×Spec k Spec ℓ → X
is surjective, which we will soon prove in Exercise 10.4.G. Then reduce to the case
where X and Y are affine.)
10.2.K. E ASY E XERCISE . Suppose π : X → Y is an affine morphism over k, and ℓ/k
is a field extension. Show that π is a closed embedding if and only if π ×k ℓ : X ×k
ℓ → Y ×k ℓ is. (The affine hypothesis is not necessary for this result, but it makes
the proof easier, and this is the situation in which we will most need it.)
10.2.L. E XERCISE ( SEEMINGLY PATHOLOGICAL BEHAVIOR IN NONPATHOLOGICAL
CIRCUMSTANCES ). Suppose k is a field, and A = k(x) ⊗k k(y). Show that A is a
(nonzero) localization of k[x, y], hence an integral domain. Thus (0) is the unique
minimal prime ideal of A. Show that the remaining prime ideals of A correspond
to ideals (f(x, y)) ⊂ k[x, y], where f(x, y) is an irreducible polynomial in k[x, y]
containing both the variables x and y. (Hint: (2) and (4) above.)
This example will come up again in Remarks 12.2.17 and 24.5.11. The idea in
the solution to Exercise 10.2.L also yields the following.
10.2.M. U NIMPORTANT BUT FUN EXERCISE . Show that Spec Q(t) ⊗Q C has closed
points in natural correspondence with the transcendental complex numbers. This
scheme doesn’t come up in nature, but it is certainly neat!
10.3 Interpretations: Pulling back families, and fibers of
morphisms
10.3.1. Pulling back families.
Before making any definitions, we give a motivating informal example. Con-
sider the “family of curves”
y2 = x3 + tx
in the xy-plane parametrized by t. Translation: consider
Spec k[x, y, t]/(y2 − x3 − tx) / Spec k[t].
If we “pull back this family” to the uv-plane via uv = t, we get the family
y2 = x3 + uvx.
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If instead we set t to 3, we get the curve
y2 = x3 + 3x,
which we interpret as the fiber of the original family above t = 3. You may have
noticed the fiber products underlying in these constructions:
Spec k[x, y, u, v]/(y2 − x3 − uvx) / Spec k[x, y, t]/(y2 − x3 − tx)
Spec k[u, v]
uv←[t / Spec k[t]
and
Spec k[x, y]/(y2 − x3 − 3x) / Spec k[x, y, t]/(y2 − x3 − tx)
Spec k
3←[t / Spec k[t]
We now formalize this.
F IGURE 10.1. A picture of a pulled back family
Suppose Y → Z is a morphism. We interpret this as a “family of schemes
parametrized by a base scheme (or just plain base) Z.” Then if we have another
morphism ψ : X → Z, we interpret the induced map X ×Z Y → X as the “pulled
back family” (see Figure 10.1).
X ×Z Y /Y
pulled back family family
X
ψ
/Z
284 The Rising Sea: Foundations of Algebraic Geometry
We sometimes say that X×Z Y is the scheme-theoretic preimage (or scheme-theoretic
pullback, or scheme-theoretic inverse image, or inverse image scheme) of Y. (Our forth-
coming discussion of fibers may give some motivation for this.) For this reason,
fibered product is often called base change or change of base or pullback. In
addition to the various names for a Cartesian diagram given in §1.3.7, in alge-
braic geometry it is often called a base change diagram or a pullback diagram,
and X ×Z Y → X is called the pullback of Y → Z by ψ, and X ×Z Y is called
the pullback of Y by ψ. One often uses the phrase “over X” or “above X” when
discussing X ×Z Y, especially if X is a locally closed subscheme of Z. (Random
side remark: scheme-theoretic preimage always makes sense, while the notion of
scheme-theoretic image is somehow problematic, as discussed in §9.4.1.)
10.3.2. Fibers of morphisms.
(If you did Exercise 8.3.J, that finite morphisms have finite fibers, you will not
find the following discussion surprising.) A special case of pullback is the notion
of a fiber of a morphism. We motivate this with the notion of fiber in the category
of topological spaces.
10.3.A. E XERCISE . Show that if Y → Z is a continuous map of topological spaces,
and X is a point p of Z, then the fiber of Y over p (the set-theoretic fiber, with the
induced topology) is naturally identified with X ×Z Y.
More generally, for any π : X → Z, the fiber of X ×Z Y → X over a point p of X
is naturally identified with the fiber of Y → Z over π(p).
10.3.3. Definition. Motivated by topology, we return to the category of schemes.
Suppose p → Z is the inclusion of a point (not necessarily closed). More precisely,
if p is a point with residue field K, consider the map Spec K → Z sending Spec K
to p, with the natural isomorphism of residue fields. Then if g : Y → Z is any mor-
phism, the scheme-theoretic preimage of p is called the scheme-theoretic fiber (or
fibre) of g above p,and is denoted g−1 (p). If Z is irreducible, the scheme-theoretic
fiber above the generic point of Z is called the generic fiber (of g). In an affine
open subscheme Spec A containing p, p corresponds to some prime ideal p, and
the morphism Spec K → Z corresponds to the ring map A → Ap /pAp . This is the
composition of localization and closed embedding, and thus can be computed by
the tricks above. (Note that p → Z is a monomorphism, by Exercise 10.2.H.)
10.3.B. E XERCISE . Show that the underlying topological space of the scheme-
theoretic fiber of X → Y above a point p is naturally identified with the topological
fiber of X → Y above p.
10.3.C. E XERCISE ( ANALOG OF E XERCISE 10.3.A). Suppose that π : Y → Z and
τ : X → Z are morphisms, and p ∈ X is a point. Show that the fiber of X ×Z Y → X
over p is (isomorphic to) the base change to p of the fiber of π : Y → Z over τ(p).
10.3.4. Example (enlightening in several ways). Consider the projection of the
parabola y2 = x to the x-axis over Q, corresponding to the map of rings Q[x] →
Q[y], with x 7→ y2 . If Q alarms you, replace it with your favorite field and see
what happens. (You should look at Figure 10.2, which is a flipped version of the
April 1, 2023 draft 285
F IGURE 10.2. The map C → C given by y 7→ y2
parabola of Figure 3.6, and figure out how to edit it to reflect what we glean here.)
Writing Q[y] as Q[x, y]/(y2 − x) helps us interpret the morphism conveniently.
(i) Then the preimage of 1 is two points:
∼ Spec Q[x, y]/(y2 − x, x − 1)
Spec Q[x, y]/(y2 − x) ⊗Q[x] Q[x]/(x − 1) =
∼ Spec Q[y]/(y2 − 1)
=
⨿
∼ Spec Q[y]/(y − 1)
= Spec Q[y]/(y + 1).
(ii) The preimage of 0 is one nonreduced point:
∼ Spec Q[y]/(y2 ).
Spec Q[x, y]/(y2 − x, x) =
(iii) The preimage of −1 is one reduced point, but of “size 2 over the base
field”.
∼ Spec Q[y]/(y2 + 1)
Spec Q[x, y]/(y2 − x, x + 1) =
∼ Spec Q[i]
=
= Spec Q(i).
(iv) The preimage of the generic point is again one reduced point, but of “size
2 over the residue field”, as we verify now.
∼ Spec Q[y] ⊗Q[y2 ] Q(y2 )
Spec Q[x, y]/(y2 − x) ⊗Q[x] Q(x) =
i.e., (informally) the Spec of the ring of polynomials in y divided by polynomials
in y2 . A little thought shows you that in this ring you may invert any polynomial
in y, as if f(y) is any polynomial in y, then
1 f(−y)
= ,
f(y) f(y)f(−y)
and the latter denominator is a polynomial in y2 . Thus
Q[x, y]/(y2 − x) ⊗Q[x] Q(x) = ∼ Q(y)
which is a degree 2 field extension of Q(x) (note that Q(x) = Q(y2 )).
(You might want to work through the preimages of other points of A1Q , such
as [(x3 − 4)] and [(x2 − 2)].)
Notice the following interesting fact: in each of the four cases, the number of
preimages can be interpreted as 2, where you count to two in several ways: you
can count points (as in the case of the preimage of 1); you can get nonreduced
286 The Rising Sea: Foundations of Algebraic Geometry
behavior (as in the case of the preimage of 0); or you can have a field extension of
degree 2 (as in the case of the preimage of −1 or the generic point). In each case, the
fiber is an affine scheme whose dimension as a vector space over the residue field
of the point is 2. Number theoretic readers may have seen this behavior before.
We will discuss this example again in §16.3.9. This is going to be symptomatic of
a very important kind of morphism (a finite flat morphism, see Remark 24.4.8 and
§24.4.12).
Try to draw a picture of this morphism if you can, so you can develop a picto-
rial shorthand for what is going on. A good first approximation is the parabola of
Figure 10.2, but you will want to somehow depict the peculiarities of (iii) and (iv).
10.3.5. Remark: Finite morphisms have finite fibers. If you haven’t done Exercise 8.3.J,
that finite morphisms have finite fibers, now would be a good time to do it, as you
will find it more straightforward given what you know now.
10.3.D. E XERCISE ( IMPORTANT FOR THOSE WITH MORE ARITHMETIC BACKGROUND ).
What is the scheme-theoretic fiber of Spec Z[i] → Spec Z over the prime (p)? Your
answer will depend on p, and there are four cases, corresponding to the four cases
of Example 10.3.4. (Can you draw a picture?)
10.3.E. E XERCISE . (This exercise will give you practice in computing a fibered
product over something that is not a field.) Consider the morphism of schemes
X = Spec k[t] → Y = Spec k[u] corresponding to k[u] → k[t], u 7→ t2 , where
char k ̸= 2. Show that X ×Y X has two irreducible components. (What happens if
char k = 2? See Exercise 10.5.A for a clue.)
10.3.6. A first view of a blow-up.
10.3.F. I MPORTANT C ONCRETE E XERCISE . (The discussion here immediately gen-
eralizes to An A .) Define a closed subscheme Bl(0,0) Ak of Ak ×k Pk as follows (see
2 2 1
Figure 10.3). If the coordinates on Ak are x, y, and the projective coordinates on P1k
2
are u, v, this subscheme is cut out in A2k ×k P1k by the single equation xv = yu. (You
may wish to interpret Bl(0,0) A2k as follows. The P1k parametrizes lines through the
origin. The blow-up corresponds to ordered pairs of (point p, line ℓ) such that
(0, 0) and p both lie on ℓ.) Describe the fiber of the morphism Bl(0,0) A2k → P1k over
each closed point of P1k . Show that the morphism Bl(0,0) A2k → A2k is an isomor-
phism away from (0, 0) ∈ A2k . Show that the fiber over (0, 0) is an effective Cartier
divisor (§9.5.1, a closed subscheme that is locally cut out by a single equation,
which is not a zerodivisor). It is called the exceptional divisor. We will discuss
blow-ups in Chapter 22. This particular example will come up in the motivating
example of §22.1, and in Exercise 20.2.D.
We haven’t yet discussed regularity, but here is a hand-waving argument sug-
gesting that the Bl(0,0) A2k is “smooth”: the preimage above either standard open
set Ui ⊂ P1 is isomorphic to A2 . Thus “the blow-up is a surgery that takes the
smooth surface A2k , cuts out a point, and glues back in a P1 , in such a way that the
outcome is another smooth surface.”
10.3.7. General fibers, generic fibers, generically finite morphisms.
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F IGURE 10.3. A first example of a blow-up
The phrases “generic fiber” and “general fiber” parallel the phrases “generic
point” and “general point” (Definition 3.6.11). Suppose π : X → Y is a morphism of
schemes. When one says the general fiber (or a general fiber) of π a has a certain
property, this means that there exists a dense open subset U ⊂ Y such that the
fibers above any point in U have that property.
When one says the generic fiber of π : X → Y (Definition 10.3.3), this implicitly
means that Y is irreducible, and the phrase refers to the fiber over the generic point.
General fiber and generic fiber are not the same thing! Clearly if something holds for
the general fiber, then it holds for the generic fiber, but the converse is not always
true. However, in good circumstances, it can be — properties of the generic fiber
extend to an honest open neighborhood. For example, if Y is irreducible and Noe-
therian, and π is finite type, then if the generic fiber of π is empty (resp. nonempty),
then the general fiber is empty (resp. nonempty), by Chevalley’s Theorem 8.4.2.
If π : X → Y is finite type, we say π is generically finite if π is finite after base
change to the generic point of each irreducible component (or equivalently, by
Exercise 8.4.D, if the preimage of the generic point of each irreducible component
of Y is a finite set). (The notion of generic finiteness can be defined in more general
circumstances, see [Stacks, tag 073A].)
10.3.G. E XERCISE (“ GENERICALLY FINITE ” USUALLY MEANS “ GENERALLY FINITE ”).
Suppose π : X → Y is an affine, finite type, generically finite morphism of locally
Noetherian schemes, and Y is reduced. Show that there is an open neighborhood
of each generic point of Y over which π is actually finite. (The hypotheses can be
weakened considerably, see [Stacks, tag 02NW].) Hint: reduce to the case where Y
is Spec B, where B is an integral domain. Then X is affine, say X = Spec A. Write
A = B[x1 , . . . , xn ]/I. Now A ⊗B K(B) is a finite K(B)-module (finite-dimensional
vector space) by hypothesis, so there are monic polynomials fi (t) ∈ K(B)[t] such
that fi (xi ) = 0 in A ⊗B K(B). Let b be the product of the (finite number of) denom-
inators appearing in the coefficients in the fi (x). By replacing B by Bb , argue that
you can assume that fi (t) ∈ B[t]. Then fi (xi ) = 0 in A⊗B K(B), meaning that fi (xi )
is annihilated by some nonzero element of B. By replacing B by its localization at
the product of these n nonzero elements (“shrinking Spec B further”), argue that
fi (xi ) = 0 in A. Then conclude.
288 The Rising Sea: Foundations of Algebraic Geometry
10.3.8. ⋆⋆ Finitely presented families (morphisms) are locally pullbacks of partic-
ularly nice families. If you are macho and are embarrassed by Noetherian rings,
the following exercise can be used to extend results from the Noetherian case to
locally finitely presented situations. Exercise 10.3.I, an extension of Chevalley’s
Theorem 8.4.2, is a good example.
10.3.H. E XERCISE . Suppose π : X → Spec B is a finitely presented morphism.
Show that there exists a base change diagram of the form
X / X′
π π′
Spec B
ρ
/ Spec Z[x1 , . . . , xN ]
where N is some integer, and π ′ is finitely presented (= finite type as the target
is Noetherian, see §8.3.13). Thus each finitely presented morphism is locally (on
the base) a pullback of a finite type morphism to a Noetherian scheme. Hence
any result proved for Noetherian schemes and stable under base change is auto-
matically proved for locally finitely presented morphisms to arbitrary schemes.
Hint: think about the case where X is affine first. If X = Spec A, then A =
B[y1 , . . . , yn ]/(f1 , . . . , fr ). Choose one variable xi for each coefficient of fi ∈ B[y1 , . . . , yn ].
What is X ′ in this case? Then consider the case where X is the union of two affine
open sets, that intersect in an affine open set. Then consider more general cases
until you solve the full problem. You will need to use every part of the definition
of finite presentation. (Exercise 26.2.E extends this result.)
10.3.I. E XERCISE (C HEVALLEY ’ S T HEOREM FOR LOCALLY FINITELY PRESENTED MOR -
PHISMS ).
(a) Suppose that A is a finitely presented B-algebra (B not necessarily Noetherian),
so A = B[x1 , . . . , xn ]/(f1 , . . . , fr ). Show that the image of Spec A → Spec B is a
finite union of locally closed subsets of Spec B. Hint: Exercise 10.3.H (the simpler
affine case).
(b) Show that if π : X → Y is a quasicompact locally finitely presented morphism,
and Y is quasicompact, then π(X) is a finite union of locally closed subsets. (For
hardened experts only: [Gr-EGA, 0III .9.1] gives a definition of local constructibil-
ity, and of constructibility in more generality. The general form of Chevalley’s
Constructibility Theorem [Gr-EGA, IV1 .1.8.4] is that the image of a locally con-
structible subset, under a finitely presented map, is also locally constructible.)
10.4 Properties preserved by base change
All “reasonable” properties of morphisms are preserved under base change
(cf. §8.1(ii)). We discuss this, and in §10.5.1 we will explain how to fix those that
don’t fit this pattern.
We have already shown that the notion of “open embedding” is preserved by
base change (Exercise 8.1.D). We did this by explicitly describing what the fibered
product of an open embedding is: if Y ,→ Z is an open embedding, and ψ : X → Z
April 1, 2023 draft 289
is any morphism, then we checked that the open subscheme ψ−1 (Y) of X satisfies
the universal property of fibered products.
We have also shown that the notion of “closed embedding” is preserved by
base change (§10.2 (3)). In other words, given a Cartesian diagram
W / Y
_
cl. emb.
X /Z
where Y ,→ Z is a closed embedding, W → X is as well.
10.4.A. E ASY E XERCISE . Show that the closed embeddings and locally closed
embeddings are both “reasonable” classes of morphisms in the sense of §8.1.
10.4.B. E XERCISE . Suppose X → Z and Y → Z are both locally closed embeddings.
(a) Show that X ×Z Y → Z is a locally closed embedding.
(b) In this way we define the (scheme-theoretic) intersection of any two locally
closed subschemes of Z. Verify that this is in agreement with the previous defini-
tion of intersections of two open subschemes of Z, and the previous definition of
the intersection of two closed subschemes of Z.
10.4.C. E ASY E XERCISE . Show that locally principal closed subschemes (Defini-
tion 9.5.1) pull back to locally principal closed subschemes.
Similarly, other important properties are preserved by base change.
10.4.D. E XERCISE . Show that the following properties of morphisms are pre-
served by base change.
(a) quasicompact
(b) affine morphism
(c) finite
(d) integral
(e) locally of finite type
(f) finite type
⋆ (g) locally of finite presentation
10.4.E. E XERCISE . Show that the properties of morphisms of the previous exercise
are all “reasonable” in the sense of §8.1.
10.4.F. ⋆ E XERCISE . Show that the notion of “quasifinite morphism” (finite type +
finite fibers, Definition 8.3.11) is preserved by base change. (Warning: the notion
of “finite fibers” is not preserved by base change. Spec Q → Spec Q has finite
fibers, but Spec Q ⊗Q Q → Spec Q has one point for each element of Gal(Q/Q),
see Exercise 10.2.F.) Hint: reduce to the case Spec A → Spec B. Reduce to the case
ϕ : Spec A → Spec k. By Exercise 8.4.D, such ϕ are actually finite, and finiteness is
preserved by base change.
10.4.G. E XERCISE . (a) Show that surjectivity is preserved by base change. (Sur-
jectivity has its usual meaning: surjective as a map of sets.) You may end up
showing that for any fields k1 and k2 containing k3 , k1 ⊗k3 k2 is nonzero, and
290 The Rising Sea: Foundations of Algebraic Geometry
using the Axiom of Choice to find a maximal ideal in k1 ⊗k3 k2 . (b) Show that
surjective morphisms form a “reasonable” class (§8.1).
10.4.1. On the other hand, injectivity is not preserved by base change — witness the
bijection Spec C → Spec R, which loses injectivity upon base change by Spec C →
Spec R (see Example 10.2.3). This can be rectified (see §10.5.I).
10.4.H. E XERCISE ( CF. E XERCISE 10.2.E). Suppose X and Y are integral finite type
k-schemes. Show that X ×k Y is an integral finite type k-scheme. (Once we de-
fine “variety”, this will become the important fact that the product of irreducible
varieties over an algebraically closed field is an irreducible variety, cf. Proposi-
tion 11.3.11. The fact that the base field k is algebraically closed is important,
see §10.5.1. See Exercises 10.5.O and 10.5.Q for improvements.) Hint: reduce to
the case where X and Y are both affine, say X = Spec A and Y = Spec B with
A and B integral domains.∑You might (∑flip′ ahead) to Easy Exercise 10.5.N to see
′ ′
how to do this. Suppose ( ai ⊗ bi ) aj ⊗ bj = 0 in A ⊗k B with ai , aj ∈ A,
bi , bj′ ∈ B, where both {bi } and {bj′ } are linearly independent over k, and a1 and
a1′ are nonzero. Show that D(a1 a1′ ) ⊂ Spec A is nonempty. By the Weak Nullstel-
lensatz 3.2.5, there is a maximal (∑m ⊂ A in )D(a1 a1′ ) with A/m = k. By reducing
∑
modulo m, deduce ( ai ⊗ bi ) a ′ j ⊗ bj′ = 0 in B, where the overline indicates
residue modulo m. Show that this contradicts the fact that B is an integral domain.
10.5 ⋆ Properties not preserved by base change, and how to fix
them
We saw in the previous section that many useful properties of morphisms are
preserved by base change. Indeed, “preserved by base change” is one of the prop-
erties any “reasonable” class of morphisms should have (§8.1). But some seem-
ingly reasonable notions are not preserved by base change, and in this section we
discuss how to modify them appropriately so that they are. We do this not for
our own amusement, but because the resulting notions come up in nature, and
perhaps in retrospect are the notions we should started with.
The “universal” patch to this problem is as follows. If P is some property of
schemes, then a morphism of schemes is said to be universally P if it remains P
under any base change. Then the class of universally P morphisms is preserved
by base change. (Do you see why?)
An important example (§11.5) is the notion of universally closed morphisms. An-
other example is that of universally injective morphisms, which turns out to gen-
eralize (and “geometrize”) inseparable field extensions (§10.5.4).
One problem with “universally P” morphisms is that it is a priori hard to de-
termine whether a given morphism is universally P — you seem to have to check
every single base change of the morphism. Finding other equivalent criteria is
thus essential.
10.5.1. Geometric fibers.
April 1, 2023 draft 291
There are some notions that you should reasonably expect to be preserved by
pullback based on your geometric intuition. Given a family in the topological cate-
gory, fibers pull back in reasonable ways. So for example, any pullback of a family
in which all the fibers are irreducible will also have this property; ditto for con-
nected. Unfortunately, both of these fail in algebraic geometry, as Example 10.2.3
shows:
⨿ / Spec C
Spec C Spec C
Spec C / Spec R
The family on the right (the vertical map) has irreducible and connected fibers, and
the one on the left doesn’t. The same example shows that the notion of “integral
fibers” also doesn’t behave well under pullback. And we used it in §10.4.1 to show
that injectivity isn’t preserved by base change.
10.5.A. E XERCISE . Suppose k is a field of characteristic p, so k(u)/k(up ) is an
inseparable extension. By considering k(u) ⊗k(up ) k(u), show that the notion of
“reduced fibers” does not necessarily behave well under pullback. (We will soon
see that this happens only in characteristic p, in the presence of inseparability.)
We rectify this problem as follows.
10.5.2. A geometric point of a scheme X is defined to be a morphism Spec k → X
where k is an algebraically closed field. Awkwardly, this is now the third kind
of “point” of a scheme! There are just plain points, which are elements of the
underlying set; there are Z-valued points (Z a scheme), which are maps Z → X,
§7.3.10; and there are geometric points. Geometric points are clearly a flavor of
a scheme-valued point, but they are also an enriched version of a (plain) point:
they are the data of a point with an inclusion of the residue field of the point in an
algebraically closed field.
A geometric fiber of a morphism X → Y is defined to be the fiber over a geo-
metric point of Y, i.e., the fibered product with the geometric point Spec k → Y. A
morphism has connected (resp. irreducible, integral, reduced) geometric fibers
if all its geometric fibers are connected (resp. irreducible, integral, reduced). One
usually says that the morphism has geometrically connected (resp. geometrically
irreducible, geometrically integral, geometrically reduced) fibers. A k-scheme X
is geometrically connected (resp. geometrically irreducible, geometrically inte-
gral, geometrically reduced) if the structure morphism X → Spec k has geometri-
cally connected (resp. irreducible, integral, reduced) fibers. We will soon see that
to check any of these conditions, we need only base change to k.
(Warning: in some sources, in the definition of “geometric point”, “algebraically
closed” is replaced by “separably closed”.)
10.5.B. E XERCISE . Show that the notion of “connected (resp. irreducible, integral,
reduced) geometric fibers” behaves well under base change.
10.5.C. E XERCISE FOR THE ARITHMETICALLY- MINDED . Show that for the mor-
phism Spec C → Spec R, all geometric fibers consist of two reduced points. (Cf.
292 The Rising Sea: Foundations of Algebraic Geometry
Example 10.2.3.) Thus Spec C is a geometrically reduced but not geometrically
irreducible R-scheme.
10.5.D. E ASY EXERCISE . Give examples of k-schemes that:
(a) are reduced but not geometrically reduced;
(b) are connected but not geometrically connected;
(c) are integral but not geometrically integral.
10.5.E. E XERCISE ( TO CONVINCE GEOMETERS WHY GEOMETRIC FIBERS ARE MEAN -
INGFUL ). Recall Example 10.3.4, the projection of the parabola y2 = x to the
x-axis, corresponding to the map of rings Q[x] → Q[y], with x 7→ y2 . Show that
the geometric fibers of this map are always two points, except for those geometric
fibers “over 0 = [(x)]”. (Note that Spec C → Spec Q[x] and Spec Q → Spec Q[x],
both corresponding to ring maps with x 7→ 0, are both geometric points “above
0”.)
Checking whether a k-scheme is geometrically connected etc. seems annoying:
you need to check every single algebraically closed field containing k. However, in
each of these four cases, the failure of nice behavior of geometric fibers can already
be detected after a finite extension of fields. For example, Spec Q(i) → Spec Q is
not geometrically connected, and in fact you only need to base change by Spec Q(i)
to see this. We make this precise as follows.
Suppose X is a k-scheme. If K/k is a field extension, define XK = X ×k Spec K.
Consider the following twelve statements of the form “XK is [property] for all
fields [condition]”:
• (CK ), (CK=K ), (Ck ), (Cks ),
• (IK ), (IK=K ), (Ik ), (Iks ),
• (RK ), (RK=K ), (Rk ), (Rkp ).
Here C means “connected”, I means “irreducible”, and R means “reduced”. Also,
ks is the separable closure of k, and kp is the perfect closure of k. If char k = 0,
then k = kp = ks , so we can ignore (Cks ), (Iks ), and (Rkp ).
Thus (CK ) means “XK is connected for all fields K”, (Ik ) means “Xk is irre-
ducible”, and (Rkp ) means “Xkp is reduced”. Geometrically connected (resp., ge-
ometrically irreducible, geometrically reduced) translates to (CK=K ) (resp., (IK=K ),
(RK=K )).
Trivially (CK ) implies (CK=K ) implies (Ck ), and (CK ) implies (Cks ), and simi-
larly (with appropriate changes) with “connected” replaced by “irreducible” and
“reduced”. (See Figure 10.4.)
(CK )Ho (C )
HH v1 v K=K
HHvv
vH
vv HHH
{vv #
(Ck ) / (Cks )
F IGURE 10.4. Connectedness conditions that will later turn out to
be equivalent (solid arrows are trivial, dotted arrows are Exer-
cise 10.5.F)
April 1, 2023 draft 293
10.5.F. E XERCISE .
(a) Suppose that E/F is a field extension, and A is an F-algebra. Show that A is a
subalgebra of A ⊗F E. (Hint: think of these as vector spaces over F.)
(b) Show that: (CK=K ) implies (CK ) and (Ck ) implies (Cks ).
(c) Show that: (IK=K ) implies (IK ) and (Ik ) implies (Iks ).
(d) Show that: (RK=K ) implies (RK ) and (Rk ) implies (Rkp ).
Thus for example a k-scheme is geometrically integral if and only if it remains
integral under any field extension. Hence “geometrically integral” means “univer-
sally, integral fibers”.
10.5.3. Harder fact. In fact, (CK ) through (Cks ) are all equivalent, and similarly for
the other two properties (irreducibility and reducedness instead of connectedness,
with kp replacing ks in the case of reducedness). We defer the explanation to the
end of this section, in a double-starred discussion (§10.5.5). On a first reading, you
may want to read only Corollary 10.5.12 on connectedness, Proposition 10.5.15
on irreducibility, Proposition 10.5.21 on reducedness, and Proposition 11.3.11 on
varieties, and then to use them to solve Exercise 10.5.P. You can later come back
and read the proofs, which include some useful tricks turning questions about
general schemes over a field to questions about finite type schemes.
The following exercise may help even the geometrically-minded reader appre-
ciate the utility of these notions. (There is nothing important about the dimension
2 and the degree 4 in this exercise!)
10.5.G. ⋆ E XERCISE . Recall from Remark 4.5.3 that the quartic curves in P2k are
parametrized by a P14 k . (This will be made much more precise in §26.3.5.) Show
that the points of P14
k corresponding to geometrically integral curves form an open
subset. Explain the necessity of the modifier “geometrically” (even if k is alge-
braically closed).
10.5.4. Universally injective (= radicial) morphisms.
As remarked in §10.4.1, injectivity is not preserved by base change. A better
notion is that of universally injective morphisms: morphisms that are injections
of sets after any base change. In keeping with the traditional agricultural terminol-
ogy (sheaves, germs, . . . , cf. Remark 2.4.3), these morphisms were named radicial
after one of the lesser root vegetables. As a first example: all locally closed em-
beddings are universally injective (as they are injective, and remain locally closed
embeddings upon any base change). If you wish, you can show more generally
that all monomorphisms are universally injective. (Hint: show that monomor-
phisms are injective, and that the class of monomorphisms is preserved by base
change.)
Suppose you want to determine whether a given morphism is universally in-
jective. A map of sets is injective if and only if each fiber contains at most one point.
Now “the fiber of a base change is the base change of the fiber” (Exercise 10.3.C).
Also, the underlying set of the scheme-theoretic fiber is the fiber of the map on un-
derlying sets. Hence the question of universal injectivity turns into one about field
theory. We make this precise in Exercise 10.5.I, after first making the field theory
question precise in Exercise 10.5.H. En route, we will see why universal injectivity
294 The Rising Sea: Foundations of Algebraic Geometry
is algebro-geometric generalization of the notion of purely inseparable extensions
of fields.
10.5.H. E XERCISE . Suppose E/F is an extension of fields, inducing ϕ : Spec E →
Spec F.
(a) If E contains an element x transcendental over F, show that ϕ is not universally
injective. Hint: Exercise 10.2.L (on k(x) ⊗k k(y)) and the fibered squares
? / Spec F(x) ⊗F F(y) / Spec F(y)
Spec E / Spec F(x) / Spec F.
Now Spec E → Spec F(x) (a map from a point to a point) is surjective, and surjec-
tivity is preserved by base change (Exercise 10.4.G(a)).
(b) If E \ F contains an element x algebraic over F (with minimial polynomial
mx (t) ∈ F[t], say), and separable over F, show that ϕ is not universally injective.
Hint: the fibered squares
? / Spec F[t]/(mx (t)) ⊗F F / Spec F
Spec E / Spec F(t)/(mx (t)) / Spec F.
(c) Suppose E contains no elements of the above forms — i.e., E/F is a purely
inseparable extension (all elements of E are algebraic over F, and have some pN th
power in F), and E ′ /F is any other field extension, show that Spec E ⊗F E ′ contains
precisely one point.
10.5.I. E XERCISE . Suppose π : X → Y is a morphism of schemes. Show that the
following are equivalent.
(i) The morphism π is universally injective.
(ii) The morphism π is injective, and for each p ∈ X, the field extension
κ(p)/κ(π(p)) is purely inseparable.
You may already see that the class of universally injective morphisms is also
closed under composition, and local on the target, and hence forms a “reasonable”
class (§8.1). In any case, we will see this in a different way in §11.3.16.
10.5.5. ⋆⋆ Proof of Harder fact 10.5.3.
We will use one fact that we will not prove until much later.
10.5.6. Fact (to be proved in Theorem 24.5.5). — Suppose X is a k-scheme. Then
X → Spec k is universally open, i.e., remains open after any base change.
We could prove Fact 10.5.6 now without too much trouble, but it will follow
much more easily with the magic of flatness.
10.5.7. Lemma. — Suppose the field extension E/F is purely inseparable. Suppose X is
any F-scheme. Then ϕ : XE → X is a homeomorphism.
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Proof. The morphism ϕ is a bijection, so we may identify the points of X and XE .
(Reason: for any point p ∈ X, the scheme-theoretic fiber ϕ−1 (p) is a single point,
by the definition of pure inseparability.) The morphism ϕ is continuous (so open
sets in X are also open in XE ), and by Fact 10.5.6, ϕ is open (so open sets in XE are
also open in X). □
10.5.8. Connectedness.
Recall that a connected component of a topological space X is a maximal con-
nected subset of X (§3.6.12).
10.5.J. E XERCISE ( PROMISED IN R EMARK 3.6.13). Show that every point is con-
tained in a connected component, and that connected components are closed. (Hint:
see the hint for Exercise 3.6.O.)
10.5.K. E ASY TOPOLOGICAL EXERCISE . Suppose ϕ : X → Y is open, and has
nonempty connected fibers. Show that ϕ induces a bijection of connected compo-
nents.
10.5.9. Lemma. — Suppose X is geometrically connected over k. Then for any scheme
Y/k, X ×k Y → Y induces a bijection of connected components.
Proof. Combine Fact 10.5.6 and Exercise 10.5.K. □
We come next to a repeatedly useful algebra-geometry link, promised in Re-
mark 3.6.3: idempotent functions on X on the algebraic side correspond to a de-
composition of X into two open and closed sets on the geometric side.
10.5.L. E XERCISE ( THE IDEMPOTENT- CONNECTEDNESS PACKAGE ). Show that a
scheme X is disconnected if and only if there exists a function e ∈ Γ (X, OX ) that is
an idempotent (e2 = e) distinct from 0 and 1. (Hint: if X is the disjoint union of two
open sets X0 and X1 , let e be the function that is 0 on X0 and 1 on X1 . Conversely,
given such an idempotent, define X0 = V(e) and X1 = V(1 − e).)
10.5.10. Proposition. — Suppose k is separably closed, and A is a k-algebra with Spec A
connected. Then Spec A is geometrically connected over k.
Proof. We wish to show that Spec A ⊗k K is connected for any field extension K/k.
It suffices to assume that K is algebraically closed (as Spec A ⊗k K → Spec A ⊗k K
is surjective). By choosing an embedding k ,→ K and considering the diagram
Spec A ⊗k K / Spec A ⊗k k homeo. / Spec A
by Lem. 10.5.7
Spec K / Spec k / Spec k
it suffices to assume k is algebraically closed.
If Spec A ⊗k K is disconnected, then A ⊗k K contains an idempotent e ̸= 0, 1
∑N
(by Exercise 10.5.L). Write d = i=1 ai ⊗ ℓi , where ai ∈ A and ℓi ∈ K. Define B as
the subalgebra of K generated over k by the ℓi (as an algebra), so B is an integral
296 The Rising Sea: Foundations of Algebraic Geometry
domain of finite type over k. Then K(B) is a finitely-generated field extension of k.
Spec A ⊗k K / Spec A ⊗k B / Spec A
univ. open
Spec K / Spec B / Spec k
Also, e ∈ A ⊗k B, and we recall that e is an idempotent distinct from 0 and 1 (even
in this ring). By the idempotent-connectedness package (Exercise 10.5.L) applied
to A ⊗k⨿ B, Spec A ⊗k B is disconnected, say with nonempty open subsets U and V
with U V = Spec A ⊗k B.
Now ϕ : Spec A ⊗k B → Spec B is an open map (because Spec A → Spec k is
universally open, Fact 10.5.6), so ϕ(U) and ϕ(V) are nonempty open sets of Spec B.
As Spec B is connected, the intersection ϕ(U)∩ϕ(V) is a nonempty open set, which
∼ Spec A, and
has a closed point p (with residue field k, as k = k). But then ϕ−1 (p) =
we have covered Spec A with two disjoint open sets, yielding a contradiction. □
10.5.11. Sneaky “tensor-finiteness” trick that was just used. This argument used a
particularly clever trick that we will use again: we conjured a finitely-generated
algebra B out of nowhere, and then used classical “geometry over algebraically
closed fields” to prove something far-removed from classical algebraic geometry.
What let us do that was that any single element of a tensor product (such as e in
the argument above) is a finite sum of “elementary tensors”, and so we worked
instead in a subring generated by the “parts” of those “elementary tensors”. We
will call this the tensor-finiteness trick in order to help direct your attention to
where it can be used again.
10.5.12. Corollary. — If k is separably closed, and Y is a connected k-scheme, then Y is
geometrically connected.
Proof. We wish to show that for any field extension K/k, YK is connected. By Propo-
sition 10.5.10, Spec K is geometrically connected over k. Then apply Lemma 10.5.9
with X = Spec K. □
10.5.13. Irreducibility.
10.5.14. Proposition. — Suppose k is separably closed, A is a k-algebra with Spec A
irreducible, and K/k is a field extension. Then Spec A ⊗k K is irreducible.
Proof. We follow the philosophy of the proof of Proposition 10.5.10. As in the first
paragraph of that proof, it suffices to assume that k is algebraically closed.
If A ⊗k K is not irreducible, then we can find x and y with V(x), V(y) ̸=
Spec A ⊗k K and V(x) ∪ V(y) = Spec A ⊗k K. As in the second paragraph of
10.5.10, we use the “tensor-finiteness
the proof of Proposition ∑ ∑ ′ trick” (§10.5.11). We
choose expressions x = ai ⊗ ℓi and y = aj ⊗ ℓj′ (ai , aj′ ∈ A, ℓi , ℓj′ ∈ K), and
then define B to be the subring of K generated by the ℓi and ℓj′ . Thus B is an inte-
gral domain finitely generated over k = k, and x, y ∈ A ⊗k B. Then D(x) and D(y)
are nonempty open subsets of Spec A ⊗k B, whose image in Spec B are nonempty
open sets (by universal openness of Spec A → Spec k, Fact 10.5.6), and thus their
April 1, 2023 draft 297
intersection is nonempty and contains a closed point p (with residue field k = k).
But then ϕ−1 (p) = ∼ Spec A, and we have covered Spec A with two proper closed
sets (the restrictions of V(x) and V(y)), yielding a contradiction. □
10.5.M. E XERCISE . Suppose k is separably closed, and A and B are k-algebras,
both with irreducible Spec (i.e., with one minimal prime). Show that A ⊗k B has
irreducible Spec too. (Hint: reduce to the case where A and B are finite type over
k. Extend the proof of the previous proposition.)
10.5.N. E ASY EXERCISE . Show that a scheme X is irreducible if and only if there
exists an open cover X = ∪Ui with Ui irreducible for all i, and Ui ∩ Uj ̸= ∅ for all
i, j.
10.5.15. Proposition. — Suppose K/k is a field extension of a separably closed field and
Xk is irreducible. Then XK is irreducible.
Proof. Take an open cover Xk = ∪Ui by pairwise intersecting irreducible affine
open subsets. The base change of each Ui to K is irreducible by Proposition 10.5.14,
and they pairwise intersect. The result then follows from Exercise 10.5.N. □
10.5.O. E XERCISE . Suppose B is a k-algebra such that B ⊗k k is an integral domain
(Spec B is geometrically integral), and A is a k-algebra that is an integral domain
(Spec A is integral). Show that A⊗k B is an integral domain (Spec A⊗k B is integral).
(Once we define “variety”, this will imply that the product of a geometrically inte-
gral variety with an integral variety is an integral variety.) Hint: revisit the proof
of Exercise 10.4.H.
10.5.16. Reducedness.
We recall a statement from transcendence theory (the basics of which are de-
veloped in Exercise 12.2.A). Because this is a starred section, we content ourselves
with a reference rather than a proof.
10.5.17. Algebraic Fact: finitely generated extensions of perfect fields are sep-
arably generated, see [E, Cor. 16.17(b)] or [van, §19.7]. — Any finitely generated
extension of a perfect field E/F can be factored into a finite separable part and a purely
transcendental part:
E
finite separable
F(t1 , . . . , tn )
purely transcendental
F.
10.5.18. Proposition. — Suppose B is a geometrically reduced k-algebra, and A is a
reduced k-algebra. Then A ⊗k B is reduced.
(Compare this to Exercise 10.5.O.)
298 The Rising Sea: Foundations of Algebraic Geometry
Proof. Reduce to the case where A is finitely generated over k using the tensor-
finiteness
∑ trick (§10.5.11). (Suppose we have x ∈ A ⊗k B with xn = 0. Suppose
′
x= ai ⊗ bi . Let A be the finitely generated subring of A generated by the ai .
Then A ′ ⊗k B ′
∏is a subring of A ⊗k B. Replace A by A .) Then A is a subring of
the product Ki of the function fields
∏of its irreducible components. (One can
see this as follows: the kernel of A → A/pi is the intersection of the primes pi ,
which is the ideal of nilpotents N by Theorem 3.2.13; but n = 0 as A is reduced.
And A/pi ,→ K(A/pi ) = Ki clearly. Alternatively, you may find this this clear from
our discussion of associated points (§6.6). So it suffices to prove the result for A a
product of fields. Then it suffices to prove the result when A is a field. But then
we are done, by the definition of geometric reducedness. □
10.5.19. Proposition. — Suppose A is a reduced k-algebra. Then:
(a) A ⊗k k(t) is reduced.
(b) If E/k is a finite separable extension, then A ⊗k E is reduced.
Proof. (a) Clearly A ⊗ k[t] is reduced, and localization preserves reducedness (as
reducedness is stalk-local, Exercise 5.2.A).
(b) Working inductively, we can assume E is generated by a single element,
with minimal polynomial p(t). By the tensor-finiteness trick, we can assume A
is finitely generated over k. (Why can we do this? What are the finitely many
elementary tensors in this argument?) Then by the same trick as in the proof of
Proposition 10.5.18, we can replace A by the product of its function fields of its
components, and then we can assume A is a field. But then A[t]/p(t) is reduced
by the definition of separability of p. □
10.5.20. Lemma. — Suppose E/k is a field extension of a perfect field, and A is a reduced
k-algebra. Then A ⊗k E is reduced.
Proof. By the tensor-finiteness trick, we may assume E is finitely generated over k.
(Be you see how!) By Algebraic Fact 10.5.17, we can factor E/k into extensions of
the forms of Proposition 10.5.19 (a) and (b). We then apply Proposition 10.5.19. □
10.5.21. Proposition. — Suppose E/k is an extension of a perfect field, and X is a
reduced k-scheme. Then XE is reduced.
Proof. Reduce to the case where X is affine. Use Lemma 10.5.20. □
10.5.22. Corollary. — Suppose k is perfect, and A and B are reduced k-algebras. Then
A ⊗k B is reduced.
Proof. By Lemma 10.5.20, A is a geometrically reduced k-algebra. Then apply
Lemma 10.5.18. □
10.5.P. E XERCISE ( COMPLETING H ARD FACT 10.5.3). Show that (Rkp ) implies
(RK ), (Iks ) implies (IK ), and (Cks ) implies (CK ).
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10.5.Q. E XERCISE . Suppose that A and B are two integral domains that are k-
algebras. Show that A⊗k B is an integral domain. (Compare this to Exercise 10.4.H,
which had finite type hypotheses.)
10.6 Products of projective schemes: The Segre embedding
We next describe products of projective A-schemes over A. (The case of great-
est initial interest is if A = k.) To do this, we need only describe Pm A ×A PA , because
n
any projective A-scheme has a closed embedding in some Pm A , and closed embed-
dings behave well under base change, so if X ,→ Pm A and Y ,→ P n
A are closed
embeddings, then X ×A Y ,→ Pm A × P
A A
n
is also a closed embedding, cut out by
the equations of X and Y (§10.2(3)). We will describe Pm A × P
A A
n
, and see that it too
is a projective A-scheme. (Hence if X and Y are projective A-schemes, then their
product X ×A Y over A is also a projective A-scheme.)
Before we do this, we will get some motivation from classical projective spaces
(nonzero vectors modulo nonzero scalars, Exercise 4.4.F) in a special case. Our
map will send [x0 , x1 , x2 ] × [y0 , y1 ] to a point in P5 , whose coordinates we think of
as being entries in the “multiplication table”
[ x0 y0 , x1 y0 , x2 y0 ,
x0 y1 , x1 y1 , x 2 y1 ].
This is indeed a well-defined map of sets. Notice that the resulting matrix is rank
one, and from the matrix, we can read off [x0 , x1 , x2 ] and [y0 , y1 ] up to scalars. For
example, to read off the point [x0 , x1 , x2 ] ∈ P2 , we take the first row, unless it is
all zero, in which case we take the second row. (They can’t both be all zero.) In
conclusion: in classical projective geometry, given a point of Pm and Pn , we have
produced a point in Pmn+m+n , and from this point in Pmn+m+n , we can recover
the points of Pm and Pn .
Suitably motivated, we return to algebraic geometry. We define a map
Pm
A ×A P A → P A
n mn+m+n
by
([x0 , . . . , xm ], [y0 , . . . , yn ]) 7→ [z00 , z01 , . . . , zij , . . . , zmn ]
= [x0 y0 , x0 y1 , . . . , xi yj , . . . xm yn ].
More explicitly, we consider the map from the affine open set Ui × Vj (where Ui =
D(xi ) and Vj = D(yj ) to the affine open set Wij = D(zij ) by
(x0/i , . . . , xm/i , y0/j , . . . , yn/j ) 7→ (x0/i y0/j , . . . , xi/i yj/j , . . . , xm/i yn/j )
or, in terms of algebras, zab/ij 7→ xa/i yb/j .
10.6.A. E XERCISE . Check that these maps glue to give a well-defined morphism
Pm
A ×A PA → PA
n mn+m+n
.
10.6.1. We next show that this morphism is a closed embedding. We can check this
on an open cover of the target (the notion of being a closed embedding is affine-
local, Exercise 9.1.D). Let’s check this on the open set where zij ̸= 0. The preimage
of this open set in Pm
A × PA is the locus where xi ̸= 0 and yj ̸= 0, i.e., Ui × Vj . As
n
described above, the map of rings is given by zab/ij 7→ xa/i yb/j ; this is clearly a
300 The Rising Sea: Foundations of Algebraic Geometry
surjection, as zaj/ij 7→ xa/i and zib/ij 7→ yb/j . (A generalization of this ad hoc
description will be given in Exercise 15.2.H.)
This map is called the Segre morphism or Segre embedding. If A is a field,
the image is called the Segre variety.
10.6.B. E XERCISE . Show that the Segre scheme (the image of the Segre embedding)
is cut out (scheme-theoretically) by the equations corresponding to
a00 · · · a0n
.. = 1,
rank ... ..
. .
am0 ··· amn
i.e., that all 2 × 2 minors vanish. Hint: suppose you have a polynomial in the aij
that becomes zero upon the substitution aij = xi yj . Give a recipe for subtracting
polynomials of the form “monomial times 2 × 2 minor” so that the end result is 0.
(The analogous question for the Veronese embedding in special cases is the content
of Exercises 9.3.I and 9.3.K.)
10.6.2. Important Example. Let’s consider the first nontrivial example, when m =
n = 1. We get P1k ×k P1k ,→ P3k (where k is a field). We get a single equation
( )
a00 a01
rank = 1,
a10 a11
i.e., a00 a11 − a01 a10 = 0. We again meet our old friend, the quadric surface
(§9.3.9)! Hence: the smooth quadric surface wz − xy = 0 (Figure 9.2) is isomorphic
to P1k ×k P1k . Recall from Exercise 9.3.L that the quadric surface has two families
(rulings) of lines. You may wish to check that one family of lines corresponds to
the image of {x} ×k P1k as x varies, and the other corresponds to the image P1k ×k {y}
as y varies.
If k is an algebraically closed field of characteristic not 2, then by diagonaliz-
ability of quadratics (Exercise 5.4.J), all rank 4 (“full rank”) quadratics in 4 vari-
ables are isomorphic, so all rank 4 quadric surfaces over an algebraically closed
field of characteristic not 2 are isomorphic to P1k ×k P1k .
Note that this is not true over a field that is not algebraically closed. For exam-
ple, over R, w2 + x2 + y2 + z2 = 0 (in P3R ) is not isomorphic to P1R ×R P1R . Reason:
the former has no real points, while the latter has lots of real points.
You may wish to do the next two exercises in either order. The second can be
used to show the first, but the first may give you insight into the second.
10.6.C. E XERCISE : A COORDINATE - FREE DESCRIPTION OF THE S EGRE EMBEDDING .
Show that the Segre embedding can be interpreted as PV × PW → P(V ⊗ W) via
the surjective map of graded rings
( ) ( )
Sym• (V ∨ ⊗ W ∨ ) / / ⊕∞ Symi V ∨ ⊗ Symi W ∨
i=0
“in the opposite direction”.
10.6.D. E XERCISE : A COORDINATE - FREE DESCRIPTION OF PRODUCTS OF PROJEC -
TIVE A- SCHEMES IN GENERAL . Suppose that S• and T• are finitely generated
April 1, 2023 draft 301
graded rings over A. Describe an isomorphism
∼
(Proj S• ) ×A (Proj T• ) ←→ Proj ⊕∞
n=0 (Sn ⊗A Tn )
(where hopefully the definition of multiplication in the graded ring ⊕∞
n=0 (Sn ⊗A
Tn ) is clear).
10.7 Normalization
We discuss normalization now only because the central construction gives
practice with the central idea behind the construction in §10.1 of the fibered prod-
uct (see Exercises 10.7.B and 10.7.I).
Normalization is a means of turning a reduced scheme into a normal scheme.
(Unimportant remark: reducedness is not a necessary hypothesis, and is included
only to avoid distraction. If you care, you can follow through the construction, and
realize that the normalization of a scheme factors through the reduction, and is the
normalization of the reduction.) A normalization of a reduced scheme X is a mor-
phism ν : Xe → X from a normal scheme, where ν induces a bijection of irreducible
components of X e and X, and in reasonable cases (cf. Exercise 10.7.N) ν gives a bira-
tional morphism on each of the irreducible components. It will satisfy a universal
property, and hence it will be unique up to unique isomorphism. Figure 8.4 is an
example of a normalization.
We begin with the case where X is irreducible, and hence (by Exercise 5.2.G)
integral. (We will then deal with a more general case, and also discuss normaliza-
tion in a function field extension.) In this case of irreducible X, the normalization
e → X is a dominant morphism (not just dominant rational map!) from an irre-
ν: X
ducible normal scheme to X, such that any other such morphism factors through
ν:
∃! e
/X
([Link]) normal Y= normal
==
==
=
dominant == ν dominant
X
Thus if the normalization exists, then it is unique up to unique isomorphism.
We now have to show that it exists, and we do this in a way that will look familiar.
We deal first with the case where X is affine, say X = Spec A, where A is an integral
domain. Then let A e be the integral closure of A in its fraction field K(A).
e →
10.7.A. E XERCISE . (Recall that A is an integral domain.) Show that ν : Spec A
Spec A satisfies the universal property of normalization. (En route, you might
show that the global sections of an irreducible normal scheme are also “normal”,
i.e., integrally closed.)
10.7.B. I MPORTANT ( BUT SURPRISINGLY EASY ) E XERCISE . Show that normaliza-
tions of integral schemes exist in general. (Hint: Ideas from the existence of fibered
products, §10.1, may help.)
302 The Rising Sea: Foundations of Algebraic Geometry
10.7.C. E ASY E XERCISE . Show that normalizations are integral and surjective.
(Hint for surjectivity: the Lying Over Theorem, see §8.2.6.)
We will soon see that normalization of integral finite type k-schemes is always
a birational morphism, in Exercise 10.7.N.
10.7.D. E XERCISE . Explain (by defining a universal property) how to extend the
notion of normalization to the case where X is a reduced scheme, with possibly
more than one component, but under the hypothesis that every affine open subset
of X has finitely many irreducible components. Note that this includes all locally
Noetherian schemes. (If you wish, you can show that the normalization exists in
this case. See [Stacks, tag 035Q] for more.)
Here are some examples.
10.7.E. E XERCISE ( NORMALIZATION OF THE NODAL CUBIC ). Suppose that char k ̸=
2 (only so we can use the word “nodal”). Show that Spec k[t] → Spec k[x, y]/(y2 −
x2 (x + 1)) given by (x, y) 7→ (t2 − 1, t(t2 − 1)) (see Figure 8.4) is a normaliza-
tion. The target curve is called the nodal cubic curve. (Hint: show that k[t] and
k[x, y]/(y2 − x2 (x + 1)) have the same fraction field. Show that k[t] is integrally
closed. Show that k[t] is contained in the integral closure of k[x, y]/(y2 −x2 (x+1)).)
You will see from the previous exercise that once we guess what the normal-
ization is, it isn’t hard to verify that it is indeed the normalization. Perhaps a few
words are in order as to where the polynomials t2 − 1 and t(t2 − 1) arose in the
previous exercise. The key idea is to guess t = y/x. (Then t2 = x + 1 and y = xt
quickly.) This idea comes from three possible places. We begin by sketching the
curve, and noticing the “node” at the origin. (“Node” will be formally defined in
§29.3.1.) (a) The function y/x is well-defined away from the node, and at the node,
the two branches have “values” y/x = 1 and y/x = −1. (b) We can also note that if
t = y/x, then t2 is a polynomial, so we will need to adjoin t in order to obtain the
normalization. (c) The curve is cubic, so we expect a general line to meet the cubic
in three points, counted with multiplicity. (We will make this precise when we dis-
cuss Bézout’s Theorem, Exercise 18.6.J, but in this case we have already gotten a
hint of this in Exercise 7.5.H.) There is a P1 parametrizing lines through the origin
(with coordinate equal to the slope of the line, y/x), and most such lines meet the
curve with multiplicity two at the origin, and hence meet the curve at precisely
one other point of the curve. So this “coordinatizes” most of the curve, and we try
adding in this coordinate.
10.7.F. E XERCISE . Find the normalization of the cusp y2 = x3 (see Figure 10.5).
(“Cusp” will be formally defined in Definition 29.3.3.)
10.7.G. E XERCISE . Suppose char k ̸= 2. Find the normalization of the tacnode
y2 = x4 , and draw a picture analogous to Figure 10.5. (“Tacnode” will be formally
defined in Definition 29.3.3.)
(Although we haven’t defined “singularity”, “smooth”, “curve”, or “dimen-
sion”, you should still read this.) Notice that in the previous examples, normaliza-
tion “resolves” the singularities (“non-smooth” points) of the curve. In general, it
April 1, 2023 draft 303
F IGURE 10.5. Normalization of a cusp
will do so in dimension one (in reasonable Noetherian circumstances, as normal lo-
cal Noetherian integral domains of dimension one are all discrete valuation rings,
§13.5), but won’t do so in higher dimension (the cone z2 = x2 + y2 over a field k
of characteristic not 2 is normal, Exercise 5.4.I(b)).
10.7.H. E XERCISE . Suppose X = Spec Z[15i]. Describe the normalization X e → X.
(Hint: Z[i] is a unique factorization domain, §5.4.5(0), and hence is integrally
closed by Exercise 5.4.F.) Over what points of X is the normalization not an iso-
morphism?
Another exercise in a similar vein is the normalization of the “pinched plane”,
Exercise 13.5.I.
10.7.I. E XERCISE ( NORMALIZATION IN A FUNCTION FIELD EXTENSION , AN IMPOR -
TANT GENERALIZATION ). Suppose X is an integral scheme. The normalization
e → X of X in a given algebraic field extension L of the function field K(X) of
ν: X
X is a dominant morphism from a normal integral scheme X e with function field L,
such that ν induces the inclusion K(X) ,→ L, and that is universal with respect to
this property.
Spec LK Spec K(Y) /Y normal
KKKK
KKKK
KKKK
KKKK ∼ ∃!
K
e
Spec K(X) e
/X normal
Spec K(X) /X
Show that the normalization in a finite extension of fields exists.
The following two examples, one arithmetic and one geometric, show that this
is an interesting construction.
10.7.J. E XERCISE . Suppose X = Spec Z (with function field Q). Find its integral clo-
sure in the field extension Q(i). (There is no “geometric” way to do this; it is purely
an algebraic problem, although the answer should be understood geometrically.)
10.7.1. Remark: Rings of integers in number fields. A finite extension K of Q is called a
number field, and the integral closure of Z in K the ring of integers in K, denoted
304 The Rising Sea: Foundations of Algebraic Geometry
OK . (This notation is awkward given our other use of the symbol O.)
Spec K / Spec OK
Spec Q / Spec Z
By the previous exercises, OK is a normal integral domain, and we will see soon
(Theorem 10.7.3(a)) that it is Noetherian, and later (Exercise 12.1.G) that it has
“dimension 1”. This is an example of a Dedekind domain, see §13.5.16. We will think
of it as a “smooth” curve as soon as we define what “smooth” (really, regular) and
“curve” mean.
√
10.7.K. E XERCISE . Find the ring of integers in Q( n), where n is square-free and
n ≡ 3 (mod 4). (Hint: Exercise 5.4.I(a), where you will also be able to figure out
the answer for square-free n in general.)
10.7.L. E XERCISE . Suppose char k ̸= 2 for convenience (although it isn’t neces-
sary).
(a) Suppose X = Spec k[x] (with function field k(x)). Find its normalization in the
field extension k(y), where y2 = x2 + x. (Again we get a Dedekind domain.) Hint:
this can be done without too much pain. Show that Spec k[x, y]/(x2 + x − y2 ) is
normal, possibly by identifying it as an open subset of P1k , or possibly using Exer-
cise 5.4.H.
(b) Suppose X = P1 , with distinguished open subscheme Spec k[x]. Find its nor-
malization in the field extension k(x, y), where y2 = x2 + x. (Part (a) involves
computing the normalization over one affine open set; now figure out what hap-
pens over the “other” affine open set, and how to glue.)
10.7.2. Fancy fact: Finiteness of integral closure.
The following fact is useful.
10.7.3. Theorem (finiteness of integral closure). — Suppose A is a Noetherian
integral domain, K = K(A), L/K is a finite extension of fields, and B is the integral closure
of A in L (“the integral closure of A in the field extension L/K”, i.e., those elements of L
integral over A).
(a) If A is integrally closed and L/K is separable, then B is a finitely generated A-module.
(b) (E. Noether) If A is a finitely generated k-algebra, then B is a finitely generated A-
module.
Eisenbud gives a proof in a page and a half: (a) is [E, Prop. 13.14] and (b) is [E,
Cor. 13.13]. A sketch is given in §10.7.5.
10.7.4. Warning. Part (b) does not hold for Noetherian A in general — the integral
closure of a Noetherian ring need not be Noetherian. (See [E, p. 299] for some
discussion.) This is alarming. The existence of such an example is a sign that
Theorem 10.7.3 is not easy.
In the following four exercises, you can replace “integral finite type k-scheme”
by “integral variety” once you know what a variety is.
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10.7.M. E XERCISE ( FINITENESS OF NORMALIZATION ).
e→
(a) Show that if X is an integral finite type k-scheme, then its normalization ν : X
X is a finite morphism.
(b) Suppose X is a locally Noetherian integral scheme. Show that if X is normal,
then the normalization in a finite separable field extension is a finite morphism.
Show that if X is an integral finite type k-scheme, then the normalization in a finite
extension of fields is a finite morphism. In particular, once we define “variety”
(Definition 11.3.9), you will see that this implies that the normalization of a variety
(including in a finite extension of the function field) is a variety.
10.7.N. E XERCISE . Show that if X is an integral finite type k-scheme, then the
normalization morphism is birational. (Hint: Proposition 7.5.7; or solve Exer-
cise 10.7.O first.)
10.7.O. E XERCISE . Suppose that X is an integral finite type k-scheme. Show
that the normalization map of X is an isomorphism on an open dense subset of X.
Hint: Proposition 7.5.5.
10.7.P. E XERCISE . Suppose ρ : Z → X is a finite birational morphism from an
integral finite type k-scheme to a normal integral finite type k-scheme. Show that
ρ is an isomorphism.
10.7.5. ⋆⋆ Sketch of proof of finiteness of integral closure, Theorem 10.7.3. Here is a
sketch to show the structure of the argument. It uses commutative algebra ideas
from Chapter 12, so you should only glance at this to see that nothing fancy is
going on. Part (a): reduce to the case where L/K is Galois, with group {σ1 , . . . , σn }.
Choose b1 , . . . , bn ∈ B forming a K-vector space basis of L. Let M be the matrix
(familiar from Galois theory) with ijth entry σi bj , and let d = det M. Show that
the entries of M lie in B, and that d2 ∈ K (as d2 is Galois-fixed). Show that d ̸= 0
using linear independence of characters. Then complete the proof by showing
that B ⊂ d−2 (Ab1 + · · · + Abn ) (submodules of finitely generated modules over
Noetherian rings ∑are also Noetherian, Exercise 3.6.Y) as follows. Suppose b ∈ B,
and write b = ci bi (ci ∈ K). If c is the column vector with entries ci , show
that the ith entry of the column vector Mc is σi b ∈ B. Multiplying Mc on the
left by adj M (see the trick of the proof of Lemma 8.2.1), show that dci ∈ B. Thus
d2 ci ∈ B ∩ K = A (as A is integrally closed), as desired.
For (b), use the Noether Normalization Lemma 12.2.4 to reduce to the case
A = k[x1 , . . . , xn ]. Reduce to the case where L is normally closed over K. Let L ′ be
the subextension of L/K so that L/L ′ is Galois and L ′ /K is purely inseparable. Use
part (a) to reduce to the case L = L ′ . If L ′ ̸= K, then for some q, L ′ is generated
over K by the qth root of a finite set of rational functions. Reduce to the case L ′ =
k ′ (x1 , . . . , xn ) where k ′ /k is a finite purely inseparable extension. In this case,
1/q 1/q
show that B = k ′ [x1 , . . . , xn ], which is indeed finite over k[x1 , . . . , xn ].
1/q 1/q
□
10.7.6. Reduction of schemes, revisited. It may be enlightening to revisit the
“reduction” of a scheme using this point of view. The argument is clean and simple,
and by working it out for yourself, you will better appreciate the various moving
parts. We now define “reduction” from scratch, and then show that it agrees with
the definition of §9.4.10.
306 The Rising Sea: Foundations of Algebraic Geometry
10.7.7. Definition. Suppose X is a scheme. In analogy with ([Link]), we say
ρ : Xred → X is “the” reduction of X if any morphism W → X from a reduced
scheme W factors uniquely through ρ:
∃!/ Xred
reduced WC
CC
CC
CC ρ
CC
!
X
The “the” is in quotes because this is a slight abuse of notation. In analogy with
fibered products and normalization, we now check that such an Xred exists:
10.7.Q. E XERCISE .
(a) In analogy with Exercise 10.7.A, show that ρ : Spec A/N(A) → Spec A
satisfies the universal property of reduction.
(b) In analogy with Exercise 10.7.B, show that the reduction of schemes exists
in general.
(c) To make sure we haven’t contradicted our earlier selves: Show that the
construction of §9.4.10 sastifies this universal property.
10.7.8. Definition. By the universal property of reduction, any morphism of
schemes π : X → Y induces a morphism Xred → Y red , the reduction of π which
we quite reasonably name πred . (You likely see that “red” gives a functor from the
category of schemes to the category of reduced schemes.)
CHAPTER 11
Separated and proper morphisms, and (finally!)
varieties
11.1 Motivation
Separatedness is a fundamental notion. It is the analog of the Hausdorff condition
for manifolds (see Exercise 11.3.B), and as with Hausdorffness, this geometrically
intuitive notion ends up being just the right hypothesis to make theorems work.
Although the definition initially looks odd, in retrospect it is just perfect.
Let’s review why we like Hausdorffness. Recall that a topological space is
Hausdorff if for every two points x and y, there are disjoint open neighborhoods
of x and y. The real line is Hausdorff, but the “real line with doubled origin” (of
which Figure 4.6 may be taken as a sketch) is not. Many proofs and results about
manifolds use Hausdorffness in an essential way. For example, the classification of
compact one-dimensional manifolds is very simple, but if the Hausdorff condition
were removed, we would have a very wild set.
So once armed with this definition, we can cheerfully exclude the line with
doubled origin from civilized discussion, and we can (finally) define the notion of
a variety, in a way that corresponds to the classical definition.
With our motivation from manifolds, we shouldn’t be surprised that all of
our affine and projective schemes are separated. Subsets of Hausdorff topological
spaces are automatically Hausdorff. Hence if Y is a manifold, and X is a subset
that satisfies all the hypotheses of a manifold except possibly Hausdorffness, X is
a manifold. Similarly, we will see that locally closed embeddings in something
separated are also separated (combine Exercise 11.3.C and Proposition 11.3.3).
Grothendieck taught us that one should try to define properties of morphisms,
not of objects; then we can say that an object has that property if its morphism to
the final object has that property. We discussed this briefly at the start of Chapter 8.
In this spirit, separatedness will be a property of morphisms, not schemes.
As an unexpected bonus, a separated morphism to an affine scheme has the
property that the intersection of two affine open sets in the source is affine (Propo-
sition 11.3.13). This will make Čech cohomology work very easily on (quasicom-
pact) schemes (Chapter 18). You might consider this an analog of the fact that in
Rn , the intersection of two convex sets is also convex. As affine schemes are triv-
ial from the point of view of quasicoherent cohomology, just as convex sets in Rn
have no cohomology, this metaphor is apt.
A lesson arising from the construction is the importance of the diagonal mor-
phism (Definition 1.3.7). More precisely, given a morphism π : X → Y, good
307
308 The Rising Sea: Foundations of Algebraic Geometry
consequences can be leveraged from good behavior of the diagonal morphism
δπ : X → X ×Y X (the product of the identity morphism X → X with itself), usually
through fun diagram chases. This lesson applies across many fields of geometry.
(Another nice gift of the diagonal morphism: it will give us a good algebraic defi-
nition of differentials, in Chapter 21.)
So before we define separatedness, we make some observations about diago-
nal morphisms.
11.2 Fun with diagonal morphisms, and quasiseparatedness made
easy
Recall that most classes of morphisms are “reasonable” in the sense of §8.1:
they are (i) preserved by composition, (ii) presesrved by base change, (iii) local
on the target, and as a consequence they are (iv) preserved by product (Exer-
cise 8.1.A).
Another useful consequence is that (v) “reasonable” classes of morphisms
have a “Cancellation Property”. This involves morphisms whose diagonal lies in P,
i.e., those π : X → Y such that δπ : X → X ×Y X lies in P. We call this auxiliary class
of morphisms Pδ (“P-diagonal”).
The Cancellation Theorem is a strange-looking, but very useful, result. Like
the Diagonal-Base-Change diagram 1.3.S, this result is unexpectedly ubiquitous.
11.2.1. The Cancellation Theorem for a Property P of Morphisms. — Let P be a
class of morphisms that is preserved by base change and composition. (Every “reasonable”
class of morphisms satisfies this, §8.1.) Suppose
X?
π /Y
??
??
?
τ ?? ρ
Z
is a commuting diagram of schemes. Suppose ρ is in Pδ and τ is in P. Then π is in P.
The following diagram summarizes this important theorem:
∴∈P
X? /Y
??
??
? ∈Pδ
∈P ??
Z
When you plug in different P, you get very different-looking (and nonobvious)
consequences, the first of which are given in Exercise 11.3.E. (Here are some facts
you can prove easily, but which can be interpreted as applications of the Cancel-
lation Theorem in Sets, and which may thus shed light on how the Cancellation
Theorem works. If π : X → Y and ρ : Y → Z are maps of sets, and ρ ◦ π is injective,
then so is π; and if ρ ◦ π is surjective and ρ is injective, then π is surjective.)
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11.2.A. E XERCISE . Prove the Cancellation Theorem 11.2.1. Possible hint: Interpret
and make use of the following diagram.
∴∈P
/ X ×Z Y / Z ×Z Y (
X X ×Y Y KKK FF Y
xx s s K F
x ss KKK FFF
xx ss KKK FF
xxx s
y ss K F"
|x ∈P / % ∈P
/Z
Y Y ×Z Y X
(vi) If P is a “reasonable” class, so is Pδ:
11.2.2. Theorem. — If P is a “reasonable” class of morphisms, then the class Pδ of
morphisms whose diagonal is in P is also a “reasonable” class.
Proof. We verify that Pδ satisfies the “three axioms of reasonableness”.
11.2.B. E XERCISE . Prove that “Pδ is preserved by composition”. Hint: Interpret
and make use of the following diagram.
∴∈P
∈P
#
X / X ×Y X / X ×Z X
∈P
Y / Y ×Z Y
11.2.C. E XERCISE . Prove that “Pδ is preserved by base change”. Hint: Suppose (a)
below is Cartesian. Show that (b) is also Cartesian.
(a) V /W (b) V / V ×W V
X /Y X / X ×Y X
11.2.D. E XERCISE . Prove that “Pδ is local on the target”. Hint: Suppose we have
a cover {Ui → Y} of Y so that we have a Cartesian diagram (a). Then we have
Cartesian diagrams (b).
∈Pδ ∴∈P
(a) Vi _ / Ui (b) Vi _ / V i ×U V i
_ i
X /Y X / X ×Y X
□
(vii) Finally, if you have two morphisms from X that are of certain form, the
next exercise shows what more you need to ensure that the map to the product is
also of that form. This time you can find the “proof by diagram” by yourself.
310 The Rising Sea: Foundations of Algebraic Geometry
11.2.E. E XERCISE . Suppose P is a “reasonable” class of morphisms. Suppose
ρ : X → Y and σ : X → Z are morphisms of S-schemes in class P, and X → S is in
Pδ. Show that (ρ, σ) : X → Y ×S Z is in class P as well. (See Exercise 11.3.A for an
application.)
11.2.F. ⋆ E XERCISE . Show that finitely presented morphisms form a “reasonable”
class of morphisms.
11.2.3. Example: Monomorphisms. Recall that a morphism π : X → Y is a
monomorphism if and only if the diagonal δπ : X → X ×Y X is an isomorphism
(Exercise 1.3.W). Because isomorphisms form a “reasonable” class of morphisms,
we have immediately shown that monomorphisms form a “reasonable” class as
well (and accidentally solving Exercise 1.3.V, and proving that monomorphisms
are preserved by base change).
11.2.4. Redefinition: Quasiseparated morphisms.
We (now) say a morphism π : X → Y is quasiseparated if the diagonal mor-
phism δπ : X → X ×Y X is quasicompact.
11.2.G. E XERCISE . Show that this agrees with our earlier definition of quasisepa-
rated (§8.3.1): show that π : X → Y is quasiseparated if and only if for any affine
open Spec A of Y, and two affine open subsets U and V of X mapping to Spec A,
U ∩ V is a finite union of affine open sets. (Possible hint: compare this to Propo-
sition 11.3.13. Another possible hint: the Diagonal-Base-Change diagram, Exer-
cise 1.3.S.)
11.2.5. Because quasicompact morphisms are a “reasonable” class (§10.4.E), Theo-
rem 11.2.2 implies that quasiseparated morphisms are a reasonable class! In par-
ticular, quasiseparated morphisms are preserved by composition and base change,
and the notion is local on the target.
11.2.6. All of this discussion was remarkably removed from geometry. To bring in
the geometry, we now look more closely at the diagonal, which isn’t just any old
kind of morphism.
11.3 Separatedness, and varieties
11.3.1. Proposition. — Let π : X → Y be a morphism of schemes.
(a) If X and Y are affine, then the diagonal morphism δπ : X → X ×Y X is a closed embed-
ding.
(b) In general, the diagonal morphism δπ : X → X ×Y X is a locally closed embedding.
The corresponding locally closed subscheme of X×Y X — the diagonal (locally
closed) subscheme — will be denoted ∆.
Proof. (a) Suppose X = Spec A and Y = Spec B. Then the diagonal morphism
corresponds to the natural ring map A ⊗B A → A given by a1 ⊗ a2 7→ a1 a2 , which
is obviously surjective.
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(b) We will describe a union of open subsets of X ×Y X covering the image of
X, such that the image of X is a closed embedding in this union.
Say Y is covered with affine open sets Vi and X is covered with affine open
sets Uij , with π : Uij → Vi . Note that Uij ×Vi Uij is an affine open subscheme of
the product X ×Y X (basically this is how we constructed the product, by gluing
together affine building blocks). Then the diagonal is covered by these affine open
subsets Uij ×Vi Uij . (Any point p ∈ X lies in some Uij ; then δ(p) ∈ Uij ×Vi Uij .
Figure 11.1 may be helpful.) Note that δ−1 (Uij ×Vi Uij ) = Uij : clearly Uij ⊂
δ−1 (Uij ×Vi Uij ), and because pr1 ◦ δ = idX (where pr1 is the first projection),
δ−1 (Uij ×Vi Uij ) ⊂ Uij . Finally, by part (a), Uij → Uij ×Vi Uij is a closed embed-
ding. □
X ×Y X
F IGURE 11.1. An open neighborhood of the diagonal is covered
by Uij ×Vi Uij
The open subsets we described may not cover X ×Y X, so we have not shown
that δ is a closed embedding.
11.3.A. E ASY E XERCISE . Suppose X → Y and X → Z are both locally closed embed-
dings. Prove that X → Y × Z is a locally closed embedding. Hint: Exercise 11.2.E.
11.3.2. Definition. A morphism π : X → Y is separated if the diagonal morphism
δπ : X → X ×Y X is a closed embedding. An A-scheme X is said to be separated
over A if the structure morphism X → Spec A is separated. When people say
that a scheme (rather than a morphism) X is separated, they mean implicitly that
some “structure morphism” is separated. For example, if they are talking about
A-schemes, they mean that X is separated over A.
Thanks to Proposition 11.3.1(b) (and once you show that a locally closed em-
bedding whose image is closed is actually a closed embedding), a morphism is
separated if and only if the diagonal ∆ is a closed subset — a purely topological
condition on the diagonal. This is reminiscent of a definition of Hausdorff, as the
next exercise shows.
312 The Rising Sea: Foundations of Algebraic Geometry
11.3.B. E XERCISE ( ONLY FOR THOSE SEEKING TOPOLOGICAL MOTIVATION ). Show
that a topological space X is Hausdorff if and only if the diagonal is a closed subset
of X × X. (The reason separatedness of schemes doesn’t give Hausdorffness —
i.e., that for any two open points x and y there aren’t necessarily disjoint open
neighborhoods — is that in the category of schemes, the topological space X × X is
not in general the product of the topological space X with itself, see §10.1.2.)
11.3.3. Proposition. — Separated morphisms form a “reasonable” class in the sense of
8.1 — they are by preserved by composition, base change, and the notion is local on the
target.
Proof. The class of locally closed embeddings is “reasonable” in this sense (Exer-
cise 10.4.A), so by Theorem 11.2.2 the same is true of separated morphisms. □
11.3.C. E XERCISE . Show that monomorphisms are separated. Hence locally closed
embeddings (and in particular open and closed embeddings) are separated.
11.3.D. E XERCISE . Show that separated morphisms are quasiseparated. (Hint:
closed embeddings are affine, hence quasicompact.)
11.3.4. Proposition. — Affine morphisms are separated. In particular, finite morphisms
are separated.
Proof. By Proposition 11.3.1(a), every morphism of affine schemes is separated.
The notion of separatedness is local on the target, so we are done. □
Many of the following exercises will drive home the importance of the Cancel-
lation Theorem 11.2.1.
11.3.E. E XERCISE . Show that an A-scheme is separated (over A) if and only if it
is separated over Z. In particular, a complex scheme is separated over C if and
only if it is separated over Z, so complex geometers and arithmetic geometers can
discuss separated schemes without confusion.
π / ρ
/Z.
11.3.F. E ASY E XERCISE . Suppose we have morphisms X Y
(a) Show that if ρ ◦ π is a locally closed embedding (resp. locally of finite type,
separated), then so is π.
(b) If ρ◦π is quasicompact, and Y is Noetherian, show that π is quasicompact. Hint:
Exercise 8.3.B(a).
(c) If ρ ◦ π is quasiseparated, show that π is quasiseparated. Hint: Exercise 8.3.B(b).
11.3.G. E XERCISE . Suppose µ : Z → X is a morphism, and σ : X → Z is a section of
µ, i.e., µ ◦ σ is the identity on X.
ZV
µ σ
X
Show that σ is a locally closed embedding. Show that if µ is separated, then σ is a
closed embedding. Show that if µ is quasiseparated, then σ is quasicompact. Give
an example to show that σ need not be a closed embedding if µ is not separated.
April 1, 2023 draft 313
11.3.5. The graph morphism. Suppose π : X → Y is a morphism of Z-schemes. The
morphism γπ : X → X×Z Y given by γπ = (id, π) is called the graph morphism (see
Figure 11.2). (It secretly appeared in Exercise 11.2.A.) Then π factors as pr2 ◦ γπ ,
where pr2 is the second projection. The diagram of Figure 11.2 is often called the
graph of a morphism π. (We will discuss graphs of rational maps in §11.4.4.)
Exercise 11.3.G applied to X ×Z Y → X yields the following.
F IGURE 11.2. The graph morphism
11.3.6. Proposition. — The graph morphism γπ is always a locally closed embedding. If
Y is a separated Z-scheme (i.e., Y → Z is separated), then γπ is a closed embedding. If Y
is a quasiseparated Z-scheme, then γπ is quasicompact.
The image of γπ (a locally closed subscheme of X ×Z Y) is often also called the
graph of π; we might denote it Γπ .
11.3.H. E XERCISE WE WON ’ T USE . Suppose P is a class of morphisms such that
closed embeddings are in P, and P is preserved by fibered product and composi-
tion. Recall the Definition 10.7.8 of the “reduction” of a morphism. Show that if
π : X → Y is in P then πred : Xred → Y red is in P. (Two examples are the classes of
separated morphisms and quasiseparated morphisms.) Possible hint:
πred/ Y red
XredE
EE
EE
∈P EE ∈Pδ
EE
"/
X Y
π∈P
11.3.7. Important examples.
11.3.I. E XERCISE . Show that the line with doubled origin (Example 4.4.5) is not
separated, by verifying that the image of the diagonal morphism is not closed.
(Another argument is given below, in Exercise 11.4.C. A fancy argument is given
in Exercise 13.7.C.)
We next come to our first example of something separated but not affine. The
following single calculation will imply that all quasiprojective A-schemes are sep-
arated (once we know that the composition of separated morphisms are separated,
Proposition 11.3.3).
11.3.8. Proposition. — The morphism Pn
A → Spec A is separated.
314 The Rising Sea: Foundations of Algebraic Geometry
We give two proofs. The first is by direct calculation. The second requires
no calculation, and just requires that you remember some classical constructions
described earlier.
Proof 1: Direct calculation. We cover Pn A ×A PA with open sets of the form Ui ×A Uj ,
n
where U0 , . . . , Un form the “usual” affine open cover. The case i = j was taken
care of before, in the proof of Proposition 11.3.1(a). If i ̸= j then
Ui ×A Uj = ∼ Spec A[x0/i , . . . , xn/i , y0/j , . . . , yn/j ]/(xi/i − 1, yj/j − 1).
Now δ−1 (pr−1 1 (Ui )) is Ui (as the diagonal morphism composed with projection to
the first factor is the identity), and similarly Uj = δ−1 (pr−1
2 (Uj )). Thus δ
−1
(Ui ×A
Uj ) = Ui ∩ Uj , so the diagonal morphism over Ui ×A Uj is Ui ∩ Uj → Ui ×A Uj .
This is a closed embedding, as the corresponding map of rings
A[x0/i , . . . , xn/i , y0/j , . . . , yn/j ] → A[x0/i , . . . , xn/i , x−1
j/i ]/(xi/i − 1)
(given by xk/i 7→ xk/i , yk/j 7→ xk/i /xj/i ) is clearly a surjection (as each generator
of the ring on the right is clearly in the image — note that x−1 j/i is the image of yi/j ).
□
Proof 2: Classical geometry. Note that the diagonal morphism δ : Pn A → P A ×A
n
2
Pn
A followed by the Segre embedding S : PA ×A PA → P
n n n +2n
(§10.6, a closed
embedding) can also be factored as the second Veronese embedding ν2 : Pn A →
n+2 n+2
P( 2 )−1 (§9.3.6) followed by a linear map L : P( 2 )−1 → Pn +2n , both of which
2
are closed embeddings (the linear map L by Exercise 9.3.C).
PnA: ×A PLA
n
u u LLL
δ uu LLSL
uu
uuul. (?) cl. emb. cl. emb. LL%
u 2
Pn
A H Pn9 +2n
HH
HHcl. emb. cl. [Link]
rr
r
HH r
ν2 HH$ rrr L
n+2
P( 2 )−1
Informally, in coordinates:
([x0 , x1 , . . . , xn ], [x0 , x1 , . . . , xn ])
@ KK
KK S
KK
KK
δ K%
x20 , x0 x1 , ··· x0 xn ,
x1 x0 , x21 , ··· x1 xn ,
[x0 , x1 , . . . , xn ]
== .. .. .. ..
. . . .
==
== xn x0 , xn x1 , ··· x2n
== t9
ν2 ==
== t tt
t
= tt
tt L
[x20 , x0 x1 , . . . , xn−1 xn , x2n ]
2
The composed map Pn
A → PA
n +2n
may be written as
[x0 , . . . , xn ] 7→ [x20 , x0 x1 , x0 x2 , . . . , x2n ],
April 1, 2023 draft 315
where the subscripts on the right run over all ordered pairs (i, j) where 0 ≤ i, j ≤
n.) This forces δ to send closed sets to closed sets (or else S ◦ δ won’t, but L ◦ ν2
does). □
11.3.9. Important Definition (finally!). A variety over a field k, or k-variety, is
a reduced, separated scheme of finite type over k. For example, a reduced finite
type affine k-scheme is a variety. (Do you see why separatedness holds?) The no-
tion of variety generalizes our earlier notion of affine variety (§5.3.7) and projective
variety (§5.3.E, see Proposition 11.3.15). By Exercise 5.3.F, the closed points of a va-
riety are dense. (Notational caution: In some sources, the additional condition of
irreducibility is imposed. Also, it is often assumed that k is algebraically closed.)
Varieties over k form a category: morphisms of k-varieties are just morphisms
as k-schemes. (Of course, the category of varieties over an algebraically closed
field k long predates modern scheme theory.)
11.3.J. E ASY E XERCISE . Show that morphisms of k-varieties are finite type and
separated.
A subvariety of a variety X is a reduced locally closed subscheme of X (which
you can quickly check is a variety itself). An open subvariety of X is an open
subscheme of X. (Reducedness is automatic in this case.) A closed subvariety of X
is a reduced closed subscheme of X.
11.3.K. ⋆⋆ E XERCISE ( FOR THOSE WITH APPROPRIATE BACKGROUND : COMPLEX
ALGEBRAIC VARIETIES YIELD COMPLEX ANALYTIC VARIETIES ). Show that the
analytification (Exercise 7.3.16) of a complex algebraic variety is a complex analytic
variety.
11.3.10. Products of varieties.
11.3.11. Proposition. —
(a) If k is perfect, the product of k-varieties (the fibered product over Spec k) is a k-variety.
(b) If k is algebraically closed, the product of irreducible k-varieties is an irreducible k-
variety.
(c) If k is algebraically closed, the product of connected k-varieties is a connected k-variety.
Proof. (a) The finite type and separated statements are straightforward, as both
properties are preserved by base change and composition. For reducedness, re-
duce to the affine case, then use Corollary 10.5.22.
(b) It only remains to show irreducibility. Reduce to the affine case using Ex-
ercise 10.5.N (as in the proof of Proposition 10.5.15). Then use Exercise 10.5.M,
which requires separable closure. (As an exercise, you can avoid the complications
of §10.5 by instead using Exercise 10.4.H.)
11.3.L. E XERCISE . Prove (c).
□
11.3.12. Back to separatedness. Here is a very handy consequence of separated-
ness.
316 The Rising Sea: Foundations of Algebraic Geometry
11.3.13. Proposition. — Suppose X → Spec A is a separated morphism to an affine
scheme, and U and V are affine open subsets of X. Then U ∩ V is an affine open subset of
X.
Before proving this, we state a consequence that is otherwise not clear. If X =
Spec A, then the intersection of any two affine open subsets of A is an affine open
subset. This is certainly not an obvious fact! We know the intersection of two
distinguished affine open sets is affine (from D(f) ∩ D(g) = D(fg)), but we have
little handle on affine open sets in general.
Warning: this property does not characterize separatedness. (The correct prop-
erty is “affine diagonal”, which we will not discuss, but which is useful in the the-
ory of stacks.) For example, if A is a field k and X is the line with doubled origin
over k, then X also has this property.
In the proof of Proposition 11.3.13, we will use the following nifty result.
11.3.M. E ASY E XERCISE . Suppose U and V are open subsets of an A-scheme X.
Show that ∆∩(U×A V) = ∼ U∩V. (The intersection of two locally closed subschemes
was defined in Exercise 10.2.C.) Hints: (i) this was basically proved in the course
of Proof 1 of Proposition 11.3.8. (ii) See Figure 11.3. (iii) You can interpret this
statement using the Diagonal-Base-Change diagram, Exercise 1.3.S:
U∩V / U ×A V
X
δ / X ×A X.
U×X
∆ U×V
X×V
∼ (U × V) ∩ ∆
U∩V =
∼ U ∩ V (Exercise 11.3.M)
F IGURE 11.3. ∆ ∩ (U ×A V) =
∼ U∩V, where
11.3.14. Proof of Proposition 11.3.13. By Exercise 11.3.M, (U×A V)∩∆ =
∆ is the diagonal. But U ×A V is affine (the fibered product of two affine schemes
over an affine scheme is affine, Step 1 of our construction of fibered products,
April 1, 2023 draft 317
Theorem 10.1.1), and (U ×A V) ∩ ∆ is a closed subscheme of the affine scheme
U ×A V, and hence U ∩ V is affine. □
11.3.15. Corollary. — Every quasiprojective A-scheme is separated over A. In particular,
every reduced quasiprojective k-scheme is a k-variety.
Proof. Suppose X → Spec A is a quasiprojective A-scheme. The structure mor-
phism can be factored into an open embedding composed with a closed embed-
ding followed by PnA → Spec A. Open embeddings and closed embeddings are
A → Spec A is separated (Proposition 11.3.8).
separated (Exercise 11.3.C), and Pn
Compositions of separated morphisms are separated (Proposition 11.3.3), so we
are done. □
11.3.16. ⋆⋆ Universally injective morphisms and the diagonal.
11.3.N. E XERCISE . Show that π : X → Y is universally injective if and only if the
diagonal morphism δπ : X → X ×Y X is surjective. (We will soon see that δπ is
always injective, by Proposition 11.3.1(b).)
Because surjective morphisms form a “reasonable” class (Exercise 10.4.G), we
see that universally injective morphisms also form a “reasonable” class.
11.3.O. E ASY E XERCISE . If π : X → Y and ρ : Y → Z are morphisms, and ρ ◦ π is
universally injective, show that π is universally injective.
11.3.P. E XERCISE .
(a) Show that universally injective morphisms are separated.
(b) Show that a map between finite type schemes over an algebraically closed field
k is universally injective if and only if it is injective on closed points.
11.4 The locus where two morphisms from X to Y agree, and the
“Rational-to-Separated” Theorem
When we introduced rational maps in §7.5, we promised that in good circum-
stances, a rational map has a “largest domain of definition”. We are now ready
to make precise what “good circumstances” means, in the Reduced-to-Separated
Theorem 11.4.2. We first introduce an important result making sense of locus
where two morphisms with the same source and target “agree”.
11.4.A. U SEFUL EXERCISE : T HE LOCUS WHERE TWO MORPHISMS AGREE . Suppose
π : X → Y and π ′ : X → Y are two morphisms over some scheme Z.
π
X? +3 Y
??
?? π ′
??
?
Z
We can now give meaning to the phrase ’the locus where π and π ′ agree’, and
that in particular there is a largest locally closed subscheme where they agree —
318 The Rising Sea: Foundations of Algebraic Geometry
which is closed if Y is separated over Z. Suppose µ : W → X is some morphism
(not assumed to be a locally closed embedding). We say that π and π ′ agree on µ if
π ◦ µ = π ′ ◦ µ. Show that there is a locally closed subscheme i : V ,→ X on which π
and π ′ agree, such that any morphism µ : W → X on which π and π ′ agree factors
uniquely through i, i.e., there is a unique j : W → V such that µ = i ◦ j. Show
further that if Y → Z is separated, then i : V ,→ X is a closed embedding. Hint:
define V to be the following fibered product:
V /Y
δ
(π,π ′ )
X / Y ×Z Y.
As δ is a locally closed embedding, V → X is too. Then if µ : W → X is any
morphism such that π ◦ µ = π ′ ◦ µ, then µ factors through V.
The fact that the locus where two maps agree can be nonreduced should not
come as a surprise: consider two maps from A1k to itself, π(x) = 0 and π ′ (x) = x2 .
They agree when x = 0, but the situation is (epsilonically) better than that — they
should agree even on Spec k[x]/(x2 ).
11.4.1. Minor Remarks.
(i) In the previous exercise, we describe V ,→ X by a universal property. Tak-
ing this as the definition, it is not a priori clear that V is a locally closed subscheme
of X, or even that it exists.
(ii) Warning: consider two maps from Spec C to itself over Spec R, the identity
and complex conjugation. These are both maps from a point to a point, yet they
do not agree despite agreeing as maps of sets. (If you are not convinced that they
disagree as morphisms, this might help: after base change Spec C → Spec R, they
do not agree even as maps of sets.)
(iii) More generally, the (set-theoretic) locus where π and π ′ agree can be inter-
preted as follows: π and π ′ agree at p if π(p) = π ′ (p) and the two maps of residue
fields are the same. (You may enjoying thinking this through as an exercise.)
11.4.B. E XERCISE : MAPS OF k- VARIETIES ARE DETERMINED BY THE MAPS ON CLOSED
POINTS . Suppose π : X → Y and π ′ : X → Y are two morphisms of k-varieties
that are the same at the level of closed points (i.e., for each closed point p ∈ X,
π(p) = π ′ (p)). Show that π = π ′ . (This implies that the functor from the cat-
egory of “classical varieties over k”, which we won’t define here, to the cate-
gory of k-schemes, is fully faithful. Can you generalize this appropriately to non-
algebraically closed fields?)
11.4.C. L ESS IMPORTANT EXERCISE . Show that the line with doubled origin X
(Example 4.4.5) is not separated, by finding two morphisms π : W → X, π ′ : W → X
whose domain of agreement is not a closed subscheme (cf. Proposition 11.3.1(b)).
(Another argument was given above, in Exercise 11.3.I. A fancy argument will be
given in Exercise 13.7.C.)
We now come to the central result of this section.
April 1, 2023 draft 319
11.4.2. Reduced-to-Separated Theorem. — Two S-morphisms π : U → Z, π ′ : U →
Z from a reduced scheme to a separated S-scheme agreeing on a dense open subset of U are
the same.
Proof. Let V be the locus where π and π ′ agree. It is a closed subscheme of U (by
Exercise 11.4.A), which contains a dense open set. But the only closed subscheme
of a reduced scheme U whose underlying set is dense is all of U. (Do you see
why this last statement is true? Can you give a counterexample if the reducedness
hypothesis is removed?) □
11.4.3. Consequence 1. Hence (as X is reduced and Y is separated) if we have two
morphisms from open subsets of X to Y, say π : U → Y and π ′ : V → Y, and they
agree on a dense open subset Z of U ∩ V, then they necessarily agree on U ∩ V.
Consequence 2. A rational map has a largest domain of definition on which
π : U 99K Y is a morphism, which is the union of all the domains of definition. In
particular, a rational function on a reduced scheme has a largest domain of defini-
tion. For example, the domain of definition of A2k 99K P1k given by (x, y) 7→ [x, y]
has domain of definition A2k \ {(0, 0)} (cf. §7.5.3). This partially extends the defini-
tion of the domain of a rational function on a locally Noetherian scheme (Defini-
tion 6.6.36). The complement of the domain of definition is called the indetermi-
nacy locus (a phrase used earlier in §6.6.36), and its points are sometimes called
fundamental points of the rational map, although we won’t use these phrases.
(We will see in Exercise 22.4.L that a rational map to a projective scheme can be
upgraded to an honest morphism by “blowing up” a scheme-theoretic version of
the locus of indeterminacy.)
11.4.D. E XERCISE . Show that the Reduced-to-Separated Theorem 11.4.2 is false
if we give up reducedness of the source or separatedness of the target. Here are
some possibilities. For the first, consider the two maps from Spec k[x, y]/(y2 , xy)
to Spec k[t], where we take π given by t 7→ x and π ′ given by t 7→ x + y; f1 and f2
agree on the distinguished open set D(x), see Figure 11.4. For the second, consider
the two maps from Spec k[t] to the line with the doubled origin, one of which
maps to the “upper half”, and one of which maps to the “lower half”. These two
morphisms agree on the dense open set D(t), see Figure 11.4.
F IGURE 11.4. Two different maps to a nonseparated scheme
agreeing on a dense open set (see Exercise 11.4.D)
11.4.4. Graphs of rational maps. (Graphs of morphisms were defined in §11.3.5.) If X
is reduced and Y is separated, define the graph Γπ of a rational map π : X 99K Y as
follows. Let (U, π ′ ) be any representative of this rational map (so π ′ : U → Y is a
320 The Rising Sea: Foundations of Algebraic Geometry
morphism). Let Γπ be the scheme-theoretic closure of Γπ ′ ,→ U × Y ,→ X × Y, where
the first map is a closed embedding (Proposition 11.3.6), and the second is an open
embedding. The product here should be taken in the category you are working in.
For example, if you are working with k-schemes, the fibered product should be
taken over k.
11.4.E. E XERCISE . Show that the graph of a rational map π : X 99K Y is indepen-
dent of the choice of representative of π. Hint: Suppose ξ ′ : U → Y and ξ : V → Y
are two representatives of π. Reduce to the case where V is the domain of defini-
tion of π (§11.4.3), and ξ ′ = ξ|U . Reduce to the case V = X. Show an isomorphism
∼ X, and Γξ| =
Γπ = ∼ U. (Remark: the separatedness of Y is not necessary.)
U
In analogy with graphs of morphisms, the following diagram of a graph of a
rational map π can be useful (cf. Figure 11.2).
cl. emb./
ΓπO X × YE
xx EE
xx EEpr2
γπ
xx pr1xx EE
EE
|x "
X _ _ _ _ _ _ _ _ _/ Y.
π
11.4.F. E XERCISE ( THE BLOW- UP OF THE PLANE AS THE GRAPH OF A RATIONAL
MAP ). Consider the rational map A2 k 99K Pk given by (x, y) 7→ [x, y]. Show that
1
this rational map cannot be extended over the origin. (A similar argument arises in
Exercise 7.5.J on the Cremona transformation.) Show that the graph of the rational
map is the morphism (the blow-up) described in Exercise 10.3.F. (When we define
blow-ups in general, we will see that they are often graphs of rational maps, see
Exercise 22.4.M.)
11.4.5. Variations.
Variations of the short proof of Theorem 11.4.2 yield other useful results. Ex-
ercise 11.4.B is one example. Here is another.
11.4.G. E XERCISE ( MAPS TO A SEPARATED SCHEME CAN BE EXTENDED OVER AN
EFFECTIVE C ARTIER DIVISOR IN AT MOST ONE WAY ). Suppose X is a Z-scheme
(not necessarily reduced!), and Y is a separated Z-scheme. Suppose further that D
is an effective Cartier divisor on X. Show that any Z-morphism X \ D → Y can be
extended in at most one way to a Z-morphism X → Y. (Hint: reduce to the case
where X = Spec A, and D is the vanishing scheme of t ∈ A. Reduce to showing
that the scheme-theoretic image of D(t) in X is all of X. Show this by showing that
A → At is an inclusion.)
As noted in §7.5.2, rational maps can be defined from any X that has associated
points to any Y. The Reduced-to-Separated Theorem 11.4.2 can be extended to this
setting, as follows.
11.4.H. E XERCISE ( THE “A SSOCIATED - TO -S EPARATED T HEOREM ”). Prove that
two S-morphisms π and π ′ from a locally Noetherian scheme U to a separated S-
scheme Z, agreeing on an open subset containing the associated points of U, are
the same.
April 1, 2023 draft 321
11.5 Proper morphisms
A map of topological spaces (also known as a continuous map!) is said to be
proper if the preimage of any compact set is compact. Properness of morphisms is an
analogous property. For example, a variety over C will be proper if it is compact
in the classical topology (see [Se3, §7]). Alternatively, we will see that projective
A-schemes are proper over A — so this is a nice property satisfied by projective
schemes, which also is convenient to work with.
Recall (§8.3.5) that a (continuous) map of topological spaces π : X → Y is closed
if for each closed subset S ⊂ X, π(S) is also closed. A morphism of schemes is
closed if the underlying continuous map is closed. We say that a morphism of
schemes π : X → Y is universally closed if for every morphism Z → Y, the induced
morphism Z ×Y X → Z is closed. In other words, a morphism is universally closed
if it remains closed under any base change. By now you will automatically expect
the following exercise.
11.5.A. E ASY E XERCISE . Show that the class of universally closed morphisms is
“reasonable” in the sense of §8.1.
To motivate the definition of properness for schemes, we remark that a con-
tinuous map π : X → Y of locally compact Hausdorff spaces which have count-
able bases for their topologies is universally closed if and only if it is proper (i.e.,
preimages of compact subsets are compact). You are welcome to prove this as an
exercise.
11.5.1. Definition. A morphism π : X → Y is proper if it is separated, finite type, and
universally closed. A scheme X is often said to be proper if some implicit structure
morphism is proper. For example, a k-scheme X is often described as proper if
X → Spec k is proper. (A k-scheme is often said to be complete if it is proper. We
will not use this terminology.) If A is a ring, one often says that an A-scheme is
proper over A if it is proper over Spec A.
Let’s try this idea out in practice. We expect that A1C → Spec C is not proper,
because the complex manifold corresponding to A1C is not compact. However, note
that this map is separated (it is a map of affine schemes), finite type, and (trivially)
closed. So the “universally” is what matters here.
11.5.B. E ASY E XERCISE . Show that A1C → Spec C is not proper, by finding a
base change that turns this into a non-closed map. Possible hint: Consider a well-
chosen map such as A1C ×C A1C → A1C or A1C ×C P1C → P1C . (See Figure 19.1 for
another finite type, separated, closed morphism that is not proper. Showing that
morphism is not proper requires more creativity.)
11.5.2. Example. As a first example: closed embeddings are proper. They are
clearly separated, as affine morphisms are separated, Proposition 11.3.4. They
are finite type. After base change, they remain closed embeddings (§10.2.2), and
closed embeddings are always closed. This easily extends further as follows.
11.5.3. Proposition. — Finite morphisms are proper.
322 The Rising Sea: Foundations of Algebraic Geometry
Proof. Finite morphisms are separated (as they are affine by definition, and affine
morphisms are separated, Proposition 11.3.4), and finite type (basically because
finite modules over a ring are automatically finitely generated). To show that finite
morphisms are closed after any base change, we note that they remain finite after
any base change (finiteness is preserved by base change, Exercise 10.4.D(d)), and
finite morphisms are closed (Exercise 8.3.L). □
11.5.4. Proposition. —
(a) The notion of “proper morphism” is stable under base change.
(b) The notion of “proper morphism” is local on the target (i.e., π : X → Y is proper
if and only if for any affine open cover Ui → Y, π−1 (Ui ) → Ui is proper). Note
that the “only if” direction follows from (a) — consider base change by Ui ,→ Y.
(c) The notion of “proper morphism” is closed under composition.
(d) The product of two proper morphisms is proper: if π : X → Y and π ′ : X ′ → Y ′
are proper, where all morphisms are morphisms of Z-schemes, then π × π ′ : X ×Z
X ′ → Y ×Z Y ′ is proper.
(e) Suppose
([Link]) X?
π /Y
??
??
?
τ ?? ρ
Z
is a commutative diagram, and τ is proper, and ρ is separated. Then π is proper.
A sample application of (e): a morphism (over Spec k) from a proper k-scheme
to a separated k-scheme is always proper.
Proof. Parts (a) through (c) say that proper morphisms form a “reasonable” class
of morphisms in the sense of §8.1. So they follow because separated morphisms,
finite type morphisms, and universal closed morphisms are all resaonble classes.
Then (d) follows from (a) and (c) by Exercise 8.1.A. Closed embeddings are proper
(Example 11.5.2), so (e) follows from the Cancellation Theorem 11.2.1 for proper
morphisms. □
11.5.C. E XERCISE (“ IMAGES OF PROPER SCHEMES ARE PROPER ”). Suppose in the
diagram
X?
π /Y
??
??
?
τ ?? ρ
Z
that τ is proper and ρ is separated and finite type. Show that the scheme-theoretic
image of X under π is a proper Z-scheme. (Thus properness in algebraic geometry
behaves like properness in topology.)
We now come to the most important example of proper morphisms.
11.5.5. Theorem. — Projective A-schemes are proper over A.
April 1, 2023 draft 323
(As finite morphisms to Spec A are projective A-schemes, Exercise 8.3.I, The-
orem 11.5.5 can be used to give a second proof that finite morphisms are proper,
Proposition 11.5.3.)
Proof. The structure morphism of a projective A-scheme X → Spec A factors as
a closed embedding followed by Pn A → Spec A. Closed embeddings are proper
(Example 11.5.2), and compositions of proper morphisms are proper (Proposi-
tion 11.5.4), so it suffices to show that PnA → Spec A is proper. We have already
seen that this morphism is finite type (Easy Exercise 5.3.D) and separated (Propo-
sition 11.3.8), so it suffices to show that PnA → Spec A is universally closed. As
PnA = P n
Z × Z Spec A, it suffices to show that X := PZ ×Z X → X is closed for
Pn n
any scheme X. But the property of being closed is local on the target on X, so
by covering X with affine open subsets, it suffices to show that Pn B → Spec B is
closed for all rings B. This is the Fundamental Theorem of Elimination Theory
(Theorem 8.4.10). □
11.5.6. Remark: “Reasonable” proper schemes are projective. It is not easy to come
up with an example of an A-scheme that is proper but not projective! Over a field,
all proper curves are projective (see Remark 18.8.2), and all smooth surfaces are
projective (see [Ba, Thm. 1.28] for a proof of this theorem of Zariski; smoothness
of course is not yet defined). We will meet a first example of a proper but not pro-
jective variety (a singular threefold) in §15.2.13. We will later see an example of
a proper nonprojective surface in §19.11.11, and a simpler one in Exercise 20.2.G.
Once we know about flatness, we will see Hironaka’s example of a proper nonpro-
jective irreducible smooth threefold over C (§24.7.6).
11.5.7. Functions on connected reduced proper k-schemes must be constant.
As an enlightening application of these ideas, we show that if X is a connected
reduced proper k-scheme where k = k, then Γ (X, OX ) = k. The analogous fact
for connected compact complex manifolds uses the maximum principle. We saw
this in the special case X = Pn in Exercise 4.4.E; it will be vastly generalized by
Grothendieck’s Coherence Theorem 18.9.1.
Suppose f ∈ Γ (X, OX ) (f is a function on X). This is the same as a map π : X →
A1k (Exercise 7.3.G, discussed further in §7.6.1). Let π ′ be the composition of π
with the open embedding A1 ,→ P1 . By Proposition 11.5.4(e), π ′ is proper, and
in particular closed. As X is connected, the image of π ′ is as well. Thus the set-
theoretic image of π ′ must be either a closed point, or all of P1 . But the set-theoretic
image of π ′ lies in A1 , so it must be a closed point p (which we identify with an
element of k).
By Corollary 9.4.5, the support of the scheme-theoretic image of π is the closed
point p. By Exercise 9.4.A, the scheme-theoretic image is precisely p (with the
reduced structure). Thus π can be interpreted as the structure map to Spec k, fol-
lowed by a closed embedding to A1 identifying Spec k with p. You should be able
to verify that this is the map to A1 corresponding to the constant function f = p.
(What are counterexamples if different hypotheses are relaxed? The condition
k = k cannot be ignored — if k = R, then X = Spec C is a connected reduced proper
projective k-scheme, with Γ (X, OX ) = k2 . Interesting fact: x2 = 0 in P2k shows
324 The Rising Sea: Foundations of Algebraic Geometry
that even nonreduced proper k-schemes can have only constants as functions; see
§5.2.3 and Exercise 18.6.U.)
11.5.8. Facts (not yet proved) that may help you correctly think about finiteness.
The following facts may shed some light on the notion of finiteness. We will
prove them later.
A morphism of locally Noetherian schemes is finite if and only if it is proper
and affine, if and only if it is proper and quasifinite (Theorem 29.6.2). We have
proved parts of this statement, but we will only finish the proof once we know
Zariski’s Main Theorem, cf. §8.3.12).
As an application: quasifinite morphisms from proper schemes to separated
schemes are finite. Here is why: suppose π : X → Y is a quasifinite morphism over
Z, where X is proper over Z. Then by the Cancellation Theorem 11.2.1 for proper
morphisms, X → Y is proper. Hence as π is quasifinite and proper, π is finite.
As an explicit example, consider the map π : P1k → P1k given by [x, y] 7→
[f(x, y), g(x, y)], where f and g are homogeneous polynomials of the same degree
with no common roots in P1 . The fibers are finite, and π is proper (from the Can-
cellation Theorem 11.2.1 for proper morphisms, as discussed after the statement
of Theorem 11.5.4), so π is finite. This could be checked directly as well, but now
we can save ourselves the annoyance.
11.5.9. ⋆⋆ Group varieties. The rest of §11.5 is double-starred, and we will also
throughout work in the category of varieties over a field k. We briefly discuss group
varieties, mainly because we can, not because we have anything profound to say.
We discuss them right now only because properness gives an unexpected conse-
quence, that proper group varieties are abelian (thanks to the surprisingly simple
Rigidity Lemma 11.5.12).
As discussed in §11.3.9, now that we have the category of varieties over k,
we immediately have the notion of a group variety (thanks to §7.6.4 on group
objects in any category). An algebraic group (over k) is a smooth group variety.
Examples include GLn (Exercise 7.6.N(b)), which includes Gm as a special case,
and SLn (Exercise 7.6.Q).
11.5.10. Side Remarks (that we won’t prove or use). Group varieties are automati-
cally smooth (hence algebraic groups) in characteristic 0. Group varieties are not
necessarily smooth in positive characteristic. (Let k be an imperfect field of charac-
teristic p, and choose t ∈ k without a pth root in k. Consider the “closed sub-group
scheme” xp = typ of the “additive group” G2a = Spec k[x, y]. This group scheme
is reduced, but not geometrically reduced; and not smooth, or even regular.) Al-
gebraic groups are automatically quasiprojective. An algebraic group G is affine
(as a scheme) if and only if it admits a closed immersion into GLn for some n ≥ 0,
such that G → GLn is a homomorphism of group schemes (Exercise 7.6.N(a)). For
further discussion on these and other issues, see [P2, §5].
11.5.11. Definition: Abelian varieties. We can now define one of the most important
classes of varieties: abelian varieties. The bad news is that we have no real example
yet. We will later see elliptic curves as an example (§19.10), but we will not meet
anything more exotic than that. Still, it is pleasant to know that we can make the
definition this early.
April 1, 2023 draft 325
An abelian variety over a field k is an algebraic group that is geometrically
integral and projective (over k). It turns out that the analytification of any abelian
variety over C is a complex torus, i.e., Cn /Λ, where Λ is a lattice (of rank 2n).
(The key idea: connected compact complex Lie groups are commutative, see Re-
mark 11.5.14; the universal cover is a simply connected commutative complex Lie
group, and thus Cn . See [BL, Lem. 1.1.1].)
We now show that abelian varieties are abelian, i.e., abelian varieties are com-
mutative algebraic group varieties. (This is less tautological than it sounds! The
adjective “abelian” is used in two different senses; what they have in common is
that they are derived from the name of Niels Henrik Abel.) As algebraic groups
need not be commutative (witness GLn ), it is somehow surprising that commuta-
tivity could be forced by “compactness”.
The key result is the following fact, beautiful in its own right.
11.5.12. Rigidity Lemma. — Let X, Y, and Z be varieties, where X is proper and
geometrically integral, with a rational point p, and Y is irreducible. Let pr : X × Y → Y be
the projection, and let α : X × Y → Z be any morphism. Suppose q ∈ Y is such that α is
constant on X × {q}; say α(X × {q}) = r ∈ Z.
(a) Then there is a morphism ψ : Y → Z such that α = ψ ◦ pr. (In particular, for every
q ′ ∈ Y, α is constant on X × {q ′ }.)
(b) If α is also constant on {p} × Y, then α is a constant function on all of X × Y.
< ZN
zzz
zz
zzz α
z
Xq / X×Y
V
ψ
pr σp
q /Y
The hypotheses can be relaxed in a number of ways, but this version suffices
for our purposes. If you have not read §10.5.1, where geometric integrality is dis-
cussed, you need not worry too much; this is automatic if k = k and X is integral
(Hard Fact 10.5.3). Even if you have read §10.5.1, it is helpful to first read this proof
under the assumption that k = k, to avoid being distracted from the main idea by
geometric points. But of course all of §11.5.9 is double-starred, so you shouldn’t
be reading this anyway.
11.5.D. E XERCISE . Show that the properness hypothesis on X is necessary. (Can
you make this accord with your intuition?)
Proof of the Rigidity Lemma 11.5.12. Define β : X × Y → Z by β(x, y) = α(p, y).
(More precisely, if σp is the section of X × Y → Y pulled back from Spec k 7→ p,
then β = α ◦ σp ◦ pr.) We will show that β(x, y) = α(x, y). This will imply (a) (take
ψ = α ◦ σp ), which in turn immediately implies (b).
Proposition 10.5.18 (geometrically reduced times reduced is reduced) implies
that X×Y is reduced. Exercise 10.5.O (geometrically irreducible times irreducible is
irreducible) implies that X × Y is irreducible. As Z is separated, by Exercise 11.4.A,
it suffices to show that α = β on a nonempty (hence dense) open subset of X × Y.
326 The Rising Sea: Foundations of Algebraic Geometry
Let U ⊂ Z be an affine open neighborhood of r. Then α−1 (Z\U) is a closed sub-
set of X×Y. As the projection pr is proper (using properness of X, and preservation
of properness under base change, Proposition 11.5.4(a)), we have pr(α−1 (Z \ U))
is closed. Its complement is open, and contains q; let V ⊂ Y be an open neighbor-
hood of q disjoint from pr(α−1 (Z \ U)).
11.5.E. E XERCISE . Suppose γ : Spec K → V is a geometric point of V. Show that
the fiber XK over Spec K (or more precisely, over γ) is mapped to a point in Z by
the restriction αK of α to XK . Hint: review §11.5.7.
k5
kkk k5 ZJ
αK
kkkkkkkkkkk
k
kkk kkk
k kkkkkkkkkkβK
k kk
XK k / X×V α|V
pr
Spec K
γ
/V
By Exercise 11.4.B (maps of varieties over an algebraically closed field are de-
termined by the map of closed points), αK = βK .
11.5.F. E XERCISE . Use Exercise 11.4.A (the fact that the locus where α = β is
a closed subscheme — and represents a certain functor) to show that α = β on
pr−1 (V).
□
11.5.13. Corollary. — Suppose A is an abelian variety, G is a group variety, and
ϕ : A → G is any morphism of varieties. Then ϕ is the composition of a translation
and a homomorphism.
Proof. Let eA and eG be the identity points of A and G respectively. Composing
ϕ with a translation, we may assume that ϕ(eA ) = eG . Consider the morphism
α : A × A → G given by α(a1 , a2 ) = ϕ(a1 a2 )ϕ(a1 )−1 ϕ(a2 )−1 . Then α({eA } × A) =
α(A × {eA }) = {eB }, so by the Rigidity Lemma 11.5.12, α is a constant, and sends
A × A to eB . Thus ϕ(a1 a2 ) = ϕ(a1 )ϕ(a2 ), so ϕ is a homomorphism. □
11.5.G. E XERCISE ( ABELIAN VARIETIES ARE ABELIAN ). Show that an abelian va-
riety is an abelian group variety. Hint: apply Corollary 11.5.13 to the inversion
morphism i : A → A.
11.5.14. Remark. A similar idea is used to show that connected compact complex
Lie groups are abelian, see for example [BL, Lem. 1.1.1].
Part IV
“Geometric” properties of schemes
CHAPTER 12
Dimension
12.1 Dimension and codimension
Everyone knows what a curve is, until he has studied enough mathematics to become
confused ...
— F. Klein, [RS, p. 90]
At this point, you know a fair bit about schemes, but there are some funda-
mental notions you cannot yet define. In particular, you cannot use the phrase
“smooth surface”, as it involves the notion of dimension and of smoothness. You
may be surprised that we have gotten so far without using these ideas. You may
also be disturbed to find that these notions can be subtle, but you should keep in
mind that they are subtle in all parts of mathematics.
In this chapter, we will address the first notion, that of dimension of schemes.
This should agree with, and generalize, our geometric intuition. Although we
think of dimension as a basic notion in geometry, it is a slippery concept, as it is
throughout mathematics. Even in linear algebra, the definition of dimension of a
vector space is surprising the first time you see it, even though it quickly becomes
second nature. The definition of dimension for manifolds is equally nontrivial.
For example, how do we know that there isn’t an isomorphism between some 2-
dimensional manifold and some 3-dimensional manifold? Your answer will likely
use topology, and hence you should not be surprised that the notion of dimension
is often quite topological in nature.
A caution for those thinking over the complex numbers: our dimensions will
be algebraic, and hence half that of the “real” picture. For example, we will see
very shortly that A1C , which you may picture as the complex numbers (plus one
generic point), has dimension 1.
12.1.1. Definition(s): dimension. Surprisingly, the right definition is purely topolog-
ical — it just depends on the topological space, and not on the structure sheaf. We
define the dimension of a topological space X (denoted dim X) as the supremum
of lengths of chains of closed irreducible sets, starting the indexing of the closed
irreducible sets with 0. (The dimension may be infinite.) Scholars of the empty
set can take the dimension of the empty set to be −∞. (An analogy from linear
algebra: the dimension of a vector space is the supremum of the length of chains
of subspaces.) Define the dimension of a ring as the supremum of the lengths of
the chains of nested prime ideals (where indexing starts at zero). These two def-
initions of dimension are sometimes called Krull dimension. (You might think a
329
330 The Rising Sea: Foundations of Algebraic Geometry
Noetherian ring has finite dimension because all chains of prime ideals are finite,
but this isn’t necessarily true — see Exercise 12.1.M.)
12.1.A. E ASY E XERCISE . Show that dim Spec A = dim A. (Hint: Exercise 3.7.F
gives a bijection between irreducible closed subsets of Spec A and prime ideals of
A. It is “inclusion-reversing”.)
The homeomorphism between Spec A and Spec A/N(A) (§3.4.7: the Zariski
topology disregards nilpotents) implies that dim Spec A = dim Spec A/N(A).
12.1.2. Examples. We have identified all the prime ideals of k[t] (they are 0, and
(f(t)) for irreducible polynomials f(t)), Z ((0) and (p)), k (only (0)), and k[x]/(x2 )
(only (x)), so we can quickly check that dim A1k = dim Spec Z = 1, dim Spec k = 0,
dim Spec k[x]/(x2 ) = 0.
12.1.3. We must be careful with the notion of dimension for reducible spaces. If Z
is the union of two closed subsets X and Y, then dim Z = max(dim X, dim Y). Thus
dimension is not a “local” characteristic of a space. This sometimes bothers us,
so we try to only talk about dimensions of irreducible topological spaces. We say
a topological space is equidimensional or pure dimensional (resp. equidimen-
sional of dimension n or pure dimension n) if each of its irreducible components
has the same dimension (resp. they are all of dimension n). An equidimensional
dimension 1 (resp. 2, n) topological space is said to be a curve (resp. surface, n-
fold).
12.1.B. U SEFUL E XERCISE . Show that a scheme has dimension n if and only if
it admits an open cover by affine open subsets of dimension at most n, where
equality is achieved for some affine open subset. Hint: You may find it helpful,
here and later, to show the following. For any topological space X and open subset
U ⊂ X, there is a bijection between irreducible closed subsets of U, and irreducible
closed subsets of X that meet U.
12.1.C. E ASY E XERCISE . Show that a Noetherian scheme of dimension 0 has a
finite number of points.
12.1.D. E ASY E XERCISE . Show that a surjection of integral domains of the same
dimension must be an isomorphism.
12.1.E. E XERCISE ( FIBERS OF INTEGRAL MORPHISMS , PROMISED IN §8.3.8). Sup-
pose π : X → Y is an integral morphism. Show that every (nonempty) fiber of π
has dimension 0. Hint: As integral morphisms are preserved by base change, we
assume that Y = Spec k. Hence we must show that if ϕ : k → A is an integral
extension, then dim A = 0. Outline of proof: Suppose p ⊂ m are two prime ideals
of A. Mod out by p, so we can assume that A is an integral domain. I claim that
any nonzero element is invertible: Say x ∈ A, and x ̸= 0. Then the minimal monic
polynomial for x has nonzero constant term. But then x is invertible — recall the
coefficients are in a field.
12.1.F. I MPORTANT E XERCISE . Show that if π : Spec A → Spec B corresponds
to an integral extension of rings, then dim Spec A = dim Spec B. Hint: show that
a chain of prime ideals downstairs gives a chain upstairs of the same length, by
April 1, 2023 draft 331
the Going-Up Theorem (Exercise 8.2.F). Conversely, a chain upstairs gives a chain
downstairs. Use Exercise 12.1.E to show that no two elements of the chain upstairs
go to the same element [q] ∈ Spec B of the chain downstairs.
e → X is the normalization of a scheme (possi-
12.1.G. E XERCISE . Show that if ν : X
e = dim X. Feel free
bly in a finite extension of the function field of X), then dim X
to assume that X is integral for convenience.
12.1.H. E XERCISE . Suppose X is an affine k-scheme, and K/k is an algebraic field
extension.
(a) Suppose X has pure dimension n. Show that XK := X ×k K has pure dimension
n. (See Exercise 24.5.F for a generalization, which for example removes the affine
hypothesis. Also, see Exercise 12.2.M and Remark 12.2.17 for the fate of possible
generalizations to arbitrary field extensions.) Hint: If X = Spec A, reduce to the
case where A is an integral domain. An irreducible component of XK corresponds
to a minimal prime p of AK := A ⊗k K. Suppose a ∈ ker(A → AK /p). Show
that a = 0, using the fact that a lies in a minimal prime p of AK (and is hence
a zerodivisor, by §6.6.12 combined with §6.6.22), and AK is a free A-module (so
multiplication in AK by a ∈ A is injective if a is nonzero). Thus A → AK /p is
injective. Then use Exercise 12.1.F.
(b) Prove the converse to (a): show that if XK has pure dimension n, then X has
pure dimension n.
12.1.I. E XERCISE . Show that dim Z[x] = 2. (Hint: The prime ideals of Z[x] were
implicitly determined in Exercise 3.2.Q.)
12.1.4. Codimension. Because dimension behaves oddly for disjoint unions, we
need some care when defining codimension, and in using the phrase. For example,
if Y is a closed subset of X, we might define the codimension to be dim X − dim Y,
but this behaves badly. For example, if X is the disjoint union of a point Y and a
curve Z, then dim X − dim Y = 1, but this has nothing to do with the local behavior
of X near Y.
A better definition is as follows. In order to avoid excessive pathology, we de-
fine the codimension of Y in X only when Y is irreducible. (Use extreme caution when
using this word in any other setting.) Define the codimension of an irreducible
subset Y ⊂ X of a topological space as the supremum of lengths of increasing chains
of irreducible closed subsets starting with Y (where indexing starts at 0 — recall
that the closure of an irreducible set is irreducible, Exercise 3.6.B(b)). In particular,
the codimension of a point is the codimension of its closure. The codimension of
Y in X is denoted by codimX Y.
We say that a prime ideal p in a ring has codimension equal to the supremum
of lengths of the chains of decreasing prime ideals starting at p, with indexing
starting at 0. Thus in an integral domain, the ideal (0) has codimension 0; and in Z,
the ideal (23) has codimension 1. Note that the codimension of the prime ideal p in
A is dim Ap (see §3.2.9). (This notion is often called height.) Thus the codimension
of p in A is the codimension of [p] in Spec A.
(Continuing an analogy with linear algebra: the codimension of a vector sub-
space Y ⊂ X is the supremum of lengths of increasing chains of subspaces starting
with Y. This is a better definition than dim X − dim Y, because it works even when
332 The Rising Sea: Foundations of Algebraic Geometry
dim X = ∞. You might prefer to define codimX Y as dim(X/Y); that is analogous
to defining the codimension of p in A as the dimension of Ap — see the previous
paragraph.)
12.1.J. E XERCISE . Show that if Y is an irreducible closed subset of a scheme X, and
η is the generic point of Y, then the codimension of Y is the dimension of the local
ring OX,η .
12.1.5. Notice that Y is codimension 0 in X if it is an irreducible component of X.
Similarly, Y is codimension 1 if it is not an irreducible component, and for every
irreducible component Y ′ it is contained in, there is no irreducible closed subset
strictly between Y and Y ′ . (See Figure 12.1 for examples.) A closed subset all of
whose irreducible components are codimension 1 in some ambient space X is said
to be a hypersurface in X. (Be careful: the word “hypersurface” can be used to
mean slightly different things in algebraic geometry, for entirely reasonable rea-
sons, see for example Definition 9.3.2.)
F IGURE 12.1. Behavior of codimension
12.1.K. E ASY E XERCISE . If Y is an irreducible closed subset of a scheme X, show
that
([Link]) codimX Y + dim Y ≤ dim X.
We will soon see that equality always holds if X and Y are irreducible varieties
(Theorem 12.2.9), but equality doesn’t hold in general (§12.3.17).
Warning. The notion of codimension still can behave slightly oddly. For exam-
ple, consider Figure 12.1. (You should think of this as an intuitive sketch.) Here
the total space X has dimension 2, but point p is dimension 0, and codimension 1.
We also have an example of a codimension 2 subset q contained in a codimension
0 subset C with no codimension 1 subset “in between”.
Worse things can happen; we will soon see an example of a closed point in
an irreducible surface that is nonetheless codimension 1, not 2, in §12.3.17. How-
ever, for irreducible varieties this can’t happen, and inequality ([Link]) must be
an equality (Theorem 12.2.9).
12.1.6. In unique factorization domains, codimension 1 prime ideals are princi-
pal. We make a short observation, for future reference.
12.1.7. Lemma. — In a unique factorization domain A, all codimension 1 prime ideals
are principal.
April 1, 2023 draft 333
This is a first glimpse of the fact that codimension one is rather special — this
theme will continue in §12.3. We will see that the converse of Lemma 12.1.7 holds
as well (when A is a Noetherian integral domain, Proposition 12.3.7).
Proof. Suppose p is a codimension 1 prime. Choose any f ̸= 0 in p, and let g be
any irreducible/prime factor of f that is in p (there is at least one). Then (g) is a
nonzero prime ideal contained in p, so (0) ⊂ (g) ⊂ p. As p is codimension 1, we
must have p = (g), and thus p is principal. □
12.1.8. Local rings of dimension zero.
Dimension zero objects aren’t just points; they have further information, which
might be thought of as some sort of infinitesimal “shape”. We caught a glimpse of
this earlier in §6.5 and Exercise 8.3.G.
12.1.9. Useful Proposition. — Suppose (A, m) is a Noetherian local ring. Then the
following are equivalent.
(i) dim A = 0;
(ii) m = N(A);
(iii) for some n > 1, mn = 0;
(iv) A has finite length;
(v) every descending sequence of ideals of A is eventually constant.
Such a ring is called an Artinian or finite length local ring.
12.1.L. E XERCISE . Prove Proposition 12.1.9.
12.1.10. A fun but unimportant counterexample. We end this introductory sec-
tion with a fun pathology. As a Noetherian ring has no infinite chain of prime
ideals, you may think that Noetherian rings must have finite dimension. Nagata,
the master of counterexamples, shows you otherwise with the following exam-
ple.
12.1.M. ⋆⋆ E XERCISE : AN INFINITE - DIMENSIONAL N OETHERIAN RING . Let A =
k[x1 , x2 , . . . ]. Choose an increasing sequence of positive integers m1 , m2 , . . . whose
differences are also increasing (mi+1 −mi > mi −mi−1 ). Let pi = (xmi +1 , . . . , xmi+1 )
and S = A − ∪i pi .
(a) Show that S is a multiplicative set.
(b) Show that S−1 pi in S−1 A is the largest prime ideal in a chain of prime ideals of
length mi+1 − mi . Hence conclude that dim S−1 A = ∞.
(c) Suppose B is a ring such that (i) for every maximal ideal m, Bm is Noether-
ian, and (ii) every nonzero b ∈ B is contained in finitely many maximal ideals.
Show that B is Noetherian. (One possible approach: show that for any x1 , x2 , . . . ,
(x1 , x2 , . . . ) is finitely generated.)
(d) Use (c) to show that S−1 A is Noetherian.
12.1.11. Remark: Noetherian local rings have finite dimension. However, we shall see
in Exercise 12.3.J(a) that Noetherian local rings always have finite dimension. (This
requires a surprisingly hard fact, Krull’s Height Theorem 12.3.10.) Thus points of
locally Noetherian schemes always have finite codimension.
334 The Rising Sea: Foundations of Algebraic Geometry
12.2 Dimension, transcendence degree, and Noether
normalization
We now give a powerful alternative interpretation for dimension for irreducible
varieties, in terms of transcendence degree. The proof will involve a classical con-
struction, Noether normalization, which will be useful in other ways as well. In case
you haven’t seen transcendence theory, here is a lightning introduction.
12.2.A. E XERCISE / DEFINITION . Recall that an element of a field extension E/F is
algebraic over F if it is integral over F. Recall also that a field extension E/F is an
algebraic extension if it is an integral extension (if all elements of E are algebraic
over F, cf. §8.2). The composition of two algebraic extensions is algebraic, by Ex-
ercise 8.2.C. If E/F is a field extension, and F ′ and F ′′ are two intermediate field
extensions, then we write F ′ ∼ F ′′ if F ′ F ′′ is algebraic over both F ′ and F ′′ . Here
F ′ F ′′ is the compositum of F ′ and F ′′ , the smallest field extension in E containing F ′
and F ′′ .
(a) Show that ∼ is an equivalence relation on subextensions of E/F. A transcendence
basis of E/F is a set of elements {xi } that are algebraically independent over F (there
is no nontrivial polynomial relation among the xi with coefficients in F) such that
F({xi }) ∼ E.
(b) Show that if E/F has two transcendence bases, and one has cardinality n, then
both have cardinality n. (Hint: show that you can substitute elements from the one
basis into the other one at a time.) The size of any transcendence basis is called
the transcendence degree (which may be ∞), and is denoted trdeg. Any finitely
generated field extension necessarily has finite transcendence degree. (Remark: A
related result was mentioned in Algebraic Fact 10.5.17.)
12.2.1. Theorem (dimension = transcendence degree). — Suppose A is a finitely
generated domain over a field k (i.e., a finitely generated k-algebra that is an integral
domain). Then dim Spec A = trdeg K(A)/k. Hence if X is an irreducible k-variety, then
dim X = trdeg K(X)/k.
We will prove Theorem 12.2.1 shortly (§12.2.7). We first show that it is useful
by giving some immediate consequences. We seem to have immediately dim An k =
n. However, our proof of Theorem 12.2.1 will go through this fact, so it isn’t really
a consequence.
A more substantive consequence is the following. If X is an irreducible k-
variety, then dim X is the transcendence degree of the function field (the stalk at
the generic point) OX,η over k. Thus (as the generic point lies in all nonempty open
sets) the dimension can be computed in any open set of X. (Warning: this is false
without the finite type hypothesis, even in quite reasonable circumstances: let X
be the two-point space Spec k[x](x) , and let U consist of only the generic point, see
Exercise 3.4.K.)
Another consequence is a second proof of the Nullstellensatz 3.2.6.
12.2.B. E XERCISE : THE N ULLSTELLENSATZ FROM DIMENSION THEORY. Suppose
A = k[x1 , . . . , xn ]/I. Show that the residue field of any maximal ideal of A is a
finite extension of k. (Hint: the maximal ideals correspond to dimension 0 points,
which correspond to transcendence degree 0 finitely generated extensions of k, i.e.,
finite extensions of k.)
April 1, 2023 draft 335
Yet another consequence is geometrically believable.
12.2.C. E XERCISE . If π : X → Y is a dominant morphism of irreducible k-varieties,
then dim X ≥ dim Y. (This is false more generally: consider the inclusion of the
generic point into an irreducible curve.)
12.2.D. E XERCISE . Suppose f1 (x1 , . . . , xn ), . . . , fm (x1 , . . . , xn ) ∈ k[x1 , . . . , xn ] are
m polynomials in n variables over a field, with m > n. Show that the polynomials
f1 , . . . , fm are algebraically dependent. (Remark: if m = n, how can you tell
if the fi are algebraically dependent? There is a remarkably simple answer in
characteristic 0: they are algebraically dependent if and only if the determinant
of the Jacobian matrix is the zero polynomial, see Exercise 21.3.D! This is false in
characteristic p: if fi (x1 , . . . , xn ) = xp
i , then the fi are algebraically independent,
yet the Jacobian matrix is the zero matrix.)
12.2.E. E XERCISE ( PRACTICE WITH THE CONCEPT ). Show that the three equations
wz − xy = 0, wy − x2 = 0, xz − y2 = 0
cut out an integral surface S in A4k . (You may recognize these equations from Ex-
ercises 3.6.F and 9.3.A.) You might expect S to be a curve, because it is cut out by
three equations in four-space. One of many ways to proceed: cut S into pieces.
For example, show that D(w) = ∼ Spec k[x, w]w . (You may recognize S as the affine
cone over the twisted cubic. The twisted cubic was defined in Exercise 9.3.A.) It
turns out that you need three equations to cut out this surface. The first equa-
tion cuts out a threefold in A4k (by Krull’s Principal Ideal Theorem 12.3.3, which
we will meet soon). The second equation cuts out a surface: our surface, along
with another surface. The third equation cuts out our surface, and removes the
“extraneous component”. One last aside: notice once again that the cone over the
quadric surface k[w, x, y, z]/(wz − xy) makes an appearance.)
12.2.2. Definition: degree of a rational map of irreducible varieties. If π : X 99K Y
is a dominant rational map of irreducible (hence integral) k-varieties of the same
dimension, the degree of the field extension is called the degree of the rational
map. This readily extends if X is reducible: we add up the degrees on each of
the components of X. If π is a rational map of integral affine k-varieties of the
same dimension that is not dominant we say the degree is 0. We will interpret
this degree in terms of counting preimages of general points of Y in §24.5.14. Note
that degree is multiplicative under composition: if ρ : Y 99K Z is a rational map
of integral k-varieties of the same dimension, then deg(ρ ◦ π) = deg(ρ) deg(π), as
degrees of field extensions are multiplicative in towers.
12.2.3. Noether normalization.
Our proof of Theorem 12.2.1 will use another important classical notion, Noether
normalization.
12.2.4. Noether Normalization Lemma. — Suppose A is an integral domain, finitely
generated over a field k. If trdeg K(A)/k = n, then there are elements x1 , . . . , xn ∈ A,
algebraically independent over k, such that A is a finite (hence integral by Corollary 8.2.2)
extension of k[x1 , . . . , xn ].
336 The Rising Sea: Foundations of Algebraic Geometry
The geometric content behind this result is that given any integral finite type
affine k-scheme X, we can find a surjective finite morphism X → An k , where n is
the transcendence degree of the function field of X (over k). Surjectivity follows
from the Lying Over Theorem 8.2.5, in particular Exercise 12.1.F. This interpreta-
tion is sometimes called geometric Noether normalization. (See Remark 30.3.7 for a
projective version of Noether normalization.)
12.2.5. Nagata’s proof of the Noether Normalization Lemma 12.2.4. Suppose we can
write A = k[y1 , . . . , ym ]/p, i.e., that A can be chosen to have m generators. Note
that m ≥ n. We show the result by induction on m. The base case m = n is
immediate.
Assume now that m > n, and that we have proved the result for smaller
m. We will find m − 1 elements z1 , . . . , zm−1 of A such that A is finite over
k[z1 , . . . , zm−1 ]/q (i.e., the subring of A generated by z1 , . . . , zm−1 , where the
zi satisfy the relations given by the ideal q). Then by the inductive hypothesis,
k[z1 , . . . , zm−1 ]/q is finite over some k[x1 , . . . , xn ], and A is finite over k[z1 , . . . , zm−1 ],
so by Exercise 8.3.H, A is finite over k[x1 , . . . , xn ].
A = k[y1 , . . . , ym ]/p
finite
k[z1 , . . . , zm−1 ]/q
finite
k[x1 , . . . , xn ]
As y1 , . . . , ym are algebraically dependent in A, there is some nonzero alge-
braic relation f(y1 , . . . , ym ) = 0 among them (where f is a polynomial in m vari-
ables over k).
Let z1 = y1 − yrm1 , z2 = y2 − yrm2 , . . . , zm−1 = ym−1 − yrmm−1 , where r1 , . . . ,
rm−1 are positive integers to be chosen shortly. Then
f(z1 + yrm1 , z2 + yrm2 , . . . , zm−1 + yrmm−1 , ym ) = 0.
Then upon expanding this out, each monomial in f (as a polynomial in m variables)
will yield a single term that is a constant times a power of ym (with no zi factors).
By choosing the ri so that 0 ≪ r1 ≪ r2 ≪ · · · ≪ rm−1 , we can ensure that the
powers of ym appearing are all distinct, and so that in particular there is a leading
term yN m , and all other terms (including those with factors of zi ) are of smaller
degree in ym . Thus we have described an integral dependence of ym on z1 , . . . ,
zm−1 as desired. □
12.2.6. The geometry behind Nagata’s proof. Here is the geometric intuition be-
hind Nagata’s argument. Suppose we have an n-dimensional variety in Am k with
n < m, for example xy = 1 in A2 . One approach is to hope the projection to a
hyperplane is a finite morphism. In the case of xy = 1, if we projected to the x-
axis, it wouldn’t be finite, roughly speaking because the asymptote x = 0 prevents
the map from being closed (cf. Exercise 8.3.K). If we instead projected to a random
line, we might hope that we would get rid of this problem, and indeed we usually
can: this problem arises for only a finite number of directions. But we might have
April 1, 2023 draft 337
a problem if the field were finite: perhaps the finite number of directions in which
to project each have a problem. (You can show that if k is an infinite field, then the
substitution in the above proof zi = yi − yrmi can be replaced by the linear substitu-
tion zi = yi − ai ym where ai ∈ k, and that for a nonempty Zariski-open choice of
ai , we indeed obtain a finite morphism.) Nagata’s trick in general is to “jiggle” the
variables in a nonlinear way, and this jiggling kills the nonfiniteness of the map.
12.2.F. E XERCISE ( DIMENSION IS ADDITIVE FOR PRODUCTS OF FINITE TYPE k- SCHEMES ).
If X and Y are irreducible k-varieties, show that dim X ×k Y = dim X + dim Y. Hint:
If we had surjective finite morphisms X → Adim k
X
and Y → Adim k
Y
, we could con-
struct a surjective finite morphism X ×k Y → Ak dim X+dim Y
. (Warning: this can be
false without the finite type assumption, see Remark 12.2.17.)
In particular, we have dim A[x] = dim A + 1 when A is finitely generated over
a field. (This is true more generally when A is Noetherian, although we will not
prove this.)
12.2.G. L ESS IMPORTANT ( BUT FUN ) E XERCISE .
(a) Suppose X ⊂ Pn is an irreducible projective k-variety. Show that the affine cone
and projective cone over X both have dimension dim X + 1.
(b) Show that a prime ideal of k[x0 , . . . , xn ] which is minimal over a homogeneous
ideal is also homogeneous.
(c) Suppose p ⊂ q are two homogeneous prime ideals of k[x0 , . . . , xn ] such that
there is no homogeneous prime ideal strictly between the two. Show that there is
no prime ideal (not necessarily homogeneous) strictly between the two.
12.2.7. Proof of Theorem 12.2.1 on dimension and transcendence degree. Suppose X is
an integral affine k-scheme of finite type. We show that dim X equals the transcen-
dence degree n of its function field, by induction on n. (The idea is that we reduce
from X to An to a hypersurface in An to An−1 .) Assume the result is known for all
transcendence degrees less than n.
By the Noether Normalization Lemma 12.2.4, there exists a surjective finite
morphism X → An k . By Exercise 12.1.F, dim X = dim Ak . If n = 0, we are done, as
n
dim Ak = 0.
0
We now show that dim An k = n for n > 0, by induction. Clearly dim Ak ≥ n,
n
as we can describe a chain of irreducible subsets of length n: if x1 , . . . , xn are
coordinates on An , consider the chain of ideals
(0) ⊂ (x1 ) ⊂ · · · ⊂ (x1 , . . . , xn )
in k[x1 , . . . , xn ]. Suppose we have a chain of prime ideals of length at least n + 1:
(0) = p0 ⊂ · · · ⊂ pm .
Choose any nonzero element g of p1 , and let f be any irreducible factor of g lying
in p1 . Then replace p1 by (f). (Of course, p1 may have been (f) to begin with.) Then
K(k[x1 , . . . , xn ]/(f(x1 , . . . , xn ))) has transcendence degree n − 1, so by induction,
dim k[x1 , . . . , xn ]/(f) = n − 1,
so dim k[x1 , . . . , xn ] ≤ n, completing the proof. □
12.2.8. Codimension is the difference of dimensions for irreducible varieties.
338 The Rising Sea: Foundations of Algebraic Geometry
Noether normalization will help us show that codimension is the difference of
dimensions for irreducible varieties, i.e., that the inequality ([Link]) is always an
equality.
12.2.9. Theorem. — Suppose X is a pure-dimensional k-scheme locally of finite type
(for example, an irreducible k-variety), Y is an irreducible closed subset, and η is the
generic point of Y. Then dim Y + dim OX,η = dim X. Hence by Exercise 12.1.J, dim Y +
codimX Y = dim X — inequality ([Link]) is always an equality.
Proving this will give us an excuse to introduce some useful notions, such
as the Going-Down Theorem for finite extensions of integrally closed domains
(Theorem 12.2.12). Before we begin the proof, we give an algebraic translation.
12.2.H. E XERCISE . A ring A is called catenary if for every nested pair of prime
ideals p ⊂ q ⊂ A, all maximal chains of prime ideals between p and q have the
same length. (We will not use this term in any serious way later.) Show that if A is
a localization of a finitely generated ring over a field k, then A is catenary.
12.2.10. Remark. Most rings arising naturally in algebraic geometry are catenary.
Important examples include: localizations of finitely generated Z-algebras; com-
plete Noetherian local rings; Dedekind domains; and Cohen-Macaulay rings (see
§28.2.13). It is hard to give an example of a noncatenary ring; see for example
[Stacks, tag 02JE] or [He].
12.2.11. Proof of Theorem 12.2.9.
F IGURE 12.2. Key step in proof of Theorem 12.2.9
12.2.I. E XERCISE . Reduce the proof of Theorem 12.2.9 to the following problem.
If X is an irreducible affine k-variety and Z is a closed irreducible subset maximal
among those smaller than X (the only larger closed irreducible subset is X), then
dim Z = dim X − 1.
Let d = dim X for convenience. By Noether normalization 12.2.4, we have a
finite morphism π : X → Ad corresponding to a finite extension of rings. Then π(Z)
is an irreducible closed subset of Ad (finite morphisms are closed, Exercise 8.3.L).
12.2.J. E XERCISE . Show that it suffices to show that π(Z) is a hypersurface. (Hint:
the dimension of any hypersurface is d − 1 by Theorem 12.2.1 on dimension and
transcendence degree. Exercise 12.1.F implies that dim π−1 (π(Z)) = dim π(Z). But
be careful: Z is not π−1 (π(Z)) in general.)
April 1, 2023 draft 339
Now if π(Z) is not a hypersurface, then it is properly contained in an irre-
ducible hypersurface H, so by the Going-Down Theorem 12.2.12 for finite exten-
sions of integrally closed domains (which we shall now prove), there is some
closed irreducible subset Z ′ of X properly containing Z, contradicting the maxi-
mality of Z. □
12.2.12. Theorem (Going-Down Theorem for finite extensions of integrally closed
domains). — Suppose ϕ : B ,→ A is a finite extension of rings (so A is a finite B-module),
B is an integrally closed domain, and A is an integral domain. Then given nested prime
ideals q ⊂ q ′ of B, and a prime p ′ of A lying over q ′ (i.e., p ′ ∩ B = q ′ ), there exists a prime
p of A contained in p ′ , lying over q.
As usual, you should sketch a geometric picture of the statement. This the-
orem is usually stated about extending a chain of ideals, in the same way as the
Going-Up Theorem (Exercise 8.2.F), and you may want to think this through. (An-
other Going-Down Theorem, for flat morphisms, will be given in Exercise 24.5.E.)
This theorem is true more generally with “finite” replaced by “integral”; see
[E, p. 291] (“Completion of the proof of 13.9”) for the extension of Theorem 12.2.12,
or else see [AtM, Thm. 5.16] or [Mat1, Thm. 5(v)] for completely different proofs.
See [E, Fig. 10.4] for an example (in the form of a picture) of why the “integrally
closed” hypothesis on B cannot be removed.
In the course of the proof, we will use the following easy fact. We could prove
it now, but we leave it until Exercise 12.3.D, because the proof uses a trick arising
in Exercise 12.3.C.
12.2.13. Proposition (prime avoidance). — Suppose p1 , . . . , pn are prime ideals of a
ring A, and I is another ideal of A not contained in any pi . Then I is not contained in ∪pi :
there is an element f ∈ I not in any of the pi .
(Can you give a geometric interpretation of this result? Can you figure out
why it is called “prime avoidance”?)
12.2.14. Proof of Theorem 12.2.12 (Going-Down Theorem for finite extensions of integrally
closed domains). The proof uses Galois theory. Let L be the normal closure of
K(A)/K(B) (the smallest subfield of K(B) containing K(A), and that is mapped to
itself by any automorphism over K(B)/K(B)). Let C be the integral closure of B in
L (discussed in Exercise 10.7.I). Because A ,→ C is an integral extension, there is
a prime Q of C lying over q ⊂ B (by the Lying Over Theorem 8.2.5), and a prime
Q ′ of C containing Q lying over q ′ (by the Going-Up Theorem, Exercise 8.2.F).
Similarly, there is a prime P ′ of C lying over p ′ ⊂ A (and thus over q ′ ⊂ B). We
would be done if P ′ = Q ′ (just take p = Q ∩ A), but this needn’t be the case.
However, Lemma 12.2.15 below shows there is an automorphism σ of C over B,
that sends Q ′ to P ′ , and then the image of σ(Q) in A will do the trick, completing
340 The Rising Sea: Foundations of Algebraic Geometry
the proof. The following diagram, in geometric terms, may help.
Spec C/P ′ Vx
O VVVV
VVVV
VVVV
σ VVVV
VVVV
*
Spec C/Q ′ / Spec C/Q / Spec C LO
?
Spec A/p ′ / ? / Spec A K(A)
O
?
Spec B/q ′ / Spec B/q / Spec B K(B)
12.2.15. Lemma. — Suppose B is an integrally closed domain, L/K(B) is a finite normal
field extension, and C is the integral closure of B in L. If q ′ is a prime ideal of B, then
automorphisms of L/K(B) act transitively on the prime ideals of C lying over q ′ .
This result is often first seen in number theory, with B = Z and L a Galois
extension of Q.
Proof. Let P and Q1 be two prime ideals of C lying over q ′ , and let Q2 , . . . , Qn be
the prime ideals of C conjugate to Q1 (the image of Q1 under Aut(L/K(B))). If P
is not one of the Qi , then P is not contained in any of the Qi . (Do you see why?
Hint: Exercise 12.1.E or 12.1.F.) Hence by prime avoidance (Proposition 12.2.13),
P is not contained in their union, so there is some a ∈ P not contained in any Qi .
Thus no conjugate of a can be contained in Q1 , so the norm NL/K(B) (a) ∈ B is
not contained in Q1 ∩ B = q ′ . (Recall: If L/K(B) is separable, the norm is just the
product of the conjugates. But even if L/K(B) is not separable, the norm is the
product of conjugates to the appropriate power, because we can factor L/K(B) as
a separable extension followed by a purely inseparable extension, or because we
can take an explicit basis for the extension and calculate the norm of a. See [Lan,
§VI.5] for more on norms.) But since a ∈ P, its norm lies in P, but also in B, and
hence in P ∩ B = q ′ , yielding a contradiction. □
We end with some exercises for your practice and enlightenment.
12.2.K. E XERCISE / DEFINITION . Suppose X is a Noetherian scheme. Define a
function dimX (·) : X → Z≥0 from the underlying set of X, by taking dimX p to be
the dimension of the largest irreducible component of X containing p. We call this
the dimension of X at p. Show that dimX (·) is an uppersemicontinuous function.
(Recall that a function f from a topological space X to R is upper semicontinuous if
for each x ∈ R, f−1 ((−∞, x)) is open. Informally: the function can jump “up” upon
taking limits. Our upper semicontinuous functions will map to Z, so informally
functions jump “up” on closed subsets. Similarly, f is lower semicontinuous if
x ∈ R, f−1 ((x, ∞)) is open.
12.2.16. Aside: Semicontinuities. Semicontinuity is a recurring theme in algebraic
geometry. Here are some examples.
April 1, 2023 draft 341
(i) the rank of a matrix of functions (because rank drops on closed subsets,
where various discriminants vanish)
(ii) the dimension of a variety at a point (Exercise 12.2.K above)
(iii) fiber dimension (Theorem 12.4.3)
(iv) the rank of a finite type quasicoherent sheaf (Exercise 14.3.K)
(v) degree of a finite morphism, as a function of the target (§14.3.4)
(vi) dimension of tangent space at closed points of a variety over an alge-
braically closed field (Exercise 21.2.G)
(vii) rank of cohomology groups of coherent sheaves, in proper flat families
(Theorem 26.1.1)
All but (i) are upper semicontinuous; (i) is a lower semicontinuous function.
12.2.L. E XERCISE . Suppose p is a closed point of a locally finite type k-scheme X.
Show that the following three integers are the same: (i) dimX p (Exercise 12.2.K);
(ii) dim OX,p ; and (iii) codimX p. The Zariski topology on the closed points of a
finite type k-scheme in the obvious way: closed subsets are cut out by equations,
as in §8.4.8.)
12.2.M. E XERCISE ( THE DIMENSION OF A LOCALLY FINITE TYPE k- SCHEME IS PRE -
SERVED BY any FIELD EXTENSION , CF. E XERCISE 12.1.H( A )). Suppose X is a
locally finite type k-scheme of pure dimension n, and K/k is a field extension (not
necessarily algebraic). Show that XK has pure dimension n. Hint: Reduce to the
case where X is affine, so say X = Spec A. Reduce to the case where A is an integral
domain. Show (using the axiom of choice) that K/k can be written as an algebraic
extension of a purely transcendental extension. Hence by Exercise 12.1.H(a), it
suffices to deal with the case where K/k is purely transcendental, say with tran-
scendence basis {ei }i∈I (possibly infinite). Show that AK := A ⊗k K is an integral
domain, by interpreting it as a certain localization of the domain A[{ei }]. If t1 , . . . ,
td is a transcendence basis for K(A)/k, show that {ei } ∪ {tj } is a transcendence basis
for K(AK )/k. Show that {tj } is a transcendence basis for K(AK )/K.
Exercise 12.2.M is conceptually important. For example, if X is described
by some equations with Q-coefficients, the dimension of X doesn’t depend on
whether we consider it as a Q-scheme or as a C-scheme.
12.2.17. Remark. Unlike Exercise 12.1.H, Exercise 12.2.M has finite type hypotheses
on X. It is not true that if X is an arbitrary k-scheme of pure dimension n, and K/k
is an arbitrary extension, then XK necessarily has pure dimension n. For example,
Exercise 10.2.L shows that if k is a field, then dim k(x) ⊗k k(y) = 1.
12.2.18. ⋆ Lines on hypersurfaces, part 1. Notice: although dimension theory is
not central to the following statement, it is essential to the proof.
12.2.N. E NLIGHTENING STRENUOUS EXERCISE : M OST SURFACES IN THREE - SPACE
OF DEGREE d > 3 HAVE NO LINES . In this exercise, we work over an algebraically
closed field k. For any d > 3, show that most degree d surfaces in P3 contain no
lines. Here, “most” means “all closed points of a Zariski-open subset of the param-
eter space(for degree
) d homogeneous polynomials in 4 variables, up to scalars”. As
there are d+33 such monomials, the degree d hypersurfaces are parametrized by
342 The Rising Sea: Foundations of Algebraic Geometry
d+3
P( 3 )−1 (see Remark 4.5.3). Hint: Construct an “incidence” correspondence
d+3
X = {(ℓ, H) : [ℓ] ∈ G(1, 3), [H] ∈ P( 3 )−1 , ℓ ⊂ H},
parametrizing lines in P3 contained in a hypersurface: define a closed subscheme
d+3
X of P( 3 )−1 × G(1, 3) that makes this notion precise. (Recall that G(1, 3) is a
d+3
Grassmannian.) Show that X is a P( 3 )−1−(d+1) -bundle over G(1, 3). (Possible
hint for this: how many degree d hypersurfaces contain the line x = y = 0?)
Show that dim G(1, 3) = 4 (see §7.7: G(1, 3) has an open cover by A4 ’s). Show that
( ) d+3
dim X = d+3 3 −1−(d+1)+4. Show that the image of the projection X → P( 3 )−1
must lie in a proper closed subset. The following diagram may help.
(d+3)
dim 3 − 1 − (d + 1) + 4
kk X SSSSS
kkkkkkk SSSP(d+3
SSS3 )
−1−(d+1)
kkkk SSS
k SSS
d+3
u kkk
k S)
P( 3 )−1 G(1, 3) dim 4
(The argument readily generalizes to show that if d > 2n−3, then “most” degree d
hypersurfaces in Pn have no lines. The case n = 1 and n = 2 are trivial but worth
thinking through.)
12.2.19. Side Remark. If you do the previous Exercise, your dimension count will
suggest the true facts that degree 1 hypersurfaces — i.e., hyperplanes — have 2-
dimensional families of lines, and that most degree 2 hypersurfaces have 1-dimensional
families (rulings) of lines, as shown in Exercise 9.3.L. They will also suggest that
most degree 3 hypersurfaces contain a finite number of lines, which reflects the
celebrated fact that regular cubic surfaces over an algebraically closed field always
contain 27 lines (Theorem 27.1.1), and we will use this “incidence correspondence”
or “incidence variety” to prove it (§27.4). The statement about quartic surfaces gen-
eralizes to the Noether-Lefschetz Theorem implying that a very general surface of
degree d at least 4 contains no curves that are not the intersection of the surface
with a hypersurface, see [Lef, GH2]. “Very general” means that in the parameter
space (in this case, the projective space parametrizing surfaces of degree d), the
statement is true away from a countable union of proper Zariski-closed subsets.
Like “general” (which was defined in §10.3.7), “very general” is a weaker version
of the phrase “almost every”.
12.3 Codimension one miracles: Krull and Hartogs
We next introduce a number of results that we will repeatedly use, relating
functions and the codimension one points where they vanish: Krull’s Principal
Ideal Theorem 12.3.3 (and related notions), and Algebraic Hartogs’s Lemma 12.3.14.
April 1, 2023 draft 343
The key technical result is Krull’s Principal Ideal Theorem, which will be geometri-
cally believable, and whose proof is short yet somehow nonintuitive and algebraic.
The results in this section will require Noetherian hypotheses.
12.3.1. Krull’s Principal Ideal Theorem. In a vector space, a single linear equation
always cuts out a subspace of codimension 0 or 1 (and codimension 0 occurs only
when the equation is 0). The Principal Ideal Theorem, due to W. Krull, generalizes
this linear algebra fact.
12.3.2. Krull’s Principal Ideal Theorem (geometric version). — Suppose X is a
locally Noetherian scheme, and f is a function. The irreducible components of V(f) are
codimension 0 or 1.
This is clearly a consequence of the following algebraic statement.
12.3.3. Krull’s Principal Ideal Theorem (algebraic version). — Suppose A is a
Noetherian ring, and f ∈ A. Then every prime p minimal among those containing f has
codimension at most 1. If furthermore f is not a zerodivisor, then every such prime p
containing f has codimension precisely 1.
For example, locally principal closed subschemes have “codimension 0 or 1”,
and effective Cartier divisors have “pure codimension 1”. Here is another example
(which you could certainly prove directly, without the Principal Ideal Theorem).
12.3.A. E XERCISE . Show that an irreducible homogeneous polynomial in n + 1
variables over a field k describes an integral scheme of dimension n − 1 in Pn
k.
You should just note how short the proof of Theorem 12.3.3 is, and skip ahead
to §12.3.5 it until after you have used the theorem enough that you very much
appreciate its value.
12.3.4. ⋆⋆ Proof of Krull’s Principal Ideal Theorem 12.3.3. We dispose of the last sen-
tence first: if p is codimension zero, then it is an associated prime (Exercise 6.6.M),
and hence any element of p (including f) is a zerodivisor (Proposition 6.6.13).
We next wish to show that codim p ≤ 1. We reduce to the case of a local ring:
replacing A by Ap (and p by pAp ) does not change the problem so we may assume
that p is a maximal ideal.
Suppose otherwise that q is a strictly smaller prime ideal of A (so f ∈ / q by the
minimality of p among prime ideals containing f). We wish to show that q has
codimension zero.
The key idea of the proof is the following clever construction.
12.3.B. E XERCISE . Let ϕ : A → Aq be the localization, and define q(n) :=
−1 n
ϕ (q Aq ). (This is called the nth symbolic power of q, but we will not use this
terminology.) Note that q(1) ⊃ q(2) ⊃ · · · is a descending sequence of ideals of A.
If ag ∈ q(n) and g ∈/ q, show that a ∈ q(n) . (Translation: q(n) is q-primary, although
we won’t use this terminology either.)
√
Now (f) ⊂ A is the intersection of the minimal prime ideals containing f (Ex-
ercise 3.4.F), which is precisely the maximal ideal p. Thus in the local ring A/(f),
the nilradical ideal is the maximal ideal, so by Proposition 12.1.9 (on dimension 0
344 The Rising Sea: Foundations of Algebraic Geometry
Noetherian local rings), any descending chain of ideals of A/(f) eventually stabi-
lizes. In particular, the image of q(1) ⊃ q(2) ⊃ · · · in A/(f) eventually stabilizes,
so
([Link]) q(n) ≡ q(n+1) (mod f) for n ≥ n0 sufficiently large.
We next claim that in fact q(n) = q(n+1) + fq(n) for n ≥ n0 . Reason: suppose
bn ∈ q(n) . Then by ([Link]), bn = bn+1 + af for bn+1 ∈ q(n+1) ⊂ q(n) and a ∈ A.
Hence af ∈ q(n) ; but f ∈/ q. By Exercise [Link], a ∈ q(n) , so q(n) = q(n+1) + fq(n)
as claimed.
Thus by Nakayama’s Lemma 8.2.9 (using A, M = q(n) /q(n+1) , I = (f)), q(n) =
q(n+1) , from which qn Aq = qn+1 Aq . By Nakayama’s Lemma 8.2.9 (using Aq , M =
qn Aq , I = qAq ), qn Aq = 0, so by Proposition 12.1.9, Aq has dimension zero, so q
has codimension zero in A as desired. □
12.3.5. We now use Krull’s Principal Ideal Theorem to prove some geometric facts.
12.3.C. I MPORTANT E XERCISE ( TO BE USED REPEATEDLY ). This is a cool argument.
(a) (Hypersurfaces meet everything of dimension at least 1 in projective space, unlike in
affine space.) Suppose X is a closed subset of Pn k of dimension at least 1, and H
is a nonempty hypersurface in Pn k . Show that H meets X. (Hint: note that the
affine cone over H contains the origin in An+1 k . Apply Krull’s Principal Ideal The-
orem 12.3.3 to the cone over X.)
(b) Suppose X ,→ Pn k is a closed subset of dimension r. Show that any codimension
r linear space meets X. Hint: Refine your argument in (a). (Exercise 12.3.F general-
izes this to show that any two things in projective space that you would expect to
meet for dimensional reasons do in fact meet.)
(c) Show further that there is an intersection of r + 1 nonempty hypersurfaces miss-
ing X. (The key step: show that there is a hypersurface of sufficiently high degree
that doesn’t contain any generic point of X. Show this by induction on the number
of generic points. To get from m to m + 1: take a hypersurface not vanishing on
p1 , . . . , pm . If it doesn’t vanish on pm+1 , we are done. Otherwise, call this hyper-
surface fm+1 . Do something similar with m + 1 replaced by i for each 1 ≤ i ≤ m.
∑
Then consider i f1 · · · f^i · · · fm+1 .) If k is infinite, show that there is a codimen-
sion r + 1 linear subspace missing X. (The key step: show that there is a hyperplane
not containing any generic point of a component of X.)
(d) If k is an infinite field, show that there is an intersection of r hyperplanes meet-
ing X in a finite number of points. (We will see in Exercise 13.4.B that if k = k,
for “most” choices of these r hyperplanes, this intersection is reduced, and in Ex-
ercise 18.6.M that the number of points is the “degree” of X. But first of course we
must define “degree”.)
The proof of prime avoidance (the following exercise) is similar to that of Ex-
ercise 12.3.C(c), and you may wish to solve it first. We will find it useful shortly.
12.3.D. E XERCISE . Prove Proposition 12.2.13 (prime avoidance). Hint: by induc-
tion on n. Don’t look in the literature — you might find a much longer argument.
April 1, 2023 draft 345
12.3.E. E XERCISE ( BOUND ON CODIMENSION OF INTERSECTIONS IN An k ). Let
k = k be an algebraically closed field. Suppose X and Y are irreducible closed
subvarieties (possibly singular) of codimension m and n respectively in Ad k . Show
that every component of X ∩ Y has codimension at most m + n in Ad k as follows.
Show that the diagonal Ad ∼ ∆ ⊂ Ad ×k Ad is a regular embedding of codimen-
=
k k k
sion d. (You will quickly guess the d equations for ∆.) Exercise 11.3.M identifies
the intersection of X and Y in Ad with the intersection of X × Y with ∆ in Ad ×k Ad k.
Then show that locally, X ∩ Y is cut out in X × Y by d equations. Use Krull’s Prin-
cipal Ideal Theorem 12.3.3. You will also need Exercise 12.2.F. (The hypothesis of
irreducibility can be replaced by equidimensionality by appropriately generaliz-
ing Exercise 12.2.F. The hypothesis k = k can be removed by suitably invoking
Exercise 10.5.M. See Exercise 13.2.N for a generalization.)
12.3.F. F UN E XERCISE ( GENERALIZING E XERCISE 12.3.C( B )). Suppose X and Y are
equidimensional closed subvarieties of Pn of codimensions d and e respectively,
and d + e ≤ n. Show that X and Y intersect. Hint: apply Exercise 12.3.E to the
affine cones of X and Y. Recall the argument you used in Exercise 12.3.C(a) or (b).
12.3.G. U SEFUL E XERCISE . Suppose f is an element of a Noetherian ring A, con-
tained in no codimension zero or one prime ideals. Show that f is invertible. (Hint:
if a function vanishes nowhere, it is invertible, by Exercise 4.3.F(b).)
12.3.6. A useful characterization of unique factorization domains.
We can use Krull’s Principal Ideal Theorem to prove one of the four useful
criteria for unique factorization domains, promised in §5.4.5.
12.3.7. Proposition. — Suppose that A is a Noetherian integral domain. Then A is a
unique factorization domain if and only if all codimension 1 prime ideals are principal.
This contains Lemma 12.1.7 and (in some sense) its converse. (In fact this result
is true even without Noetherian hypotheses, without much more work; see [Ka,
Thm. 5, p. 4].)
Proof. One direction is Lemma 12.1.7: if A is a unique factorization domain, then
all codimension 1 prime ideals are principal. So we assume conversely that all
codimension 1 prime ideals of A are principal, and we will show that A is a unique
factorization domain. Now each codimension one prime ideal, being principal, is
generated by a prime element, which is unique up to multiplication by a unit.
All prime elements of an integral domain are irreducible, by the usual argument.
(Suppose p ∈ A is prime, and p = ab, with a, b ∈ A \ {0}. Then by primality
of the ideal (p), either a or b is in (p), say without loss of generality a = kp.
Then p = kpb, from which 1 = bk, from which b is unit. Thus p is irreducible.)
Conversely, if a ∈ A is irreducible, then by Krull’s Principal Ideal Theorem 12.3.3,
V(a) contains some codimension one point [(p)], so a ∈ (p), say a = kp. But
by irreducibility of a, as p is not a unit, k must be a unit, from which (a) = (p),
so a is prime. Thus we have shown that the prime elements are the irreducible
elements (and incidentally, that up to multiplicative units, they correspond to the
codimension one prime ideals).
346 The Rising Sea: Foundations of Algebraic Geometry
Finally, A is a unique factorization domain by the usual argument (e.g., [DF,
§8.3]): each non-unit nonzero element can be factored into a finite number of irre-
ducibles, and the uniqueness of such a factorization can be shown using the fact
that those irreducibles are also prime. □
12.3.8. Using Krull’s Principal Ideal Theorem inductively. The following result
will allow us to use Krull’s Principal Ideal Theorem inductively.
12.3.9. Lemma. — Suppose p0 ⊊ p1 ⊊ · · · ⊊ pn is a strict chain of prime ideals in a
Noetherian ring A, and f ∈ pn \ p0 . Then there exists a strict chain of prime ideals
p0 = q0 ⊊ q1 ⊊ · · · ⊊ qn−1 ⊊ qn = pn .
in A, with f ∈ q1 \ q0 .
You should feel compelled to immediately sketch of a picture of this lemma.
We are given Spec A, and a nested sequence of irreducible closed subsets, as well
as a “hypersurface” containing the smallest closed subset. We are going to create a
new sequence of irreducible closed subsets, with the same start and finish, which
are all (after the first) contained in the hypersurface.
Proof. Our plan is to create the ideals as follows:
̸= / ̸= / ̸= / ̸= / ̸= /
p0 Bp p1 Ap · · · Eq pn−2 q pn−1 q pn
BB AA EEE G G GG E E EE
̸=B ̸=A ̸=EE ̸=GG ̸=EE
BB AA EE GG EE
" # "
f∈ q1 / · · · / qn−2 / qn−1 / qn
̸= ̸= ̸= ̸=
Unsurprisingly, we do this by descending induction. We prove the following. Sup-
pose pj−2 ⊂ pj−1 ⊂ pj with f ∈ pj \ pj−2 . We seek a prime ideal qj−1 containing
f, with pj−2 ⊊ qj−1 ⊊ pj . Take qj−1 to be a prime contained in (f, pj−2 ), and
minimal among those contained in pj . Now qj−1 is codimension 1 in R/pj−2 by
Krull’s Principal Ideal theorem, and pj is codimension at least 2 (we have a chain
pj−2 ⊂ pj−1 ⊂ pj of length 2). Thus qj−1 ⊊ pj . □
12.3.H. E XERCISE . Suppose (A, m) is a Noetherian local ring, and f ∈ m. Show
that dim A/(f) ≥ dim A − 1.
The following generalization of Krull’s Principal Ideal Theorem looks like it
might follow by induction from Krull, but it is more subtle.
12.3.10. Krull’s Height Theorem. — Suppose X = Spec A where A is Noetherian,
and Z is an irreducible component of V(r1 , . . . , rℓ ), where r1 , . . . , rℓ ∈ A. Then the
codimension of Z is at most ℓ.
(As mentioned in §12.1.4, height is another common word for codimension.)
12.3.I. E XERCISE . Prove Krull’s Height Theorem 12.3.10 by reducing it to the case
of a Noetherian local ring (A, m), where Z = V(m), and then using Lemma 12.3.9
for the f1 , . . . , fr in order.
April 1, 2023 draft 347
12.3.J. I MPORTANT E XERCISE . Suppose (A, m) is a Noetherian local ring.
(a) (Noetherian local rings have finite dimension, promised in Remark 12.1.11) Use Krull’s
Height Theorem 12.3.10 to prove that if there are g1 , . . . , gℓ such that V(g1 , . . . , gℓ ) =
{[m]}, then dim A ≤ ℓ. Hence show that A has finite dimension. (For comparison,
Noetherian rings in general may have infinite dimension, see Exercise 12.1.M.)
(b) Let d = dim A. Show that there exist g1 , . . . , gd ∈ A such that V(g1 , . . . , gd ) =
{[m]}.
12.3.11. Definition. The geometric translation of the above exercise is the follow-
ing. Given a d-dimensional “germ of a reasonable space” around a point p, p can
be cut out set-theoretically by d equations, and we always need at least d equa-
tions. These d elements of A are called a system of parameters at p. Essentially
equivalently, if (A, m) is a Noetherian local√ring of dimension d, then f1 , . . . , fd is
a system of parameters for (A, m) if m = (f1 , . . . , fd ). for the Noetherian local
ring (A, m).
The following result will be central in the next chapter.
12.3.12. Theorem. — For any Noetherian local ring (A, m, k), dim A ≤ dimk m/m2 .
Proof. Now m is finitely generated, so m/m2 is a finitely generated (A/m = k)-
module, hence finite-dimensional. Say dimk m/m2 = n. Choose a basis of m/m2 ,
and lift it to elements f1 , . . . , fn of m. By Nakayama’s Lemma (version 4, Exer-
cise 8.2.H), (f1 , . . . , fn ) = m. By Exercise 12.3.J, dim A ≤ n. □
12.3.13. Algebraic Hartogs’s Lemma for Noetherian normal schemes.
Hartogs’s Lemma in several complex variables states (informally) that a holo-
morphic function defined away from a codimension two set can be extended over
that. We now describe an algebraic analog, for Noetherian normal schemes. (It
may also be profitably compared to the Second Riemann Extension Theorem.) We
will use this repeatedly and relentlessly when connecting line bundles and divi-
sors in §15.4.
12.3.14. Algebraic Hartogs’s Lemma. — Suppose A is a integrally closed Noetherian
integral domain. Then
A = ∩p codimension 1 Ap .
The equality takes place in K(A); recall that any localization of an integral
domain A is naturally a subset of K(A) (Exercise 1.3.C). Warning: few people call
this Algebraic Hartogs’s Lemma. I call it this because it parallels the statement in
complex geometry.
One might say that if f ∈ K(A) does not lie in Ap where p has codimension 1,
then f has a pole at [p], and if f ∈ K(A) lies in pAp where p has codimension 1, then
f has a zero at [p].
12.3.15. It is worth geometrically interpreting Algebraic Hartogs’s Lemma as saying
that a rational function on a Noetherian normal scheme with no poles is in fact regular
(an element of A). Informally: “Noetherian normal schemes have the Hartogs property.”
(We will properly define zeros and poles in §13.5.7, see also Exercise 13.5.H.)
348 The Rising Sea: Foundations of Algebraic Geometry
One can state Algebraic Hartogs’s Lemma more generally in the case that
Spec A is a Noetherian normal scheme, meaning that A is a product of Noether-
ian normal integral domains; the reader may wish to do so.
Another generalization (and something closer to the “right” statement) is that
if A is a subring of a field K, then the integral closure of A in K is the intersection
of all valuation rings of K containing A; see [AtM, Cor. 5.22] for explanation and
proof.
12.3.16. ⋆⋆ Proof of Algebraic Hartogs’s Lemma 12.3.14. (This proof may be
stated completely algebraically, but we state it as geometrically as possible, at the
expense of making it longer. Nonetheless, this proof may be best skipped on a
first reading — the main thing to notice is that it is short and not frightening. See
[Stacks, tag 031T] for another proof using Serre’s criterion for normality, which we
prove in §28.3.) The left side is obviously contained in the right, so assume some x
lies in every Ap but not in A. As in the proof of Proposition 5.4.2, we measure the
failure of x to be a function (an element of Spec A) with the “ideal of denominators”
I of x ([Link]):
I := {r ∈ A : rx ∈ A}.
(As an important remark not necessary for the proof: it is helpful to interpret the
ideal of denominators as scheme-theoretically measuring the failure of x to be reg-
ular, or better, giving a scheme-theoretic structure to the locus where x is not regu-
lar.) As 1 ∈ / I, we have I ̸= A. Choose a minimal prime q containing I.
Our second step in obtaining a contradiction is to focus near the point [q], i.e.,
replace A by Aq . We first observe that x ∈ / Aq . (Otherwise, x = y/z with z ∈
A \ q ⊂ A \ I, yet z ∈ I by the definition of the ideal of denominators.) But
x ∈ K(Aq ), and x ∈ (Aq )p ′ for all codimension 1 primes p ′ of Aq (these are a subset
of the codimension 1 primes of A). Hence we may replace A by Aq as an alleged
counterexample to the statement, with the same “witness” x ∈ K(A).
In the third step, we construct a suitable multiple z of x that is still not a func-
tion on Spec A, such that multiplying z by anything vanishing at [q] results in a
function.
√ (Translation: z ∈ / A, but zq ⊂ A.) As q is the only prime containing I,
I = q (Exercise 3.4.F), so as q is finitely generated, there is some n with I ⊃ qn (Do
you see why?). Take the minimal such n, so I ̸⊃ qn−1 , and choose any y ∈ qn−1 − I.
Let z = yx. As y ∈ / I, z ∈
/ A. On the other hand, yq ⊂ qn ⊂ I, so zq ⊂ Ix ⊂ A, so zq
is an ideal of A, completing this step.
Finally, we have two cases: either there is function vanishing on [q] that, when
multiplied by z, doesn’t vanish on [q]; or else every function vanishing on [q], mul-
tiplied by z, still vanishes on [q]. Translation: (i) either zq is contained in q, or (ii) it
is not.
(i) If zq ⊂ q, then we would have a finitely generated A-module (namely q)
with a faithful A[z]-action, forcing z to be integral over A (and hence in A, as A is
integrally closed) by Exercise 8.2.I, yielding a contradiction.
(ii) If zq is an ideal of A not contained in the unique maximal ideal q, then it
must be A! Thus zq = A from which q = A(1/z), from which q is principal. But
April 1, 2023 draft 349
then
codim q = dim A
≤ dimA/q q/q2 (Theorem 12.3.12)
≤ 1 (principality of q),
contradicting codim q ≥ 2. □
We conclude with two starred sections.
12.3.17. ⋆ Pathologies of the notion of “codimension”. We can use Krull’s Princi-
pal Ideal Theorem to produce the example of pathology in the notion of codimen-
sion promised earlier this chapter. Let A = k[x](x) [t]. In other words, elements
of A are polynomials in t, whose coefficients are quotients of polynomials in x,
where no factors of x appear in the denominator. (Warning: A is not k[x, t](x) .)
Clearly, A is an integral domain, so xt − 1 is not a zero divisor. You can verify
that A/(xt − 1) = ∼ k[x](x) [1/x] =∼ k(x) — “in k[x](x) , we may divide by everything
but x, and now we are allowed to divide by x as well” — so A/(xt − 1) is a field.
Thus (xt − 1) is not just prime but also maximal. By Krull’s theorem, (xt − 1) is
codimension 1. Thus (0) ⊂ (xt − 1) is a maximal chain. However, A has dimen-
sion at least 2: (0) ⊂ (t) ⊂ (x, t) is a chain of prime ideals of length 2. (In fact,
A has dimension precisely 2, although we don’t need this fact in order to observe
the pathology.) Thus we have a codimension 1 prime in a dimension 2 ring whose
quotient is dimension 0, not 1. Here is a picture of this partially ordered set of
ideals.
(x, t)
(t) (xt − 1)
DD w
DD w
DD www
DD ww
ww
(0)
This example comes from geometry, and it is enlightening to draw a picture, see
Figure 12.3. Spec k[x](x) corresponds to a “germ” of A1k near the origin, and Spec k[x](x) [t]
corresponds to “this × the affine line”. You may be able to see from the picture
some motivation for this pathology — V(xt − 1) doesn’t meet V(x), so it can’t have
any specialization on V(x), and there is nowhere else for V(xt − 1) to specialize.
It is disturbing that this misbehavior turns up even in a relatively benign-looking
ring.
12.3.18. ⋆ Lines on hypersurfaces, part 2. (Part 1 was §12.2.18.) We now give a
geometric application of Krull’s Principal Ideal Theorem 12.3.3, applied through
Exercise 12.3.C(a). Throughout, we work over an algebraically closed field k.
12.3.K. E XERCISE .
(a) Suppose
f(x0 , . . . , xn ) = fd (x1 , . . . , xn ) + x0 fd−1 (x1 , . . . , xn ) + · · · + xd−1
0 f1 (x1 , . . . , xn )
is a homogeneous degree d polynomial (so deg fi = i) cutting out a hypersur-
face X in Pn containing p := [1, 0, . . . , 0]. Show that there is a line through p
350 The Rising Sea: Foundations of Algebraic Geometry
V(xt − 1)
Spec k[x](x) [t]
V(x)
Spec k[x](x)
F IGURE 12.3. Dimension and codimension behave oddly on the
surface Spec k[x](x) [t]
contained in X if and only if f1 = f2 = · · · = fd = 0 has a common zero in
Pn−1 = Proj k[x1 , . . . , xn ]. (Hint: given a common zero [a1 , . . . , an ] ∈ Pn−1 , show
that line joining p to [0, a1 , . . . , an ] is contained in X.)
(b) If d ≤ n − 1, show that through any point p ∈ X, there is a line contained in X.
Hint: Exercise 12.3.C(a).
(c) If d ≥ n, show that for “most hypersurfaces” X of degree d in Pn (for all hy-
n+d
persurfaces whose corresponding point in the parameter space P( d )−1 — cf. Re-
mark 4.5.3 and Exercise 9.3.J — lies in some nonempty Zariski-open subset), “most
points p ∈ X” (all points in a nonempty dense Zariski-open subset of X) have no
lines in X passing through them. (Hint: first show that there is a single p in a single
X contained in no line. Chevalley’s Theorem 8.4.2 may help.)
12.3.19. Remark. A projective (or proper) k-variety X is uniruled if every point p ∈
X is contained in some P1 ⊂ X. (We won’t use this word beyond this remark.) Part
(b) shows that all hypersurfaces of degree at most n−1 are uniruled. One can show
(using methods beyond what we know now, see [Ko1, Cor. IV.1.11]) that if char k =
0, then every smooth hypersurface of degree at least n + 1 in Pn k
is not uniruled
(thus making the open set in (c) explicit). Furthermore, smooth hypersurfaces
of degree n are uniruled, but covered by conics rather than lines. Thus there is
a strong difference in how hypersurfaces, behave depending on how the degree
relates to n + 1. This is true in many other ways as well. Smooth hypersurfaces
of degree less than n + 1 are examples of Fano varieties; smooth hypersurfaces of
degree n + 1 are examples of Calabi-Yau varieties (with the possible exception of
April 1, 2023 draft 351
n = 1, depending on the definition); and smooth hypersurfaces of degree greater
than n + 1 are examples of general type varieties. We define these terms in §21.5.5.
12.4 Dimensions of fibers of morphisms of varieties
In this section, we show that the dimensions of fibers of morphisms of varieties
behave in a way you might expect from our geometric intuition. The reason we
have waited until now to discuss this is because we will use Theorem 12.2.9 (for
varieties, codimension is the difference of dimensions).
Before we begin, let’s make sure we are on the same page with respect to
our intuition. Elimination theory (Theorem 8.4.10) tells us that the projection
π : Pn
A → Spec A is closed. We can interpret this as follows. A closed subset X
of PnA is cut out by a bunch of homogeneous equations in n + 1 variables (over
A). The image of X is the subset of Spec A where these equations have a common
nontrivial solution. If we try hard enough, we can describe this by saying that the
existence of a nontrivial solution (or the existence of a preimage of a point under
π : X → Spec A) is an “upper semicontinuous” fact. More generally, your intuition
might tell you that the locus where a number of homogeneous polynomials in n+1
variables over A have a solution space (in Pn A ) of dimension at least d should be a
closed subset of Spec A. (As a special case, consider linear equations. The condi-
tion for m linear equations in n + 1 variables to have a solution space of dimension
at least d+1 is a closed condition on the coefficients — do you see why, using linear
algebra?) This intuition will be correct, and will use properness in a fundamental
way (Theorem 12.4.3(b)). We will also make sense of upper semicontinuity in fiber
dimension on the source (Theorem 12.4.3(a)). A useful example to think through
is the map from the xy-plane to the xz-plane (Spec k[x, y] → Spec k[x, z]), given by
(x, z) 7→ (x, xy). (This example also came up in §8.4.1.)
We begin our substantive discussion with an inequality that holds more gen-
erally in the locally Noetherian setting.
12.4.A. K EY E XERCISE ( CODIMENSION BEHAVES AS YOU MIGHT EXPECT FOR A
MORPHISM , OR “ FIBER DIMENSIONS CAN NEVER BE LOWER THAN EXPECTED ”).
Suppose π : X → Y is a morphism of locally Noetherian schemes, and p ∈ X and
q ∈ Y are points such that q = π(p). Show that
codimX p ≤ codimY q + codimπ−1 (q) p
(see Figure 12.4). (This is similar to Exercise 12.1.K, but it is not the same!) Hint:
take a system of parameters (Definition 12.3.11) for q “in Y”, and a system of pa-
rameters for p “in π−1 (q)”, and use them to find codimY q + codimπ−1 (q) p ele-
ments of OX,p cutting out p = {[m]} in Spec OX,p . Use Exercise 12.3.J.
Does Exercise 12.4.A agree with your geometric intuition? You should be able
to come up with enlightening examples where equality holds, and where equality
fails. We will see that equality always holds for sufficiently nice — flat — mor-
phisms, see Proposition 24.5.8.
We now show that the inequality of Exercise 12.4.A is actually an equality over
“most of Y”.
352 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 12.4. Exercise 12.4.A: the codimension of a point in the
total space is bounded by the sum of the codimension of the point
in the fiber plus the codimension of the image in the target
12.4.1. Theorem. — Suppose π : X → Y is a finitely presented dominant morphism of
irreducible schemes such tht K(X)/K(Y) (a finitely-generated field extension) has transcen-
dence degree r. Then there exists a nonempty open subset U ⊂ Y such that for all q ∈ U,
the fiber over q has pure dimension r, or is empty.
(By convention, the empty set technically has pure dimension r — every irre-
ducible component of the empty set has dimension r. This makes the statement
of Theorem 12.4.1 a bit cleaner.) An interesting fact: we will use the Noether No-
ralization Lemma 12.2.4 in the proof, even though the statement doesn’t involve
varieties! In the generality of the statement bothers you, we have the following
special case for varieties.
12.4.2. Corollary. — Suppose π : X → Y is a (necessarily finite type) morphism of
irreducible k-varieties, with dim X = m and dim Y = n. Then there exists a nonempty
open subset U ⊂ Y such that for all q ∈ U, the fiber over q has pure dimension m − n, or
is empty.
12.4.B. E XERCISE . Verify that Theorem 12.4.1 implies Corollary 12.4.2.
Proof. We begin with three quick reductions. (i) By shrinking Y if necessary, we
may assume that Y is affine, say Spec B. (ii) We may also assume that X is affine,
say Spec A. (Reason: cover X with a finite number of affine open subsets X1 , . . . , Xa ,
and take the intersection of the U’s for each of the π|Xi .) (iii) If π is not dominant,
then we are done, as the image misses a dense open subset U of Spec B. So we
assume now that π is dominant.
In order to motivate the rest of the argument, we describe our goal. We will
produce a nonempty distinguished open subset U of Spec B so that π−1 (U) → U
April 1, 2023 draft 353
factors through ArU via a finite surjective morphism:
([Link]) X= Spec A o
open emb.
? _ π−1 (U)
finite surj.
π ArU
Y= Spec B o
open emb.
? _U
12.4.C. E XERCISE . Show that this suffices to prove Theorem 12.4.1. (Hint: Use
Exercise 12.4.A, and Theorem 12.2.9 that codimension is the difference of dimen-
sions for varieties, to show that each component of the fiber over a point of U has
dimension at least m − n. Show that any irreducible variety mapping finitely to
Am−n
κ has dimension at most m − n.)
So we now work to build ([Link]). We begin by noting that we have inclu-
sions of B into both A and K(B), and from both A and K(B) into K(A). The maps
from A and K(B) into K(A) both factor through A ⊗B K(B) (whose Spec is the
generic fiber of π), so the maps from both A and K(B) to A ⊗B K(B) must be inclu-
sions.
([Link]) gg3 K(A)
g g gg gggggsss9B
ggg s
ggggg sss
% ggggggggg sss
AO / A ⊗B K(B)
O
∴,→
1
∴,→
?
B / K(B)
Clearly K(A) ⊗B K(B) = K(A) (as A ⊗B K(B) can be interpreted as taking A
and inverting those nonzero elements of B), and A ⊗B K(B) is a finitely generated
algebra over the field K(B).
By Noether normalization 12.2.4, we can find elements t1 , . . . , tr ∈ A ⊗B
K(B), algebraically independent over K(B), such that A ⊗B K(B) is integral over
K(B)[t1 , . . . , tr ].
Now, we can think of the elements ti ∈ A ⊗B K(B) as fractions, with numera-
tors in A and (nonzero) denominators in B. If f is the product of the denominators
appearing for each ti , then by replacing B by Bf (replacing Spec B by its distin-
guished open subset D(f)), we may assume that the ti are all in A. Thus (after
sloppily renaming Bf as B, and Af as A) we can trim and extend ([Link]) to the
354 The Rising Sea: Foundations of Algebraic Geometry
following.
AO / A ⊗B K(B)
O
integral
? ?
B[t1 , . . . , tr ] / K(B)[t1 , . . . , tr ]
O O
? ?
B / K(B)
Now A is finitely generated over B, and hence over B[t1 , . . . , tr ], say by u1 , . . . , uq .
Noether normalization implies that each ui satisfies some monic equation fi (ui ) =
0, where fi ∈ K(B)[t1 , . . . , tr ][t]. The coefficients of fi are a priori fractions in B, but
by multiplying by all those denominators, we can assume each fi ∈ B[t1 , . . . , tr ][t],
but we have potentially lost monicity. Let b ∈ B be the product of the leading co-
efficients of all the fi . If U = D(b) (the locus where b is invertible), then over U,
the fi (can be taken to) have leading coefficient 1, so the ui (in Ab ) are integral
over Bb [t1 , . . . , tr ]. Thus Spec Ab → Spec Bb [t1 , . . . , tr ] is finite and surjective (the
latter by the Lying Over Theorem 8.2.5).
We have now constructed ([Link]), as desired. □
There are a couple of things worth pointing out about the proof. First, this
result is interesting for classical varieties over a field k. But the proof uses the
theory of varieties over another field, notably the function field K(B). This is an
example of how the introduction of generic points to algebraic geometry is useful
even for considering more “classical” questions.
Second, the idea of the main part of the argument is that we have a result over
the generic point (Spec A ⊗B K(B) is finite and surjective over affine space over
K(B)), and we want to “spread it out” to an open neighborhood of the generic
point of Spec B. We do this by realizing that “finitely many denominators” ap-
pear when correctly describing the problem, and inverting those functions. This
“spreading out” idea is a recurring theme.
12.4.D. E XERCISE ( USEFUL CRITERION FOR IRREDUCIBILITY ). Suppose π : X → Y
is a proper morphism to an irreducible variety, and all the fibers of π are nonempty,
and irreducible of the same dimension. Show that X is irreducible.
12.4.3. Theorem (upper semicontinuity of fiber dimension). — Suppose π : X → Y
is a morphism of finite type k-schemes.
(a) (upper semicontinuity on the source) The dimension of the fiber of π at p ∈ X (the di-
mension of the largest component of π−1 (π(p)) containing p) is an upper semicontinuous
function in p (i.e., on X).
(b) (upper semicontinuity on the target) If furthermore π is closed (e.g., if π is proper), then
the dimension of the fiber of π over q ∈ Y is an upper semicontinuous function in q (i.e.,
on Y).
You should be able to immediately construct a counterexample to part (b) if
the closedness hypothesis is dropped. (We also remark that Theorem 12.4.3(b) for
projective morphisms is done, in a simple way, in Exercise 18.1.B.)
April 1, 2023 draft 355
Proof. (a) Let Fn be the subset of X consisting of points where the fiber dimension
is at least n. We wish to show that Fn is a closed subset for all n. We argue by
induction on dim Y. The base case dim Y = 0 is trivial. So we fix Y, and assume the
result for all smaller-dimensional targets.
12.4.E. E XERCISE . Show that it suffices to prove the result when X and Y are
integral, and π is dominant.
Let r = dim X−dim Y be the “relative dimension” of π. If n ≤ r, then Fn = X by
Exercise 12.4.A (combined with Theorem 12.2.9, that codimension is the difference
of dimensions for varieties).
If n > r, then let U ⊂ Y be the dense open subset of Theorem 12.4.1, where
“the fiber dimension is exactly r”. Then Fn does not meet the preimage of U. By
replacing Y with Y \ U (and X by X \ π−1 (U)), we are done by the inductive hypoth-
esis.
12.4.F. E ASY EXERCISE . Prove (b) (using (a)).
□
12.4.4. Proposition (“generically finite implies generally finite”, cf. Exercise 10.3.G).
— Suppose π : X → Y is a generically finite morphism of irreducible k-varieties of dimen-
sion n. Then there is a dense open subset V ⊂ Y above which π is finite.
(If you wish, you can later relax the irreducibility hypothesis to simply requir-
ing X and Y to be simply of pure dimension n.)
Proof. As in the proof of Theorem 12.4.1, we may assume that Y is affine, and that π
is dominant. Suppose that X = ∪n i=1 Ui , where the Ui are affine open subschemes
of X. By Exercise 10.3.G, there are dense open subsets Vi ⊂ Y over which π|Ui is
finite. By replacing Y by an affine open subset of ∩Vi , we may assume that π|Ui is
finite.
12.4.G. E XERCISE . Show that π is closed. Hint: you will just use that π|Ui is closed,
and that there are a finite number of Ui .
Then X \ U1 is a closed subset, so π(X \ U1 ) is closed.
12.4.H. E XERCISE . Show that this closed subset is not all of Y.
Define V := Y \ π(X \ U1 ). Then π is finite above V: it is the restriction of the
finite morphism π|U1 : U1 → Y to the open subset V of the target Y. □
CHAPTER 13
Regularity and smoothness
One natural notion we expect to see for geometric spaces is the notion of when
an object is “smooth”. In algebraic geometry, this notion, called regularity, is easy
to define (Definition 13.2.1) but a bit subtle in practice. This will lead us to a differ-
ent related notion of when a variety is smooth (Definition 13.2.4).
This chapter has many moving parts, of which §13.1–13.6 are the important
ones. In §13.1, the Zariski tangent space is motivated and defined. In §13.2, we de-
fine regularity and smoothness over a field, the central topics of this chapter, and dis-
cuss some of their important properties. In §13.3, we give a number of important
examples, mostly in the form of exercises. In §13.4, we discuss Bertini’s Theorem,
a fundamental classical result. In §13.5, we give many characterizations of discrete
valuation rings, which play a central role in algebraic geometry. Having seen clues
that “smoothness” is a “relative” notion rather than an “absolute” one, in §13.6 we
define smooth morphisms (and in particular, étale morphisms), and give some of their
properties. (We will revisit this definition in §21.3.1, once we know more.)
The remaining sections are less central. In §13.7, we discuss the valuative cri-
teria for separatedness and properness. In §13.8, we mention some more sophisti-
cated facts about regular local rings (the local rings at regular points). In §13.9, we
prove the Artin-Rees Lemma, because it will have been invoked in §13.5 (and will
be used later as well).
13.1 The Zariski tangent space
We begin by defining the tangent space of a scheme at a point. It behaves like
the tangent space you know and love at “smooth” points, but also makes sense at
other points. In other words, geometric intuition at the “smooth” points guides
the definition, and then the definition guides the algebra at all points, which in
turn lets us refine our geometric intuition.
The definition is short but surprising. The main difficulty is convincing your-
self that it deserves to be called the tangent space. This is tricky to explain, because
we want to show that it agrees with our intuition, but our intuition is worse than
we realize. So you should just accept this definition for now, and later convince
yourself that it is reasonable.
13.1.1. Definition. The Zariski cotangent space of a local ring (A, m) is defined
to be m/m2 ; it is a vector space over the residue field A/m. The dual vector space
∨
is the Zariski tangent space. If X is a scheme, the Zariski cotangent space TX,p
at a point p ∈ X is defined to be the Zariski cotangent space of the local ring
OX,p , and similarly for the Zariski tangent space TX,p . (Note that for any maximal
357
358 The Rising Sea: Foundations of Algebraic Geometry
ideal m of any ring A, we have canonically m/m2 = mAm /m2 Am — make sure you
see why.) Elements of the Zariski cotangent space are called cotangent vectors or
differentials; elements of the tangent space are called tangent vectors.
The cotangent space is more algebraically natural than the tangent space, in
that the definition is shorter. There is a moral reason for this: the cotangent space
is more naturally determined in terms of functions on a space, and we are very
much thinking about schemes in terms of “functions on them”. This will come up
later.
Here are two plausibility arguments that this is a reasonable definition. Hope-
fully one will catch your fancy.
In differential geometry, the tangent space at a point is sometimes defined as
the vector space of derivations at that point. A derivation at a point p of a manifold
is an R-linear operation that takes in functions f near p (i.e., elements of Op ), and
outputs elements f ′ (p) of R, and satisfies the Leibniz rule
(fg) ′ = f ′ g + g ′ f.
(We will later define derivations in a more general setting, §21.2.17.) A derivation
is the same as a map m → R, where m is the maximal ideal of Op . (The map
Op → R extends this, via the map Op → m given by f − f(p).) But m2 maps to 0, as
if f(p) = g(p) = 0, then
(fg) ′ (p) = f ′ (p)g(p) + g ′ (p)f(p) = 0.
Thus a derivation induces a map m/m2 → R, i.e., an element of (m/m2 )∨ .
13.1.A. E XERCISE . Check that this is reversible, i.e., that any linear map m/m2 → R
gives a derivation. In other words, verify that the Leibniz rule holds.
Here is a second, vaguer, motivation that this definition is plausible for the
cotangent space of the origin of An . (I prefer this one, as it is more primitive and
elementary.) Functions on An should restrict to a linear function on the tangent
space. What (linear) function does x2 + xy + x + y restrict to “near the origin”?
You will naturally answer: x + y. Thus we “pick off the linear terms”. Hence m/m2
are the linear functionals on the tangent space, so m/m2 is the cotangent space. In
particular, you should picture functions vanishing at a point (i.e., lying in m) as
giving functions on the tangent space in this obvious way.
13.1.2. Old-fashioned example. Computing the Zariski tangent space is actually
quite hands-on, because you can compute it just as you did when you learned
multivariable calculus. In A3 , we have a curve cut out by x + y + z2 + xyz = 0
and x − 2y + z + x2 y2 z3 = 0. (You can use Krull’s Principal Ideal Theorem 12.3.3
to check that this is a curve, but it is not important to do so.) What is the tangent
line near the origin? (Is it even smooth there?) Answer: the first surface looks like
x + y = 0 and the second surface looks like x − 2y + z = 0. The curve has tangent
line cut out by x + y = 0 and x − 2y + z = 0. It is smooth (in the traditional sense).
In multivariable calculus, the students work hard to get the answer, because we
aren’t allowed to tell them to just pick out the linear terms.
Let’s make explicit the fact that we are using. If A is a ring, m is a maximal
ideal, and f ∈ m is a function vanishing at the point [m] ∈ Spec A, then the Zariski
tangent space of Spec A/(f) at m is cut out in the Zariski tangent space of Spec A
April 1, 2023 draft 359
(at m) by the single linear equation f (mod m2 ). The next exercise will force you
to think this through.
13.1.B. I MPORTANT E XERCISE (“K RULL’ S P RINCIPAL I DEAL T HEOREM FOR TAN -
GENT SPACES ” — BUT MUCH EASIER THAN K RULL’ S P RINCIPAL I DEAL T HEO -
REM 12.3.3!). Suppose A is a ring, and m a maximal ideal. If f ∈ m, show
that the Zariski tangent space of A/f is cut out in the Zariski tangent space of A
by f (mod m2 ). (Note: we can quotient by f and localize at m in either order, as
quotient and localization commute, ([Link]).) Hence the dimension of the Zariski
tangent space of Spec A/(f) at [m] is the dimension of the Zariski tangent space of
Spec A at [m], or one less. (That last sentence should be suitably interpreted if the
dimension is infinite, although it is less interesting in this case.)
Here is another example to see this principle in action, extending Example 13.1.2:
x + y + z2 = 0 and x + y + x2 + y4 + z5 = 0 cuts out a curve, which obviously
passes through the origin. If I asked my multivariable calculus students to calcu-
late the tangent line to the curve at the origin, they would do calculations which
would boil down (without them realizing it) to picking off the linear terms. They
would end up with the equations x + y = 0 and x + y = 0, which cut out a plane,
not a line. They would be disturbed, and I would explain that this is because the
curve isn’t smooth at a point, and their techniques don’t work. We on the other
hand bravely declare that the tangent space is cut out by x + y = 0, and (will soon)
use this pathology as definition of what makes a point singular (or non-regular).
(Intuitively, the curve near the origin is very close to lying in the plane x + y = 0.)
Notice: the cotangent space jumped up in dimension from what it was “supposed
to be”, not down. We will see that this is not a coincidence, in Theorem 12.3.12.
13.1.C. E XERCISE . Suppose Y and Z are closed subschemes of X, both containing
the point p ∈ X.
(a) Show that TZ,p is naturally a sub-κ(p)-vector space of TX,p .
(b) Show that TY∩Z,p = TY,p ∩ TZ,p . (On the left, ∩ means scheme-theoretic inter-
section. On the right, ∩ means intersection of subspaces of the vector space TX,p .)
(c) Show that TY∪Z,p contains the span of TY,p and TZ,p , where ∪ as usual in this
context is scheme-theoretic union.
(d) Show that TY∪Z,p can be strictly larger than the span of TY,p and TZ,p . (Hint:
Figure 4.5.)
Here is a pleasant consequence of the notion of Zariski tangent space.
13.1.3. Problem. Consider the ring A = k[x, y, z]/(xy − z2 ). Show that (x, z) is not
a principal ideal.
As dim A = 2 (why?), and A/(x, z) = ∼ k[y] has dimension 1, we see that this
ideal is codimension 1 (as codimension is the difference of dimensions for irre-
ducible varieties, Theorem 12.2.9). Our geometric picture is that Spec A is a cone
(we can diagonalize the quadric as xy − z2 = ((x + y)/2)2 − ((x − y)/2)2 − z2 , at
least if char k ̸= 2 — see Exercise 5.4.J), and that (x, z) is a line on the cone. (See
Figure 13.1 for a sketch.) This suggests that we look at the cone point.
13.1.4. Solution. Let m = (x, y, z) be the maximal ideal corresponding to the
origin. Then Spec A has Zariski tangent space of dimension 3 at the origin, and
360 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 13.1. V(x, z) ⊂ Spec k[x, y, z]/(xy − z2 ) is a line on a cone
Spec A/(x, z) has Zariski tangent space of dimension 1 at the origin. But Spec A/(f)
must have Zariski tangent space of dimension at least 2 at the origin by Exer-
cise 13.1.B. (As an added bonus, we have shown that A is not a Unique Factor-
ization Domain, by Lemma 12.1.7.))
13.1.5. ⋆ Remark. Another approach to solving the problem, not requiring the
definition of the Zariski tangent space, is to use the fact that the ring is graded
(where x, y, and z each have degree 1), and the ideal (x, z) is a homogeneous ideal.
(You may enjoy thinking this through.) The advantage of using the tangent space
is that it applies to more general situations where there is no grading. For example,
(a) (x, z) is not a principal ideal of k[x, y, z]/(xy − z2 − z3 ). As a different example,
(b) (x, z) is not a principal ideal of the local ring (k[x, y, z]/(xy − z2 ))(x,y,z) (the
“germ of the cone”). However, we remark that the graded case is still very useful.
The construction of replacing a filtered ring by its “associated graded” ring can
turn more general rings into graded rings (and can be used to turn example (a)
into the graded case). The construction of completion can turn local rings into
graded local rings (and can be used to turn example (b) into, essentially, the graded
case). Filtered rings will come up in §13.9, the associated graded construction will
implicitly come up in our discussions of the blow-up in §22.3, and many aspects
of completions will be described in Chapter 29.
13.1.D. E XERCISE . Show that (x, z) ⊂ k[w, x, y, z]/(wz − xy) is a codimension 1
ideal that is not principal, using the method of Solution 13.1.4. (See Figure 13.2
for the projectivization of this situation — a line on a smooth quadric surface.)
This example was promised just after Exercise 5.4.D. An improvement is given in
Exercise 15.4.T: this closed subset x = z = 0 is not even set-theoretically cut out by
one equation.
13.1.E. E XERCISE . Let A = k[w, x, y, z]/(wz−xy). Show that Spec A is not factorial.
(Exercise 5.4.L shows that A is not a unique factorization domain, but this is not
enough — why is the localization of A at the prime (w, x, y, z) not factorial? One
possibility is to do this “directly”, by trying to imitate the solution to Exercise 5.4.L,
but this is hard. Instead, use the intermediate result that in a unique factorization
domain, any codimension 1 prime is principal, Lemma 12.1.7, and considering
Exercise 13.1.D.) As A is integrally closed if char k ̸= 2 (Exercise 5.4.I(c)), this
yields an example of a scheme that is normal but not factorial, as promised in
Exercise 5.4.F. A slight generalization will be given in 22.4.N.
April 1, 2023 draft 361
F IGURE 13.2. The line V(x, z) on the smooth quadric surface
V(wz − xy) ⊂ P3 .
13.1.F. L ESS IMPORTANT EXERCISE (“ HIGHER - ORDER DATA”). (This exercise is
fun, but won’t be used.)
(a) In Exercise 3.7.B, you computed the equations cutting out the (union of the)
three coordinate axes of A3k . (Call this scheme X.) Your ideal should have had
three generators. Show that the ideal cannot be generated by fewer than three
elements. (Hint: working modulo m = (x, y, z) won’t give any useful information,
so work modulo a higher power of m.)
(b) Show that the coordinate axes in A3k are not a regular embedding in A3k . (This
was promised at the end of §9.5.)
13.1.6. Morphisms and tangent spaces. Suppose π : X → Y, and π(p) = q. Then
if we were in the category of differentiable manifolds, we would expect a tangent
map, from the tangent space of p to the tangent space at q. Indeed that is the
case; we have a map of stalks OY,q → OX,p , which sends the maximal ideal of
the former n to the maximal ideal of the latter m (we have checked that this is
a “local morphism” when we briefly discussed locally ringed spaces, see §7.3.1).
Thus n2 maps to m2 , from which we see that n/n2 maps to m/m2 . If (OX,p , m)
and (OY,q , n) have the same residue field κ, so n/n2 → m/m2 is a linear map of
κ-vector spaces, we have a natural map (m/m2 )∨ → (n/n2 )∨ . This is the map
from the tangent space of p to the tangent space at q that we sought. (Aside: note
that the cotangent map always exists, without requiring p and q to have the same
residue field — a sign that cotangent spaces are more natural than tangent spaces
in algebraic geometry.)
13.1.G. E XERCISE . Suppose X is a k-scheme. Describe a natural bijection from
Mork (Spec k[ϵ]/(ϵ2 ), X) to the data of a point p with residue field k (necessarily a
closed point) and a tangent vector at p. (This is important, for example in defor-
mation theory. We won’t use it, so you can treat it as a curiousity.)
13.1.H. E XERCISE ( FUN ARITHMETIC PRACTICE ). Find the dimension of the
∼ Z[x]/(x2 + 4). Find the di-
Zariski tangent space at the point [(2, 2i)] of Z[2i] = √
∼ Z[x]/(x2 + 2).
mension of the Zariski tangent space at the point [(2, x)] of Z[ −2] =
(If you prefer geometric versions of the same examples, replace Z by C, and 2 by
y: consider C[x, y]/(x2 + y2 ) and C[x, y]/(x2 + y).)
362 The Rising Sea: Foundations of Algebraic Geometry
13.1.7. Important interpretation in the finite type case: The Jacobian corank.
13.1.I. I MPORTANT E XERCISE ( THE J ACOBIAN COMPUTES THE Z ARISKI COTAN -
GENT SPACE ). Suppose X is a finite type k-scheme. Then locally it is of the
form Spec k[x1 , . . . , xn ]/(f1 , . . . , fr ). Show that the Zariski cotangent space at a k-
valued point (a closed point with residue field k) is given by the cokernel of the
Jacobian map kr → kn given by the Jacobian matrix
···
∂f1
∂x1 (p)
∂fr
∂x1 (p)
. .. ..
([Link]) J= .. . . .
∂xn (p) · · ·
∂f1 ∂fr
∂xn (p)
(This makes precise our example of a curve in A3 cut out by a couple of equations,
where we picked off the linear terms, see Example 13.1.2.) You might be alarmed:
∂f
what does ∂x 1
mean? Do you need deltas and epsilons? No! Just define derivatives
formally, e.g.,
∂
(x2 + x1 x2 + x22 ) = 2x1 + x2 .
∂x1 1
Hint: Do this first when p is the origin, and consider linear terms, just as in Exam-
ple 13.1.2 and Exercise 13.1.B. For the general case, “translate p to the origin”.
13.1.8. Remark. This result can be extended to closed points of X whose residue
field is separable over k (and in particular, to all closed points if char k = 0 or if k is
finite), see Remark 21.3.9. The fact that we wait until Chapter 21 to show this does
not mean that it needs to be so complicated; a more elementary proof is possible.
13.1.9. Warning. It is more common in mathematics (but not universal) to define
the Jacobian matrix as the transpose of this.
13.1.J. E XERCISE ( THE CORANK OF THE J ACOBIAN IS INDEPENDENT OF THE PRE -
SENTATION ). Suppose A is a finitely generated k-algebra, generated by x1 , . . . , xn ,
with ideal of relations I generated by f1 , . . . , fr . Let p be a point of Spec A.
(a) Suppose g ∈ I. Show that appending the column of partials of g to the Jacobian
matrix ([Link]) does not change the corank (the dimension of the cokernel) at p.
Hence show that the corank of the Jacobian matrix at p does not depend on the
choice of generators of I.
(b) Suppose q(x1 , . . . , xn ) ∈ k[x1 , . . . , xn ]. Let h be the polynomial y−q(x1 , . . . , xn ) ∈
k[x1 , . . . , xn , y]. Show that the Jacobian matrix of (f1 , . . . , fr , h) with respect to
the variables (x1 , . . . , xn , y) has the same corank at p as the Jacobian matrix of
(f1 , . . . , fr ) with respect to (x1 , . . . , xn ). Hence show that the corank of the Jaco-
bian matrix at p is independent of the choice of generators for A.
Thus every finite-type k-scheme X comes with an intrinsic “Jacobian corank
function” from (the underling set of) X to Z≥0 , whose value at k-valued points p
of X is the dimk TX,p . We temporarily call this function JC : X → Z≥0 , although
we will later discover that it is really the rank of the coherent sheaf of differentials
ΩX/k (Exercise 21.2.E).
13.1.K. E ASY E XERCISE . Show that JC is an uppersemicontinuous function.
April 1, 2023 draft 363
13.1.L. E XERCISE . Show that JC is preserved by field extension of k. More pre-
cisely, if X is a finite-type k-scheme, and ℓ/k is a field extension, and under the
base change map X ×k ℓ → X, p 7→ q, show that JC(p) = JC(q).
13.1.M. E XERCISE . Prove that for any p ∈ X, JC(p) ≥ dimX p. (Necessarily X is
finite type over k, but p need not be a closed point of X.) The dimension of X at p,
dimX p, was defined in Exercise 12.2.K. Hint: Deal first with the case k = k. Here
use the closed points as leverage. Then prove the result for general k by showing
that both sides of the inequality are preserved by field extension (Exercises 13.1.L
and 12.2.M).
13.1.N. E XERCISE ( COMPUTING THE J ACOBIAN CORANK FUNCTION FOR PROJEC -
TIVE k- SCHEMES ). Suppose X ⊂ Pn k is cut out by homogeneous polynomials
fi ∈ k[x0 , . . . , xn ] (1 ≤ i ≤ r). Show that the Jacobian corank function of X is one
less than the corank of the “projective Jacobian matrix”:
∂f1
∂x0 (p) · · ·
∂fr
∂x0 (p)
.. .. ..
([Link]) JC(p) = corank . . . − 1.
∂xn (p) · · ·
∂f1 ∂fr
∂xn (p)
You will have to make sense of the right side, as the projective Jacobian matrix has
entries which are not functions; what does the corank even mean?
13.2 Regularity, and smoothness over a field
The key idea in the definition of regularity is contained in Theorem 12.3.12
(the dimension of the Zariski tangent space is at least the dimension of the local
ring).
13.2.1. Definition. If equality holds in Theorem 12.3.12, we say that A is a regular
local ring. In particular, regular local rings are Noetherian by definition. (If a Noe-
therian ring A is regular at all of its prime ideals, i.e., if Ap is a regular local ring
for all prime ideals p of A, then A is said to be a regular ring. We basically won’t
use this terminology. Fact 13.8.2 reassuringly implies that regular local rings are
indeed regular rings.) A locally Noetherian scheme X is regular at a point p if the
local ring OX,p is regular. (The word nonsingular is often used as well, notably in
the case when X is finite type over a field, but for the sake of consistency we will
use “regular” throughout.) It is singular at the point otherwise, and we say that
the point is a singularity. (The word nonregular is also used, but for the sake of
consistency, we will use “singular”, despite the fact that this choice is inconsistent
with our choice of “regular” over “nonsingular”. A possible motivation for the in-
consistency: “regular local ring” and “singularity” are both standard terminology,
so at some point we are forced to make a choice.) A scheme is regular (or nonsin-
gular) if it is regular at all points. It is singular otherwise (i.e., if it is singular at at
least one point — if it has a singularity).
13.2.A. E XERCISE . Show that a dimension 0 Noetherian local ring is regular if and
only if it is a field.
364 The Rising Sea: Foundations of Algebraic Geometry
You will hopefully gradually become convinced that this is the right notion of
“smoothness” of schemes. Remarkably, Krull introduced the notion of a regular
local ring for purely algebraic reasons, some time before Zariski realized that it
was a fundamental notion in geometry in 1947.
13.2.B. E XERCISE . Suppose p is a regular closed point of X, so (OX,p , m) is a
regular local ring, of dimension n > 0, say. Suppose f ∈ OX,p . Show that OX,p /(f)
is a regular local ring of dimension n − 1 if and only if f ∈ m \ m2 . (Hint: Krull’s
Principal Ideal Theorem for tangent spaces, Exercise 13.1.B.)
13.2.C. E XERCISE ( THE SLICING CRITERION FOR REGULARITY ). Suppose X is a
Noetherian scheme (such as a variety), D is an effective Cartier divisor on X (Def-
inition 9.5.1), and p ∈ D. Show that if p is a regular point of D then p is a reg-
ular point of X. (Hint: Krull’s Principal Ideal Theorem for tangent spaces, Exer-
cise 13.1.B.)
13.2.D. E ASY E XERCISE ( PRACTICE WITH THE CONCEPT ). Suppose (A, m) is a
regular local ring of dimension d, and f1 , . . . , fd ∈ m are such that their images in
the vector space m/m2 form a basis. Show that they are a system of parameters
(Definition 12.3.11) for (A, m). (They are “particularly good” parameters.)
13.2.2. The Jacobian criterion.
A finite type k-scheme is locally of the form Spec k[x1 , . . . , xn ]/(f1 , . . . , fr ).
The Jacobian criterion for regularity (Exercise 13.2.E) gives a hands-on method for
checking for singularity at closed points, using the equations f1 , . . . , fr , if k = k.
13.2.E. I MPORTANT E XERCISE ( THE J ACOBIAN CRITERION — EASY, GIVEN E XER -
CISE 13.1.I). Suppose X = Spec k[x1 , . . . , xn ]/(f1 , . . . , fr ) has pure dimension d.
Show that a k-valued point p ∈ X is regular if and only if the Jacobian corank
function at p is d.
13.2.F. E ASY E XERCISE . Suppose k = k. Show that the singular closed points of the
hypersurface f(x1 , . . . , xn ) = 0 in An
k are given by the equations
∂f ∂f
f= = ··· = = 0.
∂x1 ∂xn
(Translation: the singular points of f = 0 are where the gradient of f vanishes. This
is not shocking.)
13.2.3. Smoothness over a field.
There seem to be two serious drawbacks with the Jacobian criterion. For finite
type schemes over k, the criterion gives a necessary condition for regularity, but
it is not obviously sufficient, as we need to check regularity at non-closed points
as well. We can prove sufficiency by working hard to show Fact 13.8.2, which im-
plies that the non-closed points must be regular as well. A second failing is that
the criterion requires k to be algebraically closed. These problems suggest that
old-fashioned ideas of using derivatives and Jacobians are ill-suited to the fancy
modern notion of regularity. But that is wrong — the fault is with the concept of
regularity. There is a better notion of smoothness over a field. Better yet, this idea
generalizes to the notion of a smooth morphism of schemes (to be discussed in
April 1, 2023 draft 365
§13.6, and again in Chapter 25), which behaves well in all possible ways (includ-
ing in the sense of §8.1). This is another sign that some properties we think of as
of objects (“absolute notions”) should really be thought of as properties of mor-
phisms (“relative notions”). We know enough to imperfectly (but correctly) define
what it means for a scheme to be k-smooth, or smooth over k.
13.2.4. Definition. A k-scheme is k-smooth of dimension d, or smooth of dimen-
sion d over k, if it is of pure dimension d, and there exists a cover by affine open
sets Spec k[x1 , . . . , xn ]/(f1 , . . . , fr ) where the Jacobian matrix has corank d at all
points (not just closed points). (In particular, smooth schemes are implicitly locally
of finite type.) A k-scheme is smooth over k if it is smooth of some dimension.
The k is often omitted when it is clear from context. By the theory of the Jacobian
corank function developed in §13.1.7, for any pure dimension d variety, this can
be checked on any affine open cover.
13.2.G. E XERCISE ( FIRST EXAMPLES ).
(a) Show that Ank is smooth for any n and k. For which characteristics is the curve
y2 z = x3 − xz2 in P2k smooth (cf. Exercise 13.3.C)?
(b) Suppose f ∈ k[x1 , . . . , xn ] is a polynomial such that the system of equations
∂f ∂f
f= = ··· = =0
∂x1 ∂xn
has no solutions in k. Show that the hypersurface f = 0 in An
k is smooth. (Compare
this to Exercise 13.2.F, which has the additional hypothesis k = k.)
13.2.H. E XERCISE ( SMOOTHNESS OF VARIETIES IS “ INDEPENDENT OF EXTENSION
OF BASE FIELD ”). Suppose X is a locally finite type k-scheme, and k ⊂ ℓ is a field
extension. Show that X is smooth over k if and only if X ×Spec k Spec ℓ is smooth
over ℓ.
The next exercise shows that we need only check closed points, thereby mak-
ing a connection to classical geometry.
13.2.I. E XERCISE . Show that if the Jacobian matrix for X = Spec k[x1 , . . . , xn ]/(f1 , . . . fr )
has corank d at all closed points, then it has corank d at all points. (Hint: the locus
where the Jacobian matrix has corank d can be described in terms of vanishing and
nonvanishing of determinants of certain explicit matrices.)
13.2.5. In defense of regularity. Having made a spirited case for smoothness, we
should be clear that regularity is still very useful. For example, it is the only con-
cept which makes sense in mixed characteristic. In particular, Z is regular at its
points (it is a regular ring), and more generally, discrete valuation rings are incred-
ibly useful examples of regular rings.
13.2.6. Regularity vs. smoothness.
13.2.J. E XERCISE . Suppose X is a locally finite type scheme of pure dimension
d over an algebraically closed field k = k. Show that X is regular at its closed
points if and only if it is smooth. (We will soon learn that for locally finite type
k-schemes, regularity at closed points is the same as regularity everywhere, Theo-
rem 13.8.3.) Hint to show regularity implies smoothness: use the Jacobian criterion
366 The Rising Sea: Foundations of Algebraic Geometry
to show that the corank of the Jacobian is d at the closed points of X. Then use Ex-
ercise 13.2.I.
More generally, if k is perfect (e.g., if char k = 0 or k is a finite field), then
smoothness is the same as regularity at closed points (see Exercise 21.3.C). More
generally still, we will later prove the following fact. We mention it now because
it will make a number of statements cleaner long before we finally prove it. (There
will be no circularity.)
13.2.7. Smoothness-Regularity Comparison Theorem. —
(a) If k is perfect, every regular finite type k-scheme is smooth over k.
(b) Every smooth k-scheme is regular (with no hypotheses on perfection).
Part (a) will be proved in Exercise 21.3.C. Part (b) will be proved in §25.2.3.
The fact that Theorem 13.2.7 will be proved so far in the future does not mean
that we truly need to wait that long. We could prove both parts by the end of this
chapter, with some work. We instead postpone the proof until we have machinery
that will do much of the work for us. But if you wish some insight right away, here
is the outline of the argument for (b), which you can even try to implement after
reading this chapter. We will soon show (in Exercise 13.3.P) that Ank is regular for
all fields k. Once we know the definition of étale morphism, we will realize that
every smooth variety locally admits an étale morphism to An k (Observation 13.6.4).
You can then show that if π : X → Y is an étale morphism of locally Noetherian
schemes, and p ∈ X, then p is regular if π(p) is regular. This will be shown in
Exercise 25.2.D, but you could reasonably do this after reading the definition of
étaleness.
13.2.8. Caution: Regularity does not imply smoothness. If k is not perfect, then regular-
ity does not imply smoothness, as demonstrated by the following example. Let k =
Fp (u), and consider the hypersurface X = Spec k[x]/(xp − u). Now k[x]/(xp − u)
df
is a field, hence regular. But if f(x) = xp − u, then f(u1/p ) = dx (u1/p ) = 0, so
the Jacobian criterion fails — X is not smooth over k. (Never forget that smooth-
ness requires a choice of field — it is a “relative” notion, and we will later define
smoothness over an arbitrary scheme, in §13.6.)
13.2.9. In case the previous example is too “small” to be enlightening (because
the scheme in question is smooth over a different field, namely k[x]/(xp − u)),
here is another. Let k = Fp (u) as before, with p > 2, and consider the curve
Spec k[x, y]/(y2 − xp + u). Then the closed point (y, xp − u) is regular but not
smooth.
Thus you should not use “regular” and “smooth” interchangeably.
13.2.10. Regular local rings are integral domains.
You might expect from geometric intuition that a scheme is “locally irreducible”
at a “smooth” point. Put algebraically:
13.2.11. Theorem. — Suppose (A, m, k) is a regular local ring of dimension n. Then A
is an integral domain.
Before proving it (in §13.2.13), we give some consequences.
April 1, 2023 draft 367
13.2.K. E XERCISE . Suppose p is a regular point of a locally Noetherian scheme X.
Show that only one irreducible component of X passes through p.
13.2.L. E ASY E XERCISE . Show that a nonempty regular Noetherian scheme is
irreducible if and only if it is connected.
13.2.M. I MPORTANT E XERCISE ( REGULAR SCHEMES IN REGULAR SCHEMES ARE
REGULAR EMBEDDINGS ).
(a) Suppose (A, m, k) is a regular local ring of dimension n, and I ⊂ A is an ideal of
A cutting out a regular local ring of dimension d. Let r = n−d. Show that Spec A/I
is a regular embedding in Spec A. Hint: show that there are elements f1 , . . . , fr of
I giving a basis of the k-vector space I/(I ∩ m2 ). Show that the quotient of A by
both (f1 , . . . , fr ) and I yields dimension d regular local rings. By Exercise 12.1.D, a
surjection of integral domains of the same dimension must be an isomorphism.
(b) Suppose π : X → Y is a closed embedding of regular schemes. Show that π is a
regular embedding.
Exercise 13.2.M has the following striking geometric consequence.
13.2.N. E XERCISE ( GENERALIZING E XERCISE 12.3.E).
(a) Suppose W is a smooth variety of (pure) dimension d over an algebraically
closed field k, and X and Y are equidimensional subvarieties (possibly singular) of
W codimension m and n respectively. Show that every component of X ∩ Y has
codimension at most m + n in W as follows. Show that the diagonal W = ∼ ∆ ⊂
W ×k W is a regular embedding of codimension d. Then follow the rest of the hint
to Exercise 12.3.E. (Why is there a hypothesis of smoothness rather than regularity
on W?)
(b) Remove the requirement that k be algebraically closed from part (a).
13.2.12. Remark. The following example shows that the smoothness hypotheses in
Exercise 13.2.N cannot be (completely) dropped. Let W = Spec k[w, x, y, z]/(wz −
xy) be the cone over the smooth quadric surface, which is an integral threefold.
Let X be the surface w = x = 0 and Y the surface y = z = 0; both lie in W. Then
X ∩ Y is just the origin, so we have two codimension 1 subvarieties meeting in a
codimension 3 subvariety. (It is no coincidence that X and Y are the affine cones
over two lines in the same ruling, see Exercise 9.3.L. This example will arise again
in Exercise 22.4.N.)
13.2.13. Proof of Theorem 13.2.11 (following [Liu, Prop. 2.11]). We prove the result by
induction on n. The case n = 0 is clear (dimension 0 regular local rings are fields,
Exercise 13.2.A). So assume n > 0, and that the result holds for smaller dimension.
Suppose p is prime, and dim A/p = n. We wish to show that p = (0). Now
A/p is a Noetherian local ring of dimension n, and its Zariski cotangent space
is a quotient of that of A cut out by the “equations of p” (Exercise 13.1.B). But
dim m/m2 = n, so p ⊂ m2 . Hence A/p is a regular local ring of dimension n.
Choose any f ∈ m \ m2 (so f ∈ / p). By Exercise 12.3.H (applied to both A/(f)
and A/(p, f)), dim A/(f) ≥ n − 1, and dim A/(f, p) ≥ n − 1, but both rings have
Zariski tangent spance of dimension n − 1, so both are regular local ring rings of
dimension n − 1, and by the inductive hypothesis are both integral domains. The
only way one integral domain can be the quotient of another integral domain of
368 The Rising Sea: Foundations of Algebraic Geometry
the same dimension is if the quotient is an isomorphism (Exercise 12.1.D). Thus
(p, f) = (f), from which p ⊂ (f), from which p ⊂ fp, from which p = fp. Then by
Nakayama’s Lemma 8.2.9, p = (0) as desired. □
13.2.14. ⋆⋆ Checking regularity of k-schemes at closed points by base changing
to k.
(We revisit these ideas using a different approach in 21.3.E, so you should read
this only if you are particularly curious.) The Jacobian criterion is a great criterion
for checking regularity of finite type k-schemes at k-valued points. The following
result extends its applicability to more general closed points.
Suppose X is a finite type k-scheme of pure dimension n, and p ∈ X is a closed
point with residue field k ′ . By the Nullstellensatz 3.2.6, k ′ /k is a finite extension
of fields; suppose that it is separable. Define π : Xk := X ×k k → X by base change
from Spec k → Spec k.
13.2.O. E XERCISE .
(a) Suppose f(x) ∈ k[x] is a separable polynomial (i.e., f has distinct roots in k),
and irreducible, so k ′′ := k[x]/(f(x)) is a field extension of k. Show that k ′′ ⊗k k is,
as a ring, k × · · · × k, where there are deg f = deg k ′′ /k factors.
(b) Show that π−1 (p) consists of deg(k ′ /k) reduced points.
13.2.P. E XERCISE . Suppose p is a closed point of X, with residue field k ′ that is
separable over k of degree d. Show that Xk is regular at all the preimages p1 , . . . ,
pd of p if and only if X is regular at p as follows.
(a) Reduce to the case X = Spec A.
(b) Let m ⊂ A be the maximal ideal corresponding to p. By tensoring the exact
sequence
0 /m /A / k′ /0
with k (field extensions preserve exactness of sequences of vector spaces), we have
the exact sequence
0 / m ⊗k k / A ⊗k k / k ′ ⊗k k / 0.
Show that m ⊗k k ⊂ A ⊗k k is the ideal corresponding to the pullback of p to
Spec A ⊗k k. Verify that (m ⊗k k)2 = m2 ⊗k k.
(c) By tensoring the short exact sequence of k-vector spaces
0 / m2 /m / m/m2 /0
with k, show that
∑
d
dimk TXk ,pi = d dimk ′ TX,p .
i=1
(d) Use Exercise 12.1.H(a) and the inequalities dimk TXk ,pi ≥ dim Xk and dimk ′ TX,p ≥
dim X (Theorem 12.3.12) to conclude.
13.2.15. Remark. In fact, regularity at a single pi is enough to conclude regularity
at p. You can show this by following up on Exercise 13.2.P; first deal with the
case when k ′ /k is Galois, and obtain some transitive group action of Gal(k ′ /k) on
{p1 , . . . , pd }. Another approach is given in Exercise 21.3.E.
April 1, 2023 draft 369
13.3 Examples
We now explore regularity and smoothness in practice through a series of ex-
amples and exercises.
13.3.1. Geometric examples.
13.3.A. E ASY E XERCISE . Suppose k is a field. Show that A1k and Ak2 are regular, by
directly checking the regularity of all points. Show that P1k and Pk2 are regular.
The generalization to arbitrary dimension is harder, so we leave it to Exer-
k and Pk are smooth.
cise 13.3.P. By contrast, it is basically immediate that An n
13.3.B. E XERCISE ( THE J ACOBIAN TEST FOR PROJECTIVE HYPERSURFACES ).
(a) Show that the non-smooth points of the hypersurface f = 0 in Pn k correspond
to the locus
∂f ∂f
f= = ··· = = 0.
∂x0 ∂xn
If the degree of the hypersurface is not divisible by char k (e.g., if char k = 0), show
∑
∂f
that it suffices to check ∂x 0
= · · · = ∂x
∂f
n
= 0. Hint: show that (deg f)f = i xi ∂x ∂f
i
.
(b) If furthermore k = k, show that the singular closed points are given by the same
locus. (In fact, this gives all the singular points, not just the singular closed points,
cf. §13.2.3. We won’t use this, so we won’t prove it.)
13.3.C. E XERCISE . Suppose char k ̸= 2. Show that y2 z = x3 − xz2 in P2k is an
irreducible smooth curve. (Eisenstein’s Criterion gives one way of showing irre-
ducibility. Warning: we didn’t specify char k ̸= 3, so be careful when using the
Jacobian criterion.)
13.3.D. E XERCISE . Suppose char k ̸= 2. Show that a quadric hypersurface in Pn is
smooth if and only if it is maximal rank (defined in Exercise 5.4.J).
13.3.E. E XERCISE . Suppose k = k has characteristic 0. Show that there exists a
regular (projective) plane curve of degree d. Hint: try a “Fermat curve” xd + yd +
zd = 0. (Feel free to weaken the hypotheses. Bertini’s Theorem 13.4.2 will give
another means of showing existence.)
13.3.F. E XERCISE ( SEE F IGURE 13.3). Assume k = k and char k = 0 to avoid
distractions. Find the singular closed points (which will be the non-smooth points)
of the following plane curves.
(a) y2 = x2 + x3 . This is an example of a node.
(b) y2 = x3 . This is called a cusp; we met it earlier in Exercise 10.7.F.
(c) y2 = x4 . This is called a tacnode; we met it earlier in Exercise 10.7.G.
13.3.2. Remark. There are different possible definitions of node, cusp, and tacnode.
One reasonable definition in the case k = k is the following. Suppose C is pure
dimension 1, and p ∈ C is a closed point. Let (A, m) be the local ring OC,p , so
A/m = k. We say p is a node of C if dimk m/m2 = 2, the map
Sym2 (m/m2 ) / m2 /m3
370 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 13.3. Plane curve singularities
is rank one, and the kernel is not spanned by the square of an element in m/m2 .
We won’t need this definition, so you needn’t memorize it. But can you figure out
why it is reasonable? Can you make a reasonable guess for a definition of a cusp?
Another definition of node, cusp, etc. will be given in Definition 29.3.1.
13.3.G. E XERCISE . Show that the twisted cubic Proj k[w, x, y, z]/(wz − xy, wy −
x2 , xz − y2 ) is smooth. (You could do this using the fact that it is isomorphic to P1 .
But do this with the explicit equations, for the sake of practice. The twisted cubic
was defined in Exercise 9.3.A.)
13.3.3. Tangent planes and tangent lines.
Suppose a scheme X ⊂ An is cut out by equations f1 , . . . , fr , and X is smooth
of (pure) dimension d at the k-valued point a = (a1 , . . . , an ). Then the tangent
d-plane to X at a (sometimes denoted Ta X) is given by the r equations
( ) ( )
∂fi ∂fi
(a) (x1 − a1 ) + · · · + (a) (xn − an ) = 0,
∂x1 ∂xn
∂fi ∂fi
where (as in ([Link])) ∂x1 (a) is the evaluation of ∂x1 at a = (a1 , . . . , an ).
13.3.H. E XERCISE . Why is this independent of the choice of defining equations f1 ,
. . . , fr of X?
The Jacobian criterion (Exercise 13.2.E) ensures that these r equations indeed
cut out a d-plane. (If d = 1, this is called the tangent line.) This can be readily
shown to be notion of tangent plane that we see in multivariable calculus, but
note that here this is the definition, and thus don’t have to worry about δ’s and ϵ’s.
Instead we will have to just be careful that it behaves the way we want it to.
13.3.I. E XERCISE . Compute the tangent line to the curve of Exercise 13.3.F(b) at
(1, 1).
13.3.J. E XERCISE . Compute the (projective) tangent line to the twisted cubic curve
of Exercise 13.3.G at [1, 1, 1, 1].
13.3.K. E XERCISE . Suppose X ⊂ Pn k (k as usual a field) is cut out by homogeneous
equations f1 , . . . , fr , and p ∈ X is a k-valued point that is smooth of (pure) dimen-
sion d. Define the (projective) tangent d-plane to X at p. (Definition 9.3.3 gives the
definition of a d-plane in Pn k , but you shouldn’t need to refer there.)
13.3.4. Side Remark to help you think cleanly. We would want the definition of
tangent k-plane to be natural in the sense that for any automorphism σ of An
k (or,
April 1, 2023 draft 371
in the case of the previous Exercise, Pn
k ), σ(Tp X) = Tσ(p) σ(X). You could verify this
by hand, but you can also say this in a cleaner way, by interpreting the equations
cutting out the tangent space in a coordinate free manner. Informally speaking, we
are using the canonical identification of n-space with the tangent space to n-space
at p, and using the fact that the Jacobian “linear transformation” cuts out Tp X in
Tp An in a way independent of choice of coordinates on An or defining equations
of X. Your solution to Exercise 13.3.H will help you start to think in this way.
13.3.L. E XERCISE . Suppose X ⊂ Pn k is a degree d hypersurface cut out by f = 0,
and L is a line not contained in X. Exercise 9.3.D (a case of Bézout’s Theorem)
showed that X and L meet at d points, counted “with multiplicity”. Suppose L
meets X “with multiplicity at least 2” at a k-valued point p ∈ L ∩ X, and that p is
a regular point of X. Show that L is contained in the tangent plane to X at p. (Do
you have a picture of this in your mind?)
13.3.5. Arithmetic examples.
13.3.M. E ASY E XERCISE . Show that Spec Z is a regular curve.
13.3.N. E XERCISE . (This tricky exercise is for those who know about the primes of
the Gaussian integers Z[i].) There are several ways of showing that Z[i] is dimen-
sion 1. (For example: (i) it is a principal ideal domain; (ii) it is the normalization of
Z in the field extension Q(i)/Q; (iii) using Krull’s Principal Ideal Theorem 12.3.3
and the fact that dim Z[x] = 2 by Exercise 12.1.I.) Show that Spec Z[i] is a regu-
lar curve. (There are several ways to proceed. You could use Exercise 13.1.B. As
an example to work through first, consider the prime (1 + i), which is cut out by
the equation 1 + x in Spec Z[x]/(x2 + 1).) We will later (§13.5.11) have a simpler
approach once we discuss discrete valuation rings.
13.3.O. E XERCISE . Show that [(5, 5i)] is the unique singular point of Spec Z[5i].
∼ Z[5i]5 . Use the previous exercise.)
(Hint: Z[i]5 =
13.3.6. Back to geometry: An
k is regular.
The key step to showing that Ank is regular (where k is a field) is the following.
13.3.7. Proposition. — Suppose (B, n, k) is a regular local ring of dimension d. Let
ϕ : B → B[x]. Suppose p is a prime ideal of A := B[x] such that nB[x] ⊂ p. Then Ap is a
regular local ring.
Proof. Geometrically: we have a morphism π : X = Spec B[x] → Y = Spec B, and
π([p]) = [n]. The fiber π−1 ([n]) is Spec(B[x]/nB[x]) = Spec k[x]. Thus either (i) [p] is
the fiber A1k above [n], or (ii) [p] is a closed point of the fiber A1k . (See Figure 13.4.)
Before considering these two cases, we make two remarks. As (B, n) is a reg-
ular local ring of dimension d, n is generated by d elements of B, say f1 , . . . , fd
(Exercise 13.2.D), and there is a chain of prime ideals
([Link]) 0 = q0 ⊂ q1 ⊂ · · · ⊂ qd = n.
Case (i): [p] is the fiber A1k . In this case, p = nB[x]. Thus by Krull’s Height
Theorem 12.3.10, the codimension of p = nB[x] is at most d, because p is generated
by the d elements f1 , . . . , fd . But p has codimension at least d: given the chain
([Link]) ending with n, we have a corresponding chain of prime ideals of B[x]
372 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 13.4. The geometry behind the proof of Proposition 13.3.7
ending with nB[x]. Hence the codimension of p is precisely d, and pAp is generated
by f1 , . . . , fd , implying that it is a regular local ring.
Case (ii): [p] is a closed point of the fiber A1k . The closed point p of k[x] corresponds
to some monic irreducible polynomial g(x) ∈ k[x]. Arbitrarily lift the coefficients
of g to B; we sloppily denote the resulting polynomial in B[x] by g(x) as well. Then
p = (f1 , . . . , fd , g), so by Krull’s Height Theorem 12.3.10, the codimension of p is
at most d + 1. But p has codimension at least d + 1: given the chain ([Link])
ending with n, we have a corresponding chain in B[x] ending with nB[x], and we
can extend it by appending p. Hence the codimension of p is precisely d + 1, and
pAp is generated by f1 , . . . , fd , g, implying that it is a regular local ring. □
13.3.P. E XERCISE . Use Proposition 13.3.7 to show that if X is a regular (locally
Noetherian) scheme, then so is X × A1 . In particular, show that An k is regular.
(Hint: think about fibers.)
13.4 Bertini’s Theorem
We now discuss Bertini’s Theorem, a fundamental classical result.
13.4.1. Definition: dual projective space. The dual (or dual projective space) to Pn k
(with projective coordinates x0 , . . . , xn ), is informally the space of hyperplanes
in Pnk . Somewhat more precisely, it is a projective space Pk with projective coor-
n
dinates a0 , . . . , an (which we denote Pk in the futile hope of preventing con-
n∨
fusion), along with the data of the “incidence variety” or “incidence correspon-
dence” I ⊂ Pn × Pn∨ cut out by the equation a0 x0 + · · · + an xn = 0. Note that
the k-valued points of Pn∨ indeed correspond to hyperplanes in Pn defined over
k, and this is also clearly a duality relation (there is a symmetry in the definition
between the x-variables and the a-variables). This definition is concrete enough
to use in practice, and extends over an arbitrary base (notably Spec Z). (But if you
have a delicate and refined sensibility, you may want to come up with a coordinate-
free definition.)
13.4.2. Bertini’s Theorem. — Suppose X is a smooth subvariety of Pnk of (pure) dimen-
sion d. Then there is a nonempty (=dense) open subset U of dual projective space Pn∨
k
April 1, 2023 draft 373
such that for every point p = [H] ∈ U, H doesn’t contain any component of X, and the
scheme H ∩ X is smooth over κ(p) of (pure) dimension d − 1.
(You should perhaps think first of the case where κ(p) = k, i.e., H is a hyper-
plane cut out by a linear form with coefficients in k.) Any theorem of this flavor
is often called a “Bertini Theorem”. One example is the Kleiman-Bertini Theo-
rem 25.3.7, which was not proved jointly by Kleiman and Bertini.
As an application of Bertini’s Theorem 13.4.2, a general degree d > 0 hyper-
surface in Pnk intersects X in a smooth subvariety of codimension 1 in X: replace
X ,→ Pn with the composition
X / Pn νd
/ PN
where νd is the dth Veronese embedding (9.3.8). Here “general” has its usual
meaning in algebraic geometry, see §10.3.7. A useful consequence of this, taking
X = Pn : we immediately see that there exists a smooth degree d hypersurface in
Pn (over any infinite field k), without any messing around with specific equations
(as in the special case Exercise 13.3.E).
Exercise 25.3.D gives a useful improvement of Bertini’s Theorem in character-
istic 0 (see Exercise 25.3.E).
Proof. The central idea of the proof is quite naive. We will describe the hyperplanes
that are “bad”, and show that they form a closed subset of dimension at most n − 1
∨
of Pn
k , and hence that the complement is a dense open subset. Somewhat more
∨
precisely, we will define a projective variety Z ⊂ X × Pn k that can informally be
described as:
([Link]) Z = {(p ∈ X, H ⊂ Pn
k ) : p ∈ H,
and either p is a singular point of H ∩ X, or X ⊂ H} .
We will see that the projection π : Z → X has fibers at closed points that are pro-
jective spaces of dimension n − 1 − dim X, and hence that dim Z ≤ n − 1. Thus
∨
the image of Z in Pn k will be a closed subset (Theorem 8.4.10), of dimension of
at most n − 1, so its complement will be open and nonempty. We now put this
strategy into action.
13.4.3. We first define Z more precisely, in terms of equations on Pn × Pn ∨ , where
the coordinates on Pn are x0 , . . . xn , and the dual coordinates on Pn ∨ are a0 , . . . ,
an . Suppose X is cut out by f1 , . . . , fr . Then we take these equations as the first
of the defining equations of Z. (So far we have defined the subscheme X × Pn ∨ .)
We also add the equation a0 x0 + · · · + an xn = 0. (So far we have described the
subscheme of Pn × Pn ∨ corresponding to points (p, H) where p ∈ X and p ∈ H.)
Note that the projective Jacobian matrix ([Link])
∂f1
∂x0 (p) · · ·
∂fr
∂x0 (p)
.. .. ..
. . .
∂xn (p) · · ·
∂f1 ∂fr
∂xn (p)
has corank precisely d + 1 at all points of X by the projective Jacobian corank
criterion (Exercise 13.1.N). We then require that the projective Jacobian matrix with
374 The Rising Sea: Foundations of Algebraic Geometry
a new column
a0
..
.
an
appended has corank ≥ dim X (hence = dim X). This is precisely the notion that
we wished to capture — do you see why? This is cut out by equations (the deter-
minants of certain minors). (Remark 13.4.4 works through an example, which may
help clarify how this works.)
We next show that dim Z ≤ n − 1. For each closed point p ∈ X, let Wp be the
locus of hyperplanes containing p, such that H ∩ X is singular at p, or else contains
all of X; what is the dimension of Wp ? Suppose dim X = d. Then the restrictions
on the hyperplanes in the definition of Wp correspond to d + 1 linear conditions.
(Do you see why?) This means that Wp is a codimension d + 1, or dimension
n − d − 1, projective space. Thus the fiber of π : Z → X over each closed point has
pure dimension n − d − 1. By Key Exercise 12.4.A, this implies that dim Z ≤ n − 1.
(If you wish, you can use Exercise 12.4.D to show that dim Z = n − 1, and you can
later show that Z is a projective bundle over X, once you know what a projective
bundle is, Definition 17.2.3. But we don’t need this for the proof.) □
13.4.4. Remark. Here is an example that may help convince you that the algebra of
paragraph 13.4.3 is describing the geometry we desire. Consider the plane conic
x20 − x21 − x22 = 0 over a field of characteristic not 2, which you might picture as the
circle x2 + y2 = 1 from the real picture in the chart U0 . Consider the point [1, 1, 0],
corresponding to (1, 0) on the circle. We expect the tangent line in the affine plane
to be x = 1, which corresponds to x0 − x1 = 0. Let’s see what the algebra gives us.
The projective Jacobian matrix is
2x0 2
−2x1 = −2 ,
−2x2 0
which indeed has rank 1 as expected. Our recipe asks that the matrix
2 a0
−2 a1
0 a2
have rank 1 (i.e., a0 = −a1 and a2 = 0), and also that a0 x0 + a1 x1 + a2 x2 = 0,
which (you should check) is precisely what we wanted.
13.4.A. E ASY E XERCISE .
(a) Prove Bertini’s Theorem with the weaker hypothesis that X has finitely many
non-smooth points.
(b) Prove Bertini’s Theorem with the weaker hypothesis that X → Pn k is a locally
closed embedding (but with X still smooth).
13.4.B. E XERCISE . Show that if X is a projective variety of dimension n in Pm ,
then the intersection of X with n general hyperplanes consists of a finite number
of reduced points. More precisely: if Pm∨ is the dual projective space, then there
is a nonempty Zariski-open subset U ⊂ (Pm∨ )n such that for each closed point
(H1 , . . . , Hn ) of U, the scheme-theoretic intersection H1 ∩ · · · ∩ Hn ∩ X consists of
April 1, 2023 draft 375
a finite number of reduced points. (The number of such points, counted correctly,
is called the degree of the variety, see Exercise 18.6.M.)
13.4.5. Dual varieties. This gives us an excuse to mention a classical construction.
The image of Z (see ([Link])) in Pn∨ is called the dual variety of X. As dim Z =
n − 1, we “expect” the dual of X to be a hypersurface of Pn∨ . It is a nonobvious
fact that this in fact is a duality: the dual of the dual of X is X itself (see [H2,
Thm. 15.24]). The following exercise will give you some sense of the dual variety.
13.4.C. E XERCISE . Show that the dual of a hyperplane in Pn is the corresponding
point of the dual space Pn∨ . In this way, the duality between Pn and Pn∨ is a
special case of duality between projective varieties.
13.4.D. E XERCISE . Suppose C ⊂ P2 is a smooth conic over an algebraically closed
field of characteristic not 2. Show that the dual variety to C is also a smooth conic.
Thus for example, through a general point in the plane (if k = k), there are two
tangents to C. (The points on a line in the dual plane corresponds to those lines
through a point of the original plane.)
13.4.E. ⋆ E XERCISE ( THERE IS ONE SMOOTH CONIC TANGENT TO FIVE GENERAL
LINES , AND GENERALIZATIONS ). Continuing the notation of the previous prob-
lem, show that the number of smooth conics C containing i generally chosen
points and tangent to 5 − i generally chosen lines is 1, 2, 4, 4, 2, 1 respectively for
i = 0, 1, 2, 3, 4, 5. You might interpret the symmetry of the sequence in terms of the
duality between the conic and the dual conic. This fact was likely known in the
paleolithic era.
13.5 Another (co)dimension one miracle: Discrete valuation rings
The case of (co)dimension 1 is important, because if you understand how
prime ideals behave that are separated by dimension 1, then you can use induc-
tion to prove facts in arbitrary dimension. This is one reason why Krull’s Principal
Ideal Theorem 12.3.3 is so useful.
A dimension 1 regular local ring can be thought of as a “germ of a smooth
curve” (see Figure 13.5). Two examples to keep in mind are k[x](x) = {f(x)/g(x) :
x ̸ | g(x)} and Z(5) = {a/b : 5 ̸ | b}. The first example is “geometric” and the sec-
ond is “arithmetic”, but hopefully it is clear that they have something fundamental
in common.
F IGURE 13.5. A germ of a curve
The purpose of this section is to give a long series of equivalent definitions of
these rings. Before beginning, we quickly sketch these seven definitions. There
376 The Rising Sea: Foundations of Algebraic Geometry
are a number of ways a Noetherian local ring can be “nice”. It can be regular, or a
principal ideal domain, or a unique factorization domain, or normal. In dimension
1, these are the same. Also equivalent are nice properties of ideals: if m is principal;
or if all ideals are either powers of the maximal ideal, or 0. Finally, the ring can
have a discrete valuation, a measure of “size” of elements that behaves particularly
well.
13.5.1. Theorem. — Suppose (A, m) is a Noetherian local ring of dimension 1. Then the
following are equivalent.
(a) (A, m) is regular.
(b) m is principal.
Proof. Here is why (a) implies (b). If A is regular, then m/m2 is one-dimensional.
Choose any element t ∈ m − m2 . Then t generates m/m2 , so generates m by
Nakayama’s Lemma 8.2.H (m is finitely generated by the Noetherian hypothesis).
We call such an element a uniformizer.
Conversely, if m is generated by one element t over A, then m/m2 is generated
by one element t over A/m = k. Since dimk m/m2 ≥ 1 by Theorem 12.3.12, we
have dimk m/m2 = 1, so (A, m) is regular. □
We will soon use a useful fact, which is geometrically motivated, and is a
special case of an important result, the Artin-Rees Lemma 13.9.3. We will prove it
in §13.9.
13.5.2. Proposition. — If (A, m) is a Noetherian local ring, then ∩i mi = 0.
13.5.3. The geometric intuition for this is that any function that is analytically zero
at a point (vanishes to all orders) actually vanishes in an open neighborhood of
that point. (Exercise 13.9.B will make this precise.) The geometric intuition also
2
suggests an example showing that Noetherianness is necessary: consider e−1/x
in the ring of germs of C∞ -functions on R at the origin. (In particular, this implies
that the ring of C∞ -functions on R, localized at the origin, is not Noetherian!)
It is tempting to argue that
([Link]) m(∩i mi ) = ∩i mi ,
and then to use Nakayama’s Lemma 8.2.9 to argue that ∩i mi = 0. Unfortunately,
it is not obvious that this first equality is true: product does not commute with
infinite descending intersections in general. (Aside: product also doesn’t commute
with finite intersections in general, as for example k[x, y, z]/(xz − yz), (z)((x) ∩
(y)) ̸= (xz) ∩ (yz).) We will establish Proposition 13.5.2 in Exercise 13.9.A(b). (We
could do it directly right now without too much effort.)
13.5.4. Theorem. — Suppose (A, m) is a Noetherian local ring of dimension 1. Then (a)
and (b) are equivalent to:
(c) A is an integral domain, and all ideals are of the form mn (for n ≥ 0) or (0).
Proof. Assume (a): suppose (A, m, k) is a regular local ring of dimension 1. Then
I claim that mn ̸= mn+1 for any n. Otherwise, by Nakayama’s Lemma, mn = 0,
from which tn = 0. But A is an integral domain (by Theorem 13.2.11), so t = 0,
from which A = A/m is a field, which doesn’t have dimension 1, contradiction.
April 1, 2023 draft 377
I next claim that mn /mn+1 is dimension 1. Reason: mn = (tn ). So mn is
generated as an a A-module by one element, and mn /(mmn ) is generated as a
(A/m = k)-module by one element (nonzero by the previous paragraph), so it is a
one-dimensional vector space.
So we have a chain of ideals A ⊃ m ⊃ m2 ⊃ m3 ⊃ · · · with ∩mi = (0)
(Proposition 13.5.2). We want to say that there is no room for any ideal besides
these, because each pair is “separated by dimension 1”, and there is “no room at
the end”. Proof: suppose I ⊂ A is an ideal. If I ̸= (0), then there is some n such that
I ⊂ mn but I ̸⊂ mn+1 . Choose some u ∈ I − mn+1 . Then (u) ⊂ I. But u generates
mn /mn+1 , hence by Nakayama it generates mn , so we have mn ⊂ I ⊂ mn , so we
are done: (c) holds.
We now show that (c) implies (a). Assume (a) does not hold: suppose we
have a dimension 1 Noetherian local integral domain that is not regular, so m/m2
has dimension at least 2. Choose any u ∈ m − m2 . Then (u, m2 ) is an ideal, but
m2 ⊊ (u, m2 ) ⊊ m. □
13.5.A. E ASY E XERCISE . Suppose (A, m) is a Noetherian dimension 1 local ring.
Show that (a)–(c) above are equivalent to:
(d) A is a principal ideal domain.
13.5.5. Discrete valuation rings. We next define the notion of a discrete valuation
ring. Suppose K is a field. A discrete valuation on K is a surjective homomorphism
v : K× → Z (in particular, v(xy) = v(x) + v(y)) satisfying
v(x + y) ≥ min(v(x), v(y))
except if x + y = 0 (in which case the left side is undefined). (Such a valuation is
called non-archimedean, although we will not use that term.) It is often convenient
to say v(0) = ∞. More generally, a valuation is a surjective homomorphism v :
K× → G to a totally ordered abelian group G, although this isn’t so important to
us.
Here are three key examples.
(i) (the 5-adic valuation) K = Q, v(r) is the “power of 5 appearing in r”, e.g.,
v(35/2) = 1, v(27/125) = −3.
(ii) K = k(x), v(f) is the “power of x appearing in f.”
(iii) K = k(x), v(f) is the negative of the degree. This is really the same as (ii),
with x replaced by 1/x.
Then 0 ∪ {x ∈ K× : v(x) ≥ 0} is a ring, which we denote Ov . It is called the
valuation ring of v. (Not every valuation is discrete. Consider the ring of Puiseux
series over a field k, K = ∪n≥1 k((x1/n )), with v : K× → Q given by v(xq ) = q.)
13.5.B. E XERCISE . Describe the valuation rings in the three examples (i)–(iii)
above. (You will notice that they are familiar-looking dimension 1 Noetherian
local rings. What a coincidence!)
13.5.C. E XERCISE . Show that {0}∪{x ∈ K× : v(x) > 0} is the unique maximal ideal
of the valuation ring. (Hint: show that everything in the complement is invertible.)
Thus the valuation ring is a local ring.
378 The Rising Sea: Foundations of Algebraic Geometry
An integral domain A is called a discrete valuation ring (or DVR) if there
exists a discrete valuation v on its fraction field K = K(A) for which Ov = A.
Similarly, A is a valuation ring if there exists a valuation v on K for which Ov = A.
Now if A is a regular local ring of dimension 1, and t is a uniformizer (a gener-
ator of m as an ideal, or equivalently of m/m2 as a k-vector space) then any nonzero
element r of A lies in some mn − mn+1 , so r = tn u where u is invertible (as tn gen-
erates mn by Nakayama, and so does r), so K(A) = At = A[1/t]. So any element of
K(A)× can be written uniquely as utn where u is invertible and n ∈ Z. Thus we can
define a valuation v by v(utn ) = n.
13.5.D. E XERCISE . Show that v is a discrete valuation.
13.5.E. E XERCISE . Conversely, suppose (A, m) is a discrete valuation ring. Show
that (A, m) is a regular local ring of dimension 1. (Hint: Show that the ideals are all
of the form (0) or In = {r ∈ A : v(r) ≥ n}, and (0) and I1 are the only prime ideals.
Thus we have Noetherianness, and dimension 1. Show that I1 /I2 is generated by
the image of any element of I1 − I2 .)
Hence we have proved:
13.5.6. Theorem. — An integral domain A is a Noetherian local ring of dimension 1
satisfying (a)–(d) if and only if
(e) A is a discrete valuation ring.
13.5.F. E XERCISE . Show that there is only one discrete valuation on a discrete
valuation ring.
13.5.7. Definition. Thus any regular local ring of dimension 1 comes with a unique
valuation on its fraction field. If the valuation of an element is n > 0, we say that
the element has a zero of order n. If the valuation is −n < 0, we say that the
element has a pole of order n. We will come back to this shortly, after dealing
with (f) and (g).
13.5.8. Theorem. — Suppose (A, m) is a Noetherian local ring of dimension 1. Then
(a)–(e) are equivalent to:
(f) A is a unique factorization domain, and
(g) A is an integral domain, integrally closed (in its fraction field).
Proof. (a)–(e) clearly imply (f), because we have the following stupid unique factor-
ization: each nonzero element of A can be written uniquely as utn where n ∈ Z≥0
and u is invertible.
Now (f) implies (g), because unique factorization domains are integrally closed
in their fraction fields (Exercise 5.4.F).
It remains to check that (g) implies (a)–(e). We will show that (g) implies (b).
Suppose (A, m) is a Noetherian local integral domain of dimension 1, inte-
grally closed in its fraction field K(A). Choose any nonzero r ∈ m. Then S = A/(r)
is a Noetherian local ring of dimension 0 — its only prime is the image of m, which
we denote n to avoid confusion. Then nN = 0, where N is sufficiently large (Propo-
sition 12.1.9). Hence there is some n such that nn = 0 but nn−1 ̸= 0.
April 1, 2023 draft 379
Now comes the crux of the argument. Thus in A, mn ⊂ (r) but mn−1 ̸⊂ (r).
Choose s ∈ mn−1 − (r). Consider s/r ∈ K(A). As s ∈ / (r), s/r ∈
/ A, so as A is
integrally closed, s/r is not integral over A.
Now (inside K(A)) sr m ̸⊂ m (or else sr m ⊂ m would imply that m is a faithful
A[ r ]-module, contradicting Exercise 8.2.I). But sm ⊂ mn ⊂ rA, so sr m ⊂ A. Thus
s
s r
r m = A, from which m = s A, so m is principal. □
13.5.9. Geometry of normal Noetherian schemes. We can finally make precise
(and generalize) the fact that the function (x − 2)2 x/(x − 3)4 on A1C has a double
zero at x = 2 and a quadruple pole at x = 3. Furthermore, we can say that 75/34
has a double zero at 5, and a single pole at 2. (What are the zeros and poles of
x3 (x + y)/(x2 + xy)3 on A2 ?) Suppose X is a locally Noetherian scheme. Then for
any regular codimension 1 point p (i.e., any point p where OX,p is a regular local
ring of dimension 1), we have a discrete valuation v. If f is any nonzero element
of the fraction field of OX,p (e.g., if X is integral, and f is a nonzero element of the
function field of X), then if v(f) > 0, we say that the element has a zero of order
v(f) at p, and if v(f) < 0, we say that the element has a pole of order −v(f) at p.
(We are not yet allowed to discuss order of vanishing at a point that is not regular
and codimension 1. One can make a definition, but it doesn’t behave as well as it
does when have you have a discrete valuation.)
13.5.G. E XERCISE ( FINITENESS OF ZEROS AND POLES ON N OETHERIAN SCHEMES ).
Suppose X is an integral Noetherian scheme, and f ∈ K(X)× is a nonzero element
of its function field. Show that f has a finite number of zeros and poles. (Hint:
reduce to X = Spec A. If f = f1 /f2 , where fi ∈ A, prove the result for fi .)
13.5.10. Suppose A is a Noetherian integrally closed domain. Then it is regular in
codimension 1 (translation: its points of codimension at most 1 are regular). If A
is dimension 1, then obviously A is regular.
13.5.H. E XERCISE . If f is a nonzero rational function on a locally Noetherian nor-
mal scheme, and f has no poles, show that f is regular. (Hint: Algebraic Hartogs’s
Lemma 12.3.14.)
13.5.11. For example (cf. Exercise 13.3.N), Spec Z[i] is regular, because it is dimen-
sion 1, and Z[i] is a unique factorization domain. Hence Z[i] is normal, so all its
closed (codimension 1) points are regular. Its generic point is also regular, as Z[i]
is an integral domain.
13.5.12. Remark. A (Noetherian) scheme can be singular in codimension 2 and
still be normal. For example, you have shown that the cone x2 + y2 = z2 in A3 in
characteristic not 2 is normal (Exercise 5.4.I(b)), but it is singular at the origin (the
Zariski tangent space is visibly three-dimensional).
But singularities of normal schemes are not so bad in some ways: we have
Algebraic Hartogs’s Lemma 12.3.14 for Noetherian normal schemes, which states
that you can extend functions over codimension 2 sets.
13.5.13. Remark. We know that for Noetherian rings we have implications
unique factorization domain =⇒ integrally closed =⇒ regular in codimension 1.
380 The Rising Sea: Foundations of Algebraic Geometry
Hence for locally Noetherian schemes, we have similar implications:
factorial =⇒ normal =⇒ regular in codimension 1.
Here are two examples to show you that these inclusions are strict.
13.5.I. E XERCISE ( THE pinched plane). Let A be the subring k[x3 , x2 , xy, y] of
k[x, y]. (Informally, we allow all polynomials that don’t include a nonzero multiple
of the monomial x.) Show that Spec k[x, y] → Spec A is a normalization. Show that
A is not integrally closed. Show that Spec A is regular in codimension 1. (Hint for
the last part: show it is dimension 2, and when you throw out the origin you get
something regular, by inverting x2 and y respectively, and considering Ax2 and
Ay .)
13.5.14. Example (the quadric surface once again). Suppose k is algebraically closed
of characteristic not 2. Then k[w, x, y, z]/(wz − xy) is integrally closed, but not a
unique factorization domain, see Exercise 5.4.L (and Exercise 13.1.E).
13.5.15. Important remark: Finitely generated modules over a principal ideal domain (e.g.,
a discrete valuation ring). We record a useful fact for future reference. Recall that
finitely generated modules over a principal ideal domain are finite direct sums of
cyclic modules (see for example [DF, §12.1, Thm. 5]). Hence any finitely generated
module over a discrete valuation ring A with uniformizer t is a finite direct sum
of terms A and A/(tr ) (for various r). See Proposition 14.3.2 for an immediate
consequence.
13.5.16. Aside: Dedekind domains. A Dedekind domain is a Noetherian integral
domain of dimension at most one that is normal (integrally closed in its fraction
field). The localization of a Dedekind domain at any prime but (0) (i.e., a codimen-
sion one prime) is hence a discrete valuation ring. This is an important notion, but
we won’t use it much. Rings of integers of number fields are examples, see√§10.7.1.
In particular, if n is a square-free integer congruent to 3 (mod 4), then Z[ n] is a
Dedekind domain, by Exercise 5.4.I(a). If you wish you can prove unique factoriza-
tion of ideals in a Dedekind domain: any nonzero ideal in a Dedekind domain can be
uniquely factored into prime ideals.
13.6 Smooth (and étale) morphisms: First definition
In §13.2.3, we defined smoothness over a field. We now know enough to define
smooth morphisms (and, as a special case, étale morphisms) in general. Our definition
will be imperfect in a number of ways. For example, it will look a little surprising.
As another sign, it will not be obvious that it actually generalizes smoothness over
a field. A third flaw is that because it is of the form “there exist open covers satisfy-
ing some property”, it is poorly designed to be used to show that some morphism
is not smooth. But it has a major advantage that we can give the definition right
now, and the basic properties of smooth morphisms will be straightforward to
show.
13.6.1. Differential geometric motivation. The notion of a smooth morphism is mo-
tivated by the following idea from differential geometry (see, e.g., [Tu] or [Var,
April 1, 2023 draft 381
§1.1–1.2] for differential geometry). For the purposes of this discussion, we say
a map π : X → Y of manifolds (or real analytic spaces, or any variant thereof) is
smooth of relative dimension n if locally (on X) it looks like Y ′ × Rn → Y ′ . (In differ-
ential geometry, this is usually called a submersion.) Translation: it is “locally on
the source a smooth fibration”. (If you have not heard the word fibration before,
don’t worry. Informally speaking, a fibration in some “category of geometric ob-
jects” is a map π : X → Y that locally on the source is a product V × W → V; in
some sort of category of manifolds, a fibration is a “locally on the source a smooth
fibration” if the W in the local description can be taken to be Ra for some a.)
In particular, “smooth of relative dimension 0” is the same as the important
notion of “local isomorphism” (“isomorphism locally on the source” — not quite
the same as “covering space”). Carrying this idea too naively into algebraic geom-
etry leads to the “wrong” definition (see Exercise 13.6.E). An explanation of how
this differential geometric intuition leads to a good definition of smoothness will
be given in §25.1, when we will be ready to give a good definition of smoothness.
For now we will settle for a satisfactory (and correct) definition.
13.6.2. Definition. A morphism π : X → Y is smooth of relative dimension n if
there exist open covers {Ui } of X and {Vi } of Y, with π(Ui ) ⊂ Vi , such that for every
i we have a commutative diagram
Ui o
∼ / W open / Spec B[x1 , . . . , xn+r ]/(f1 , . . . , fr )
ρ jjjj
jj
jj
jjjj
π|Ui ρ|W
∼
ujjjj
Vi o / Spec B
where ρ is induced by the obvious map of rings in the opposite direction, and W is
an open subscheme of Spec B[x1 , . . . , xn+r ]/(f1 , . . . , fr ), such that the determinant
of the Jacobian matrix of the fi ’s with respect to the first r xi ’s
( )
∂fj
([Link]) det
∂xi i,j≤r
is an invertible (= nowhere zero) function on W.
Étale means smooth of relative dimension 0.
13.6.3. Quick observations. From the definition, smooth morphisms are locally of
finite presentation (hence locally of finite type). Also, An
B → Spec B is immediately
seen to be smooth of relative dimension n. From the definition, the locus on X
where π is smooth of relative dimension n is open. In particular, the locus where
π is étale is open.
As easy examples, open embeddings are étale, and the projection An × Y → Y
is smooth of relative dimension n. You may already have some sense of what
makes this definition imperfect. For example, how do you know a morphism is
smooth if it isn’t given to you in a form where the “right” variables xi and “right”
equations are clear?
13.6.A. M OTIVATING E XERCISE ( FOR THOSE WITH DIFFERENTIAL - GEOMETRIC BACK -
GROUND ). Show how Definition 13.6.2 gives the definition in differential geome-
try, as described in §13.6.1. (Your argument will use the implicit function theorem,
which “doesn’t work” in algebraic geometry, see Exercise 13.6.E.)
382 The Rising Sea: Foundations of Algebraic Geometry
13.6.B. E XERCISE . Show that the notion of smoothness of relative dimension n is
local on both the source and target.
We can thus make sense of the phrase “π : X → Y is smooth of relative dimen-
sion n at p ∈ X”: it means that there is an open neighborhood U of p such that π|U
is smooth of relative dimension n.
The phrase smooth morphism (without reference to relative dimension n)
often informally means “smooth morphism of some relative dimension n”, but
sometimes can mean “smooth of some relative dimension in the neighborhood of
every point”.
13.6.C. E ASY E XERCISE . Show that the notion of smoothness of relative dimension
n is preserved by base change.
13.6.D. E XERCISE . Suppose π : X → Y is smooth of relative dimension m and
ρ : Y → Z is smooth of relative dimension n. Show that ρ ◦ π is smooth of rela-
tive dimension m + n. (In particular, the composition of étale morphisms is étale.
Furthermore, this implies that smooth morphisms are closed under product, by
Exercise 8.1.A.)
Exercises 13.6.B–13.6.D imply that smooth morphisms (and étale morphisms)
form a “reasonable” class in the sense of §8.1.
13.6.4. Observation. Suppose π : X → Y is smooth of relative dimension n. Then
locally on X, π can be described as an étale cover of An
Y . More precisely, for every
p ∈ X, there is an open neighborhood U of p, such that π|U can be factored into
U
α / An β
/Y
Y
where α is étale and β is the obvious projection.
13.6.E. E XERCISE . Suppose k is a field of characteristic not 2. Let Y = Spec k[t],
and X = Spec k[u, 1/u]. Show that the morphism π : X → Y induced by t 7→ u2 is
étale. (Sketch π!) Show that there is no nonempty open subset U of X on which π is
an isomorphism. (This shows that étale cannot be defined as “local isomorphism”,
i.e., “isomorphism locally on the source”. In particular, the naive extension of the
differential intuition of §13.6.1 does not give the right definition of étaleness in
algebraic geometry.)
We now show that our new Definition 13.6.2 specializes to Definition 13.2.4
when the target is a field. This is the hardest fact in this section. (It is also a
consequence of Theorem 25.2.2, so you could skip the proof of Theorem 13.6.5 and
take it on faith until Chapter 25. The crux of the proof of Theorem 25.2.2 is similar
to the crux of the proof of Theorem 13.6.5.)
13.6.5. Theorem. — Suppose X is a k-scheme. Then the following are equivalent.
(i) X is smooth of relative dimension n over Spec k (Definition 13.6.2).
(ii) X has pure dimension n, and is smooth over k (in the sense of Definition 13.2.4).
This allows us to use the phrases “smooth over k” and “smooth over Spec k”
interchangeably, as we would expect. More generally, “smooth over a ring A”
means “smooth over Spec A”.
April 1, 2023 draft 383
⋆ Proof. (i) implies (ii). Suppose X is smooth of relative dimension n over Spec k
(Definition 13.6.2). We will show that X has pure dimension n, and is smooth over
k (Definition 13.2.4). Our goal is a Zariski-local statement, so we may assume that
X is an open subset
W ⊂ Spec k[x1 , . . . , xn+r ]/(f1 , . . . , fr )
as described in Definition 13.6.2.
The central issue is showing that X has “pure dimension n”, as the latter half
of the statement would then follow because the corank of the Jacobian matrix is
then n.
Let Xk := X ×k k. By Exercise 12.1.H, Xk is pure dimension n if and only if X
has pure dimension n. Let p be a closed point of the (finite type scheme) Xk . Then
Xk has dimension at least n at p, by Krull’s Height Theorem 12.3.10, combined
with Theorem 12.2.9 (codimension is the difference of dimensions for varieties).
But the Zariski tangent space at a closed point of a finite type scheme over k is
cut out by the Jacobian matrix (Exercise 13.1.I), and thus has dimension exactly n
(by the Jacobian condition in the definition of k-smooth). As the dimension of the
Zariski tangent space bounds the dimension of the scheme (Theorem 12.3.12), Xk
has pure dimension n as desired.
(ii) implies (i). We will prove the result near any given closed point p of X.
(Here we use that any union of open neighborhoods of all the closed points is all
of X, by Exercise 5.3.F.) We thus may reduce to the following problem. Suppose we
are given X := Spec k[x1 , . . . , xn+r ]/(f1 , . . . , fN ), and a point p ∈ X, and an open
neighborhood U of p in X such that U is pure dimension n, and the Jacobian matrix
of the fj ’s with respect to the xi ’s has corank n everywhere on U. We wish to show
that the structure morphism π : X → Spec k is smooth of relative dimension n at
p (in the sense of Definition 13.6.2). We may as well replace X by U. At p, there
exists an r × r submatrix of the Jacobian matrix that is invertible (by the corank
condition). Rearrange the xi ’s and fj ’s so that the Jacobian of the first r of the fj ’s
with respect to the first r of the xi ’s has nonzero determinant. Let I = (f1 , . . . , fN ).
We will show that I = (f1 , . . . , fr ) “near p”, or more precisely, that there is some
g ∈ k[x1 , . . . , xn+r ] with g(p) ̸= 0 such that Ig = (f1 , . . . , fr )g (so I = (f1 , . . . , fr )
“in D(g)”).
Choose a point p ∈ Xk above p, i.e., such that if ψ is the morphism Xk → X
induced by Spec k → Spec k, then ψ(p) = p. (Why does such a p exist?) Now Xk is
k-smooth (in the sense of Definition 13.2.4, by Exercise 13.2.H) at p, hence regular
(Exercise 13.2.J). Its Zariski tangent space at p is cut out in the tangent space of
An+r
k
by the Jacobian conditions (Exercise 13.1.I), and hence cut out by f1 , . . . , fr .
13.6.F. E XERCISE . Suppose m is the ideal of k[x1 , . . . , xn+r ] corresponding to p.
Show that f1 , . . . , fr generate the ideal (f1 , . . . , fN ) in k[x1 , . . . , xn+r ]m . Hint: look
at your argument for Exercise 13.2.M(a).
For notational compactness, define A := k[x1 , . . . , xn+r ]/(f1 , . . . , fr ), and A :=
k[x1 , . . . , xn+r ]/(f1 , . . . , fr ) = A ⊗k k. Let I (resp. I) be the ideal of A (resp. A)
generated by fr+1 , . . . , fN (so I = I ⊗k k). We wish to show that I = 0 “near p”.
Here p = [m], where m is a maximal ideal (recall p is a closed point).
384 The Rising Sea: Foundations of Algebraic Geometry
Exercise 13.6.F means that Im = 0, so taking the quotient by the maximal ideal
m of A yields
I ⊗A (A/m) = 0
which implies
(I ⊗A (A/m)) ⊗A/m (A/m) = 0.
But k = A/m is a field extension of ℓ := A/m, and an ℓ-vector space V is 0 if (and
only if) V ⊗ℓ k = 0, so I ⊗A (A/m) = 0, i.e., Im /mIm = 0.
13.6.G. E XERCISE . Conclude that there is some g ∈ A \ m such that gI = 0. Hint:
Nakayama, and the finite generation of I. (Be sure you understand why the proof
is now complete.)
□
13.7 ⋆ Valuative criteria for separatedness and properness
(The only reason this section is placed here is that we need the theory of dis-
crete valuation rings.)
In reasonable circumstances, it is possible to verify separatedness by checking
only maps from spectra of valuations rings. There are four reasons you might like
this (even if you never use it). First, it gives useful intuition for what separated
morphisms look like. Second, given that we understand schemes by maps to them
(the Yoneda philosophy), we might expect to understand morphisms by mapping
certain maps of schemes to them, and this is how you can interpret the diagram
appearing in the valuative criterion. And the third concrete reason is that one of
the two directions in the statement is much easier (a special case of the Reduced-
to-Separated Theorem 11.4.2, see Exercise 13.7.A), and this is the direction we will
repeatedly use. Finally, the criterion is very useful!
Similarly, there is a valuative criterion for properness.
In this section, we will meet the valuative criteria, but aside from outlining the
proof of one result (the DVR version of the valuative criterion of separatedness),
we will not give proofs, and satisfy ourselves with references. There are two rea-
sons for this controversial decision. First, the proofs require the development of
some commutative algebra involving valuation rings that we will not otherwise
need. Second, we will not use these results in any essential way later in this book.
We begin with a valuative criterion for separatedness that applies in a case
that will suffice for the interests of most people, that of finite type morphisms of
Noetherian schemes. We will then give a more general version for more general
readers.
13.7.1. Theorem (valuative criterion for separatedness, DVR version; see Fig-
ure 13.6). — Suppose π : X → Y is a morphism of finite type of locally Noetherian
schemes. Then π is separated if and only if the following condition holds: for any discrete
April 1, 2023 draft 385
valuation ring A, and any diagram of the form
([Link]) Spec K(A) /X
_
open emb. π
Spec A /Y
(where the vertical morphism on the left corresponds to the inclusion A ,→ K(A)), there is
at most one morphism Spec A → X such that the diagram
([Link]) Spec K(A) /; X
_
open emb. ≤1 π
Spec A /Y
commutes.
F IGURE 13.6. The valuative criterion for separatedness
The idea behind the proof is explained in §13.7.3. We can show one direction
right away, in the next exercise.
13.7.A. E XERCISE ( THE EASY DIRECTION ). Use the Reduced-to-Separated Theo-
rem 11.4.2 to prove one direction of the theorem: that if π is separated, then the
valuative criterion holds.
13.7.B. E XERCISE . Suppose X is an integral Noetherian separated curve. If p ∈ X
is a regular closed point, then OX,p is a discrete valuation ring, so each regular
point yields a discrete valuation on K(X). Use the previous exercise to show that
distinct points yield distinct discrete valuations.
Here is the intuition behind the valuative criterion (see Figure 13.6). We think
of Spec of a discrete valuation ring A as a “germ of a curve”, and Spec K(A) as
the “germ minus the origin” (even though it is just a point!). Then the valuative
criterion says that if we have a map from a germ of a curve to Y, and have a lift of
the map away from the origin to X, then there is at most one way to lift the map
from the entire germ. In the case where Y is the spectrum of a field, you can think
of this as saying that limits of one-parameter families are unique (if they exist).
For example, this captures the idea of what is wrong with the map of the line
with the doubled origin over k (Figure 13.7): we take Spec A to be the germ of the
386 The Rising Sea: Foundations of Algebraic Geometry
affine line at the origin, and consider the map of the germ minus the origin to the
line with doubled origin. Then we have two choices for how the map can extend
over the origin.
F IGURE 13.7. The line with the doubled origin fails the valuative
criterion for separatedness. (You may notice Figure 11.4 embed-
ded in this diagram.)
13.7.C. E XERCISE . Make this precise: show that map of the line with doubled
origin over k to Spec k fails the valuative criterion for separatedness. (Earlier argu-
ments were given in Exercises 11.3.I and 11.4.C.)
13.7.2. ⋆⋆ Remark for experts: moduli spaces and the valuative criterion for separatedness.
If Y = Spec k, and X is a (fine) moduli space (a term we won’t define here) of some
type of object, then the question of the separatedness of X (over Spec k) has a nat-
ural interpretation: given a family of your objects parametrized by a “punctured
discrete valuation ring”, is there always at most one way of extending it over the
closed point?
13.7.3. Idea behind the proof of Theorem 13.7.1 (the valuative criterion for separatedness,
DVR version). (One direction was done in Exercise 13.7.A.) If π is not separated,
our goal is to produce a diagram ([Link]) that can be completed to ([Link]) in
more than one way. If π is not separated, then δ : X → X ×Y X is a locally closed
embedding that is not a closed embedding.
13.7.D. E XERCISE . Show that you can find points p not in the diagonal ∆ of X ×Y X
and q in ∆ such that p ∈ q, and there are no points “between p and q” (no points r
distinct from p and q with p ∈ r and r ∈ q). (Exercise 8.4.C may shed some light.)
Let Q be the scheme obtained by giving the induced reduced subscheme struc-
ture to q. Let B = OQ,p be the local ring of Q at p.
13.7.E. E XERCISE . Show that B is a Noetherian local integral domain of dimension
1.
If B were regular, then we would be done: composing the inclusion morphism
Q → X ×Y X with the two projections induces the same morphism q → X (i.e.,
Spec κ(q) → X) but different extensions to B precisely because p is not in the diag-
onal. To complete the proof, one shows that the normalization of B is Noetherian;
April 1, 2023 draft 387
then localizing at any prime above p (there is one by the Lying Over Theorem 8.2.5)
yields the desired discrete valuation ring A.
For an actual proof, see [Stacks, tag 0207] or [Gr-EGA, II.72.3].
With a more powerful invocation of commutative algebra, we can prove a
valuative criterion with much less restrictive hypotheses.
13.7.4. Theorem (valuative criterion for separatedness). — Suppose π : X → Y is a
quasiseparated morphism. Then π is separated if and only if for any valuation ring A with
function field K, and any diagram of the form ([Link]), there is at most one morphism
Spec A → X such that the diagram ([Link]) commutes.
Because I have already failed to completely prove the DVR version, I feel no
urge to prove this harder fact. The proof of one direction, that π separated implies
that the criterion holds, follows from the identical argument as in Exercise 13.7.A.
For a complete proof, see [Stacks, tags 01KY and 01KZ] or [Gr-EGA, II.7.2.3].
13.7.5. Valuative criteria for (universal closedness and) properness.
There is a valuative criterion for properness too. It is philosophically useful,
and sometimes directly useful, although we won’t need it. It naturally comes from
the valuative criterion for separatedness combined with a valuative criterion for
universal closedness.
13.7.6. Theorem (valuative criterion for universal closedness and properness,
DVR version). — Suppose π : X → Y is a morphism of finite type of locally Noetherian
schemes. Then π is universally closed (resp. proper) if and only if for any discrete valuation
ring A and any diagram ([Link]), there is at least one (resp. exactly one) morphism
Spec A → X such that the diagram ([Link]) commutes.
See [Gr-EGA, II.7.3.8], [Ha1, Thm. II.4.7], or [Gr-EGA’, I.5.5] for proofs. A com-
parison with Theorem 13.7.1 will convince you that these three criteria naturally
form a family.
In the case where Y is a field, you can think of the valuative criterion of proper-
ness as saying that limits of one-parameter families in proper varieties always ex-
ist, and are unique. This is a useful intuition for the notion of properness.
13.7.F. E ASY E XERCISE . Use the valuative criterion for properness to prove that
PnA → Spec A is proper if A is Noetherian. (Don’t be fooled: Because this requires
the valuative criterion, this is a difficult way to prove a fact that we already showed
in Theorem 11.5.5.)
13.7.G. E XERCISE ( CF. E XERCISE 13.7.B). Suppose X is an irreducible regular (Noe-
therian) curve, proper over a field k (respectively, over Z). Describe a bijection
between the discrete valuations on K(X) for which the elements of k (respectively
Z) have valuation 0, and the closed points of X.
13.7.7. Remarks for experts. There is a moduli-theoretic interpretation similar to
that for separatedness (Remark 13.7.2): X is proper if and only if there is always
precisely one way of filling in a family over a punctured spectrum of a discrete
valuation ring.
388 The Rising Sea: Foundations of Algebraic Geometry
13.7.8. Finally, here is a fancier version of the valuative criterion for universal
closedness and properness.
13.7.9. Theorem (valuative criterion for universal closedness and properness). —
Suppose π : X → Y is a quasiseparated, finite type (hence quasicompact) morphism. Then
π is universally closed (resp. proper) if and only if the following condition holds. For any
valuation ring A and any diagram of the form ([Link]), there is at least one (resp. exactly
one) morphism Spec A → X such that the diagram ([Link]) commutes.
Clearly the valuative criterion for properness is a consequence of the valua-
tive criterion for separatedness (Theorem 13.7.4) and the valuative criterion for
universal closedness. For proofs, see [Stacks, tag 01KF] or [Gr-EGA, II.7.3.8].
13.7.10. On the importance of valuation rings in general. Although we have only
discussed discrete valuation rings in depth, general valuation rings should not be
considered an afterthought. Serre makes the case to Grothendieck in a letter, [GrS,
p. 125]:
Tu es bien sévère pour les Valuations! Je persiste pourtant à les garder, pour plusieurs
raisons: d’abord une pratique: n rédacteurs ont sué dessus, il n’y a rien à reprocher au
fourbi, on ne doit pas le vider sans raisons très sérieuses (et tu n’en as pas). . . . Même
un noethérien impénitent a besoin des valuations discrètes, et de leurs extension; en fait,
Tate, Dwork, et tous les gen p-adiques te diront qu’on ne peut se limiter au cas discret
et que le cas de rang 1 est indispensable; à ce moment, les méthodes noethériennes devi-
ennent un vrai carcan, et on comprend beaucoup mieux en rédigeant le cas général que
uniquement le cas de rang 1. . . . Il n’y a pas lieu d’en faire un plat, bien sûr, et c’est
pourquoi j’avias vivement combattu le plan Weil initial qui en faisait le théorème central
de l’Algèbre Commutative, mais d’autre part il faut le garder.
You are very harsh on Valuations! I persist nonetheless in keeping them, for several
reasons, of which the first is practical: n people have sweated over them, there is nothing
wrong with the result, and it should not be thrown out without very serious reasons (which
you do not have). . . . Even an unrepentant Noetherian needs discrete valuations and their
extensions; in fact, Tate, Dwork and all the p-adic people will tell you that one cannot
restrict oneself to the discrete case and the rank 1 case is indispensable; Noetherian methods
then become a burden, and one understands much better if one considers the general case
and not only the rank 1 case. . . . It is not worth making a mountain out of it, of course,
which is why I energetically fought Weil’s original plan to make it the central theorem of
Commutative Algebra, but on the other hand it must be kept.
13.8 ⋆ More sophisticated facts about regular local rings
Regular local rings have essentially every good property you could want, but
some of them require hard work. We now discuss a few fancier facts that may help
you sleep well at night.
13.8.1. Localizations of regular local rings are regular local rings.
13.8.2. Fact ([E, Cor. 19.14], [Mat2, Thm. 19.3]). — If (A, m) is a regular local ring,
then any localization of A at a prime is also a regular local ring.
April 1, 2023 draft 389
(We will not need this, and hence will not prove it.) This major theorem was
an open problem in commutative algebra for a long time until settled by Serre and
Auslander-Buchsbaum using homological methods.
Hence to check if Spec A is regular (A Noetherian), it suffices to check at closed
points (at maximal ideals). Assuming Fact 13.8.2 (and using Exercise 5.1.E), you
can check regularity of a Noetherian scheme by checking at closed points.
We will prove two important cases of Fact 13.8.2. The first you can do right
now.
13.8.A. E XERCISE . Suppose X is a Noetherian dimension 1 scheme that is regu-
lar at its closed points. Show that X is reduced. Hence show (without invoking
Fact 13.8.2) that X is regular.
The second important case will be proved in §21.3.11:
13.8.3. Theorem. — If X is a finite type scheme over a perfect field k that is regular at its
closed points, then X is regular.
More generally, Exercise 21.3.G will show that Fact 13.8.2 holds if A is the
localization of a finite type algebra over a perfect field.
13.8.B. E XERCISE ( GENERALIZING E XERCISE 13.3.E). Suppose k is an algebraically
closed field of characteristic 0. Assuming Theorem 13.8.3, show that there exists a
regular hypersurface of every positive degree d in Pn . (As in Exercise 13.3.E, feel
free to weaken the hypotheses.)
13.8.4. Regular local rings are unique factorization domains, integrally closed,
and Cohen-Macaulay.
13.8.5. Fact (Auslander-Buchsbaum Theorem). — Regular local rings are unique
factorization domains.
(This is a hard theorem, so we will not prove it, and will therefore not use it.
For a proof, see [E, Thm. 19.19], [Mat2, Thm. 20.3] or [Gr-EGA, IV4 .21.11.1], or
[Mu7, §III.7] in the special case of varieties.) Thus regular schemes are factorial,
and hence normal by Exercise 5.4.F.
13.8.6. Remark: Factoriality is weaker than regularity. The implication “regular im-
plies factorial” is strict. Here is an example showing this. Suppose k is an alge-
braically closed field of characteristic not 2. Let A = k[x1 , . . . , xn ]/(x21 +· · ·+x2n ) (cf.
Exercise 5.4.I). Note that Spec A is clearly singular at the origin. In Exercise 15.4.X,
we will show that A is a unique factorization domain when n ≥ 5, so Spec A
is factorial. In particular, A(x1 ,...,xn ) is a Noetherian local ring that is a unique
factorization domain, but not regular. (More generally, it is a consequence of
Grothendieck’s proof of a conjecture of P. Samuel that a Noetherian local ring that
is a complete intersection — in particular a hypersurface — that is factorial in codi-
mension at most 3 must be factorial, [SGA2, Exp. XI, Cor. 3.14]. For a shorter and
somewhat more elementary proof, see [CL].)
13.8.7. Regular local rings are integrally closed. The Auslander-Buchsbaum Theorem
(Fact 13.8.5) implies that regular local rings are integrally closed (by Exercise 5.4.F).
390 The Rising Sea: Foundations of Algebraic Geometry
We will prove this (without appealing to Fact 13.8.5) in the most important geomet-
ric cases in §28.3.5.
13.8.8. Regular local rings are Cohen-Macaulay. In §28.2.5, we will show that regular
local rings are Cohen-Macaulay (a notion defined in Chapter 28).
13.9 ⋆ Filtered rings and modules, and the Artin-Rees Lemma
We conclude Chapter 13 by discussing the Artin-Rees Lemma 13.9.3, which
was used to prove Proposition 13.5.2. The Artin-Rees Lemma generalizes the in-
tuition behind Proposition 13.5.2, that any function that is analytically zero at a
point actually vanishes in an open neighborhood of that point (§13.5.3). Because
we will use it later (proving the Cohomology and Base Change Theorem 26.1.6),
and because it is useful to recognize it in other contexts, we discuss it in some
detail.
13.9.1. Definitions. Suppose I is an ideal of a ring A. A descending filtration of an
A-module M
([Link]) M = M0 ⊃ M1 ⊃ M2 ⊃ · · ·
is called an I-filtration if Id Mn ⊂ Mn+d for all d, n ≥ 0. An example is the I-adic
filtration where Mk = Ik M. We say an I-filtration is I-stable if for some s and all
d ≥ 0, Id Ms = Md+s . For example, the I-adic filtration is I-stable.
Let A• (I) be the graded ring ⊕n≥0 In . This is called the Rees algebra of the
ideal I in A, although we will not need this terminology. Define M• (I) := ⊕Mn . It
is naturally a graded module over A• (I).
13.9.2. Proposition. If A is Noetherian, M is a finitely generated A-module, and
([Link]) is an I-filtration, then M• (I) is a finitely generated A• (I)-module if and only if
the filtration ([Link]) is I-stable.
Proof. Note that A• (I) is Noetherian (by Exercise 4.5.G(b), as A is Noetherian, and
I is a finitely generated A-module).
Assume first that M• (I) is finitely generated over the Noetherian ring A• (I),
and hence Noetherian. Consider the increasing chain of A• (I)-submodules whose
kth element Lk is
M ⊕ M1 ⊕ M2 ⊕ · · · ⊕ Mk ⊕ IMk ⊕ I2 Mk ⊕ · · ·
(which agrees with M• (I) up until Mk , and then “I-stabilizes”). This chain must
stabilize by Noetherianness. But ∪Lk = M• (I), so for some s ∈ Z≥0 , Ls = M• (I),
so Id Ms = Ms+d for all d ≥ 0 — ([Link]) is I-stable.
For the other direction, assume that Md+s = Id Ms for a fixed s and all d ≥ 0.
Then M• (I) is generated over A• (I) by M ⊕ M1 ⊕ · · · ⊕ Ms . But each Mj is finitely
generated, so M• (I) is indeed a finitely generated A• (I)-module. □
13.9.3. Artin-Rees Lemma. — Suppose A is a Noetherian ring, and ([Link]) is an I-
stable filtration of a finitely generated A-module M. Suppose that L ⊂ M is a submodule,
April 1, 2023 draft 391
and let Ln := L ∩ Mn . Then
L = L0 ⊃ L1 ⊃ L2 ⊃ · · ·
is an I-stable filtration of L.
Proof. Note that L• is an I-filtration, as ILn ⊂ IL ∩ IMn ⊂ L ∩ Mn+1 = Ln+1 . Also,
L• (I) is an A• (I)-submodule of the finitely generated A• (I)-module M• (I), and
hence finitely generated by Exercise 3.6.Y (as A• (I) is Noetherian, see the proof of
Proposition 13.9.2). □
An important special case is the following.
13.9.4. Corollary. — Suppose I ⊂ A is an ideal of a Noetherian ring, and M is a finitely
generated A-module, and L is a submodule. Then for some integer s, Id (L ∩ Is M) =
L ∩ Id+s M for all d ≥ 0.
Warning: it need not be true that Id L = L ∩ Id M for all d. (Can you think of a
counterexample to this statement?)
Proof. Apply the Artin-Rees Lemma 13.9.3 to the filtration Mn = In M. □
13.9.A. E XERCISE (K RULL I NTERSECTION T HEOREM ).
(a) Suppose I is an ideal of a Noetherian ring A, and M is a finitely generated A-
module. Show that there is some a ≡ 1 (mod I) such that a ∩∞ j
j=1 I M = 0. Hint:
∞ j
Apply the Artin-Rees Lemma 13.9.3 with L = ∩j=1 I M and Mn = I M. Show that
n
L = IL, and apply the first version of Nakayama (Lemma 8.2.8).
(b) Show that if A is a Noetherian integral domain or a Noetherian local ring, and
I is a proper ideal, then ∩∞ j
j=1 I = 0. In particular, you will have proved Proposi-
tion 13.5.2: if (A, m) is a Noetherian local ring, then ∩i mi = 0.
13.9.B. E XERCISE . Make the following precise, and prove it (thereby justifying
the intuition in §13.5.3): if X is a locally Noetherian scheme, and f is a function
on X that is analytically zero at a point p ∈ X, then f vanishes in a (Zariski) open
neighborhood of p.
Part V
Quasicoherent sheaves on schemes,
and their uses
CHAPTER 14
More on quasicoherent and coherent sheaves
14.1 Introduction
In Chapter 6, we discussed how algebraically, quasicoherent and coherent sheaves
generalized modules over a ring. In this chapter, we explore how geometrically,
quasicoherent and coherent sheaves generalize vector bundles. Informally, a vec-
tor bundle V on a geometric space X (such as a manifold) is a family of vector
spaces continuously parametrized by points of X. In other words, for each point
p of X, there is a vector space, and these vector spaces are glued into a space V so
that, as p varies, the vector space above p varies continuously. Nontrivial exam-
ples to keep in mind are the tangent bundle to a differentiable manifold, and the
Möbius strip over a circle (interpreted as a line bundle). We will make this some-
what more precise in §14.2, but if you have not seen this idea before, you shouldn’t
be concerned; the main thing we will use this notion for is motivation.
A free sheaf on a ringed space X is an OX -module isomorphic to OX⊕I where
the sum is over some index set I. The rank of the free sheaf is the cardinality of I.
(This agrees with its rank as an O-module at a point, see Definition 4.3.8.) A locally
free sheaf on a ringed space X is an OX -module locally isomorphic to a free sheaf.
This corresponds to the notion of a vector bundle (§14.2). Quasicoherent sheaves
form a convenient abelian category containing the locally free sheaves (i.e., vector
bundles) that is much smaller than the full category of O-modules. Quasicoherent
sheaves generalize locally free sheaves in much the way that modules generalize
free modules. Coherent sheaves are, roughly speaking, a finite rank version of
quasicoherent sheaves, which form a well-behaved abelian category containing
finite rank locally free sheaves (or equivalently, finite rank vector bundles). Just
as the notion of free modules leads us to the notion of modules in general, and
finitely generated modules, the notion of free sheaves will lead us inevitably to
the notion of quasicoherent sheaves and coherent sheaves. (There is a slight fib in
comparing finitely generated modules to coherent sheaves, see §6.4.)
14.2 Vector bundles “=” locally free sheaves
We recall somewhat more precisely the notion of vector bundles on manifolds.
Arithmetically-minded readers shouldn’t tune out: for example, fractional ideals
of the ring of integers in a number field (defined in §10.7.1) turn out to be an exam-
ple of a “line bundle on a smooth curve” (Exercise 14.2.K).
395
396 The Rising Sea: Foundations of Algebraic Geometry
A rank n vector bundle on a manifold M is a map π : V → M with the struc-
ture of an n-dimensional real vector space on π−1 (p) for each point p ∈ M, such
that for every p ∈ M, there is an open neighborhood U and a homeomorphism
ϕ : U × Rn → π−1 (U)
over U (so that the diagram
∼
π−1 (U) o / U × Rn
=
([Link])
FF x
FF xx
FF xxx
π|π−1 (U) FFF xxprojection to first factor
# x{ x
U
commutes) that is an isomorphism of vector spaces over each p ∈ U. An isomor-
phism ([Link]) is called a trivialization over U. If U = M, we say that V is a
trivial bundle.
We call n the rank of the vector bundle. A rank 1 vector bundle is called a
line bundle. (It can also be convenient to be agnostic about the rank of the vector
bundle, so it can have different ranks on different connected components. It is also
sometimes convenient to consider infinite-rank vector bundles.)
14.2.1. Transition functions. Given trivializations over U1 and U2 , over their
intersection, the two trivializations must be related by an element T12 of GLn with
entries consisting of functions on U1 ∩ U2 . If {Ui } is a cover of M, and we are given
trivializations over each Ui , then the {Tij } must satisfy the cocycle condition:
([Link]) Tjk |Ui ∩Uj ∩Uk ◦ Tij |Ui ∩Uj ∩Uk = Tik |Ui ∩Uj ∩UK .
−1
(This implies Tij = Tji .) The data of the Tij are called transition functions (or
transition matrices) for the trivialization.
This is reversible: given the data of a cover {Ui } and transition functions Tij ,
we can recover the vector bundle (up to unique isomorphism) by “gluing together
the various Ui × Rn along Ui ∩ Uj using Tij ”.
14.2.2. The sheaf of sections. Fix a rank n vector bundle V → M. The sheaf of
sections F of V (Exercise 2.2.G) is an OM -module — given any open set U, we can
multiply a section over U by a function on U and get another section.
Moreover, given a trivialization over U, the sections over U are naturally iden-
tified with n-tuples of functions of U.
U×R
V
n
π n-tuple of functions
U
Thus given a trivialization, over each open set Ui , we have an isomorphism
∼ ⊕n
F |Ui ←→ OU i
. As mentioned in §14.1, we say that such an F is a locally free
sheaf of rank n.
14.2.3. Transition functions for the sheaf of sections. Suppose we have a vector
bundle on M, along with a trivialization over an open cover Ui . Suppose we have
a section of the vector bundle over M. (This discussion will apply with M replaced
April 1, 2023 draft 397
by any open subset.) Then over each Ui , the section corresponds to an n-tuple of
functions over Ui , say ⃗si .
14.2.A. E XERCISE . Show that over Ui ∩ Uj , the vector-valued function ⃗si is related
to ⃗sj by the (same) transition functions: Tij⃗si = ⃗sj . (Don’t do this too quickly —
make sure your i’s and j’s are on the correct side.)
Given a locally free sheaf F with rank n, and a trivializing open neighborhood
of F (an open cover {Ui } such that over each Ui , F |Ui = ∼ O ⊕n as O-modules), we
Ui
have transition functions Tij ∈ GLn (O(Ui ∩ Uj )) satisfying the cocycle condition
([Link]). Thus the data of a locally free sheaf of rank n is equivalent to the data of
a vector bundle of rank n. This change of perspective is useful, and is similar to
an earlier change of perspective when we introduced ringed spaces: understand-
ing spaces is the same as understanding (sheaves of) functions on the spaces, and
understanding vector bundles (a type of “space over M”) is the same as under-
standing (sheaves of) sections.
14.2.4. Definition. A rank 1 locally free sheaf is called an invertible sheaf. (Unim-
portant aside: “invertible sheaf” is a heinous term for something that is essentially
a line bundle. The motivation is that if X is a locally ringed space, and F and G are
OX -modules with F ⊗OX G = ∼ OX , then F and G are invertible sheaves [MO33489].
Thus in the monoid of OX -modules under tensor product, invertible sheaves are
the invertible elements. We will never use this fact. People often informally use
the phrase “line bundle” when they mean “invertible sheaf”. The phrase line sheaf
has been proposed but has not caught on.)
14.2.5. Locally free sheaves more generally.
We can generalize the notion of locally free sheaves to schemes (or more gen-
erally, ringed spaces) without change. A locally free sheaf of rank n on a scheme
X is defined as an OX -module F that is locally a free sheaf of rank n. Precisely,
there is an open cover {Ui } of X such that for each Ui , F |Ui =∼ O ⊕n . This open
Ui
cover determines transition functions — the data of a cover {Ui } of X, and func-
tions Tij ∈ GLn (O(Ui ∩ Uj )) satisfying the cocycle condition ([Link]) — which in
turn determine the locally free sheaf. As before, given these data, we can find the
sections over any open set U. Informally, they are sections of the free sheaves over
each U ∩ Ui that agree on overlaps. More formally, for each i, they are
i
s1
..
⃗s = . ∈ Γ (U ∩ Ui , OX )n ,
i
sin
satisfying Tij⃗si = ⃗sj on U ∩ Ui ∩ Uj .
You should think of these as vector bundles, but just keep in mind that they
are not the “same”, just equivalent notions. We will later (Definition 17.1.4) define
the “total space” of the vector bundle V → X (a scheme over X) in terms of the
sheaf version of Spec (or more precisely, Spec (Sym V • )). But the locally free sheaf
perspective will prove to be more useful. As one example: the definition of a
locally free sheaf is much shorter than that of a vector bundle.
As in our motivating discussion, it is sometimes convenient to let the rank vary
among connected components, or to consider infinite rank locally free sheaves.
398 The Rising Sea: Foundations of Algebraic Geometry
14.2.6. Pulling back vector bundles.
14.2.B. E SSENTIAL EXERCISE : PULLING BACK VECTOR BUNDLES . Suppose π : X →
Y is a morphism of ringed spaces. Recall the definition of π∗ : ModOY → ModOX ,
pulling back O-modules. (Now is a good time to do Exercise 7.2.D, if you haven’t
done it before.) Suppose n ∈ Z+ .
(a) Show that (canonically) π∗ (OY⊕n ) = ∼ O ⊕n .
X
(b) If G is a locally free sheaf on Y of rank n, show that π∗ G is a locally free sheaf
on X of rank n.
(c) If G is a locally free sheaf on Y of rank n, and {Ui } are trivializing neighbor-
hoods for G on Y, with transition matrices Tij , show that {π−1 Ui } are trivializing
neighborhoods for π∗ G on X, with transition matrices π∗ Tij . (Do you see what that
means?)
14.2.7. The problem with locally free sheaves / vector bundles (as opposed to
vector spaces).
Recall that OX -modules form an abelian category: we can talk about kernels,
cokernels, and so forth, and we can do homological algebra. Similarly, vector
spaces form an abelian category. But locally free sheaves (i.e., vector bundles),
along with reasonably natural maps between them (those that arise as maps of OX -
modules), don’t form an abelian category. As a motivating example in the category
of manifolds (cf. Warning 14.2.11), consider the map of the trivial line bundle on
R (with coordinate t) to itself, corresponding to multiplying by the coordinate t.
Then this map jumps rank, and if you try to define a kernel or cokernel you will
get confused.
This problem is resolved by enlarging our notion of nice OX -modules in a
natural way, to quasicoherent sheaves.
OX -modules ⊃ quasicoherent sheaves ⊃ locally free sheaves
(abelian category) (abelian category) (not an abelian category)
You can turn this into a definition of quasicoherent sheaves, equivalent to those
we gave in §6.1. We want a notion that is local on X of course. So we ask for the
smallest abelian subcategory of ModOX that is “local” and includes vector bundles.
It turns out that the main obstruction to vector bundles to be an abelian category
is the failure of cokernels of maps of locally free sheaves — as OX -modules — to
be locally free; we could define quasicoherent sheaves to be those OX -modules
that are locally cokernels, yielding a description that works more generally on
ringed spaces, as described in Exercise 6.3.B. You may wish to later check that our
definitions are equivalent to these.
Similarly, in the locally Noetherian setting, finite rank locally free sheaves will
sit in a nice smaller abelian category, that of coherent sheaves.
quasicoherent sheaves ⊃ coherent sheaves ⊃ finite rank locally free sheaves
(abelian category) (abelian category) (not an abelian category)
14.2.8. Useful constructions on locally free sheaves.
We now give some useful constructions in the form of a series of exercises
about locally free sheaves on a scheme. They are useful, important, and surpris-
ingly nontrivial! Two hints: Exercises 14.2.C–14.2.I will apply for ringed spaces
in general, so you shouldn’t use special properties of schemes. Furthermore, they
April 1, 2023 draft 399
are all local on X, so you can reduce to the case where the locally free sheaves in
question are actually free.
14.2.C. E XERCISE . Suppose F and G are locally free sheaves on X of rank m and
n respectively. Show that Hom OX (F , G ) is a locally free sheaf of rank mn.
14.2.D. E XERCISE . If E is a locally free sheaf on X of (finite) rank n, Exercise 14.2.C
implies that E ∨ := Hom (E , OX ) is also a locally free sheaf of rank n. This is
called the dual of E (cf. §2.3.4). Given transition functions for E , describe tran-
sition functions for E ∨ . (Note that if E is rank 1, i.e., invertible, the transition
functions of the dual are the inverse of the transition functions of the original.)
Show that E = ∼ E ∨∨ . (Caution: your argument showing that there is a canonical
∼
isomorphism F ←→ (F ∨ )∨ better not also show that there is an isomorphism
∼
F ←→ F ∨ ! We will see an example in §15.1 of a locally free F that is not isomor-
phic to its dual: the invertible sheaf O(1) on Pn .)
14.2.E. E XERCISE . If F and G are locally free sheaves, show that F ⊗ G is a locally
free sheaf. (Here ⊗ is tensor product as OX -modules, defined in Exercise 2.6.J.) If
F is an invertible sheaf, show that F ⊗ F ∨ = ∼ OX .
14.2.F. E XERCISE . Recall that tensor products tend to be only right-exact in general
(Exercise 1.3.H). Show that tensoring by a locally free sheaf is exact. More precisely,
if F is a locally free sheaf, and G ′ → G → G ′′ is an exact sequence of OX -modules,
then so is G ′ ⊗ F → G ⊗ F → G ′′ ⊗ F . (Possible hint: it may help to check
exactness by checking exactness at stalks. Recall that the tensor product of stalks
can be identified with the stalk of the tensor product, so for example there is a
∼
“natural” isomorphism (G ⊗OX F )p ←→ Gp ⊗OX,p Fp , Exercise 2.6.J(b).)
14.2.G. E XERCISE . If E is a locally free sheaf of finite rank, and F and G are
OX -modules, show that
∼ Hom (F ⊗ E ∨ , G ) =
Hom (F , G ⊗ E ) = ∼ Hom (F , G ) ⊗ E .
(Possible hint: first consider the case where E is free.)
14.2.9. The Picard group.
14.2.H. E XERCISE AND IMPORTANT DEFINITION . Show that the invertible sheaves
on X, up to isomorphism, form an abelian group under tensor product. This is
called the Picard group of X, and is denoted Pic X.
14.2.I. E XERCISE . If π : X → Y is a morphism of ringed spaces, and G is a locally
free sheaf of rank n on Y, figure out how to define a “pulled back” locally free
sheaf of rank n on X, denoted π∗ G . Then show that Pic is a contravariant functor
from the category of ringed spaces to the category Ab of abelian groups.
14.2.J. ⋆ E XERCISE ( FOR THOSE WITH SUFFICIENT COMPLEX - ANALYTIC BACKGROUND ).
Recall the analytification functor (Exercises 7.3.16 and 11.3.K), that takes a complex
finite type reduced scheme and produces a complex analytic space.
(a) If L is an invertible sheaf on a complex (algebraic) variety X, define (up to
unique isomorphism) the corresponding invertible sheaf on the complex variety
Xan .
400 The Rising Sea: Foundations of Algebraic Geometry
(b) Show that the induced map Pic X → Pic Xan is a group homomorphism.
(c) Show that this construction is functorial: if π : X → Y is a morphism of complex
varieties, the following diagram commutes:
π∗ / Pic X
Pic Y
π∗
Pic Yan
an
/ Pic Xan
where the vertical maps are the ones you have defined.
14.2.K. ⋆ E XERCISE ( FOR THOSE WITH SUFFICIENT ARITHMETIC BACKGROUND ;
SEE ALSO P ROPOSITION 15.4.15 AND §15.4.18). Recall the definition of the ring
of integers OK in a number field K, Remark 10.7.1. A fractional ideal a of OK
is a nonzero OK -submodule of K such that there is a nonzero a ∈ OK such that
aa ⊂ OK . Products of fractional ideals are defined analogously to products of
ideals in a ring (defined in Exercise 3.4.C): ab consists of (finite) OK -linear combi-
nations of products of elements of a and elements of b. Thus fractional ideals form
a semigroup under multiplication, with OK as the identity. In fact fractional ideals
of OK form a group.
(a) Explain how a fractional ideal on a ring of integers in a number field
yields an invertible sheaf. (Although we won’t need this, it is worth not-
ing that a fractional ideal is the same as an invertible sheaf with a trivial-
ization at the generic point.)
(b) A fractional ideal is principal if it is of the form rOK for some r ∈ K× .
Show that any two that differ by a principal ideal yield the same invert-
ible sheaf.
(c) Show that two fractional ideals that yield the same invertible sheaf differ
by a principal ideal.
(d) The class group is defined to be the group of fractional ideals modulo
the principal ideals (i.e., modulo K× ). Give an isomorphism of the class
group with the Picard group of OK .
(This discussion applies to any Dedekind domain. See Exercise 15.4.U for a follow-
up.)
14.2.10. Locally free sheaves on schemes. The remainder of this section is specific
to schemes.
Based on your intuition for line bundles on manifolds, you might hope that
every point has a “small” open neighborhood on which all invertible sheaves (or
locally free sheaves) are trivial. Sadly, this is not the case. We will eventually see
(§19.11.1) that for the curve y2 − x3 − x = 0 in A2C , every nonempty open set has
nontrivial invertible sheaves. (This will use the fact that it is an open subset of
an elliptic curve.) This is a persistent problem in algebraic geometry: the Zariski
topology is too blunt.
14.2.L. E ASY E XERCISE . Prove that locally free sheaves on a scheme are quasico-
herent.
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Similarly, finite rank locally free sheaves are always finite type, and if OX is
coherent, finite rank locally free sheaves on X are coherent. (Remember: If OX is
not coherent, then coherence is a pretty useless notion on X.)
14.2.M. U NIMPORTANT EXERCISE . Use the example of Exercise 6.1.B(b) to show
that not every quasicoherent sheaf is locally free.
14.2.11. Warning for those already familiar with vector bundles. Morphisms of vector
bundles are more restrictive than morphisms of quasicoherent sheaves that hap-
pen to be locally free sheaves. A locally free subsheaf of a locally free sheaf does
not always yield a “subvector bundle” of a vector bundle. The archetypal example
is the exact sequence of quasicoherent sheaves on A1k = Spec k[t] corresponding to
the following exact sequence of k[t]-modules:
([Link]) 0 / tk[t] / k[t] /k / 0.
g is a subsheaf of k[t],
The locally free sheaf tk[t] g but it does not correspond to a
“subvector bundle”; the cokernel is not a vector bundle. (This example came up in
§14.2.7.)
14.2.N. E XERCISE . Show that every (finite) rank n vector bundle on A1k is trivial
of rank n. Hint: finitely generated modules over a principal ideal domain are
finite direct sums of cyclic modules, as mentioned in Remark 13.5.15. (Be careful:
Before invoking this, you need to be sure that the module in question is finitely
generated!) See the aside in §15.4.11 for the difficult generalization to An
k.
14.2.12. Definition. We define rational (and regular) sections of a locally free
sheaf on a scheme X just as we did rational (and regular) functions (see for exam-
ple §6.6 and §7.5).
14.2.O. E XERCISE . Suppose s is a section of a locally free sheaf F on a scheme X.
Define the notion of the subscheme cut out by s = 0, denoted (for obvious reasons)
V(s). Be sure to check that your definition is independent of choices! (This exercise
gives a new solution to Exercise 4.5.S.) Hint: given a trivialization over an open
set U, s corresponds to a number of functions f1 , . . . on U; on U, take the scheme
cut out by these functions. Alternate hint that avoids coordinates: figure out how
to define it as the largest closed subscheme on which s restricts to 0.
14.2.P. E ASY E XERCISE . Show that locally free sheaves on locally Noetherian
normal schemes satisfy “Hartogs’s Lemma”: sections defined away from a set
of codimension at least 2 extend over that set. (Algebraic Hartogs’s Lemma for
Noetherian normal schemes is Theorem 12.3.14.)
14.2.Q. E ASY E XERCISE . Suppose s is a nonzero rational section of an invertible
sheaf on a locally Noetherian normal scheme. Show that if s has no poles, then s
is regular. (Hint: Exercise 13.5.H.)
14.2.13. Locally free sheaves in short exact sequences.
402 The Rising Sea: Foundations of Algebraic Geometry
14.2.R. E XERCISE ( POSSIBLE HELP FOR LATER PROBLEMS ).
(a) Suppose
([Link]) 0 / F′ /F / F ′′ /0
is a short exact sequence of quasicoherent sheaves on X. Suppose U = Spec A is
e ⊕a , F ′′ |Spec A = A
an affine open set where F ′ , F ′′ are free, say F ′ |Spec A = A e ⊕b .
(Here a and b are assumed to be finite for convenience, but this is not necessary,
so feel free to generalize to the infinite rank case.) Show that F is also free on
Spec A, and that 0 → F ′ → F → F ′′ → 0 can be interpreted as coming from the
tautological exact sequence 0 → A⊕a → A⊕(a+b) → A⊕b → 0. (As a consequence,
given an exact sequence of quasicoherent sheaves ([Link]) where F ′ and F ′′
are locally free, F must also be locally free.)
(b) In the finite rank case, show that given an open covering by trivializing affine
open sets (of the form described in (a)), the transition functions (really, matrices) of
F may be interpreted as block upper triangular matrices, where the top left a × a
blocks are transition functions for F ′ , and the bottom b × b blocks are transition
functions for F ′′ .
14.2.S. E XERCISE . Suppose ([Link]) is a short exact sequence of quasicoherent
sheaves on X. By Exercise 14.2.R(a), if F ′ and F ′′ are locally free, then F is too.
(a) If F and F ′′ are locally free of finite rank, show that F ′ is too. Hint: Reduce
to the case X = Spec A and F and F ′′ free. Interpret the map ϕ : F → F ′′ as
an n × m matrix M with values in A, with m the rank of F and n the rank of
F ′′ . For each point p of X, show that there exist n columns {c1 , . . . , cn } of M that
are linearly independent at p and hence near p (as linear independence is given
by nonvanishing of the appropriate n × n determinant). Thus X can be covered
by distinguished open subsets in bijection with the choices of n columns of M.
Restricting to one subset and renaming columns, reduce to the case where the
determinant of the first n columns of M is invertible. Then change coordinates on
A⊕m = F (Spec A) so that M with respect to the new coordinates is the identity
matrix in the first n columns, and 0 thereafter. Finally, in this case interpret F ′ as
^ .
A⊕(m−n)
(b) If F ′ and F are both locally free, show that F ′′ need not be. Hint: consider
([Link]), which we can interpret as the closed subscheme exact sequence ([Link])
for a point on A1 . (If an injection of locally free sheaves α : F ′ ,→ F is such that
the cokernel F ′′ is also locally free, people sometimes say that α is an injection
of vector bundles, not just of locally free sheaves. Implicitly, they are considering
a category of vector bundles which is different from the category of locally free
sheaves; the cokernel of a map of vector bundles is then always a vector bundle.
We will avoid this because it may be confusing.)
14.2.14. Tensor algebra constructions.
For the next exercises, recall the following. If M is an A-module, then the
tensor algebra T • (M) is a noncommutative algebra, graded by Z≥0 , defined as
follows. T 0 (M) = A, T n (M) = M ⊗A · · · ⊗A M (where n terms appear in the
product), and multiplication is what you expect.
The symmetric algebra Sym• M is a symmetric algebra, graded by Z≥0 , de-
fined as the quotient of T • (M) by the (two-sided) ideal generated by all elements
April 1, 2023 draft 403
of the form x⊗y−y⊗x for all x, y ∈ M. Thus Symn M is the quotient of M⊗· · ·⊗M
by the relations of the form m1 ⊗ · · · ⊗ mn − m1′ ⊗ · · · ⊗ mn′ where (m1′ , . . . , mn′ )
is a rearrangement of (m1 , . . . , mn ).
The exterior algebra ∧• M is defined to be the quotient of T • M by the (two-
sided) ideal generated by all elements of the form x ⊗ x for all x ∈ M. Expanding
(a+b)⊗(a+b), we see that a⊗b = −b⊗a in ∧2 M. This implies that if 2 is invertible
in A (e.g., if A is a field of characteristic not 2), ∧n M is the quotient of M ⊗ · · · ⊗ M
by the relations of the form m1 ⊗ · · · ⊗ mn − (−1)sgn(σ) mσ(1) ⊗ · · · ⊗ mσ(n) where
σ is a permutation of {1, . . . , n}. The exterior algebra is a “skew-commutative” A-
algebra.
Better: both Sym and ∧ can be defined by universal properties. For exam-
ple, any map of A-modules M⊗n → N that is symmetric in the n entries factors
uniquely through Symn A (M).
It is most correct to write TA •
(M), Sym•A (M), and ∧•A (M), but the “base ring”
A is usually omitted for convenience.
14.2.T. E XERCISE . If F is locally free of rank m, show that T n F , Symn F , and
∧n F are locally free, and find their ranks.
(Remark: These constructions can be defined for O-modules on an arbitrary
ringed space.) We note that in this case, ∧rank F F is denoted det F , and is called
the determinant (line) bundle or (both better and worse) the determinant locally
free sheaf.
You can also define the sheaf of noncommutative algebras T • F , the sheaf
of commutative algebras Sym• F , and the sheaf of skew-commutative algebras
∧• F .
14.2.U. E XERCISE . Suppose 0 → F ′ → F → F ′′ → 0 is an exact sequence of
locally free sheaves. Show that for any r, there is a filtration of Symr F
Symr F = G 0 ⊃ G 1 ⊃ · · · ⊃ G r ⊃ G r+1 = 0
with subquotients
∼ (Symp F ′ ) ⊗ (Symr−p F ′′ ).
G p /G p+1 =
(Here are two different possible hints for this and Exercise 14.2.V: (1) Interpret
the transition matrices for F as block upper triangular, with two blocks, where
one diagonal block gives the transition matrices for F ′ , and the other gives the
transition matrices for F ′′ (cf. Exercise [Link](b)). Then appropriately interpret
the transition matrices for Symr F as block upper triangular, with r + 1 blocks. (2)
It suffices to consider a small enough affine open set Spec A, where F ′ , F , F ′′ are
free, and to show that your construction behaves well with respect to localization
at an element f ∈ A. In such an open set, the sequence is 0 → A⊕p → A⊕(p+q) →
A⊕q → 0 by the Exercise 14.2.R. Let e1 , . . . , ep be the standard basis of A⊕p , and
f1 , . . . , fq be the the standard basis of A⊕q . Let e1′ , . . . , ep′ be denote the images of
e1 , . . . , ep in A⊕(p+q) . Let f1′ , . . . , fq′ be any lifts of f1 , . . . , fq to A⊕(p+q) . Note that
fi′ is well-defined modulo e1′ , . . . , ep′ . Note that
∼ ⊕r Symi F ′ |Spec A ⊗O
Symr F |Spec A = Symr−i F ′′ |Spec A .
i=0 Spec A
404 The Rising Sea: Foundations of Algebraic Geometry
Show that G p := ⊕ri=p Symi F ′ |Spec A ⊗OSpec A Symr−i F ′′ |Spec A gives a well-defined
(locally free) subsheaf that is independent of the choices made, e.g., of the basis e1 ,
. . . , ep , f1 , . . . , fq , and the lifts f1′ , . . . , fq′ .)
14.2.V. U SEFUL E XERCISE . Suppose 0 → F ′ → F → F ′′ → 0 is an exact
sequence of locally free sheaves. Show that for any r, there is a filtration of ∧r F :
∧r F = G 0 ⊃ G 1 ⊃ · · · ⊃ G r ⊃ G r+1 = 0
with subquotients
G p /G p+1 =∼ (∧p F ′ ) ⊗ (∧r−p F ′′ )
for each p. In particular, if the sheaves have finite rank, then det F = (det F ′ ) ⊗
(det F ′′ ).
14.2.W. E XERCISE . Suppose F is locally free of rank n. Describe a map ∧r F ×
∼ ∨
∧n−r F → ∧n F that induces an isomorphism ∧r F −→ (∧n−r F ) ⊗ ∧n F . This
is called a perfect pairing of vector bundles. (If you know about perfect pairings
of vector spaces, do you see why this is a generalization?) You might use this
later in showing duality of Hodge numbers of regular varieties over algebraically
closed fields, Exercise 21.5.K.
14.2.X. E XERCISE ( DETERMINANT LINE BUNDLES BEHAVE WELL IN EXACT SEQUENCES ).
Suppose 0 → F1 → · · · → Fn → 0 is an exact sequence of finite rank locally free
sheaves on X. Show that “the alternating product of determinant bundles is triv-
ial”:
det(F1 ) ⊗ det(F2 )∨ ⊗ det(F3 ) ⊗ det(F4 )∨ ⊗ · · · ⊗ det(Fn )(−1) =
n
∼ OX .
(Hint: break the exact sequence into short exact sequences. Use Exercise 14.2.S(a)
to show that they are short exact sequences of finite rank locally free sheaves. Then
use Exercise 14.2.V.)
14.2.Y. E XERCISE . Suppose F is a quasicoherent sheaf. Define the quasicoherent
sheaves T n F , Symn F , and ∧n F . (One possibility: describe them on each affine
open set, and use the characterization of Important Exercise 6.2.D.)
14.3 More pleasant properties of finite type and coherent sheaves
We now describe a number of important facts about quasicoherent sheaves
when we have some finiteness conditions.
14.3.A. E XERCISE (Hom BEHAVES REASONABLY IF THE SOURCE IS FINITELY PRE -
SENTED ).
(a) (“Hom (fpr, qcoh) is qcoh”) Suppose F is a finitely presented (quasicoherent)
sheaf on X, and G is a quasicoherent sheaf on X. Show that Hom (F , G ) is a
quasicoherent sheaf. Hint: take a “finite presentation” of F locally: on U ⊂ X,
O ⊕m → O ⊕n → F → 0. Apply the left-exact functor (from OX -modules to OX -
modules, §2.6.4) Hom OX (·, G ). (Aside: For an example of quasicoherent sheaves F
and G on a scheme X such that Hom (F , G ) is not quasicoherent, let A be a discrete
valuation ring with uniformizer t, let X = Spec A, let F = M f and G = N e with
April 1, 2023 draft 405
M = ⊕∞ ∞
i=1 A and N = A. Then Mt = ⊕i=1 At , and of course Nt = At . Consider
the homomorphism ϕ : Mt → Nt sending 1 in the ith factor of Mt to 1/ti . Then ϕ
is not the localization of any element of HomA (M, N).)
(b) (“Hom (fpr, coh) is coh”) If further G is coherent and OX is coherent, show that
Hom (F , G ) is also coherent.
(c) Suppose F is a finitely presented sheaf on X, and G is a quasicoherent sheaf
on X. Show that Hom (F , ·) gives a left-exact covariant functor QCohX → QCohX
and CohX → CohX , and that Hom (·, G ) gives a left-exact contravariant functor from
finitely presented sheaves on X to QCohX (cf. Exercise 2.6.H).
14.3.1. Duals of coherent sheaves. From Exercise 14.3.A(b), if F is coherent, its
dual F ∨ := Hom (F , OX ) (see §2.3.4) is too. This generalizes the notion of duals of
vector bundles in Exercise 14.2.D. Your argument there generalizes to show that
there is always a natural “double dual” morphism F → (F ∨ )∨ . Unlike in the
vector bundle case, this is not always an isomorphism. (For an example, let F be
the coherent sheaf associated to k[t]/(t) on A1 = Spec k[t], and show that F ∨ =
0.) Coherent sheaves for which the “double dual” morphism is an isomorphism
are called reflexive sheaves, but we won’t use this notion. The canonical map
F ⊗ F ∨ → OX is called the trace map — can you see why?
14.3.B. E XERCISE . Suppose F is a finite rank locally free sheaf, and G is a quasi-
∼
coherent sheaf. Describe an isomorphism Hom (F , G ) ←→ F ∨ ⊗ G . (This holds
more generally if G is an O-module, but we won’t use that, so you may as well
prove the simpler result given in this exercise.)
14.3.C. E XERCISE . Suppose
([Link]) 0 /F /G /H /0
is an exact sequence of quasicoherent sheaves on a scheme X, where H is a locally
free quasicoherent sheaf, and suppose E is a quasicoherent sheaf. By left-exactness
of Hom (Exercise 2.6.H),
0 / Hom (H , E ) / Hom (G , E ) / Hom (F , E ) /0
is exact except possibly on the right. Show that it is also exact on the right. (Hint:
this is local, so you can assume that X is affine, say Spec A, and H = A g ⊕I , so
([Link]) can be written as 0 → M → N → A⊕I → 0. Show that this exact
sequence splits, so we can write N = M ⊕ A⊕I in a way that respects the exact
sequence.) In particular, if F , G , and H are coherent, and H is locally free, then
we have an exact sequence of coherent sheaves
0 /H∨ / G∨ / F∨ / 0.
14.3.D. E XERCISE (“Supp(FTF ) IS CLOSED ”). Suppose F is a sheaf of abelian
groups. (a) Show that the support of a finite type quasicoherent sheaf on a scheme
X is a closed subset. (Hint: Exercise 6.6.B(b).) (b) Show that the support of a
quasicoherent sheaf need not be closed. (Hint: If A = C[t], then C[t]/(t − a) is an
A-module supported at a. Consider
∏ ⊕a∈C C[t]/(t − a). Be careful: this example
won’t work if ⊕ is replaced by .)
406 The Rising Sea: Foundations of Algebraic Geometry
We next come to a geometric interpretation of Nakayama’s Lemma, which is
why Nakayama’s Lemma should be considered a geometric fact (with an algebraic
proof).
14.3.E. U SEFUL E XERCISE : G EOMETRIC N AKAYAMA ( FOR FINITE TYPE SHEAVES ,
GENERATORS AT p ARE GENERATORS NEAR p). Suppose X is a scheme, and F
is a finite type quasicoherent sheaf. Show that if U ⊂ X is an open neighborhood
of p ∈ X and a1 , . . . , an ∈ F (U) so that their images a1 |p , . . . , an |p generate the
fiber F |p (defined as Fp ⊗ κ(p), §4.3.8), then there is an affine open neighborhood
p ∈ Spec A ⊂ U of p such that “a1 |Spec A , . . . , an |Spec A generate F |Spec A ” in the
following senses:
(i) a1 |Spec A , . . . , an |Spec A generate F (Spec A) as an A-module;
(ii) for any q ∈ Spec A, a1 , . . . , an generate the stalk Fq as an OX,q -module
(and hence for any q ∈ Spec A, the fibers a1 |q , . . . , an |q generate the fiber
F |q as a κ(q)-vector space).
In particular, if F |p = 0, then there exists an open neighborhood V of p such that
F |V = 0.
14.3.F. U SEFUL E XERCISE ( FOR FINITELY PRESENTED SHEAVES , LOCALLY FREE =
FREE STALKS ). Suppose F is a finitely presented sheaf on a scheme X. Show
that if Fp is a free OX,p -module for some p ∈ X, then F is locally free in some
open neighborhood of p. Hence F is locally free if and only if Fp is a free OX,p -
module for all p ∈ X. Translation: for a finitely presented sheaf, local freeness is a
stalk-local property, and free stalks imply local freeness nearby.
Extended hint: Find an open neighborhood U of p, and n elements of F (U)
that generate Fp . Using Geometric Nakayama, Exercise 14.3.E, show that the
sections generate Fq for all q in some open neighborhood Y of p in U. Thus
you have described a surjection OY⊕n → F |Y . Show that the kernel of this map
is finite type (using Lemma 6.4.4, finitely presented implies always finitely pre-
sented), and hence has closed support (say Z ⊂ Y), which does not contain p.
⊕n
Thus OY\Z → F |Y\Z is an isomorphism.
This is enlightening in a number of ways. It shows that for finitely presented
sheaves, local freeness is a stalk-local condition. Furthermore, on an integral scheme,
any finitely presented sheaf F is automatically free over the generic point (do you
see why?), so every finitely presented sheaf on an integral scheme is locally free
over a dense open subset. And any finitely presented sheaf that is 0 at the generic
point of an irreducible scheme is necessarily 0 on a dense open subset. The last
two sentences show the utility of generic points; such statements would have been
more mysterious in classical algebraic geometry.
14.3.G. E XERCISE . (Torsion-free and torsion sheaves were defined in §6.1.4.)
(a) Show that torsion-free coherent sheaves on a regular (hence implicitly locally
Noetherian) curve are locally free.
(b) Show that torsion coherent sheaves on a quasicompact regular integral curve
are supported at a finite number of closed points.
(c) Suppose F is a coherent sheaf on a quasicompact (for convenience) regular
curve. Describe a canonical short exact sequence 0 → Ftors → F → Flf → 0,
where Ftor is a torsion sheaf, and Flf is locally free.
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To answer Exercise 14.3.G, use Useful Exercise 14.3.F (local freeness can be
checked at stalks) to reduce to the discrete valuation ring case, and recall Re-
mark 13.5.15, the structure theorem for finitely generated modules over a princi-
pal ideal domain A: any such module can be written as the direct sum of principal
modules A/(a). Hence:
14.3.2. Proposition. — If M is a finitely generated module over a principal ideal domain,
then M is torsion-free if and only if M is free.
(Exercise 24.2.B is closely related.)
Proposition 14.3.2 is false without the finite generation hypothesis: consider
M = K(A) for a suitably general ring A. It is also false if we give up the prin-
cipal ideal domain hypothesis: consider (x, y) ⊂ C[x, y] and (x, y) ⊂ C[x, y]/(xy).
(These examples require some verification.) These examples show that Exercise 14.3.G(a)
is false if we give up the “dimension 1” or “regular” hypothesis.
14.3.3. The fiber and rank of a quasicoherent sheaf at a point.
We now apply the definitions of fiber and rank of an OX -module at a point
p ∈ X (§4.3.8) to a quasicoherent sheaf F on a scheme X. The fiber of F at p is the
vector space
F |p := Fp /mFp = Fp ⊗OX,p κ(p),
where m is the maximal ideal of OX,p , and κ(p) is as usual the residue field OX,p /m
at p. A section of F over an open set containing p can be said to take on a value at
p, which is an element of this vector space. The rank of a quasicoherent sheaf F at
a point p is dimκ(p) Fp /mFp (possibly infinite). More explicitly, on any affine set
Spec A where p = [p] and F (Spec A) = M, then the rank is dimK(A/p) Mp /pMp .
Note that this definition of rank is consistent with the notion of rank of a locally
free sheaf. In the locally free case, the rank is a (locally) constant function of the
point. The converse is sometimes true, see Exercise 14.3.L below.
14.3.H. E XERCISE . Consider the coherent sheaf F on A1k = Spec k[t] correspond-
ing to the module k[t]/(t). Find the rank of F at every point of A1 . Don’t forget
the generic point!
14.3.I. E XERCISE . Show that at any point, rank(F ⊕ G ) = rank(F ) + rank(G ) and
rank(F ⊗ G ) = rank F rank G . (Hint: Show that direct sums and tensor products
commute with ring quotients and localizations, i.e., (M ⊕ N) ⊗R (R/I) =∼ M/IM ⊕
N/IN, (M ⊗R N) ⊗R (R/I) = ∼ (M ⊗R R/I) ⊗R/I (N ⊗R R/I) = ∼ M/IM ⊗R/I N/IM,
etc.)
If X is irreducible, and F is a quasicoherent (usually coherent) sheaf on X,
then rank F (with no mention of a point) by convention means at the generic
point. (For example, a rank 0 quasicoherent sheaf on an integral scheme is a torsion
quasicoherent sheaf, see Definition 6.1.5.)
14.3.J. E ASY E XERCISE . Show that the rank of finite type sheaves on an integral
scheme X is additive in exact sequences: if
0 /F /G /H /0
408 The Rising Sea: Foundations of Algebraic Geometry
is an exact sequence of coherent sheaves, show that
rank F − rank G + rank H = 0.
Hint: localization is exact. (Caution: your argument will use the fact that the rank
is at the generic point; the example
g ×t g ^
0 / k[t] / k[t] / k[t]/(t) /0
on A1k shows that rank at a closed point is not additive in exact sequences.)
If F is a finite type quasicoherent sheaf, then the rank of F at p is finite, and
by Nakayama’s Lemma, the rank is the minimal number of generators of Mp as
an Ap -module.
14.3.K. I MPORTANT E XERCISE ( RANK IS UPPERSEMICONTINUOUS FOR FINITE TYPE
QUASICOHERENT SHEAVES ). If F is a finite type quasicoherent sheaf on X, show
that rank(F ) is an upper semicontinuous function on X. Hint: generators at a
point p are generators nearby by Geometric Nakayama’s Lemma, Exercise 14.3.E.
(The example in Exercise 14.3.D shows the necessity of the finite type hypothesis.)
14.3.L. I MPORTANT E XERCISE ( FOR FINITE TYPE QUASICOHERENT SHEAVES ON RE -
DUCED SCHEMES , CONSTANT RANK = VECTOR BUNDLE ).
(a) If X is reduced, F is a finite type quasicoherent sheaf on X, and the rank of F
is constant, show that F is locally free.
Hint: prove the result in an open neighborhood of an arbitrary point p as
follows. Suppose n = rankp F . Choose n generators of the fiber F |p (a basis
as a κ(p)-vector space). By Geometric Nakayama’s Lemma 14.3.E, we can find
an affine open neighborhood Spec A ⊂ X of p, with F |Spec A = M, f so that the
chosen generators F |p lift to generators m1 , . . . , mn of M. Let ϕ : A⊕n //M
∑
((r1 , . . . , rn ) 7→ ri mi ) be the corresponding surjection. Suppose ker ϕ ̸= 0 —
say (r1 , . . . , rn ) ∈ ker ϕ, with ri ̸= 0. As X is reduced, there is some p where ri ∈/ p.
Then ri is invertible in Ap , so Mp has fewer than n generators, contradicting the
constancy of rank.
(b) Then use upper semicontinuity of rank (Exercise 14.3.K) to show that finite type
quasicoherent sheaves on a reduced scheme are locally free on a dense open set.
(c) Show that part (a) can be false without the condition of X being reduced. (Hint:
Consider A = k[x]/(x2 ), M = k.)
You can use the notion of rank to help visualize finite type quasicoherent
sheaves, or even quasicoherent sheaves. For example, finite type quasicoherent
sheaves generalize finite rank vector bundles as follows: to each point there is
an associated vector space, and although the ranks can jump, they fit together in
families as well as one might hope. You might try to visualize the example of
Example 14.3.H. Nonreducedness can fit into the picture as well — how would
you picture the coherent sheaf on Spec k[ϵ]/(ϵ2 ) corresponding to k[ϵ]/(ϵ) (Exer-
cise 14.3.L(c))? How about k[ϵ]/(ϵ2 ) ⊕ k[ϵ]/(ϵ)?
14.3.4. Degree of a finite morphism at a point. Suppose π : X → Y is a finite morphism.
Then π∗ OX is a finite type (quasicoherent) sheaf on Y, and the rank of this sheaf at
a point p is called the degree of the finite morphism at p. By Exercise 14.3.K, the
April 1, 2023 draft 409
degree of π is a upper semicontinuous function on Y. The degree can jump: con-
sider the closed embedding of a point into a line corresponding to k[t] → k given
by t 7→ 0. It can also be constant in cases that you might initially find surprising —
see Exercise 10.3.4, where the degree is always 2, but the 2 is obtained in a number
of different ways.
14.3.M. E XERCISE . Suppose π : X → Y is a finite morphism. By unwinding the
definition, verify that the degree of π at p is the dimension of the space of func-
tions on the scheme-theoretic preimage of p, considered as a vector space over the
residue field κ(p). In particular, the degree is zero if and only if π−1 (p) is empty.
14.4 Pushforwards of quasicoherent sheaves
We conclude the chapter by discussing pushforward and pullbacks of quasi-
coherent sheaves, their properties, and some applications.
Suppose B → A is a morphism of rings. Recall (from Exercise 1.5.E) that
(· ⊗B A, ·B ) is an adjoint pair between the categories of A-modules and B-modules:
we have a bijection
∼ HomB (N, MB )
HomA (N ⊗B A, M) =
functorial in both arguments. These constructions behave well with respect to lo-
calization (in an appropriate sense), and hence work (often) in the category of qua-
sicoherent sheaves on schemes (and indeed always in the category of O-modules
on ringed spaces, see Definition 14.5.6, although we won’t particularly care). The
easier construction (M 7→ MB ) will turn into our old friend pushforward. The
other (N 7→ A ⊗B N) will be a relative of pullback, whom I’m reluctant to call an
“old friend”.
We begin with the pushforwards, for which we have already done much of
the work.
The main moral of this section is that in “reasonable” situations, the pushfor-
ward of a quasicoherent sheaf is quasicoherent, and that this can be understood in
terms of one of the module constructions defined above. We begin with a motivat-
ing example:
14.4.A. E XERCISE . Let π : Spec A → Spec B be a morphism of affine schemes, and
suppose M is an A-module, so M f is a quasicoherent sheaf on Spec A. Give an
∼
f −→ M g
isomorphism π∗ M B . (Hint: There is only one reasonable way to proceed:
look at distinguished open sets.)
f is quasicoherent. Perhaps more important, this implies that
In particular, π∗ M
the pushforward of a quasicoherent sheaf under an affine morphism is also quasi-
coherent.
14.4.B. E XERCISE . If π : X → Y is an affine morphism, show that π∗ is an exact
functor QCohX → QCohY .
The following result generalizes the fact that the pushforward of a quasicoher-
ent sheaf under an affine morphism is also quasicoherent.
410 The Rising Sea: Foundations of Algebraic Geometry
14.4.C. E SSENTIAL E XERCISE ( COROLLARY TO E XERCISE 6.2.G: “π∗ : QCohX →
QCohY FOR QCQS π”). Suppose π : X → Y is a quasicompact quasiseparated
morphism, and F is a quasicoherent sheaf on X. Show that π∗ F is a quasicoherent
sheaf on Y. (For counterexamples without the quasicompact or quasiseparated
hypotheses, see [Stacks, tag 078C].)
Coherent sheaves do not always push forward to coherent sheaves. For exam-
ple, consider the structure morphism π : A1k → Spec k, corresponding to k → k[t].
Then π∗ OA1k is the quasicoherent sheaf corresponding to k[t], which is not a finitely
generated k-module. But in good situations, coherent sheaves do push forward.
For example:
14.4.D. E XERCISE . Suppose π : X → Y is a finite morphism of locally Noetherian
schemes. If F is a coherent sheaf on X, show that π∗ F is a coherent sheaf. Hint:
Show first that π∗ OX is finite type.
Once we define cohomology of quasicoherent sheaves, we will quickly prove
k , then Γ (Pk , F ) is a finite-dimensional k-module,
that if F is a coherent sheaf on Pn n
and more generally if F is a coherent sheaf on Proj S• , then Γ (Proj S• , F ) is a co-
herent A-module (where S0 = A). This is a special case of the fact that the “push-
forwards of coherent sheaves by projective morphisms are also coherent sheaves”
(Theorem 18.7.1(d)). (The notion of projective morphism, a relative version of
Proj S• → Spec A, will be defined in §17.3.)
More generally, given Noetherian hypotheses, pushforwards of coherent sheaves
by proper morphisms are also coherent sheaves (Grothendieck’s Coherence Theo-
rem 18.9.1).
14.4.1. Remark. Vector bundles do not always pushforward to vector bundles,
which is another reason to work in the larger category of (quasi)coherent sheaves.
(Can you think of an example? Hint: Spec k[t]/(t) → Spec k[t].) But in particularly
good circumstances they can, which is one of the purposes of the Cohomology and
Base Change Theorem 26.1.6.
14.5 Pullbacks of quasicoherent sheaves
We next discuss the pullback of a quasicoherent sheaf: if π : X → Y is a mor-
phism of schemes, π∗ is a covariant functor QCohY → QCohX . (In fact our discus-
sion will apply readily to pulling back O-modules on ringed spaces, see §14.5.5
and §14.5.6.) The notion of the pullback of a quasicoherent sheaf can be confus-
ing on first (and second) glance. (For example, it is not the inverse image sheaf,
although we will see that it is related.)
14.5.1. Here are three contexts in which you have seen the pullback, or can under-
stand it quickly. It may be helpful to keep these in mind, to keep you anchored in
the long discussion that follows. Suppose G is a quasicoherent sheaf on a scheme
Y.
(i) (restriction to open subsets) If i : U ,→ Y is an open embedding, then i∗ G is
G |U , the restriction of G to U (Example 2.2.8).
April 1, 2023 draft 411
(ii) (restriction to points) If i : p ,→ Y is the “inclusion” of a point p in Y (for
example, the closed embedding of a closed point; see Exercise 7.3.L(b)), then i∗ G
is G |p , the fiber of G at p (Definition 4.3.8).
The similarity of the notation G |U and G |p is precisely because both are pull-
backs. Pullbacks (especially to locally closed subschemes or generic points) are
often called restriction. For this reason, if π : X → Y is some sort of inclusion (such
as a locally closed embedding, or an “inclusion of a generic point”) then π∗ G is of-
ten written as G |X and called the restriction of G to X, when π can be interpreted
as some type of “inclusion”.
(iii) (pulling back vector bundles) Suppose G is a locally free sheaf on Y, and
π : X → Y is any morphism. Then π∗ G is the pullback of G as a vector bundle, as
defined in §14.2.6. (This will be established in §14.5.6.)
14.5.2. Strategy. We will see three different ways of thinking about the pullback.
Each has significant disadvantages, but together they give a good understanding.
(a) Because we are understanding quasicoherent sheaves in terms of affine
open sets, and modules over the corresponding rings, we begin with an interpre-
tation in this vein. This will be very useful for proving and understanding facts.
The disadvantage is that it is annoying to make a definition out of this (when the
target is not affine), because gluing arguments can be tedious.
(b) As we saw with fibered product, gluing arguments can be made simpler
using universal properties, so our second “definition” will be by universal prop-
erty. This is elegant, but has the disadvantage that it still needs a construction,
and because it works in the larger category of O-modules, it isn’t clear from the
universal property that it takes quasicoherent sheaves to quasicoherent sheaves.
But if the target is affine, our construction of (a) is easily seen to satisfy universal
property. Furthermore, the universal property is “local on the target”: if π : X → Y
is any morphism, i : U ,→ Y is an open embedding, and G is a quasicoherent sheaf
on Y, then if π∗ G exists, then its restriction to π−1 (U) is (canonically identified
with) (π|U )∗ (G |U ). Thus if the pullback exists in general (even as an O-module),
affine-locally on Y it looks like the construction of (a) (and thus is quasicoherent).
(c) The third definition is one that works on ringed spaces in general. It is
short, and is easily seen to satisfy the universal property. It doesn’t obviously
take quasicoherent sheaves to quasicoherent sheaves (at least in the way that we
have defined quasicoherent sheaves) — a priori it takes quasicoherent sheaves to
O-modules. But thanks to the discussion at the end of (b) above, which used (a),
this shows that the pullback of a quasicoherent sheaf is indeed quasicoherent.
14.5.3. First attempt at describing the pullback, using affines. Suppose π : X → Y
is a morphism of schemes, and G is a quasicoherent sheaf on Y. We want to define
the pullback quasicoherent sheaf π∗ G on X in terms of affine open sets on X and
Y. Suppose Spec A ⊂ X, Spec B ⊂ Y are affine open sets, with π(Spec A) ⊂ Spec B.
Suppose G |Spec B =∼ N.
e Perhaps motivated by the fact that pullback should relate
to tensor product, we want
([Link]) Γ (Spec A, π∗ G ) = N ⊗B A.
More precisely, we would like Γ (Spec A, π∗ G ) and N ⊗B A to be identified. This
could mean that we use this to construct a definition of π∗ G , by “gluing all this
information together” (and showing it is well-defined). Or it could mean that we
412 The Rising Sea: Foundations of Algebraic Geometry
define π∗ G in some other way, and then find a natural identification ([Link]). The
first approach can be made to work (and §14.5.4 is the first step), but we will follow
the second.
F IGURE 14.1. The pullback of a quasicoherent sheaf (module-theoretically)
14.5.4. We begin this project by fixing an affine open subset Spec B ⊂ Y. To avoid
confusion, let ϕ = π|π−1 (Spec B) : π−1 (Spec B) → Spec B. We will define a quasico-
herent sheaf on π−1 (Spec B) that will turn out to be ϕ∗ (G |Spec B ) (and will also be
the restriction of π∗ G to π−1 (Spec B)).
If Spec Af ⊂ Spec A is a distinguished open set, then
Γ (Spec Af , ϕ∗ G ) = N ⊗B Af = (N ⊗B A)f = Γ (Spec A, ϕ∗ G )f
where “=” means “canonically isomorphic”. Define the restriction map Γ (Spec A, ϕ∗ G ) →
Γ (Spec Af , ϕ∗ G ),
([Link]) Γ (Spec A, ϕ∗ G ) / Γ (Spec A, ϕ∗ G ) ⊗A Af ,
by α 7→ α ⊗ 1 (of course). Thus ϕ∗ G is (or: extends to) a quasicoherent sheaf on
π−1 (Spec B) (by Exercise 6.2.D).
We have now defined a quasicoherent sheaf on π−1 (Spec B), for every affine
open subset Spec B ⊂ Y. We want to show that this construction, as Spec B varies,
glues into a single quasicoherent sheaf on X.
You are welcome to do this gluing appropriately, for example using the dis-
tinguished affine base of Y (§6.2.1). This works, but can be confusing, so we take
another approach.
14.5.5. Universal property definition of pullback. Suppose π : X → Y is a mor-
phism of ringed spaces, and G is an OY -module. (We are of course interested in
the case where π is a morphism of schemes, and G is quasicoherent. Even once we
specialize our discussion to schemes, much of our discussion will extend without
change to this more general situation.) We “define” the pullback π∗ G as an OX -
module, using the following adjointness universal property: for any OX -module
∼
F , there is a bijection HomOX (π∗ G , F ) ←→ HomOY (G , π∗ F ), and these bijec-
tions are functorial in F . By universal property nonsense, this determines π∗ G
up to unique isomorphism; we just need to make sure that it exists (which is why
the word “define” is in quotes). Notice that we avoid worrying about when the
April 1, 2023 draft 413
pushforward of a quasicoherent sheaf F is quasicoherent by working in the larger
category of O-modules.
14.5.A. I MPORTANT E XERCISE . If Y is affine, say Y = Spec B, show that the con-
struction of the quasicoherent sheaf in §14.5.4 satisfies this universal property of
pullback of G . Thus calling this sheaf π∗ G is justified. Hint: Interpret both sides
of the alleged bijection explicitly. The adjointness in the ring/module case should
turn up.
14.5.B. I MPORTANT E XERCISE . Suppose i : U ,→ X is an open embedding of ringed
spaces, and F is an OX -module. Show that F |U satisfies the universal property of
i∗ F (and thus deserves to be called i∗ F ). In other words, for each OU -module E ,
describe a bijection
∼
HomOU (F |U , E ) o / HomO (F , i∗ E ),
X
functorial in E .
We next show that if π∗ G satisfies the universal property (for the morphism
π : X → Y), then if j : V ,→ Y is any open subset, and i : U = π−1 (V) ,→ X (see
([Link])), then (π∗ G )|U satisfies the universal property for π|U : U → V. Thus
(π∗ G )|U deserves to be called π|∗U (G |V ). You will notice that we really need to
work with O-modules, not just with quasicoherent sheaves.
U /X
i
([Link]) π−1 (V)
π|U π
V
j
/Y
If F ′ is an OU -module, we have a series of bijections (using Important Exercise 14.5.B
and adjointness of pullback and pushforward):
∼
HomOU ((π∗ G )|U , F ′ ) ←→ HomOU (i∗ (π∗ G ), F ′ )
∼
←→ HomOX (π∗ G , i∗ F ′ )
∼
←→ HomOY (G , π∗ i∗ F ′ )
∼
←→ HomOY (G , j∗ (π|U )∗ F ′ )
∼
←→ HomOV (j∗ G , (π|U )∗ F ′ )
∼
←→ HomOV (G |V , (π|U )∗ F ′ ).
We have thus described a bijection
∼
HomOU ((π∗ G )|U , F ′ ) o / HomO (G |V , (π|U )∗ F ′ ),
V
which is (by construction) functorial in F ′ . Hence the discussion in the first para-
graph of §14.5.5 is justified. For example, thanks to Important Exercise 14.5.A, the
pullback π∗ exists if Y is an open subset of an affine scheme.
At this point, we could show that the pullback exists, following the idea be-
hind the construction of the fibered product: we would start with the definition
when Y is affine, and “glue”. We will instead take another route.
414 The Rising Sea: Foundations of Algebraic Geometry
14.5.6. Third definition: pullback of O-modules via explicit construction. Sup-
pose π : X → Y is a morphism of ringed spaces, and G is an OY -module. Of course,
our case of interest is if π is a morphism of schemes, and G is quasicoherent. Now
π−1 G is a π−1 OY -module. (Notice that we are using the ringed space (X, π−1 OY ),
not (X, OX ). The inverse image construction π−1 was discussed in §2.7.) Further-
more, OX is also a π−1 OY -module, via the map π−1 OY → OX that is part of the
data of the morphism π. Define the pullback of G by π as the OX -module
([Link]) π∗ G := π−1 G ⊗π−1 OY OX .
It is immediate that pullback is a covariant functor π∗ : ModOY → ModOX , and that
π∗ OY is canonically isomorphic to OX . We have now established §14.5.1(iii), that
pullback of quasicoherent sheaves subsumes our older definition of pullback of
locally free sheaves.
14.5.C. I MPORTANT E XERCISE . Show that this definition ([Link]) of pullback
satisfies the universal property (§14.5.5). Thus the pullback exists, at least as a
functor ModOY → ModOX .
14.5.D. I MPORTANT E XERCISE ( PULBACCK IS A COVARIANT FUNCTOR ON QUASI -
COHERENT SHEAVES ). Show that if π : X → Y is a morphism of schemes, then π∗
gives a covariant functor QCohY → QCohX . (You might use §14.5.4, Exercise 14.5.B,
Exercise 14.5.A, and/or §14.5.5.)
If G is a quasicoherent sheaf on Y, note that we can interpret a global section of
Y as a map s : OY → G (the section of G is the image of the section 1 of OY ). Note
that a section of G is the data of a map OY → G . By Exercise 14.5.D, if s : OY → G
is a section of G , then there is a natural section π∗ s : OX → π∗ G of π∗ G . We call π∗ s
the pullback of the section s.
The following is immediate from the universal property, and Exercise 14.5.D.
The “quasicompact and quasiseparated” hypotheses are solely to ensure that π∗
indeed sends QCohX to QCohY (Exercise 14.4.C).
14.5.7. Proposition. — Suppose π : X → Y is a quasicompact, quasiseparated morphism.
Then (π∗ : QCohY → QCohX , π∗ : QCohX → QCohY ) are an adjoint pair: there is an
isomorphism
∼
([Link]) HomOX (π∗ G , F ) o / HomO (G , π∗ F ),
Y
functorial in both F ∈ QCohX and G ∈ QCohY .
14.5.E. I MPORTANT EXERCISE ( PULLBACK IS A right-exact FUNCTOR ). Suppose
π : X → Y is a morphism of schemes. Show that π∗ : QCohY → QCohX is a right-
exact functor. Possible hint: ⊗ is right-exact.
14.5.8. Remark: Flatness. Given π : X → Y, if the functor π∗ from quasicoherent
sheaves on Y to quasicoherent sheaves on X is exact (not just right-exact as given
by Exercise 14.5.E), we will say that π is a flat morphism. This is an incredibly im-
portant notion. We will return to it (and define it in a different-looking, equivalent
but better way) in Chapter 24; see Exercise 24.2.L.
April 1, 2023 draft 415
14.5.F. E XERCISE ( PULLBACK PRESERVES FINITE TYPE AND FINITELY PRESENTED
QUASICOHERENT SHEAVES ). Suppose that π : X → Y is a morphism of schemes,
and G is a quasicoherent sheaf on Y. If G is finite type (resp., finitely presented),
show that π∗ G is as well. Hint: cover Y by open sets for which there are surjections
⊕n ⊕m ⊕n
OU → G |U → 0 (resp., OU → OU → G |U → 0). Apply the the right-exact
functor π . (Hence if X is locally Noetherian, and G is coherent, then so is π∗ G .
∗
It is not always true that the pullback of a coherent sheaf is coherent, and the
interested reader can think of a counterexample.)
14.5.G. E ASY EXERCISE . Suppose ξ : W → X and π : X → Y are morphisms of
schemes, and G is a quasicoherent sheaf on Y. Show that there is a canonical
∼
isomorphism ξ∗ π∗ G ←→ (π ◦ ξ)∗ G .
14.5.H. E XERCISE . Suppose π : X → Y is a morphism of schemes, with π(p) = q,
and G is a quasicoherent sheaf on Y.
(a) (pullback on stalks) Show that pullback induces an isomorphism
∼ / Gq ⊗O OX,p .
([Link]) (π∗ G )p Y,q
(b) (pullback on fibers) Show that pullback induces an isomorphism
∼ / G |q ⊗κ(q) κ(p) .
(π∗ G )|p
Possible hint: Given a ring map B → A with [m] 7→ [n], where m ⊂ A and n ⊂ B
are maximal ideals, show that (N ⊗B A) ⊗A (A/m) =∼ (N ⊗B (B/n)) ⊗B/n (A/m) by
showing both sides are isomorphic to N ⊗B (A/m).
14.5.I. E XERCISE : PULLBACK PRESERVES TENSOR PRODUCT. Suppose π : X → Y is
a morphism of schemes, and G and G ′ are quasicoherent sheaves on Y. Show that
π∗ (G ⊗OY G ′ ) = π∗ G ⊗OX π∗ G ′ .
14.5.J. U NIMPORTANT E XERCISE . Verify that the following is an example showing
that pullback is not left-exact: consider the exact sequence of sheaves on A1k , where
i : p ,→ A1k is the origin:
0 / OA1 (−p) / OA1 / i∗ O|p / 0.
k k
(This is the closed subscheme exact sequence ([Link]) for p ∈ A1k , and corresponds
to the exact sequence of k[t]-modules 0 → tk[t] → k[t] → k → 0. Warning: here
O|p is not the stalk Op ; it is the structure sheaf of the scheme p.) Restrict to p.
14.5.K. E XERCISE ( THE PUSH - PULL MAP FOR QUASICOHERENT SHEAVES ). Sup-
pose that
ψ′
X′ /X
π′ π
Y′
ψ
/Y
is a commutative diagram of schemes, and π and π ′ are both quasicompact and
quasiseparated (so pushforward by both sends quasicoherent sheaves to quasico-
herent sheaves). Describe a natural map (functorial in F ) of quasicoherent sheaves
416 The Rising Sea: Foundations of Algebraic Geometry
on Y ′ ,
ψ∗ π∗ F / π∗′ (ψ ′ )∗ F
following the Definition 2.7.4 of the push-pull map for sheaves in general, as you
may have done in Exercise 7.2.D(f) in the case of O-modules. (See Exercise 18.7.B
for a generalization to cohomology.)
14.5.9. By applying the above exercise in the special case where Y ′ is a point q of Y,
we see that there is a natural map from the fiber of the pushforward to the sections
over the fiber:
([Link]) π∗ F ⊗ κ(q) / Γ (π−1 (q), F |π−1 (q) ).
One might hope that ([Link]) is an isomorphism, i.e., that π∗ F “glues together”
the fibers Γ (π−1 (q), F |π−1 (q) ). This is too much to ask, but at least ([Link]) gives
a map. (In fact, under just the right circumstances, ([Link]) is an isomorphism,
see §26.1.)
14.5.L. I MPORTANT E XERCISE ( PROJECTION FORMULA , TO BE GENERALIZED IN
E XERCISE 18.7.E). Suppose π : X → Y is quasicompact and quasiseparated, and
F and G are quasicoherent sheaves on X and Y respectively.
(a) Describe a natural morphism (π∗ F ) ⊗ G → π∗ (F ⊗ π∗ G ).
(b) If G is locally free, show that this natural morphism is an isomorphism. (Hint:
what if G is free?)
(c) If π is affine, then show that this natural morphism is an isomorphism.
(Sadly, the phrase “projection formula” is used for a number of facts, not all
related.)
14.5.10. Remark: Pulling back ideal sheaves. There is one subtlety in pulling
back quasicoherent ideal sheaves. Suppose i : X ,→ Y is a closed embedding, and
µ : Y ′ → Y is an arbitrary morphism. Let X ′ := X ×Y Y ′ . As “closed embeddings
pull back” (§10.2.2), the pulled back map i ′ : X ′ → Y ′ is a closed embedding.
X ′ _ / X
_
i′ i
Y′
µ
/Y
∼ ∼
Now µ∗ induces canonical isomorphisms µ∗ OY ←→ OY ′ and µ∗ (i∗ OX ) ←→ (i∗′ OX ′ ).
(Why is the latter isomorphism true? Hint: check affine-locally.) But it is not nec-
essarily true that µ∗ IX/Y = IX ′ /Y ′ . (Exercise 14.5.J yields an example.) This is
because the application of µ∗ to the closed subscheme exact sequence
0 / IX/Y / OY / i∗ OX /0
yields something that is a priori only right-exact:
µ∗ IX/Y / OY ′ / i∗′ OX ′ / 0.
Thus, as IX ′ /Y ′ is the kernel of OY ′ → i∗′ OX ′ , we see that IX ′ /Y ′ is the image of
µ∗ IX/Y in OY ′ . We can also see this explicitly from Exercise 10.2.B: affine-locally,
the ideal of the pullback is generated by the pullback of the ideal.
April 1, 2023 draft 417
Note also that if µ is flat (Remark 14.5.8), then µ∗ IX/Y → IX ′ /Y ′ is an isomor-
phism.
14.6 The quasicoherent sheaf corresponding to a graded module
We now describe quasicoherent sheaves on a projective A-scheme. Recall that
a projective A-scheme is produced from the data of a Z≥0 -graded ring S• , with
S0 = A, and S+ is a finitely generated ideal (a “finitely generated graded ring over
A”, §4.5.6). The resulting scheme is denoted Proj S• .
Suppose M• is a graded S• -module, graded by Z. (While reading the next sec-
tion, you may wonder why we don’t grade by Z≥0 . You will see that it doesn’t
matter. A Z-grading will make things cleaner when we produce an M• from a
quasicoherent sheaf on Proj S• .) We define the quasicoherent sheaf M g• as follows.
f
(I will avoid calling it M, as this might cause confusion with the affine case; but
g• is not graded in any way.) For each homogeneous f of positive degree, we define
M
a quasicoherent sheaf M ^• (f) on the distinguished open D(f) = {p : f(p) ̸= 0} by
((M^ • )f )0 — note that ((M• )f )0 is an ((S• )f )0 -module, and recall that D(f) is iden-
tified with Spec((S• )f )0 (Exercise 4.5.I). As in ([Link]), the subscript 0 means “the
0-graded piece”. We have obvious isomorphisms of the restriction of M ^ • (f) and
M^• (g) to D(fg), satisfying the cocycle conditions. (Think through this yourself, to
be sure you agree with the word “obvious”!) By Exercise 2.5.E, these sheaves glue
together to a single sheaf Mg• on Proj S• . We then discard the temporary notation
^
M• (f).
The O-module M g• is clearly quasicoherent, because it is quasicoherent on each
D(f), and quasicoherence is local.
14.6.A. E XERCISE . Give an isomorphism between the stalk of M g• at a point cor-
responding to homogeneous prime p ⊂ S• and ((M• )p )0 . Here ((M• )p )0 means
“the degree 0 homogeneous fractions in (M• )p ”, and p should be a “relevant” ho-
mogeneous prime (i.e., [p] is a point of Proj S• ). (Remark: You can use this exer-
g• in terms of “compatible stalks”, cf. Exer-
cise to give an alternate definition of M
cise 4.5.P.)
Given a map of graded modules ϕ : M• → N• , we get an induced map of
sheaves M g• → N f• . Explicitly, over D(f), the map M• → N• induces (M• )f →
(N• )f , which induces ϕf : ((M• )f )0 → ((N• )f )0 ; and this behaves well with re-
spect to restriction to smaller distinguished open sets, i.e., the following diagram
commutes.
((M• )f )0
ϕf
/ ((N• )f )0
ϕfg
((M• )fg )0 / ((N• )fg )0 .
Thus ∼ is a functor from the category of graded S• -modules to the category of
quasicoherent sheaves on Proj S• .
418 The Rising Sea: Foundations of Algebraic Geometry
14.6.B. E ASY E XERCISE . Show that ∼ is an exact functor. (Hint: everything in the
construction is exact.)
14.6.C. E XERCISE . Show that if M• and M•′ agree in high enough degrees, then
g• =
M ∼Mg′ . Then show that the map from graded S• -modules (up to isomorphism)
•
to quasicoherent sheaves on Proj S• (up to isomorphism) is not a bijection. (Really:
show this is not an equivalence of categories.)
g• ). (This
14.6.D. E XERCISE . Describe a map of S0 -modules M0 → Γ (Proj S• , M
foreshadows the “saturation map” of §15.6.5 that takes a graded module to its
saturation, see Exercise 15.6.C.)
14.6.1. Exercise 14.6.C shows that ∼ isn’t an isomorphism (or equivalence) of cat-
egories, but it is close. The relationship is akin to that between presheaves and
sheaves, and the sheafification functor (see §15.6). One convenient way of un-
derstanding this is by starting with the category [Link]• of finitely-generated
S• -modules, and creating a new category C with the same objects, but different
morphisms: them morphisms from M• to N• in this new category are
( )
HomC (M• , N• ) := lim [Link] (M•≥m , N•≥m ) .
m→∞ •
(Here M•≥m = ⊕n≥m M• as you might expect.) Then you can show that C is
equivalent to the category of finite type quasicoherent sheaves on Proj S• , and this
equivalence corresponds to the map M• 7→ M g• . You are welcome to prove these
facts, but we will not use them.
14.6.2. Example: Homogeneous ideals of S• give closed subschemes of Proj S• .
Recall that a homogeneous ideal I• ⊂ S• yields a closed subscheme Proj S• /I• ,→
∼ P3 . The ideal I• =
Proj S• . For example, suppose S• = k[w, x, y, z], so Proj S• =
2 2
(wz − xy, x − wy, y − xz) yields our old friend, the twisted cubic (defined in
Exercise 9.3.A)
14.6.E. E XERCISE . Show that if the functor ∼ is applied to the exact sequence of
graded S• -modules
0 / I• / S• / S• /I• /0
we obtain the closed subscheme exact sequence ([Link]) for Proj S• /I• ,→ Proj S• .
All closed subschemes of Proj S• arise in this way (see Exercise 15.6.J).
14.6.3. Remark. If M• is finitely generated (resp. finitely presented, coherent),
g• , [Roh, (4.4.11)]. We will not need this fact. (Quick proof of the first
then so is M
two: if M• is finitely generated, resp. finitely presented, so is the quasicoherent
g• on the affine cone Spec M• . These two notions are preserved by pullback,
sheaf M
and the standard open subsets of Proj S• are closed subschemes of the affine cone
Spec S• .)
CHAPTER 15
Line bundles, maps to projective space, and divisors
When learning algebraic geometry for the first time, it is surprising to hear
that line bundles (invertible sheaves) are of such vital importance. i) They are, of
course, the simplest vector bundles. ii) We can often classify them, using “codi-
mension 1” information. In particular, we can build them and manipulate them.
iii) Knowing line bundles on a variety X helps us classify X, and understand maps
to projective space, and to other varieties. iv) And this only the beginning.
In this chapter, we next describe convenient and powerful ways of working
with and classifying line bundles. We begin with a fundamental example, the line
bundles O(n) on projective space, §15.1. We then introduce Weil divisors (formal
sums of codimension 1 subsets), and use them to determine Pic X in a number
of circumstances, §15.4. We finally discuss sheaves of ideals that happen to be
invertible (effective Cartier divisors), §15.5. A recurring theme is that line bundles
are closely related to “codimension 1 information”.
15.1 Some line bundles on projective space
We now describe an important family of invertible sheaves on projective space
over a field k.
As a warm-up, we begin with the invertible sheaf OP1k (1) on P1k = Proj k[x0 , x1 ].
The subscript P1k refers to the space on which the sheaf lives, and is often omitted
when it is clear from the context. We describe the invertible sheaf O(1) using transi-
tion functions. It is trivial on the usual affine open sets U0 = D(x0 ) = Spec k[x1/0 ]
and U1 = D(x1 ) = Spec k[x0/1 ]. (We continue to use the convention xi/j for de-
scribing coordinates on patches of projective space, see §4.4.9.) Thus the data of
a section over U0 is a polynomial in x1/0 . The transition function from U0 to U1
is multiplication by x0/1 = x−1 1/0 . The transition function from U1 to U0 is hence
−1
multiplication by x1/0 = x0/1 .
This information is summarized below:
open cover U0 = Spec k[x1/0 ] U1 = Spec k[x0/1 ]
×x0/1 =x−1
1/0
-
trivialization and transition functions k[x1/0 ] m k[x0/1 ]
×x1/0 =x−1
0/1
To test our understanding, let’s compute the global sections of O(1). This will
∼ k (Example 4.4.6). A global
generalize our hands-on calculation that Γ (P1k , OP1k ) =
419
420 The Rising Sea: Foundations of Algebraic Geometry
section is a polynomial f(x1/0 ) ∈ k[x1/0 ] and a polynomial g(x0/1 ) ∈ k[x0/1 ] such
that f(1/x0/1 )x0/1 = g(x0/1 ). A little thought will show that f must be linear:
f(x1/0 ) = ax1/0 + b, and hence g(x0/1 ) = a + bx0/1 . Thus
dim Γ (P1k , O(1)) = 2 ̸= 1 = dim Γ (P1k , O).
Thus O(1) is not isomorphic to O, and we have constructed our first (proved) ex-
ample of a nontrivial line bundle!
We next define more generally OP1k (m) on P1k . It is defined in the same way,
except that the transition functions are the mth powers of those for O(1).
open cover U0 = Spec k[x1/0 ] U1 = Spec k[x0/1 ]
×xm −m
0/1 =x1/0
-
trivialization and transition functions k[x1/0 ] m k[x0/1 ]
×xm −m
1/0 =x0/1
In particular, thanks to the explicit transition functions, we see that O(m) = O(1)⊗m
(with the obvious meaning if m is negative: (O(1)⊗(−m) )∨ ). Clearly also O(m) ⊗
O(m ′ ) = O(m + m ′ ).
15.1.A. I MPORTANT E XERCISE . Show that dim Γ (P1 , O(m)) = m + 1 if m ≥ 0, and
0 otherwise.
15.1.1. Example. Long ago (in Exercise 2.6.J(a)), we warned that sheafification
was necessary when tensoring OX -modules: if F and G are two OX -modules on a
∼ (F ⊗ G )(X).
ringed space, then it is not necessarily true that F (X) ⊗OX (X) G (X) =
We now have an example: let X = Pk , F = O(1), G = O(−1), and use the fact that
1
O(−1) has no nonzero global sections.
15.1.B. E XERCISE . Show that if m ̸= m ′ , then O(m) ̸=∼ O(m ′ ). Hence conclude
that we have an injection of groups Z ,→ Pic P1k given by m 7→ O(m).
It is useful to identify the global sections of O(m) with the homogeneous poly-
nomials of degree m in x0 and x1 , i.e., with the degree m part of k[x0 , x1 ] (cf.
§15.1.2 for the generalization to Pn ). Can you see this from your solution to Ex-
ercise 15.1.A? We will see that this identification is natural in many ways. For
example, you can show that the definition of O(m) doesn’t depend on a choice
of affine cover, and this polynomial description is also independent of cover. (For
this, see Example 4.5.12; you can later compare this to Exercise 26.1.M.) As an im-
mediate check of the usefulness of this point of view, ask yourself: where does the
section x30 − x0 x21 of O(3) vanish? The section x0 + x1 of O(1) can be multiplied by
the section x20 of O(2) to get a section of O(3). Which one? Where does the rational
section x40 (x1 + x0 )/x71 of O(−2) have zeros and poles, and to what order? (We
saw the notion of zeros and poles in Definition 13.5.7, and will meet them again in
§15.4, but you should intuitively answer these questions already.)
We now define the invertible sheaf OPnk (m) on the projective space Pn k . On the
usual affine open set Ui = Spec k[x0/i , . . . , xn/i ]/(xi/i − 1) = Spec Ai , it is trivial,
so sections (as an Ai -module) are isomorphic to Ai . The transition function from
April 1, 2023 draft 421
−m
Ui to Uj is multiplication by xm
i/j = xj/i .
Ui = Spec k[x0/i , . . . , xn/i ]/(xi/i − 1) Uj = Spec k[x0/j , . . . , xn/j ]/(xj/j − 1)
×xm −m
i/j =xj/i
.
k[x0/i , . . . , xn/i ]/(xi/i − 1) n k[x0/j , . . . , xn/j ]/(xj/j − 1)
×xm −m
j/i =xi/j
Note that these transition functions clearly satisfy the cocycle condition.
15.1.C. E SSENTIAL EXERCISE
(n+m)( CF. E XERCISE 9.3.J, T HEOREM 18.1.2). Show that
dimk Γ (Pnk , OPk (m)) = .
n
n
15.1.2. As in the case of P1 , sections of O(m) on Pn k are naturally identified with
homogeneous degree m polynomials in our n + 1 variables. (Important question:
Do you see why? Can you work out this dictionary?) Thus x + y + 2z is a section
of O(1) on P2 . It isn’t a function, but we know where this section vanishes —
precisely where x + y + 2z = 0. ( )
Also, notice that for fixed n, n+m n is a polynomial in the variable m, of de-
gree n, when m ≥ 0 (or better: when m ≥ −n). This should be telling you
that this function “wants to be a polynomial,” but won’t succeed without assis-
tance. We will later define h0 (Pn k , O(m)) := dimk Γ (Pk , O(m)), and later still
n
we will define higher cohomology
∑∞ groups, and we will define the Euler charac-
teristic χ(Pnk , O(m)) := i=0 (−1)i i n
h (Pk , O(m)) (cohomology will vanish in de-
gree higher than n). We will discover the moral that the Euler characteristic is
better-behaved than h0 , and so we should now suspect (and later prove, see The-
orem 18.1.2, Remark 18.3.5, and Exercise 18.3.C) that this polynomial is in fact the
Euler characteristic, and the reason that it agrees with h0 for m ≥ 0 is because all
the other cohomology groups should vanish.
We finally note that we can define O(m) on Pn A for any ring A: the above defini-
tion applies without change, and Exercise 15.1.C immediately
(n+m ) generalizes to show
that Γ (PA , OPA (m)) is a free A-module of rank n , with the same interpretation
n n
in terms of homogeneous polynomials.
The connection to homogeneous polynomials will be put on a more precise
footing by the next Exercise.
15.1.D. E XERCISE ( ENLIGHTENING EXAMPLE AND GOOD PRACTICE ). Let π :
An+1 \ {⃗0} → Pn be the natural morphism (described in Exercise 7.3.F and Ex-
A A
ample 7.3.12). From §15.4.12, Pic(AAn+1
\ {⃗0}) = 0, so for any m ∈ Z, π∗ OPnA =∼
⃗ ∗ ⃗
OAn+1 \ {0}. This induces a map π : Γ (PA , OPnA (m)) → Γ (AA \ {0}, OAn+1 ). Show
n n+1
A A
that the pullback
n+1
α : A[x0 , . . . , xn ] = Γ (AA , OAn+1 ) / Γ (An+1 \ {⃗0}, O n+1 )
A A A A
is an isomorphism, and explain how the composition
α−1 ◦ π∗ : Γ (Pn / A[x0 , . . . , xn ]
A , OPA (m))
n
A , OPA (m)) as the homogeneous degree m polynomials A[x0 , . . . , xn ].
interprets Γ (Pn n
422 The Rising Sea: Foundations of Algebraic Geometry
15.1.3. These are the only line bundles on Pn k.
Suppose that k is a field. We will see in §15.4.14 that these O(m) are the only
invertible sheaves on Pnk . The next Exercise shows this when n = 1, although this
approach will soon be trumped.
15.1.E. E XERCISE . Show that every invertible sheaf on P1k is of the form O(m) for
some m. Hint: use the classification of finitely generated modules over a principal
ideal domain (Remark 13.5.15) to show that all invertible sheaves on A1k are triv-
ial (a special case of Exercise 14.2.N). Reduce to determining possible transition
functions between the two open subsets in the standard cover of P1k .
Caution: there can exist invertible sheaves on P1A not of the form O(m). You
may later be able to think of examples. (Hints to find an example for when you
know more: what if Spec A is disconnected? Or if that leads to too silly an example,
what if Spec A has nontrivial invertible sheaves?)
15.1.4. Line bundles on projective A-schemes.
Suppose M• is a graded S• -module. Define the graded module M(n)• by
^• satisfies
M(n)m := Mn+m . Thus the quasicoherent sheaf M(n)
^• ) = ((M• )f )n
Γ (D+ (f), M(n)
where here the subscript means we take the nth graded piece. (These subscripts
are admittedly confusing!)
15.1.F. E XERCISE . If S• = A[x0 , . . . , xm ], so Proj S• = Pm ^ ∼
A , show S(n)• = O(n)
using transition functions (cf. §15.1). (Recall from §15.1.2 that the global sections
of O(n) should be identified with the homogeneous degree n polynomials in x0 ,
. . . , xm . Can you see that in the context of this exercise?)
15.1.5. Definition. Motivated by this, if S• is a graded ring generated in degree 1,
^• .
we define OProj S (n) (or simply O(n), where S• is implicit) by S(n)
•
15.1.G. I MPORTANT E XERCISE . If S• is generated in degree 1, show that OProj S• (n)
is an invertible sheaf.
If S• is generated in degree 1, and F is a quasicoherent sheaf on Proj S• , define
F (n) := F ⊗ O(n). This is often called twisting F by O(n), or twisting F by n.
More generally, if L is an invertible sheaf, then F ⊗ L is often called twisting F
by L .
15.1.H. E XERCISE . If S• is generated in degree 1, show that M g• (n) = ^• .
∼ M(n)
(Hereafter, we can be cavalier with the placement of the “dot” in such situations.)
∼ O(m) ⊗
15.1.I. E XERCISE . If S• is generated in degree 1, show that O(m + n) =
O(n).
15.1.6. Unimportant remark. Even if S• is not generated in degree 1, then (if S•
is finitely generated) by Exercise 7.4.G, Sd• is generated in degree 1 for some d.
In this case, we may define the invertible sheaves O(dn) for n ∈ Z. This does
not mean that we can’t define O(1); this depends on S• . For example, if S• is the
April 1, 2023 draft 423
polynomial ring k[x, y] with the usual grading, except without linear terms (so
S• = k[x2 , xy, y2 , x3 , x2 y, xy2 , y3 ]), then S2• and S3• are both generated in degree
1, meaning that we may define O(2) and O(3). There is good reason to call their
“difference” O(1). (This algebra may remind of you of the pinched plane, Exer-
cise 13.5.I.)
15.2 Line bundles and maps to projective space
Recall that affine space An had a short description as a representable functor:
maps (from X) to An are exactly the same data as a choice of n functions (on X),
Exercise 7.6.E(a). In this section, we re-interpret projective space in the same way.
Suppose x0 , x1 , and x2 are projective coordinates on P2k . Do you see how
([Link]) [x30 , x20 x2 , x0 x1 x2 + x31 , x32 ]
gives a morphism P2k → P3k ? The entries of ([Link]) aren’t functions, so we can’t
make sense of them individually. But for any “point of P2k ”, their ratios can make
sense nonetheless. For example, the point [1, 1, 1] is sent to [1, 1, 2, 1], and the same
point [2, 2, 2] is sent to [8, 8, 16, 8], so there is no contradiction — the entries of
([Link]) are all homogeneous of degree 3, so the quotient of one by another is a
rational function. On the other hand,
([Link]) [x30 , x20 x2 , x0 x1 x2 + x31 , x31 ]
doesn’t give a morphism P2k → P3k , because the point [0, 0, 1] “doesn’t know where
to go”. But you might be able to interpret ([Link]) as giving a morphism P2k \
{[0, 0, 1]} → P3k , or a rational map P2k 99K P3k . This may even remind you of Exer-
cise 7.3.O. We now make this precise, and state it much more generally. In particu-
lar, in what follows, we don’t need to work over a field.
15.2.A. E ASY E XERCISE ( A VITALLY IMPORTANT CONSTRUCTION ). Suppose s0 ,
. . . , sn are n + 1 global sections of an invertible sheaf L on a scheme X, with no
common zero. Define a corresponding map to Pn :
[s0 ,...,sn ]
X / Pn
Hint: If U is an open subset on which L is trivial, choose a trivialization, then
translate the si into functions using this trivialization, and use Exercise 7.3.O(a) to
obtain a morphism U → Pn . Then show that all of these maps (for different U and
different trivializations) “agree”, using Exercise 7.3.O(b).
(In Theorem 15.2.2, we will see that this yields all maps to projective space.)
Note that this exercise as written “works over Z” (as all morphisms are “over” the
final object in the category of schemes), although many readers will just work over
a field k.
15.2.1. Definitions. If L is an invertible sheaf on X, then those points where all
global sections of L vanish are called the base points of L , and the set of base
points is called the base locus of L ; it is a closed subset of X. (We can refine this to
a closed subscheme: by taking the scheme-theoretic intersection of the vanishing
424 The Rising Sea: Foundations of Algebraic Geometry
loci of the sections of L , we obtain the scheme-theoretic base locus.) The com-
plement of the base locus is the base-point-free locus. If L has no base points,
it is base-point-free. By the previous discussion, (i) the base-point-free locus is
an open subset of X, and (ii) L is generated by global sections if and only if it is
base-point-free. By Exercise 16.1.B, the tensor product of two base-point-free line
bundles is base-point-free.
More generally, if we have a bunch of global sections of L (perhaps not all of
them), we can define the base points (and all the related notions, of the previous
paragraph) of these sections. Thus for example Exercise 15.2.A states that if s0 , . . . ,
sn are a base-point-free family of global sections of an invertible sheaf L on X,
then they define a map to Pn .
A linear series on a k-scheme X is a k-vector space V (usually finite-dimensional),
an invertible sheaf L , and a linear map λ : V → Γ (X, L ). Such a linear series is
often called “V”, with the rest of the data left implicit. If the map λ is an isomor-
phism, it is called a complete linear series, and is often written |L |. The language
of base points (base-point-free, base locus, scheme-theoretic base locus, ...) readily
applies to of the linear series.
As a reality check, Exercise 15.2.A states that an (n + 1)-dimensional linear
series on a k-scheme X, with choice of basis, with base-point-free locus U defines
a morphism U → Pn k.
15.2.B. E XERCISE . Suppose we have a morphism π : X → Pn k , corresponding
to the base-point-free linear series Γ (Pn
k , O(1)) → Γ (X, L ) (so L = π∗ O(1)). If
the scheme-theoretic image of X in Pk lies in a hyperplane, we say that the linear
n
series (or X itself) is degenerate (and otherwise, nondegenerate). Show that a
base-point-free linear series V → Γ (X, L ) is nondegenerate if and only if the map
V → Γ (X, L ) is an inclusion. In particular, a complete linear series is always
nondegenerate.
Theorem 15.2.2, the converse or completion to Exercise 15.2.A, will give one
reason why line bundles are crucially important: they tell us about maps to projec-
tive space, and more generally, to quasiprojective A-schemes. Given that we have
had a hard time naming any non-quasiprojective schemes, they tell us about maps
to essentially all interesting schemes.
15.2.2. Important Theorem. — For a fixed scheme X, morphisms X → Pn are in bi-
jection with the data (L , s0 , . . . , sn ), where L is an invertible sheaf and s0 , . . . , sn are
sections of L with no common zeros (i.e., (s0 , . . . , sn ) is base-point-free), up to isomor-
phism of these data.
(This works over Z, or indeed any base.) Informally: morphisms to Pn corre-
spond to n + 1 sections of a line bundle, not all vanishing at any point, modulo
global sections of OX∗ , as multiplication by an invertible function gives an automor-
phism of L . This is one of those important theorems in algebraic geometry that is
easy to prove, but quite subtle in its effect on how one should think. It takes some
time to properly digest. A “coordinate-free” version is given in Exercise 15.2.J.
15.2.3. Theorem 15.2.2 describes all morphisms to projective space, and hence by
the Yoneda philosophy, this can be taken as the definition of projective space: it
defines projective space up to unique isomorphism. Projective space Pn (over Z) is
April 1, 2023 draft 425
the moduli space of line bundles L along with n + 1 sections of L with no common zeros.
(Can you give an analogous definition of projective space over X, denoted Pn X ?) Or
if you prefer, maps X → Pn k of k-schemes correspond to (n + 1)-dimensional base-point-
free linear series on X, along with choice of basis. (How would you rephrase this if k is
replaced by another ring?)
Every time you see a map to projective space, you should immediately simul-
taneously keep in mind the invertible sheaf and sections (or, if you prefer, the
linear series).
Maps to projective schemes can be described similarly. For example, if Y ,→ P2k
is the curve x22 x0 = x31 − x1 x20 , then maps from a scheme X to Y are given by an
invertible sheaf on X along with three sections s0 , s1 , s2 , with no common zeros,
satisfying s22 s0 − s31 + s1 s20 = 0.
15.2.4. The central idea of the proof of Theorem 15.2.2 is straightforward: we need
to show a bijection, show we just figure out what the maps are from left to right,
and from right to left, and show that they are indeed inverse. The key will be
thinking about transition functions between the trivializing neighborhoods.
Here more precisely is the correspondence of Theorem 15.2.2. Any n + 1 sec-
tions of L with no common zeros determine a morphism to Pn , by Exercise 15.2.A.
Conversely, if you have a map to projective space π : X → Pn , then we have n + 1
sections of OPn (1), corresponding to the hyperplane sections, x0 , . . . , xn . Then
π∗ x0 , . . . , π∗ xn are sections of π∗ OPn (1), and they have no common zero. (Re-
minder: it is helpful to think of pulling back invertible sheaves in terms of pulling
back transition functions.)
So to prove Theorem 15.2.2, we just need to show that these two constructions
compose to give the identity in either direction.
Proof of Important Theorem 15.2.2. Suppose we are given n + 1 sections s0 , . . . , sn of
an invertible sheaf L , with no common zeros, which (via Exercise 15.2.A) induce a
morphism π : X → Pn . For each si , we get a trivialization of L on the open set Xsi
where si doesn’t vanish (following the notation of Exercise 15.4.Y). The transition
functions for L are precisely si /sj on Xsi ∩ Xsj . As O(1) is trivial on the standard
affine open sets D+ (xi ) of Pn , π∗ (O(1)) is trivial on Xsi = π−1 (D+ (xi )). Moreover,
si /sj = π∗ (xi /xj ) (directly from the construction of π in Exercise 15.2.A). This
∼
gives an isomorphism L ←→ π∗ O(1) — the two invertible sheaves have the same
transition functions.
15.2.C. E XERCISE . Show that this isomorphism can be chosen so that
∼
(L , s0 , . . . , sn ) o / (π∗ O(1), π∗ x0 , . . . , π∗ xn ),
thereby completing one of the two implications of the theorem.
For the other direction, suppose we are given a map π : X → Pn . Let si =
π xi ∈ Γ (X, π∗ (O(1))). As the xi ’s have no common zeros on Pn , the si ’s have
∗
no common zeros on X. The map [s0 , . . . , sn ] is the same as the map π. We see
this as follows. The preimage of D(xi ) (by the morphism [s0 , . . . , sn ]) is D(si ) =
D(π∗ xi ) = π−1 D(xi ), so “the right open sets go to the right open sets”. To show the
two morphisms D(si ) → D(xi ) (induced from (s1 , . . . , sn ) and π) are the same, we
use the fact that maps to an affine scheme D(xi ) are determined by their maps of
426 The Rising Sea: Foundations of Algebraic Geometry
global sections in the opposite direction (Essential Exercise 7.3.G). Both morphisms
D(si ) → D(xi ) corresponds to the ring map π♯ : xj/i = xj /xi 7→ sj /si . □
15.2.5. Remark: Extending Theorem 15.2.2 to rational maps. Suppose s0 , . . . , sn are
sections of an invertible sheaf L on a scheme X. Then Theorem 15.2.2 yields a
morphism X − V(s0 , . . . , sn ) → Pn . In particular, if X is integral, and the si are not
all 0, these data yield a rational map X 99K Pn .
15.2.6. Examples and applications (important and enlightening).
15.2.D. E XERCISE ( AUTOMORPHISMS OF PROJECTIVE SPACE ). Show that all the
automorphisms of projective space Pn k (fixing k) correspond to (n + 1) × (n +
1) invertible matrices over k, modulo scalars (also known as PGLn+1 (k)). (Hint:
Suppose π : Pnk → Pk is an automorphism. Show that this induces an isomorphism
n
∼
π O(1) −→ O(1). Show that π∗ : Γ (Pn , O(1)) → Γ (Pn , O(1)) is an isomorphism.)
∗
15.2.7. Automorphisms of projective space are often called projective transforma-
tions. Because of Exercise 15.2.D, in their incarnation of matrices modulo scalars,
projective transformations are also called projective changes of coordinates. Ex-
ercise 15.2.D will be useful later, especially for the case n = 1. In this case, these
automorphisms are called fractional linear transformations. (For experts: why
was Exercise 15.2.D not stated over an arbitrary base ring A? Where does the ar-
gument go wrong in that case? For what rings A does the result still work?)
15.2.E. E XERCISE . Show that Aut(P1k ) is strictly three-transitive on k-valued
points, i.e., given two triplets (p1 , p2 , p3 ) and (q1 , q2 , q3 ) each of distinct k-valued
points of P1 , there is precisely one automorphism of P1 sending pi to qi (i =
1, 2, 3).
15.2.F. E XERCISE . Solve these problems over an arbitrary field k.
(a) Find a linear fractional transformation f(t) ∈ PGL(2) that has order precisely 3
in PGL(2).
(b) Show that any two order 3 elements of PGL(2) are conjugate. (Possible hint:
use transitivity.)
15.2.G. E XERCISE . Suppose p0 , . . . , pn+1 are n + 2 distinct points of Pn k , no n + 1 of
which lie on a hyperplane. Show that there is a unique projective transformation
taking pi (0 ≤ i ≤ n) to [0, . . . , 0, 1, 0, . . . , 0] (where the 1 is in the ith position), and
taking pn+1 to [1, . . . , 1].
Here are more examples of these ideas in action.
15.2.8. Example: the Veronese embedding is |OPnk (d)|. Consider the line bundle
OPnk (d) on Pn . We have checked that the sections of this line bundle form a vector
k (n+d)
space of dimension d , with a basis corresponding to homogeneous degree d
polynomials in the projective coordinates for Pn k . Also, they have no common ze-
ros (as for example the subset of sections xd 0 , xd d
1 , . . . , xn have no common zeros).
Thus the complete linear series is base-point-free, and determines a morphism
n+d
νd : Pn → P( d )−1 . This is the Veronese embedding (Definition 9.3.8). For exam-
ple, if n = 2 and d = 2, we get a map P2k → P5k .
April 1, 2023 draft 427
In §9.3.8, we saw that this is a closed embedding. The following is a more
general method of checking that maps to projective space are closed embeddings.
15.2.H. L ESS IMPORTANT EXERCISE . Suppose π : X → Pn A corresponds to an in-
vertible sheaf L on X, and sections s0 , . . . , sn . Show that π is a closed embedding
if and only if
(i) each open set Xsi is affine, and
(ii) for each i, the map of rings A[y0 , . . . , yn ] → Γ (Xsi , O) given by yj 7→ sj /si
is surjective.
15.2.9. Special case of Example 15.2.8. Recall that the image of the Veronese embed-
ding when n = 1 is called a rational normal curve of degree d (Exercise 9.3.I). Our
map is P1k → Pd k given by [x, y] 7→ [x , x
d d−1
y, . . . , xyd−1 , yd ].
15.2.I. E XERCISE . Suppose we are given a map π : P1k → Pn k where the correspond-
ing invertible sheaf on P1k is O(d). (This can reasonably be called a degree d map, cf.
Exercises 18.4.E and 18.6.H.) Show that if d < n, then the image is degenerate (de-
fined in Exercise 18.6.L). Show that if d = n and the image is nondegenerate, then
the image is isomorphic (via an automorphism of projective space, Exercise 15.2.D)
to a rational normal curve.
15.2.J. E XERCISE .
(a) Suppose X is a k-scheme (although this statement can readily generalize). Show
that a (finite-dimensional) base-point-free linear series V on X corresponding to L
induces a morphism to projective space
ϕV : X / PV ∨ .
(This should be seen as a coordinate-free version of Theorem 15.2.2.)
(b) ⋆ Complete the sentence: “PV ∨ represents the functor...”. Explain the meaning
of the statements Γ (PV, O(1)) = V ∨ , and Γ (PV, O(2)) = Sym2 V ∨ .
15.2.K. E XERCISE . Define the graded rings R• = k[u, v, w]/(uw − v2 ) and S• =
k[x, y] (with all variables having degree 1). By Exercise 9.3.H, we have an iso-
∼
morphism Proj R• ←→ Proj S• (via the Veronese embedding ν2 ). Show that this
isomorphism is not induced by a map of graded rings S• → R• .
15.2.10. Remark. You may be able to show that after “regrading”, the isomor-
∼
phism Proj R• ←→ Proj S• does arise from a map of graded rings (S2• → R• ). Exer-
cise 19.11.B gives an example where it is not possible to patch the lack of maps of
graded rings by just regrading.
15.2.L. E XERCISE : AN EARLY LOOK AT INTERSECTION THEORY, RELATED TO B ÉZOUT ’ S
T HEOREM . A classical definition of the degree of a curve in projective space
is as follows: intersect it with a “general” hyperplane, and count the number of
points of intersection, with appropriate multiplicity. We interpret this in the case of
π : P1k → Pn k . Show that there is a hyperplane H of Pk not containing π(Pk ). Equiv-
n 1
∗
alently, π H ∈ Γ (P , OP1 (d)) (interpreted as the pullback of a section of OPn (1))
1
is not 0. Show that the number of zeros of π∗ H is precisely d. (You will have to
define “appropriate multiplicity”. What does it mean geometrically if π is a closed
428 The Rising Sea: Foundations of Algebraic Geometry
embedding, and π∗ H has a double zero? Aside: Can you make sense of this even if
π is not a closed embedding?) Thus this classical notion of degree agrees with the
notion of degree in Exercise 15.2.I. (See Exercise 9.3.D for another case of Bézout’s
Theorem. Here we intersect a degree d curve with a degree 1 hyperplane; there we
intersect a degree 1 curve with a degree d hypersurface. Exercise 18.6.J will give a
common generalization.)
15.2.11. Example: The Segre embedding revisited. The Segre embedding can also be
interpreted in this way. This is a useful excuse to define some notation. Suppose
F is a quasicoherent sheaf on a Z-scheme X, and G is a quasicoherent sheaf on
a Z-scheme Y. Let πX , πY be the projections from X ×Z Y to X and Y respectively.
Then F ⊠ G (pronounced “F box-times G ”) is defined to be π∗X F ⊗ π∗Y G . In
particular, OPm ×Pn (a, b) is defined to be OPm (a) ⊠ OPn (b) (over any base Z). The
Segre embedding Pm × Pn → Pmn+m+n corresponds to the complete linear series
for the invertible sheaf O(1, 1).
When we first saw the Segre embedding in §10.6, we saw (in different lan-
guage) that this complete linear series is base-point-free. We also checked by hand
(§10.6.1) that it is a closed embedding, essentially by Exercise 15.2.H.
Recall that if L and M are both base-point-free invertible sheaves on a scheme
X, then L ⊗ M is also base-point-free (Exercise 16.1.B, see also Definition 15.2.1).
We may interpret this fact using the Segre embedding (under reasonable hypothe-
ses on X). If ϕL : X → PM is a morphism corresponding to a (base-point-free)
linear series based on L , and ϕM : X → PN is a morphism corresponding to a
linear series on M , then the Segre embedding yields a morphism X → PM ×
PN → P(M+1)(N+1)−1 , which corresponds to a base-point-free series of sections of
L ⊗ M.
15.2.M. F UN E XERCISE . Suppose X is a quasiprojective k-scheme, and π : Pn k →
X is any morphism (over k). Show that either the image of π has dimension n,
or π contracts Pn k to a point. In particular, there are no nonconstant maps from
projective space to a smaller-dimensional quasi-projective variety. Hint: show that
it suffices to assume k is algebraically closed, and in particular, infinite. If X ⊂ PN ,
define d by π∗ OPN (1) = ∼ OPn (d). Try to show that d = 0. To do that, show that
k
if m ≤ n then m nonempty hypersurfaces in Pn have nonempty intersection. For
this, use the fact that any nonempty hypersurface in Pn k has nonempty intersection
with any subscheme of dimension at least 1 (Exercise 12.3.C(a)).
15.2.N. E XERCISE . Explain how GLn acts (nontrivially!) on Pn−1 (over Z, or over
a field of your choice). (The group scheme GLn was defined in Exercise 7.6.N.
The action of a group scheme appeared earlier in Exercise 7.6.S(a).) Hint: this is
much more easily done with the language of functors, §7.6, using our functorial
description of projective space (§15.2.3), than with our old description of projective
space in terms of patches. (A generalization to the Grassmannian will be given in
Exercise 16.4.L.)
15.2.12. Remark. Over an algebraically closed field k, GLn acts transitively on
the closed points of Pkn , and the stabilizer of the point [1, 0, · · · , 0] consists of the
subgroup P of matrices with 0’s in the first column below the first row. (Side
Remark: the point is better written as a column vector, so the GLn -action can be
April 1, 2023 draft 429
interpreted as matrix multiplication in the usual way.) This suggests that Pn−1
k
is
the quotient GLn /P. This is largely true; but we first would have to make sense of
the notion of group quotient.
15.2.13. ⋆⋆ A proper nonprojective k-variety — and gluing schemes along closed
subschemes.
(The rest of this section should be skipped on a first reading.) We conclude by
using what we have developed to describe an example of a scheme that is proper
but not projective (promised in Remark 11.5.6). We use a construction that looks
so fundamental that you may be surprised to find that we won’t use it in any
meaningful way later.
Fix an algebraically closed field k. For i = 1 and 2, let Xi =∼ P3 , Zi be a line
k
in Xi , and Zi be a regular conic in Xi disjoint from Zi (both Zi and Zi′ isomor-
′
phic to P1k ). The construction of §15.2.14 will allow us to glue X1 to X2 so that Z1
is identified with Z2′ and Z1′ is identified with Z2 , see Figure 15.1. (You will be
able to make this precise after reading §15.2.14.) The result, call it X, is proper, by
Exercise 15.2.R.
F IGURE 15.1. Building a proper nonprojective variety
Then X is not projective. For if it were, then it would be embedded in projec-
tive space by some invertible sheaf L . If X is embedded, then X1 is too, so L must
restrict to an invertible sheaf on X1 of the form OX1 (n1 ), where n1 > 0. You can
check that the restriction of L to Z1 is OZ1 (n1 ), and the restriction of L to Z1′ is
OZ1′ (2n1 ). Symmetrically, the restriction of L to Z2 is OZ2 (n2 ) for some n2 > 0,
and the restriction of L to Z2′ is OZ2′ (2n2 ). But after gluing, Z1 = Z2′ , and Z1′ = Z2 ,
so we have n1 = 2n2 and 2n1 = n2 , which is impossible.
15.2.14. Gluing two schemes together along isomorphic closed subschemes.
It is straightforward to show that you can glue two schemes along isomor-
phic open subschemes. (More precisely, if X1 and X2 are schemes, with open sub-
∼
schemes U1 and U2 respectively, and an isomorphism U1 ←→ U2 , you can make
∼
sense of gluing X1 and X2 along U1 ←→ U2 . You should think this through.)
You can similarly glue two schemes along isomorphic closed subschemes. We now
make this precise. Suppose Z1 ,→ X1 and Z2 ,→ X2 are closed embeddings, and
∼ / Z2 is an isomorphism. We will explain how to glue X1 to X2 along
ϕ : Z1
⨿
ϕ. The result will be called X1 ϕ X2 .
430 The Rising Sea: Foundations of Algebraic Geometry
15.2.15. Motivating example. Our motivating example is if Xi = Spec Ai and
∼ / A1 /I1 . Then the result
Zi = Spec Ai /Ii , and ϕ corresponds to ϕ♯ : A2 /I2
will be Spec R, where R is the ring of consisting of ordered pairs (a1 , a2 ) ∈ A1 × A2
that “agree via ϕ”. More precisely, this is a fibered product of rings:
R := A1 ×ϕ♯ : A1 /I1 →A2 /I2 A2 .
15.2.16. The general construction, as a locally ringed space. In our general situation,
we might wish to cover X1 and X2 by open charts of this form. We would then
have⨿to worry about gluing and choices, so to avoid this, we instead first construct
X1 ϕ X2 as a locally ringed space. As a topological space, the definition is clear:
we glue the underlying sets together ∼
⨿ along the underlying sets of Z1 = Z2 , and
topologize it so that a subset of X1 ϕ X2 is open if and only if its restrictions to
X1 and X2⨿ are both open. For convenience, let Z be the image of Z1 (or equivalently
Z2 ) in X1 ϕ X2 . We next define the stalk of the structure sheaf at any point p ∈
⨿ ⨿
X1 ϕ X2 . If p ∈ Xi \ Z = (X1 ϕ X2 ) \ X3−i (hopefully the meaning of this is
clear), we define the stalk as OXi ,p . If p ∈ X1 ∩ X2 , we define the stalk to consist of
elements (s1 , s2 ) ∈ OX1 ,p × OX2 ,p which agree in OZ1 ,p = ∼ OZ ,p . The meaning of
2
everything in this paragraph will be clear to you if you can do the following.
15.2.O. E XERCISE . Define the structure sheaf of OX1 ⨿ϕ X2 in terms of compatible
germs. (What should it mean for germs to be compatible? Hint: for z ∈ Z, suppose
we have open subsets U1 of X1 and U2 of X2 , with ⨿U1 ∩ Z = U2 ∩ Z, so U1 and
U2 glue together to give an open subset U of X1 ϕ X2 . Suppose we also have
functions f1 on U1 and f2 on U2 that “agree on U ∩ Z” — what does that mean?
Then we declare that the germs of the “function on U obtained by gluing together
f1 and f2 ” are compatible.) Show that the resulting ringed space is a locally ringed
space.
⨿
We next want to show that the locally ringed space X1 ϕ X2 is a scheme.
Clearly it is a scheme away from Z. We first verify a special case.
15.2.P. E XERCISE . Show that in Example 15.2.15 the construction of §15.2.16 in-
deed yields Spec(A1 ×ϕ♯ A2 ).
15.2.Q. E XERCISE . In the general case, suppose x ∈ Z. Show that there is an
affine open subset Spec Ai ⊂ Xi⨿such that Z ∩ Spec A1 = Z ∩ Spec A2 . Then use
Exercise 15.2.O to show that X1 ϕ X2 is a scheme in an open neighborhood of x,
and thus a scheme.
15.2.17. Remarks.
(a) As the notation suggests, this is a fibered coproduct in the category of schemes,
and indeed in the category of locally ringed spaces. We won’t need this fact, but
you can prove it if you wish; it isn’t hard. Unlike the situation for products, fibered
coproducts don’t exist in general in the category of schemes. Miraculously (and
for reasons that are specific to schemes), the resulting cofibered diagram is also a
fibered diagram. This has pleasant ramifications. For example, this construction
“behaves well with respect to” (or “commutes with”) flat base change.
(b) You might hope that if you have a single scheme X with two disjoint closed sub-
∼
schemes W ′ and W ′′ , and an isomorphism W ′ −→ W ′′ , then you should be able
April 1, 2023 draft 431
to glue X to itself along W ′ → W ′′ . This construction doesn’t work, and indeed it
may not be possible. You can still make sense of the quotient as an algebraic space,
which we will not define here.
15.2.R. E XERCISE . We continue to use the notation Xi , ϕ, etc. Suppose we are
working in the category of A-schemes. ⨿
(a) If X1 and X2 are universally closed, show that X1 ϕ X2 is as well.
⨿
(b) If X1 and X2 are separated, show that X1 ϕ X2 is as well.
⨿
(c) If X1 and X2 are finite type over a Noetherian ring A, show that X1 ϕ X2 is
as well. (Hint: Reduce to the “affine” case of the Motivating Example 15.2.15.
Choose generators x1 , . . . , xn of A1 , and y1 , . . . , yn , such that xi modulo I1
agrees with yi modulo I2 via ϕ. Choose generators g1 , . . . , gm of I2 — here use
Noetherianness of A. Show that (xi , yi ) and (0, gi ) generate R ⊂ A1 × A2 , as
follows. Suppose (a1 , a2 ) ∈ R. Then there is some polynomial m such that
′
a1 = m(x1 , . . . , xn ). Hence (a1 , a2 ) − m((x ∑m 1 , y1 ), . . . , (xn , yn )) = (0, a2 ) for some
′ ′ ′
∑2m∈ I2 . Then a2 can be written as i=1 ℓi (y1 , . . . , yn )gi . But then (0, a2 ) =
a
i=1 ℓi ((x1 , y1 ), . . . , (xn , yn ))(0, gi ).)
⨿
Thus if X1 and X2 are proper, so is X1 ϕ X2 .
⨿ other hand, we have just seen (§15.2.13) that if X1 and X2 are projective,
On the
then X1 ϕ X2 needn’t be projective.
15.3 The Curve-to-Projective Extension Theorem
We now use the main theorem of the previous section, Theorem 15.2.2, to
prove something useful and concrete. (In fact, we could have proved this far ear-
lier — with a little cleverness you can replace the invocation of Theorem 15.2.2
by Exercise 7.3.M, and prove this as soon as you know about Discrete Valuation
Rings.)
As motivation, we consider a variation of the example at the start of §15.2:
([Link]) was a failed attempt at a morphism P2k → P3k . There was a reason the
example used P2k rather than P1k as the domain. For example, at first it appears as
though the rational map P1k 99K P3k given by
[x7 , x3 y4 , x4 y3 + 4x5 y2 , x5 y2 + x7 ]
doesn’t give a morphism P1k → P3k , because it is not defined at [x, y] = [0, 1]. But
we can extend the map over [0, 1], using
([Link]) [x7 , x3 y4 , x4 y3 + 4x5 y2 , x5 y2 + x7 ] = [x4 , y4 , xy3 + 4x2 y2 , x2 y2 + x4 ]
— we can just divide through by x3 to make the morphism make sense. Similarly,
it appears as though [x2 , x−2 y4 , x−1 y3 + 4y2 , y2 + x2 ] also is not defined at [x, y] =
[0, 1], but you may see what to do (and why it can be extended to the same map as
([Link])). This will generalize to the following.
15.3.1. The Curve-to-Projective Extension Theorem. — Suppose C is a pure dimen-
sion 1 Noetherian scheme over an affine base S = Spec A, and p ∈ C is a regular closed
point of it. Suppose Y is a projective S-scheme. Then any morphism C \ {p} → Y (of
S-schemes) extends to all of C.
432 The Rising Sea: Foundations of Algebraic Geometry
In practice, we will use this theorem when S = Spec k, and C is a k-variety.
The only reason we assume S is affine is because we won’t know the meaning of
“projective S-scheme” until we know what a projective morphism is (§17.3). But
the proof below extends immediately to general S once we know the meaning of
the statement.
Note that if such an extension exists, then it is unique: the nonreduced locus
of C is a closed subset (Exercise 6.6.N). Hence by replacing C by an open neighbor-
hood of p that is reduced, we can use the Reduced-to-Separated Theorem 11.4.2
that maps from reduced schemes to separated schemes are determined by their
behavior on a dense open set. Alternatively, maps to a separated scheme can be
extended over an effective Cartier divisor in at most one way (Exercise 11.4.G).
The following exercise shows that the hypotheses are necessary.
15.3.A. E XERCISE . In each of the following cases, prove that the morphism C \
{p} → Y cannot be extended to a morphism C → Y.
(a) Projectivity of Y is necessary. Suppose C = A1k , p = 0, Y = A1k , and C \ {p} → Y is
given by “t 7→ 1/t”.
(b) One-dimensionality of C is necessary. Suppose C = A2k , p = (0, 0), Y = P1k , and
C \ {p} → Y is given by (x, y) 7→ [x, y].
(c) Non-singularity of C is necessary. Suppose C = Spec k[x, y]/(y2 − x3 ), p = 0,
Y = P1k , and C \ {p} → Y is given by (x, y) 7→ [x, y].
We remark that by combining this (easy) theorem with the (hard) valuative
criterion for properness (Theorem 13.7.6), one obtains a proof of the properness
of projective space bypassing the (tricky but not hard) Fundamental Theorem of
Elimination Theory 8.4.10 (see Exercise 13.7.F). Fancier remark: the valuative cri-
terion of properness can be used to show that Theorem 15.3.1 remains true if Y is
only required to be proper, but it requires some thought.
15.3.2. Central idea of proof. The central idea of the proof may be summarized
as “clear denominators”, and is illustrated by the following motivating example.
Suppose you have a morphism from A1 − {0} to projective space, and you wanted
to extend it to A1 . Suppose the map was given by t 7→ [t4 + t−3 , t−2 + 4t]. Then
of course you would “clear the denominators”, and replace the map by t 7→ [t7 +
1, t + 4t4 ]. Similarly, if the map was given by t 7→ [t2 + t3 , t2 + t4 ], you would
divide by t2 , to obtain the map t 7→ [1 + t, 1 + t2 ].
Proof. Our plan is to maneuver ourselves into the situation where we can apply
the idea of §15.3.2. We begin with some quick reductions. The nonreduced lo-
cus of C is closed (Exercise 6.6.N) and doesn’t contain p, so by replacing C by an
appropriate open neighborhood of p, we may assume that C is reduced and affine.
We next reduce to the case where Y = Pn
A . Choose a closed embedding Y → PA .
n
If the result holds for P , and we have a morphism C → P with C \ {p} mapping
n n
to Y, then C must map to Y as well. Reason: we can reduce to the case where
the source is an affine open subset, and the target is An
A ⊂ PA (and hence affine).
n
Then the functions vanishing on Y ∩ AA pull back to functions that vanish at the
n
generic points of the irreducible components of C and hence vanish everywhere
on C (using reducedness of C), i.e., C maps to Y.
April 1, 2023 draft 433
Choose a uniformizer t ∈ m − m2 in the local ring of C at p. As t is a function
in some neighborhood of p, we may assume that t is a function on C (by replacing
C by this neighborhood of p). Then V(t) contains p (as t ∈ m), but V(t) does not
contain the component of C containing p (as t ∈ / m2 ), so by replacing C by an affine
open neighborhood of p in (C \ V(t)) ∪ {p} — note that (C \ V(t)) ∪ {p} ⊂ C is open
because C (almost) has the cofinite topology — we may assume that p is the only
zero of the function t (and of course t vanishes at p with multiplicity 1).
We have a map C \ {p} → Pn A , which by Theorem 15.2.2 corresponds to a line
bundle L on C \ {p} and n + 1 sections of it with no common zeros in C \ {p}. Let
U be a nonempty open set of C \ {p} on which L = ∼ O. Then by replacing C by
U ∪ {p}, we interpret the map to P as n + 1 rational functions f0 , . . . , fn , defined
n
away away from p, with no common zeros away from p. Let N = mini (valp fi ).
Then t−N f0 , . . . , t−N fn are n + 1 functions with no common zeros. Thus they
determine a morphism C → Pn A extending C \ {p} → PA as desired.
n
□
15.3.B. E NLIGHTENING EXERCISE ( TANGENT LINES TO CURVES AS LIMITS OF SE -
CANTS , WITHOUT DELTAS OR EPSILONS ). Suppose C = V(f(x, y, z)) ⊂ P2
k is a
curve, and p is a smooth k-valued point of C.
(a) Recall that the lines in P2 through p correspond to points of P1 . Explain
how we get a map from C − p to P1 , given by mapping a point q to the
line pq through p.
(b) Show that there is precisely one way to extend the map C − p → P1 to a
map C → P1 , and that this map sends p to the tangent line at p.
15.3.C. E XERCISE ( USEFUL PRACTICE ). Suppose X is a Noetherian k-scheme, and
Z is an irreducible codimension 1 subvariety whose generic point is a regular point
of X (so the local ring OX,Z is a discrete valuation ring). Suppose π : X 99K Y
is a rational map to a projective k-scheme. Show that the domain of definition
of the rational map includes a dense open subset of Z. In other words, rational
maps from Noetherian k-schemes to projective k-schemes can be extended over
regular codimension 1 sets. (We have already seen this principle in action — see
Exercise 7.5.J on the Cremona transformation.)
15.4 Line bundles and Weil divisors
The notion of Weil divisors gives a great way of understanding and classifying
line bundles, at least on Noetherian normal schemes. Some of what we discuss will
apply in more general circumstances, and the expert is invited to consider gener-
alizations by judiciously weakening hypotheses in various statements. Before we
get started, you should be warned: this is one of those topics in algebraic geome-
try that is hard to digest — learning it changes the way in which you think about
line bundles. But once you become comfortable with the imperfect dictionary to
divisors, it becomes second nature.
For the rest of this section, we consider only Noetherian schemes. We do this be-
cause we will use finite decomposition into irreducible components (Exercise 5.3.B),
and Algebraic Hartogs’s Lemma 12.3.14.
434 The Rising Sea: Foundations of Algebraic Geometry
Define a Weil divisor as a formal Z-linear combination of codimension 1 ir-
reducible closed subsets of X. In other words, a Weil divisor is defined to be an
object of the form
∑
nY [Y]
Y ⊂ X codimension 1
where the nY are integers, all but a finite number of which are zero. Weil divisors
obviously form an abelian group, denoted Weil X. For example, if X is a curve, the
Weil divisors are linear combinations of closed points.
∑
15.4.1. We say that [Y] is an irreducible (Weil) divisor. A Weil divisor D = nY [Y]
is said to be effective if nY ≥ 0 for all Y. In this case we say D ≥ 0, and by
D1 ≥ D2 we mean D1 − D2 ≥ 0. The support of a Weil divisor D, denoted
Supp D, is the subset ∪nY∑ ̸=0 Y. If U ⊂
∑X is an open set, we define the restriction
map Weil X → Weil U by nY [Y] 7→ Y∩U̸=∅ nY [Y ∩ U].
15.4.A. E ASY EXERCISE . Show that the irreducible divisors correspond on Pn k
correspond to irreducible homogeneous polynomials in k[x0 , . . . , xn ], up to multi-
plication by nonzero scalars k× .
15.4.2. Suppose now that X is regular in codimension 1, i.e., that its points of
codimension at most 1 are regular (cf. §13.5.10). We add this hypothesis because
we will use properties of discrete valuation rings. Assume also that X is reduced.
(This is only so we can talk about rational functions without worrying about them
being defined at embedded points. Feel free to relax this hypothesis.) Suppose that
L is an invertible sheaf, and s a rational section not vanishing everywhere on any
irreducible component of X. (Rational sections are given by a section over a dense
open subset of X, with the obvious equivalence, §14.2.12.) Then s determines a
Weil divisor ∑
div(s) := valY (s)[Y]
Y
where the summation runs over all irreducible divisors Y of X. We call div(s)
the divisor of zeros and poles of the rational section s (cf. Definition 13.5.7). To
determine the valuation valY (s) of s along Y, take any open set U containing the
generic point of Y where L is trivializable, along with any trivialization over U;
under this trivialization, s is a nonzero rational function on U, which thus has a
valuation. Any two such trivializations differ by an invertible function (transition
functions are invertible), so this valuation is well-defined. Note that valY (s) = 0
for all but finitely many Y, by Exercise 13.5.G.
15.4.3. The important group of “line bundles with rational sections”. Now con-
sider the set {(L , s)} of pairs of line bundles L with rational sections s of L , not
the zero section on any irreducible component of X, up to isomorphism. (An iso-
morphism (L , s) = ∼ (L ′ , s ′ ) means an isomorphism of line bundles under which
s is sent to s ′ .) This set (after taking quotient by isomorphism) forms an abelian
group under tensor product ⊗, with identity (OX , 1). (Tricky question: what is the
inverse of (L , s) in this group?)
It is important to notice that if t is an invertible function on X, then multiplica-
tion by t gives an isomorphism
∼
(L , s) ←→ (L , st).
April 1, 2023 draft 435
Similarly, (L , s)/(L , u) = (O, s/u). Here s/u is a rational function.
The map div yields a group homomorphism
([Link]) div : {(L , s)}/isomorphism / Weil X.
15.4.B. E ASIER E XERCISE .
(a) (divisors of rational functions) Verify that on A1k , div(x3 /(x+1)) = 3[(x)]−[(x+1)]
(“= 3[0] − [−1]”).
(b) (divisor of rational sections of a nontrivial invertible sheaf) On P1k , there is a rational
section of O(1) “corresponding to” x2 /(x + y). Figure out what this means, and
calculate div(x2 /(x + y)).
The homomorphism ([Link]) will be the key to determining all the line bun-
dles on many X. (Note that any invertible sheaf will have such a rational section.
For each irreducible component, take a nonempty open set not meeting any other
irreducible component; then shrink it so that L is trivial; choose a trivialization;
then take the union of all these open sets, and choose the section on this union cor-
responding to 1 under the trivialization.) We will see that in reasonable situations,
this map div will be injective, and often an isomorphism. Thus by forgetting the
rational section (i.e., taking an appropriate quotient), we will have described the
Picard group of all line bundles. Let’s put this strategy into action.
15.4.4. Proposition. — If X is normal and Noetherian then the map div is injective.
Proof. Suppose div(L , s) = 0. Then s has no poles. By Exercise 14.2.Q, s is a regular
section. We now show that the morphism ×s : OX → L is in fact an isomorphism;
∼
this will prove the Proposition, as it will give an isomorphism (OX , 1) ←→ (L , s).
It suffices to show that ×s is an isomorphism on an open subset U of X where
L is trivial, as X is covered by trivializing open neighborhoods of L (as L is
∼
locally trivial). Choose an isomorphism i : L |U −→ OU . Composing ×s with i
yields a map ×s : OU → OU that is multiplication by a rational function s ′ = i(s)
′
that has no zeros and no poles. The rational function s ′ is regular because it has
no poles (Exercise 13.5.H), and 1/s ′ is regular for the same reason. Thus s ′ is an
invertible function on U, so ×s ′ is an isomorphism. Hence ×s is an isomorphism
over U. □
Motivated by this, we try to find an inverse to div, or at least to determine the
image of div.
15.4.5. Important Definition. Assume now that X is normal — this will be a standing
assumption for the rest of this section.
Assume also that X is irreducible (purely to avoid making ([Link]) look uglier
— but feel free to relax this, see Exercise 15.4.C). In case it helps: recall that a normal
scheme is a disjoint union of irreducible normal schmes (Exercise 5.4.B) — so this
assumption truly is harmless.
Suppose D is a Weil divisor. Define the sheaf OX (D) by
([Link]) Γ (U, OX (D)) := {t ∈ K(X)× : div |U t + D|U ≥ 0} ∪ {0}.
Here D|U is the restriction of D to U (defined in §15.4.1), and div |U t means the
divisor of t considered as a rational function on U (i.e., consider just the irreducible
436 The Rising Sea: Foundations of Algebraic Geometry
divisors of U). The subscript X in OX (D) is omitted when it is clear from context.
The sections of OX (D) over U are the rational functions on U that have poles and
zeros “constrained by D”: a positive coefficient in D allows a pole of that order;
a negative coefficient demands a zero of that order. Away from the support of D,
this is (isomorphic to) the structure sheaf (by Algebraic Hartogs’s Lemma 12.3.14).
15.4.6. Remark. It will be helpful to note that OX (D) comes along with a canonical
nonzero “rational section” corresponding to 1 ∈ K(X)× . (It is a rational section
in the sense that it is a section over a dense open set, namely the complement of
Supp D.)
15.4.C. L ESS IMPORTANT EXERCISE . Generalize the definition of OX (D) to the case
when X is not necessarily irreducible. (This is just a question of language. Once
you have done this, feel free to drop this hypothesis in the rest of this section.)
15.4.D. E ASY E XERCISE . Verify that OX (D) is a quasicoherent sheaf. (Hint: the
distinguished affine criterion for quasicoherence of Exercise 6.2.D.)
In good situations, OX (D) is an invertible sheaf. For example, let X = A1k .
Consider
OX (−2[(x)] + [(x − 1)] + [(x − 2)]) ,
often written O(−2[0] + [1] + [2]) for convenience. Then 3x3 /(x − 1) is a global
section; it has the required two zeros at x = 0 (and even one to spare), and takes
advantage of the allowed pole at x = 1, and doesn’t have a pole at x = 2, even
though one is allowed. (Unimportant aside: the statement remains true in charac-
teristic 2, although the explanation requires editing.)
15.4.E. E ASY E XERCISE . (This is a consequence of later discussion as well, but you
should be able to do this by hand.)
(a) Show that any global section of OA1k (−2[(x)] + [(x − 1)] + [(x − 2)]) is a k[x]-
multiple of x2 /(x − 1)(x − 2).
(b) Extend the argument of (a) to give an isomorphism
∼
OA1k (−2[(x)] + [(x − 1)] + [(x − 2)]) o / OA1 .
k
We next show that in good circumstances, OX (D) is an invertible sheaf. (In
fact the OX (D) construction can be useful even if OX (D) is not an invertible sheaf,
but this won’t concern us here. An example of an OX (D) that is not an invertible
sheaf is given in Exercise 15.4.J.)
15.4.F. H ARD BUT I MPORTANT E XERCISE . Suppose L is an invertible sheaf, and s
is a nonzero rational section of L .
∼
(a) Describe an isomorphism O(div s) ←→ L . (You will use the normality hypoth-
esis!) Hint: show that those open subsets U for which O(div s)|U = ∼ OU form a
base for the Zariski topology. For each such U, define ϕU : O(div s)(U) → L (U)
sending a rational function t (with zeros and poles “constrained by div s”) to st.
Show that ϕU is an isomorphism (with the obvious inverse map, division by s).
∼
Argue that this map induces an isomorphism of sheaves ϕ : O(div s) −→ L .
April 1, 2023 draft 437
(b) Let σ be the map from K(X) to the rational sections of L , where σ(t) is the ratio-
∼ L defined via ([Link]) (as described in Remark 15.4.6).
nal section of OX (div s) =
Show that σ sends the canonical section “1” of OX (D) to s. More concisely: σ(1) =
s. (Hint: the map in part (a) sends 1 to s.)
In conclusion, we can identify which Weil divisors D are in the image of div
([Link]): they are the D for which OX (D) is a line bundle, and then we can con-
struct the image — (O(D), σ(1)) the unique (L , s) (up to isomorphism) such that
div(L , s) = D.
15.4.G. E XERCISE ( THE EXAMPLE OF §15.1). Suppose X = Pn k , L = O(1), s is
the section of O(1) corresponding to x0 , and D = div s. Verify that O(mD) = ∼
O(m), and the canonical rational section of O(mD) is precisely sm . (Watch out for
possible confusion: 1 has no pole along x0 = 0, but σ(1) = sm does have a zero if
m > 0.) For this reason, O(1) is sometimes called the hyperplane class in Pic X.
(Of course, x0 can be replaced by any linear form.)
15.4.H. E XERCISE ( THE P ICARD GROUP OF PROJECTIVE SPACE ). You have identi-
fied Weil Pn
k in Exercise 15.4.A. Use this to deduce that the only line bundles on Pk
n
are isomorphic to O(m) for some m, so Pic Pn ∼ Z.
k =
15.4.7. Definition. If D is a Weil divisor on (Noetherian normal irreducible) X such
that D = div f for some rational function f, we say that D is principal. Principal
divisors clearly form a subgroup of Weil X; denote this group of principal divisors
Prin X. Note that div induces a group homomorphism K(X)× → Prin X. If X can be
covered with open sets Ui such that on Ui , D is principal, we say that D is locally
principal. (Caution: we used the phrase “locally principal” in a slightly different
way, when referring to closed subschemes.) Locally principal divisors form a sub-
group of Weil X, which we denote LocPrin X. (This notation is not standard, and
we only use it in ([Link]).)
15.4.8. Important observation: “O(principal) =∼ O, O(locally principal) = line bundle”.
As a consequence of Exercise 15.4.F(a) (taking L = O), if D is principal (and X
is normal, our standing hypothesis), then (i) O(D) = ∼ O. (Diagram ([Link]) will
∼
imply that the converse holds: if O(D) = O, then D is principal.) Thus (ii) if D is
locally principal, OX (D) is locally isomorphic to OX — OX (D) is an invertible sheaf.
15.4.I. I MPORTANT E XERCISE . Suppose OX (D) is an invertible sheaf. Show the
converse to Observation 15.4.8: show that D is locally principal.
15.4.9. Remark. In definition ([Link]), it may seem cleaner to consider those s
such that div s ≥ D|U . The reason for the convention comes from our desire that
div σ(1) = D. (Taking the “opposite” convention would yield the dual bundle, in
the case where D is locally principal.)
15.4.J. L ESS IMPORTANT EXERCISE : A W EIL DIVISOR THAT IS NOT LOCALLY PRIN -
CIPAL . Let X = Spec k[x, y, z]/(xy − z2 ), a cone, and let D be the line z = x = 0
(see Figure 13.1).
(a) Show that D is not a locally principal divisor. (Hint: consider the stalk at the
origin. Use the Zariski tangent space, see Problem 13.1.3.) In particular OX (D) is
not an invertible sheaf. (Caution: we earlier saw that it was not a locally principal
438 The Rising Sea: Foundations of Algebraic Geometry
closed subscheme in Problem 13.1.3. It is unfortunate that “locally principal” has
two different but very similar meanings.)
(b) Show that div(x) = 2D. This corresponds to the fact that the plane x = 0 is
tangent to the cone X along D. Hence 2D is a locally principal divisor.
15.4.K. I MPORTANT E XERCISE . If X is Noetherian and factorial, show that for
any Weil divisor D, O(D) is an invertible sheaf. (Hint: For motivation, consider
the case where D is irreducible, say D = [Y], and to cover X by open sets so that
on each open set U there is a function whose divisor is [Y ∩ U]. One open set
will be X − Y. Next, we find an open set U containing an arbitrary p ∈ Y, and a
function on U. As OX,p is a unique factorization domain, the prime corresponding
to Y is codimension 1 and hence principal by Lemma 12.1.7. Let f be a generator
of this prime ideal, interpreted as an element of K(X). It is regular at p, it has a
finite number of zeros and poles, and through p, [Y] is the “only zero” (the only
component of the divisor of zeros). Let U be X minus all the other zeros and
poles.)
15.4.10. The class group. We can now get a handle on the Picard group of a
normal Noetherian scheme. Define the class group of X, Cl X, by Weil X/ Prin X.
By taking the quotient of the inclusion ([Link]) by Prin X, we have the inclusion
Pic X ,→ Cl X. This is summarized in the convenient and enlightening diagram.
(O(D),σ(1))←[D
t
([Link]) {(L , s)}/iso.
∼ / LocPrin X / Weil X
div
/ Prin X / Prin X
Pic X {L }/iso.
∼ / LocPrin X/ Prin X / Cl X
j
O(D)←[D
This diagram is very important, and although it is short to state, it takes time to
digest.
In particular, if A is a unique factorization domain, then all Weil divisors on Spec A
are principal by Lemma 12.1.7, so Cl Spec A = 0, and hence Pic Spec A = 0.
n
15.4.11. As k[x1 , . . . , xn ] has unique factorization, Cl(An
k ) = 0, so Pic(Ak ) = 0 .
n
Geometers might find this believable — “C is a contractible complex manifold,
and hence should have no nontrivial line bundles” — even if some caution is in
order, as the kinds of line bundles being considered are entirely different: holomor-
phic vs. topological or C∞ . (Aside: for this reason, you might expect that An k also
has no nontrivial vector bundles. This is the Quillen-Suslin Theorem, formerly
known as Serre’s Conjecture, part of Quillen’s work leading to his 1978 Fields
Medal. The case n = 1 was Exercise 14.2.N. For a short proof by Vaserstein, see
[Lan, p. 850].)
Removing a closed subset of X of codimension greater than 1 doesn’t change
the class group, as it doesn’t change the Weil divisor group or the principal divi-
sors. (Warning: it can affect the Picard group, see Exercise 15.4.S.)
Removing an irreducible closed subset of pure codimension 1 changes the
Weil divisor group in a controllable way. Suppose Z is an irreducible codimension
April 1, 2023 draft 439
1 subset (an irreducible divisor) of X. Then we clearly have an exact sequence:
17→[Z]
0 /Z / Weil X / Weil(X − Z) / 0.
When we take the quotient by the subgroup of principal divisors, taking into ac-
count the fact that we may lose exactness on the left, we get an excision exact
sequence for class groups:
17→[Z]
([Link]) Z / Cl X / Cl(X − Z) / 0.
(Do you see why?)
15.4.12. For example, if U is an open subscheme of X = An , Pic U = {0}.
15.4.13. As another application, let X = Pn
k , and Z be the hyperplane x0 = 0. We
have
Z / Cl Pn / Cl An /0
k k
from which Cl Pn
k is generated by the class [Z], and Pic Pn
k is a subgroup of this.
15.4.14. By Exercise 15.4.G, [Z] 7→ O(1), and as O(m) is nontrivial for m ̸= 0 (Exer-
cise 15.1.B), [Z] is not torsion in Cl Pn n n
k . Hence Pic(Pk ) ,→ Cl(Pk ) is an isomorphism,
n ∼
and Pic(Pk ) = Z , with generator O(1). The degree of an invertible sheaf on Pn
is defined using this: define deg O(d) to be d. (You will have already proved that
∼
Pic(Pnk ) = Z if you did Exercise 15.4.H; but we will the strategy here to great effect
in §15.4.17.)
We have gotten good mileage from the fact that the Picard group of the spec-
trum of a unique factorization domain is trivial. More generally, Exercise 15.4.K
gives us:
15.4.15. Proposition. — If X is Noetherian and factorial, then for any Weil divisor D,
O(D) is invertible, and hence the map Pic X → Cl X is an isomorphism.
This can be used to make the connection to the class group in number theory
precise, see Exercise 14.2.K; see also §15.4.18.
15.4.16. Mild but important generalization: twisting line bundles by divisors.
The above constructions can be extended, with OX replaced by an arbitrary in-
vertible sheaf, as follows. Let L be an invertible sheaf on a normal Noetherian
scheme X. Then define L (D) by OX (D) ⊗ L . Notice that there are two different
ways of interpreting sections of L (D) over an open set, each with different advan-
tages: as a section of the new line bundle L (D), and as rational sections of L with
constraints on poles and zeros given by the divisor D.
15.4.L. E ASY E XERCISE .
(a) Assume for convenience that X is irreducible. Show that sections of L (D) can
be interpreted as rational sections of L with zeros and poles constrained by D,
just as in ([Link]):
Γ (U, L (D)) := {t nonzero rational section of L : div |U t + D|U ≥ 0} ∪ {0}.
(b) Suppose D1 and D2 are locally principal. Show that
(O(D1 ))(D2 ) =∼ O(D1 + D2 ).
440 The Rising Sea: Foundations of Algebraic Geometry
15.4.17. Fun examples.
We can now actually calculate some Picard and class groups. First, a useful ob-
servation: notice that you can restrict invertible sheaves on Y to any subscheme X,
and this can be a handy way of checking that an invertible sheaf is not trivial. Effec-
tive Cartier divisors (§9.5.1) sometimes restrict too: if you have an effective Cartier
divisor on Y, then it restricts to a closed subscheme on X, locally cut out scheme-
theoretically by one equation. If you are fortunate and this equation doesn’t vanish
on any associated point of X (§6.6.2), then you get an effective Cartier divisor on
X. You can check that the restriction of effective Cartier divisors corresponds to
restriction of invertible sheaves (in the sense of Exercise 14.2.I).
15.4.M. E XERCISE : A TORSION P ICARD GROUP. Suppose that Y is a hypersurface
in Pn
k corresponding to an irreducible degree d polynomial. Show that Pic(Pk −
n
∼ ∼
Y) = Z/(d). (For differential geometers: this is related to the fact that π1 (Pk − Y) =
n
Z/(d).) Hint: ([Link]).
The next two exercises explore consequences of Exercise 15.4.M, and provide
us with some examples promised in Exercise 5.4.N.
15.4.N. E XERCISE ( GENERALIZING E XERCISE 5.4.N). Keeping the same notation,
assume d > 1 (so Pic(Pn − Y) ̸= 0), and let H0 , . . . , Hn be the n + 1 coordinate
hyperplanes on Pn . Show that Pn − Y is affine, and Pn − Y − Hi is a distinguished
open subset of it. Show that the Pn − Y − Hi form an open cover of Pn − Y. Show
that Pic(Pn − Y − Hi ) = 0. Show that each Pn − Y − Hi is the Spec of a unique
factorization domain, but Pn − Y is not. Thus the property of being a unique
factorization domain is not an affine-local property — it satisfies only one of the
two hypotheses of the Affine Communication Lemma 5.3.2.
15.4.O. E XERCISE . Keeping the same notation as the previous exercise, show that
on Pn − Y, Hi (restricted to this open set) is an effective Cartier divisor that is not
cut out by a single equation. (Hint: Otherwise it would give a trivial element of
the class group.)
15.4.P. E XERCISE . Show that A := R[x, y]/(x2 +y2 −1) is not a unique factorization
domain, but A⊗R C is. Hint: Exercise 15.4.N. (Non-hint: doesn’t (1−y)(1+y) = x2
suggest that A ⊗R C isn’t a unique factorization domain?)
15.4.Q. E XERCISE : P ICARD GROUP OF P1 × P1 . Consider
∼ Proj k[w, x, y, z]/(wz − xy),
X = P1k ×k P1k =
a smooth quadric surface (see Figure 9.2, and Example 10.6.2). Show that Pic X =∼
Z ⊕ Z as follows: Show that if L = {∞} ×k P ⊂ X and M = P ×k {∞} ⊂ X, then
1 1
X−L−M = ∼ A2 . This will give you a surjection Z ⊕ Z ↠ Cl X. Show that O(L)
restricts to O on L and O(1) on M. Show that O(M) restricts to O on M and O(1)
on L. (This exercise takes some time, but is enlightening.)
15.4.R. E XERCISE . Show that irreducible smooth projective surfaces (over k) can
be birational but not isomorphic. Hint: show P2 is not isomorphic to P1 × P1 using
the Picard group. (Aside: we will see in Exercise 20.2.D that the Picard group of
the “blown up plane” is Z2 , but in Exercise 20.2.E we will see that the blown up
April 1, 2023 draft 441
plane is not isomorphic to P1 × P1 , using a little more information in the Picard
group.)
This is unlike the case for curves: birational irreducible smooth projective
curves (over k) must be isomorphic, as we will see in Theorem 16.3.3. Nonetheless,
any two surfaces are related in a simple way: if X and X ′ are projective, regular,
and birational, then X can be sequentially blown up at judiciously chosen points,
and X ′ can too, such that the two results are isomorphic (see [Ha1, Thm. V.5.5];
blowing up will be discussed in Chapter 22).
15.4.S. E XERCISE : P ICARD GROUP OF THE CONE . Let X = Spec k[x, y, z]/(xy − z2 ),
a cone, where char k ̸= 2. (The characteristic hypothesis is not necessary for the
result, but is included so you can use Exercise 5.4.H to show normality of X.) Show
that Pic X = 0, and Cl X = ∼ Z/2. Hint: show that the class of Z = {x = z = 0} (the
“affine cone over a line”) generates Cl X by showing that its complement D(x) is
isomorphic to an open subset of A2k . Show that 2[Z] = div(x) and hence principal,
and that Z is not principal, Exercise 15.4.J. (Remark: You know enough to show
that X−{(0, 0, 0)} is factorial. So although the class group is insensitive to removing
loci of codimension greater than 1, §15.4.11, this is not true of the Picard group.)
A Weil divisor (on a normal scheme) with a nonzero multiple corresponding
to a line bundle is called Q-Cartier. (We won’t use this terminology beyond the
next exercise.) Exercise 15.4.S gives an example of a Weil divisor that does not
correspond to a line bundle, but is nonetheless Q-Cartier. We now give an example
of a Weil divisor that is not Q-Cartier.
15.4.T. E XERCISE ( A NON -Q-C ARTIER DIVISOR ). On the cone over the smooth
quadric surface X = Spec k[w, x, y, z]/(wz − xy), let Z be the Weil divisor cut out
by w = x = 0. Exercise 13.1.D showed that Z is not cut out scheme-theoretically
by a single equation. Show more: that if n ̸= 0, then n[Z] is not locally principal.
Hence show that Z is not even cut out locally set-theoretically by a single equation.
Hint: show that the complement of an effective Cartier divisor on an affine scheme
is also affine, using Proposition 8.3.4. Then if some multiple of Z were locally
principal, then the closed subscheme of the complement of Z cut out by y = z = 0
would be affine — any closed subscheme of an affine scheme is affine. But this is
the scheme y = z = 0 (also known as the wx-plane) minus the point w = x = 0,
which we have seen is non-affine, §4.4.1.
15.4.U. ⋆ E XERCISE ( FOR THOSE WITH SUFFICIENT ARITHMETIC BACKGROUND ).
Identify the (ideal) class group of the ring of integers OK in a number field K, as
defined in Exercise 14.2.K, with the class group of Spec OK , as defined in this sec-
tion. In particular, you will recover the common description of the class group as
formal sums of prime ideals, modulo an equivalence relation coming from princi-
pal fractional ideals.
15.4.18. More on class groups and unique factorization.
As mentioned in §5.4.5, there are few commonly used means of checking that
a ring is a unique factorization domain. The next exercise is one of them, and it is
useful. For example, it implies the classical fact that for rings of integers in number
442 The Rising Sea: Foundations of Algebraic Geometry
fields, the class group is the obstruction to unique factorization (see Exercise 14.2.K
and Proposition 15.4.15).
15.4.V. E XERCISE . Suppose that A is a Noetherian integral domain. Show that A is
a unique factorization domain if and only if A is integrally closed and Cl Spec A =
0. (One direction is easy: we have already shown that unique factorization do-
mains are integrally closed in their fraction fields. Also, Lemma 12.1.7 shows that
all codimension 1 prime ideals of a unique factorization domain are principal, so
that implies that Cl Spec A = 0. It remains to show that if A is integrally closed
and Cl Spec A = 0, then all codimension 1 prime ideals are principal, as this char-
acterizes unique factorization domains (Proposition 12.3.7). Algebraic Hartogs’s
Lemma 12.3.14, may arise in your argument.) This is the third important charac-
terization of unique factorization domains promised in §5.4.5.
My final favorite method of checking that a ring is a unique factorization do-
main (§5.4.5) is Nagata’s Lemma. It is also the least useful.
15.4.W. ⋆⋆ E XERCISE (N AGATA’ S L EMMA ). Suppose A is a Noetherian domain,
x ∈ A an element such that (x) is prime and Ax = A[1/x] is a unique factorization
domain. Then A is a unique factorization domain. (Hint: Exercise 15.4.V. Use the
short exact sequence
Z[(x)] / Cl Spec A / Cl Spec Ax /0
([Link]) to show that Cl Spec A = 0. Prove that A[1/x] is integrally closed, then
show that A is integrally closed as follows. Suppose T n + an−1 T n−1 + · · · + a0 = 0,
where ai ∈ A, and T ∈ K(A). Then by integral closedness of Ax , we have that
T = r/xm , where if m > 0, then r ∈ / (x). Then we quickly get a contradiction if
m > 0.)
This leads to a fun algebra fact promised in Remark 13.8.6. Suppose k is an
algebraically closed field of characteristic not 2. Let A = k[x1 , . . . , xn ]/(x21 + · · · +
x2m ) where m ≤ n. When m ≤ 2, we get some special behavior. (If m = 0, we get
affine space; if m = 1, we get a nonreduced scheme; if m = 2, we get a reducible
scheme that is the union of two affine spaces.)
If m ≥ 3, we have verified that Spec A is normal, in Exercise 5.4.I(b). In fact,
if m ≥ 3, then A is a unique factorization domain unless m = 3 or m = 4 (Exer-
cise 5.4.L; see also Exercise 13.1.E). For the case m = 3:
A = k[x, y, z, w1 , . . . , wn−3 ]/(x2 + y2 − z2 )
is not a unique factorization domain, as it is has nonzero class group (by essentially
the same argument as for Exercise 15.4.S).
The failure at 4 comes from the geometry of the quadric surface: we have
checked that in Spec k[w, x, y, z]/(wz − xy), there is a codimension 1 irreducible
subset — the cone over a line in a ruling — that is not principal.
15.4.X. E XERCISE ( THE CASE m ≥ 5). Suppose that k is algebraically closed of
characteristic not 2. Show that if ℓ ≥ 3, then
A = k[a, b, x1 , . . . , xn ]/(ab − x21 − · · · − x2ℓ )
is a unique factorization domain, by using Nagata’s Lemma with x = a.
April 1, 2023 draft 443
15.4.19. A variation of the Qcqs Lemma. The Qcqs Lemma 6.2.8, proved in
Exercise 6.2.G, has the following generalization.
15.4.Y. I MPORTANT E XERCISE ( TO BE USED REPEATEDLY ). Suppose X is a qua-
sicompact quasiseparated scheme, L is an invertible sheaf on X with section s,
and F is a quasicoherent sheaf on X. Generalizing Definition 6.2.7, let Xs be the
open subset of X where s doesn’t vanish. Show that any section of F over Xs can
be interpreted as the quotient of a global section of F ⊗OX L ⊗n by sn . In other
words, any section of F over Xs can be extended over all of X, once you multi-
ply it by a large enough power of s. More precisely: note that ⊕n≥0 Γ (X, L ⊗n )
is a graded ring, and we interpret s as a degree 1 element of it. Note also that
⊕n≥0 Γ (X, F ⊗OX L ⊗n ) is a graded module over this ring. Describe a natural map
( )
(⊕n≥0 Γ (X, F ⊗OX L ⊗n ))s 0 / Γ (Xs , F )
and show that it is an isomorphism. (Hint: after showing the existence of the nat-
ural map, show it is an isomorphism in the affine case. It will be helpful to remem-
ber that for quasicoherent sheaves, “tensor product has no need to be sheafified
when restricted to affine subschemes”, Exercise 6.2.F.)
15.5 Effective Cartier divisors “=” invertible ideal sheaves
We now give a different means of describing invertible sheaves on a scheme.
One advantage of this over Weil divisors is that it can give line bundles on every-
where nonreduced schemes (such a scheme can’t be regular at any codimension 1
prime).
Suppose D ,→ X is a closed subscheme such that the corresponding ideal sheaf
I is an invertible sheaf. Then I is locally trivial; suppose U is a trivializing affine
open set Spec A. Then the closed subscheme exact sequence ([Link])
0 /I / OX / OD /0
corresponds to
0 /I /A / A/I /0
∼ A as A-modules. Thus I is generated by a single element, say a, and this
with I =
exact sequence starts as
0 / A ×a / A
As multiplication by a is injective, a is not a zerodivisor. We conclude that D is lo-
cally cut out by a single equation, that is not a zerodivisor. This was the definition
of effective Cartier divisor given in §9.5.1. This argument is clearly reversible, so we
have a quick new definition of effective Cartier divisor (an ideal sheaf I that is an
invertible sheaf — or equivalently, the corresponding closed subscheme).
15.5.A. E ASY E XERCISE . Show that a is unique up to multiplication by an invert-
ible function.
In the case where X is locally Noetherian, we can use the language of associ-
ated points (§6.6.2), so we can restate this definition as: D is locally cut out by a
single equation, not vanishing at any associated point of X.
444 The Rising Sea: Foundations of Algebraic Geometry
We now define an invertible sheaf corresponding to D. The seemingly obvious
definition would be to take ID , but instead we define the invertible sheaf O(D)
∨
corresponding to an effective Cartier divisor to be the dual: ID . (The reason for
the dual is Exercise 15.5.C.)
15.5.B. E XERCISE . Check that this agrees with our earlier definition of O(D),
Important Definition 15.4.5.
The ideal sheaf ID is then O(−D), so the closed subscheme exact sequence
([Link]) is
0 / O(−D) /O / OD / 0.
The invertible sheaf O(D) has a canonical section sD : Tensoring 0 → I → O
with I ∨ gives us O → I ∨ . (Easy unimportant fact: instead of tensoring I → O
with I ∨ , we could have dualized I → O, and we would get the same section.)
15.5.C. I MPORTANT AND SURPRISINGLY TRICKY EXERCISE . Recall that a section of
a locally free sheaf on X cuts out a closed subscheme of X (Exercise 14.2.O). Show
that this section sD cuts out D. (Compare this to Remark 15.4.9.)
This construction is reversible:
15.5.D. E XERCISE . Suppose L is an invertible sheaf, and s is a section that is lo-
cally not a zerodivisor. (Make sense of this! In particular, if X is locally Noetherian,
this means “s does not vanish at an associated point of X”, see §6.6.2.) Show that
s = 0 cuts out an effective Cartier divisor D, and O(D) = ∼ L.
15.5.E. E XERCISE . Suppose I and J are invertible ideal sheaves (hence cor-
responding to effective Cartier divisors, say D and D ′ respectively). Show that
I J is an invertible ideal sheaf. (We define the product of two quasicoherent
ideal sheaves I J as you might expect: on each affine, we take the product of
the two corresponding ideals. To make sure this is well-defined, we need only
check that if A is a ring, and f ∈ A, and I, J ⊂ A are two ideals, then (IJ)f = If Jf
in Af .) We define the corresponding Cartier divisor to be D + D ′ . Verify that
∼ O(D) ⊗ O(D ′ ).
O(D + D ′ ) =
We thus have an important correspondence between effective Cartier divisors
(closed subschemes whose ideal sheaves are invertible, or equivalently locally cut
out by one non-zerodivisor, or in the locally Noetherian case, locally cut out by
one equation not vanishing at an associated point) and ordered pairs (L , s) where
L is an invertible sheaf, and s is a section that is not locally a zerodivisor (or in the
locally Noetherian case, not vanishing at an associated point). The effective Cartier
divisors form an abelian semigroup. We have a map of semigroups, from effective
Cartier divisors to invertible sheaves with sections not locally zerodivisors (and
hence also to the Picard group of invertible sheaves).
15.5.1. Normal (line) bundles to effective Cartier divisors. If D is an effective Cartier
divisor on a scheme X, then the restriction of the invertible sheaf O(D) to D itself
is often called the normal (line) bundle to D (although perhaps it should be called
the normal inverble sheaf). We denote it ND/X := OX (D)|D . The motivation for
this language is that if X and D are smooth complex varieties, the normal bundle
April 1, 2023 draft 445
in this algebro-geometric sense agrees with the normal bundle in the differential-
geometric sense. This interpretation breaks down in more “singular” situations,
but the intuition is useful even then. We will define the normal bundle (and nor-
mal sheaf) in a more general setting in §21.2.15.
15.5.2. Unimportant Remark. We get lots of invertible sheaves, by taking differences
of two effective Cartier divisors. In fact we “usually get them all” — it is very hard
to describe an invertible sheaf on a finite type k-scheme that is not describable in
such a way. For example, there are none if the scheme is regular or even factorial
(basically by Proposition 15.4.15 for factoriality; and regular schemes are facto-
rial by the Auslander-Buchsbaum Theorem 13.8.5). Exercise 16.2.F will imply that
there are none if the scheme is projective. It holds in all other reasonable circum-
stances, see [Gr-EGA, IV4 .21.3.4]. However, it does not always hold; the first and
best example is due to Kleiman, see [Kl3].
15.6 The graded module corresponding to a quasicoherent sheaf
(This section answers some fundamental questions, but it is surprisingly tricky.
You may wish to skip this section, or at least the proofs, on first reading, unless you
have a particular need for them.)
Throughout this section, S• is a finitely generated graded algebra generated
in degree 1, so in particular we have the invertible sheaf O(n) for all n by Exer-
cise 15.1.G. Also, throughout, M• is a graded S• -module, and F is a quasicoherent
sheaf on Proj S• .
We know how to get quasicoherent sheaves on Proj S• from graded S• -modules.
We will now see that we can get them all in this way. We will define a functor Γ•
from (the category of) quasicoherent sheaves on Proj S• to (the category of) graded
S• -modules that will attempt to reverse the ∼ construction. They are not quite in-
verses, as ∼ can turn two different graded modules into the same quasicoherent
sheaf (see for example Exercise 14.6.C). But we will see a natural isomorphism
Γ^
∼ g
• (F ) ←→ F . In fact Γ• (M• ) is a better (“saturated”) version of M• , and there is
a saturation functor M• → Γ• (M g• ) that is akin to groupification and sheafification
— it is adjoint to the forgetful functor from saturated graded modules to graded
modules. And thus we come to the fundamental relationship between ∼ and Γ• :
they are an adjoint pair.
graded S• -modules
jjj S
∼jjjjj
jjjj
ujjjj
QCohProj S• saturate forget
TTTT
Tequivalence
TTTT
TTTT
Γ• TT)
saturated graded S• -modules
We now make some of this precise, but as little as possible to move forward. In
particular, we will show that every quasicoherent sheaf on a projective A-scheme
446 The Rising Sea: Foundations of Algebraic Geometry
arises from a graded module (Corollary 15.6.4), and we will see that every closed
subscheme of Proj S• arises from a homogeneous ideal I• ⊂ S• (Exercise 15.6.J).
15.6.1. Definition of Γ• . When you do Essential Exercise 15.1.C (on global sections
of OPmk
(n)), you will suspect that in good situations,
∼ Γ (Proj S• , M(n)
Mn = f • ).
Motivated by this, we define
Γn (F ) := Γ (Proj S• , F (n)).
^• ),
15.6.A. E XERCISE . Describe a morphism of S0 -modules Mn → Γ (Proj S• , M(n)
extending the n = 0 case of Exercise 14.6.D.
15.6.B. E XERCISE . Show that Γ• (F ) is a graded S• -module. (Hint: consider Sn →
Γ (Proj S• , O(n)).)
15.6.C. E XERCISE . Show that the map M• → Γ• (M g• ) arising from the previous
two exercises is a map of S• -modules. We call this the saturation map.
15.6.D. E XERCISE . Show that the saturation map need not be injective, nor need it
be surjective. (Hint: S• = k[x], M• = k[x]/(x2 ) or M• = xk[x].)
15.6.E. E XERCISE . Show that Γ• is a functor from QCohProj S• to the category of
graded S• -modules. In other words, if F → G is a morphism of quasicoherent
sheaves on Proj S• , describe the natural map Γ• F → Γ• G , and show that such
maps respect the identity and composition. Thus the saturation map can be better
called the saturation functor.
15.6.2. The special case M• = S• . We have a saturation map S• → Γ• Sf• , which is a
f
map of S• -modules. But Γ• S• has the structure of a graded ring (basically because
we can multiply sections of O(m) by sections of O(n) to get sections of O(m + n),
see Exercise 15.1.I).
15.6.F. E XERCISE .
(a) Show that the saturation map is in fact a ring morphism.
(b) Show that the saturation map is an isomorphism when S• is a polynomial ring
(with the usual grading).
(c) Show that the saturation map is not an isomorphism for S• = k[x, y]/(xy),
where both variables have degree 1.
15.6.G. E XERCISE . Show that the map of graded rings S• → Γ• S f• induces (via
∼
f• −→
the construction of Essential Exercise 7.4.A) an isomorphism Proj Γ• S Proj S• ,
and under this isomorphism, the respective O(1)’s are identified.
This addresses the following question: to what extent can we recover S• from
(Proj S• , O(1))? The answer is: we cannot recover S• , but we can recover its “sat-
uration”. And better yet: given a projective A-scheme π : X → Spec A, along with
O(1), we obtain it as a Proj of a graded algebra in a canonical way, via
∼ Proj (⊕n≥0 Γ (X, O(n))) .
X=
April 1, 2023 draft 447
15.6.3. ⋆ The reverse map. Now that we have defined the saturation map M• →
g• , we will describe a map Γg
Γ• M • F → F . While subtler to define, it will have the
advantage of being an isomorphism.
15.6.H. E XERCISE . Define the natural map Γg • F → F as follows. First describe the
map on sections over D+ (f). Note that sections of the left side are of the form m/fn
′ ′
where m ∈ Γn deg f (F ), and m/fn = m ′ /fn if there is some N with fN (fn m −
fn m ′ ) = 0. Sections on the right are implicitly described in Exercise 15.4.Y. Show
that your map behaves well on overlaps D+ (f) ∩ D+ (g) = D+ (fg).
15.6.I. T RICKY E XERCISE . Show that the natural map Γg • F → F is an isomor-
phism, by showing that it is an isomorphism of sections over D+ (f) for any f. First
show surjectivity, using Exercise 15.4.Y to show that any section of F over D+ (f)
is of the form m/fn where m ∈ Γn deg f (F ). Then verify that it is injective.
15.6.4. Corollary. — Every quasicoherent sheaf on a projective A-scheme arises from the
∼ construction.
15.6.J. E XERCISE ( CONVERSE TO E XERCISE 9.3.B). Show that each closed sub-
scheme of Proj S• arises from a homogeneous ideal I• ⊂ S• . (Hint: Suppose Z is
a closed subscheme of Proj S• . Consider the exact sequence 0 → IZ → OProj S• →
OZ → 0. Apply Γ• , and then ∼. Be careful: Γ• is left-exact, but not necessarily
exact.) This fulfills promises made in Exercises 9.3.B and 14.6.E.
For the first time, we see that every closed subscheme of a projective scheme is
cut out by homogeneous equations. This is the analog of the fact that every closed
subscheme of an affine scheme is cut out by equations. It is disturbing that it is so
hard to prove this fact. (For comparison, this was easy on the level of the Zariski
topology — see Exercise 4.5.K(c).)
15.6.K. ⋆⋆ E XERCISE (Γ• AND ∼ ARE ADJOINT FUNCTORS ). Describe a natural
∼ Hom(M
bijection Hom(M• , Γ• F ) = g• , F ), as follows.
(a) Show that maps M• → Γ• F are the “same” as maps ((M• )f )0 → ((Γ• F )f )0
as f varies through S+ , that are “compatible” as f varies, i.e., if D+ (g) ⊂
D+ (f), there is a commutative diagram
((M• )f )0 / ((Γ• F )f )0
((M• )g )0 / ((Γ• F )g )0
More precisely, give a bijection between Hom(M• , Γ• F ) and the set of
compatible maps
( )
Hom((M• )f )0 → ((Γ• F )f )0 .
f∈S+
(b) Describe a bijection between the set of compatible maps (Hom((M• )f )0 →
g• ) → Γ (D+ (f), F ).
((Γ• F )f )0 )f∈S+ and the set of compatible maps Γ (D+ (f), M
448 The Rising Sea: Foundations of Algebraic Geometry
15.6.5. ⋆⋆ Saturated S• -modules. We end with a remark: different graded S• -
modules give the same quasicoherent sheaf on Proj S• , but the results of this sec-
tion show that there is a “best” (= saturated) graded module for each quasico-
herent sheaf, and there is a map from each graded module to its “best” version,
M• → Γ• M g• . A module for which this is an isomorphism (a “best” module) is
called saturated. We won’t use this term later.
This “saturation” map M• → Γ• M g• is analogous to the sheafification map,
taking presheaves to sheaves. For example, the saturation of the saturation equals
the saturation.
See §14.6.1 for another description of the category of saturated S• -modules.
CHAPTER 16
Maps to projective space, and properties of line
bundles
16.1 Globally generated quasicoherent sheaves
We now come to a topic that is harder, but that will be important. Throughout
this section, S• will be a finitely generated graded ring over A, generated in degree
1. We will prove the following result.
16.1.1. Theorem. — Any finite type quasicoherent sheaf F on Proj S• can be presented
in the form
⊕finite O(−n) /F / 0.
Because we can work with the line bundles O(−n) in a hands-on way, this
result will give us great control over all coherent sheaves (and in particular, vector
bundles) on Proj S• . As just a first example, it will allow us to show that every
coherent sheaf on a projective k-scheme has a finite-dimensional space of global
sections (Corollary 18.1.4). (This fact will grow up to be the fact that the higher
pushforwards of coherent sheaves under proper morphisms are also coherent, see
Theorem 18.7.1(d) and Grothendieck’s Coherence Theorem 18.9.1.)
Rather than proceeding directly to a proof, we use this as an excuse to intro-
duce notions that are useful in wider circumstances (global generation, base-point-
freeness, ampleness), and their interrelationships. But first we use it as an excuse to
mention an important classical result.
16.1.2. The Hilbert Syzygy Theorem.
Given any coherent sheaf F on Pn k , Theorem 16.1.1 gives the existence of a
surjection ϕ : ⊕finite O(−m) → F → 0. The kernel of the surjection is also coherent,
so iterating this construction, we can construct an infinite resolution of F by a
direct sum of line bundles:
· · · ⊕finite O(m2,j ) / ⊕finite O(m1,j ) / ⊕finite O(m0,j ) /F / 0.
The Hilbert Syzygy Theorem states that there is in fact a finite resolution, of length
at most n. Because we won’t use this, we don’t give a proof, but [E] (especially [E,
Thm. 1.13] and the links thereafter) has an excellent discussion. (Hilbert’s original
statement, and the discussion in [E], is about graded modules. The connection to
the statement here on coherent sheaves is provided by the exactness of the functor
449
450 The Rising Sea: Foundations of Algebraic Geometry
∼, Exercise 14.6.B.) See the comments after Theorem 3.6.17 for the original history
of this result.
16.1.3. Globally generated sheaves. Suppose X is a scheme, and F is an O-
module. The most important definition of this section is the following: F is glob-
ally generated (or generated by global sections) if it admits a surjection from a
free sheaf on X:
O ⊕I //F .
Here I is some index set. The global sections in question are the images of the |I|
sections corresponding to 1 in the various summands of OX⊕I ; those images gener-
ate the stalks of F . We say F is finitely globally generated (or generated by a
finite number of global sections) if the index set I can be taken to be finite.
More definitions in more detail: we say that F is globally generated at a point
p (or sometimes generated by global sections at p) if we can find ϕ : O ⊕I → F
that is surjective on stalks at p:
ϕp
Op⊕I / / Fp .
(It would be more precise to say that the stalk of F at p is generated by global
sections of F .) The key insight is that global generation at p means that every
germ at p is a linear combination (over the local ring OX,p ) of germs of global
sections.
Note that F is globally generated if it is globally generated at all points p. (Rea-
son: Exercise 2.4.D showed that isomorphisms can be checked on the level of
stalks. An easier version of the same argument shows that surjectivity can also
be checked on the level of stalks.) Notice that we can take a single index set for all
of X, by taking the union of all the index sets for each p.
16.1.A. E ASY E XERCISE ( REALITY CHECK ). Show that every quasicoherent sheaf
on every affine scheme is globally generated. Show that every finite type quasi-
coherent sheaf on every affine scheme is generated by a finite number of global
sections. (Hint for both: for any A-module M, there is a surjection onto M from a
free A-module.)
Clearly if F and G are globally generated, then so is F ⊕ G is as well (and
similarly for finitely globally generated, generated at a point p, etc.). Similarly for
tensor product:
16.1.B. E ASY E XERCISE ( GLOBALLY GENERATED ⊗ GLOBALLY GENERATED IS GLOB -
ALLY GENERATED ). Show that if quasicoherent sheaves F and G are globally
generated at a point p, then so is F ⊗ G .
16.1.C. E ASY BUT I MPORTANT E XERCISE . Suppose F is a finite type quasicoher-
ent sheaf on X.
(a) Show that F is globally generated at p if and only if “the fiber of F is gener-
ated by global sections at p”, i.e., the global sections span the fiber Fp /mFp as a
vector space, where m is the maximal ideal of OX,p . (Hint: Geometric Nakayama,
Exercise 14.3.E.)
(b) Show that if F is globally generated at p, then “F is globally generated near
p”: there is an open neighborhood U of p such that F is globally generated at
April 1, 2023 draft 451
every point of U.
(c) Suppose further that X is a quasicompact scheme. Show that if F is globally
generated at all closed points of X, then F is globally generated at all points of X.
(Note that nonempty quasicompact schemes have closed points, Exercise 5.1.E.)
16.1.D. E ASY E XERCISE . If F is a finite type quasicoherent sheaf on X, and X is
quasicompact, show that F is globally generated if and only if it is generated by a
finite number of global sections.
16.1.E. E ASY E XERCISE . An invertible sheaf L on X is globally generated if and
only if for any point p ∈ X, there is a global section of L not vanishing at p. (See
Theorem 15.2.2 for why we care.)
We are now able to state a celebrated result of Serre.
16.1.4. Serre’s Theorem A. — Suppose S• is generated in degree 1, and finitely gener-
ated over A = S0 . Let F be any finite type quasicoherent sheaf on Proj S• . Then there
exists some n0 such that for all n ≥ n0 , F (n) is finitely globally generated.
We could now prove Serre’s Theorem A directly, but will continue to use this
as an excuse to introduce more ideas; it will be a consequence of Theorem 16.2.2.
16.1.5. Proof of Theorem 16.1.1 assuming Serre’s Theorem A (Theorem 16.1.4). Suppose
we have m global sections s1 , . . . , sm of F (n) that generate F (n). This gives a
map
⊕m O / F (n)
given by (f1 , . . . , fm ) 7→ f1 s1 + · · · + fm sm on any open set. Because these global
sections generate F (n), this is a surjection. Tensoring with O(−n) (which is exact,
as tensoring with any locally free sheaf is exact, Exercise 14.2.F) gives the desired
result. □
16.2 Ample and very ample line bundles
We now introduce ampleness, an central “positivity” property of line bundles
that will prove important for a number of disparate reasons — geometric, alge-
braic, topological, computational, and more.
Suppose π : X → Spec A is a morphism, and L is an invertible sheaf on X. (The
case when A is a field is the one of most immediate interest.) We say that L is very
ample over A or π-very ample, or relatively very ample if X = ∼ Proj S• where S•
is a finitely generated graded ring over A generated in degree 1 (Definition 4.5.6),
and L = ∼ OProj S (1). One often just says very ample if the structure morphism is
•
clear from the context. Note that the existence of a very ample line bundle implies
that X is projective.
16.2.A. E ASY BUT I MPORTANT E XERCISE ( EQUIVALENT DEFINITION OF VERY AM -
PLE OVER A). Suppose π : X → Spec A is proper, and L is an invertible sheaf on
X. Show that L is very ample if and only if there exist a finite number of global
452 The Rising Sea: Foundations of Algebraic Geometry
sections s0 , . . . sn of L , with no common zeros, such that the morphism
[s0 , . . . , sn ] : X / Pn
A
is a closed embedding.
16.2.B. E ASY EXERCISE ( VERY AMPLE IMPLIES BASE - POINT- FREE ). Show that a
very ample invertible sheaf L on a proper A-scheme must be base-point-free. In
other words, show that for any point p on the scheme, there is a section of L not
vanishing there.
16.2.C. E XERCISE ( VERY AMPLE ⊗ BASE - POINT- FREE IS VERY AMPLE , HENCE VERY
AMPLE ⊗ VERY AMPLE IS VERY AMPLE ). Suppose L and M are invertible sheaves
on a proper A-scheme X, and L is very ample over A and M is base-point-free,
then L ⊗ M is very ample. (Hint: L gives a closed embedding X ,→ Pm , and M
gives a morphism X → Pn . Show that the product map X → Pm × Pn is a closed
embedding, using the Cancellation Theorem 11.2.1 for closed embeddings on X →
Pm × Pn → Pm . Finally, consider the composition X ,→ Pm × Pn ,→ Pmn+m+n ,
where the last closed embedding is the Segre embedding.)
16.2.D. E XERCISE ( VERY AMPLE ⊠ VERY AMPLE IS VERY AMPLE , CF. E XAMPLE 15.2.11).
Suppose X and Y are proper A-schemes, and L (resp. M ) is a very ample invert-
ible sheaf on X (resp. Y). If πX : X ×A Y → X and πY : X ×A Y → Y are the usual
projections, show that π∗X L ⊗ π∗Y M (also known as L ⊠ M , see §15.2.11) is very
ample on X ×A Y.
16.2.1. Definition. We say an invertible sheaf L on a proper A-scheme X is ample
over A, or π-ample (where π : X → Spec A is the structure morphism), or relatively
ample if one of the following equivalent conditions holds.
16.2.2. Theorem. — Suppose π : X → Spec A is proper, and L is an invertible sheaf on
X. Then the following are equivalent.
(projective geometry)
(a) For some N > 0, L ⊗N is very ample over A.
(a’) For all n ≫ 0, L ⊗n is very ample over A.
(global generation)
(b) For all finite type quasicoherent sheaves F , there is an n0 such that for n ≥ n0 ,
F ⊗ L ⊗n is globally generated.
(topology)
(c) As f runs over all the global sections of L ⊗n (over all n > 0), the open subsets
Xf = {p ∈ X : f(p) ̸= 0} form a base for the topology of X.
(c’) As f runs over the global sections of L ⊗n (over all n > 0), those open subsets Xf
which are affine form a base for the topology of X.
(c”) As f runs over the global sections of L ⊗n (over all n > 0), those open subsets
Xf which are affine cover X.
(Variants of this Theorem 16.2.2 in the “absolute” and “relative” settings will
be given in Theorems 16.2.6 and 17.3.8 respectively.)
Note that (b) and (c)–(c”) make no reference to the structure morphism π. We
will later (Theorem 18.8.1) meet a cohomological criterion for ampleness (due to
Serre). The Kodaira Embedding Theorem (see, for example, [GH1, p. 181]) also
April 1, 2023 draft 453
gives a criterion for ampleness in the complex category: if X is a compact com-
plex manifold, then an invertible sheaf L on X is ample if and only if it admits a
Hermitian metric with positive curvature everywhere.
The different flavor of these conditions gives some indication that ampleness
is better-behaved than very ampleness in a number of ways. We mention without
proof another property (“ampleness is an open condition in families”): if π : X → T
is a finitely presented proper morphism, and L is an invertible sheaf on X, then
those points on T where L is ample on the fiber form an open subset of T . Fur-
thermore, on this open subset, L is relatively ample over the base. We won’t use
these facts (proved in [Gr-EGA, IV3 .9.6.4]), but they are good to know.
Before getting to the proof of Theorem 16.2.2, we give some sample applica-
tions. We begin by noting that the fact that (a) implies (b) gives Serre’s Theorem A
(Theorem 16.1.4).
16.2.E. I MPORTANT E XERCISE . Suppose L and M are invertible sheaves on a
proper A-scheme X, and L is ample. Show that L ⊗n ⊗ M is very ample for
n ≫ 0. (Hint: use both (a) and (b) of Theorem 16.2.2, and Exercise 16.2.C.)
16.2.F. I MPORTANT E XERCISE . Show that every line bundle on a projective A-
scheme X is the difference of two very ample line bundles. More precisely, for any
invertible sheaf L on X, we can find two very ample invertible sheaves M and N
such that L = ∼ M ⊗ N ∨ . (Hint: use the previous Exercise.)
16.2.G. I MPORTANT E XERCISE ( USED REPEATEDLY ). Suppose π : X → Y is a fi-
nite morphism of proper A-schemes, and L is an ample line bundle on Y. Show
that π∗ L is ample on X. Hint: use the criterion of Theorem 16.2.2(c”). (Remark
for those who have read about ampleness in the absolute setting in §16.2.5: the re-
sult applies in that situation, i.e., with “proper A-schemes” changed to “schemes”,
without change. The only additional thing to note is that ampleness of L on
Y implies that Y is quasicompact from the definition, and separated from Theo-
rem 16.2.6(d). A relative version of this result appears in §17.3.7. It can be gener-
alized even further, with “π finite” replaced by “π quasiaffine” — to be defined in
§17.3.10 — see [Gr-EGA, II.5.1.12].)
16.2.H. E XERCISE ( AMPLE ⊗ AMPLE IS AMPLE , AMPLE ⊗ BASE - POINT- FREE IS AM -
PLE . Suppose L and M are invertible sheaves on a proper A-scheme X, and L
is ample. Show that if M is ample or base-point-free, then L ⊗ M is ample.
16.2.I. L ESS IMPORTANT E XERCISE ( AMPLE ⊠ AMPLE IS AMPLE ). Solve Exer-
cise 16.2.D with “very ample” replaced by “ample”.
16.2.3. Proof of Theorem 16.2.2 in the case X is Noetherian. Noetherian hypotheses
are used at only one point in the proof, and we explain how to remove them.
We work roughly from easiest to hardest implications. Obviously, (a’) implies
(a), and (c’) implies both (c) and (c”).
We now show that (c) implies (c’). Suppose we have a point p in an open subset
U of X. We seek an affine Xf containing p and contained in U. By shrinking U, we
may assume that U is affine. From (c), U contains some Xf containing p. But this
Xf is affine, as it is the complement of the vanishing locus of a section of a line
454 The Rising Sea: Foundations of Algebraic Geometry
(a) o
clear
(a ′ )
| D
b D
|| DDharder
|| DD
|| DD
}|t clear clear /
′
(c) 3 (c ) (c ′′ )
aBB z
BB z
BB zz
BB zzzharder
|z
(b)
F IGURE 16.1. Structure of the proof of Theorem 16.2.2, up to the
last step
bundle on an affine scheme (Exercise 8.3.E), so (c’) holds. Note for future reference
that the equivalence of (c) and (c’) did not require the hypothesis of properness.
F IGURE 16.2. Visual aid for the proof of Theorem 16.2.2
We next show that (a) implies (c). We embed X in projective space by some
power of L . Given a closed subset Z ⊂ X, and a point p of the complement X \ Z,
we seek a section of some L ⊗N that vanishes on Z and not on p. The existence of
such a section follows from the fact that V(I(Z)) = Z (Exercise 4.5.K(c)): there is
some (homogeneous) element of I(Z) that does not vanish on p.
We next show that (b) implies (c). Suppose we have a point p in an open subset
U of X. We seek a section of L ⊗N that doesn’t vanish at p, but vanishes on X \ U.
Let I be the sheaf of ideals of functions vanishing on X \ U (the quasicoherent
sheaf of ideals cutting out X \ U, with reduced structure). As X is Noetherian, I is
finite type, so by (b), I ⊗L ⊗N is generated by global sections for some N, so there
is some global section of it not vanishing at p. (Noetherian note: This is the only part
of the argument where we use Noetherian hypotheses. They can be removed as
follows. Show that for a quasicompact quasiseparated scheme, every ideal sheaf is
generated by its finite type subideal sheaves. Indeed, any quasicoherent sheaf on
a quasicompact quasiseparated scheme is the union of its finite type quasicoherent
subsheaves. This can be proved by hand, and is a suitable but hard exercise, see
[GW, Cor. 10.50]. One of these finite type ideal sheaves doesn’t vanish at p; use
this as I instead.)
We now have to start working harder.
We next show that (c”) implies (b).
We wish to show that F ⊗ L ⊗n is globally generated for n ≫ 0. We first show
that (c”) implies that for some N > 0, L ⊗N is globally generated, as follows. Use
quasicompactness of X to select a finite number of ∏ affine Xf1 , . . . , Xfn , that cover X,
⊗( Nj )/Ni
where fi ∈ Γ (X, L ⊗Ni ). By replacing fi with fi j
, we may assume that
April 1, 2023 draft 455
∏
they are all sections of the same power L ⊗N of L (taking N = j Nj ). Then L ⊗N
is generated by these global sections.
We next show that it suffices to show that for all finite type quasicoherent
sheaves F , F ⊗ L ⊗mN is globally generated for m ≫ 0. For if we knew this, we
could apply it to F , F ⊗ L , . . . , F ⊗ L ⊗(N−1) (a finite number of times), and the
result would follow. For this reason, we can replace L by L ⊗N . In other words,
to show that (c”) implies (b), we may also assume the additional hypothesis that
L is globally generated.
For each closed point p, choose an affine open neighborhood of the form Xf ,
using (c”). Then F |Xf is generated by a finite number of global sections (Easy
Exercise 16.1.A — a finite type quasicoherent sheaf on Spec A corresponds to a
finitely generated A-module). By Exercise 15.4.Y, each of these generators can be
expressed as a quotient of a section (over X) of F ⊗ L ⊗M(p) by fM(p) . (Note: we
can take a single M(p) for each p.) Then F ⊗ L ⊗M(p) is globally generated at p by
a finite number of global sections. By Exercise 16.1.C(b), F ⊗ L ⊗M(p) is globally
generated at all points in some open neighborhood Up of p. As L is also globally
′
generated, this implies that F ⊗ L ⊗M is globally generated at all points of Up
for M ′ ≥ M(p) (cf. Easy Exercise 16.1.B). From quasicompactness of X, a finite
number of these Up cover X, so we are done (by taking the maximum of these
M(p)).
Our penultimate step is to show that (c”) implies (a). We assume (c”). Our
goal is find sections of some L ⊗N that embeds X into projective space. Choose a
cover of (quasicompact) X by n affine open subsets Xa1 , . . . , Xan , where a1 , . . . , an
are all sections of powers of L . By replacing each section with a suitable power,
we may assume that they are all sections of the same power of L , say L ⊗N . Say
Xai = Spec Ai , where (using that π is finite type) Ai = Spec A[ai1 , . . . , aiji ]/Ii .
By Exercise 15.4.Y, each aij is of the form sij /ai ij , where sij ∈ Γ (X, L ⊗Nmij )
m
m−mij
(for some mij ). Let m = maxi,j mij . Then for each i, j, aij = (sij ai )/am i .
m m−mij
For convenience, let bi = ai , and bij = sij ai ; these are all global sections of
L ⊗mN . Now consider the linear series generated by the bi and bij . As the D(bi ) =
Xai cover X, this linear series is base-point-free, and hence (by Exercise 15.2.A)
gives a morphism to PQ (where Q = #bi + #bij − 1). Let x1 , . . . , xn , . . . , xij , . . . be
the projective coordinates on PQ , so f∗ xi = bi , and f∗ xij = bij . Then the morphism
of affine schemes Xai → D(xi ) is a closed embedding, as the associated maps of
rings is a surjection (the generator aij of Ai is the image of xij /xi ).
At this point, we note for future reference that we have shown the following. If
X → Spec A is finite type, and L satisfies (c”), then X is a locally closed embedding
into a projective A-scheme. (We did not use separatedness.) We conclude our
proof that (c”) implies (a) by using Exercise 11.5.C (“image of proper is proper”)
to show that the image of this locally closed embedding into a projective A-scheme
is in fact closed, so X is a projective A-scheme.
Finally, we note that (a) and (b) together imply (a’): if L ⊗N is very ample (from
(a)), and L ⊗n is base-point-free for n ≥ n0 (from (b)), then L ⊗n is very ample for
n ≥ n0 + N by Exercise 16.2.C. □
16.2.4. ⋆⋆ Semiample line bundles. Just as an invertible sheaf is ample if some tensor
power of it is very ample, an invertible sheaf L is said to be semiample if some
456 The Rising Sea: Foundations of Algebraic Geometry
tensor power of it is base-point-free. (Translation: L is ample if some power gives
a closed embedding into projective space, and L is semiample if some power
gives just a morphism to projective space.) We won’t use this notion.
16.2.5. ⋆ Ampleness in the absolute setting. (We will not use this section in
any serious way later.) Note that global generation is already an absolute notion,
i.e., is defined for a quasicoherent sheaf on a scheme, with no reference to any
morphism. An examination of the proof of Theorem 16.2.2 shows that ampleness
may similarly be interpreted in an absolute setting. We make this precise. Suppose
L is an invertible sheaf on a quasicompact scheme X. We say that L is ample if as
f runs over the sections of L ⊗n (n > 0), the open subsets Xf = {p ∈ X : f(p) ̸= 0}
form a base for the topology of X. (We emphasize that quasicompactness in X is
part of the condition of ampleness of L .) For example, (i) if X is an affine scheme,
every invertible sheaf is ample, and (ii) if X is a projective A-scheme, O(1) is ample.
16.2.J. E ASY E XERCISE ( PROPERTIES OF ABSOLUTE AMPLENESS ).
(a) Fix a positive integer n. Show that L is ample if and only if L ⊗n is ample.
(b) Show that if Z ,→ X is a closed embedding, and L is ample on X, then L |Z is
ample on Z.
The following result will give you some sense of how ampleness behaves. We
will not use it, and hence omit the proof (which is given in [Stacks, tag 01Q3]).
However, many parts of the proof are identical to (or generalize) the correspond-
ing arguments in Theorem 16.2.2. The labeling of the statements parallels the la-
belling of the statements in Theorem 16.2.2.
16.2.6. Theorem (cf. Theorem 16.2.2). — Suppose L is an invertible sheaf on a
quasicompact scheme X. Then the following are equivalent.
(b) X is quasiseparated, and for every finite type quasicoherent sheaf F , there is an
n0 such that for n ≥ n0 , F ⊗ L ⊗n is globally generated.
(c) As f runs over the global sections of L ⊗n (n > 0), the open subsets Xf = {p ∈
X : f(p) ̸= 0} form a base for the topology of X (i.e., L is ample).
(c’) As f runs over the global sections of L ⊗n (n > 0), those open subsets Xf which
are affine form a base for the topology of X.
(c”) As f runs over the global sections of L ⊗n (n > 0), those open subsets Xf which
are affine cover X.
(d) Let S• be the graded ring ⊕n≥0 Γ (X, L ⊗n ). Then the open sets Xf (with f ∈ S+
homogeneous of positive degree) cover X, and the associated map X → Proj S• is
an open embedding. (Warning: S• need not be finitely generated, and Proj S• is
not necessarily finite type.)
Part (d) implies that X is separated (and thus quasiseparated).
16.2.7. ⋆ Transporting global generation, base-point-freeness, and ampleness to
the relative situation.
These notions can be “relativized”. We could do this right now, but we wait
until §17.3.6, when we will have defined the notion of a projective morphism, and
thus a “relatively very ample” line bundle.
April 1, 2023 draft 457
16.3 Applications to curves
We now apply what we have learned to curves. (The only reason this discus-
sion comes so late is because we need Exercise 16.2.G, which implies that if X → Y
is finite, and Y is projective over k, then X is projective over k too.) Because the
word “curve” can have different meanings, we will try to be pedantic about hy-
potheses in statements of theorems. (In common usage, a curve often means a
variety over a field k of pure dimension one.)
16.3.1. Theorem (every integral curve has a birational model that is regular and
projective). — If C is an integral finite type one-dimensional k-scheme, then there exists
a regular projective k-variety C ′ (of dimension 1) birational to C.
C′
P1
F IGURE 16.3. Constructing a projective regular model of a curve
C over k via a finite cover of P1
Proof. We can assume C is affine. By the Noether Normalization Lemma 12.2.4 (or
using transcendence theory, see Exercise 12.2.A), we can find some x ∈ K(C) \ k
with K(C)/k(x) a finite extension of fields. By identifying a standard open sub-
set of P1k with Spec k[x], and taking the normalization of P1 in the function field
K(C) (defined in Exercise 10.7.I), we obtain a finite morphism C ′ → P1 , where
C ′ is a curve (finiteness by Exercise 10.7.M, dim C ′ = dim P1 by Exercise 12.1.G),
and regular (it is reduced hence regular at the generic point, and regular at the
closed points by the main theorem on discrete valuation rings in §13.5). Also, C ′
is birational to C as they have isomorphic function fields (Exercise 7.5.E).
Finally, C ′ → P1k is finite, and P1k → Spec k is projective, so by Exercise 16.2.G,
′
C → Spec k is projective. □
16.3.2. Theorem. — If C is an irreducible, regular, one-dimensional k-variety, then there
is an open embedding C ,→ C ′ into some projective regular curve C ′ (over k).
Proof. We first prove the result in the case where C is affine. Then we have a
closed embedding C ,→ An , and we consider An as a standard open subset of
Pn . Taking the scheme-theoretic closure of C in Pn , we obtain a projective integral
curve C, containing C as an open subset. The normalization C e of C is a finite
morphism (finiteness of normalization, Exercise 10.7.M), so Ce is Noetherian, and
regular (as normal Noetherian dimension 1 local rings are discrete valuation rings,
458 The Rising Sea: Foundations of Algebraic Geometry
§13.5). Moreover, by the universal property of normalization, normalization of
C doesn’t affect the normal open set C, so we have an open embedding C ,→ C.e
e → C is finite, and C → Spec k is projective, so (by Exercise 16.2.G) C
Finally, C e is
projective.
We next consider the case of general C. Let C1 by any nonempty affine open
subset of C. By the discussion in the previous paragraph, we have a regular pro-
jective compactification Ce . The Curve-to-Projective Extension Theorem 15.3.1 (ap-
1
plied successively to the finite number of points C \ C1 ) implies that the morphism
C ,→ C e extends to a birational morphism C → C e . Because points of a separated
1 1 1
regular curve are determined by their valuation (Exercise 13.7.B), this is an inclu-
sion of sets. Because the topology on curves is the “cofinite topology”, it expresses
C as an open subset of Ce . But we are not done yet!
1
C _ 1 Ap
AA
AA
AA
A
C
e
C1
We must show that C → C e is an open embedding of schemes. We show it is
1
an open embedding near a point p ∈ C as follows. Let C2 be an affine open
neighborhood of p in C. We repeat the construction we used on C1 , to obtain the
following diagram, with open embeddings marked.
C _ 1 Ap n C2
AA }}N _
AA }}
AA }}
A
}~}
C?
??
??
??
?
e
C1 e
C 2
By the Curve-to-Projective Extension Theorem 15.3.1, the map C1 → C e extends
2
e → C
to π12 : C e , and we similarly have a morphism π : C e → C e , extending
1 2 21 2 1
C →C e . The composition π ◦ π is the identity morphism (as it is the identity
2 1 21 12
rational map, see Theorem 11.4.2). The same is true for π12 ◦ π21 , so π12 and π21
are isomorphisms. The enhanced diagram
C _ 1 Ap n C2
AA }}N _
AA }}
AA }}
A
}~}
C?
??
??
??
?
e
C1 o ∼ /C e
2
April 1, 2023 draft 459
commutes (by Theorem 11.4.2 again, implying that morphisms of reduced sepa-
e
rated schemes are determined by their behavior on dense open sets). But C → C 2 1
e is an open embedding at p
is an open embedding (in particular, at p), so C → C 1
as well. □
16.3.A. E XERCISE . Show that all regular proper curves over k are projective.
16.3.3. Theorem (various categories of curves are the same). — The following
categories are equivalent.
(i) integral regular projective one-dimensional k-varieties, and surjective k-morphisms.
(ii) integral regular projective one-dimensional k-varieties, and dominant k-morphisms.
(iii) integral regular projective one-dimensional k-varieties, and dominant rational
maps over k.
(iv) integral one-dimensional k-varieties, and dominant rational maps over k.
(v) the opposite category (defined in §1.2.16) of finitely generated fields of transcen-
dence degree 1 over k, and k-homomorphisms.
All morphisms and maps in the following discussion are assumed to be de-
fined over k.
(Aside: The interested reader can tweak the proof below to show the following
variation of the theorem: in (i)–(iv), consider only geometrically irreducible curves,
and in (v), consider only fields K such that K ∩ ks = k in K. This variation allows
us to exclude “weird” curves we may not want to consider. For example, if k = R,
then we are allowing ⨿ curves such as P1C which are not geometrically irreducible,
1 ∼
as PC ×R Spec C = PC P1C .)
1
Proof. Every surjective morphism is a dominant morphism, and every dominant
morphism is a dominant rational map, and each integral regular projective curve is
a quasiprojective curve, so we have shown (informally speaking) how to get from
(i) to (ii) to (iii) to (iv). To get from (iv) to (i), suppose we have a dominant rational
map C1 99K C2 of integral curves. Replace C1 by a dense open set so the rational
map is a morphism C1 → C2 . This induces a map of normalizations C e1 → C e2
of regular irreducible curves. Let Cei be a regular projective compactification of
ei (for i = 1, 2), as in Theorem 16.3.2. Then the morphism C
C e1 → C
e2 extends to
e e
a morphism C1 → C2 by the Curve-to-Projective Extension Theorem 15.3.1. This
morphism is surjective (Do you see why?), so we have produced a morphism in
category (i).
16.3.B. E XERCISE . Put the above pieces together to describe equivalences of cate-
gories (i) through (iv).
It remains to connect (v). This is essentially the content of Exercise 7.5.E; de-
tails are left to the reader. □
Theorem 16.3.3 has a number of implications. For example, each quasiprojec-
tive reduced curve is birational to precisely one projective regular curve. Here is
another interesting consequence.
460 The Rising Sea: Foundations of Algebraic Geometry
16.3.4. Important notion: Degree of a projective morphism from a curve to a
regular curve.
You might already have a reasonable sense that a map of compact Riemann
surfaces has a well-behaved degree, that the number of preimages of a point of
C ′ is constant, so long as the preimages are counted with appropriate multiplicity.
For example, if f locally looks like z 7→ zm = y, then near y = 0 and z = 0 (but
not at z = 0), each point has precisely m preimages, but as y goes to 0, the m
preimages coalesce. Enlightening Example 10.3.4 showed this phenomenon in a
more complicated context.
We now show the algebraic version of this fact. Suppose π : C → C ′ is a sur-
jective (or equivalently, dominant) map of regular projective curves. We will show
that π has a well-behaved degree, in a sense that we will now make precise.
First we show that π is finite. Theorem 18.1.6 (finite = projective + finite fibers)
implies this, but we haven’t proved it yet. So instead we show the finiteness of
π as follows. Let C ′′ be the normalization of C ′ in the function field of C. Then
we have an isomorphism K(C) = ∼ K(C ′′ ) (really, equality) which leads to birational
maps C o_ _ _/ C ′′ which extend to morphisms as both C and C ′′ are regular and
projective (by the Curve-to-Projective Extension Theorem 15.3.1). Thus this yields
an isomorphism of C and C ′′ . But C ′′ → C ′ is a finite morphism by the finiteness
of normalization (Exercise 10.7.M).
16.3.5. Proposition. — Suppose that π : C → C ′ is a finite morphism, where C ′ is a
regular Noetherian scheme of pure dimension one, and C is a Noetherian scheme of pure
dimension one with no embedded points (the most important case: C is reduced). Then
π∗ OC is locally free of finite rank.
The “no embedded points” hypothesis is the same as requiring that every as-
sociated point of C maps to a generic point of (some component of) C ′ . Notice that
if C is reduced, then there are no restrictions on how bad the singularities of C can
be!
We will prove Proposition 16.3.5 in §16.3.10, after showing how useful it is.
The regularity hypothesis on C ′ is necessary: the normalization of a nodal curve
(Figure 8.4) is an example where most points have one preimage, and one point
(the “node”) has two. (We will later see, in Remark 24.4.8 and §24.4.12, that what
matters in the hypotheses of Proposition 16.3.5 is that the morphism is finite and
flat.)
16.3.6. Definition. If C ′ is irreducible, the rank of this locally free sheaf is the
degree of π.
16.3.C. E XERCISE . Recall that the degree of a rational map from one integral
curve to another is defined as the degree of the function field extension (Defini-
tion 12.2.2). Show that (with the notation of Proposition 16.3.5) if C and C ′ are
integral, the degree of π as a rational map is the same as the rank of π∗ OC .
16.3.7. Remark for those with complex-analytic background (algebraic degree = analytic
degree). If C → C ′ is a finite map of regular complex algebraic curves, Proposi-
tion 16.3.5 establishes that the algebraic degree as defined above is the same as the
analytic degree (counting preimages, with multiplicity).
April 1, 2023 draft 461
16.3.D. E XERCISE . We continue the notation and hypotheses of Proposition 16.3.5.
Suppose p is a closed point of C ′ . The scheme-theoretic preimage π−1 (p) of p is a
dimension 0 scheme over k.
(a) Suppose C ′ is finite type over a field k, and n is the dimension of the k-vector
space of global sections of the structure sheaf of π−1 (p). Show that n = (deg π)(deg p).
(The degree of a point was defined in §5.3.8.)
(b) Suppose that C is regular, and π−1 (p) = {p1 , . . . , pm }. Suppose t is a uni-
formizer of the discrete valuation ring OC ′ ,p . Show that
∑
m
deg π = (valpi π∗ t) deg(κ(pi )/κ(p)),
i=1
where deg(κ(pi )/κ(p)) denotes the degree of the field extension of the residue
fields. (Can you extend (a) to remove the hypotheses of working over a field? If
you are a number theorist, can you recognize (b) in terms of splitting prime ideals
in extensions of rings of integers in number fields?)
16.3.E. E XERCISE . Suppose that C is an irreducible regular projective curve over
k, and s is a nonzero rational function on C. Show that the number of zeros of s
(counted with appropriate multiplicity) equals the number of poles. Hint: recog-
nize this as the degree of a morphism s : C → P1k . Use Exercise 16.3.D(b) for 0 ∈ P1
and ∞ ∈ P1 . (In the complex category, this is an important consequence of the
Residue Theorem.)
16.3.8. Remark. In Exercise 18.4.E, we will see that the number of zeros (and poles)
in the previous exercise is the degree of the line bundle giving the map to P1 (via
Important Theorem 15.2.2).
16.3.9. Revisiting Example 10.3.4. Proposition 16.3.5 and Exercise 16.3.D make
precise what general behavior we observed in Example 10.3.4. Suppose C ′ is irre-
ducible, and that d is the rank of this allegedly locally free sheaf. Then the fiber
over any point of C ′ with residue field K is the Spec of an algebra of dimension d
over K. This means that the number of points in the fiber, counted with appropri-
ate multiplicity, is always d.
As a motivating example, we revisit Example 10.3.4, the map Q[y] → Q[x]
given by x 7→ y2 , the projection of the parabola x = y2 to the x-axis. We observed
the following.
(i) The fiber over x = 1 is Q[y]/(y2 − 1), so we get 2 points.
(ii) The fiber over x = 0 is Q[y]/(y2 ) — we get one point, with multiplicity 2,
arising because of the nonreducedness.
(iii) The fiber over x = −1 is Q[y]/(y2 + 1) = ∼ Q(i) — we get one point, with
multiplicity 2, arising because of the field extension.
(iv) Finally, the fiber over the generic point Spec Q(x) is Spec Q(y), which is
one point, with multiplicity 2, arising again because of the field extension
(as Q(y)/Q(x) is a degree 2 extension).
We thus see three sorts of behaviors ((iii) and (iv) are really the same). Note that
even if you only work with algebraically closed fields, you will still be forced to
deal with this third type of behavior, because residue fields at generic points are
usually not algebraically closed (witness case (iv) above).
462 The Rising Sea: Foundations of Algebraic Geometry
16.3.10. Proof of Proposition 16.3.5. The key idea, useful in other circumstances, is
to reduce to a fact about discrete valuation rings.
The question is local on the target, so we may assume that C ′ is affine. Now C ′
is normal, so by Exercise 5.4.B, its connected components are irreducible. Replac-
ing C ′ by each of its irreducible components, we may also assume C ′ is integral.
By Exercise 14.3.L, if the rank of the finite type quasicoherent sheaf π∗ OC is
constant, then (as C ′ is reduced) π∗ OC is locally free. We will show this by showing
the rank at any closed point p of C ′ is the same as the rank at the generic point.
(This is another example of the usefulness of the generic point.)
Suppose C ′ = Spec A ′ , where A ′ is an integral domain, and p = [m]. As π is
an affine morphism, C is an affine scheme as well; say C = Spec A.
We wish to show that (i) dimA ′ /m (A/m) (the rank of π∗ OC at p) equals (ii)
dimK(A ′ ) (A ′× )−1 A (the rank of π∗ OC at the generic point). In other words, we
take A (considered as an A ′ -module), and (i) quotient by m, and (ii) invert all
nonzero elements of A ′ , and in each case compute the result’s dimension over the
appropriate field.
Both (i) and (ii) factor through localizing at m, so it suffices to show that Am is
′
a finite rank free Am -module, of rank d, say, as the answers to both (i) and (ii) will
then be d.
′
Now Am is a discrete valuation ring; let t be its uniformizer. We can assume
that t ∈ A (as otherwise, we replace A ′ by a suitable localization, at the “de-
′
′
nominators” of t). Then Am is a finitely generated Am -module, and hence by Re-
′ ′
mark 13.5.15 is a finite sum of principal modules, of the form Am or Am /(tn ) (for
various n). We wish to show that there are no summands of the latter type. But
if there were, then t (interpreted as an element of Am ) would be a zerodivisor of
Am , and thus (interpreted as an element of A) a zerodivisor of A. But then by
Proposition 6.6.13, there is an associated point of C in π−1 (p), contradicting the
hypotheses that C has no embedded points. □
16.4 ⋆ The Grassmannian as a moduli space
(In this section and others, the symbol k is used both for a field, and for a
dimension. For this we apologize, and hope it does not cause too much confusion.)
We first defined projective space inelegantly in §4.4.9, and in §15.2.3 we gave
a clean (if perhaps surprising) functorial definition. Similarly, in §7.7, we gave a
preliminary description of the Grassmannian. We are now in a position to give a
better definition.
We describe the “Grassmannian functor” (which we also denote G(k, n)), then
show that it is representable (§7.6.2). The construction works over an arbitrary
base scheme, so we work over the final object Spec Z. (You should think through
what to change if you wish to work with, for example, complex schemes.) The
functor is defined as follows. To a scheme B, we associate the set of locally free rank
k quotients of the rank n free sheaf,
([Link]) OB⊕n //Q
April 1, 2023 draft 463
up to isomorphism. An isomorphism of two such quotients ϕ : OB⊕n → Q → 0 and
∼
ϕ ′ : OB⊕n → Q ′ → 0 is an isomorphism σ : Q −→ Q ′ such that the diagram
O ⊕nE
ϕ
/Q
EE
EE
EE σ
ϕ′ E"
Q′
commutes. By Exercise 14.2.S(a), ker ϕ is locally free of rank n − k. (Thus if you
prefer, you can extend ([Link]), and instead consider the functor to take B to short
exact sequences
([Link]) 0 /S / O ⊕n /Q /0
of locally free sheaves over B, of ranks n − k, n, and k respectively.)
It may surprise you that we are considering rank k quotients of a rank n sheaf,
not rank k subobjects, given that the Grassmannian should parametrize k-dimensional
subspace of an n-dimensional space. This is done for several reasons. One is that
the kernel of a surjective map of locally free sheaves must be locally free, while
the cokernel of an injective map of locally free sheaves need not be locally free
(Exercise 14.2.S(a) and (b) respectively). Another reason: we will see in §26.3.3
that the geometric incarnation of this problem indeed translates to this. We can
already see a key example here: if k = 1, our definition yields one-dimensional
quotients O ⊕n → L → 0. But this is precisely the data of n sections of L , with no
common zeros, which by Theorem 15.2.2 (the functorial description of projective
space) corresponds precisely to maps to Pn−1 , so the k = 1 case parametrizes what
we want.
We now show that the Grassmannian functor is representable for given n and
k.
So far we have described what the Grassmannian functor does on objects B; to
fully describe a functor, we need to say what it does to morphisms B1 → B2 . Can
you see what the definition must be?
16.4.A. E XERCISE . Show that the Grassmannian functor is a Zariski sheaf (§10.1.8).
Hence by Key Exercise 10.1.H, to show that the Grassmannian functor is rep-
resentable, we need only cover it with open subfunctors that are representable.
Throughout the rest of this section, a k-subset is a subset of {1, . . . , n} of size
k.
16.4.B. E XERCISE .
(a) Suppose I is a k-subset. Make the following statement precise: there is an open
subfunctor G(k, n)I of G(k, n) where the k sections of Q corresponding to I (of
the n sections of Q coming from the surjection ϕ : O ⊕n → Q) are linearly inde-
pendent. Hint: in a trivializing open neighborhood of Q, where we can choose an
∼ /
isomorphism Q O ⊕k , ϕ can be interpreted as a k × n matrix M, and this
locus is where the determinant of the k × k matrix consisting of the I columns of
M is nowhere zero. Show that this locus behaves well under transitions between
trivializations.
464 The Rising Sea: Foundations of Algebraic Geometry
(b) Show that these open subfunctors G(k, n)I cover the functor G(k, n) (as I runs
through the k-subsets).
Hence by Exercise 10.1.H, to show G(k, n) is representable, we need only show
that G(k, n)I is representable for arbitrary I. After renaming the summands of
O ⊕n , without loss of generality we may assume I = {1, . . . , k}.
16.4.C. E XERCISE . Show that G(k, n){1...,k} is represented by Ak(n−k) as follows.
(You will have to make this precise.) Given a surjection ϕ : O ⊕n → Q, let ϕi : O →
Q be the map from the ith summand of O ⊕n . (Really, ϕi is just a section of Q.)
For the open subfunctor G(k, n)I , show that
ϕ1 ⊕ · · · ⊕ ϕk : O ⊕k /Q
is an isomorphism. For a scheme B, the bijection G(k, n)I (B) ↔ Hom(B, Ak(n−k) )
is given as follows. Given an element ϕ ∈ G(k, n)I (B), for j ∈ {k + 1, . . . , n},
ϕj = a1j ϕ1 + a2j ϕ2 + · · · + akj ϕk , where aij are functions on B. But k(n − k)
functions on B is the same as a map to Ak(n−k) (Exercise 7.6.E). Conversely, given
k(n − k) functions aij (1 ≤ i ≤ k < j ≤ n), define a surjection ϕ : O ⊕n → O ⊕k
as follows: (ϕ1 . . . , ϕk ) is the identity, and ϕj = a1j ϕ1 + a2j ϕ2 + · · · + akj ϕk for
j > k.
( )
You have now shown that G(k, n) is representable, by covering it with n k
copies of Ak(n−k) . (You might wish to relate this to the description you gave in
§7.7.) In particular, the Grassmannian over a field is smooth, and irreducible of
dimension k(n − k). (The Grassmannian over any base is smooth over that base,
k(n−k)
because AB → B is smooth, see §13.6.2.)
16.4.1. The universal exact sequence over the Grassmannian. Note that we have a
tautological exact sequence
0 /S / O ⊕n /Q / 0.
The bundle Q is called the tautological quotient bundle on the Grassmannian,
and S is called the tautological subbundle.
16.4.2. The Plücker embedding.
By applying ∧k to a surjection ϕ : O ⊕n → Q (over an arbitrary base B), we get
a surjection
/ det Q
n
∧k ϕ : O ⊕( k )
(Exercise 14.2.V). But a surjection from a rank N free sheaf to a line bundle is the
same as a map to PN−1 (Theorem 15.2.2).
n
16.4.D. E XERCISE . Use this to describe a map P : G(k, n) → P( k )−1 . (This is just a
tautology: a natural transformation of functors induces a map of the representing
schemes. This is Yoneda’s Lemma, although if you didn’t do Exercise 1.3.Z, you
may wish to do this exercise by hand. But once you do, you may as well go back
to prove Yoneda’s Lemma and do Exercise 1.3.Z, because the argument is just the
same!)
April 1, 2023 draft 465
n
16.4.E. E XERCISE . The projective coordinate xI on P( k )−1 corresponding to the Ith
n
factor of O ⊕( k ) may be interpreted as the determinant of the map ϕI : O ⊕k → Q,
where the O ⊕k consists of the summands of O ⊕n corresponding to I. Make this
precise.
n
16.4.F. E XERCISE . Show that the standard open set UI of P( k )−1 corresponding to
k-subset I (i.e., where the corresponding coordinate xI doesn’t vanish) pulls back
to the open subscheme G(k, n)I ⊂ G(k, n). Denote this map PI : G(k, n)I → UI .
16.4.G. E XERCISE . Show that PI is a closed embedding as follows. We may
deal with the case I = {1, . . . , k}. Note that G(k, n)I is affine — you described it
Spec Z[aij ]1≤i≤k<j≤n in Exercise 16.4.C. Also, UI is affine, with coordinates xI ′ /I ,
as I ′ varies over the other k-subsets. (The case k = 1 is the useful notation xi/j we
used to name coordinates on charts for projective space, §4.4.9.) You want to show
that the map
PI♯ : Z[xI ′ /I ]I ′ ⊂{1,...,n},|I ′ |=k} /(xI/I − 1) / Z[aij ]1≤i≤k<j≤n
is a surjection. By interpreting the map ϕ : O ⊕n → O ⊕k as a k × n matrix M whose
left k columns are the identity matrix and whose remaining entries are aij (1 ≤ i ≤
k < j ≤ n), interpret PI♯ as taking xI ′ /I to the determinant of the k × k submatrix
corresponding to the columns in I ′ . For each (i, j) (with 1 ≤ i ≤ k < j ≤ n), find
some I ′ so that xI ′ /I 7→ ±aij . (Let I ′ = {1, . . . , i − 1, i + 1, . . . , k, j}.)
n
Hence G(k, n) → P( k )−1 is a closed embedding, so G(k, n) is projective over
Z.
16.4.H. U NIMPORTANT E XERCISE . As an entertaining geometric consequence: if
V is a vector space over a field, show that the “pure tensors in ∧k V are pure in
exactly one way”: if v1 ∧ · · · ∧ vk = w1 ∧ · · · ∧ wk ̸= 0 in ∧k V, show that there is
a k × k matrix of determinant 1 relating the vi to the wi .
n
16.4.3. The Plücker equations. The equations of G(k, n) → P( k )−1 are particularly
nice. There are quadratic relations among the k × k minors of a k × (n − k) matrix,
called the Plücker equations. By our construction, they are equations satisfied by
G(k, n). It turns out that these equations cut out G(k, n), and in fact generate the
homogeneous ideal of G(k, n), but this takes more work (see [F1, §9.1, Lem. 1]).
We explore this in one example.
16.4.I. E XERCISE . Suppose v1 , v2 , v3 , and v4 are four vectors in a two-dimensional
vector space V over some field. Show that
(v1 ∧ v2 )(v3 ∧ v4 ) − (v1 ∧ v3 )(v2 ∧ v4 ) + (v1 ∧ v4 )(v2 ∧ v3 ) = 0.
The tricky part of this exercise is figuring out how to interpret multiplication (of
Plücker coordinates) here.
16.4.J. E XERCISE . Note that the Plücker embedding embeds the Grassmannian
G(2, 4) into P5 .
(a) Show that G(2, 4) is cut out by the quadratic equation
x12 x34 − x13 x24 + x14 x23 = 0.
466 The Rising Sea: Foundations of Algebraic Geometry
(Hint: Use Exercise 16.4.I to show that the quadratic vanishes on G(2, 4). But that
isn’t enough.)
(b) Show that every smooth quadric hypersurface in P5 over an algebraically closed
field k of characteristic not 2 is isomorphic to the Grassmannian (over k). (For com-
parison, every smooth quadric hypersurface in Pk1 is two points; every smooth
quadric hypersurface in Pk2 is isomorphic to P1k , §7.5.9; and every smooth quadric
hypersurface in P3k is isomorphic to P1k ×k P1k , Example 10.6.2.)
16.4.K. E XERCISE ( RULINGS ON QUADRICS IN P5 ). Suppose k = k. From Re-
mark 9.3.10, we expect two three-dimensional families of planes in G(2, 4) (inter-
preted as a hypersurface in P5 via the Plücker embedding, see Exercise 16.4.I).
One of them may be described as follows: for each point p ∈ P3k , we have a two-
dimensional family of lines through p; this is a plane in G(2, 4). There is a three-
dimensional family of planes corresponding to the choice of p. This is one of the
two rulings. What is the other one? Prove (as rigorously as you can manage, given
what you know) that these are both rulings.
16.4.4. Further discussion.
16.4.L. E XERCISE . Show that the group scheme GLn acts on the Grassmannian
G(k, n). (The action of a group scheme appeared earlier in Exercise 7.6.S(a).) Hint:
this is much more easily done with the language of functors, §7.6, than with the
description of the Grassmannian in terms of patches, §7.7. (Exercise 15.2.N was
the special case of projective space.)
16.4.M. ⋆⋆ E XERCISE (G RASSMANNIAN BUNDLES ). Suppose F is a rank n locally
free sheaf on a scheme X. Define the Grassmannian bundle G(k, F ) over X. In-
tuitively, if F is a varying family of n-dimensional vector spaces over X, G(k, F )
should parametrize k-dimensional quotients of the fibers. You may want to define
the functor first, and then show that it is representable. Your construction will
behave well under base change.
16.4.5. (Partial) flag varieties. The discussion here extends without change to partial
flag varieties (§7.7.1), and the interested reader should think this through.
CHAPTER 17
Projective morphisms, and relative versions of Spec
and Proj
In this chapter, we will use universal properties to define two useful construc-
tions, Spec of a sheaf of algebras R, and Proj of a sheaf of graded algebras S• on
a scheme X. These will both generalize (globalize) our constructions of Spec of
A-algebras and Proj of graded A-algebras. We will see that affine morphisms are
precisely those of the form Spec R → X, and so we will define projective morphisms
to be those of the form Proj S• → X.
In both cases, our plan is to make a notion we know well over a ring work
more generally over a scheme. The main issue is how to glue the constructions
over each affine open subset together. The slick way we will proceed is to give
a universal property, then show that the affine construction satisfies this univer-
sal property, then that the universal property behaves well with respect to open
subsets, then to use the idea that lets us glue together the fibered product (or nor-
malization) together to do all the hard gluing work. The most annoying part of
this plan is finding the right universal property, especially in the Proj case.
17.1 Relative Spec of a (quasicoherent) sheaf of algebras
Given an A-algebra, R, we can take its Spec to get an affine scheme over Spec A:
Spec R → Spec A. We will now see a universal property description of a globaliza-
tion of that notation. Consider an arbitrary scheme X, and a quasicoherent sheaf of
algebras R on it. We will define how to take Spec of this sheaf of algebras, and we
will get a scheme Spec R → X that is “affine over X”, i.e., the structure morphism
is an affine morphism. You can think of this in two ways.
17.1.1. First, and most concretely, for any affine open set Spec A ⊂ X, Γ (Spec A, R)
is some A-algebra; call it R. Then above Spec A, Spec R will be Spec R.
17.1.2. Second, it will satisfy a universal property. We could define the A-scheme
Spec R by the fact that morphisms to Spec R (from an A-scheme W, over Spec A)
correspond to maps of A-algebras R → Γ (W, OW ) (this is our old friend Exer-
cise 7.3.G). The universal property for β : Spec R → X generalizes this. Given a
467
468 The Rising Sea: Foundations of Algebraic Geometry
morphism µ : W → X, the X-morphisms W → Spec R are in functorial (in W) bijec-
tion with morphisms α of sheaves of algebras making
([Link]) OX F
}} FF
}} FF
} FF
}} FF
~} #
R
α / µ∗ OW
commute. Here the map OX → µ∗ OW is that coming from the map of ringed
spaces, and the map OX → R comes from the OX -algebra structure on R. (For
experts: it needn’t be true that µ∗ OW is quasicoherent, but that doesn’t matter.
Non-experts should completely ignore this parenthetical comment.)
By universal property nonsense, these data determine β : Spec R → X up to
unique isomorphism, assuming that it exists.
Fancy translation: in the category of X-schemes, β : Spec R → X represents the
functor
(µ : W → X) / {(α : R → µ∗ OW )}.
e where R
17.1.A. E XERCISE . Show that if X is affine, say Spec A, and R = R,
is an A-algebra, then Spec R → Spec A satisfies this universal property. (Hint:
Exercise 7.3.G.)
17.1.3. Proposition. — Suppose β : Spec R → X satisfies the universal property for
(X, R), and i : U ,→ X is an open subscheme. Then β|U : Spec R ×X U = (Spec R)|U →
U satisfies the universal property for (U, R|U ).
Proof. Suppose W is a U-scheme, with structure morphism ν : W → U. A U-
morphism W → Spec R ×X U is the same as an X-morphism W → Spec R (where
we already know by assumption that µ = i ◦ ν : W → X factors through U).
WK
KK
KK
KK
KK
K%
Spec R ×X U / Spec R
ν β
, U i /X
By the universal property of Spec R, this is the same information as a map R →
µ∗ OW , which by adjointness of (µ∗ , µ∗ ) (§14.5.5) is the same as µ∗ R → OW , which
(from ν∗ (R|U ) = ν∗ i∗ R = µ∗ R) is ν∗ (R|U ) → OW . By adjointness of (ν∗ , ν∗ ), this
is the same as R|U → ν∗ OW , verifying the universal property. □
Combining Exercise 17.1.A and Proposition 17.1.3, we have shown the exis-
tence of Spec R in the case that Y is an open subscheme of an affine scheme, and R
is the restrction to Y of a quasicoherent sheaf of algebras on the affine scheme.
17.1.B. E XERCISE . Show the existence of Spec R in general, following the philoso-
phy of our construction of the fibered product, normalization, and so forth.
April 1, 2023 draft 469
We make some quick observations. First, Spec R can be “computed affine-
∼
locally on X”. We also have an isomorphism ϕ : R −→ β∗ OSpec R .
17.1.C. E XERCISE . Given an X-morphism γ:
W?
γ
/ Spec R
??
?? yy
µ ??? yyy
y β
y| y
X
show that the morphism α (in ([Link])) is the composition
R
ϕ
/ β∗ OSpec R / β∗ γ∗ OW = µ∗ OW .
The Spec construction gives an important way to understand affine morphisms.
Note that Spec R → X is an affine morphism. The “converse” is also true:
17.1.D. E XERCISE . Show that if µ : Z → X is an affine morphism, then we have a
∼
natural isomorphism Z ←→ Spec µ∗ OZ of X-schemes.
Hence we can recover any affine morphism using the Spec construction. More
precisely, a morphism is affine if and only if it is of the form µ : Spec R → X con-
structed above.
17.1.E. E XERCISE . Suppose µ : Spec R → X is such a morphism. Show that the
category of quasicoherent sheaves on Spec R is equivalent to the category of quasi-
coherent sheaves on X with the structure of R-modules (quasicoherent R-modules
on X).
This is useful if X is quite simple but Spec R is complicated. We will use this
before long when X = ∼ P1 , and Spec R is a more complicated curve.
17.1.F. E XERCISE ( THE FORMATION OF Spec “ COMMUTES WITH BASE CHANGE ”).
Suppose µ : Z → X is any morphism, and R is a quasicoherent sheaf of algebras
∼
on X. Show that there is a natural isomorphism Z ×X Spec R ←→ Spec µ∗ R. (If you
think about it, you will see that this generalizes the statement and possibly proof
of Proposition 17.1.3.)
17.1.4. Definition. An important example of the Spec construction is the total space
of a finite rank locally free sheaf F , which we define to be Spec (Sym• F ∨ ).
17.1.G. E XERCISE . Suppose F is a locally free sheaf of rank n. Show that the total
space of F is a rank n vector bundle, i.e., that given any point p ∈ X, there is an
open neighborhood p ∈ U ⊂ X such that
( )
Spec Sym• F ∨ |U = ∼ An .
U
Show that F is isomorphic to the sheaf of sections of the total space Spec (Sym• F ∨ ).
(Possible hint: use transition functions.) For this reason, the total space is also
called the vector bundle associated to a locally free sheaf F . (Caution: some
authors, e.g., [Stacks, tag 01M2], call Spec (Sym• F ), the dual of this vector bundle,
the vector bundle associated to F .)
470 The Rising Sea: Foundations of Algebraic Geometry
In particular, if F = OX⊕n , then Spec (Sym• F ∨ ) is An
X.
(Aside: you may notice that the construction Spec Sym• can be applied to any
coherent sheaf F (without dualizing, i.e., Spec (Sym• F )). This is sometimes called
the abelian cone associated to F . This concept can be useful, but we won’t need
it.)
17.1.H. E XERCISE ( THE TAUTOLOGICAL BUNDLE ON Pn IS O(−1)). Suppose k is a
field. Define the subset X ⊂ An+1 k × Pn k corresponding to “points of Ak
n+1
on the
corresponding line of Pk ”, so that the fiber of the map π : X → P corresponding
n n
to a point l = [x0 , · · · , xn ] is the line in An+1
k corresponding to l, i.e., the scalar
multiples of (x0 , . . . , xn ). Show that π : X → Pn k is (the line bundle corresponding
to) the invertible sheaf O(−1). (Possible hint: work first over the usual affine open
sets of Pnk , and figure out transition functions.) For this reason, O(−1) is often
called the tautological bundle of Pn k (even over an arbitrary base, not just a field).
(Side Remark: The projection X → Akn+1 is the blow-up of An+1 k at the “origin”,
see Exercise 10.3.F.)
17.2 Relative Proj of a (quasicoherent) sheaf of graded algebras
In parallel with the relative version Spec of Spec, we define a relative version
of Proj, denoted Proj (called “relative Proj” or “sheaf Proj”), of a quasicoherent
graded sheaf of algebras (satisfying some hypotheses) on a scheme X. We have
already done the case where the base X is affine, in §4.5.7, using the regular Proj
construction over a ring A. The elegant way to proceed would be to state the right
universal property, and then use this cleverly to glue together the constructions
over each affine, just as we did in the constructions of fibered product, normaliza-
tion, and Spec . But because graded rings and graded modules make everything
confusing, we do not do this. Instead we guiltily take a more pedestrian approach.
(The universal property can be made to work, see [Stacks, tag 01O0]. But I recom-
mend against it — a universal property should make your life easier, not harder.)
17.2.A. E XERCISE (Proj COMMUTES WITH AFFINE BASE CHANGE ). Suppose A → B
is map of rings, and S• is a Z≥0 -graded ring over A.
(a) Give a canonical isomorphism
∼ / (Proj S• ) ×Spec A Spec B
([Link]) α : ProjB (S• ⊗A B) A
(b) (easy) Suppose X is a projective A-scheme (§4.5.9). Show that X ×Spec A Spec B
is a projective B-scheme.
(c) Suppose S• is generated in degree 1, so OProjA S• (1) is an invertible sheaf (Exer-
cise 15.1.G). Clearly S• ⊗A B is generated in degree 1 as a B-algebra. Describe an
isomorphism
∼
OProjB (S• ⊗A B) (1) ←→ α∗ γ∗ OProjA S• (1),
April 1, 2023 draft 471
where γ is the top morphism in the pullback diagram
(ProjA S• ) ×Spec A Spec B
γ
/ Proj S•
A
Spec B / Spec A
Possible hint: transition functions.
We now give a general means of constructing schemes over X (from [Stacks,
tag 01LH]), if we know what they should be over any affine open set, and how
these behave under open embeddings of one affine open set into another.
17.2.B. E XERCISE . Suppose we are given a scheme X, and the following data:
(i) For each affine open subset U ⊂ X, we are given some morphism πU : ZU →
U (a “scheme over U”).
(ii) For each (open) inclusion of affine open subsets V ⊂ U ⊂ X, we are given
an open embedding ρU V : ZV ,→ ZU .
Assume this data satisfies:
∼
(a) for each V ⊂ U ⊂ X, ρU
V induces an isomorphism ZV −→ πU (V) of
−1
schemes over V, and
(b) whenever W ⊂ V ⊂ U ⊂ X are three nested affine open subsets, ρU
W =
ρU
V ◦ ρ V
W .
∼
Show that there exists an X-scheme π : Z → X, and isomorphisms iU : π−1 (U) −→
ZU for each affine open set U, such that for nested affine open sets V ⊂ U, ρU
V
agrees with the composition
/ π−1 (V)
i−1
ZV
V
/ π−1 (U) iU
/ ZU
Hint (cf. Exercise 4.4.A): construct Z first as a set, then as a topological space, then
as a scheme. (Your construction will be independent of choices. Your solution
will work in more general situations, for example when the category of schemes is
replaced by ringed spaces, and when the affine open subsets are replaced by any
base of the topology.)
17.2.C. I MPORTANT E XERCISE AND D EFINITION (relative Proj ). Suppose S• =
⊕n≥0 Sn is a quasicoherent sheaf of Z≥0 -graded algebras on a scheme X. Over
each affine open subset Spec A = ∼ U ⊂ X, we have an U-scheme Proj S• (U) →
A
U. Show that these can be glued together to form an X-scheme, which we call
Proj X S• ; we have a “structure morphism” β : Proj X S• → X. (The structure mor-
phism β is part of the definition.) Hint/Warning: This problem would be easier if
Exercise 17.2.B required considering only distinguished affine inclusions. But that
would make Exercise 17.2.B notably harder. Instead, use Exercise 17.2.A.
By the construction of Exercise 17.2.B, the preimage over any affine open set
can be computed using the original Proj construction. (You may enjoy going back
and giving constructions of Xred , the normalization of X, and Spec of a quasicoher-
ent sheaf of O-algebras using this idea. But there is a moral price to be paid by
giving up the universal property.)
472 The Rising Sea: Foundations of Algebraic Geometry
17.2.1. Ongoing (reasonable) hypotheses on S• : “finite generation in degree 1”.
The Proj construction is most useful when applied to an A-algebra S• satisfying
some reasonable hypotheses (§4.5.6), notably when S• is a finitely generated Z≥0 -
graded A-algebra, and ideally if it is generated in degree 1. For this reason, in the
rest of the book, we will enforce these assumptions on S• , once we make sense
of them for quasicoherent sheaves of algebras. (If you later need to relax these
hypotheses — for example, to keep the finite generation hypothesis but remove
the “generation in degree 1” hypothesis — it will not be too difficult.) Precisely,
we now always require that (i) S0 = OX , (ii) S• is “generated in degree 1”, and
(iii) S1 is finite type. The cleanest way to make condition (ii) precise is to require
the natural map
Sym•OX S1 → S•
to be surjective. Because the Sym• construction may be computed affine-locally
(§14.2.14), we can check generation in degree 1 on any affine cover. The motivation
for these hypotheses is the following construction.
17.2.D. I MPORTANT E XERCISE : O(1) ON Proj S• . If S• is finitely generated in
degree 1 (Hypotheses 17.2.1), construct an invertible sheaf OProj X S• (1) on Proj X S•
that “restricts to OProjA S• (Spec A) (1) over each affine open subset Spec A ⊂ X”.
17.2.E. E XERCISE (“Proj COMMUTES WITH BASE CHANGE ”). Suppose S• is a
quasicoherent sheaf of Z≥0 -graded algebras on X. Let ρ : Z → X be any morphism.
Give a natural isomorphism
∼
(Proj ρ∗ S• , OProj ρ∗ S• (1)) ←→ (Z ×X Proj S• , ψ∗ OProj S• (1))
where ψ is the “top” morphism in the base change diagram
Z ×X Proj S•
ψ
/ Proj S•
β
Z
ρ
/ X.
17.2.2. Definition: π-very ample. Suppose π : X → Y is proper. If L is an invertible
sheaf on X, then we say that L is very ample (with respect to π), relatively very
ample, or (awkwardly) π-very ample if we can write X = Proj Y S• with L = ∼ O(1),
where S• is a quasicoherent sheaf of algebras on Y satisfying Hypotheses 17.2.1
(“finite generation in degree 1”). (The notion of very ampleness can be extended to
more general situations, see for example [Stacks, tag 01VM]. But this is of interest
only to people with esoteric tastes.)
17.2.F. E XERCISE . Suppose S• is finitely generated in degree 1 (Hypotheses 17.2.1).
Describe a map of graded quasicoherent sheaves ϕ : S• → ⊕∞ n β∗ O(n) (β is the
structure morphism, see Exercise 17.2.C). Hint: Exercise 15.6.C.
17.2.G. E XERCISE . Suppose L is an invertible sheaf on X, and S• is a quasico-
herent sheaf of graded algebras on X generated in degree 1 (Hypotheses 17.2.1).
Define S•′ = ⊕∞ n=0 (Sn ⊗ L
⊗n
). Then S•′ has a natural algebra structure inher-
ited from S• ; describe it. Give a natural isomorphism of “X-schemes with line
April 1, 2023 draft 473
bundles”
∼
(Proj S•′ , OProj S•′ (1)) ←→ (Proj S• , OProj S• (1) ⊗ β∗ L ),
where β : Proj S• → X is the structure morphism. In other words, informally
speaking, the Proj is the same, but the O(1) is twisted by L .
17.2.3. Definition. If F is a finite type quasicoherent sheaf on X, then Proj (Sym• F )
is called its projectivization, and is denoted PF . You can check that this construc-
⊕(n+1)
tion behaves well with respect to base change. Define Pn X := P(OX ). (Then
PSpec A agrees with our earlier definition of PA , cf. Exercise 4.5.Q, and Pn
n n
X agrees
with our earlier usage, see for example the proof of Theorem 11.5.5.) More gener-
ally, if F is locally free of rank n + 1, then PF is a projective bundle or Pn -bundle
over X. By Exercise 17.2.G, if F is a finite rank locally free sheaf on X, there is a
∼
canonical isomorphism PF ←→ P(L ⊗ F ).
17.2.4. Example: ruled surfaces. If C is a regular curve and F is locally free of
rank 2, then PF is called a ruled surface over C. If C is further isomorphic to
P1 , PF is called a Hirzebruch surface. All vector bundles on P1 split as a direct
sum of line bundles (see §18.5.5 for a proof), so each Hirzebruch surface is of the
form P(O(n1 ) ⊕ O(n2 )). By Exercise 17.2.G, this depends only on n2 − n1 . The
Hirzebruch surface P(O ⊕ O(n)) (n ≥ 0) is often denoted Fn . We will discuss the
Hirzebruch surfaces in greater length in §20.2.10. We will see that the Fn are all
distinct in Exercise 20.2.Q.
17.2.H. E XERCISE . If S• is finitely generated in degree 1 (Hypotheses 17.2.1),
describe a canonical closed embedding
Proj S• / PS1
i
FF | |
FF |
FF |
β FFF ||
" |} |
X
∼
and an isomorphism OProj S• (1) ←→ i∗ OPS1 (1) arising from the surjection
Sym• S1 / / S• .
17.2.I. E XERCISE . Suppose F is a locally free sheaf of rank n + 1 on X. Exhibit
a bijection between the set of sections s : X → PF of PF → X and the set of
surjective homomorphisms F → L → 0 of F onto invertible sheaves on X. This
functorial description of PF in some sense generalizes the functorial description
of projective space in §15.2.3.
17.2.5. Remark (the relative version of the projective and affine cone). There is a natural
morphism from Spec S• minus the zero-section to Proj S• (cf. Exercise 9.3.N). Just
as Proj S• [T ] contains a closed subscheme identified with Proj S• whose comple-
ment can be identified with Spec S• (Exercise 9.3.O), Proj S• [T ] contains a closed
subscheme identified with Proj S• whose complement can be identified with Spec S• .
You are welcome to think this through.
474 The Rising Sea: Foundations of Algebraic Geometry
17.3 Projective morphisms
In §17.1, we reinterpreted affine morphisms: X → Y is an affine morphism if
∼
there is an isomorphism X ←→ Spec B of Y-schemes for some quasicoherent sheaf
of algebras B on Y. We will define the notion of a projective morphism similarly.
You might think that because projectivity is such a classical notion, there should
be some obvious definition, that is reasonably behaved. But this is not the case,
and there are many possible variant definitions of projective (see [Stacks, tag
01W8]). All are imperfect, including the accepted definition we give here. Al-
though projective morphisms are preserved by base change, we will manage to
show that they are preserved by composition only when the target is quasicom-
pact (Exercise 17.3.B), and we will only show that the notion is local on the target
when we add the data of a line bundle, and even then only under locally Noether-
ian hypotheses (§17.3.4).
17.3.1. Definition. A morphism π : X → Y is projective if there is an isomorphism
∼ / Proj S•
X=
== x
== xx
π === xxx
x
x| x
Y
for a quasicoherent sheaf of algebras S• on Y (satisfying “finite generation in de-
gree 1”, Hypotheses 17.2.1). We say X is a projective Y-scheme, or X is projective
over Y. Using Exercise 7.4.D, this generalizes the notion of a projective A-scheme.
17.3.2. Warnings. First, notice that O(1), an important part of the concept of Proj ,
is not mentioned in the definition. (I would prefer that it be part of the definition,
but this isn’t accepted practice.) As a result, the notion of affine morphism is affine-
local on the target, but the notion of projectivity of a morphism is not clearly affine-
local on the target. (In Noetherian circumstances, with the additional data of the
invertible sheaf O(1), it is, as we will see in §17.3.4. We will also later see an
example showing that the property of being projective is not local, §24.7.7.)
Second, [Ha1, p. 103] gives a different definition of projective morphism; we
follow the more general definition of Grothendieck. These definitions turn out to
be the same in nice circumstances. (But finite morphisms are not always projective
in the sense of [Ha1], while they are projective in our sense.)
17.3.A. E XERCISE .
(a) (a useful characterization of projective morphisms) Suppose π : X → Y is a mor-
phism. Show that π is projective if and only if there exist a finite type quasicoher-
ent sheaf S1 on Y, and a closed embedding i : X ,→ PS1 (over Y, i.e., commuting
with the maps to Y). Hint: Exercise 17.2.H.
(b) (a useful characterization of projective morphisms, with line bundle) Suppose L is
an invertible sheaf on X, and π : X → Y is a morphism. Show that π is projective,
with O(1) = ∼ L , if and only if there exist a finite type quasicoherent sheaf S1 on
Y, a closed embedding i : X ,→ PS1 (over Y, i.e., commuting with the maps to Y),
∼
and an isomorphism i∗ OPS1 (1) ←→ L .
(c) If furthermore Y admits an ample line bundle M , show that π is projective if
and only if there exists a closed embedding i : X ,→ Pn Y (over Y) for some n. (If you
April 1, 2023 draft 475
wish, assume Y is proper over Spec A, so you can avoid the starred section §16.2.5.)
Hint: the harder direction is the forward implication. Use the finite type quasico-
herent sheaf S1 from (a). Tensor S1 with a high enough power of M so that
it is finitely globally generated (Theorem 16.2.6, or Theorem 16.2.2 in the proper
setting), to obtain a surjection
OY
⊕(n+1) / / S1 ⊗ M ⊗N .
Then use Exercise 17.2.G.
17.3.3. Definition: Quasiprojective morphisms. In analogy with projective and
quasiprojective A-schemes (§4.5.9), one may define quasiprojective morphisms. If
Y is quasicompact, we say that π : X → Y is a quasiprojective morphism if π can
be expressed as a quasicompact open embedding into a scheme projective over
Y. This is not a great notion, and we will not use it. (The general definition of
quasiprojective is slightly delicate — see [Gr-EGA, II.5.3] — but we won’t need it.)
17.3.4. Properties of projective morphisms.
We start to establish a number of properties of projective morphisms. First,
the property of a morphism being projective is clearly preserved by base change,
as the Proj construction behaves well with respect to base change (Exercise 17.2.E).
Also, projective morphisms are proper: properness is local on the target (Theo-
rem 11.5.4(b)), and we saw earlier that projective A-schemes are proper over A
(Theorem 11.5.5). In particular (by definition of properness), projective morphisms
are separated, finite type, and universally closed.
Exercise 17.3.I (in a future optional section) implies that if π : X → Y is a proper
morphism, and L is an invertible sheaf on X, the question of whether π is a pro-
jective morphism with L as O(1) is local on Y.
17.3.B. I MPORTANT C HALLENGING E XERCISE ( THE COMPOSITION OF PROJECTIVE
MORPHISMS IS PROJECTIVE , IF THE FINAL TARGET IS QUASICOMPACT ). Suppose
π : X → Y and ρ : Y → Z are projective morphisms, and Z is quasicompact. Show
that π◦ρ is projective. Hint: the criterion for projectivity given in Exercise 17.3.A(b)
will be useful. (i) Deal first with the case where Z is affine. Build the following
commutative diagram, thereby finding a closed embedding X ,→ PF ⊕n over Z.
In this diagram, all inclusions are closed embeddings, and all script fonts refer to
finite type quasicoherent sheaves.
(†) / n−1 / Pn−1 ×Z PF
X RRR / PE J P Z ×Z Y
Segre
/ P (F ⊕n )
RRR
RRR JJJJ
Z cf. Ex. 10.6.C, 10.6.D
RRR JJ
π RRRR JJ
RRRJJ
R%) / PF
Y m
mmm
ρ mmmmm
m
vmmmmm
Zs
Construct the closed embedding (†) as follows. Suppose M is the very ample line
bundle on Y over Z. Then M is ample, and so by Theorem 16.2.2, for m ≫ 0, E ⊗
M ⊗m is generated by a finite number of global sections. Suppose O ⊕n / / E ⊗ M ⊗m
Y
is the corresponding surjection. This induces a closed embedding P(E ⊗M ⊗m ) ,→
476 The Rising Sea: Foundations of Algebraic Geometry
Pn−1 . But P(E ⊗ M ⊗m ) =∼ PE (Exercise 17.2.G), and Pn−1 = Pn−1 ×Z Y. (ii) Un-
Y Y Z
wind this diagram to show that (for Z affine) if L is π-very ample and M is ρ-very
ample, then for m ≫ 0, L ⊗ π∗ M ⊗m is (ρ ◦ π)-very ample. Then deal with the
general case by covering Z with a finite number of affines.
As a consequence, projective morphisms are not reasonable in the sense of
§8.1! But many of the consequences of reasomnableness still hold, as the next few
exercises show.
17.3.C. E XERCISE ( THE C ANCELLATION T HEOREM FOR P ROJECTIVE M ORPHISMS ).
Although the class of projective morphisms is not reasonable in the sense of §8.1,
it still satisfies the Cancellation Theorem. We prove this now.
(a) Suppose π : X → Y is a closed embedding, and ρ : Y → Z is projective.
Show that π ◦ ρ is projective.
(b) Show that a morphism ρ : Y → Z is has projective diagonal if and only if
ρ is separated.
(c) Prove the Cancellation Theorem for Projective Morphisms: Suppose π : X →
Y is a morphism, ρ : Y → Z is a separated morphism (i.e., by (b), has
projective diagonal), and ρ ◦ π is projective. Show that π is projective.
(Possible hint: use the diagram in the hint to Exercise 11.2.A.)
17.3.D. E XERCISE . Show that a morphism (over Spec k) from a projective k-
scheme to a separated k-scheme is always projective. (Hint: the Cancellation The-
orem 11.2.1 for projective morphisms.)
17.3.E. E XERCISE . Suppose π : X → Y and π ′ : X ′ → Y ′ are projective morphisms
of S-schemes. Show that π × π ′ : X ×S X ′ → Y ×S Y ′ is also projective. Hint:
Because of the unreasonable nature of projective morphisms, you cannot invoke
Exercise 8.1.A. Use Exercise 10.6.D instead.
17.3.5. Finite morphisms are projective.
17.3.F. I MPORTANT E XERCISE : F INITE MORPHISMS ARE PROJECTIVE ( CF. E XERCISE
8.3.I). Show that finite morphisms are projective as follows. Suppose Z → X is
∼ Spec B where B is a finite type quasicoherent sheaf of algebras
finite, so that Z =
on X. Describe a sheaf of graded algebras S• where S0 = ∼ OX and Sn = ∼ B for
∼
n > 0. Describe an X-isomorphism Z ←→ Proj S• .
In particular, closed embeddings are projective. We have the sequence of im-
plications for morphisms
closed embedding =⇒ finite =⇒ projective =⇒ proper.
We have shown that finite morphisms are projective (Exercise 17.3.F), and
have finite fibers (Exercise 8.3.J). We will show the converse in Theorem 18.1.6, and
state the extension to proper morphisms immediately after (although we won’t
prove it until Theorem 29.6.2).
17.3.6. ⋆⋆ Global generation and (very) ampleness in the relative setting.
We extend the discussion of §16.1 to the relative setting, in order to give our-
selves the language of relatively base-point-freeness. We won’t use this discussion,
April 1, 2023 draft 477
so on a first reading you should jump directly to §16.3. But these ideas come up
repeatedly in the research literature.
Suppose π : X → Y is a quasicompact quasiseparated morphism. If F is
a quasicoherent sheaf on X, we say that F is relatively globally generated or
globally generated with respect to π if the natural map of quasicoherent sheaves
π∗ π∗ F → F is surjective. (Quasicompactness and quasiseparatedness are needed
ensure that π∗ F is a quasicoherent sheaf, Exercise 14.4.C.) But these hypotheses
are not very restrictive. Global generation is most useful only in the quasicom-
pact setting, and most people won’t be bothered by quasiseparated hypotheses.
Unimportant aside: these hypotheses can be relaxed considerably. If π : X → Y
is a morphism of locally ringed spaces — not necessarily schemes — with no other
hypotheses, and F is a quasicoherent sheaf on X, then we say that F is relatively
globally generated or globally generated with respect to π if the natural map
π∗ π∗ F → F of OX -modules is surjective.)
Thanks to our hypotheses, as the natural map π∗ π∗ F → F is a morphism
of quasicoherent sheaves, the condition of being relatively globally generated is
affine-local on Y.
Suppose now that L is a locally free sheaf on X, and π : X → Y is a morphism.
We say that L is relatively base-point-free or base-point-free with respect to π if
it is relatively globally generated.
17.3.G. E XERCISE . Suppose L is a relatively base-point-free line bundle on X,
π : X → Y is a quasicompact separated morphism, and π∗ L is finite type on Y.
(We will later show in Grothendieck’s Coherence Theorem 18.9.1 that this latter
statement is true if π is proper and Y is Noetherian. This is much easier if π is
projective, see Theorem 18.7.1. We could work hard and prove it now, but it isn’t
worth the trouble.) Describe a canonical morphism ψ : X → Pπ∗ L . (Possible hint:
this generalizes the fact that base-point-free line bundles give maps to projective
space, so generalize that argument, see §15.2.)
We say that L is relatively ample or π-ample or relatively ample with re-
spect to π if for every affine open subset Spec B of Y, L |π−1 (Spec B) is ample on
π−1 (Spec B) over B, or equivalently (by §16.2.5), L |π−1 (Spec B) is (absolutely) am-
ple on π−1 (Spec B). By the discussion in §16.2.5, if L is ample then π is necessarily
quasicompact, and (by Theorem 16.2.6) separated; if π is affine, then all invertible
sheaves are ample; and if π is projective, then the corresponding O(1) is ample.
By Exercise 16.2.J, L is π-ample if and only if L ⊗n is π-ample, and if Z ,→ X is a
closed embedding, then L |Z is ample over Y.
From Theorem 16.2.6(d), we have a natural open embedding X → Proj Y ⊕π∗ L ⊗d .
(Do you see what this map is? Also, be careful: ⊕π∗ L ⊗d need not be a finitely gen-
erated graded sheaf of algebras, so we are using the Proj construction where one
of the usual hypotheses doesn’t hold.)
The notions of relative global generation and relative ampleness are most use-
ful in the proper setting, because of Theorem 16.2.2.
17.3.7. Many statements of §16.1 carry over without change. For example, we have
the following. Suppose π : X → Y is proper, F and G are quasicoherent sheaves
on X, and L and M are invertible sheaves on X. If π is affine, then F is rela-
tively globally generated (from Easy Exercise 16.1.A). If F and G are relatively
478 The Rising Sea: Foundations of Algebraic Geometry
globally generated, so is F ⊗ G (Easy Exercise 16.1.B). If L is π-very ample (Def-
inition 17.2.2), then it is π-base-point-free (Easy Exercise 16.2.B). If L is π-very
ample, and M is π-base-point-free (if for example it is π-very ample), then L ⊗ M
is π-very ample (Exercise 16.2.C). Exercise 16.2.G extends immediately to show
that if
X>
π /Y
>>
>>
τ >>> ρ
S
is a finite morphism of S-schemes, and if L is a ρ-ample invertible sheaf on Y, then
π∗ L is τ-ample.
By the nature of the statements, some of the statements of §16.1 require quasi-
compactness hypotheses on Y, or other patches. For example:
17.3.8. Theorem. — Suppose π : X → Y is proper, L is an invertible sheaf on X, and Y
is quasicompact. The following are equivalent.
(a) For some N > 0, L ⊗N is π-very ample.
(a’) For all n ≫ 0, L ⊗n is π-very ample.
(b) For all finite type quasicoherent sheaves F , there is an n0 such that for n ≥ n0 ,
F ⊗ L ⊗n is relatively globally generated.
(c) The invertible sheaf L is π-ample.
17.3.H. E XERCISE . Prove Theorem 17.3.8 using Theorem 16.2.2. (Unimportant
remark: The proof given of Theorem 16.2.2 used Noetherian hypotheses, but as
stated there, they can be removed.)
After doing the above Exercise, it will be clear how to adjust the statement of
Theorem 17.3.8 if you need to remove the quasicompactness assumption on Y.
17.3.I. E XERCISE ( A USEFUL EQUIVALENT DEFINITION OF VERY AMPLENESS ). Sup-
pose π : X → Y is a proper morphism, Y is locally Noetherian (hence X is too, as
π is finite type), and L is an invertible sheaf on X. Suppose that you know that
in this situation π∗ L is finite type. (We will later show this, as described in Ex-
ercise 17.3.G.) Show that L is very ample if and only if (i) L is relatively base-
point-free, and (ii) the canonical Y-morphism i : X → P(π∗ L ) of Exercise 17.3.G
is a closed embedding. Conclude that the notion of relative very ampleness is
affine-local on Y (it may be checked on any affine cover Y), if π is proper.
As a consequence, Theorem 17.3.8 implies the notion of relative ampleness is
affine-local on Y (if π is proper).
17.3.9. ⋆⋆ Ample vector bundles. The notion of an ample vector bundle is useful in
some parts of the literature, so we define it, although we won’t use the notion. A
locally free sheaf E on a proper A-scheme X is ample if OPE /X (1) is an ample in-
vertible sheaf. In particular, using Exercise 17.2.G, you can verify that an invertible
sheaf is ample as a locally free sheaf (this definition) if and only if it is ample as an
invertible sheaf (Definition 16.2.1), preventing a notational crisis. (The proper hy-
potheses can be relaxed; it is included only because Definition 16.2.1 of ampleness
is only for proper schemes.)
April 1, 2023 draft 479
17.3.10. ⋆⋆ Quasiaffine morphisms.
Because we have introduced quasiprojective morphisms (Definition 17.3.3),
we briefly introduce quasiaffine morphisms (and quasiaffine schemes), as some
readers may have cause to use them. Many of these ideas could have been intro-
duced long before, but because we will never use them, we deal with them all at
once.
A scheme X is quasiaffine if it admits a quasicompact open embedding into
an affine scheme. This implies that X is quasicompact and separated. If X is Noe-
therian (the most relevant case for most people), then any open embedding is of
course automatically quasicompact.
17.3.J. E XERCISE . Show that X is quasiaffine if and only if the canonical map
X → Spec Γ (X, OX ) (defined in Exercise 7.3.G and the paragraph following it) is a
quasicompact open embedding. Thus a quasiaffine scheme comes with a canonical
quasicompact open embedding into an affine scheme. Hint: Let A = Γ (X, OX ) for
convenience. Suppose X ,→ Spec R is a quasicompact open embedding. We wish
to show that X ,→ Spec A is a quasicompact open embedding. Factor X ,→ Spec R
through X → Spec A → Spec R. Show that X → Spec A is an open embedding in an
open neighborhood of any chosen point p ∈ X, as follows. Choose r ∈ R such that
p ∈ D(r) ⊂ X. Notice that if Xr = {q ∈ X : r(q) ̸= 0}, then Γ (Xr , OX ) = Γ (X, OX )r
by Exercise 15.4.Y, using the fact that X is quasicompact and quasiseparated. Use
this to show that the map Xr → Spec Ar is an isomorphism.
It is not hard to show that X is quasiaffine if and only if OX is ample, but we
won’t use this fact.
A morphism π : X → Y is quasiaffine if the inverse image of every affine open
subset of Y is a quasiaffine scheme. By Exercise 17.3.J, this is equivalent to π being
quasicompact and separated, and the natural map X → Spec π∗ OX being a quasi-
compact open embedding. This implies that the notion of quasiaffineness is local
on the target (may be checked on an open cover), and also affine-local on a target
(one may choose an affine cover, and check that the preimages of these open sets
are quasiaffine). Quasiaffine morphisms are preserved by base change: if a mor-
phism X ,→ Z over Y is a quasicompact open embedding into a scheme affine over
Y, then for any W → Y, X ×Y W ,→ Z ×Y W is a quasicompact open embedding
into a scheme affine over W. (Interestingly, Exercise 17.3.J is not the right tool to
use to show this base change property.)
One may readily check that quasiaffine morphisms are preserved by composi-
tion, [Stacks, tag 01SN]. Thus quasicompact locally closed embeddings are quasi-
affine. If X is affine, then X → Y is quasiaffine if and only if it is quasicompact (as
the preimage of any affine open subset of Y is an open subset of an affine scheme,
namely X). In particular, from the Cancellation Theorem 11.2.1 for quasicompact
morphisms, any morphism from an affine scheme to a quasiseparated scheme is
quasiaffine.
CHAPTER 18
Čech cohomology of quasicoherent sheaves
This topic is surprisingly simple and elegant. You may think cohomology
must be complicated, and that this is why it appears so late in the book. But you
will see that we need very little background. After defining schemes, we could
have immediately defined quasicoherent sheaves, and then defined cohomology,
and verified that it had many useful properties.
18.1 (Desired) properties of cohomology
Rather than immediately defining cohomology of quasicoherent sheaves, we
first discuss why we care, and what properties it should have.
As Γ (X, ·) is a left-exact functor, if 0 → F → G → H → 0 is a short exact
sequence of quasicoherent sheaves on a scheme X, then
0 / F (X) / G (X) / H (X)
is exact. We dream that this sequence continues to the right, giving a long exact
sequence. More explicitly, there should be some covariant functors Hi (i ≥ 0) from
quasicoherent sheaves on X to groups such that H0 is the global section functor Γ ,
and so that there is a “long exact sequence in cohomology”.
([Link]) 0 / H0 (X, F ) / H0 (X, G ) / H0 (X, H )
/ H1 (X, F ) / H1 (X, G ) / H1 (X, H ) / ···
(In general, whenever we see a left-exact or right-exact functor, we should hope
for this, and in good cases our dreams will come true. The machinery behind this
usually involves derived functors, which we will discuss in Chapter 23.)
Before defining cohomology groups of quasicoherent sheaves explicitly, we
first describe their important properties, which are in some ways more important
than the formal definition. The boxed properties will be the important ones.
Suppose X is a separated and quasicompact A-scheme. For each quasicoherent
sheaf F on X, we will define A-modules Hi (X, F ). In particular, if A = k, they are
k-vector spaces. In this case, we define hi (X, F ) = dimk Hi (X, F ) (where k is left
implicit on the left side).
(i) Each Hi is a covariant functor QCohX → ModA .
481
482 The Rising Sea: Foundations of Algebraic Geometry
(ii) The functor H0 is identified with the functor Γ : H0 (X, F ) = Γ (X, F ), and
the covariance of (i) for i = 0 is just the usual covariance for Γ (F → G induces
Γ (X, F ) → Γ (X, G )).
(iii) If 0 → F → G → H → 0 is a short exact sequence of quasicoherent
sheaves on X, then we have a long exact sequence ([Link]). The maps Hi (X, F ) →
Hi (X, G ) come from covariance, and similarly for Hi (X, G ) → Hi (X, H ). The con-
necting homomorphisms Hi (X, H ) → Hi+1 (X, F ) will have to be defined.
(iv) If π : X → Y is any morphism of quasicompact separated A-schemes, and
F is a quasicoherent sheaf on X, then there is a natural morphism Hi (Y, π∗ F ) → Hi (X, F )
extending Γ (Y, π∗ F ) → Γ (X, F ). (Note that π is quasicompact and separated by
the Cancellation Theorem 11.2.1 for quasicompact and separated morphisms, tak-
ing Z = Spec A in the statement of the Cancellation Theorem, so π∗ F is indeed
a quasicoherent sheaf by Exercise 14.4.C.) We will later see this as part of a larger
story, the Leray spectral sequence (Theorem 23.4.5). If G is a quasicoherent sheaf
on Y, then setting F := π∗ G and using the adjunction map G → π∗ π∗ G and co-
variance (property (i)) gives a natural pullback map Hi (Y, G ) → Hi (X, π∗ G ) (via
Hi (Y, G ) → Hi (Y, π∗ π∗ G ) → Hi (X, π∗ G )) extending Γ (Y, G ) → Γ (X, π∗ G ). In this
way, Hi is a “contravariant functor in the space”.
(v) If π : X → Y is an affine morphism, and F is a quasicoherent sheaf on X,
∼
the natural map of (iv) is an isomorphism: Hi (Y, π∗ F ) −→ Hi (X, F ). When π
is a closed embedding and Y = PN A , this isomorphism translates calculations on
arbitrary projective A-schemes to calculations on PN A.
(vi) (affine cover cohomology vanishing) If X can be covered by n affine open
sets, then Hi (X, F ) = 0 for i ≥ n for all F . In particular, on affine schemes,
all higher (i > 0) quasicoherent cohomology groups vanish. The vanishing of
H1 in this case, along with the long exact sequence (iii) implies that Γ is an exact
functor for quasicoherent sheaves on affine schemes, something we already knew
(Exercise 6.3.A).
18.1.1. Remarks (not part of property (vi)). It is also true that if dim X = n, then
Hi (X, F ) = 0 for all i > n and for all F (dimensional cohomology vanishing).
We will prove this for projective k-schemes (Theorem 18.2.6) and even quasipro-
jective k-schemes (Exercise 22.4.T). See §18.2.7 for discussion of the general case.
The converse to (vi) in the case when n = 1 is Serre’s cohomological criterion for
affineness, see §18.8.5.
Let’s get back to our list.
(vii) The functor Hi behaves well under direct sums, and more generally un-
der filtered colimits: Hi (X, colim Fj ) = colim Hi (X, Fj ).
(viii) We will also identify the cohomology of all O(m) on Pn
A:
18.1.2. Theorem. —
(n+m)
A , OPA (m)) is a free A-module of rank ( m
(a) H0 (Pn if m ≥ 0.
n
)
(b) H (PA , OPA (m)) is a free A-module of rank −n−m−1 if m ≤ −n − 1.
n n n
−m−1
A , OPA (m)) = 0 otherwise.
(c) Hi (Pn n
April 1, 2023 draft 483
We have already shown the first statement in Essential Exercise 15.1.C (see
also §15.1.2). We saw there (and in Exercise 15.1.D) that it is advantageous to
interpret to interpret H0 (Pn A , OPA (m)) as the degree m homogeneous polynomials
n
in A[x0 , . . . , xn ]. Similarly, we will find that Hn (PnA , OPA (m)) can be interpreted
n
as the homogeneous degree m Laurent monomials in (x0 x1 · · · xn )−1 A[x0 , . . . , xn ]
(see Remark 18.3.5) .
Theorem 18.1.2 has a number of features that will be the first appearances of
facts that we will prove later.
• The cohomology of these bundles vanish in degree above n ((vi) above,
“affine cover cohomology vanishing”)
• These cohomology groups are always finitely generated A-modules. This
will be true for all coherent sheaves on projective A-schemes (Theorem 18.1.3(i)),
and indeed (with more work) on proper A-schemes (Grothendieck’s Co-
herence Theorem 18.9.1).
• The top cohomology group vanishes for m > −n − 1. We will later see
this as an example of Kodaira vanishing, see §21.5.7.
If A is a field k:
• The top cohomology group is one-dimensional for m = −n − 1. This is
the first appearance of the dualizing sheaf.
• There is a natural perfect pairing
Hi (Pn , O(m)) × Hn−i (Pn , O(−n − 1 − m)) / Hn (Pn , O(−n − 1))
This is the first appearance of Serre duality. (For the case n = 1, see Exam-
ple 18.5.4.) ∑
• The alternating sum (−1)i hi (Pn , O(m)) is a polynomial in m. This is a
first example of a Hilbert polynomial.
Before proving these facts, let’s first use them to prove interesting things, as
motivation.
By Theorem 16.1.1, for any coherent sheaf F on Pn A we can find a surjection
O(m)⊕j → F , which yields the exact sequence
([Link]) 0 /G / O(m)⊕j /F /0
for some coherent sheaf G . We can use this to prove the following.
18.1.3. Theorem. — (i) For any coherent sheaf F on a projective A-scheme X where A
is Noetherian, Hi (X, F ) is a coherent (finitely generated) A-module.
(ii) (Serre vanishing) Furthermore, for m ≫ 0, Hi (X, F (m)) = 0 for all i > 0 (even
without Noetherian hypotheses).
(A slightly fancier version of Serre vanishing will be given in Theorem 18.7.F.)
Proof. Because cohomology of a closed subscheme can be computed on the ambi-
ent space ((v) above), we may immediately reduce to the case X = Pn
A.
484 The Rising Sea: Foundations of Algebraic Geometry
(i) Consider the long exact sequence:
0 / H0 (Pn , G ) / H0 (Pn , O(m)⊕j ) / H0 (Pn , F ) /
A A A
/ H1 (Pn , O(m)⊕j ) / H1 (Pn , F ) / ···
A, G )
H1 (Pn A A
··· / Hn−1 (Pn , G ) / Hn−1 (Pn , O(m)⊕j ) / Hn−1 (Pn , F ) /
A A A
/ Hn (Pn , O(m)⊕j ) / Hn (Pn , F ) /0
A, G )
Hn (Pn A A
The exact sequence ends here because Pn A is covered by n + 1 affine open sets ((vi)
⊕j
above, “affine cover cohomology vanishing”). Then Hn (Pn A , O(m) ) is finitely
generated by Theorem 18.1.2(b) and (vii), hence H (PA , F ) is finitely generated
n n
for all coherent sheaves F . Hence in particular Hn (Pn A , G ) is finitely generated.
⊕j
As Hn−1 (Pn A , O(m) ) is finitely generated, and H n n
(P A , G ) is too, we have that
Hn−1 (Pn A , F ) is finitely generated for all coherent sheaves F . We continue induc-
tively downwards.
(ii) Twist ([Link]) by O(N) for N ≫ 0. Then
⊕j ⊕j
A , O(m + N) ) = H (PA , O(m + N))
Hn (Pn n n
=0
A , F (N)) = 0. Translation: for any coherent sheaf, its top
(by (vii) above), so Hn (Pn
cohomology vanishes once you twist by O(N) for N sufficiently large. Hence this
is true for G as well. Hence from the long exact sequence, Hn−1 (Pn A , F (N)) = 0
for N ≫ 0. As in (i), we induct downwards, until we get that H1 (Pn A , F (N)) = 0.
⊕j
(The induction stops here, as it is not true that H0 (Pn
A , O(m + N) ) = 0 for large
N — quite the opposite.) □
In particular, we have proved the following, that we would have cared about
even before we knew about cohomology.
18.1.4. Corollary. — Any projective k-scheme has a finite-dimensional space of functions.
More generally, if A is Noetherian and F is a coherent sheaf on a projective A-scheme,
then H0 (X, F ) is a coherent A-module.
(We will generalize this in Theorem 18.7.1.) I want to emphasize how remark-
able this proof is. It is a question about global sections, i.e., H0 , which we think
of as the most down to earth cohomology group, yet the proof is by downward
induction for Hn , starting with n large.
Corollary 18.1.4 is true more generally for proper k-schemes, not just projec-
tive k-schemes (Grothendieck’s Coherence Theorem 18.9.1).
Here are some important consequences. They can also be shown directly, with-
out the use of cohomology, but with much more elbow grease.
18.1.A. C RUCIAL E XERCISE ( PUSHFORWARDS OF COHERENT SHEAVES BY PROJEC -
TIVE MORPHISMS ARE COHERENT ). Suppose π : X → Y is a projective morphism
of locally Noetherian schemes. Show that the pushforward of a coherent sheaf
April 1, 2023 draft 485
on X is a coherent sheaf on Y. (See Grothendieck’s Coherence Theorems 18.7.1
and 18.9.1 for generalizations.)
Finite morphisms are affine (from the definition) and projective (Exercise 17.3.F).
We can now show that this is a characterization of finiteness.
18.1.5. Corollary (projective + affine = finite). — Suppose Y is locally Noetherian.
Then a morphism π : X → Y is projective and affine if and only if π is finite.
We will see in Exercise 18.9.A that the projective hypotheses can be relaxed to
proper.
Proof. We already know that finite morphisms are affine (by definition) and projec-
tive (Exercise 17.3.F), so we show the converse. Suppose π is projective and affine.
By Exercise 18.1.A, π∗ OX is coherent and hence finite type. □
The following result was promised in §17.3.5, and has a number of useful con-
sequences.
18.1.6. Theorem (projective + finite fibers = finite). — Suppose π : X → Y is a
morphism, with Y Noetherian. Then π is projective and has finite fibers if and only if it is
finite. Equivalently, π is projective and quasifinite if and only if it is finite.
(Recall that quasifinite = finite fibers + finite type. But projective includes finite
type.) It is true more generally that (with Noetherian hypotheses) proper + finite
fibers = finite, see Theorem 29.6.2.
Proof. We have already shown that finite morphisms are projective (Exercise 17.3.F)
and have finite fibers (Exercise 8.3.J). So we now assume that π is projective and
has finite fibers, and show that π is finite. We show π is finite near a point q ∈ Y.
Fix an affine open neighborhood Spec A of q in Y. For notational convenience, we
rename Y = Spec A and X = π−1 (Spec A). Projectivity of π means we can factor π
as
[Link]. / n
X E PA
EE
EE
E ρ
π EEE
"
Spec A Y.
Choose a hypersurface Hq in Pn κ(q) missing π
−1
(q) ⊂ X. Choose any lift of its equa-
tion to A, to obtain a hypersurface H in PA also missing π−1 (q). (See Figure 18.1.)
n
Now H ∩ X is closed in Pn A , so by the Fundamental Theorem of Elimination The-
ory 8.4.10, H ′ := π(H ∩ X) is closed in Spec A. Also, H ′ doesn’t contain q, so
U := Spec A − H ′ is an open subset of Y = Spec A containing q.
Finally, π−1 (U) → U is a projective morphism. It is also affine, because it is
the composition of two affine morphisms
[Link]. /
π−1 (U) /U
ρ
Pn
U\H
(the second of which is affine by Exercise 4.5.I). We are then done by Corollary 18.1.5.
□
A similar trick was used in the proof of the Rigidity Lemma 11.5.12.
486 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 18.1. The key construction in the proof of Theorem 18.1.6
18.1.B. E XERCISE ( UPPER SEMICONTINUITY OF FIBER DIMENSION ON THE TARGET,
FOR PROJECTIVE MORPHISMS ). Use a similar argument as in Theorem 18.1.6 to
prove upper semicontinuity of fiber dimension of projective morphisms: suppose π : X →
Y is a projective morphism where Y is locally Noetherian (or more generally OY
is coherent over itself). Show that {q ∈ Y : dim π−1 (q) > k} is a Zariski-closed
subset of Y. In other words, the dimension of the fiber “jumps over Zariski-closed
subsets” of the target. (You can interpret the case k = −1 as the fact that projective
morphisms are closed, which is basically the Fundamental Theorem of Elimination
Theory 8.4.10, cf. §17.3.4.) This exercise is rather important for having a sense
of how projective morphisms behave. (The case of varieties was done earlier, in
Theorem 12.4.3(b). This approach is much simpler.)
The final exercise of the section is on a different theme.
18.1.C. E XERCISE . Suppose 0 → F → G → H → 0 is an exact sequence of
quasicoherent sheaves on X, projective over A, with F coherent. Show that for
n ≫ 0,
0 / H0 (X, F (n)) / H0 (X, G (n)) / H0 (X, H (n)) /0
is also exact. (Hint: for n ≫ 0, H1 (X, F (n)) = 0.)
18.2 Definitions and proofs of key properties
This section could be read much later; the facts we will use are all stated in
the previous section. However, the arguments are not complicated, so you want
to read this right away. As you read this, you should go back and check off all the
April 1, 2023 draft 487
facts in the previous section, to assure yourself that you understand everything
promised.
18.2.1. Čech cohomology. Čech cohomology in general settings is defined using
a limit over finer and finer covers of a space. In our algebro-geometric setting, the
situation is much cleaner, and we can use a single cover.
Suppose X is quasicompact and separated, which is true for example if X is
quasiprojective over A. In particular, X may be covered by a finite number of
affine open sets, and the intersection of any two affine open sets is also an affine
open set (by separatedness, Proposition 11.3.13). We will use quasicompactness
and separatedness only in order to ensure these two nice properties.
Suppose F is a quasicoherent sheaf, and U = {Ui }n i=1 is a finite collection of
affine open sets covering X. For I ⊂ {1, . . . , n} define UI = ∩i∈I Ui , which is affine
by the separated hypothesis. (Here is a strong analogy for those who have seen
cohomology in other contexts: cover a topological space X with a finite number
of open sets Ui , such that all intersections ∩i∈I Ui are contractible.) Consider the
Čech complex
/ ∏ / ··· /
([Link]) 0 F (UI )
|I| = 1
I ⊂ {1, . . . , n}
∏ / ∏ / ··· .
F (UI ) F (UI )
|I| = i |I| = i + 1
I ⊂ {1, . . . , n} I ⊂ {1, . . . , n}
The maps are defined as follows. The map from F (UI ) → F (UJ ) is 0 unless I ⊂ J,
i.e., J = I ∪ {j}. If j is the kth element of J, then the map is (−1)k−1 times the
restriction map resUI ,UJ .
18.2.A. E ASY E XERCISE ( FOR THOSE WHO HAVEN ’ T SEEN ANYTHING LIKE THE
Č ECH COMPLEX BEFORE ). Show that the Čech complex is indeed a complex, i.e.,
that the composition of two consecutive arrows is 0.
Define HiU (X, F ) to be the ith cohomology group of the complex ([Link]).
(The indexing starts with i = 0.) Note that if X is an A-scheme, then HiU (X, F ) is
an A-module. We have almost succeeded in defining the Čech cohomology group
Hi , except our definition a priori depends on a choice of a cover U . Note that
HiU (X, ·) is clearly a covariant functor QCohX → ModA .
18.2.B. E ASY E XERCISE . Identify H0U (X, F ) with Γ (X, F ). (Hint: use the sheaf
axioms for F .)
18.2.C. E XERCISE . Suppose
([Link]) 0 /F /G /H /0
is a short exact sequence of sheaves of abelian groups on a topological space, and
U is a finite open cover such that on any intersection UI of open subsets in U , the
map Γ (UI , G ) → Γ (UI , H ) is surjective. Show that we get a “long exact sequence
of cohomology for HiU ” (where we take the same definition of HiU ). In our situa-
tion, where X is a quasicompact separated A-scheme, and ([Link]) is a short exact
488 The Rising Sea: Foundations of Algebraic Geometry
sequence of quasicoherent sheaves on X, show that we get a long exact sequence
for the A-modules HiU .
In the proof of Theorems 18.2.4 and 18.7.1, we will make use of the fact that
your construction of the connecting homomorphism will “commute with localiza-
tion of A”. More precisely, we will need the following.
18.2.D. E XERCISE . Suppose we are given a short exact sequence ([Link]) of quasi-
coherent sheaves on a quasicompact separated A-scheme π : X → Spec A, a cover
U of X by affine open sets, and some f ∈ A. The restriction of the sets of U
to Xf yields an affine open cover U ′ of Xf = π−1 (D(f)). Identify the long exact
sequence associated to ([Link]) using HiU , localized at f, with the long exact se-
quence associated to the restriction of ([Link]) to Xf , using the affine open cover
U ′ . (First check that the maps such as HiU (F ) → HiU (G ) given by covariance
“commute with localization”, and then check that the connecting homomorphisms
do as well.)
18.2.2. Theorem/Definition. — Our standing assumption is that X is quasicompact
and separated. HiU (X, F ) is independent of the choice of (finite) cover {Ui }. More pre-
cisely, for any two covers {Ui } ⊂ {Vi }, the maps Hi{Vi } (X, F ) → Hi{Ui } (X, F ) induced
by the natural map of Čech complexes ([Link]) are isomorphisms. Define the Čech co-
homology group Hi (X, F ) to be this group.
If you are unsure of what the “natural map of Čech complexes” is, by ([Link])
it should become clear.
18.2.3. For experts: maps of complexes inducing isomorphisms on cohomology
groups are called quasiisomorphisms. We are actually getting a finer invariant
than cohomology out of this construction; we are getting an element of the derived
category of A-modules.
Proof. We need only prove the result when |{Vi }| = |{Ui }| + 1. We will show that
if {Ui }1≤i≤n is a cover of X, and U0 is any other affine open set, then the map
April 1, 2023 draft 489
Hi{Ui }0≤i≤n (X, F ) → Hi{Ui }1≤i≤n (X, F ) is an isomorphism. Consider the exact se-
quence of complexes
([Link])
0 0 0
∏ ∏ ∏
··· / F (UI ) / F (UI ) / F (UI ) / ···
|I| = i − 1 |I| = i |I| = i + 1
0∈I 0∈I 0∈I
∏ ∏ ∏
··· / F (UI ) / F (UI ) / F (UI ) / ···
|I| = i − 1 |I| = i |I| = i + 1
∏ ∏ ∏
··· / F (UI ) / F (UI ) / F (UI ) / ···
|I| = i − 1 |I| = i |I| = i + 1
0∈/ I 0∈ / I 0∈/ I
0 0 0
Throughout, I ⊂ {0, . . . , n}. The bottom two rows are Čech complexes with respect
to two covers, and the map between them induces the desired map on cohomology.
We get a long exact sequence of cohomology from this short exact sequence of
complexes (Theorem 1.6.7). Thus we wish to show that the top row is exact and
thus has vanishing cohomology. (Note that U0 ∩ Uj is affine by our separatedness
hypothesis, Proposition 11.3.13.) But the ith cohomology of the top row is precisely
{Uj ∩U0 }j>0 (U0 , F ) except at step 0, where we get 0 (because the complex starts
Hi−1
∏n
off 0 → F (U0 ) → j=1 F (U0 ∩ Uj )). So it suffices to show that higher Čech
groups of affine schemes are 0. Hence we are done by the following result. □
18.2.4. Theorem. — The higher Čech cohomology HiU (X, F ) of an affine A-scheme X
vanishes (for any affine cover U , i > 0, and quasicoherent F ).
This is another “partition of unity” argument, in the spirit of the proof of The-
orem 4.1.2.
Proof. We want to show that the “extended” complex
([Link]) 0 / F (X) / ∏ F (UI ) / ∏ F (UI ) / ···
|I|=1 |I|=2
(where the global sections F (X) have been appended to the start) has no cohomol-
ogy, i.e., is exact. We do this with a trick.
Suppose first that some Ui , say U0 , is X. We deal with this case by sleight
of hand. The complex ([Link]) is the middle row of the following short exact
490 The Rising Sea: Foundations of Algebraic Geometry
sequence of complexes.
/0 / ∏ / ∏ / ···
([Link]) 0 F (UI ) F (UI )
|I|=1,0∈I |I|=2,0∈I
0 / F (X) / ∏ F (UI ) / ∏ F (UI ) / ···
|I|=1 |I|=2
∏ ∏
0 / F (X) / F (UI ) / F (UI ) / ···
|I|=1,0∈
/I |I|=2,0∈
/I
The top row is the same as the bottom row, slid over by 1. The corresponding long
exact sequence of cohomology shows that the central row has vanishing cohomol-
ogy. (You should show that the “connecting homomorphism” on cohomology is
indeed an isomorphism.) This might remind you of the mapping cone construction
(Exercise 1.7.E). (Here is a trick to accomplish the goal of this paragraph from
a different point of view. Let id be the identity map between complex ([Link])
and itself, and let 0 be the zero map between the complex ([Link]) and itself. De-
scribe an explicit homotopy between id and 0, cf. §1.6.6. The homotopy will use
the “same idea” as ([Link]). Then the identity map on homology equals the zero
map on homology, Exercise 1.6.E, so the homology must be zero. This idea can be
enlightening because it is used in other circumstances.)
F IGURE 18.2. The final step in the proof of Theorem 18.2.2
Finally, we prove the general case by another sleight of hand. Say X = Spec R.
We wish to show that the complex of A-modules ([Link]) is exact. It is also a com-
plex of R-modules, so we wish to show that the complex of R-modules ([Link])
is exact. To show that it is exact, it suffices to show that for a cover of Spec R by
distinguished open sets D(fi ) (1 ≤ i ≤ r) (i.e., (f1 , . . . , fr ) = 1 in R) the complex
is exact. (Translation: exactness of a sequence of sheaves may be checked locally.)
We choose a cover so that each D(fi ) is contained in one of our affine open subsets
Uj (see Figure 18.2). The complex ([Link]) localized at fi is the Čech complex for
the affine cover of D(fi ) by {Uk ∩ D(fi )}. We want to show that this complex (for
our fixed i and j) is exact. But this is the case dealt with in the previous paragraph
— one of the affine open sets, Uj ∩ D(fi ), equals D(fi ). □
We have now proved properties (i)–(iii) of the previous section. The “affine
cover cohomology vanishing” property (vi) is also straightforward: if X is covered
by n affine open sets, use these as the cover U , and notice that the Čech complex
ends by the nth step.
April 1, 2023 draft 491
18.2.E. E XERCISE ( PROPERTY (v)). Suppose π : X → Y is an affine morphism,
and Y is a quasicompact and separated A-scheme (and hence X is too, as affine
morphisms are both quasicompact and separated). If F is a quasicoherent sheaf
∼
on X, describe a natural isomorphism Hi (Y, π∗ F ) ←→ Hi (X, F ). (Hint: if U is an
affine cover of Y, “π−1 (U )” is an affine cover of X. Use these covers to compute
the cohomology of F .)
18.2.F. E XERCISE ( PROPERTY (iv)). Suppose π : X → Y is any quasicompact sepa-
rated morphism, F is a quasicoherent sheaf on X, and Y is a quasicompact sepa-
rated A-scheme. The hypotheses on π ensure that π∗ F is a quasicoherent sheaf on
Y. Describe a natural morphism Hi (Y, π∗ F ) → Hi (X, F ) extending Γ (Y, π∗ F ) →
Γ (X, F ). (Aside: this morphism is an isomorphism for i = 0, but need not be an
isomorphism for higher i: consider i = 1, X = P1k , F = O(−2), and let Y be a point
Spec k.)
18.2.G. E XERCISE . Prove Property (vii) of the previous section, that “cohomology
commutes with filtered colimits”. (This can be done by hand. Hint: in the category
of modules over a ring, taking the colimit over a filtered sets is an exact functor,
§1.6.13.)
We have now proved all of the properties of the previous section, except for
(viii), which we will get to in §18.3.
18.2.5. Useful facts about cohomology for k-schemes.
18.2.H. E XERCISE ( COHOMOLOGY AND CHANGE OF BASE FIELD ). Suppose X is a
quasicompact separated k-scheme, and F is a quasicoherent sheaf on X. Give an
isomorphism
∼
Hi (X, F ) ⊗k K ←→ Hi (X ×Spec k Spec K, F ⊗k K)
for all i, where K/k is any field extension. Here F ⊗k K means the pullback of
F to X ×Spec k Spec K. Hence hi (X, F ) = hi (X ×Spec k Spec K, F ⊗k K). (This is
useful for relating facts about k-schemes to facts about schemes over algebraically
closed fields. Your proof might use vector spaces — i.e., linear algebra — in a
fundamental way. If it doesn’t, you may prove something more general, if k → K
is replaced by a flat ring map B → A. Recall that B → A is flat if ⊗B A is an
exact functor ModB → ModA . A hint for this harder exercise: the FHHF Theorem,
Exercise 1.6.I. See Exercise 18.7.B(b) for the next generalization of this.)
18.2.I. E XERCISE ( BASE - POINT- FREENESS IS INDEPENDENT OF EXTENSION OF BASE
FIELD ). Suppose X is a quasicompact separated k-scheme, L is an invertible sheaf
on X, and K/k is a field extension. Show that L is base-point-free if and only if
its pullback to X ×Spec k Spec K is base-point-free. (Hint: Exercise 18.2.H with i = 0
implies that a basis of sections of L over k becomes, after tensoring with K, a basis
of sections of L ⊗k K.)
18.2.6. Theorem (dimensional cohomology vanishing for quasicoherent sheaves
on projective k-schemes). — Suppose X is a projective k-scheme, and F is a quasico-
herent sheaf on X. Then Hi (X, F ) = 0 for i > dim X.
In other words, cohomology vanishes above the dimension of X.
492 The Rising Sea: Foundations of Algebraic Geometry
Proof. Suppose X ,→ PN , and let n = dim X. We show that X may be covered by
n + 1 affine open sets. Exercise 12.3.C shows that there are n + 1 effective Cartier
divisors on PN such that their complements U0 , . . . , Un cover X. Then Ui is affine,
so Ui ∩ X is affine, and thus we have covered X with n + 1 affine open sets. □
(It turns out that n + 1 affine open sets are always necessary. One way of
proving this is by showing that the complement of a dense affine open subset is
always pure codimension 1, see for example [RotV, Lem. 2.3].)
18.2.7. ⋆ Dimensional cohomology vanishing more generally. Using the the-
ory of blowing up, Theorem 18.2.6 can be extended to quasiprojective k-schemes,
see §22.4.15. Dimensional cohomology vanishing is even true in much greater
generality. To state it, we need to define cohomology with the more general ma-
chinery of derived functors (Chapter 23). If X is a Noetherian topological space
(§3.6.14) and F is any sheaf of abelian groups on X, we have Hi (X, F ) = 0 for all
i > dim X. (Grothendieck sketches his elegant proof in [GrS, p. 29-30]; see [Ha1,
Theorem III.2.7] for a more detailed explanation.) In particular, if X is a k-variety of
dimension n, we always have dimensional cohomology vanishing, even for crazy
varieties that can’t be covered with n + 1 affine open subsets (see §22.4.15).
18.3 Cohomology of line bundles on projective space
We finally prove the last promised basic fact about cohomology, property (viii)
of §18.1, Theorem 18.1.2, on the cohomology of line bundles on projective space.
But first we discuss a seemingly different problem, of the cohomology of the struc-
ture sheaf of affine space minus the origin.
18.3.1. The Problem. For any ring A, let X = An+1 A \ V(x0 , . . . , xn ) for n ≥ 1. Here
the coordinates on A n+1
are x0 , . . . , xn , and the motivation for the indexing will
soon become clear. We will work out Hi (X, OX )
18.3.2. The Answer. We will show that Hi (X, OX ) = 0 unless i = 0 (in which case
it will be A[x0 , . . . , xn ]) or i = n. We will see that Hn (X, OX ) can be identified
with those “Laurent polynomials” of the form (x0 x1 · · · xn )−1 A[x−1 −1 −1
0 , x1 , . . . , xn ].
(This gives another proof that Ak \ {(0, 0)} is not affine, cf. §4.4.3.) (Cf. Serre’s
2
cohomological criterion for affineness, §18.8.5.)
There is a natural open cover of X by {Ui } where Ui = D(xi ), and we use the
corresponding Čech complex.
We discuss the case n = 2, because all of the complications present themselves
here. In this case the Čech complex is
([Link])
0 / A[x0 , x1 , x2 , x−1 ] × A[x0 , x1 , x2 , x−1 ] × A[x0 , x1 , x2 , x−1 ] /
0 1 2
1 ] × A[x0 , x1 , x2 , x1 , x2 ] × A[x0 , x1 , x2 , x0 , x2 ]
A[x0 , x1 , x2 , x0−1 , x−1 −1 −1 −1 −1
/ A[x0 , x1 , x2 , x−1 , x−1 , x−1 ] / 0.
0 1 2
April 1, 2023 draft 493
We extend ([Link]) by replacing the “0 →” on the left by “0 → A[x0 , x1 , x2 ] →”:
([Link])
H0 U0 U1 U2 U012
0 / A[x0 , x1 , x2 ] / ··· / ··· / A[x0 , x1 , x2 , x−1
0
, x−1
1
x−1
2
] / 0.
18.3.A. E XERCISE . Show that if ([Link]) is exact, except that at U012 the coho-
mology/cokernel is x−1 −1 −1 −1 −1 −1
0 x1 x2 A[x0 , x1 , x2 ], then Answer 18.3.2 is correct for
n = 2.
Because the maps in ([Link]) preserve multidegree (degrees of each xi inde-
pendently), we can study exactness of ([Link]) monomial by monomial.
The “3 negative exponents” case. Consider first the monomial xa 0 a1 a2
0 x1 x2 , where
the exponents ai are all negative. Then ([Link]) in this multidegree is:
0 / 0H0 / 00 × 01 × 02 / 001 × 012 × 002 / A012 / 0.
Here the subscripts serve only to remind us which “Čech” terms the factors cor-
respond to. For example, A012 corresponds to the coefficient of xa 0 a1 a2
0 x1 x2 in
−1 −1 −1
A[x0 , x1 , x2 , x0 , x1 , x2 ]. Clearly this complex only has (co)homology at the
U012 spot, as desired.
The “2 negative exponents” case. Consider next the case where two of the expo-
nents, say a0 and a1 , are negative. Then the complex in this multidegree is
0 / 0H0 / 00 × 01 × 02 / A01 × 012 × 002 / A012 / 0,
which is clearly exact.
The “1 negative exponent” case. We next consider the case where one of the
exponents, say a0 , is negative. Then the complex in this multidegree is
0 / 0H0 / A0 × 01 × 02 / A01 × 012 × A02 / A012 /0
With a little thought (paying attention to the signs on the arrows A → A), you
will see that it is exact. (The subscripts, by reminding us of the subscripts in the
original Čech complex, remind us what signs to take in the maps.)
The “0 negative exponent” case. Finally, consider the case where none of the
exponents are negative. Then the complex in this multidegree is
([Link])
0 / AH0 / A0 × A1 × A2 / A01 × A12 × A02 / A012 /0
494 The Rising Sea: Foundations of Algebraic Geometry
We wish to show that this is exact. We use the same strategy as we used at ([Link]).
We write ([Link]) as the middle of a short exact sequence of complexes:
([Link])
0 /0 / A2 / A02 × A12 / A012 /0
0 / AH0 / A0 × A1 × A2 / A01 × A12 × A02 / A012 /0
0 / AH0 / A0 × A1 / A01 /0 /0
Thus we get a long exact sequence in cohomology (Theorem 1.6.7). But the top and
bottom rows are exact (basically from the “1-negative” case), i.e., cohomology-free,
so the middle row must be exact too. (Alternatively, as with ([Link]), let id be the
identity map between complex ([Link]) and itself. Describe an explicit homotopy
between id and the zero map. Then the identity map on homology equals the zero
map on homology, Exercise 1.6.E, which means the homology is zero.)
18.3.B. E XERCISE . Prove that Answer 18.3.2 is true for all n ≥ 1. (I could of course
just have given you the proof for general n, but seeing the argument in action may
be enlightening. In particular, your argument may be much shorter. For example,
the “2-negative” case could be done in the same way as the “1-negative” case, so
you will not need n + 1 separate cases if you set things up carefully.)
18.3.3. Remark. This argument is basically the proof that the reduced homology
of the boundary of a simplex S (known in some circles as a “sphere”) is 0, unless
S is the empty set, in which case it is one-dimensional. The “empty set” case
corresponds to the “3-negative” case.
We are now ready to prove Theorem 18.1.2.
18.3.4. Proof of Theorem 18.1.2. We use the standard cover U0 = D(x0 ), . . . , Un =
D(xn ) of Pn
A.
We come to the central trick (Exercise 18.3.C): the Čech complex for O(m) is
A , OX )! (You can stare at the
the degree m part of the Čech complex for Hi (An+1
n = 2 case ([Link]) if it helps.)
18.3.C. E XERCISE ( CF. R EMARK 18.3.5). If I ⊂ {0, . . . , n}, then give an isomor-
phism (of A-modules) of Γ (UI , O(m)) with the homogeneous degree m Laurent
monomials (in x0 , . . . , xn , with coefficients in A) where each xi for i ∈
/ I appears
with non-negative degree. Your construction should be such that the restriction
map Γ (UI , O(m)) → Γ (UJ , O(m)) (I ⊂ J) corresponds to the natural inclusion:
a Laurent polynomial in Γ (UI , O(m)) maps to the same Laurent polynomial in
Γ (UJ , O(m)).
18.3.D. E XERCISE . Prove Theorem 18.1.2. □
18.3.5. Remark. Exercises 15.1.C and 15.1.D interpreted H0 (PnA , OPA (m)) as the
n
homogeneous degree m polynomials in x0 , . . . , xn (with A-coefficients). We can
April 1, 2023 draft 495
now state this in a better way. Let
π : AA
n+1
\ V(x0 , . . . , xn ) / Pn
A
be the morphism of Exercise 7.3.F and Example 7.3.12. You can show that the
induced map
π∗ : Hn (Pn / Hn (An+1 \ V(x0 , . . . , xn ), O)
A , O(m)) A
is an inclusion, and “identify the image”.
18.4 Riemann-Roch, and arithmetic genus
We have seen some powerful uses of Čech cohomology, to prove things about
spaces of global sections, and to prove Serre vanishing. We will now see some
classical constructions come out very quickly and cheaply.
In this section, we will work over a field k. Suppose F is a coherent sheaf on
a projective k-scheme X. Recall the notation (§18.1) hi (X, F ) := dimk Hi (X, F ).
By Theorem 18.1.3, hi (X, F ) is finite. (The arguments in this section will extend
without change to proper X once we have this finiteness for proper morphisms, by
Grothendieck’s Coherence Theorem 18.9.1.) Define the Euler characteristic of F
by
∑X
dim
χ(X, F ) := (−1)i hi (X, F ).
i=0
We will see repeatedly here and later that Euler characteristics behave better than
individual cohomology groups. As one sign, notice that for fixed n, and m ≥ 0,
( )
n+m (m + 1)(m + 2) · · · (m + n)
h0 (Pn
k , O(m)) = = .
m n!
Notice that the expression on the right is a polynomial in m of degree n. (For later
reference, notice also that the leading term is mn /n!.) But it is not true that
(m + 1)(m + 2) · · · (m + n)
k , O(m)) =
h0 (Pn
n!
for all m — it breaks down for m ≤ −n − 1. Still, you can check (using Theo-
rem 18.1.2) that
(m + 1)(m + 2) · · · (m + n)
k , O(m)) =
χ(Pn .
n!
So one lesson is this: if one cohomology group (usually the top or bottom) behaves
well in a certain range, and then messes up, likely it is because (i) it is actually
the Euler characteristic which behaves well always, and (ii) the other cohomology
groups vanish in that certain range.
In fact, we will see that it is often hard to calculate cohomology groups (even
h0 ), but it can be easier calculating Euler characteristics. So one important way of
getting a hold of cohomology groups is by computing the Euler characteristic, and
then showing that all the other cohomology groups vanish. Hence the ubiquity
and importance of vanishing theorems. (A vanishing theorem usually states that a
496 The Rising Sea: Foundations of Algebraic Geometry
certain cohomology group vanishes under certain conditions.) We will see this in
action when discussing curves. (One of the first applications will be ([Link]).)
The following exercise shows another way in which Euler characteristic be-
haves well: it is additive in exact sequences.
18.4.A. E XERCISE . Show that if 0 → F → G → H → 0 is an exact sequence of
coherent sheaves on a projective k-scheme X, then χ(X, G ) = χ(X, F ) + χ(X, H ).
(Hint: consider the long exact sequence in cohomology.) More generally, if
0 / F1 / ··· / Fn /0
is an exact sequence of coherent sheaves, show that
∑
n
(−1)i χ(X, Fi ) = 0.
i=1
(This exercise both generalizes the “exact” case of Exercise 1.6.B — consider the
case where X = Spec k — and uses it in the proof.)
18.4.1. The Riemann-Roch Theorem for line bundles on projective curves.
18.4.B. E SSENTIAL E XERCISE : T HE R IEMANN -R OCH T HEOREM ∑ FOR LINE BUN -
DLES ON A PROJECTIVE CURVE ( FIRST VERSION ). Suppose D = p∈Creg ap [p] is
a divisor on a projective (pure dimension 1) curve C over a field k (where ap ∈ Z,
and all but finitely many ap are 0). Here Creg are the dimension 0 regular points of
C. Define the degree of D by
∑
deg D = ap deg p.
(The degree of a point p was defined in §5.3.8, as the degree of the field extension
of the residue field over k.) Show that
χ(C, OC (D)) = deg D + χ(C, OC )
∑ ∑
by induction on |ap | (where D = ap [p] as above). Hint: to show that χ(C, OC (D)) =
deg p + χ(C, OC (D − p)), tensor the closed subscheme exact sequence ([Link])
0 / OC (−p) / OC / O|p /0
by OC (D), and use additivity of Euler characteristics in exact sequences (Exer-
cise 18.4.A).
As every invertible sheaf L on a regular curve is of the form OC (D) for some
D (see §15.4), this exercise is very powerful.
18.4.2. Important definition: degree of a line bundle on a projective curve (generalized in
§18.4.6). Suppose L is an invertible sheaf on a projective curve C over k. (We
make no assumption on the regularity, or even reducedness, of C!) Define the
degree of L (denoted deg L or degC L ) by
deg L := χ(C, L ) − χ(C, OC ).
18.4.C. I MPORTANT E ASY E XERCISE : DEGREE OF A DIVISOR = DEGREE OF THE
CORRESPONDING LINE BUNDLE . Suppose L is an invertible sheaf on a projective
(pure dimension 1) curve C over k, and let s be a nonzero rational section of L on
April 1, 2023 draft 497
C, which is regular at all singular points of C. Let D be the divisor of zeros and
poles of s: ∑
D := vp (s)[p].
p∈C
Show that deg L = deg D. In particular, the degree of a line bundle on a regular
curve can be computed by counting zeros and poles of any rational section not
vanishing on a component of C.
The next few exercises give useful applications.
18.4.D. E XERCISE . Give a new solution to Exercise 16.3.E (a nonzero rational
function on a projective curve has the same number of zeros and poles, counted
appropriately) using the ideas above.
18.4.E. E XERCISE . Suppose s1 and s2 are two sections of a degree d line bundle
L on an irreducible regular curve C, with no common zeros. Then s1 and s2
determine a morphism π : C → P1k . Show that π is a finite morphism, and that the
degree of π is d. (Translation: a two-dimensional base-point-free degree d linear
system on C defines a degree d finite cover of P1 .)
18.4.F. E XERCISE . If L and M are two line bundles on a regular projective curve C,
show that deg L ⊗ M = deg L + deg M . (Hint: choose nonzero rational sections
of L and M .)
18.4.G. E XERCISE . Suppose π : C → C ′ is a degree d morphism of integral projec-
tive regular curves, and L is an invertible sheaf on C ′ . Show that degC π∗ L =
d degC ′ L . Hint: compute degC ′ L using any nonzero rational section s of L ,
and compute degC π∗ L using the rational section π∗ s of π∗ L . Note that zeros
pull back to zeros, and poles pull back to poles. Depending on your approach,
Exercise 16.3.D might help.
18.4.H. ⋆⋆ E XERCISE ( COMPLEX - ANALYTIC
INTERPRETATION OF DEGREE ; ONLY
FOR THOSE WITH SUFFICIENT ANALYTIC BACKGROUND ). Suppose X is a con-
nected regular projective complex curve. Show that the degree map is the compo-
sition of group homomorphisms
∩[Xan ]
Pic X / Pic Xan c1
/ H2 (Xan , Z) ∼ Z.
/ H0 (Xan , Z) =
Hint: show it for a generator O(p) of the group Pic X, using explicit transition
functions. (The first map was discussed in Exercise 14.2.J. The second map takes
a line bundle to its first Chern class, and can be interpreted as follows. The tran-
sition functions for a line bundle yield a Čech 1-cycle for OX∗ an ; this yields a map
Pic Xan → H1 (Xan , OX∗ an ). Combining this with the map H1 (Xan , OX∗ an ) → H2 (Xan , Z)
from the long exact sequence in cohomology corresponding to the exponential ex-
act sequence ([Link]) yields the first Chern class map.)
18.4.3. Arithmetic genus.
Motivated by geometry (Miracle 18.4.4 below), we define the arithmetic genus
of a dimension n scheme X as pa (X) := (−1)n (χ(X, OX ) − 1). For integral projec-
tive curves over an algebraically closed field, h0 (X, OX ) = 1 (§11.5.7), so pa (X) =
h1 (X, OX ). (In higher dimension, this is a less natural notion.)
498 The Rising Sea: Foundations of Algebraic Geometry
We can restate the Riemann-Roch formula for curves (Exercise 18.4.B) as:
([Link]) h0 (C, L ) − h1 (C, L ) = deg L − pa (C) + 1.
This is the most common formulation of the Riemann-Roch formula.
18.4.4. Miracle. If C is a regular irreducible projective complex curve, then the cor-
responding complex-analytic object, a compact Riemann surface, has a notion called
the genus g, which is (informally speaking) the number of holes (see Figure 18.3).
Miraculously, g = pa in this case (see Exercise 21.7.I), and for this reason, we
will often write g for pa when discussing regular (projective irreducible) curves,
over any field. We will discuss genus further in §18.6.7, when we will be able to
compute it in many interesting cases. (Warning: the arithmetic genus of P1C as an
R-variety is −1!)
F IGURE 18.3. A genus 3 Riemann surface
18.4.5. Degree of a coherent sheaf (e.g., degree of a vector bundle).
Suppose C is an irreducible reduced curve (possibly singular), over a field k.
If F is a coherent sheaf on C, recall (from §14.3.3) that the rank of F , denoted
rank F , is its rank at the generic point of C.
18.4.6. Definition. If C is projective, define the degree of F by
([Link]) deg F = χ(C, F ) − (rank F ) · χ(C, OC ).
The statement ([Link]) is often called Riemann-Roch for coherent sheaves (or
vector bundles) on a projective curve.
If F is an invertible sheaf (or if more generally the rank is the same on each
irreducible component), we can drop the irreducibility hypothesis. This then gen-
eralizes the notion of the degree of a line bundle on a reduced curve in Important
Definition 18.4.2.
18.4.I. E ASY E XERCISE . Show that degree (as a function of coherent sheaves on a
fixed curve C) is additive in exact sequences.
18.4.J. E XERCISE . If F is a torsion sheaf on C, show that deg F ≥ 0, with equality
if and only F = 0.
18.4.K. E XERCISE . If k = k, and F is a torsion sheaf on C, show that deg F =
ℓ(F ). (The length ℓ(F ) of F was defined in §6.5.7.) What goes wrong if k ̸= k?
18.4.L. E XERCISE . If C is a projective curve, and L is an ample line bundle on C,
show that deg L > 0. (Hint: show it if L is very ample.)
18.4.M. E XERCISE . Suppose L is a base-point-free invertible sheaf on a proper
variety X, and hence induces some morphism ϕ : X → Pn . Then L is ample if and
April 1, 2023 draft 499
only if ϕ is finite. (Hint: if ϕ is finite, use Exercise 16.2.G. If ϕ is not finite, show
that there is a curve C contracted by ϕ, using Theorem 18.1.6. Show that L has
degree 0 on C.)
18.4.N. ⋆ E XERCISE . Suppose C is a projective curve over a field k, L is a line
bundle on C, and F is a coherent sheaf on C. Show that χ(L ⊗ F ) − χ(F ) is
the sum over the irreducible components Ci of C of the degree of L on Cred i (the
reduction was defined in §9.4.10) times the length of F at the generic point ηi of
Ci (the length of Fηi as an Oηi -module — length was defined in Definition 6.5.2).
This could reasonably be called Riemann-Roch for nonreduced curves. Hints: (i)
First reduce to the case where F is scheme-theoretically supported on Cred (you
defined the scheme-theoretic support of a finite type quasicoherent sheaf in Exer-
cise 9.1.N), by showing that both sides of the alleged equality are additive in short
exact sequences, and using the filtration
0 = I r F ⊂ I r−1 F ⊂ · · · ⊂ I F ⊂ F
of F , where I is the ideal sheaf cutting out Cred in C. Thus we need only consider
the case where C is reduced. (ii) As C is projective, we can write L =∼ O(∑ nj pj )
where the pj are regular points distinct from the associated points of F . Use this
avatar of L , and perhaps induction on the number of pj .
In fact, all proper curves over k are projective (Remark 18.8.2), so “projective”
can be replaced by “proper” in Exercise 18.4.N. In this guise, we will use Exer-
cise 18.4.N when discussing intersection theory in Chapter 20.
18.4.7. ⋆ Extended example: the universal plane conic has no rational sections.
We use the theory of the degree to get an interesting consequence. We work
over a fixed field k. We consider the following diagram.
cl. emb./ 2 / P2
C G P × P5
GG
GG
GG
GG
#
P5
If the P2 has projective coordinates x0 , x1 , x2 , then P5 has coordinates a00 , a01 ,
a11 , a02 , a12 , a22 , and C is cut out by the single equation
a00 x20 + a01 x0 x1 + · · · + a22 x22 = 0.
We interpret P5 as the parameter space of conics (in P2 ), and C as the universal
conic over P5 (parametrizing a conic C along with a point p ∈ C), which comes
with a canonical projection C → P2 .
18.4.O. E XERCISE . By interpreting C as a P4 -bundle over P2 (with two irreducible
divisors whose complement is an A4 -bundle over A2 ), show that C is a smooth
∼ Z × Z.
sixfold, and that Pic C =
18.4.P. E XERCISE . Fix a line ℓ ⊂ P2 and a k-valued point q ∈ P2 . Let Dℓ be the
divisor on C corresponding to (C, p) with p lying on ℓ. Let Dq be the divisor on C
corresponding to (C, p) with q ∈ C. Using your description of C as a P4 -bundle
over P2 , show that Dℓ and Dq generate Pic C .
500 The Rising Sea: Foundations of Algebraic Geometry
18.4.Q. E XERCISE . Suppose K is a fiber of C → P5 over a point r ∈ P5 — i.e., a
conic in P2 over the field κ(r). Suppose further that neither q nor ℓ are contained
in K. (This hypothesis is unnecessary, but simplifies the problem.) Show that
degK O(Dq ) = 0 and degK O(Dℓ ) = 2. Hence show that if L is any invertible
sheaf on C , then degK (L ) is even.
18.4.R. E XERCISE . Show that there is no rational section to the projection π : C →
P5 . Hint: if there were a regular section over an open subset U of P5 , it would be a
divisor on π−1 (U); let D be its closure in C . Show that D meets any fiber of π over
U in multiplicity 1. Use Exercise 18.4.Q to obtain a contradiction.
We can restate Exercise 18.4.R in the following dramatic way: there is no way
to write down three rational functions X0 , X1 , X2 in a00 , . . . , a22 such that
a00 X20 + a01 X0 X1 + · · · + a22 X22 = 0
without X0 = X1 = X2 = 0.
The question of a rational point on a conic is one of arithmetic. (Think: x2 +
y = z2 .) Our solution was topological. The unification of topology and arithmetic
2
in this example is the beginning of a long and fruitful story in algebraic geometry.
18.4.8. ⋆ Numerical equivalence, the Néron-Severi group, nef line bundles, and
the nef and ample cones.
Suppose X is a proper k-variety, and L is an invertible sheaf on X. If i : C ,→ X
is a one-dimensional closed reduced subscheme of X, define the degree of L on C
by degC L := degC i∗ L . If degC L = 0 for all C, we say that L is numerically
trivial.
18.4.S. E XERCISE .
(a) Show that L is numerically trivial if and only if degC L = 0 for all integral
curves C in X.
(b) Show that if π : X → Y is a proper morphism, and L is a numerically trivial
invertible sheaf on Y, then π∗ L is numerically trivial on X.
(c) Show that L is numerically trivial if and only if L is numerically trivial on
each of the irreducible components of X.
(d) Show that if L and L ′ are numerically trivial, then L ⊗ L ′ and L ∨ are both
numerically trivial.
18.4.9. Numerical equivalence. By part (d), the numerically trivial invertible sheaves
form a subgroup of Pic X, denoted Picτ X. Two lines bundles equivalent modulo
the subgroup of numerically trivial line bundles are called numerically equiva-
lent. A property of invertible sheaves stable under numerical equivalence is said
to be a numerical property. We will see that “nefness” and ampleness are numerical
properties (Definition 18.4.10 and Remark 20.4.2 respectively).
We will later define the Néron-Severi group NS(X) of X as Pic X modulo alge-
braic equivalence (Exercise 24.7.5). (We will define algebraic equivalence once we
have discussed flatness.) The highly nontrivial Néron-Severi Theorem (or The-
orem of the Base) states that NS(X) is a finitely generated group. (The proof is
quite difficult; see [Kl1, p. 334, Prop. 3]. For a simpler proof over C, see [GH1, p.
462].) The group Pic X/ Picτ X is denoted N1 (X). We will see (in §24.7.5) that it is
a quotient of NS(X), so it is also finitely generated. As the group N1 (X) is clearly
April 1, 2023 draft 501
abelian and torsion-free, it is finite free Z-module (by the classification of finitely
generated modules over a principal ideal domain, see §0.3). The rank of N1 (X)
is called the Picard number, and is denoted ρ(X) (although we won’t have need
of this notion, except in our discussion of the Hodge Index Theorem in §20.2.11).
For example, ρ(Pn ) = 1 and ρ((P1 )n ) = n. We define N1Q (X) := N1 (X) ⊗Z Q (so
ρ(X) = dimQ N1Q (X)), and call the elements of this group Q-line bundles, for lack
of any common term in the literature.
18.4.T. ⋆⋆ E XERCISE ( FINITENESS
OF P ICARD NUMBER IN THE COMPLEX CASE ,
ONLY FOR THOSE WITH SUFFICIENT BACKGROUND ). Show (without the Néron-
Severi Theorem) that if X is a complex proper variety, then ρ(X) is finite, by inter-
preting it as a subquotient of H2 (X, Z). Hint: show that the image of (L , C) under
the map H2 (X, Z) × H2 (X, Z) → H0 (X, Z) → Z is degC L . Hint: figure out how to
reduce to the case where C is a smooth projective curve, then use Exercise 18.4.H.
18.4.10. Definition. We say that an invertible sheaf L is numerically effective, or
nef if for all such C, degC L ≥ 0. Clearly nefness is a numerical property.
18.4.U. E ASY E XERCISE ( CF. E XERCISE 18.4.S).
(a) Show that L is nef if and only if degC L ≥ 0 for all integral curves C in X.
(b) Show that if π : X → Y is a proper morphism, and L is a nef invertible sheaf on
Y, then π∗ L is nef on X. (Hint: Exercise 18.4.G will be needed.)
(c) Show that L is nef if and only if L is nef on each of the irreducible components
of X.
(d) Show that if L and L ′ are nef, then L ⊗ L ′ is nef. Thus the nef elements of
Pic X form a semigroup.
(e) Show that ample invertible sheaves are nef.
(f) Suppose n ∈ Z>0 . Show that L is nef if and only if L ⊗n is nef.
18.4.V. E XERCISE . Define what it means for a Q-line bundle to be nef. Show that
the nef Q-line bundles form a closed cone in N1Q (X). This is called the nef cone.
18.4.W. E XERCISE . Describe the nef cones of P2k and P1k ×k P1k . (Notice in the latter
case that the two boundaries of the cone correspond to linear series contracting one
of the P1 ’s. This is true in general: informally speaking, linear series corresponding
to the boundaries of the cone give interesting contractions. Another example will
be given in Exercise 20.2.F.)
It is a surprising fact that whether an invertible sheaf L on X is ample depends
only on its class in N1Q (X), i.e., on how it intersects the curves in X. Because of this
(as for any n ∈ Z≥0 , L is ample if and only if L ⊗n is ample, see Theorem 16.2.2), it
makes sense to define when a Q-line bundle is ample. Then by Exercise 16.2.H, the
ample divisors form a cone in N1Q (X), necessarily contained in the nef cone by Ex-
ercise 18.4.U(e). It turns out that if X is projective, the ample divisors are precisely
the interior of the nef cone. The new facts in this paragraph are a consequence of
Kleiman’s numerical criterion for ampleness, Theorem 20.4.6.
18.5 A first glimpse of Serre duality
502 The Rising Sea: Foundations of Algebraic Geometry
A common version of Riemann-Roch involves Serre duality, which unlike
Riemann-Roch, is hard to prove.
18.5.1. Theorem (Serre duality for smooth projective varieties). — Suppose X is
a geometrically irreducible smooth projective k-variety, of dimension n. Then there is an
invertible sheaf ωX (or simply ω) on X such that
hi (X, F ) = hn−i (X, ωX ⊗ F ∨ )
for all i ∈ Z and all finite rank locally free sheaves F .
The invertible sheaf ωX is an example of a dualizing sheaf, which will be for-
mally defined in §30.1.4. We will see in Chapter 30 that Theorem 18.5.1 is a conse-
quence of a perfect pairing
([Link]) Hi (X, F ) × Hn−i (X, ωX ⊗ F ∨ ) ∼ k,
/ Hn (X, ωX ) =
and that smoothness can be relaxed somewhat.
18.5.2. Further miracle: the sheaf of algebraic volume forms is Serre-dualizing. The in-
vertible sheaf ωX turns out to be the canonical sheaf (or canonical bundle) KX , which
is defined as the determinant of the cotangent bundle ΩX/k of X (see §21.5.3); we
will define the cotangent bundle in Chapter 21. We connect the dualizing sheaf to
the canonical bundle in §30.4; see Desideratum 30.1.1.
18.5.3. Back to Riemann-Roch. For the purposes of restating Riemann-Roch for a
curve C, it suffices to note that h1 (C, L ) = h0 (C, ωC ⊗ L ∨ ). Then the Riemann-
Roch formula can be rewritten as
h0 (C, L ) − h0 (C, ωC ⊗ L ∨ ) = deg L − pa (C) + 1.
18.5.A. E XERCISE ( ASSUMING S ERRE DUALITY ). Suppose C is a geometrically
integral smooth projective curve over k.
(a) Show that h0 (C, ωC ) is the genus g of C. (The genus g, in the guise of the
arithmetic genus pa , was defined in §18.4.3–18.4.4.)
(b) Show that deg ωC = 2g − 2. (Hint: Riemann-Roch for L = ωC .)
∼ O(−2). Moreover,
18.5.4. Example. If C = P1k , Exercise 18.5.A implies that ωC =
we also have a natural perfect pairing (cf. ([Link]))
H0 (P1 , O(n)) × H1 (P1 , O(−2 − n)) ∼ H1 (P1 , O(−2)).
/k=
We can interpret this pairing as follows. If n < 0, both factors on the left are 0,
so we assume n > 0. Then H0 (P1 , O(n)) corresponds to homogeneous degree
n polynomials in x and y, and H1 (P1 , O(−2 − n)) corresponds to homogeneous
degree −2 − n Laurent polynomials in x and y so that the degrees of x and y are
both at most −1 (see Remark 18.3.5). You can quickly check that the dimension
of both vector spaces are n + 1. The pairing is given as follows: multiply the
polynomial by the Laurent polynomial, to obtain a Laurent polynomial of degree
−2. Read off the coefficient of x−1 y−1 . (This works more generally for Pn
A ; see the
discussion after the statement of Theorem 18.1.2.)
18.5.B. E XERCISE ( ASSUMING S ERRE DUALITY ): AMPLE DIVISORS ON A CONNECTED
SMOOTH PROJECTIVE VARIETY ARE CONNECTED . Suppose X is a connected
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smooth projective k-variety of dimension at least 2, and D is an effective ample
divisor. Show that D is connected. Hint: Suppose D = V(s), where s is a section of
an ample invertible sheaf L . Then V(sn ) = V(s) (as vanishing sets, not vanishing
schemes) for all n > 0, so we may replace L with a high power of our choosing.
Use the long exact sequence for 0 → OX (−nD) → OX → OV(sn ) → 0 to show that
for n ≫ 0, h0 (X, OV(sn ) ) = 1. (This may remind you of §11.5.7.)
Once we know that Serre duality holds for Cohen-Macaulay projective schemes
(§30.3), this result will automatically extend to these schemes. (A related result is
Exercise 18.6.U, which doesn’t use Serre duality.) On the other hand, the result is
false if X is the union of two 2-planes in P4 meeting at a point (why?), so this will
imply that this X is not Cohen-Macaulay. (We will show this in another way in
Counterexample 28.2.2.)
18.5.5. ⋆ Classification of vector bundles on P1k .
As promised in Example 17.2.4, we classify the vector bundles on P1k . We
discuss this in §18.5 because you might use Serre duality at one step (although
you might not).
∼ O(a1 )⊕· · ·⊕O(ar ),
18.5.6. Theorem. — If E is a rank r vector bundle on P1k , then E =
for a unique nondecreasing sequence of integers a1 , . . . , ar .
This result was proved independently many times (see for example Dedekind
and Weber’s article [DW, §22]), and is a special case of a theorem of Grothendieck,
[Gr2]. It is sometimes called Grothendieck’s Theorem, because Grothendieck doesn’t
have enough theorems named after him.
18.5.7. For Pnk more generally, the case r = 1 was shown in §15.4.14, but the state-
ment is false for r > 1 and n > 1. A counterexample is given in Exercise 21.4.G,
which shows that it is not even possible to filter the rank two bundle ΩP2 on P2
by line bundles. One true generalization is a theorem of Horrocks, which states
that a finite rank locally free sheaf E on Pn k splits precisely when “all the middle
cohomology of all of its twists is zero” — when Hi (Pn k , E (m)) = 0 for 0 < i < n
and all m ∈ Z. This has the surprising consequence that if n ≥ 2, then a finite
rank locally free sheaf on Pn k splits if and only if its restriction to some previously
chosen 2-plane (P2k ) splits — all of the additional complication turns up already in
dimension 2. See [OSS, §2.3] for more.
Proof. Note that the classification makes no reference to cohomology, but the proof
uses cohomology in an essential way. It is possible to prove Theorem 18.5.6 with
no cohomological machinery (see for example [HM] or [GW, p. 314-5]), or with
more cohomological machinery (see for example [Ha1, Ex. V.2.6]).
18.5.C. E XERCISE . Suppose that E = ∼ O(a1 ) ⊕ · · · ⊕ O(ar ), with a1 ≤ · · · ≤ ar .
Show that the ai can be determined from the numbers dimk Hom(O(m), E ), as m
ranges over the integers. Use this to show the uniqueness part of Theorem 18.5.6.
We now begin the proof, by induction on r. Fix a rank r locally free sheaf E .
The case r = 1 was established in §15.4.14, so we assume r > 1.
504 The Rising Sea: Foundations of Algebraic Geometry
18.5.D. E XERCISE . Show that for m ≪ 0, Hom(O(m), E ) ̸= 0, and that for
m ≫ 0, Hom(O(m), E ) = 0. Hint: show that Hom (O(m), E ) = E (−m) using Ex-
ercise 14.2.G. Use Serre’s Theorem A (Theorem 16.1.4) for the first part. Feel free
to use Serre duality and Serre vanishing for the second part. But you may prefer
to come up with an argument without Serre duality, to avoid invoking something
we have not yet proved.
Thus there is some ar for which dim Hom(O(ar ), E ) > 0, but for which Hom(O(m), E ) =
0 for all m > ar . Choose a nonzero map ϕ : O(ar ) → E .
18.5.E. E XERCISE . Show that ϕ is an injection. (Hint: O(ar ) is torsion-free, and
thus the kernel is torsion-free.)
18.5.F. E XERCISE . Let F be the cokernel of ϕ. Show that F is locally free. Hint:
Exercise 14.3.G(c) gives an exact sequence 0 → Ftors → F → Flf → 0, where Flf is
locally free. Let L be the kernel of the surjection E → Flf . Show that L is locally
free, and thus is isomorphic to O(N) for some N. Show that there is a nonzero
map ϕ ′ : O(ar ) → O(N). Show (using the same idea as the previous exercise) that
this nonzero map ϕ ′ must be an injection, so ar ≤ N. Show that N ≤ ar because
there is a nonzero map O(N) → E (recall how ar was chosen). Show that ϕ ′ is an
isomorphism, and thus that F = Flf .
By our inductive hypothesis, we have F = O(a1 ) ⊕ · · · ⊕ O(ar−1 ), where
a1 ≤ · · · ≤ ar−1 , so we have a short exact sequence
([Link]) 0 / O(ar ) /E / O(a1 ) ⊕ · · · ⊕ O(ar−1 ) / 0.
We next show that ar ≥ ai for i < r. We are motivated by the fact that for a
quasicoherent sheaf G on P1 ,
HomP1 (O(ar + 1), G ) = H0 (P1 , G (−ar − 1))
(Exercise 14.2.G). Tensor ([Link]) with O(−ar − 1) (preserving exactness, by Exer-
cise 14.2.F), and take the long exact sequence in cohomology. Part of the long exact
sequence is
H0 (P1 , E (−ar − 1)) / H0 (P1 , F (−ar − 1)) / H1 (P1 , O(−1)).
Notice that H0 (P1 , E (−ar − 1)) = 0 (as Hom(O(ar + 1), E ) = 0, by the definition
of ar ), and H1 (P1 , O(−1)) = 0 (Theorem 18.1.2(b)). Thus
0 = H0 (P1 , F (−ar − 1))
= H0 (P1 , ⊕i O(ai − ar − 1))
= ⊕i H0 (P1 , O(ai − ar − 1)).
Hence ai − ar − 1 < 0 (by Exercise 15.1.A), so ar ≥ ai as desired.
Finally, we wish to show that exact sequence ([Link]) expresses E as a direct
sum (of the subsheaf and quotient sheaf). For simplicity, we focus on the case
r = 2, and return to the general case in Exercise 18.5.I.
April 1, 2023 draft 505
18.5.G. E XERCISE . Show that the transition functions for the vector bundle, in
appropriate coordinates, are given by
( −a )
t 2 α(t)
,
0 t−a1
where α(t) is a Laurent polynomial in t. Hint/reminder: Recall that all vector
bundles on A1k are trivial, Exercise 14.2.N. Transition matrices for extensions of
one vector bundle (with known transition matrices) by another were discussed in
Exercise 14.2.R.
18.5.H. E XERCISE . Implicit in the above 2×2 matrix is a choice of a basis of a rank 2
free module M over the ring k[t] corresponding to one of the standard affine open
subsets Spec k[t], and a rank 2 free module M ′ over the ring k[1/t] over the other
standard open subset. Show that by an appropriate “upper-triangular” change
of basis of M, you can arrange for α(t) to have no monomials of degree ≥ −a2 .
Show that by an appropriate “upper-triangular” change of basis of M ′ , you can
arrange for α(t) to have no monomials of degree ≤ −a1 . Thus by choosing bases
of M and M ′ appropriately, we can take α(t) = 0. Show that this implies that
E = O(a1 ) ⊕ O(a2 ).
18.5.I. E XERCISE . Finish the proof of Theorem 18.5.6 for arbitrary r. Hint: there
are no new ideas beyond the case r = 2.
□
18.6 Hilbert functions, Hilbert polynomials, and genus
If F is a coherent sheaf on a projective k-scheme X ⊂ Pn , define the Hilbert
function of F by
hF (m) := h0 (X, F (m)).
Note that the Hilbert function depends on the projective embedding of X (by way
of its line bundle), although this is dependency is suppressed in the [Link]
Hilbert function of X is the Hilbert function of the structure sheaf. The ancients
were aware that the Hilbert function is “eventually polynomial”, i.e., for large
enough m, it agrees with some polynomial. This polynomial contains lots of inter-
esting geometric information, as we will soon see. In modern language, we expect
that this “eventual polynomiality” arises because the Euler characteristic should
be a polynomial, and that for m ≫ 0, the higher cohomology vanishes. This is
indeed the case, as we now verify.
18.6.1. Theorem. — If F is a coherent sheaf on a projective k-scheme X ,→ Pn k,
χ(X, F (m)) is a polynomial of degree equal to dim Supp F . Hence by Serre vanish-
ing (Theorem 18.1.3 (ii)), for m ≫ 0, h0 (X, F (m)) is a polynomial pF (m) of degree
dim Supp F . In particular, for m ≫ 0, h0 (X, OX (m)) is polynomial with degree equal
to dim X.
18.6.2. Definition. The polynomial pF (m) defined in Theorem 18.6.1 is called the
Hilbert polynomial. If X ⊂ Pn is a projective k-scheme, define pX (m) := pOX (m).
506 The Rising Sea: Foundations of Algebraic Geometry
18.6.3. In Theorem 18.6.1, OX (m) is the restriction or pullback of OPnk (m). Both
the degree of the 0 polynomial and the dimension of the empty set are defined
to be −1. In particular, the only coherent sheaf with Hilbert polynomial 0 is the
zero-sheaf.
This argument uses the notion of associated points of a coherent sheaf on a lo-
cally Noetherian scheme, §6.6.2. (The resolution given by the Hilbert Syzygy The-
orem, §16.1.2, can give a shorter proof; but we haven’t proved the Hilbert Syzygy
Theorem.)
Proof. Define pF (m) = χ(X, F (m)). We will show that pF (m) is a polynomial of
the desired degree.
We first use Exercise 18.2.H to reduce to the case where k is algebraically
closed, and in particular infinite. (This is one of those cases where even if you
are concerned with potentially arithmetic questions over some non-algebraically
closed field like Fp , you are forced to consider the “geometric” situation where the
base field is algebraically closed.)
The coherent sheaf F has a finite number of associated points (§6.6.17). We
show a useful fact that we will use again.
18.6.A. E XERCISE . Suppose X is a projective k-scheme with k infinite, and F is
a coherent sheaf on X. Show that if L is a very ample invertible sheaf on X, then
there is an effective Cartier divisor D on X with L =∼ O(D), and where D does not
meet the associated points of F . (Hint: show that given any finite set of points of
Pnk , there is a hyperplane not containing any of them. This is a variant of the key
step in Exercise 12.3.C(c).)
Thus there is a hyperplane x = 0 (x ∈ Γ (X, O(1))) missing this finite number
of points. (This is where we use the infinitude of k.)
×x
Then the map F (−1) / F is injective. (On any affine open subset F
corresponds to a module, and x is not a zerodivisor on that module, as it doesn’t
vanish at any associated point of that module, see Proposition 6.6.13.) Thus we
have a short exact sequence
([Link]) 0 / F (−1) /F /G /0
where G is a coherent sheaf.
Now Supp G = (Supp F )∩V(x). (Reason: Exercise 6.6.D gives the affine/module
version of this statement.) Hence V(x) meets all positive-dimensional components
of Supp F (Exercise 12.3.C(a)), so dim Supp G = dim Supp F − 1 by Krull’s Princi-
pal Ideal Theorem 12.3.3 unless F = 0 (in which case we already know the result,
so assume this is not the case).
Twisting ([Link]) by O(m) yields
0 / F (m − 1) / F (m) / G (m) /0
Euler characteristics are additive in exact sequences (Exercise 18.4.A), from which
pF (m)−pF (m−1) = pG (m). Now pG (m) is a polynomial of degree dim Supp F −
1.
The result is then a consequence from the following elementary fact about
polynomials in one variable.
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18.6.B. E XERCISE . Suppose f and g are functions on the integers, f(m + 1) −
f(m) = g(m) for all m, and g(m) is a polynomial of degree d ≥ 0. Show that f is a
polynomial of degree d + 1.
□
(m+n)
Example 1. The Hilbert polynomial of projective space is pPn (m) = m ,
where we interpret this as the polynomial (m + 1) · · · (m + n)/n!.
Example 2. Suppose H is a degree d hypersurface in Pn , with i : H ,→ Pn the
closed embedding. Then from the closed subscheme exact sequence
0 / OPn (−d) / OPn / i∗ OH / 0,
we have
( ) ( )
m+n m+n−d
([Link]) pH (m) = pPn (m) − pPn (m − d) = − .
n n
∼ i∗ (OH ⊗ i∗ OPn (m)).
(Implicit in this argument is the fact that (i∗ OH ) ⊗ OPn (m) =
This follows from the projection formula, Exercise 14.5.L(b). You can also show
this directly with transition functions.)
18.6.C. E XERCISE . Show that the twisted cubic (P1 embedded in P3 by the com-
plete linear series |OP1 (3)|) has Hilbert polynomial 3m + 1. (The twisted cubic was
defined in Exercise 9.3.A.)
18.6.D. E XERCISE . More generally, find the Hilbert polynomial for the dth Veronese
embedding of Pn (i.e., the closed embedding of Pn in a bigger projective space by
way of the line bundle O(d), §9.3.6).
18.6.E. E XERCISE ( TO BE USED SEVERAL TIMES IN C HAPTER 19). Suppose
/ Y
X / Pn
i
k
is a sequence of closed embeddings.
(a) Show that pX (m) ≤ pY (m) for m ≫ 0. Hint: let IX/Y be the ideal sheaf of X in
Y. Consider the exact sequence
0 / IX/Y (m) / OY (m) / i∗ OX (m) / 0.
(b) If pX (m) = pY (m) for m ≫ 0, show that X = Y. Hint: Show that if the Hilbert
polynomial of a coherent sheaf F is 0, then F = 0. (Handy trick: For m ≫ 0,
F (m) is generated by global sections.) Apply this to F = IX/Y .
From the Hilbert polynomial, we can extract many invariants, of which two
are particularly important. The first is the degree, and the second is the arithmetic
genus (§18.6.7). The degree of a projective k-scheme of dimension n is defined to
be leading coefficient of the Hilbert polynomial (the coefficient of mn ) times n!.
Using the examples above, we see that the degree of Pn in itself is 1. The
degree of the twisted cubic is 3.
18.6.F. E XERCISE . Show that the degree is always an integer. Hint: by induction,
show that any polynomial in m of degree k taking on only integer values must
have coefficient of mk an integral multiple of 1/k!. Hint for this: if f(x) takes on
508 The Rising Sea: Foundations of Algebraic Geometry
only integral values and is of degree k, then f(x + 1) − f(x) takes on only integral
values and is of degree k − 1.
18.6.G. E XERCISE . Show that the degree of a degree d hypersurface (Defini-
tion 9.3.2) is d (preventing a notational crisis).
18.6.H. E XERCISE ( DEGREE = DEGREE ). Suppose a regular curve C is embedded in
projective space via an invertible sheaf of degree d (as defined in §18.4.5). In other
words, this line bundle determines a closed embedding. Show that the degree of
C under this embedding is d, preventing another notational crisis. (A similar nota-
tional crisis was averted in Exercise 18.4.E.) Hint: Riemann-Roch, Exercise 18.4.B.
(The hypothesis of regularity is not necessary. It is only included to make this
exercise easier.)
18.6.I. E XERCISE . Show that the degree of the dth Veronese embedding of Pn is
dn .
18.6.J. E XERCISE (B ÉZOUT ’ S T HEOREM , GENERALIZING E XERCISES 9.3.D AND 15.2.L).
Suppose X ⊂ Pn k is a projective scheme of dimension at least 1, and H is a hyper-
surface not containing any associated points of X. (For example, if X is reduced
and thus has no embedded points, we are just requiring H not to contain any irre-
ducible components of X.) Show that deg(H ∩ X) = (deg H)(deg X).
18.6.4. Bézout’s Theorem for plane curves. As a consequence, we have Bézout’s The-
orem for plane curves: if C and D are plane curves of degrees m and n respectively,
with no common components, then C and D meet at mn points, counted with
appropriate multiplicity. (To apply Exercise 18.6.J, you need to know that plane
curves have no embedded points. You can either do this using Exercise 6.6.F, or
by assuming that one of the curves is reduced.) The notion of multiplicity of inter-
section is just the degree of the intersection as a k-scheme.
18.6.K. E XERCISE . Suppose C is a degree 1 curve in P3k (or more precisely, a degree
1 pure-one-dimensional closed subscheme of P3k , with no embedded points). Show
that C is a line. Hint: reduce to the case k = k. Suppose p and q are distinct closed
points on C. Use Bézout’s Theorem (Exercise 18.6.J) to show that any hyperplane
containing p and q must contain C, and thus that C ⊂ pq.
18.6.L. F UN E XERCISE . Let k be a field, which we assume to be algebraically
closed for convenience (although you are free to remove this hypothesis if you
wish). Suppose C is a degree d integral curve in PN k with N ≥ d. Show that C is
contained in a linear Pdk ⊂ P N
k . (Exercise 18.6.K is not quite a special case of this
problem, but the hint may still be helpful.)
18.6.M. E XERCISE ( ANOTHER FORM OF B ÉZOUT ’ S T HEOREM ). Classically, the
degree of a complex projective variety of dimension n was defined as follows. We
slice the variety with n generally chosen hyperplanes. Then the intersection will
be a finite number of reduced points, by Exercise 13.4.B (a consequence of Bertini’s
Theorem 13.4.2). The degree is this number of points. Use Bézout’s Theorem to
make sense of this in a way that agrees with our definition of degree.
April 1, 2023 draft 509
Thus the classical definition of the degree, which involved making a choice
and then showing that the result is independent of choice, has been replaced by
making a cohomological definition involving Euler characteristics. This should
remind you of how we got around to “correctly” understanding the degree of a
line bundle. It was traditionally defined as the degree of a divisor of any nonzero
rational section (Important Exercise 18.4.C), and we found a better definition in
terms of Euler characteristics (§18.4.5).
18.6.5. ⋆⋆ Aside: Connection to the topological definition of degree (for those with suffi-
cient background). Another definition of degree of a dimension d complex projective
variety X ⊂ Pn C is as the number d such that [X] is d times the “positive” genera-
tor of H2d (PnC Z). You can show this by induction on d as follows. Suppose X is
,
a complex projective variety of dimension d. For a generally chosen hyperplane,
H ∩ X is a complex projective variety of (complex) dimension d − 1. (Do you see
why?) Show that [H∩X] = c1 (O(1))∪[X] in H2(d−1) (X, Z), by suitably generalizing
the solution to Exercise 18.4.H. (A further generalization is given in §20.1.7.) For
this reason, c1 (O(1)) is often called the “hyperplane class”.
18.6.6. Revisiting an earlier example. We revisit the enlightening example of Exam-
ple 10.3.4 and §16.3.9: let k = Q, and consider the parabola x = y2 . We intersect it
with the four lines, x = 1, x = 0, x = −1, and x = 2, and see that we get 2 each time
(counted with the same convention as with the last time we saw this example).
If we intersect it with y = 2, we only get one point — but that’s because this
isn’t a projective curve, and we really should be doing this intersection on P2k , and
in this case, the conic meets the line in two points, one of which is “at ∞”.
18.6.N. E XERCISE . Show that the degree of the d-fold Veronese embedding of
Pn is dn in a different way from Exercise 18.6.I as follows. Let vd : Pn → PN be
the Veronese embedding. To find the degree of the image, we intersect it with
n hyperplanes in PN (scheme-theoretically), and find the number of intersection
points (counted with multiplicity). But the pullback of a hyperplane in PN to Pn is
a degree d hypersurface. Perform this intersection in Pn , and use Bézout’s theorem
(Exercise 18.6.J).
18.6.O. E XERCISE ( DEGREE IS ADDITIVE FOR UNIONS ). Suppose X and Y are
two d-dimensional closed subschemes of Pnk , with no d-dimensional irreducible
components in common. Show that deg X ∪ Y = deg X + deg Y.
18.6.7. Arithmetic genus, again.
There is another central piece of information residing in the Hilbert polyno-
mial. Notice that pX (0) = χ(X, OX ) is an intrinsic invariant of the scheme X, inde-
pendent of the projective embedding. It has the same information as the arithmetic
genus (−1)dim X (χ(X, OX ) − 1) (§18.4.3).
Imagine how amazing this must have seemed to the ancients: they defined
the Hilbert function by counting how many “functions of various degrees” there
are; then they noticed that when the degree gets large, it agrees with a polynomial;
and then when they plugged 0 into the polynomial — extrapolating backwards, to
where the Hilbert function and Hilbert polynomials didn’t agree — they found a
magic invariant! Furthermore, in the case when X is a complex curve, this invari-
ant was basically the topological genus!
510 The Rising Sea: Foundations of Algebraic Geometry
We can now see a large family of curves over an algebraically closed field that
is provably not P1 ! Note that the Hilbert polynomial of P1 is (m + 1)/1 = m + 1,
so χ(OP1 ) = 1. Suppose C is a degree d curve in P2 . Then the Hilbert polynomial
of C is
pP2 (m) − pP2 (m − d) = (m + 1)(m + 2)/2 − (m − d + 1)(m − d + 2)/2.
Plugging in m = 0 gives us −(d2 − 3d)/2. Thus when d > 2, we have a curve that
cannot be isomorphic to P1 ! (And it is not hard to show that there exists a regular
degree d curve, Exercise 13.3.E.)
Now from 0 → OP2 (−d) → OP2 → OC → 0, using h1 (P2 , OP2 (−d)) = 0, we
have that h0 (C, OC ) = 1. As h0 − h1 = χ, we have
([Link]) h1 (C, OC ) = (d − 1)(d − 2)/2.
We now revisit an interesting question we first saw in §7.5.10. If k is an alge-
braically closed field, is every finitely generated transcendence degree 1 extension
of k isomorphic to k(x)? In that section, we found ad hoc (but admittedly beauti-
ful) examples showing that the answer is “no”. But we now have a better answer.
The question initially looks like an algebraic question, but we now recognize it as a
fundamentally geometric one. There is an integer-valued cohomological invariant
of such field extensions that has good geometric meaning: the genus.
Equation ([Link]) yields examples of curves of genus 0, 1, 3, 6, . . . (corresponding
to degree 1 or 2, 3, 4, 5, . . . ). This begs some questions, such as: are there curves of
other genera? (We will see soon, in §19.5.5, that the answer is yes.) Are there other
genus 0 curves? (Not if k is algebraically closed, but sometimes yes otherwise —
consider x2 +y2 +z2 = 0 in P2R , which has no R-points and hence is not isomorphic
to P1R — we will discuss this more in §19.3.) Do we have all the curves of genus 3?
(Almost all, but not quite. We will see more in §19.7.) Do we have all the curves of
genus 6? (We are missing “most of them”, as will be suggested by §19.8.3.)
18.6.8. Caution. The Euler characteristic of the structure sheaf is an incomplete in-
variant. We will now see that it doesn’t always distinguish between isomorphism
classes of irreducible smooth projective varieties.
18.6.P. E XERCISE . If a hypersurface X ⊂ Pn
k has degree ≤ n, show that χ(X, OX ) =
1.
Thus for example if X = P1k × P1k , then χ(X, OX ) = 1, as X an be described
as a quadric surface in P3k . Then P2k and P1k × P1k both have structure sheaf Euler
characteristic 1 (see Theorem 18.1.2 for the case of P2k ), but are not isomorphic —
∼ Z (§15.4.14) while Pic(P1 × P1 ) =
Pic P2k = ∼ Z ⊕ Z (Exercise 15.4.Q).
k k
18.6.9. Complete intersections in Pnk . Recall that a codimension r complete inter-
section in Pn
k is the complete intersection of r hypersurfaces in Pk (§9.5.8), which
n
by Krull’s Height Theorem 12.3.10 has pure codimension r.
18.6.Q. E XERCISE . Suppose X is a dimension m complete intersection in PN
k . Show
that hi (X, OX (n)) = 0 for 0 < i < m.
18.6.R. E XERCISE . Find the genus of the complete intersection of two quadric
surfaces in P3k .
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18.6.S. E XERCISE . More generally, find the genus of the complete intersection of a
degree m surface with a degree n surface in P3k . (If m = 2 and n = 3, you should
get genus 4. We will see in §19.8 that in some sense most genus 4 curves arise in
this way. Note that Bertini’s Theorem 13.4.2 ensures that there are regular curves
of this form.)
18.6.T. E XERCISE . Show that the rational normal curve of degree d in Pd is not a
complete intersection if d > 2. (Hint: If it were the complete intersection of d − 1
hypersurfaces, what would the degree of the hypersurfaces be? Why could none
of the degrees be 1?)
18.6.U. E XERCISE ( POSITIVE - DIMENSIONAL COMPLETE INTERSECTIONS ARE CON -
NECTED , CF. E XERCISE 18.5.B). Show that complete intersections in Pn
k of positive
dimension are connected. Hint: show that h0 (X, OX ) = 1. (This argument will
even show that they are geometrically connected, defined in §10.5.1, as h0 is pre-
served by field extension, see Exercise 18.2.H.)
Notice that this statement does not require X to be reduced, so for example this
implies that that if X is the scheme cut out by x2 = 0 in P2k , then h0 (X, OX ) = 1 —
there are no nonzero nilpotentent functions, even though there are local functions
that are nonzero and nilpotent! This example came up earlier in §5.2.3 and §11.5.7.
18.6.V. E XERCISE . Show that the union of two planes in P4 meeting at a point is
not a complete intersection. Hint: it is connected, but you can slice with another
hyperplane and get something not connected (see Exercise 18.6.U).
18.7 Higher pushforward (or direct image) sheaves
Cohomology groups were defined for X → Spec A where the structure mor-
phism is quasicompact and separated; for any quasicoherent F on X, we defined
Hi (X, F ). We will now define a “relative” version of this notion, for quasicom-
pact and separated morphisms π : X → Y: for any quasicoherent F on X, we will
define Ri π∗ F , a quasicoherent sheaf on Y. (Now would be a good time to do
Exercise 1.6.I, the FHHF Theorem, if you haven’t done it before.)
We have many motivations for doing this. In no particular order:
(1) It “globalizes” what we did before with cohomology.
(2) If 0 → F → G → H → 0 is a short exact sequence of quasicoherent
sheaves on X, then we know that 0 → π∗ F → π∗ G → π∗ H is exact, and
higher pushforwards will extend this to a long exact sequence.
(3) We will later see that this will show how cohomology groups vary in fam-
ilies, especially in “nice” situations. Intuitively, if we have a nice family
of varieties, and a family of sheaves on them, we could hope that the co-
homology varies nicely in families, and in fact in “nice” situations, this
is true. (As always, “nice” usually means “flat”, whatever that means.
We will see that Euler characteristics are locally constant in proper flat
families in §24.7, and the Cohomology and Base Change Theorem 26.1.6
will show that in particularly good situations, dimensions of cohomology
groups are constant.)
512 The Rising Sea: Foundations of Algebraic Geometry
All of the important properties of cohomology described in §18.1 will carry over
to this more general situation. Best of all, there will be no extra work required.
In the notation Ri π∗ F for higher pushforward sheaves, the “R” stands for
“right derived functor”, and corresponds to the fact that we get a long exact se-
quence in cohomology extending to the right (from the 0th terms). In Chapter 23,
we will see that in good circumstances, if we have a left-exact functor, there is a
long exact sequence going off to the right, in terms of right derived functors. Sim-
ilarly, if we have a right-exact functor (e.g., if M is an A-module, then ⊗A M is a
right-exact functor from the category of A-modules to itself), there may be a long
exact sequence going off to the left, in terms of left derived functors.
Suppose π : X → Y, and F is a quasicoherent sheaf on X. For each Spec A ⊂ Y,
we have A-modules Hi (π−1 (Spec A), F ). We now show that these patch together
to form a quasicoherent sheaf, in the sense of §6.2.3. We need check only one fact:
that this behaves well with respect to taking distinguished open sets. In other
words, we must check that for each f ∈ A, the natural map
Hi (π−1 (Spec A), F ) / Hi (π−1 (Spec Af ), F )
(induced by the map of spaces in the opposite direction — Hi is contravariant in
the space) is precisely the localization ⊗A Af . But this can be verified easily: let
{Ui } be an affine open cover of π−1 (Spec A). We can compute Hi (π−1 (Spec A), F )
using the Čech complex ([Link]). But this induces a cover of π−1 (Spec Af ) in a
natural way: if Ui = Spec Ai is an affine open subset of π−1 (Spec A), we define
Ui′ := Spec(Ai )π♯ f . The resulting Čech complex for Spec Af is the localization of
the Čech complex for Spec A. As taking cohomology of a complex commutes with
localization (as discussed in the FHHF Theorem, Exercise 1.6.I), we have defined
a quasicoherent sheaf on Y by the characterization of quasicoherent sheaves in
§6.2.3.
Define the ith higher pushforward sheaf or the ith higher direct image sheaf
Ri π∗ F to be this quasicoherent sheaf.
Caution: Although when U ⊂ Y is an affine open subset, H0 (U, R• π∗ F ) =
• −1
H (π (U), F ), this is not true for open subsets U ⊂ Y in general. You might later
try to construct an example of this behavior.
18.7.1. Theorem. — Suppose π : X → Y is a quasicompact separated morphism of
schemes. Then:
(a) Ri π∗ is a covariant functor QCohX → QCohY .
(b) We can identify R0 π∗ with π∗ F .
(c) (the long exact sequence of higher pushforward sheaves) A short exact
sequence 0 → F → G → H → 0 of sheaves on X induces a long exact
sequence
([Link]) 0 / R0 π∗ F / R0 π∗ G / R0 π∗ H /
R1 π∗ F / R1 π∗ G / R1 π∗ H / ···
of sheaves on Y.
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(d) (projective pushforwards of coherent are coherent: Grothendieck’s Coherence The-
orem for projective morphisms) If π is a projective morphism and OY is coherent
on Y (this hypothesis is automatic for Y locally Noetherian), and F is a coherent
sheaf on X, then for all i, Ri π∗ F is a coherent sheaf on Y.
18.7.2. Unimportant Remark. If X and Y are Noetherian, the hypotheses “quasicom-
pact and separated” on π can be removed; see Unimportant Remark 23.5.8 for the
“separated” hypothesis.
18.7.3. Proof of Theorem 18.7.1. We first show covariance: if F → G is a morphism
of quasicoherent sheaves on X, we define a map Ri π∗ F → Ri π∗ G . (It will be
clear we will have shown that Ri π∗ is a functor.) It suffices to define this map on
the “distinguished affine base” of Y (Definition 6.2.1). Thus it suffices to show the
following: if X ′ is a quasicompact separated A-scheme, and F → G is a morphism
of quasicoherent sheaves on X, then the map Hi (X ′ , F ) → Hi (X ′ , G ) constructed
in §18.2 (property (i) of §18.1) “commutes with localization at f ∈ A”. But this was
shown in Exercise 18.2.D.
In a similar way, we construct the connecting homomorphism Ri π∗ H →
R π∗ F in the long exact sequence ([Link]), by showing that the construction
i+1
in the case where Y = Spec A “commutes with localization at f ∈ A”. Again, this
was shown in Exercise 18.2.D.
It suffices to check all other parts of this statement on affine open subsets of Y,
so they all follow from the analogous statements in Čech cohomology (§18.1). □
The following result is handy, and essentially immediate from our definition.
18.7.A. E ASY E XERCISE . Show that if π is affine, then for i > 0, Ri π∗ F = 0.
18.7.4. How higher pushforwards behave with respect to base change.
18.7.B. E XERCISE ( HIGHER PUSHFORWARDS AND BASE CHANGE ).
(a) (the push-pull map for cohomology) Suppose ψ : Y ′ → Y is any morphism, and
π : X → Y is quasicompact and separated. Suppose F is a quasicoherent sheaf on
X. Let
ψ′
([Link]) X′ /X
π′ π
Y′
ψ
/Y
be a Cartesian diagram. Describe a natural morphism
ψ∗ (Ri π∗ F ) / Ri π∗′ (ψ ′ )∗ F
of quasicoherent sheaves on Y ′ . (Hint: the FHHF Theorem, Exercise 1.6.I.) Show
that the i = 0 case is the push-pull map of Exercise 14.5.K.
(b) (cohomology commutes with affine flat base change) If ψ : Y ′ → Y is an affine mor-
phism, and for a cover Spec Ai of Y, where ψ−1 (Spec Ai ) = Spec Bi , Bi is a flat
Ai -algebra (§1.6.12: ⊗Ai Bi is exact), and the diagram in (a) is a Cartesian dia-
gram, show that the natural morphism of (a) is an isomorphism. (Exercise 18.2.H
was a special case of this exercise. You can likely generalize this to non-affine
514 The Rising Sea: Foundations of Algebraic Geometry
morphisms — and thus show that cohomology commutes with flat base change
(Theorem 24.2.9) — but we wait until Chapter 24 to discuss flatness at length.)
18.7.C. E XERCISE ( CF. E XERCISE 14.5.K). Prove Exercise 18.7.B(a) without the hy-
pothesis that ([Link]) is a Cartesian diagram, but adding the requirement that
π ′ is quasicompact and separated (just so our definition of Ri π∗′ applies). In the
course of the proof, you will see a map arising in the Leray spectral sequence (The-
orem 23.4.5). (Hint: use Exercise 18.7.B(a).)
A useful special case of Exercise 18.7.B(a) is the following.
18.7.D. E XERCISE . If q ∈ Y, describe a natural morphism (Ri π∗ F ) ⊗ κ(q) →
Hi (π−1 (q), F |π−1 (q) ). (See §14.5.9 for the case i = 0.) Be sure you understand the
meaning of the left side! Hint: the FHHF Theorem, Exercise 1.6.I.
Thus the fiber of the pushforward may not be the cohomology of the fiber, but
at least it always maps to it. We will later see that in good situations this map is an
isomorphism, and thus the higher pushforward sheaf indeed “patches together”
the cohomology on fibers (the Cohomology and Base Change Theorem 26.1.6).
18.7.E. E XERCISE ( PROJECTION FORMULA , GENERALIZING E XERCISE 14.5.L). Sup-
pose π : X → Y is quasicompact and separated, and F and G are quasicoherent
sheaves on X and Y respectively.
FC π∗ G
CC {{
CC {{
CC
CC {{{
{
π∗ FC X G
CC {{
CC {{
CC {{
C {{{
Y
(a) Describe a natural morphism
(Ri π∗ F ) ⊗ G / Ri π∗ (F ⊗ π∗ G ).
(Hint: the FHHF Theorem, Exercise 1.6.I.)
(b) If G is locally free, show that this natural morphism is an isomorphism.
The following fact uses the same trick as Theorem 18.1.6 and Exercise 18.1.B.
18.7.5. Theorem (relative dimensional cohomology vanishing). — If π : X → Y is
a projective morphism and Y is locally Noetherian (or more generally OY is coherent over
itself), then the higher pushforwards vanish in degree higher than the maximum dimension
of the fibers.
This is false without the projective hypothesis (see Example 18.7.6 below). In
particular, you might hope that just as dimensional cohomology vanishing general-
ized from projective varieties to quasiprojective varieties or more general settings
(§18.2.7) that relative dimensional cohomology vanishing would generalize from
projective morphisms to quasiprojective morphisms, but this is not the case.
18.7.6. Example. Consider the open embedding π : An
k − {0} → Ak for n > 1. From
n
§, R n−1
π∗ OAnk −{0} ̸= 0.
April 1, 2023 draft 515
Proof of Theorem 18.7.5. Let m be the maximum dimension of all the fibers.
The question is local on Y, so we will show that the result holds near a point p
of Y. We may assume that Y is affine, and hence that X ,→ Pn Y.
Let k be the residue field at p. Then π−1 (p) is a projective k-scheme of dimen-
sion at most m. By Exercise 12.3.C we can find affine open sets D(f1 ), . . . , D(fm+1 )
that cover π−1 (p). In other words, the intersection of the V(fi ) does not intersect
π−1 (p).
If Y = Spec A and p = [p] (so k = Ap /pAp ), then arbitrarily lift each fi from
an element of k[x0 , . . . , xn ] to an element fi′ of Ap [x0 , . . . , xn ]. Let F be the prod-
uct of the denominators of the fi′ ; note that F ∈ / p, i.e., p = [p] ∈ D(F). Then
fi′ ∈ AF [x0 , . . . , xn ]. The intersection of their zero loci ∩i V(fi′ ) ⊂ Pn AF is a closed
subscheme of Pn AF . Intersect it with X to get another closed subscheme of PnAF .
Take its image under π; as projective morphisms are closed, we get a closed subset
of D(F) = Spec AF . But this closed subset does not include p; hence we can find
an affine open neighborhood Spec B of p in Y missing the image. But if fi′′ are the
restrictions of fi′ to B[x0 , . . . , xn ], then D(fi′′ ) cover π−1 (Spec B); in other words,
π−1 (Spec B) is covered by m + 1 affine open sets, so by affine cover cohomology
vanishing (Property (vi) of §18.1), its cohomology vanishes in degree at least m + 1.
But the higher direct image sheaf is computed using these cohomology groups,
hence the higher pushforward sheaf Ri π∗ F vanishes on Spec B too. □
18.7.F. E XERCISE ( RELATIVE S ERRE VANISHING , CF. T HEOREM 18.1.3( II )). Sup-
pose π : X → Y is a proper morphism of Noetherian schemes, and L is a π-ample
invertible sheaf on X. Show that for any coherent sheaf F on X, for m ≫ 0,
Ri π∗ (F ⊗ L ⊗m ) = 0 for all i > 0.
18.8 ⋆ Serre’s cohomological characterization of ampleness
Theorem 16.2.2 gave a number of characterizations of ampleness, in terms of
projective geometry, global generation, and the Zariski topology. Here is another
characterization, this time cohomological, under Noetherian hypotheses. Because
(somewhat surprisingly) we won’t use this result, this section is starred.
18.8.1. Theorem (Serre’s cohomological criterion for ampleness). — Suppose A
is a Noetherian ring, X is a proper A-scheme, and L is an invertible sheaf on X. Then the
following are equivalent.
(a-c) The invertible sheaf L is ample on X (over A).
(e) For all coherent sheaves F on X, there is an n0 such that for n ≥ n0 , Hi (X, F ⊗
L ⊗n ) = 0 for all i > 0.
The label (a-c) is intended to reflect the statement of Theorem 16.2.2. We avoid
the label (d) because it appeared in Theorem 16.2.6. (Aside: the “properness” as-
sumption cannot be removed, see Example 18.7.6.) Before getting to the proof, we
motivate this result by giving some applications. (As a warm-up, you can give a
second solution to Exercise 16.2.G in the Noetherian case, using the affineness of
π to show that Hi (X, F ⊗ (π∗ L )⊗m ) = Hi (Y, (π∗ F ) ⊗ L ⊗m ).)
516 The Rising Sea: Foundations of Algebraic Geometry
18.8.A. E XERCISE . Suppose X is a proper A-scheme, and L is an invertible sheaf
on X. Show that L is ample on X if and only if L |Xred is ample on Xred . Hint: for
the “only if” direction, use Exercise 16.2.G. For the “if” direction, let I be the ideal
sheaf cutting out the closed subscheme Xred in X. Filter F by powers of I :
0 = I r F ⊂ I r−1 F ⊂ · · · ⊂ I F ⊂ F .
(Essentially the same filtration appeared in Exercise 18.4.N, for similar reasons.)
Show that each quotient I n F /I n−1 F , twisted by a high enough power of L ,
has no higher cohomology. Use descending induction on n to show each part
I n F of the filtration (and hence in particular F ) has this property as well.
18.8.B. E XERCISE . Suppose X is a proper A-scheme, and L is an invertible sheaf
on X. Show that L is ample on X if and only if L is ample on each component.
Hint: follow the outline of the solution to the previous exercise, taking instead
I as the ideal sheaf of one component. Perhaps first reduce to the case where
X = Xred .
18.8.C. E XERCISE . (In Exercise 19.2.E, we will show that on a smooth projective
integral curve, an invertible sheaf is ample if and only if it has positive degree.
Use that fact in this exercise. There will be no logical circularity.) Show that a line
bundle on a projective curve is ample if and only if it has positive degree on each
component.
18.8.2. Remark: Proper curves are projective. Serre’s criterion for ampleness is the
key ingredient for showing that every proper curve over a field is projective. The
steps are as follows. (i) Recall that every regular integral proper curve is projective,
Exercise 16.3.A. (ii) The hardest step is showing that every reduced integral proper
curve C is projective. This is done by choosing a regular point on each irreducible
component of C, and letting L be the corresponding invertible sheaf. Because of
Exercise 18.8.C, we hope that L will be ample. Show that a line bundle on C is
ample if its pullback to the normalization of C is ample (a partial converse to Exer-
cise 16.2.G, see for example [Ha1, Ex. III.5.7(d)]). Thus our L is ample. (iii) Show
that every reduced proper curve is projective using Exercise 18.8.B. (iv) Show that
every proper curve C is projective, using Exercise 18.8.A, after first finding an in-
vertible sheaf on C that will be shown to be ample.
18.8.3. Very ample versus ample. The previous exercises don’t work with “ample”
replaced by “very ample”, which shows again how the notion of ampleness is
better-behaved than very ampleness.
18.8.4. Proof of Theorem 18.8.1. For the fact that (a-c) implies (e), use the fact that
L ⊗N is very ample for some N (Theorem 16.2.2(a)), and apply Serre vanishing
(Theorem 18.1.3(ii)) to F , F ⊗ L , . . . , and F ⊗ L ⊗(N−1) .
So we now assume (e), and show that L is ample by criterion (b) of Theo-
rem 16.2.2: we will show that for any coherent sheaf F on X, F ⊗ L ⊗n is globally
generated for n ≫ 0.
We begin with a special case: we will show that L ⊗n is globally generated (i.e.,
base-point-free) for n ≫ 0. To do this, it suffices to show that every closed point
p has an open neighborhood U so that there exists some Np so that n ≥ Np , L ⊗n
is globally generated for all points of Up . (Reason: by quasicompactness, every
April 1, 2023 draft 517
closed subset of X contains a closed point, by Exercise 5.1.E. So as p varies over the
closed points of X, these Up cover X. By quasicompactness again, we can cover X
by a finite number of these Up . Let N be the maximum of the corresponding Np .
Then for n ≥ N, L ⊗n is globally generated in each of these Up , and hence on all
of X.)
Let p be a closed point of X. For all n, mp ⊗L ⊗n is coherent (by our Noetherian
hypotheses). By (e), there exists some n0 so that for n ≥ n0 , H1 (X, mp ⊗ L ⊗n ) = 0.
By the long exact sequence arising from the closed subscheme exact sequence
0 / mp ⊗ L ⊗n / L ⊗n / L ⊗n |p / 0,
we have that L ⊗n is globally generated at p for n ≥ n0 . By Exercise 16.1.C(b),
there is an open neighborhood V0 of p such that L ⊗n0 is globally generated at all
points of V0 . Thus L ⊗kn0 is globally generated at all points of V0 for all positive
integers k (using Easy Exercise 16.1.B). For each i ∈ {1, . . . , n0 − 1}, there is an open
neighborhood Vi of p such that L ⊗(n0 +i) is globally generated at all points of Vi
(again by Exercise 16.1.C(b)). We may take each Vi to be contained in V0 . By Easy
Exercise 16.1.B, L ⊗(kn0 +n0 +i) is globally generated at every point of Vi (as this is
the case for L ⊗kn0 and L ⊗(n0 +i) ). Thus in the open neighborhood Up := ∩n−1 i=0 Vi ,
L ⊗n is globally generated for n ≥ Np := 2n0 .
We have now shown that there exists some N such that for n ≥ N, L ⊗n is
globally generated. Now suppose F is a coherent sheaf. To conclude the proof,
we will show that F ⊗ L ⊗n is globally generated for n ≫ 0. This argument has a
similar flavor to what we have done so far, so we give it as an exercise.
18.8.D. E XERCISE . Suppose p is a closed point of X.
(a) Show that for n ≫ 0, F ⊗ L ⊗n is globally generated at p.
(b) Show that there exists an open neighborhood Up of p such that for n ≫ 0,
F ⊗ L ⊗n is globally generated at every point of Up . Caution: while it is true that
by Exercise 16.1.C(b), for each n ≫ 0, there is some open neighborhood Vn of p
such that F ⊗ L ⊗n is globally generated there, it need not be true that
([Link]) ∩n≫0 Vn
is an open set. You may need to use the fact that L ⊗n is globally generated for
n ≥ N to replace ([Link]) by a finite intersection.
18.8.E. E XERCISE . Conclude the proof of Theorem 18.8.1 by showing that F ⊗
L ⊗n is globally generated for n ≫ 0. □
18.8.5. Aside. Serre’s characterization of affineness is similar in flavor to Theo-
rem 18.8.1, and you may now be able to prove it yourself.
18.8.6. Theorem (Serre’s cohomological characterization of affineness). — Sup-
pose X is a quasicompact quasiseparated scheme. Then the following are equivalent.
(a) The scheme X is affine.
(b) For any quasicoherent sheaf F on X, Hi (X, F ) = 0 for all i > 0.
(c) For any quasicoherent sheaf of ideals I on X, H1 (X, I ) = 0.
Clearly (a) implies (b) implies (c) (the former from “affine cover cohomology
vanishing”, Property (vi) of §18.1) without any Noetherian assumptions, so the
518 The Rising Sea: Foundations of Algebraic Geometry
real substance is in the implication from (c) to (a). Because we won’t use it, we
omit the proof (which in any case is given in [GW, Thm. 12.35]).
Serre proved an analogous result in complex analytic geometry: Stein spaces
are also characterized by the vanishing of cohomology of coherent sheaves.
18.9 ⋆ From projective to proper hypotheses: Chow’s Lemma and
Grothendieck’s Coherence Theorem
The main proofs in this section are double-starred because the results aren’t
absolutely necessary in the rest of our discussions, and may not be worth reading
right now. But just knowing the statement of Grothendieck’s Coherence Theo-
rem 18.9.1, (generalizing Theorem 18.7.1(d)) will allow you to immediately trans-
late many of our arguments about projective schemes and morphisms to proper
schemes and morphisms, and Chow’s Lemma is a multi-purpose tool to extend
results from the projective situation to the proper situation in general.
So you have four choices: (i) read the proof of Grothendieck’s Coherence The-
orem; (ii) skim the proof and convince yourself that you could understand it if you
wanted to; (iii) skip the proof and assume it is true; or (iv) just retreat to projective
hypotheses whenever Grothendieck’s Coherence Theorem is invoked. Life is full
of compromises, and I won’t judge you.
18.9.1. Grothendieck’s Coherence Theorem. — Suppose π : X → Y is a proper
morphism of locally Noetherian schemes. Then for any coherent sheaf F on X, Ri π∗ F is
coherent on Y.
The case i = 0 has already been mentioned a number of times.
18.9.A. E XERCISE . Recall that finite morphisms are affine (by definition) and
proper. Use Theorem 18.9.1 to show that if π : X → Y is proper and affine and Y
is Noetherian, then π is finite. (Hint: mimic the proof of the weaker result where
proper is replaced by projective, Corollary 18.1.5.)
The proof of Theorem 18.9.1 requires two sophisticated facts. The first is the
Leray spectral sequence (Theorem 23.4.5, which applies in this situation because
of Exercise 23.5.F). Suppose π : X → Y and ρ : Y → Z are quasicompact separated
morphisms. Then for any quasicoherent sheaf F on X, there is a spectral sequence
with E2 term given by Rp ρ∗ (Rq π∗ F ) converging to Rp+q (ρ ◦ π)∗ F . Because this
would be a reasonable (but hard) exercise in the case we need it (where Z is affine),
we will feel comfortable using it. But because we will later prove it, we won’t
prove it now.
We will also need Chow’s Lemma.
18.9.2. Chow’s Lemma (proper = projective - birational projective). — Suppose
π : X → Spec A is a proper morphism, and A is Noetherian. Then there exists µ : X ′ → X
which is surjective and projective, such that π ◦ µ is also projective, and such that µ is an
April 1, 2023 draft 519
isomorphism on a dense open subset of X:
X′ G
µ
/X
GG xx
GG x
G xx
π◦µ GGG xxx π
# {x
Spec A.
In particular, if X is a proper k-variety, it admits a projective birational mor-
phism from a projective k-variety.
Many generalizations of results from projective to proper situations go through
Chow’s Lemma. We will prove this version, and state other versions of Chow’s
Lemma, in §18.9.4. Assuming these two facts, we now prove Grothendieck’s Co-
herence Theorem 18.9.1 in a series of exercises.
18.9.3. ⋆⋆ Proof of Grothendieck’s Coherence Theorem 18.9.1, assuming Chow’s Lemma 18.9.2.
The question is local on Y, so we may assume Y is affine, say Y = Spec A. We work
by Noetherian induction on Supp F , with the base case when Supp F = ∅, i.e.,
F = 0, which is obvious. So fix F , and assume the result is known for all coherent
sheaves with strictly smaller support.
18.9.B. E XERCISE . Show that we may assume that Supp F = X. (Hint: Replace X
by the scheme-theoretic support of F , defined in Exercise 9.1.N.)
We now invoke Chow’s Lemma to construct a projective morphism µ : X ′ → X
that is an isomorphism on a dense open subset U of X (so X \ U is a closed subset
of X, strictly smaller than X), and such that π ◦ µ : X ′ → Spec A is projective.
Then G = µ∗ F is a coherent sheaf on X ′ , µ∗ G is a coherent sheaf on X (by the
projective case, Theorem 18.7.1(d)) and the adjunction map F → µ∗ G = µ∗ µ∗ F
is an isomorphism on U. The kernel E and cokernel H are coherent sheaves on X
that have strictly smaller support:
0 /E /F / µ∗ G /H / 0.
18.9.C. E XERCISE . By the inductive hypothesis, the higher pushforwards of E and
H are coherent. Show that if all the higher pushforwards of µ∗ G are coherent,
then the higher pushforwards of F are coherent.
So we are reduced to showing that the higher pushforwards of µ∗ G are coher-
ent for any coherent G on X ′ .
The Leray spectral sequence (Theorem 23.4.5) for X ′
µ
/ X π / Spec A
has E2 page given by Rp π∗ (Rq µ∗ G ) converging to Rp+q (π ◦ µ)∗ G . Now Rq µ∗ G is
coherent by Theorem 18.7.1(d). Furthermore, as µ is an isomorphism on a dense
open subset U of X, Rq µ∗ G is zero on U, and is thus supported on the complement
of U, whose support is strictly smaller than X. Hence by our inductive hypothesis,
Rp π∗ (Rq µ∗ G ) is coherent for all p, and all q ≥ 1. The only possibly noncoherent
sheaves on the E2 page are in the row q = 0 — precisely the sheaves we are
interested in. Also, by Theorem 18.7.1(d) applied to π◦µ, Rp+q (π◦µ)∗ G is coherent.
520 The Rising Sea: Foundations of Algebraic Geometry
18.9.D. E XERCISE . Show that Ep,q
n is always coherent for any n ≥ 2, q > 0. Show
that Ep,0
n is coherent for a given n ≥ 2 if and only if Ep,0
2 is coherent. Show that
p,q p,0
E∞ is coherent, and hence that E2 is coherent, thereby completing the proof of
Grothendieck’s Coherence Theorem 18.9.1.
□
18.9.4. ⋆⋆ Proof of Chow’s Lemma 18.9.2.
We use the properness hypothesis on π through each of its three constituent
parts: finite type, separated, universally closed. The parts using separatedness are
particularly tricky.
As X is Noetherian, it has finitely many irreducible components. Cover X with
affine open sets U1 , . . . , Un . We may assume that each Ui meets each irreducible
component. (If some Ui does not meet an irreducible component Z, then take any
affine open subset Z ′ of Z − X − Z, and replace Ui by Ui ∪ Z ′ .) Then U := ∩i Ui is
a dense open subset of X. As each Ui is finite type over A, we can choose a closed
embedding Ui ⊂ An A . Let Ui be the (scheme-theoretic)∏
i
closure of Ui in Pn
A .
i
Now we have the diagonal morphism U → X ×A Ui (where the product is
over Spec A), which is a locally closed embedding (the composition of the closed
∏
embedding U ,→ Un+1 with the open embedding Un+1 ,→ X ×A Ui ). Let X ′ be
∏
the scheme-theoretic closure of U in X ×A Ui . Let µ be the composed morphism
∏
X ′ → X ×A Ui → X, so we have a diagram
X ′ _ MM
MMM
MMµM
cl. emb. MMM
∏ MM&
X ×A Ui /X
proj.
proper proper
∏
Ui / Spec A
proj.
(where the square is Cartesian). The morphism µ is projective (as it is the composi-
tion of two projective morphisms and X is quasicompact, Exercise 17.3.B). We will
conclude the argument by showing that µ−1 (U) = U (or more precisely, µ is an
∏
isomorphism above U), and that X ′ → Ui is a closed embedding (from which
the composition
X / ∏ Ui / Spec A
is projective).
18.9.E. E XERCISE . Suppose T0 , . . . , Tn are separated schemes over A with isomor-
phic open sets, which we sloppily call V in each case. Then V is a locally closed
subscheme of T0 ×A · · ·×A Tn . Let V be the closure of this locally closed subscheme.
April 1, 2023 draft 521
Show that
∼ V ∩ (V ×A T1 ×A · · · ×A Tn )
V=
= V ∩ (T0 ×A V ×A T2 ×A · · · ×A Tn )
= ···
= V ∩ (T0 ×A · · · ×A Tn−1 ×A V).
(Hint for the first isomorphism: the graph of the morphism V → T1 ×A · · · ×A Tn is
a closed embedding, as T1 ×A · · · ×A Tn is separated over A, by Proposition 11.3.6.
Thus the scheme-theoretic closure of V in V×A T1 ×A · · ·×A Tn is V itself. Finally, the
scheme-theoretic closure can be computed locally, essentially by Theorem 9.4.4.)
18.9.F. E XERCISE . Using (the idea behind) the previous exercise, show that µ−1 (U) =
U.
∏ ∏
It remains to show that X ′ → Ui is a closed embedding. Now X ′ → Ui
is closed (it is the composition of two closed maps), so it suffices to show that
∏
X ′ → Ui is a locally closed embedding.
18.9.G. E XERCISE . Let Ai be the closure of U in
Bi := X ×A U1 ×A · · · ×A Ui ×A · · · ×A Un
(only the ith term is missing the bar), and let Ci be the closure of U in
Di := U1 ×A · · · ×A Ui ×A · · · ×A Un .
∼
Show that there is an isomorphism Ai −→ Ci induced by the projection Bi → Di .
Hint: note that the section Di → Bi of the projection Bi → Di , given informally by
(t1 , . . . , tn ) 7→ (ti , t1 , . . . , tn ), is a closed embedding, as it can be interpreted as the
graph of a morphism to a separated A-scheme (Proposition 11.3.6). So U can be
interpreted as a locally closed subscheme of Di , which in turn can be interpreted
as a closed subscheme of Bi . Thus the closure of U in Di may be identified with
its closure in Bi .
As the Ui cover X, the µ−1 (Ui ) cover X. But µ−1 (Ui ) = Ai (closure can be be
computed locally — the closure of U in Bi is the intersection of Bi with the closure
X of U in X ×A U1 ×A · · · ×A Un ).
Hence over each Ui , we get a closed embedding of Ai ,→ Di , and thus X ′ →
∏
Ui is a locally closed embedding as desired. □
18.9.5. Other versions of Chow’s Lemma. We won’t use these versions, but their
proofs are similar to what we have already shown.
18.9.6. Remark. Notice first that if X is reduced (resp. irreducible, integral), then
X ′ can be taken to be reduced (resp. irreducible, integral) as well.
18.9.H. E XERCISE . By suitably crossing out lines in the proof above, weaken
the hypothesis “π is proper” to “π finite type and separated”, at the expense of
weakening the conclusion “π ◦ µ is projective” to “π ◦ µ is quasiprojective”.
522 The Rising Sea: Foundations of Algebraic Geometry
18.9.7. Remark. The target Spec A can be generalized to a scheme S that is (i) Noe-
therian, or (ii) separated and quasicompact with finitely many irreducible compo-
nents. This can be combined with Remark 18.9.6 and Exercise 18.9.H. See [Gr-EGA,
II.5.6.1] for a proof. See also [GW, Thm. 13.100] for a version that is slightly more
general.
CHAPTER 19
Application: Curves
We now use what we have developed to study something explicit — curves.
Throughout this chapter, we will assume that all curves are projective, geometrically in-
tegral, regular curves over a field k. We will sometimes add the hypothesis that k
is algebraically closed. Most people are happy with working over algebraically
closed fields, and those people should ignore the adverb “geometrically”.
We certainly do not need the massive machinery we have developed in order
to understand curves, but with the perspective we have gained, the development
is quite clean. The key ingredients we will need are as follows. We use a crite-
rion for a morphism to be a closed embedding, that we prove in §19.1. We use
the “black box” of Serre duality (to be proved in Chapter 30). In §19.2, we use this
background to observe a very few useful facts, which we will use repeatedly. Fi-
nally, in the course of applying them to understand curves of various genera, we
develop the theory of hyperelliptic curves in a hands-on way (§19.5), in particular
proving a special case of the Riemann-Hurwitz formula.
If you are jumping into this chapter without reading much beforehand, you should
skip §19.1, taking Theorem 19.1.1 as a black box. Depending on your background, you
may want to skip §19.2 as well, taking the “crucial tools” as a black box.
19.1 A criterion for a morphism to be a closed embedding
We will repeatedly use a criterion for when a morphism is a closed embedding,
which is not special to curves. Before stating it, we recall some facts about closed
embeddings. Suppose π : X → Y is a closed embedding. Then π is projective, and
it is injective on points. This is not enough to ensure that it is a closed embedding,
as the example of the normalization of the cusp shows (Figure 10.5). Another
example is the following.
19.1.A. E XERCISE (F ROBENIUS , CF. §8.3.Q). Show that π : A1Fp → A1Fp given by
x 7→ xp is a bijection on points, and induces an isomorphism of residue fields on
closed points, yet is not a closed embedding.
The additional information you need to ensure that a morphism π is a closed
embedding is that the tangent map is injective at all closed points.
19.1.B. E XERCISE . Show (directly, not invoking Theorem 19.1.1) that in the two
examples described above (the normalization of a cusp and the Frobenius mor-
phism), the tangent map is not injective at all closed points.
523
524 The Rising Sea: Foundations of Algebraic Geometry
19.1.1. Theorem. — Suppose k = k, and π : X → Y is a projective morphism of finite
type k-schemes that is injective on closed points and injective on tangent vectors at closed
points. Then π is a closed embedding.
(Remark: In this case of finite type schemes over an algebraically closed field,
“injective on tangent vectors at closed points” is equivalent to “unramified”, see
Exercise 21.6.I. We will define unramified in §21.6.)
The example Spec C → Spec R shows that we need the hypothesis that k is
algebraically closed in Theorem 19.1.1. Those allergic to algebraically closed fields
should still pay attention, as we will use this to prove things about curves over k
where k is not necessarily algebraically closed (see also Exercises 10.2.K and 19.1.F).
We need the hypothesis that the morphism be projective, as shown by the
example of Figure 19.1. It is the normalization of the node, except we erase one of
the preimages of the node. We map A1 to the plane, so that its image is a curve
with one node. We then consider the morphism we get by discarding one of the
preimages of the node. Then this morphism is an injection on points, and is also
injective on tangent vectors, but it is not a closed embedding. (In the world of
differential geometry, this fails to be an embedding because the map doesn’t give
a homeomorphism onto its image.)
F IGURE 19.1. (variant of Figure 8.4) The projectivity hypothesis
in Theorem 19.1.1 cannot be dropped
Theorem 19.1.1 appears to be fundamentally a statement about varieties, but
it isn’t. We will reduce it to the following result.
19.1.2. Theorem. — Suppose π : X → Y is a finite morphism of Noetherian schemes
whose degree at every point of Y (§14.3.4) is 0 or 1. Then π is a closed embedding.
19.1.C. E XERCISE . Suppose π : X → Y is a finite morphism whose degree at every
point of Y is 0 or 1. Show that π is injective on points (easy). If p ∈ X is any point,
∼
show that π induces an isomorphism of residue fields κ(π(p)) −→ κ(p). Show that
π induces an injection of tangent spaces. Thus key hypotheses of Theorem 19.1.1
are implicitly in the hypotheses of Theorem 19.1.2.
19.1.3. Reduction of Theorem 19.1.1 to Theorem 19.1.2. The property of being a closed
embedding is local on the target, so we may assume that Y is affine, say Spec B.
April 1, 2023 draft 525
I next claim that π has finite fibers, not just finite fibers above closed points: the
fiber dimension for projective morphisms is upper semicontinuous (Exercise 18.1.B,
or Theorem 12.4.3(b)), so the locus where the fiber dimension is at least 1 is a closed
subset, so if it is nonempty, it must contain a closed point of Y. Thus the fiber over
any point is a dimension 0 finite type scheme over that point, hence a finite set.
Hence π is a projective morphism with finite fibers, thus finite by Theorem 18.1.6.
19.1.D. E XERCISE . Show that the degree of π is at most 1 at all closed points of Y.
(Hint 1: You will use the “injectivity on tangent vectors” hypothesis here. Hint 2:
what are the finite morphisms to Spec k?)
But the degree of a finite morphism is upper semicontinuous, (§14.3.4), hence
is at most 1 at all points (do you see why?). We have thus shown that Theo-
rem 19.1.1 would follow from Theorem 19.1.2.
19.1.4. Proof of Theorem 19.1.2. The problem is local on Y, so we may assume
Y is affine, say Y = Spec B. Thus X is affine too, say Spec A, and π corresponds
to a ring morphism B → A. We wish to show that this is a surjection of rings, or
(equivalently) of B-modules. Let K be the cokernel of this morphism of B-modules:
([Link]) B /A /K / 0.
We wish to show that K = 0. It suffices to show that for any maximal ideal n of B,
Kn = 0. (Do you remember why?) Localizing ([Link]) at n, we obtain the exact
sequence
Bn / An / Kn / 0.
Applying the right-exact functor ⊗Bn (Bn /nBn ), we obtain
([Link]) Bn /nBn
α / An /nAn / Kn /nKn / 0.
Now Spec An /nAn is the scheme theoretic preimage of [n] ∈ Spec B, so by hypoth-
esis, it is either empty, or the map α is an isomorphism (in which case we will
see that the map α will turn out to be the map of residue fields). In the first case,
An /nAn = 0, from which Kn /nKn = 0. In the second case, Kn /nKn = 0 as well. Ap-
plying Nakayama’s Lemma 8.2.9 (noting that A is a finitely generated B-module,
hence K is too, hence Kn is a finitely generated Bn -module), Kn = 0 as desired. □
Exercise 10.2.K can be used to extend Theorem 19.1.1’s reach to general fields
k, not necessarily algebraically closed. The next exercise is an example of how.
19.1.E. E XERCISE . Use Theorem 19.1.1 to show that the dth Veronese embedding
from Pn k , corresponding to the complete linear series |OPk (d)|, is a closed embed-
n
ding. Do the same for the Segre embedding from Pm k × Spec k Pk . (This is just for
n
practice for using this criterion. It is a weaker result than we had before; we have
earlier checked both of these statements over an arbitrary base ring in Remark 9.3.8
and §10.6 respectively, and we are now checking it only over fields. However, see
Exercise 19.1.F below.)
19.1.F. L ESS IMPORTANT EXERCISE . Using the ideas from this section, prove that
the dth Veronese embedding from Pn Z (over the integers!), is a closed embedding.
(Again, we have done this before. This exercise is simply to show that these meth-
ods can easily extend to work more generally.)
526 The Rising Sea: Foundations of Algebraic Geometry
19.2 A series of crucial tools
We are now ready to start understanding curves in a hands-on way. We will
repeatedly make use of the following series of crucial remarks, and it will be im-
portant to have them at the tip of your tongue.
19.2.1. In what follows, C will be a projective, geometrically regular, geometrically inte-
gral curve over a field k, and L is an invertible sheaf on C.
19.2.2. Reminder: Serre duality. Serre duality (Theorem 18.5.1) on a geometri-
cally irreducible regular genus g curve C over k involves an invertible sheaf ωC
(of degree 2g − 2, with g sections, Exercise 18.5.A), such that for any coherent sheaf
F on C, hi (C, F ) = h1−i (C, ωC ⊗ F ∨ ) for i = 0, 1. (Better: there is a duality be-
tween the two cohomology groups.)
19.2.3. Negative degree line bundles have no nonzero section. If deg L < 0,
then h0 (C, L ) = 0. Reason: deg L is the number of zeros minus the number
of poles (suitably counted) of any rational section (Important Exercise 18.4.C). If
there is a regular section (i.e., with no poles), then this is necessarily non-negative.
Refining this argument yields the following.
19.2.4. Degree 0 line bundles, and recognizing when they are trivial. If deg L =
0, then h0 (C, L ) = 0 or 1; and if h0 (C, L ) = 1 then L = ∼ OC . Reason: if there
is a nonzero section s, it has no poles, and hence no zeros, because deg L = 0.
Then div s = 0, so L = ∼ OC (div s) = OC . (Recall how this works, cf. Important
Exercise 15.4.F: s gives a trivialization for the invertible sheaf. We have a natural
∼
bijection for any open set Γ (U, L ) ←→ Γ (U, OU ), where the map from left to right
′ ′
is s 7→ s /s, and the map from right to left is f 7→ sf.) Conversely, for a geometri-
cally integral projective variety, h0 (O) = 1. (§11.5.7 shows this for k algebraically
closed — this is where geometric integrality is used — and Exercise 18.2.H shows
that cohomology commutes with base field extension.)
Serre duality turns these statements about line bundles of degree at most 0
into statements about line bundles of degree at least 2g − 2, as follows.
19.2.5. We know h0 (C, L ) if the degree is sufficiently high. If deg L > 2g − 2,
then
([Link]) h0 (C, L ) = deg L − g + 1.
So we know h0 (C, L ) if deg L ≫ 0. (This is important — remember this!) Reason:
h1 (C, L ) = h0 (C, ωC ⊗L ∨ ); but ωC ⊗L ∨ has negative degree (as ωC has degree
2g − 2), and thus this invertible sheaf has no sections. The result then follows from
the Riemann-Roch Theorem in the guise of ([Link]).
19.2.A. U SEFUL EXERCISE ( RECOGNIZING ωC AMONG DEGREE 2g − 2 LINE BUN -
DLES ). Suppose L is a degree 2g − 2 invertible sheaf. Show that it has g − 1 or g
∼ ωC .
sections, and it has g sections if and only if L =
19.2.6. Twisting L by a (degree 1) point changes h0 by at most 1. Suppose p
is any closed point of degree 1 (i.e., the residue field of p is k). Then h0 (C, L ) −
April 1, 2023 draft 527
h0 (C, L (−p)) = 0 or 1. (The twist of L by a divisor, such as L (−p), was defined
in §15.4.16.) Reason: consider 0 → OC (−p) → OC → O|p → 0, tensor with L (this
is exact as L is locally free) to get
0 / L (−p) /L / L |p / 0.
Then h0 (C, L |p ) = 1, so as the long exact sequence of cohomology starts off
0 / H0 (C, L (−p)) / H0 (C, L ) / H0 (C, L |p ),
we are done.
19.2.7. Criterion for L to be base-point-free. Suppose for this remark that k is
algebraically closed, so all closed points have degree 1 over k. Then if h0 (C, L ) −
h0 (C, L (−p)) = 1 for all closed points p, then L is base-point-free, and hence
induces a morphism from C to projective space (Theorem 15.2.2). Reason: given
any p, our equality shows that there exists a section of L that does not vanish at
p — so by definition, p is not a base point of L .
19.2.8. Next, suppose p and q are distinct (closed) points of degree 1. Then
h0 (C, L ) − h0 (C, L (−p − q)) = 0, 1, or 2 (by repeating the argument of Re-
mark 19.2.6 twice). If h0 (C, L ) − h0 (C, L (−p − q)) = 2, then necessarily
([Link])
h0 (C, L ) = h0 (C, L (−p)) + 1 = h0 (C, L (−q)) + 1 = h0 (C, L (−p − q)) + 2.
Then the linear series L separates points p and q, i.e., the corresponding map f to
projective space satisfies f(p) ̸= f(q). Reason: there is a hyperplane of projective
space passing through f(q) but not passing through f(p), or equivalently, there is
a section of L vanishing at q but not vanishing at p. This is because of the last
equality in ([Link]).
19.2.9. By the same argument as above, if p is a (closed) point of degree 1, then
h0 (C, L ) − h0 (C, L (−2p)) = 0, 1, or 2. I claim that if this is 2, then the map
corresponding to L (which is already seen to be base-point-free at p from the
above) separates the tangent vectors at p. To show this, we need to show that the
cotangent map is surjective. To show surjectivity onto a one-dimensional vector
space, we just need to show that the map is nonzero. So it suffices to find a function
on the target vanishing at the image of p that pulls back to a function that vanishes
at p to order 1 but not 2. In other words, we want a section of L vanishing at p
to order 1 but not 2. But that is the content of the statement h0 (C, L (−p)) −
h0 (C, L (−2p)) = 1.
19.2.10. Criterion for L to be very ample. Combining some of our previous
comments: suppose C is a curve over an algebraically closed field k, and L is
an invertible sheaf such that for all closed points p and q, not necessarily distinct,
h0 (C, L ) − h0 (C, L (−p − q)) = 2, then L gives a closed embedding into projective
space, as it separates points and tangent vectors, by Theorem 19.1.1.
19.2.B. E XERCISE . Suppose that k is algebraically closed, so the previous remark
applies. Show that C \ {p} is affine. Hint: Show that if j ≫ 0, then O(jp) is base-
point-free and has at least two linearly independent sections, one of which has
divisor jp. Use these two sections to map to P1 so that the set-theoretic preimage
528 The Rising Sea: Foundations of Algebraic Geometry
of ∞ is p. Argue that the map is finite, and that C \ {p} is the preimage of A1 . (A
trivial variation of this argument shows that C \ {p1 , . . . , pn } is affine if n > 0.)
19.2.11. Powerful conclusion: Numerical criteria for L to be base-point-free
and very ample. We can combine much of the above discussion to give the
following useful fact. If k is algebraically closed, then deg L ≥ 2g implies that L
is base-point-free (and hence determines a morphism to projective space). Also,
deg L ≥ 2g + 1 implies that for any basis of sections s0 , . . . , sdeg L −g of L , the
morphism given by [s0 , . . . , sdeg L −g ] is in fact a closed embedding into Pdeg L −g
(so L is very ample). Remember this!
19.2.C. E XERCISE ( ON A PROJECTIVE , REGULAR , INTEGRAL CURVE OVER k, AMPLE
= POSITIVE DEGREE ). Show that an invertible sheaf L on a projective, regular,
integral curve over k is ample if and only if deg L > 0.
(This can be extended to curves over general fields using Exercise 19.2.D be-
low.) Thus there is a blunt purely numerical criterion for ampleness of line bun-
dles on curves. This generalizes to projective varieties of higher dimension; this is
called the Nakai-Moishezon criterion for ampleness, Theorem 20.4.1.
19.2.D. E XERCISE ( EXTENSION TO NON - ALGEBRAICALLY CLOSED FIELDS ). Show
that the statements in §19.2.11 hold even without the hypothesis that k is alge-
braically closed. (Hint: to show one of the facts about some curve C and line bun-
dle L , consider instead C ×Spec k Spec k. Then show that if the pullback of L here
has sections giving you one of the two desired properties, then there are sections
downstairs with the same properties. You may want to use facts that we have used,
such as the fact that base-point-freeness is independent of extension of base field,
Exercise 18.2.I, or that the property of an affine morphism over k being a closed
embedding holds if and only if it does after an extension of k, Exercise 10.2.K.)
19.2.E. E XERCISE ( EXTENDING E XERCISE 19.2.C). Suppose L is an invertible
sheaf on a projective, geometrically regular, geometrically integral curve C (over
a field k). Show that L is ample if and only if deg L > 0. Hint: reduce to the
case where k is algebraically closed, with the help of Exercise 10.2.K. (This was
promised in Exercise 18.8.C.)
19.2.F. E XERCISE . Suppose C is a curve (in the sense of §19.2.1 as usual in this sec-
tion), and p ∈ C is a closed point. Show that C − {p} is affine. Hint: Exercise 19.2.E.
We are now ready to take these facts and go to the races.
19.3 Curves of genus 0
We are now ready to (in some form) answer the question: what are the curves
of genus 0?
In §7.5.9, we saw a genus 0 curve (over a field k) that was not isomorphic to P1 :
x + y2 + z2 = 0 in P2R . (It has genus 0 by ([Link]).) We have already observed that
2
this curve is not isomorphic to P1R , because it doesn’t have an R-valued point. On
April 1, 2023 draft 529
the other hand, we haven’t seen a genus 0 curve over an algebraically closed field
with this property. This is no coincidence: the lack of an existence of a k-valued
point is the only obstruction to a genus 0 curve being P1 .
19.3.1. Proposition. — Suppose C is genus 0, and C has a k-valued (degree 1) point.
Then C =∼ P1 .
k
Thus we see that all genus 0 (integral, regular, projective) curves over an alge-
braically closed field are isomorphic to P1 .
Proof. Let p be the point, and consider L = O(p). Then deg L = 1, so we can
apply what we know above: first, h0 (C, L ) = 2 (Remark 19.2.5), and second,
these two sections give a closed embedding into P1k (Remark 19.2.11). But the only
closed embedding of a curve into the integral curve P1k is an isomorphism! □
As a bonus, Proposition 19.3.1 implies that x2 +y2 +z2 = 0 in P2R has no line bun-
dles of degree 1 over R; otherwise, we could just apply the above argument to the
corresponding line bundle. This example shows us that over a non-algebraically
closed field, there can be genus 0 curves that are not isomorphic to P1k . The next
result lets us get our hands on them as well.
19.3.2. Claim. — All genus 0 curves can be described as conics in P2k .
Proof. Any genus 0 curve has a degree −2 line bundle — the dualizing sheaf ωC .
Thus any genus 0 curve has a degree 2 line bundle: L = ω∨ C . We apply Re-
mark 19.2.11: deg L = 2 ≥ 2g + 1, so this line bundle gives a closed embedding
i : C ,→ P2 . Exercise 18.6.H ensures that the image is degree 2 as a closed sub-
scheme, but we haven’t quite shown that the curve can be cut out by one homoge-
neous polynomial of degree 2. (This is more subtle than you might think — you
can try to make your own argument before reading on.) We have the isomorphism
∼
Sym2 H0 (P2 , O(1)) −→ H0 (P2 , O(2)) (both sides are the homogeneous quadratic
polynomials in three variables). Consider the map Sym2 H0 (C, L ) → H0 (C, L ⊗2 ),
which (by Riemann-Roch) is a map from a vector space of dimension 6 to a vec-
tor space of dimension 5. This map has nontrivial kernel, so i(C) is scheme-
theoretically contained in V(f) for some homogeneous conic f.
19.3.A. E XERCISE . Use Exercise 18.6.E to show that i(C) = V(f) scheme-theoretically,
completing the proof.
□
19.3.B. E XERCISE . Suppose C is a genus 0 curve (projective, geometrically integral
and regular). Show that C has a point of degree at most 2. (The degree of a point
was defined in §5.3.8.)
The geometric means of finding Pythagorean triples presented in §7.5.8 looked
quite different, but was really the same. There was a genus 0 curve C (a plane
conic) with a k-valued point p, and we proved that it was isomorphic to P1k . The
line bundle used to show the isomorphism wasn’t the degree 1 line bundle OC (p);
it was the degree 1 line bundle OP2 (1)|C ⊗ OC (−p).
530 The Rising Sea: Foundations of Algebraic Geometry
19.4 Classical geometry arising from curves of positive genus
We will use the following Proposition and Corollary later, and we take this as
an excuse to revisit some very classical geometry from a modern standpoint.
19.4.1. Proposition. — Recall our standing assumptions for this chapter (§19.2.1), that
C is a projective, geometrically regular, geometrically integral curve over a field k. Suppose
C is not isomorphic to P1k (with no assumptions on the genus of C), and L is an invertible
sheaf of degree 1. Then h0 (C, L ) < 2.
Proof. Otherwise, let s1 and s2 be two (independent) sections. As the degree of the
divisor of zeros of si is the degree of L , each vanishes at a single point pi (to order
1).
Now p1 ̸= p2 . (Otherwise, if p1 = p2 , then s1 /s2 has no poles or zeros, and
hence is an invertible function by Hartogs’ Lemma, see §12.3.15, and a constant
function using §11.5.7 after base change to k. This contradicts the linear indepen-
dence of s1 and s2 .)
Thus s1 and s2 generate a base-point-free linear series, so we have an induced
morphism C → P1 . This is a finite degree 1 morphism from one regular curve
to another (Exercise 18.4.E), which hence induces a degree 1 extension of function
fields, i.e., an isomorphism of function fields, which means that the curves are
isomorphic (cf. Theorem 16.3.3). But we assumed that C is not isomorphic to P1k ,
so we have a contradiction. □
19.4.2. Corollary. — If C is a projective, geometrically regular, geometrically integral
∼ OC (q)
curve over k, not isomorphic to P1k and p and q are degree 1 points, then OC (p) =
if and only if p = q.
19.4.A. E XERCISE . Show that if k is algebraically closed, then C has genus 0 if and
only if all degree 0 line bundles are trivial.
19.4.B. E XERCISE . Suppose C is a regular plane curve of degree e > 2, and D1
and D2 are two plane curves of the same degree d not containing C. By Bézout’s
Theorem for plane curves (§18.6.4), Di meets C at de points, counted “correctly”.
Suppose D1 and D2 meet C at de − 1 of the “same points”, plus one more. Show
that the remaining points are the same as well. More precisely, suppose there is
a divisor E on C of degree de − 1, and degree 1 (k-valued) points p1 and p2 such
that Di ∩ C = E + pi (as divisors on C). Show that p1 = p2 . (The case d = e = 3
is Chasles’ Theorem, and is the first case of the Cayley-Bacharach Theorem, see
[EGH].)
As an entertaining application of Exercise 19.4.B, we can prove two classical re-
sults. For convenience, in this discussion we will assume k is algebraically closed,
although this assumption can be easily removed.
19.4.3. Pappus’s Theorem (Pappus of Alexandria). — (See Figure 19.2.) Suppose
ℓ and m are distinct lines in the plane, and α, β, γ are distinct points on ℓ, and α ′ , β ′ ,
and γ ′ are distinct points on m, and all six points are distinct from ℓ ∩ m. Then points
x = αβ ′ ∩ α ′ β, y = aγ ∩ αγ ′ , and z = βγ ′ ∩ β ′ γ are collinear.
April 1, 2023 draft 531
F IGURE 19.2. Pappus’ Theorem
Pascal’s “Mystical Hexagon” Theorem was discovered by Pascal at age 16.
(What were you doing at age 16?)
19.4.4. Pascal’s “Mystical Hexagon” Theorem. — (See Figure 19.3.) If a hexagon
αγ ′ βα ′ γβ ′ is inscribed in a smooth conic K, and opposite pairs of sides are extended until
they meet, the three intersection points x = αβ ′ ∩α ′ β, y = α ′ γ∩αγ ′ , and z = βγ ′ ∩β ′ γ
are collinear.
F IGURE 19.3. Pascal’s “Mystical Hexagon” Theorem
Pappus’s Theorem can be seen as a degeneration of Pascal’s Theorem: the
conic degenerates into the union of two lines, and the six points degenerate so
that α, β, and γ are on one, and α ′ , β ′ , and γ ′ are on the other. We thus prove
Pascal’s Theorem, and you should check that the proof readily applies to prove
Pappus’s Theorem.
19.4.C. E XERCISE . Suppose α, β, γ, α ′ , β ′ are five points in P2R , no three on a line.
Show that there is a unique conic K passing through the five points. Show that K is
regular. Explain how to construct the tangent to K at α using only a straightedge.
532 The Rising Sea: Foundations of Algebraic Geometry
(Hint for the last part: apply Pascal’s Theorem, taking γ ′ = α. You may need to
first figure out why you can apply Pascal’s Theorem in this degenerate case.)
In particular, given an ellipse K ⊂ R2 and a point α ∈ K, you will now be able
to construct the tangent to K at α using only a straightedge.
19.4.5. Proof of Pascal’s Theorem 19.4.4. We wish to show that the line xy meets βγ ′
and β ′ γ at the same point. Let C be the curve that is the union of K and the line
xy. (Warning, cf. §19.2.1: for one time in this chapter, we are not assuming C to be
regular!)
Let D1 be the union of the three lines αβ ′ , βγ ′ , and γα ′ , and let D2 be the
union of the three lines α ′ β, β ′ γ, and γ ′ α. Note that D1 meets C at the nine points
α, β, γ, α ′ , β ′ , γ ′ , x, y, and xy ∩ βγ ′ , and D2 meets C at the same nine points,
except xy ∩ βγ ′ is replaced by xy ∩ β ′ γ. Thus if we knew Corollary 19.4.2 so that it
applied to our C (which is singular), then we would be done (cf. Exercise 19.4.B).
So we extend Corollary 19.4.2 to our situation. So to do this, we extend Propo-
sition 19.4.1 to our situation. We have a plane cubic C which is the union of a line
L and a conic K, and two points p = xy ∩ βγ ′ and q = xy ∩ β ′ γ, with O(p) = ∼ O(q).
(Reason: both are the restriction of OP2 (3) to C, twisted by −(α + β + γ + α + β ′ +
′
γ ′ + x + y).) Call this invertible sheaf L . Suppose p ̸= q. Then the two sections of
L with zeros at p and q give a base-point-free linear series, and thus a morphism
π : C → P1 , with π−1 (0) = p and π−1 (∞) = q.
By the argument in the proof of Proposition 19.4.1, π gives an isomorphism of
L with P1 . As π is proper, π(K) is closed, and as K is irreducible, π(K) is irreducible.
As π(K) does not contain 0 (or ∞), it can’t be all of P1 . Hence π(K) is a point.
The conic K meets the line L in two points with multiplicity (by Bézout’s Theo-
rem for plane curves, §18.6.4, or by simple algebra). If K ∩ L consists of two points
a and b, we have a contradiction: K can’t be contracted to both π(a) and π(b). But
what happens if K meets L at one point, i.e., if the conic is tangent to the line?
19.4.D. E XERCISE . Finish the proof of Pascal’s Theorem by dealing with this case.
Hint: nilpotents will come to the rescue. The intuition is as follows: K ∩ L is a
subscheme of L of length 2 (the length of a scheme was defined in §6.5.7), but the
scheme theoretic image π(K) can be shown to be a reduced closed point.
□
19.4.6. Remark. The key motivating fact that makes our argument work, Propo-
sition 19.4.1, is centrally about curves not of genus 0, yet all the curves involved
in Pappus’s Theorem and Pascal’s Theorem have genus 0. The insight to keep in
mind is that union of curves of genus 0 need not have genus 0. In our case, it
mattered that cubic curves have genus 1, even if they are union of P1 ’s.
19.5 Hyperelliptic curves
We next discuss an important class of curves, the hyperelliptic curves. In this
section, we assume k is algebraically closed of characteristic not 2. (These hypotheses
can be relaxed, at some cost.)
April 1, 2023 draft 533
A (projective regular integral) genus g curve C is hyperelliptic if it admits
a double cover of (i.e., degree 2, necessarily finite, morphism to) P1k . For conve-
nience, when we say C is hyperelliptic, we will implicitly have in mind a choice of
double cover π : C → P1 . (We will later see that if g ≥ 2, then there is at most one
such double cover, Proposition 19.5.7, so this is not a huge assumption.) The map
π is called the hyperelliptic map.
By Exercise 16.3.D, the preimage of any closed point p of P1 consists of either
one or two points. If π−1 (p) is a single point, we say p is a branch point, and
π−1 (p) is a ramification point of π. (The notion of ramification will be defined
more generally in §21.6.)
19.5.1. Theorem (hyperelliptic Riemann-Hurwitz formula). — Suppose k = k and
char k ̸= 2, π : C → P1k is a double cover by a projective regular irreducible genus g curve
over k. Then π has 2g + 2 branch points.
This is a special case of the Riemann-Hurwitz formula, which we will state
and prove in §21.7. You may have already heard about genus 1 complex curves
double covering P1 , branched over 4 points.
To prove Theorem 19.5.1, we first prove the following.
19.5.2. Proposition. — Assume char k ̸= 2 and k = k. Given r distinct points
p1 , . . . , pr ∈ P1 , there is precisely one double cover branched at precisely these points if r
is even, and none if r is odd.
Proof. Pick points 0 and ∞ of P1 distinct from the r branch points. All r branch
points are in P1 − ∞ = A1 = Spec k[x]. Suppose we have a double cover of
A1 , C ′ → A1 , where x is the coordinate on A1 . This induces a quadratic field
extension K over k(x). As char k ̸= 2, this extension is Galois. Let σ : K → K be
the Galois involution. Let y be a nonzero element of K such that σ(y) = −y, so
1 and y form a basis for K over the field k(x), and are eigenvectors of σ. Now
σ(y2 ) = y2 , so y2 ∈ k(x). We can replace y by an appropriate k(x)-multiple so that
y2 is a polynomial, with no repeated factors, and monic. (This is where we use the
hypothesis that k is algebraically closed, to get leading coefficient 1.)
Thus y2 = xN +aN−1 xN−1 +· · ·+a0 , where the polynomial on the right (call it
f(x)) has no repeated roots. The Jacobian criterion (in the guise of Exercise 13.2.F)
implies that this curve C0′ in A2 = Spec k[x, y] is regular. Then C0′ is normal and
has the same function field as C ′ . Thus C0′ and C ′ are both normalizations of A1 in
the finite extension of fields generated by y, and hence are isomorphic. Thus we
have identified C ′ in terms of an explicit equation.
The branch points correspond to those values of x for which there is exactly
one value of y, i.e., the roots of f(x). In particular, N = r, and
f(x) = (x − p1 ) · · · (x − pr ),
where the pi are interpreted as elements of k.
Having mastered the situation over A1 , we return to the situation over P1 . We
will examine the branched cover over the affine open set P1 \{0} = Spec k[u], where
u = 1/x. The previous argument applied to Spec k[u] rather than Spec k[x] shows
534 The Rising Sea: Foundations of Algebraic Geometry
that any such double cover must be of the form
( )
C ′′ = Spec k[z, u]/ z2 − (u − 1/p1 ) · · · (u − 1/pr )
((∏ ) )
r
= Spec k[z, u]/ pi z2 − (−u) f (1/u)
−→ Spec k[u] = A1 .
So if there is a double cover over all of P1 , it must be obtained by gluing C ′′ to
′
C , “over” the gluing of Spec k[x] to Spec k[u] to obtain P1 .
Thus in K(C), we must have
z2 = ur f(1/u) = f(x)/xr = y2 /xr
from which z2 = y2 /xr .
If r is even, considering K(C) as generated by y and x, there are two possible
values of z: z = ±y/xr/2 . After renaming z by −z if necessary, there is a single way
of gluing these two patches together (we choose the positive square root).
If r is odd, the result follows from Exercise 19.5.A below.
19.5.A. E XERCISE . Suppose char k ̸= 2. Show that x does not have a square root in
the field k(x)[y]/(y2 −√
f(x)), where
√ f is a polynomial with nonzero roots p1 , . . . , pr .
(Possible hint: why is 3 ∈/ Q( 2)?) Explain how this proves Proposition 19.5.2 in
the case where r is odd.
□
For future reference, we collect here our explicit (two-affine) description of the
hyperelliptic cover C → P1 .
z=y/xr/2
([Link]) Spec k[x, y]/(y2 − f(x)) Spec k[u, z]/(z2 − ur f(1/u))
y=z/ur/2
u=1/x
Spec k[x] Spec k[u]
x=1/u
19.5.3. If k is not algebraically closed. If k is not algebraically closed (but of character-
istic not 2), the above argument shows that if we have a double cover of A1 , then
it is of the form y2 = af(x), where f is monic (and a ̸= 0). Furthermore, if a and a ′
differ (multiplicatively) by an element of (k× )2 , then y2 = af(x) is isomorphic to
y2 = a ′ f(x). You may be able to use this to show that (assuming that k× ̸= (k× )2 )
a double cover is not determined by its branch points. Moreover, this failure is
classified by k× /(k× )2 . Thus we have lots of curves that are not isomorphic over
k, but become isomorphic over k. These are often called twists of each other.
(In particular, once we define elliptic curves, you will be able to show that
there exist two elliptic curves over Q with the same j-invariant, that are not iso-
morphic, see Exercise 19.10.G.)
19.5.4. Back to proving the hyperelliptic Riemann-Hurwitz formula, Theorem 19.5.1.
Our explicit description of the unique double cover of P1 branched over r dif-
ferent points will allow us to compute the genus, thereby completing the proof of
Theorem 19.5.1.
April 1, 2023 draft 535
We continue the notation ([Link]) of the proof of Proposition 19.5.2. Suppose
P1 has affine cover by Spec k[x] and Spec k[u], with u = 1/x, as usual. Suppose
C → P1 is a double cover, given by y2 = f(x) over Spec k[x], where f has degree
r, and z2 = ur f(1/u). Then C has an affine open cover by Spec k[x, y]/(y2 − f(x))
and Spec k[u, z]/(z2 − ur f(1/u)). The corresponding Čech complex for OC is
0 / k[x, y]/(y2 − f(x)) × k[u, z]/(z2 − ur f(1/u)) d /
( )
k[x, y]/(y2 − f(x)) / 0.
x
The second (and last) nonzero part of the complex has basis consisting of mono-
mials xn yϵ , where n ∈ Z and ϵ = 0 or 1. To compute the genus g = h1 (C, OC ),
we must compute coker d. We can use the first factor k[x, y]/(y2 − f(x)) to hit the
monomials xn yϵ where n ∈ Z≥0 , and ϵ = 0 or 1. The image of the second factor
is generated by elements of the form um zϵ , where m ≥ 0 and ϵ = 0 or 1. But
um zϵ = x−m (y/xr/2 )ϵ . By inspection, the cokernel has basis generated by mono-
mials x−1 y, x−2 y, . . . , x−r/2+1 y, and thus has dimension r/2−1. Hence g = r/2−1,
from which Theorem 19.5.1 follows. □
19.5.5. Curves of every genus. As a consequence of the hyperelliptic Riemann-
Hurwitz formula (Theorem 19.5.1), we see that there are curves of every genus
g ≥ 0 over an algebraically closed field of characteristic not 2: to get a curve of
genus g, consider the branched cover branched over 2g + 2 distinct points. The
unique genus 0 curve is of this form, and we will see in §19.6.2 that every genus 2
curve is of this form. We will soon see that every genus 1 curve (reminder: over an
algebraically closed field!) is too (§19.9.5). But it is too much to hope that all curves
are of this form, and we will soon see (§19.7.3) that there are genus 3 curves that
are not hyperelliptic, and we will even get heuristic evidence that “most” genus 3
curves are not hyperelliptic. We will later give vague evidence (that can be made
precise) that “most” genus g curves are not hyperelliptic if g > 2 (§19.8.3).
19.5.B. E XERCISE . Verify that a curve C of genus at least 1 admits a degree 2 cover
of P1 if and only if it admits a degree 2 invertible sheaf L with h0 (C, L ) = 2.
Possibly in the course of doing this, verify that if C is a curve of genus at least
1, and C has a degree 2 invertible sheaf L with at least 2 (linearly independent)
sections, then L has precisely two sections, and that this L is base-point-free and
gives a hyperelliptic map.
19.5.6. Proposition. — Assume g ≥ 2. If L corresponds to a hyperelliptic cover
∼ ωC .
C → P1 , then L ⊗(g−1) =
Proof. Compose the hyperelliptic map with the (g − 1)th Veronese map:
|L | |OP1 (g−1)|
([Link]) C / P1 / Pg−1 .
The composition corresponds to L ⊗(g−1) . This invertible sheaf has degree 2g − 2
(by Exercise 18.4.G). The pullback H0 (Pg−1 , O(1)) → H0 (C, L ⊗(g−1) ) is injective
because the image of C in Pg−1 (a rational normal curve) is nondegenerate: if there
536 The Rising Sea: Foundations of Algebraic Geometry
were a hyperplane s ∈ H0 (Pg−1 , O(1)) that pulled back to 0 on C, then the image of
C would lie in that hyperplane, yet a rational normal curve cannot. Thus L ⊗(g−1)
has at least g sections. But by Exercise 19.2.A, the only invertible sheaf of degree
2g − 2 with (at least) g sections is the dualizing sheaf. □
As an added bonus, we see that the composition of ([Link]) is the complete
linear series |L ⊗(g−1) | — all sections of L ⊗(g−1) come up in this way.
19.5.7. Proposition (a genus ≥ 2 curve can be hyperelliptic in only one way). —
Any curve C of genus at least 2 admits at most one double cover of P1 . More precisely, if
L and M are two degree two line bundles yielding maps C → P1 , then L = ∼ M.
Proof. If C is hyperelliptic, then we can recover the hyperelliptic map by consider-
ing the canonical linear series given by ωC (the canonical map, which we will use
again repeatedly in the next few sections): it is a double cover of a degree g − 1 ra-
tional normal curve (by the previous proposition), which is isomorphic to P1 . This
double cover is the hyperelliptic cover (also by the proof of the previous proposi-
tion). Thus we have uniquely recovered the map C → P1 , and this map must be
induced by both L and M , from which we have L = ∼ M (using Theorem 15.2.2,
relating maps to projective space and line bundles). □
19.5.8. The “space of hyperelliptic curves”. Thanks to Proposition 19.5.7, we can now
classify hyperelliptic curves of genus at least 2. Hyperelliptic curves of genus g ≥ 2
correspond to precisely 2g + 2 distinct points on P1 modulo S2g+2 , and modulo
automorphisms of P1 . Thus “the space of hyperelliptic curves” has dimension
2g + 2 − dim Aut P1 = 2g − 1.
This is not a well-defined statement, because we haven’t rigorously defined “the
space of hyperelliptic curves” — it is an example of a moduli space. For now, take
this as a plausibility statement. It is also plausible that this space is irreducible and
reduced — it is the image of something irreducible and reduced.
19.6 Curves of genus 2
19.6.1. The reason for leaving genus 1 for later. It might make most sense to
jump to genus 1 at this point, but the theory of elliptic curves is especially rich and
subtle, so we will leave it for §19.9.
In general, curves have quite different behaviors (topologically, arithmetically,
geometrically) depending on whether g = 0, g = 1, or g ≥ 2. This trichotomy
extends to varieties of higher dimension. We already have some inkling of it in
the case of curves. Arithmetically, genus 0 curves can have lots and lots of ratio-
nal points, genus 1 curves can have lots of rational points, and by Faltings’ Theo-
rem (Mordell’s Conjecture) any curve of genus at least 2 has at most finitely many
rational points. (Thus even before the proof of important cases of the Taniyama-
Shimura conjecture [Wi, TWi], and hence Fermat’s Last Theorem, we knew that
xn + yn = zn in P2 has at most finitely many rational solutions for n ≥ 4, as such
April 1, 2023 draft 537
( )
curves have genus n−1 2 > 1, see ([Link]).) In the language of differential geome-
try, Riemann surfaces of genus 0 are positively curved, Riemann surfaces of genus
1 are flat, and Riemann surfaces of genus at least 2 are negatively curved. It is a
fact that curves of genus at least 2 have finite automorphism groups (see §21.7.9),
while curves of genus 1 have one-dimensional automorphism groups, see Ques-
tion 19.10.6), and the unique curve of genus 0 over an algebraically closed field
has a three-dimensional automorphism group (see Exercises 15.2.D and 15.2.E).
(See Exercise 21.5.F for more on this issue.)
19.6.2. Back to curves of genus 2.
Over an algebraically closed field, we saw in §19.3 that there is only one genus
0 curve. In §19.5 we established that there are hyperelliptic curves of genus 2. How
can we get a hold of curves of genus 2? For example, are they all hyperelliptic?
“How many” are there? We now tackle these questions.
Fix a curve C of genus g = 2. Then ωC is degree 2g − 2 = 2, and has 2 sections
(Exercise 19.2.A). By Exercise 19.5.B, ωC is base-point-free, and thus induces a
double cover C → P1 (unique up to automorphisms of P1 , which we studied in
§15.2.7). Conversely, any double cover C → P1 arises from a degree 2 invertible
sheaf with at least 2 sections. Hence if g(C) = 2, this invertible sheaf must be
the dualizing sheaf, just because it is a degree 2g − 2 = 2 line bundle with g = 2
sections (or alternatively, by the easiest case of Proposition 19.5.6).
Hence we have a natural bijection between genus 2 curves and genus 2 double
covers of P1 (up to automorphisms of P1 ). If the characteristic is not 2, the hyper-
elliptic Riemann-Hurwitz formula (Theorem 19.5.1) shows that the double cover
is branched over 2g + 2 = 6 geometric points. In particular, we have a “three-
dimensional space of genus 2 curves”. This is not rigorous, but we can certainly
show that there are an infinite number of genus 2 curves. Precisely:
19.6.A. E XERCISE . Fix an algebraically closed field k of characteristic not 2. Show
that there are an infinite number of (pairwise) non-isomorphic genus 2 curves over
k.
19.6.B. E XERCISE . Show that every genus 2 curve (over any field of characteristic
not 2) has finite automorphism group.
19.7 Curves of genus 3
19.7.1. The canonical embedding.
We begin with two exercises in general genus g > 1, then specialize to genus
3.
19.7.A. E XERCISE . Assume k = k (purely to avoid distraction — feel free to
remove this hypothesis). Suppose C is a genus g curve, with g > 1. Show that if C
is not hyperelliptic, then the dualizing invertible sheaf gives a closed embedding
C ,→ Pg−1 . (In the hyperelliptic case, we have already seen that the dualizing sheaf
gives us a double cover of a rational normal curve.) Such a curve in Pg−1 is called
538 The Rising Sea: Foundations of Algebraic Geometry
a canonical curve, and this closed embedding is called the canonical embedding
of C.
19.7.B. E XERCISE . Suppose C is a curve of genus g > 1, over a field k that is not
necessarily algebraically closed. Show that C has a closed point of degree at most
2g − 2 over the base field. (For comparison: if g = 1, for any n, there is a genus 1
curve over Q with no point of degree less than n, [MO286390]!)
(This exercise gives a second proof that all genus 2 curves are hyperelliptic.)
Suppose now that C is a curve of genus 3. Then ωC has degree 2g − 2 = 4, and
has g = 3 sections.
19.7.2. Claim. — The invertible sheaf ωC is base-point-free, and hence gives a map to
P2 .
Proof. We check base-point-freeness by working over the algebraic closure k (which
we can, by Exercise 18.2.I). For any point p, by Riemann-Roch,
h0 (C, ωC (−p)) − h0 (C, O(p)) = deg(ωC (−p)) − g + 1 = 3 − 3 + 1 = 1.
But h0 (C, O(p)) = 1 by Proposition 19.4.1, so
h0 (C, ωC (−p)) = 2 = h0 (C, ωC ) − 1.
Thus p is not a base point of ωC for any p, so by Criterion 19.2.7 ωC is base-point-
free. □
The next natural question is: Is this a closed embedding? We use our “closed
embedding test” of §19.1, in the form of §19.2.10, including Exercise 19.2.D which
ensures we can assume k = k (i.e., we can apply the test over k rather than k). If it
isn’t a closed embedding, then we can find two points p and q (possibly the same)
such that
([Link]) h0 (C, ωC ) − h0 (C, ωC (−p − q)) = 1,
Then
h0 (C, O(p + q)) = h1 (C, O(p + q)) + deg(p + q) − h1 (C, O) + 1 (Riemann-Roch)
= h0 (C, ωC (−p − q)) + 2 − h0 (C, ωC ) + 1 (Serre duality, twice)
= 2 (from equ. ([Link]))
We have found a degree 2 divisor with 2 sections, so C is hyperelliptic (by Exer-
cise 19.5.B). Conversely, if C is hyperelliptic, then we already know that ωC gives
a double cover of a regular conic in P2 , and hence ωC does not give a closed em-
bedding.
Thus we conclude that if (and only if) C is not hyperelliptic, then the canonical
map describes C as a degree 4 curve in P2 .
Conversely, any quartic plane curve is canonically embedded (Exercise 19.7.A).
Reason: the curve has genus 3 (see ([Link])), and is mapped by an invertible sheaf
of degree 4 with 3 sections. But by Exercise 19.2.A, the only invertible sheaf of de-
gree 2g − 2 with g sections is ωC .
In particular, each nonhyperelliptic genus 3 curve can be described as a quartic
plane curve in only one way (up to automorphisms of P2 , which were described
in Exercise 15.2.D).
April 1, 2023 draft 539
In conclusion, there is a bijection between nonhyperelliptic genus 3 curves,
and plane quartic curves up to projective linear transformations (§15.2.7).
19.7.3. Remark. In particular, as there exist regular plane quartics (Exercise 13.3.E),
there exist nonhyperelliptic genus 3 curves.
19.7.C. E XERCISE ( CF. §19.5.8). Give a heuristic (non-rigorous) argument that the
nonhyperelliptic curves of genus 3 form a family of dimension 6. (Hint: Count the
dimension of the family of regular quartic plane curves, and quotient by Aut P2 =
PGL(3).)
The genus 3 curves thus seem to come in two families: the hyperelliptic curves
(a family of dimension 5), and the nonhyperelliptic curves (a family of dimension
6). This is misleading — they actually come in a single family of dimension 6.
In fact, hyperelliptic curves are naturally limits of nonhyperelliptic curves. We
can write down an explicit family. (This explanation necessarily requires some
hand-waving, as it involves topics we haven’t seen yet.) Suppose we have a hy-
perelliptic curve branched over 2g + 2 = 8 points of P1 . Choose an isomorphism of
P1 with a conic in P2 . There is a regular quartic meeting the conic at precisely those
8 points. (This requires a short argument using Bertini’s Theorem 13.4.2, which we
omit.) Then if f is the equation of the conic, and g is the equation of the quartic,
then f2 + t2 g is a family of quartics that are smooth for most t (smoothness is an
open condition in t, as we will see in Theorem 25.3.3 on generic smoothness). The
t = 0 case is a double conic. Then it is a fact that if you normalize the total space of
the family, the central fiber (above t = 0) turns into our hyperelliptic curve. Thus
we have expressed our hyperelliptic curve as a limit of nonhyperelliptic curves.
19.7.D. U NIMPORTANT E XERCISE . A (projective) curve (over a field k) admitting
a degree 3 cover of P1 is called trigonal. Show that every nonhyperelliptic genus
3 complex curve is trigonal, by taking the quartic model in P2 , and projecting to
P1 from any point on the curve. Do this by choosing coordinates on P2 so that p is
at [0, 0, 1]. (The same idea, applied to cubics rather than quartics, will be used in
§19.9.9.)
19.7.4. ⋆ A genus 3 curve with no nontrivial automorphisms.
We have seen that a (smooth projective integral) curve of genus at most 2 al-
ways has nontrivial automorphisms. It turns out that there are genus 3 curves
with no nontrivial automorphisms.
19.7.E. E XERCISE . Suppose C ′ ⊂ P2 is a smooth plane quartic curve (over any field
k). Show that there is bijection between automorphisms of C ′ and automorphisms
of P2 preserving C ′ (as a set).
Thus to find a genus 3 curve with no nontrivial automorphisms, we need
only find a smooth quartic plane curve C ′ such that the only automorphism of
P2 fixing C ′ as a set must be the identity. Your intuition may (correctly) tell you
that most quartics have this property. But exhibiting a specific C ′ (with proof) re-
quires rolling up our sleeves and getting to work. Poonen gives automorphism
free curves over any field in [P1]; an example in characteristic 0 is
y3 z − 3yz3 = 3x4 − 4x3 z + z4 .
540 The Rising Sea: Foundations of Algebraic Geometry
19.7.F. E XERCISE . Suppose C is a smooth projective curve with no nontrivial
automorphisms. Show that no two distinct open subsets of C are isomorphic.
19.7.5. Genus 3 curves with nontrivial automorphisms.
Certainly genus 3 curves can have nontrivial automorphisms: witness hyper-
elliptic curves. More impressive is the Klein quartic
x3 y + y3 z + z3 x = 0
in P2C , which has 168 automorphisms. (Can you find them all?) In fact, the auto-
morphism group of the Klein quartic is the unique finite simple group of order
168 (the second-smallest nonabelian finite simple group). In §21.7.9, we will see
that no genus 3 curve can have more automorphisms (assuming the hard fact that
curves of genus greater than 1 have finite automorphism groups).
19.8 Curves of genus 4 and 5
We first consider nonhyperelliptic curves C of genus 4. Note that deg ωC = 6
and h0 (C, ωC ) = 4, so the canonical map expresses C as a sextic curve in P3 . Let
i : C ,→ P3 be the canonical (closed) embedding. We shall see that all such C are
complete intersections of quadric surfaces and cubic surfaces, and conversely all
regular complete intersections of quadric surfaces and cubic surfaces are genus 4
nonhyperelliptic curves, canonically embedded.
By ([Link]) (Riemann-Roch and Serre duality),
h0 (C, i∗ OP3 (2)) = h0 (C, ω⊗2 ⊗2
C ) = deg ωC − g + 1 = 12 − 4 + 1 = 9.
( )
On the other hand, h0 (P3 , OP3 (2)) = 3+2 2 = 10 (Exercise 15.1.C). Thus the restric-
tion map
H0 (P3 , OP3 (2)) / H0 (C, i∗ OP3 (2))
must have a nontrivial kernel, so there is at least one quadric surface Q in P3
that contains our curve C. Now quadric surfaces are either double planes, or the
union of two planes, or cones, or regular quadrics. (They correspond to quadric
forms of rank 1, 2, 3, and 4 respectively. The rank of a quadratic form was defined
in Exercise 5.4.J.) But C can’t lie in a plane, so Q must be a cone or regular. In
particular, Q is irreducible.
Now C can’t lie on two (distinct) such quadrics, say Q and Q ′ . Otherwise, as
Q and Q ′ have no common components (they are irreducible and not the same!),
Q ∩ Q ′ is a curve (not necessarily reduced or irreducible). By Bézout’s Theorem
(Exercise 18.6.J), Q ∩ Q ′ is a curve of degree 4. Thus our curve C, being of degree
6, cannot be contained in Q ∩ Q ′ . (If you don’t see why directly, Exercise 18.6.E
might help.)
19.8.1. We next consider cubic surfaces. By ([Link]) again,
h0 (C, ω⊗3 ⊗3
C ) = deg ωC − g + 1 = 18 − 4 + 1 = 15.
( )
Now Sym3 Γ (C, ωC ) has dimension 3+3 3 = 20. Thus C lies on at least a 5-dimensional
vector space of cubics. Now a 4-dimensional subspace comes from multiplying the
quadratic form Q by a linear form (?w + ?x + ?y + ?z). Hence there is still one cubic
April 1, 2023 draft 541
K whose underlying form is not divisible by the quadric form Q (i.e., K doesn’t
contain Q.) Then K and Q share no component, so K ∩ Q is a complete intersection
containing C as a closed subscheme. Now K ∩ Q and C are both degree 6 (the
former by Bézout’s Theorem, Exercise 18.6.J, and the latter because C is embedded
by a degree 6 line bundle, Exercise 18.6.H). Also, K ∩ Q and C both have arithmetic
genus 4 (the former by Exercise 18.6.S). These two invariants determine the (lin-
ear) Hilbert polynomial, so K ∩ Q and C have the same Hilbert polynomial. Hence
C = K ∩ Q by Exercise 18.6.E.
We now show the converse, and that any regular complete intersection C of a
quadric surface with a cubic surface is a canonically embedded genus 4 curve. By
Exercise 18.6.S, such a complete intersection has genus 4.
19.8.A. E XERCISE . Show that OC (1) has at least 4 sections. (Translation: C doesn’t
lie in a hyperplane.)
The only degree 2g−2 invertible sheaf with (at least) g sections is the dualizing
∼ ωC , and C is indeed canonically embedded.
sheaf (Exercise 19.2.A), so OC (1) =
19.8.B. E XERCISE . Give a heuristic argument suggesting that the nonhyperelliptic
curves of genus 4 “form a family of dimension 9”.
On to genus 5!
19.8.C. E XERCISE . Suppose C is a nonhyperelliptic genus 5 curve. Show that the
canonical curve is degree 8 in P4 . Show that it lies on a three-dimensional vector
space of quadrics (i.e., it lies on 3 linearly independent quadrics). Show that a
regular complete intersection of 3 quadrics is a canonical(ly embedded) genus 5
curve.
Unfortunately, not all canonical genus 5 curves are the complete intersection of
3 quadrics in P4 . But in the same sense that most genus 3 curves can be described
as plane quartics, most canonical genus 5 curves are complete intersections of 3
quadrics, and most genus 5 curves are nonhyperelliptic. The correct way to say
this is that there is a dense Zariski-open locus in the moduli space of genus 5
curves consisting of nonhyperelliptic curves whose canonical embedding is cut
out by 3 quadrics.
(Those nonhyperelliptic genus 5 canonical curves not cut out by a three-dimensional
vector space of quadrics are precisely the trigonal curves, see Exercise 19.7.D. The
triplets of points mapping to the same point of P1 under the trigonal map turn out
to lie on a line in the canonical map. Any quadric vanishing along those 3 points
must vanish along the line — basically, any quadratic polynomial with three zeros
must be the zero polynomial.)
19.8.D. E XERCISE . Assuming the discussion above, count complete intersections
of three quadrics to give a heuristic argument suggesting that the curves of genus
5 “form a family of dimension 12”.
19.8.2. We have now understood curves of genus 3 through 5 by thinking of canon-
ical curves as complete intersections. Sadly our luck has run out.
19.8.E. E XERCISE . Show that if C ⊂ Pg−1 is a canonical curve of genus g ≥ 6, then
C is not a complete intersection. (Hint: Bézout’s Theorem, Exercise 18.6.J.)
542 The Rising Sea: Foundations of Algebraic Geometry
19.8.3. Some discussion on curves of general genus. However, we still have some data.
If Mg is this ill-defined “moduli space of genus g curves”, we have heuristics to
find its dimension for low g. In genus 0, over an algebraically closed field, there is
only genus 0 curve (Proposition 19.3.1), so it appears that dim M0 = 0. In genus 1,
over an algebraically closed field, we will soon see that the elliptic curves are clas-
sified by the j-invariant (Exercise 19.10.F), so it appears that dim M1 = 1. We have
also informally computed dim M2 = 3, dim M3 = 6, dim M4 = 9, dim M5 = 12.
What is the pattern? In fact in some strong sense it was known by Riemann that
dim Mg = 3g − 3 for g > 1. What goes wrong in genus 0 and genus 1? As a clue,
recall our insight when discussing Hilbert functions (§18.6) that whenever some
function is “eventually polynomial”, we should assume that it “wants to be poly-
nomial”, and there is some better function (usually an Euler characteristic) that
is polynomial, and that cohomology-vanishing ensures that the original function
and the better function “eventually agree”. Making sense of this in the case of
Mg is far beyond the scope of our current discussion, so we will content ourselves
by observing the following facts. Every regular curve of genus greater than 1 has
a finite number of automorphisms — a zero-dimensional automorphism group.
Every regular curve of genus 1 has a one-dimensional automorphism group (see
Question 19.10.6). And the only regular curve of genus 0 has a three-dimensional
automorphism group (Exercise 15.2.E). (See Aside 21.5.12 for more discussion.) So
notice that for all g ≥ 0,
dim Mg − dim Aut Cg = 3g − 3
where Aut Cg means the automorphism group of any curve of genus g.
In fact, in the language of stacks (or orbifolds), it makes sense to say that the
dimension of the moduli space of (smooth projective geometrically irreducible)
genus 0 curves is −3, and the dimension of the moduli space of genus 1 curves is
0.
19.9 Curves of genus 1
Finally, we come to the very rich case of curves of genus 1. We will present the
theory by discussing interesting things about line bundles of steadily increasing
degree.
19.9.1. Line bundles of degree 0.
Suppose C is a genus 1 curve. Then deg ωC = 2g − 2 = 0 and h0 (C, ωC ) =
g = 1 (by Exercise 19.2.A). But the only degree 0 invertible sheaf with a section
is the structure sheaf (§19.2.4), so we conclude that ωC = ∼ OC . (If you know that
complex genus 1 curves are of the form C modulo a lattice, and Miracle 18.5.2 that
the sheaf of differentials is dualizing, then you might not be surprised.)
We move on to line bundles of higher degree. Next, note that if deg L > 0,
then Riemann-Roch and Serre duality ([Link]) give
h0 (C, L ) = deg L − g + 1 = deg L .
19.9.2. Line bundles of degree 1.
April 1, 2023 draft 543
Each degree 1 (k-valued) point q determines a line bundle O(q), and two dis-
tinct points determine two distinct line bundles (as a degree 1 line bundle has only
one section, up to scalar multiples). Conversely, any degree 1 line bundle L is of
the form O(q) (as L has a section — then just take its divisor of zeros).
Thus we have a canonical bijection between degree 1 line bundles and degree
1 (closed) points. (If k is algebraically closed, as all closed points have residue field
k, this means that we have a canonical bijection between degree 1 line bundles and
closed points.)
Define an elliptic curve to be a genus 1 curve E with a choice of k-valued point
p. The choice of this point should always be considered part of the definition of
an elliptic curve — “elliptic curve” is not a synonym for “genus 1 curve”. (Note: a
genus 1 curve need not have any k-valued points at all! For example, the genus 1
curve “compactifying” y2 = −x4 −1 in A2Q has no R-points, and hence no Q-points.
Of course, if k = k, then any closed point is k-valued, by the Nullstellensatz 3.2.5.)
We will often denote elliptic curves by E rather than C.
If (E, p) is an elliptic curve, then there is a canonical bijection between the set
of degree 0 invertible sheaves (up to isomorphism) and the set of degree 1 points
of E: twist the degree 1 line bundles by O(−p). Explicitly, the bijection is given by
L / div(L (p))
O(q − p) o q
But the degree 0 invertible sheaves form a group (under tensor product), so
we have proved:
19.9.3. Proposition (the group law on the degree 1 points of an elliptic curve). —
The above bijection defines an abelian group structure on the degree 1 points of an elliptic
curve, where p is the identity.
From now on, we will identify closed points of E with degree 0 invertible
sheaves on E without comment.
For those familiar with the complex analytic picture, this is not surprising: E
is isomorphic to the complex numbers modulo a lattice: E = ∼ C/Λ. (We haven’t
shown this, of course.)
Proposition 19.9.3 is currently just a bijection of sets. Given that E has a much
richer structure (it has a generic point, and the structure of a variety), this is a sign
that there should be a way of defining some scheme Pic0 (E), and that this should be
an isomorphism of schemes. We will soon show (Theorem 19.10.4) that this group
structure on the degree 1 points of E comes from a group variety structure on E.
19.9.4. Aside: The Mordell-Weil Theorem, group, and rank. This is a good excuse to
mention the Mordell-Weil Theorem: for any elliptic curve E over Q, the Q-points of
E form a finitely generated abelian group, often called the Mordell-Weil group. By the
classification of finitely generated abelian groups (a special case of the classifica-
tion of finitely generated modules over a principal ideal domain, Remark 13.5.15),
the Q-points are a direct sum of a torsion part, and of a free Z-module. The rank
of the Z-module is called the Mordell-Weil rank.
544 The Rising Sea: Foundations of Algebraic Geometry
19.9.5. Line bundles of degree 2 (see Figure 19.4).
Note that OE (2p) has 2 sections, so E admits a double cover of P1 (Exercise 19.5.B).
One of the ramification points is p: one of the sections of OE (2p) vanishes at p to
order 2, so there is a point of P1 whose preimage consists of p (with multiplicity 2).
Assume now that k = k and char k ̸= 2, so we can use the hyperelliptic Riemann-
Hurwitz formula (Theorem 19.5.1), which implies that E has 4 ramification points
(p and three others). Conversely, given 4 points in P1 , there exists a unique double
cover branched at those 4 points (Proposition 19.5.2). Thus elliptic curves corre-
spond to 4 distinct points in P1 , where one is marked P, up to automorphisms of
P1 . Equivalently, by placing P at ∞, elliptic curves correspond to 3 points in A1 ,
up to affine maps x 7→ ax + b.
F IGURE 19.4. Elliptic curves yield double covers of the projective
line, branched at four points (§19.9.5)
19.9.A. E XERCISE . Show that the other three ramification points are precisely the
(non-identity) 2-torsion points in the group law. (Hint: if one of the points is q,
show that O(2q) = ∼ O(2p), but O(q) is not congruent to O(p).)
Thus (if char k ̸= 2 and k = k) every elliptic curve has precisely four 2-torsion
points. If you are familiar with the complex picture E =∼ C/Λ, this isn’t surprising.
19.9.6. Follow-up remark. An elliptic curve with full level n structure is an ellip-
tic curve with an isomorphism of its n-torsion points with (Z/n)2 . (This notion
has problems if n is divisible by char k.) Thus an elliptic curve with full level 2
structure is the same thing as an elliptic curve with an ordering of the three other
branch points in its degree 2 cover description. Thus (if k = k) these objects are
parametrized by the λ-line, which we discuss below.
Follow-up to the follow-up. There is a notion of moduli spaces of elliptic curves
with full level n structure. Such moduli spaces are smooth curves (where this is
interpreted appropriately — they are stacks), and have smooth compactifications.
A weight k level n modular form is a section of ω⊗k
M where ωM is the dualizing (or
canonical) sheaf of this moduli space (“modular curve”).
19.9.7. The cross-ratio and the j-invariant. (We maintain the assumption that k is
algebraically closed and characteristic not 2.) If the three other branch points are
temporarily labeled Q1 , Q2 , Q3 ∈ P1 , there is a unique automorphism of P1 taking
April 1, 2023 draft 545
P, Q1 , Q2 to (∞, 0, 1) respectively (as Aut P1 is three-transitive, Exercise 15.2.E).
Suppose that Q3 is taken to some number λ under this map, where necessarily
λ ̸= 0, 1, ∞.
The value λ is called the cross-ratio of the four points (P, Q1 , Q2 , Q3 ) of P1
(invented by Pappus of Alexandria, [MO152008]).
19.9.B. E XERCISE . Show that isomorphism classes of four ordered distinct (closed)
points on P1 (over an algebraically closed field k), up to projective equivalence
(automorphisms of P1 ), are classified by the cross-ratio.
19.9.C. E XERCISE . Show that the cross-ratio of (a, b, c, d) is the same as the cross
ratio of (b, a, d, c). The group S4 acts on 4-tuples of points on P1 , and hence on
their cross ratios. Show that the action of S4 on the cross-ratio is trivial when
restricted to the “Klein 4-group” V4 ⊂ S4 .
We have not defined the notion of moduli space, but the previous exercise illus-
trates the fact that P1 − {0, 1, ∞} (the image of the cross-ratio map) is the moduli
space for four ordered distinct points of P1 up to projective equivalence.
Notice:
• If we had instead sent P, Q2 , Q1 to (∞, 0, 1), then Q3 would have been
sent to 1 − λ.
• If we had instead sent P, Q1 , Q3 to (∞, 0, 1), then Q2 would have been
sent to 1/λ.
• If we had instead sent P, Q3 , Q1 to (∞, 0, 1), then Q2 would have been
sent to 1 − 1/λ = (λ − 1)/λ.
• If we had instead sent P, Q2 , Q3 to (∞, 0, 1), then Q1 would have been
sent to 1/(1 − λ).
• If we had instead sent P, Q3 , Q2 to (∞, 0, 1), then Q1 would have been
sent to 1 − 1/(1 − λ) = λ/(λ − 1).
Thus these six values (which correspond to S3 , the symmetric group permut-
ing Q1 , Q2 , and Q3 ) yield the same elliptic curve, and this elliptic curve will (upon
choosing an ordering of the other 3 branch points) yield one of these six values.
This is fairly satisfactory already. To check if two elliptic curves (E, p), (E ′ , p ′ )
over k = k are isomorphic, we write both as double covers of P1 ramified at p
and p ′ respectively, then order the remaining branch points, then compute their
respective λ’s (say λ and λ ′ respectively), and see if they are related by one of the
six expressions above:
([Link]) λ ′ = λ, 1/λ, 1 − λ, 1/(1 − λ), (λ − 1)/λ, or λ/(λ − 1).
It would be far more convenient if, instead of a “six-valued invariant” λ, there
were a single invariant (let’s call it j), such that j(λ) = j(λ ′ ) if and only if one of
the equalities of ([Link]) holds. This j-function should presumably be algebraic,
so it would give a map j from the λ-line A1 − {0, 1} to the A1 . By the Curve-to-
Projective Extension Theorem 15.3.1, this would extend to a morphism j : P1 → P1 .
By Exercise 16.3.D, because this is (for most λ) a 6-to-1 map, the degree of this
cover is 6 (or more correctly, at least 6).
We can make this dream more precise as follows. The elliptic curves over k
correspond to k-valued points of P1 − {0, 1, ∞}, modulo the action of S3 on λ given
above. Consider the subfield K of k(λ) fixed by S3 . Then the extension k(λ)/K
546 The Rising Sea: Foundations of Algebraic Geometry
is necessarily Galois (see for example [DF, §14.2, Thm. 9]), and degree 6. We are
hoping that this subfield is of the form k(j), and if so, we would obtain the j-map
P1 → P1 as described above. One could show that K is finitely generated over k,
and then invoke Lüroth’s Theorem, which we will soon prove in Example 21.7.7;
but we won’t need this.
Instead, we will just hunt for such a j. Note that λ should satisfy a sextic poly-
nomial over k(j) (or more precisely given what we know right now, a polynomial
of degree at least six), as for each j-invariant, there are six values of λ in general.
As you are undoubtedly aware, there is such a j-invariant. Here is the formula
for the j-invariant that everyone uses:
(λ2 − λ + 1)3
([Link]) j = 28 .
λ2 (λ − 1)2
You can readily check that j(λ) = j(1/λ) = j(1 − λ) = · · · , and that as j (in
lowest terms) has a degree 6 numerator and degree < 6 denominator, j indeeds
determines a degree 6 map from P1 (with coordinate λ) to P1 (with coordinate j).
But this complicated-looking formula begs the question: where did this formula
come from? How did someone think of it? We will largely answer this, but we will
ignore the 28 . This, as you might imagine, arises from characteristic 2 issues, and
in order to invoke the results of §19.5 we have been assuming char k ̸= 2. (To see
why the 28 is forced upon us by characteristic 2, see [De, p. 64]. From a different,
complex-analytic, point of view, the 28 comes from the fact that the q-expansion of
j begins j = q−1 + 744 + · · · : the q−1 term has coefficient 1; see [Se5, p. 90, Rem. 2].
These seemingly different explanations are related by the theory of the Tate curve,
see [Si2, Thm. V.3.1].)
Rather than using the formula handed to us, let’s try to guess what j is. We
won’t expect to get the same formula as ([Link]), but our answer should differ by
an automorphism of the j-line (P1 ) — we will get j ′ = (aj + b)/(cj + d) for some a,
b, c, d (Exercise 15.2.D).
We are looking for some j ′ (λ) such that j ′ (λ) = j ′ (1/λ) = · · · . Hence we
want some expression in λ that is invariant under this S3 -action. A first possibility
would be to take the product of the six numbers
1 λ−1 1 λ
λ · (1 − λ) · · · ·
λ λ 1−λ λ−1
This is silly, as the product is obviously 1.
A better idea is to add them all together:
1 λ−1 1 λ
λ + (1 − λ) + + + +
λ λ 1−λ λ−1
This also doesn’t work, as they add to 3 — the six terms come in pairs adding to 1.
(Another reason you might realize this can’t work: if you look at the sum, you
will realize that you will get something of the form “degree at most 3” divided by
“degree at most 2”. Then if j ′ = p(λ)/q(λ), then λ is a root of a cubic over j. But we
said that λ should satisfy a sextic over j ′ . The only way we avoid a contradiction
is if j ′ ∈ k.)
But you will undoubtedly have another idea immediately. One good idea is
to take the second symmetric function in the six roots. An equivalent one that is
easier to do by hand is to add up the squares of the six terms. Even before doing
April 1, 2023 draft 547
the calculation, we can see that this will work: it will clearly produce a fraction
whose numerator and denominator have degree at most 6, and it is not constant,
as when λ is some fixed small number (say 1/2), the sum of squares is some small
real number, while when λ is a large real number, the sum of squares will have to
be some large real number (different from the value when λ = 1/2).
When you add up the squares by hand (which is not hard), you will get
2λ6 − 6λ5 + 9λ4 − 8λ3 + 9λ2 − 6λ + 2
j′ = .
λ2 (λ − 1)2
∼ k(j ′ ): you can check (again by hand) that
Indeed k(j) =
2λ6 − 6λ5 + 12λ4 − 14λ3 + 12λ2 − 6λ + 2
2j/28 = .
λ2 (λ − 1)2
Thus 2j/28 − j ′ = 3.
19.9.8. Line bundles of degree 3.
In the discussion of degree 2 line bundles 19.9.5, we assumed char k ̸= 2 and
k = k, in order to invoke the Riemann-Hurwitz formula. In this section, we will
start with no assumptions, and add them as we need them. In this way, you will
see what partial results hold with weaker assumptions.
Consider the degree 3 invertible sheaf OE (3p). By Riemann-Roch ([Link]),
h0 (E, OE (3p)) = deg(3p) − g + 1 = 3. As deg OE (3p) > 2g, this gives a closed em-
bedding (Remark 19.2.11 and Exercise 19.2.D). Thus we have a closed embedding
E ,→ P2k as a cubic curve. Moreover, there is a line in P2k meeting E at point p with
multiplicity 3, corresponding to the section of O(3p) vanishing precisely at p with
multiplicity 3. (A line in the plane meeting a smooth curve with multiplicity at
least 2 is a tangent line, see Definition 13.3.3. A line in the plane meeting a smooth
curve with multiplicity at least 3 is said to be a flex line, and that point is a flex
point or flex of the curve.) (See Figure 19.5.)
F IGURE 19.5. Finding the Weierstrass cubic incarnation of an el-
liptic curve
548 The Rising Sea: Foundations of Algebraic Geometry
Choose projective coordinates on P2k so that p maps to [0, 1, 0], and the flex line
is the line at infinity z = 0. Then the cubic is of the following form:
? x3 + 0 x2 y + 0 xy2 + 0 y3
+ ? x2 z + ? xyz + ? y2 z =0
+ ? xz2 + ? yz2
+ ? z3
The coefficient of x3 is not 0 (or else this cubic is divisible by z). Dividing the
entire equation by this coefficient, we can assume that the coefficient of x3 is 1.
The coefficient of y2 z is not 0 either (or else this cubic is singular at x = z = 0).
We can scale z (i.e., replace z by a suitable multiple) so that the coefficient of y2 z
is −1. If the characteristic of k is not 2, then we can then replace y by y + ?x + ?z
so that the coefficients of xyz and yz2 are 0, and if the characteristic of k is not 3,
we can replace x by x + ?z so that the coefficient of x2 z is also 0. In conclusion, if
char k ̸= 2, 3, the elliptic curve may be written as
([Link]) y2 z = x3 + axz2 + bz3 .
This is called the Weierstrass normal form of the curve.
19.9.9. From the Weierstrass cubic to the double cover. We see the hyperelliptic (double
cover) description of the curve by setting z = 1, or more precisely, by working in
the distinguished open set z ̸= 0 and using inhomogeneous coordinates. Here is
the geometric explanation of why the double cover description is visible in the
cubic description. Project the cubic from p = [0, 1, 0] (see Figure 19.6). This is a
map E − p → P1 (given by [x, y, z] 99K [x, z]), and is basically the vertical projection
of the cubic to the x-axis. (Figure f:Wdc may help you visualize this.) By the Curve-
to-Projective Extension Theorem 15.3.1, the morphism E − p → P1 extends over p.
If L := O(3p) is the line bundle giving the morphism E ,→ P2 (via Theorem 15.2.2
describing maps to projective space in terms of line bundles), then the two sections
x and z giving the map to P1 vanish at p to order 1 and 3 respectively. To “resolve”
the rational map into an honest morphism, we interpret x and z as sections of
L (−p) = O(2p), and now they generate a base-point-free linear series, and thus a
morphism to P1 . (You may be able to interpret this as implementing the proof of
Theorem 15.2.2 in a different language.) A similar idea, applied to quartics rather
than cubics, was used in Exercise 19.7.D.
As a consequence, with a little sweat, we can compute the j-invariant as a
function of a and b:
28 33 a3
j(a, b) = .
4a3 + 27b2
19.9.D. E XERCISE . Show that the flexes of the cubic are the 3-torsion points in the
group E. (“Flex” was defined in §19.9.8: it is a point where the tangent line meets
April 1, 2023 draft 549
F IGURE 19.6. From the Weierstrass cubic to the double cover in-
terpretation of an elliptic curve (cf. Figure 19.5)
the curve with multiplicity at least 3 at that point. In fact, if k is algebraically closed
and char k ̸= 3, there are nine of them. This won’t be surprising if you are familiar
with the complex story, E = ∼ C/Λ.)
19.9.10. The group law, geometrically.
The group law has a beautiful classical description in terms of the Weierstrass
form. Consider Figure 19.7. In the Weierstrass coordinates, the origin p is the only
point of E meeting the line at infinity (z = 0); in fact the line at infinity corresponds
to the tautological section of O(3p). If a line meets E at three points p1 , p2 , p3 , then
∼ O(3p)
O(p1 + p2 + p3 ) =
from which (in the group law) p1 + p2 + p3 = 0.
Hence to find the inverse of a point s, we consider the intersection of E with
the line sp; −s is the third point of intersection. To find the sum of two points q
and r, we consider the intersection of E with the line qr, and call the third point s.
We then compute −s by connecting s to p, obtaining q + r.
We could give this description of a group law on a cubic curve in Weierstrass
normal form to anyone familiar with the notion of projective space, and the notion
of a group, but we would then have to prove that the construction we are giving
indeed defines a group. In particular, we would have to prove associativity, which
is not a priori clear. But in this case, we have already established that the degree 1
points form a group, by giving a bijection to Pic0 E, and we are merely interpreting
the group law on Pic0 E.
550 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 19.7. The group law on the elliptic curve, geometrically
Note that this description works even in characteristic 2 and 3; we do not need
the cubic to be in Weierstrass normal form, and we need only that O(3p) gives a
closed embedding into P2 .
19.9.11. Degree 4 line bundles. You have probably forgotten that we began by
studying line bundles degree by degree. The story doesn’t stop in degree 3. In the
same way that we showed that a canonically embedded nonhyperelliptic curve of
genus 4 is the complete intersection in P3k of a quadric surface and a cubic surface
(§19.8), we can show the following.
19.9.E. E XERCISE . Show that the complete linear series for O(4p) embeds E in
P3 as the complete intersection of two quadrics. Hint: Show the image of E is
contained in at least 2 linearly independent quadrics. Show that neither can be
reducible, so they share no components. Use Bézout’s Theorem (Exercise 18.6.J)
and Exercise 18.6.E, as in §19.8.1.
The beautiful structure doesn’t stop with degree 4, but it gets more compli-
cated. For example, the degree 5 embedding is not a complete intersection (of
hypersurfaces), but is the complete intersection of G(2, 5) under its Plücker em-
bedding with five hyperplanes (or perhaps better, a codimension 5 linear space).
In seemingly different terminology, its equations are 4×4 Pfaffians of a general 5×5
skew-symmetric matrix of linear forms, although I won’t say what this means.
19.10 Elliptic curves are group varieties
Ever since 1949, I considered the construction of an algebraic theory of the Picard
variety as the task of greatest urgency in abstract algebraic geometry.
— A. Weil [Weil, p. 537]
April 1, 2023 draft 551
We initially described the group law on the degree 1 points of an algebraic
curve in a rather abstract way. From that definition, it was not clear that over C the
group operations (addition, inverse) are continuous. But the explicit description in
terms of the Weierstrass cubic makes this clear. In fact we can observe even more:
addition and inverse are algebraic in general. Better yet, elliptic curves are group
varieties. (Thus they are abelian varieties, see Definition 11.5.11.)
19.10.1. (This is a clue that Pic0 (E) really wants to be a scheme, and not just a
group. Once the notion of “moduli space of line bundles on a variety” is made
precise, this can be shown, see for example [FGIKNV, Part 5].)
We begin with the “group inverse” morphism, as a warm-up.
19.10.2. Proposition. — If char k ̸= 2, 3, there is a morphism of k-varieties E → E
sending a (degree 1) point to its inverse, and this construction behaves well under field
extension of k.
In other words, the “inverse map” in the group law actually arises from a mor-
phism of schemes — it isn’t just a set map. (You are welcome to think through the
two remaining characteristics, and to see that essentially the same proof applies.
But the proof of Theorem 19.10.4 will give you a better sense of how to proceed.)
Proof. Consider the map (the hyperelliptic involution) y 7→ −y of the Weierstrass
normal form. □
The algebraic description of addition would be a big mess if we were to write
it down. We will be able to show algebraicity by a trick — not by writing it down
explicitly, but by thinking through how we could write it down explicitly. The
main part of the trick is the following proposition. We give it in some generality
just because it can be useful, but you may prefer to assume that k = k and C is a
regular cubic.
19.10.3. Proposition. — Suppose C ⊂ P2k is a geometrically integral cubic curve (so
in particular C contains no lines). Let Creg be the regular points of C. There is a unique
morphism t : Creg × Creg → Creg such that
(a) if p and q are distinct regular k-valued points of C, then t(p, q) is obtained by
intersecting the line pq with C, and taking the third “residual” point of inter-
section with C. More precisely, pq will meet C at three points with multiplicity
(Exercise 9.3.D), including p and q; t(p, q) is the third point; and
(b) this property remains true after extension to k.
Furthermore, if p is a k-valued point of Creg , then t(p, p) is where the tangent line ℓ to C
at p meets C again. More precisely, ℓ will meet C at three points with multiplicity, which
includes p with multiplicity 2; t(p, p) is the third point.
We will need property (b) because C may have few enough k-valued points
(perhaps none!) that the morphism t can not be determined by its behavior on
them. In the course of the proof, we will see that (b) can be extended to “this
property remains true after any field extension of k”.
Proof. We first show (in this paragraph) that if p and q are distinct regular points,
then the third point r of intersection of pq with C is also regular. If r = p or r = q,
552 The Rising Sea: Foundations of Algebraic Geometry
we are done. Otherwise, the cubic obtained by restricting C to pq has three distinct
(hence reduced, i.e., multiplicity 1) roots, p, q, and r. Thus C ∩ pq is regular at r,
so r is a regular point of C by the slicing criterion for regularity, Exercise 13.2.C.
We now assume that k = k, and leave the general case to the end. Fix p, q,
and r, where p ̸= q, and r is the “third” point of intersection of pq with C. We will
describe a morphism tp,q in an open neighborhood of (p, q) ∈ Creg × Creg . By Ex-
ercise 11.4.B, showing that morphisms of varieties over k are determined by their
behavior on closed (k-valued) points, these morphisms glue together (uniquely)
to give a morphism t, completing the proof in the case k = k.
Choose projective coordinates on P2 in such a way that U0 = ∼ Spec k[x1 , x2 ]
contains p, q, and r, and the line pq is not “vertical”. More precisely, in Spec k[x1 , x2 ],
say p = (p1 , p2 ) (in terms of “classical coordinates” — more pedantically, p =
[(x1 −p1 , x2 −p2 )]), q = (q1 , q2 ), r = (r1 , r2 ), and p1 ̸= q1 . In these coordinates, the
curve C is cut out by some cubic, which we also sloppily denote C: C(x1 , x2 ) = 0.
Now suppose P = (P1 , P2 ) and Q = (Q1 , Q2 ) are two points of C ∩ U0 (not
necessarily our p and q). We attempt to compute the third point of intersection of
PQ with C, in a way that works on an open subset of C × C that includes (p, q). To
do this explicitly requires ugly high school algebra, but because we know how it
looks, we will be able to avoid dealing with any details!
−Q2
The line PQ is given by x2 = mx1 + b, where m = PP12 −Q 1
and b = P2 − mP1
are both rational functions of P and Q. Then m and b are defined for all P and Q
such that P1 ̸= Q1 (and hence for an open neighborhood of (p, q), as p1 ̸= q1 , and
as P1 ̸= Q1 is an open condition).
Now we solve for C∩PQ, by substituting x2 = mx1 +b into C, to get C(x1 , mx1 +
b). This is a cubic in x1 , say
γ(x1 ) = Ax31 + Bx21 + Cx1 + D = 0.
The coefficients of γ are rational functions of P1 , P2 , Q1 , and Q2 . The cubic γ has 3
roots (with multiplicity) so long as A ̸= 0 , which is a Zariski-open condition on m
and b, and hence a Zariski-open condition on P1 , P2 , Q1 , Q2 . As P, Q ∈ C∩PQ∩U0 ,
P1 and Q1 are two of the roots of γ(x1 ) = 0. Since the line PQ contains p q, and
r, the third root of γ(x1 ) = 0 is R1 . The sum of the roots of γ(x1 ) = 0 is −B/A (by
Viète’s formula), so the third root of γ is R1 := −B/A − P1 − Q1 . Thus if we take
R2 = mR1 + b, we have found the third point of intersection of PQ with C (which
happily lies in U0 ) We have thus described a morphism from the open subset of
(Creg ∩ U0 ) × (Creg ∩ U0 ), containing (p, q), that does what we want. (Precisely,
the open subset is defined by A ̸= 0, which can be explicitly unwound.) We have
thus completed the proof of Proposition 19.10.3 (except for the last paragraph) for
k = k. (Those who believe they are interested only in algebraically closed fields
can skip ahead.)
We extend this to Proposition 19.10.3 for every field k except F2 . Suppose
[x ,x ]
U0 1 2 = Spec k[x1 , x2 ] is any affine open subset of P2k , along with choice of coor-
dinates. (The awkward superscript “[x1 , x2 ]” is there to emphasize that the partic-
ular coordinates are used in the construction.) Then the construction above gives a
[x ,x ] [x ,x ]
morphism defined over k from an open subset of (Creg ∩ U0 1 2 ) × (Creg ∩ U0 1 2 )
(note that all of the hypothetical algebra was done over k), that sends P and Q to
the third point of intersection of PQ with C. Note that this construction commutes
April 1, 2023 draft 553
with any field extension, as the construction is insensitive to the field we are work-
ing over. Thus after base change to the algebraic closure, the map also has the
property that it takes as input two points, and spits out the third point of intersec-
[x ,x ]
tion of the line with the cubic. Furthermore, all of these maps (as U0 1 2 varies
over all complements U0 of lines “with k-coefficients”, and choices of coordinates
on U0 ) can be glued together: they agree on their pairwise overlaps (as after base
change to k they are the same, by our previous discussion, and two maps that are
the same after base change to k were the same to begin with by Exercise 10.2.J),
and this is what is required to glue them together (Exercise 7.2.A).
[x ,x ]
We can geometrically interpret the open subset (Creg ∩ U0 1 2 ) × (Creg ∩
[x ,x ]
U0 1 2 ) by examining the construction: it is defined in the locus {P = (P1 , P2 ), Q =
(Q1 , Q2 )} where (i) P1 ̸= Q1 , and (ii) the third point of intersection R of PQ with C
also lies in U0 .
So which points (P, Q) of Creg × Creg are missed? Condition (i) isn’t important;
if (P, Q) satisfies (ii) but not (i), we can swap the roles of x1 and x2 , and (P, Q) will
then satisfy (i). The only way (P, Q) can not be covered by one of these open sets
is if there is no U0 (a complement of a line defined over k) that includes P, Q, and
R.
19.10.A. E XERCISE . Use |k| > 2 to show that there is a linear form on P2 with
coefficients in k that misses P, Q, and R. (This is sadly not true if k = F2 — do you
see why?)
19.10.B. E XERCISE . Prove the last statement of Proposition 19.10.3.
19.10.C. ⋆⋆ U NIMPORTANT E XERCISE . Complete the proof by dealing with the
case k = F2 . Hint: first produce the morphism t over F4 . The goal is then to
show that this t is really “defined over” F2 (“descends to” F2 ). The morphism
t is initially described locally by considering the complement of a line defined
over F4 (and then letting the line vary). Instead, look at the map by looking at
the complement of a line and its “conjugate”. The complement of the line and
its conjugate is an affine F2 -variety. The partially-defined map t on this affine
variety is a priori defined over F4 , and is preserved by conjugation. Show that this
partially defined map is “really” defined over F2 . (If you figure out what all of this
means, you will have an important initial insight into the theory of “descent”.)
□
We can now use this to define the group variety structure on E.
19.10.4. Theorem. — Suppose (E, p) is an elliptic curve (a regular genus 1 curve over
k, with a k-valued point p). Take the Weierstrass embedding of E in P2k , via the complete
linear series |OE (3p)|. Define the k-morphism e : Spec k → E by sending Spec k to p.
Define the k-morphism i : E → E via q 7→ t(p, q), or more precisely, as the composition
(id,e)
E / E×E t / E.
Define the k-morphism m : E × E → E via (q, r) 7→ t(p, t(q, r)). Then (E, e, i, m) is a
group variety over k.
554 The Rising Sea: Foundations of Algebraic Geometry
By the construction of t, all of these morphisms “commute with arbitrary base
extension”.
Proof. We need to check that various pairs of morphisms described in axioms (i)–
(iii) of §7.6.4 are equal. For example, in axiom (iii), we need to show that m ◦
(i, id) = m ◦ (id, i); all of the axioms are clearly of this sort.
Assume first that k = k. Then each of these pairs of morphisms agree as
maps of k-points: Pic E is a group, and under the bijection between Pic E and E of
Proposition 19.9.3, the group operations translate into the maps described in the
statement of Theorem 19.10.4 by the discussion of §19.9.10.
But morphisms of k-varieties are determined by their maps on the level of
k-points (Exercise 11.4.B), so each of these pairs of morphisms are the same.
For general k, we note that from the k case, these morphisms agree after base
change to the algebraic closure. Then by Exercise 10.2.J, they must agree to begin
with. □
19.10.5. Features of this construction. The most common derivation of the proper-
ties of an elliptic curve is to describe it as a cubic, and then to describe addition
using the explicit construction with lines. Then one has to work to prove that the
multiplication described is associative.
Instead, we started with something that was patently a group (the degree 0
line bundles). We interpreted the maps used in the definition of the group (ad-
dition and inverse) geometrically using our cubic interpretation of elliptic curves.
This allowed us to see that these maps were algebraic.
As a bonus, we see that in some vague sense, the Picard group of an elliptic
curve wants to be an algebraic variety.
19.10.D. E XERCISE . Suppose p and q are k-points of a genus 1 curve E. Show that
there is an automorphism of E sending p to q.
19.10.E. E XERCISE . Suppose (E, p) is an elliptic curve over an algebraically closed
field k of characteristic not 2 or 3. Show that the automorphism group of (E, p)
is isomorphic to Z/2, Z/4, or Z/6. (An automorphism of an elliptic curve (E, p)
over k = k is an automorphism of E fixing p scheme-theoretically, or equiva-
lently, fixing the k-valued point p by Exercise 11.4.B.) Hint: reduce to the ques-
tion of automorphisms of P1 fixing a point ∞ and a set of distinct three points
{p1 , p2 , p3 } ∈ P1 \ {∞}. (The algebraic closure of k is not essential, so feel free to
remove this hypothesis, using Exercise 10.2.J. What happens if the characteristic is
3?)
19.10.F. E XERCISE . Explain why genus 1 curves over an algebraically closed field
of characteristic not 2 are classified (up to isomorphism) by j-invariant. (Caution:
note that the problem says “genus 1”, not “elliptic”.)
19.10.G. E XERCISE . Give (with proof) two elliptic curves over Q with the same
j-invariant that are not isomorphic. (Hint: §19.5.3.)
April 1, 2023 draft 555
19.10.6. Vague question. What are the possible automorphism groups of a genus 1
curve over an algebraically closed k of characteristic not 2? You should be able to
convince yourself that the group has “dimension 1”.
19.10.H. I MPORTANT E XERCISE : A DEGENERATE ELLIPTIC CURVE . Consider the
genus 1 curve C ⊂ P2k given by y2 z = x3 +x2 z, with the point p = [0, 1, 0]. Emulate
the above argument to show that C \ {[0, 0, 1]} is a group variety (where the oper-
ation is that given by tensoring line bundles). Show that it is isomorphic to Gm
(the multiplicative group scheme Spec k[t, t−1 ], see Exercise 7.6.E) with coordinate
t = y/x, by showing an isomorphism of schemes, and showing that multiplication
and inverse in both group varieties agree under this isomorphism.
19.10.I. E XERCISE : AN EVEN MORE DEGENERATE ELLIPTIC CURVE . Consider the
genus 1 curve C ⊂ P2k given by y2 z = x3 , with the point p = [0, 1, 0]. Emulate
the above argument to show that C \ {[0, 0, 1]} is a group variety. Show that it
is isomorphic to A1 (with additive group structure) with coordinate t = x/y, by
showing an isomorphism of schemes, and showing that multiplication/addition
and inverse in both group varieties agree under this isomorphism.
19.10.7. ⋆ Towards Poncelet’s Porism.
These ideas lead to a beautiful classical fact, Poncelet’s Porism. (A porism is an
archaic name for a type of mathematical result.)
F IGURE 19.8. Poncelet’s Porism 19.10.8
19.10.8. Poncelet’s Porism. — Suppose C and D are two ellipses in R2 , with C contain-
ing D. Choose any point p0 on C. Choose one of the two tangents ℓ1 from p0 to D. Then
ℓ1 meets C at two points in total: p0 and another point p1 . From p1 , there are two tan-
gents to D, ℓ1 and another line ℓ2 . The line ℓ2 meets C at some other point p2 . Continue
this to get a sequence of points p0 , p1 , p2 , . . . . Suppose this sequence starting with p0 is
periodic, i.e., p0 = pn for some n. Then it is periodic with any starting point p ∈ C (see
Figure 19.8).
It is possible to prove Poncelet’s Porism in an elementary manner, but a proof
involving elliptic curves is quite beautiful, and gives connections to more sophisti-
cated ideas. Rather than proving Poncelet’s Porism, we discuss some related facts.
19.10.J. E XERCISE . Suppose E is a smooth degree 3 projective plane curve over an
algebraically closed field, q, r ∈ E, and n is a positive integer. Let F : E → E be the
556 The Rising Sea: Foundations of Algebraic Geometry
morphism x 7→ t(r, t(q, x)). Suppose that Fn (p) = p for some closed point p ∈ E.
Show that Fn (x) = x for all points x ∈ E.
You should feel the urge to improve this result. (Can you show that if Fn (p) =
p for some p ∈ E, then Fn is the identity morphism on E? Can you extend this to
the case where the base field is not algebraically closed?)
19.10.K. E XERCISE . Suppose E is an ellipse in R2 . For each point (x, y) ∈ E, there is
another point G(x, y) := (x, y ′ ) (possibly the same), with the same first coordinate,
corresponding to the “other” intersection of the vertical line through (x, y) with E.
Similarly, there is another point H(x, y) := (x ′ , y), with the same second coordinate.
Let F = G ◦ H. Show that if F17 (p) = p for some point p ∈ E, then F17 (x) = x for all
points x ∈ E. (See Figure 19.9, where 17 is replaced by 3.) Hint: this might be best
done not using any fancy methods from algebraic geometry.
Again, you should wish to improve this. To what extent is this dependent on
the real numbers? What if the ellipse was instead a different conic section? (And
what does this have to do with elliptic curves? Why is the conic called E?!)
F IGURE 19.9. Exercise 19.10.K (with 17 replaced by 3)
19.10.L. ⋆⋆ E XERCISE . Let k be a field, algebraically closed purely for convenience.
Suppose Q is a smooth quadric surface in P3k , and K is a cone (a rank 3 quadric) in
P3 , such that E = Q ∩ K is a smooth curve.
(a) Show that E has genus 1.
(b) If ℓ is a line on Q, show that E meets ℓ at two points (with multiplicity).
(c) Fix one of the rulings (family of lines) of Q. Show that there exists a morphism
G : E → E that takes a closed point p of E, and sends it to the other point of E on
the line ℓ in the ruling containing p.
(d) Define H : E → E similarly, using the other ruling of Q. Fix a positive integer n.
Let F = G ◦ H. Show that if Fn (p) = p for one closed point p ∈ E, then Fn (x) = x
for all x ∈ E.
April 1, 2023 draft 557
We now connect Exercise 19.10.L to Poncelet’s Porism 19.10.8. Let v be the
cone point of K. Then v ∈/ Q, as otherwise v would be a singular point of Q ∩ K (Do
you see why?). It is a fact that projection from v gives a morphism Q → P2k that is
branched over a smooth conic D. (You may be able to make this precise, and prove
it, after reading Chapter 21.) The lines on Q project to tangent lines to D in P2k . The
projection from v contracts K\{v} to a conic C. You may be able to interpret the state-
ment of Poncelet’s Porism 19.10.8 (for this C and D) in terms of Exercise 19.10.L.
(Caution: the field is not algebraically closed in Poncelet’s Porism 19.10.8, and is
algebraically closed in Exercise 19.10.L.) You may even be able to take an arbitrary
C and D as in Poncelet’s Porism 19.10.8, and reverse-engineer K and Q as in Exer-
cise 19.10.L, thereby proving Poncelet’s Porism (and discovering why there is an
elliptic curve hidden in its statement).
19.11 Counterexamples and pathologies using elliptic curves
We now give some fun counterexamples using our understanding of elliptic
curves. The main extra juice elliptic curves give us comes from the fact that elliptic
curves are the simplest varieties with “continuous Picard groups”.
19.11.1. An example of a scheme that is factorial, but such that no affine open
neighborhood of any point has ring that is a unique factorization domain.
Suppose E is an elliptic curve over C (or some other uncountable algebraically
closed field). Consider p ∈ E. The local ring OE,p is a discrete valuation ring
and hence a unique factorization domain (Theorem 13.5.8). Then any affine open
neighborhood of E is of the form E − q1 − · · · − qn for some points q1 , . . . , qn . I
claim that its Picard group is nontrivial. Recall the exact sequence:
(a1 ,...,an )7→a1 q1 +···+an qn
Z⊕n / Pic E / Pic(E − q1 − · · · − qn ) /0.
But the group on the left is countable, and the group in the middle is uncountable,
so the group on the right, Pic(E − q1 − · · · − qn ), is nonzero. We have shown
that every nonempty open subset of E has nonzero line bundles, as promised in
Remark 14.2.10.
As E − q1 − · · · − qn is affine, by Exercise 15.4.V the corresponding ring is not a
unique factorization domain. To summarize: complex elliptic curves are factorial,
but no affine open subset has a ring that has unique factorization, as promised in
§5.4.4.
19.11.A. E XERCISE . The above argument shows that over an uncountable field,
Pic E is not a finitely generated group. Show that even over the countable field Q,
Pic E is not a finitely generated group, as follows. If the elliptic curve E is generated
by q1 , . . . , qn , then there is a finite extension of fields K of Q over which all qi are
defined — the compositum of the residue fields of the qi . (Careful — do you see
what it means for the qi to be “defined” over a smaller field than Q?) Show that
any point in the subgroup of E generated by the qi must also be defined over K.
Show that E has a point not defined over K. Use this to show that Pic E is not
finitely generated. (The same argument works with Q replaced by Fp .)
558 The Rising Sea: Foundations of Algebraic Geometry
19.11.2. Remark. In contrast to the above discussion, over Q, the Mordell-Weil
Theorem states that Pic E is finitely generated (see Aside 19.9.4).
19.11.3. ⋆⋆ A complex surface with infinitely many algebraic structures (for those
with sufficient complex geometric background).
As remarked in Exercise 7.3.16, a complex manifold may have many algebraic
structures. The following example of M. Kim gives an example with infinitely
many algebraic structures. Suppose E is an elliptic curve over C with origin p,
and let L be a nontrivial line bundle on E − p. Then L is analytically trivial be-
cause E − p is a Stein space, so the analytification of the total space is independent
of the choice of L . However, you know enough to show (with work) that there are
infinitely many pairwise (algebraically) nonisomorphic L , and also that their total
spaces are likewise pairwise (algebraically) nonisomorphic. This gives a complex
surface with infinitely many algebraic structures (indeed a continuum of them).
See [MO68421] for more details.
19.11.4. Counterexamples using a non-torsion point.
We next give a number of counterexamples using the existence of a non-torsion
point of a complex elliptic curve. We first show the existence of such a point.
19.11.5. We have a “multiplication by n” map [n] : E → E, which sends p to np.
If n = 0, the map [n] has degree 0 (even though [n] isn’t dominant, degree is still
defined, see Definition 12.2.2). If n = 1, the map [n] has degree 1. Given the
complex picture of a torus, you might not be surprised that the degree of [n] is n2 .
If n = 2, we have almost shown that it has degree 4, as we have checked that there
are precisely 4 points q such that 2p = 2q (Exercise 19.9.A). All that really shows
(using Exercise 16.3.D(b)) is that the degree is at least 4. (We could check by hand
that the degree is 4 is we really wanted to.)
19.11.6. Proposition. — Suppose E is an elliptic curve over a field k of characteristic not
2. For each n > 0, the “multiplication by n” morphism [n] has positive degree, so there
are only a finite number of n-torsion points.
Proof. We may assume k = k, as the degree of a map of curves is independent of
field extension.
We prove the result by induction; it is true for n = 1 and n = 2.
If n is odd (2k + 1, say), then assume otherwise that nq = 0 for all closed
points q. Let r be a non-trivial 2-torsion point, so 2r = 0. But nr = 0 as well, so
r = (n − 2k)r = 0, contradicting r ̸= 0.
If n is even, then [n] = [2] ◦ [n/2] (degree is multiplicative under composition
of rational maps, §12.2.2), and by our inductive hypothesis both [2] and [n/2] have
positive degree. □
In particular, the total number of torsion points on E is countable. If k is an
uncountable field, then E has an uncountable number of closed points (consider an
open subset of the curve as y2 = x3 + ax + b; there are uncountably many choices
for x, and each of them has 1 or 2 choices for y). Thus we have the following.
19.11.7. Corollary. — If E is a curve over an uncountable algebraically closed field of
characteristic not 2 (e.g., C), then E has a non-torsion point.
April 1, 2023 draft 559
Proof. For each n, there are only finitely many n-torsion points. Thus there are (at
most) countably many torsion points. The curve E has uncountably many closed
points. (One argument for this: take a double cover π : E → P1 . Then P1 has
uncountably many closed points, and π is surjective on closed points.) □
19.11.8. Remark. This argument clearly breaks down over countable fields. In fact,
over Fp , all points of an elliptic curve E are torsion. (Any given point is defined
over some finite field Fpr . The points defined over Fpr form a subgroup of E, using
the explicit geometric construction of the group law, and there are finite number
of points over Fpr — certainly no more than the number of Fpr -points of P2 .) But
over Q, there are elliptic curves with non-torsion points. Even better, there are
examples over Q: [2, 1, 8] is a Q-point of the elliptic curve y2 z = x3 + 4xz2 − z3 that
is not torsion. The proof would carry us too far afield, but one method is to use
the Nagell-Lutz Theorem (see for example [Si1, Cor. 7.2]).
We now use the existence of a non-torsion point to create some interesting
pathologies.
19.11.9. A map of projective varieties not arising from a map of graded rings,
even after regrading.
19.11.B. E XERCISE . Suppose E ,→ P2C is a smooth complex plane cubic (hence
genus 1), yielding a graded ring S• . Let t : E → E be translation by a non-torsion
point. Show that t does not correspond to a map of graded rings S• → S• , even
after regrading (cf. Remark 15.2.10). (If you wish, you can show the following. If
u : E → E is a translation, show that u corresponds to some map of regraded rings
Sn• → Sn• if and only if u is translation by a torsion point.)
19.11.10. An affine open subset of an affine scheme that is not a distinguished
open set.
We can use this to construct an example of an affine scheme X and an affine
open subset Y that is not distinguished in X. Let X = E − p, which is affine (see
Exercise 19.2.B, or better, note that the linear series O(3p) sends E to P2 in such a
way that the “line at infinity” meets E only at p; then E − p has a closed embedding
into the affine scheme A2 ).
Let q be another point on E so that q − p is non-torsion. Then E − p − q is
affine (Exercise 19.2.B). Assume that it is distinguished. Then there is a function f
on E − p that vanishes on q (to some positive order d). Thus f is a rational function
on E that vanishes at q to order d, and (as the total number of zeros minus poles
of f is 0) has a pole at p of order d. But then d(p − q) = 0 in Pic0 E, contradicting
our assumption that p − q is non-torsion.
In particular, E − p is an affine scheme, and q is locally cut out by one equa-
tion, but it is not globally cut out even set-theoretically by one equation. This was
promised in Exercise 8.3.E and §9.5.1.
19.11.11. A proper (nonprojective) surface with no nontrivial line bundles.
We next use a non-torsion point p on an elliptic curve E to construct a proper
nonprojective surface with no nontrivial line bundles. Let X1 be P2 , and Z1 a
smooth cubic in X1 , identified with E. Let Z2 ⊂ X2 be exactly the same. Glue X1 to
∼
X2 along the isomorphism Z1 ←→ Z2 given, not by the identity, but by translation
560 The Rising Sea: Foundations of Algebraic Geometry
by p. (This gluing construction was described in §15.2.14.) Call the result X. By
Exercise 15.2.R (and the sentence thereafter), X is proper.
19.11.C. E XERCISE . Show that every line bundle on X is trivial. Hint: Suppose
L is an invertible sheaf on X. Then L |Xi is O(di ) for some di (for i = 1, 2). The
restriction of L |X1 to Z1 must agree with the restriction of L |X2 to Z2 . Use this
to show that d1 = d2 = 0. Explain why gluing two trivial bundles (on X1 and X2
respectively) together in this way yields a trivial bundle on X.
19.11.D. E XERCISE . Show that X is not projective.
See Exercise 20.2.G for a somewhat simpler example of a proper nonprojective
surface.
19.11.12. A Picard group that has no chance of being a scheme.
We informally observed that the Picard group of an elliptic curve “wants to
be” a scheme (see §19.10.5). This is true of projective (and even proper) varieties
in general (see [FGIKNV, Ch. 9]). On the other hand, if we work over C, the affine
scheme E − p − q (in the language of §19.11.10 above) has a Picard group that can
be interpreted as C modulo a lattice modulo a non-torsion point (e.g., C/⟨1, i, π⟩).
This has no reasonable interpretation as a manifold, let alone a variety. So the fact
that the Picard group of proper varieties turns out to be a scheme should be seen
as quite remarkable.
19.11.13. A variety whose ring of functions is not finitely generated.
We next show an example of a complex variety whose ring of global sections
is not finitely generated. (An example over Q can be constructed in the same way
using the curve of Remark 19.11.8. If you wish, you can show that these examples
are even quasiaffine.) This is related to Hilbert’s fourteenth problem (see [Mu5,
§3]).
19.11.E. P RELIMINARY E XERCISE . Suppose X is a scheme, and L is the total space
of a line bundle corresponding to invertible sheaf L , so L = Spec ⊕n≥0 (L ∨ )⊗n .
(This construction first appeared in Definition 17.1.4.) Show that if X is quasicom-
pact, then H0 (L, OL ) = ⊕H0 (X, (L ∨ )⊗n ). (Possible hint: choose a trivializing
cover for L . Rhetorical question: can you figure out the more general statement if
L is a rank r locally free sheaf?)
Let E be an elliptic curve over some ground field k, N a degree 0 non-torsion
invertible sheaf on E, and P a positive-degree invertible sheaf on E. Then H0 (E, N m ⊗
P n ) is nonzero if and only if either (i) n > 0, or (ii) m = n = 0 (in which case the
sections are elements of k).
19.11.F. E ASY E XERCISE . Show that the ring R = ⊕m,n≥0 H0 (E, N m
⊗ P n ) is not
finitely generated.
19.11.G. E XERCISE . Let X be the total space of the vector bundle associated to
(N ⊕ P)∨ over E. Show that the ring of global sections of X is R, and hence is not
finitely generated. (Hint: interpret X as a line bundle over a line bundle over E.)
19.11.H. E XERCISE . Show that X (as in the above exercise) is a variety (and in
particular, Noetherian) whose ring of global sections is not Noetherian.
CHAPTER 20
Application: A glimpse of intersection theory
This section is intended to show some of the interesting things we can do with
what we have built so far. But it can be skipped on a first reading, by young people
in a hurry.
The only reason this chapter appears after Chapter 19 is because we will use
Exercise 19.2.E in the double-starred proof of the Nakai-Moishezon criterion for
ampleness (see §20.4.5).
Throughout this chapter, X will be a k-variety In most applications, X will be
projective.
20.1 Intersecting n line bundles with an n-dimensional variety
The central tool in this chapter is the following.
20.1.1. Definition: intersection product, or intersection number (L1 · · · Ln ), (L1 · · · Ln ·
F ), (L1 · · · Ln · Y).
Suppose F is a coherent sheaf on X with proper support (automatic if X is
proper) of dimension at most n, and L1 , . . . , Ln are invertible sheaves on X. Let
(L1 · L2 · · · Ln · F ) be the signed sum over the 2n subsets of {1, . . . , n}
∑
([Link]) (−1)m χ(X, Li∨
1
⊗ · · · ⊗ Li∨
m
⊗ F ).
{i1 ,...,im }⊂{1,...,n}
We call this the intersection of L1 , . . . , Ln with F . (Never forget that whenever
we write (L1 · · · Ln · F ), we are implicitly assuming that dim Supp F ≤ n.)
The case we will find most useful is if F is the structure sheaf of a closed
subscheme Y (of dimension at most n). In this case, we may write it (L1 ·L2 · · · Ln ·
Y), and call it the intersection of L1 , . . . , Ln with Y.
If Y = X, we may write it (L1 · L2 · · · Ln ), and call it the intersection of L1 ,
. . . , Ln (with the “X” left implicit).
If the Li are all the same, say L , one often writes (L n · F ) or (L n · Y) or
(L ). (Be careful with this confusing notation: L n does not mean L ⊗n .)
n
In some circumstances the convention is to omit the parentheses.
We will prove many things about the intersection product in this chapter. One
fact will be left until we study flatness (Exercise 24.7.D): that it is “deformation-
invariant” — that it is constant in “nice” families.
∼ OX then (L1 · L2 · · · Ln ·
20.1.A. E XERCISE ( REALITY CHECK ). Show that if L1 =
F ) = 0.
561
562 The Rising Sea: Foundations of Algebraic Geometry
The following exercise suggests that the intersection product might be inter-
esting, as it “interpolates” between two useful notions: the degree of a line bundle
on a curve, and Bézout’s Theorem.
20.1.B. E XERCISE .
(a) If X is a projective curve, and L is an invertible sheaf on X, show that (L · X) =
degX L .
(b) Suppose k is an infinite field, X = PN , and Y is a dimension n subvariety of X. If
H1 , . . . , Hn are generally chosen hypersurfaces of degrees d1 , . . . , dn respectively
(so dim(H1 ∩ · · · ∩ Hn ∩ Y) = 0 by Exercise 12.3.C(d)), then by Bézout’s Theorem
(Exercise 18.6.J),
deg(H1 ∩ · · · ∩ Hn ∩ Y) = d1 · · · dn deg(Y).
Show that
(OX (H1 ) · · · OX (Hn ) · Y) = d1 · · · dn deg(Y).
We now describe some of the properties of the intersection product. In the
course of proving Exercise 20.1.B(b) you may in effect solve the following exercise.
20.1.C. E XERCISE . Suppose D is an effective Cartier divisor on X that restricts to
an effective Cartier divisor D|Y = D ∩ Y on Y (i.e., remains locally not a zerodivisor
on Y). Show that
(L1 · · · Ln−1 · O(D) · Y) = (L1 · · · Ln−1 · D|Y ).
More generally, if D is an effective Cartier divisor on X that does not contain any
associated point of F , show that
(L1 · · · Ln−1 · O(D) · F ) = (L1 · · · Ln−1 · F |D ).
(A similar idea came up in the proof that the Hilbert polynomial is actually poly-
nomial; see the discussion around ([Link]).)
20.1.2. Definition. For this reason, if D is an effective Cartier divisor, in the symbol
for the intersection product, we often write D instead of O(D). We interchange-
ably think of intersecting effective Cartier divisors rather than line bundles. For
example, we will discuss the special case of intersection theory on a surface in
§20.2, and when we intersect two curves C and D, we will write the intersection as
(C · D) or even C · D.
20.1.D. E XERCISE . Show that the intersection product ([Link]) is preserved by
field extension of k.
20.1.3. Proposition. — Assume X is projective. For fixed F , the intersection product
(L1 · · · Ln · F ) is a symmetric multilinear function of the L1 , . . . , Ln .
Proposition 20.1.3 is actually true with “projective” replaced by “proper”, see
[Kl1, Prop. 2] or [Ko1, Prop. VI.2.7]. Unlike most extensions to the proper case,
this is not just an application of Chow’s Lemma. It involves a different approach,
involving a beautiful trick called dévissage.
Proof. Symmetry is clear. By Exercise 20.1.D, we may assume that k is infinite (e.g.,
algebraically closed). We now prove the result by induction on n.
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20.1.E. E XERCISE ( BASE CASE ). Prove the result when n = 1. Hint: Exercise 18.4.N.
(In fact, you can take the base case to be n = 0, if this doesn’t confuse you.)
We now assume the result for smaller values of n. We use a trick. We wish to
show that (for arbitrary L1 , L1′ , L2 , . . . , Ln ),
([Link]) (L1 · L2 · · · Ln · F ) + (L1′ · L2 · · · Ln · F ) − ((L1 ⊗ L1′ ) · L2 · · · Ln · F )
is 0.
20.1.F. E XERCISE . Rewrite ([Link]) as
([Link]) (L1 · L1′ · L2 · · · Ln · F ).
(There are now n + 1 line bundles appearing in the product, but this does not
contradict the definition of the intersection product, as dim Supp F ≤ n < n + 1.)
20.1.G. E XERCISE . Use the inductive hypothesis to show that ([Link]) is 0 if
Ln =∼ O(D) for D an effective Cartier divisor missing the associated points of F .
In particular, if Ln is very ample, then ([Link]) is 0, as Exercise 18.6.A shows
that there exists a section of Ln missing the associated points of F .
By the symmetry of its incarnation as ([Link]), expression ([Link]) vanishes
if L1 is very ample. Let A and B be any two very ample line bundles on X. Then
by substituting L1 = B and L1′ = A ⊗ B ∨ , using the vanishing of ([Link]), we
have
([Link]) (A ⊗ B ∨ · L2 · · · Ln · F ) = (A · L2 · · · Ln · F ) − (B · L2 · · · Ln · F )
Both summands on the right side of ([Link]) are linear in Ln , so the same is true
of the left side. But by Exercise 16.2.F, any invertible sheaf on X may be written in
the form A ⊗B ∨ (“as the difference of two very amples”), so (L1 ·L2 · · · Ln ·F ) is
linear in Ln , and thus (by symmetry) in each of the Li . (An interesting feature of
this argument is that we intended to show linearity in L1 , and ended up showing
linearity in Ln .) □
We have an added bonus arising from the proof.
20.1.H. E XERCISE . Suppose X is projective. Show that if dim Supp F < n + 1, and
L1 , L1′ , L2 , . . . , Ln are invertible sheaves on X, then ([Link]) vanishes. In other
words, the intersection product of n + 1 invertible sheaves with a coherent sheaf
F vanishes if the dim Supp F < n + 1. (In fact, the result holds with “projective”
replaced by “proper”, as the results it relies on hold in this greater generality.)
20.1.4. Proposition. — Suppose X is projective. The intersection product depends only
on the numerical equivalence classes of the Li .
(Numerical equivalence was defined in §18.4.9 — two line bundles are linearly
equivalent if their degrees are the same on any curve.) Again, the result remains
true with “projective” replaced by “proper”. But in the proof here, we use the fact
that every line bundles is the difference two very ample line bundles in both the
proof of Proposition 20.1.3 and in the proof of Proposition 20.1.4 itself. For the
proof of the Proposition in the proper case, see [FGIKNV, Prop. B.20].
Proof. Suppose L1 is numerically equivalent to L1′ , and L2 , . . . , Ln , and F are
arbitrary. We wish to show that (L1 · L2 · · · Ln · F ) = (L1′ · L2 · · · Ln · F ). By
564 The Rising Sea: Foundations of Algebraic Geometry
Exercise 20.1.D, we may assume that k is infinite (e.g., algebraically closed). We
proceed by induction on n. The case n = 1 follows from Exercise 18.4.N. We
assume that n > 1, and assume the result for “smaller n”. By multilinearity of the
intersection product, and the fact that each Ln may be written as the “difference”
of two very ample invertible sheaves (Exercise 16.2.F), it suffices to prove the result
in the case when Ln is very ample. We may then write Ln = O(D), where D is an
effective Cartier divisor missing the associated points of F (Exercise 18.6.A). Then
(L1 · L2 · · · Ln · F ) = (L1 · L2 · · · Ln−1 · F |D ) (Exercise 20.1.C)
= (L1′ · L2 · · · Ln−1 · F |D ) (inductive hypothesis)
= (L1′ · L2 · · · Ln · F ) (Exercise 20.1.C).
□
20.1.5. Asymptotic Riemann-Roch.
If Y is a projective (=proper, see Remark 18.8.2) curve, χ(Y, L ⊗m ) = m degY L +
χ(Y, OY ) (Exercise 18.4.N) is a linear polynomial in m, whose leading term is an in-
tersection product. This generalizes as follows.
20.1.I. E XERCISE (A SYMPTOTIC R IEMANN -R OCH ). Suppose X is projective. (As
usual, the result will remain true with “projective” replaced by “proper”.) Sup-
pose F is a coherent sheaf on X with dim Supp F ≤ n, and L is a line bundle on
X. Show that χ(X, L ⊗m ⊗ F ) is a polynomial in m of degree at most n. Show that
the coefficient of mn in this polynomial (the “leading term”) is (L n · F )/n!. Hint:
Exercise 20.1.H implies that (L n+1 · (L ⊗i ⊗ F )) = 0. (Careful with this notation:
L n+1 doesn’t mean L ⊗(n+1) , it means L · L · · · L with n + 1 factors.) Expand
this out using ([Link]) to get a recursion for χ(X, L ⊗m ⊗ F ). Your argument may
resemble the proof of polynomiality of the Hilbert polynomial, Theorem 18.6.1, so
you may find further hints there. Exercise 18.6.B in particular might help.
We know all the coefficients of this polynomial if X is a curve, by Riemann-
Roch (see ([Link])), or basically by definition. We will know/interpret all the
coefficients if X is a regular projective surface and F is an invertible sheaf when we
prove Riemann-Roch for surfaces (Exercise 20.2.B(b)). To understand the general
case, we need the theory of Chern classes. The result is the Hirzebruch-Riemann-
Roch Theorem, which can be further generalized to the celebrated Grothendieck-
Riemann-Roch Theorem (see [F2, §15.2]).
20.1.J. E XERCISE ( THE PROJECTION FORMULA ). Suppose π : X1 → X2 is a (projec-
tive) morphism of integral projective varieties of the same dimension n, and L1 ,
. . . , Ln are invertible sheaves on X2 . Show that
(π∗ L1 · · · π∗ Ln ) = deg(X1 /X2 )(L1 · · · Ln ).
(The first intersection is on X1 , and the second is on X2 .) Hint: Let d = deg π, and
assume d > 0. (Deal with the case where π is not dominant separately, so d = 0
by convention, using Chevalley’s Theorem 8.4.2.) Argue that by the multilinearity
of the intersection product, it suffices to deal with the case where the Li are very
ample. Then choose sections of each Li , all of whose intersections lie in an open
subset U where π has “genuine degree d”. To find U: first use Exercise 10.3.G
to find a dense open subset U ′ ⊂ X2 over which π is finite. Then use Useful
April 1, 2023 draft 565
Exercise 14.3.F to show that there exists a dense open subset U ⊂ U ′ on which
π∗ O is a locally free sheaf of rank d. In the “flatness” language of Chapter 24, you
are showing that there is a dense open subset U of X2 over which π is finite and
flat (and hence has “constant degree”, see Remark 24.4.8). (As usual, the result
holds with “projective” replaced with “proper”; see [Ko1, Prop. VI.2.11].)
20.1.6. Remark: A more general projection formula. Suppose π : X1 → X2 is a proper
morphism of proper varieties, and F is a coherent sheaf on X1 with dim Supp F ≤
n (so dim Supp π∗ F ≤ n, using Exercise 12.2.C). Suppose also that L1 , . . . , Ln are
invertible sheaves on X2 . Then
(π∗ L1 · · · π∗ Ln · F ) = (L1 · · · Ln · π∗ F ).
This is also called the projection formula (and generalizes, in a nonobvious way,
Exercise 20.1.J). Proofs are given in [FGIKNV, B.15] and [Ko1, Prop. VI.2.11]. Be-
cause we won’t use this version of the projection formula, we do not give a proof
here.
20.1.K. E XERCISE ( INTERSECTING WITH AMPLE LINE BUNDLES ). Suppose X is
a projective k-variety, and L is an ample line bundle on X. Show that for any
subvariety Y of X of dimension n, (L n · Y) > 0. (Hint: use Proposition 20.1.3
and Theorem 16.2.2 to reduce to the case where L is very ample. Then show that
(L n · Y) = deg Y in the embedding into projective space induced by the linear
series |L |.)
The Nakai-Moishezon criterion (Theorem 20.4.1) states that this characterizes
ampleness.
20.1.7. ⋆⋆ Cohomological interpretation in the complex projective case, generalizing Ex-
ercise 18.4.H and §18.6.5. If k = C, we can interpret (L1 · · · Ln · Y) as the degree
of
([Link]) c1 ((L1 )an ) ∪ · · · ∪ c1 ((Ln )an ) ∩ [Yan ]
in H0 (Yan , Z). (Recall c1 ((Li )an ) ∈ H2 (Xan , Z), as discussed in Exercise 18.4.H.)
One way of proving this is to use multilinearity of both the intersection product
and ([Link]) to reduce to the case where the Ln is very ample, so Ln = ∼ O(D),
where D restricts to an effective Cartier divisor E on Y. Then show that if L is an
analytic line bundle on Yan with nonzero section Ean , then c1 (L ) ∩ [Yan ] = [Ean ].
Finally, use induction on n and Exercise 20.1.C.
20.1.8. Important remark: additive notation for line bundles. There is a stan-
dard, useful, but confusing convention suggested by the multilinearity of the in-
tersection product: we write tensor product of invertible sheaves additively. This is
convenient for working with multilinearity. (Some people try to avoid confusion
by using divisors rather than line bundles, as we add divisors when we “multi-
ply” the corresponding line bundles. This is psychologically helpful, but may add
more confusion, as one then has to worry about the whether and why and how
and when line bundles correspond to divisors.) We will use this, for example, in
Exercises 20.2.B–20.2.G, §20.2.11, and §20.4.
566 The Rising Sea: Foundations of Algebraic Geometry
20.2 Intersection theory on a surface
We now apply the general machinery of §20.1 to the case of a regular projective
surface X. (What matters is that X is Noetherian and factorial, so Pic X → Cl X is
an isomorphism, Proposition 15.4.15. Recall that regular schemes are factorial by
the Auslander-Buchsbaum Theorem 13.8.5.)
20.2.A. E XERCISE /D EFINITION . Suppose C and D are effective divisors (i.e.,
curves) on X.
(a) Show that
([Link]) degC OX (D)|C
([Link]) = (O(C) · O(D) · X)
([Link]) = degD OX (C)|D .
We call this the intersection number of C and D, and denote it C · D.
(b) If C does not contain any associated point of D (so in particular, if C and D
have no components in common), show that
([Link]) C · D = h0 (C ∩ D, OC∩D )
where C ∩ D is the scheme-theoretic intersection of C and D on X.
20.2.1. Remark. In particular, if C and D have no irreducible component in com-
mon, then C · D ≥ 0. This means that we cannot hope to understand intersection
numbers using moving lemmas as in topology — if we have some irreducible
curve E with E2 < 0, we cannot “move” E to something (call if F) “equivalent” to
E, to compute E · E as E · F.
20.2.2. Remark. The degree of the normal bundle to C in X (defined in §15.5.1) is
the self-intersection C · C of C, as both are degC OX (C)|C .
20.2.3. Important aside. The hypothesis in Exercise 20.2.A(b), that C not contain any
associated point of D, is a red herring. In fact, D can never have any embedded
points. We can see this in two ways, by either invoking (i) a fact we have stated
but not proved, or (ii) a fact we have not yet stated but will prove. ... , as we will
see in §28.2.5 when discussing Cohen-Macaulay rings. (More generally, we will
see that local complete intersections have no embedded points — this should help
motivate you to learn about Cohen-Macaulayness.) The case of A2 (and hence P2 )
can be done by hand (Exercise 6.6.F).
Thus the hypothesis in Exercise 20.2.A(b) can be replaced by the more simple
“C and D have no common components”.
20.2.4. Advantages and disadvantages. We thus have four descriptions of the in-
tersection number ([Link])–([Link]), each with advantages and disadvantages.
The Euler characteristic description ([Link]) is remarkably useful (for example, in
the exercises below), but the geometry is obscured. The definition degC OX (D)|C ,
([Link]), is not obviously symmetric in C and D. The definition h0 (C ∩ D, OC∩D ),
([Link]), is clearly local — to each point of C ∩ D, we have a vector space. For
example, we know that in A2k , y − x2 = 0 meets the x-axis with multiplicity 2, be-
cause h0 of the scheme-theoretic intersection (k[x, y]/(y − x2 , y)) has dimension 2.
(This h0 is also the length of the dimension 0 scheme, by Exercise 6.6.Y.)
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By Proposition 20.1.3, the intersection number induces a bilinear “intersection
form”
([Link]) Pic X × Pic X / Z.
By Asymptotic Riemann-Roch (Exercise 20.1.I), χ(X, O(nD)) is a quadratic polyno-
mial in n.
20.2.5. You can verify that Exercise 20.2.A recovers Bézout’s Theorem for plane
curves (see Exercise 18.6.J), using χ(P2 , O(n)) = (n + 2)(n + 1)/2 (from Theo-
rem 18.1.2), and the fact that effective Cartier divisors on P2k have no embedded
points (Exercise 6.6.F).
Before getting to a number of interesting explicit examples, we derive a couple
of fundamental theoretical facts.
20.2.B. E XERCISE . Assuming Serre duality for X (Theorem 18.5.1), prove the fol-
lowing for a smooth projective surface X. (We are mixing divisor and invertible
sheaf notation, as described in Remark 20.1.8, so be careful. Here KX is a divisor
corresponding to ωX .)
(a) (sometimes called the adjunction formula) C · (KX + C) = 2pa (C) − 2 for any curve
C ⊂ X. Hint: compute C · (−KX − C) instead. (See Exercise 21.5.B and §30.4 for
other versions of the adjunction formula.)
(b) (Riemann-Roch for surfaces)
χ(X, OX (D)) = D · (D − KX )/2 + χ(X, OX )
for any Weil divisor D (cf. Riemann-Roch for curves, Exercise 18.4.B).
20.2.6. Two explicit examples: P1 × P1 and Blp P2 .
20.2.C. E XERCISE : X = P1 × P1 . Recall from Exercise 15.4.Q that Pic(P1 × P1 ) =
Zℓ × Zm, where ℓ is the curve P1 × {0} and m is the curve {0} × P1 . Show that the
intersection form ([Link]) is given by ℓ · ℓ = m · m = 0, ℓ · m = 1. (Hint: You
can compute the cohomology groups of line bundles on P1 × P1 using Exercise ??,
but it is much faster to use Exercise 20.2.A(b).) What is the class of the diagonal in
P1 × P1 in terms of these generators?
20.2.D. E XERCISE : THE BLOWN UP PROJECTIVE PLANE . (You needn’t have read
Chapter 22 to do this exercise!) Let X = Blp P2 be the blow-up of P2k at a k-valued
point (the origin, say) p — see Exercise 10.3.F, which describes the blow-up of A2k ,
and “compactify”. Interpret Pic X as generated (as an abelian group) by ℓ and e,
where ℓ is a line not passing through the origin, and e is the exceptional divisor.
Show that the intersection form ([Link]) is given by ℓ·ℓ = 1, e·e = −1, and ℓ·e = 0.
Hence show that Pic X = ∼ Zℓ × Ze (as promised in the aside in Exercise 15.4.R). In
particular, the exceptional divisor has negative self-intersection. (This exercise will
be generalized in §22.4.13.)
20.2.7. Hint. Here is a possible hint to get the intersection form in Exercise 20.2.D.
The scheme-theoretic preimage in Blp P2 of a line through the origin is the scheme-
theoretic union of the exceptional divisor e and the “proper transform” m of the
line through the origin. Show that ℓ = e + m in Pic(Blp P2 ) (writing the Picard
568 The Rising Sea: Foundations of Algebraic Geometry
group operation additively, cf. Remark 20.1.8). Show that ℓ · m = e · m = 1 and
m · m = 0.
20.2.8. Definition: (−1)-curve. Notice that the exceptional divisor e has self-
intersection −1. We will see more generally in Exercise 22.4.O that this is the case
for all exceptional divisors of blow-ups of smooth surfaces (over k) blown up at a
k-valued point. We give such curves a name. If X is a surface over k, and C ⊂ X is
a curve in X consisting of smooth points, with C =∼ P1 , and C · C = −1, we say that
k
C is a (−1)-curve. (We can restate “C · C = −1” as “C has normal bundle O(−1)”.)
20.2.E. E XERCISE . Show that the blown up projective plane Blp P2 in Exercise 20.2.D
is not isomorphic to P1 ×P1 , perhaps considering their (isomorphic) Picard groups,
and identifying which classes are effective (represented by effective divisors). (This
is an example of a pair of smooth projective birational surfaces that have isomor-
phic Picard groups, but which are not isomorphic. This exercise shows that F0 is
not isomorphic to F1 . (The method and result are generalized in Exercise 20.2.Q.)
20.2.F. E XERCISE ( CF. E XERCISE 18.4.W). Show that the nef cone (Exercise 18.4.V)
of Blp P2 is generated by ℓ and m. Hint: show that ℓ and m are nef. By intersecting
line bundles with the curves e and m, show that nothing outside the cone spanned
by ℓ and m is nef. (Side Remark: note that as in Exercise 18.4.W, linear series
corresponding to the boundaries of the cone give “interesting contractions”.)
20.2.G. E XERCISE : A PROPER NONPROJECTIVE SURFACE . Show the existence of
a proper nonprojective surface over a field as follows, paralleling the construction
of a proper nonprojective threefold in §15.2.13. Take two copies of the blown up
projective plane Blp P2 , gluing ℓ on the first to e on the second, and e on the second
to ℓ on the first. Hint: show that if L is a line bundle having positive degree on
each effective curve, then L · ℓ > L · e, using ℓ = e + m from Hint 20.2.7. (See
§19.11.11 for another example of a proper nonprojective surface.)
20.2.9. Fibrations.
Suppose π : X → B is a morphism from a regular projective surface to a regular
curve, not contracting any irreducible components of X, and b ∈ B is a closed point.
Let F = π−1 (b). Then OX (F) = π∗ OB (b), which is isomorphic to O on F. Thus
F · F = degF OX (F) = 0: “the self-intersection of a fiber is 0”. The same argument
works without X being regular, so long as you phrase it properly: (π∗ OX (b))2 = 0.
20.2.H. E XERCISE . Suppose E is an elliptic curve, with origin p. On E × E, let
∆ be the diagonal. By considering the “difference” map E × E → E, for which
π−1 (p) = ∆, show that ∆2 = 0. Show that N1Q (E × E) has rank at least 3. Show that
in general for schemes X and Y, Pic X ×Pic Y → Pic(X× Y) (defined by pulling back
and tensoring) need not be isomorphism; the case of X = Y = P1 is misleading.
Remark: dimQ N1Q (E×E) is always 3 or 4. It is 4 if there is a nontrivial endomor-
phism from E to itself (i.e., not just multiplication [n] by some n, §19.11.5, followed
by a translation); the additional class comes from the graph of this endomorphism.
(See [Mu3, §21, App. III] for an introduction to the tools needed to show this.)
Our next goal is to describe the self-intersection of a curve on a ruled surface
(Exercise 20.2.J). To set this up, we have a useful preliminary result.
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20.2.I. E XERCISE ( THE NORMAL BUNDLE TO A SECTION OF Proj OF A RANK 2 VEC -
TOR BUNDLE ). Suppose X is a scheme, and V is a rank 2 locally free sheaf on X.
Explain how the short exact sequences
([Link]) 0 /S /V /Q /0
on X, where S and Q have rank 1, correspond to the sections σ : X → PV to the
projection PV → X. Show that the normal bundle to σ(X) in PV is Q⊗S ∨ . (A gen-
eralization is stated in §21.4.10.) Hint: (i) For simplicity, it is convenient to assume
S = OX , by replacing V by V ⊗ S ∨ , as the statement of the problem respects ten-
soring by an invertible sheaf (see Exercise 17.2.G). (ii) Assume now (with loss of
generality) that Q = ∼ OX , and the exact sequence splits. Then describe the section
as σ : X → P1 ×X, with X mapping to the 0 section. Describe an isomorphism of OX
with the normal bundle to σ(X) → P1 × X. (Do not just say that the normal bundle
“is trivial”.) (iii) Now consider the case where Q is general. Choose trivializing
open neighborhoods Ui of Q, and let gij be the the transition function for Q. On
the overlap between two trivializing open neighborhoods Ui ∩ Uj , determine how
your two isomorphisms of OX with Nσ(X)/P1X from (ii) (one for Ui , one for Uj ) are
related. In particular, show that they differ by gij .
20.2.J. E XERCISE ( SELF - INTERSECTIONS OF SECTIONS OF RULED SURFACES ). Sup-
pose C is a regular curve, and V is a rank 2 locally free sheaf on C. Then PV is a
ruled surface (Example 17.2.4). Fix a section σ of PV corresponding to a filtration
([Link]). Show that σ(C) · σ(C) = degC (Q ⊗ S ∨ ).
20.2.10. The Hirzebruch surfaces Fn = Proj P1 (OP1 ⊕ OP1 (n)).
Recall the definition of the Hirzebruch surface Fn = Proj P1 (OP1 ⊕ OP1 (n))
in Example 17.2.4. It is a P1 -bundle over P1 ; let π : Fn → P1 be the structure
morphism. Using Exercise 20.2.J, corresponding to
0 / O(n) / O ⊕ O(n) /O / 0,
we have a section of π of self-intersection −n; call it E ⊂ Fn . Similarly, correspond-
ing to
0 /O / O ⊕ O(n) / O(n) / 0,
we have a section C ⊂ Fn of self-intersection n. Let p be any k-valued point of P1 ,
and let F = π−1 (p).
20.2.K. E XERCISE . Show that the line bundle O(F) is independent of the choice of
p.
20.2.L. E XERCISE . Show that Pic Fn is generated by E and F. In the course of
doing this, you will develop “local charts” for Fn , which will help you solve later
exercises.
20.2.M. E XERCISE . Compute the intersection matrix on Pic Fn . Show that E and F
∼ ZE ⊕ ZF. Calculate C in terms of E and F.
are independent, and thus Pic Fn =
20.2.N. E XERCISE . Show how to identify Fn \ E, along with the structure map
π, with the total space of the line bundle O(n) on P1 , with C as the 0-section.
570 The Rising Sea: Foundations of Algebraic Geometry
Similarly show how to identify Fn \C with the total space of the line bundle O(−n)
on P1 ; with E as the 0-section.
20.2.O. E XERCISE . Show that h0 (Fn , OFn (C)) > 1. Hint: As OFn (C) has a section
— namely C — we have that h0 (Fn , OFn (C)) ≥ 1. One way to proceed is to write
down another section using local charts for Fn .
20.2.P. E XERCISE . Show that every effective curve on Fn is a non-negative linear
combination of E and F. (Conversely, it is clear that for every nonnegative a and
b, O(aE + bF) has a section, corresponding to the effective curve “aE + bF”. The
extension of this to N1Q is called the effective cone, and this notion, extended to
proper varieties more generally, can be very useful. This exercise shows that E
and F generate the effective cone of Fn .) Hint: show that because “F moves”, any
effective curve must intersect F nonnegatively, and similarly because “C moves”
(Exercise 20.2.O), any effective curve must intersect C nonnegatively. If O(aE+bF)
has a section corresponding to an effective curve D, what does this say about a and
b?
20.2.Q. E XERCISE . By comparing effective cones, and the intersection pairing,
show that the Fn are pairwise nonisomorphic. (This result was promised in Exam-
ple 17.2.4. Exercise 20.2.E is a special case.)
Exercise 20.2.Q is difficult to do otherwise, and foreshadows the fact that nef
and effective cones are useful tools in classifying and understanding varieties in
general. In particular, they are central to the minimal model program.
20.2.R. E XERCISE . If n = 0, show that there are no curves on Fn of negative self-
intersection. If n ≥ 0, show that E is the unique curve on Fn with self-intersection
−n, and there are no reduced curves on Fn of smaller self-intersection. This again
gives another (related) means of showing that the Fn are pairwise nonisomorphic.
20.2.S. E XERCISE . Show that the nef cone of Fn is generated by C and F. (We will
soon see that by Kleiman’s criterion for ampleness, Theorem 20.4.7, that the ample
cone is the interior of this cone, so we have now identified the ample line bundles
on Fn .)
20.2.T. E XERCISE . We have seen earlier (Exercises 20.2.F and 18.4.W) that the
boundary of the nef cone give “interesting contractions”. Show that the map given
by the linear series corresponding to O(F) is the projection of Fn onto P1 , and the
map given by the linear series corresponding to O(C) sends Fn to the projective
cone over the degree n rational normal curve.
After this series of exercises, you may wish to revisit Exercises 20.2.C-20.2.F,
∼ P1 × P1 and F1 =
and interpret them as special cases: F0 = ∼ Blp P2 .
20.2.11. The Hodge Index Theorem.
We use what we have learned to prove the following celebrated result.
20.2.12. The Hodge Index Theorem. — Suppose X is an irreducible smooth projective
surface (over a field k) with L , H ∈ Pic X, with H · H > 0 and L · H = 0. Then (a)
L · L ≤ 0, and (b) equality holds if and only if L is numerically trivial.
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Before reading on, you should review the definitions of N1 (X) and ρ(X) in
§18.4.9.
20.2.U. E XERCISE ( REASON FOR THE NAME ). (We will not use this.) By arguments
similar to the classification of quadratic forms over algebraically closed fields (Ex-
ercise 5.4.J), one can show that given a symmetric bilinear form on a real vector
space V of (finite) dimension n, there are integers a+ , a0 , a− such that then given
any orthogonal basis v1 , . . . , vn , the number of vi · vi that are positive (resp. zero,
negative) is a+ (resp. a0 , a− ). The ordered pair (a+ , a− ) is often called the index,
and is sometimes called the signature. (This result is sometimes called Sylvester’s
law of inertia. You can prove it yourself as follows. Given any basis (v1 , . . . , vn ) for
V, we can construct the n × n intersection matrix (vi · vj )1≤i,j≤n . It is symmetric,
so by the spectral theorem, it has real eigenvalues. If you change basis, how do
the eigenvalues change? Why are the number of positive eigenvalues preserved?)
Show that the Hodge Index Theorem implies that N1R (X) := N1 (X)⊗Z R, along with
the bilinear form coming from the intersection product, has index (1, ρ(X)−1). You
should think of the positive “term” as coming from the ample class; the “rest” is
negative.
Proof.
20.2.13. We begin with the following fact. If H is an ample invertible sheaf, M
is any invertible sheaf, and M · H > ωX · H , then h2 (X, M ) = 0. (Translation:
for all invertible sheaves “more positive than ωX ”, there is no top cohomology;
compare this to §19.2.5, the corresponding statement in dimension 1.) Reason: by
Serre duality (Theorem 18.5.1), we wish to show that h0 (X, ωX ⊗ M ∨ ) = 0. But
if otherwise ωX ⊗ M ∨ had a nonzero section, then its (effective nonzero) divisor
would intersect H nonnegatively (Exercise 20.1.K), so (using additive notation,
see Remark 20.1.8) (ωX − M ) · H ≥ 0, contradicting M · H > ωX · H .
20.2.14. We next show that if H is ample, and L is any invertible sheaf with
L · L > 0 and L · H > 0, then for n ≫ 0, L ⊗n has a section. Here is why. For
n ≫ 0,
L ⊗n · H = nL · H > ωX · H ,
so h2 (X, L ⊗n ) = 0 by §20.2.13 (taking M = L ⊗n ). Then for n ≫ 0, by Riemann-
Roch for surfaces (Exercise 20.2.B(b)),
h0 (X, L ⊗n ) − h1 (X, L ⊗n ) = χ(X, L ⊗n )
= (n2 /2)L · L − (n/2)L · ωX + χ(X, OX ).
As L · L > 0, the right side is positive for n ≫ 0, so
h0 (X, L ⊗n ) ≥ h0 (X, L ⊗n ) − h1 (X, L ⊗n ) > 0
as desired.
20.2.15. We are now ready to prove the Hodge Index Theorem. Assume first that
L · L > 0 (and L · H = 0). Then for n ≫ 0, H ′ := L ⊗ H ⊗n is ample (indeed
very ample) by Exercise 16.2.E. Then L · H ′ = L · L > 0, so by §20.2.14, L ⊗n
is effective, which implies that L · H = (L ⊗n · H )/n > 0 (using Exercise 20.1.K
again), contradicting our hypothesis.
572 The Rising Sea: Foundations of Algebraic Geometry
20.2.16. Assume finally that L · H = 0, and (i) L · L = 0, but that (ii) L is not
numerically trivial. By (ii), we can find an invertible sheaf Q such that Q · L ̸= 0.
Then we can find an invertible sheaf R such that R · L ̸= 0 and R · H = 0: take
R = (H · H )Q − (Q · H )H .
′ ⊗n
Then take L = L ⊗ R, so L ′ · H = 0, but because R · L ̸= 0, we can find
some n ∈ Z so that
L ′ · L ′ = nL · R + R · R > 0.
Then the argument of §20.2.15 applies, with L ′ in the place of L . □
20.2.17. Generalizations and variations. The hypotheses can be weakened consider-
ably. We used smoothness only because we need Serre duality, with an invertible
sheaf ωX . We will see in §30.4 that we need less than smoothness for this. But we
can do much better, and a proof where X is merely required to be geometrically
irreducible and proper requires only a minor modification of our argument, see
[FGIKNV, Thm. B.27].
20.3 The Grothendieck group of coherent sheaves, and an
algebraic version of homology
The construction of the intersection product ([Link]) may leave you hun-
gry for something more, especially in light of the cohomological interpretation
of §20.1.7. You may want some sort of homology-like theory which is a repository
for cycles of different dimensions, on which (Chern classes of) line bundles can act.
We can actually do this easily, given what we know.
20.3.1. Definition. If X is a k-variety, we define the Grothendieck group of co-
herent sheaves, which we denote K(X) (and which is often denoted K0 (X)), as the
abelian group generated symbols of the form [F ] where F is a coherent sheaf on
∼ F ′ , and [F ′ ] + [F ′′ ] = [F ] if
X, subject to the relations that [F ] = [F ′ ] if F =
there is a short exact sequence
0 / F′ /F / F ′′ / 0.
(Caution: the notation K(X) is now used for two concepts, the Grothendieck group
and the function field. The meaning of the symbol should be clear from the con-
text.) By construction, the Grothendieck group is the universal construction of
an operator on the category of coherent sheaves that “behaves well in exact se-
quences”. For example, if X is proper, then:
(i) We have a map χ : CohX → Z, as the Euler characteristic of a coherent
sheaf is finite by Theorem 18.1.3(i) in the projective case, and more gener-
ally by Grothendieck’s Coherence Theorem 18.9.1 in the proper case. This
map descends to χ : K(X) → Z by Exercise 18.4.A (which extends without
change to the proper case).
(ii) If X is integral, then the rank function
rank : CohX /Z
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descends to a function rank : K(X) → Z. (The argument of Exercise 14.3.J
applies.)
20.3.2. Definition and nonstandard notation. The Grothendieck group is filtered by
dimension: let K(X)≤d be the subgroup of K(X) generated by coherent sheaves
supported in dimension at most d. (This is called the dimensional filtration or
coniveau filtration on K(X), although we won’t need these names.) Let Ad′ (X) be
the dth graded piece of K(X), i.e., Ad′ (X) := K(X)≤d /K(X)≤d−1 .
If L is an invertible sheaf on X, define L · : K(X) → K(X) by L · [F ] = [F ] −
[L ∨ ⊗ F ]. (Do you see why this operator is well-defined?)
20.3.A. E XERCISE . If X is projective and k is infinite, show that L · sends K(X)≤d to
K(X)≤d−1 . (Hint: for each fixed F supported on a subset of dimension at most d,
write L is a difference of two very ample invertible sheaves, and choose sections
of those two, missing the associated points of F .)
20.3.3. Remark. The previous exercise holds true without k being infinite or X
being proper; see [Ko1, Prop. VI.2.5].
20.3.4. For the rest of this section, we assume X is projective and k is infinite. (But
in light of Remark 20.3.3, these hypotheses can be removed.) By Exercise 20.3.A,
L · descends to a map Ad′ (X) → Ad−1 ′
(X); we denote this operator c1 (L )∩. (It is
the action of the first Chern class.)
20.3.B. E XERCISE (“c1 IS ADDITIVE ”). Show that c1 (L ⊗ L ′ )∩ = (c1 (L )∩) +
(c1 (L ′ )∩). Hint: show that ((L ⊗ L ′ )·) − (L ·) − (L ′ ·) = −(L ·) ◦ (L ′ ·), and
thus sends K(X)≤d to K(X)≤d−2 . (This will remind you of the trick in the proof of
Proposition 20.1.3, and indeed is the motivation for that trick. Caution: the action
of Pic(X) is not additive on K(X); it only becomes additive once we pass to the
associated graded ring A•′ (X).)
If F has support of dimension at most n, and L1 , . . . , Ln are n invertible
sheaves, we can now reinterpret the intersection product (L1 · L2 · · · Ln · F ) as
c1 (L1 ) ∩ · · · ∩ c1 (Ln ) ∩ [F ]
where [F ] is interpreted as lying in either K(X) or An′ (X). You can now go back and
read §20.1, and reprove all the results with this starting point, sometimes obtaining
interesting generalizations. We have now promoted the intersection product from
an integer to a class in A0′ (X), which may have much more information. (This is
true even if X is a curve of positive genus over C, using the theory developed in
[F2].)
These Ad′ (X) behave like homology groups in a number of ways. If Y ⊂ X is a
closed subvariety of pure dimension d, we have a class [Y] := [OY ] ∈ Ad′ (X). The
groups Ad′ (X) have appropriate functorial properties. For example, if π : X1 → X2
is a proper morphism (even if the Xi are not themselves proper), we have a map
π∗ : K(X1 ) → K(X2 ) given by
([Link]) π∗ [F ] = [π∗ F ] − [R1 π∗ F ] + · · ·
(using the long exact sequence for higher pushforwards, Theorem 18.7.1 (c)) which
descends to a map Ad′ (X1 ) → Ad′ (X2 ), where the “later terms” on the right side of
574 The Rising Sea: Foundations of Algebraic Geometry
([Link]) disappear, so π∗ [F ] = [π∗ F ]. This pushforward interacts well with the
first Chern class of line bundles, yielding the projection formula of Remark 20.1.6.
If π is instead a flat morphism (Remark 14.5.8, soon to be discussed at length in
Chapter 24), then π∗ is exact, so we have a map π∗ : K(X2 ) → K(X1 ). If the “relative
dimension” of this map is r (to be properly defined in Definition 24.5.9), this yields
a map π∗ : Ad′ (X2 ) → Ad+r ′
(X1 ). This interacts well with first Chern classes and
proper pushforwards.
If k = C and X is proper, there is a map Ad′ (X) → H2d (X, Q), which behaves as
you might hope (for example, in its interaction with Chern classes of line bundles).
If X is not proper (but k = C), then the map is to Borel-Moore homology rather
than usual homology.
Our groups Ad′ (X) are a good approximation of the theory of Chow groups
Ad (X), as developed in [F2]. In fact, there is a surjective map
([Link]) Ad (X) / A ′ (X)
d
[F2, Examp. 15.1.5], and this map is an isomorphism once tensored with Q [F2,
Thms. 18.2 and 18.3]. This is the beginning of a long and rich story in algebraic
geometry.
20.3.5. Side Remark. The surjection map ([Link]) need not be an isomorphism,
see [SGA6, Exp. XIV, §4.5-4.7] (although its kernel must be torsion, as described
above). As a tantalizing example, if X is the group E8 , the kernel has 2-torsion,
3-torsion, and 5-torsion, see [KN, DZ].
20.4 ⋆⋆ The Nakai-Moishezon and Kleiman criteria for ampleness
Exercise 20.1.K stated that if X is projective k-variety, and L is an ample line
bundle on X, then for any subvariety Y of X of dimension n, (L n · Y) > 0. The
Nakai-Moishezon criterion states that this is a characterization:
20.4.1. Theorem (Nakai-Moishezon criterion for ampleness). — If L is an in-
vertible sheaf on a projective k-scheme X, and for every irreducible subvariety Y of X,
(L dim Y · Y) > 0, then L is ample.
20.4.2. Remarks. We note that X need only be proper for this result to hold ([Kl1,
Thm. III.1.1]).
Before proving the Nakai-Moishezon criterion, we point out some consequences
related to our discussion of numerical equivalence in §18.4.8. By Proposition 20.1.4,
(L dim Y ·Y) depends only on the numerical equivalence class of L , so ampleness is
a numerical property. As a result, the notion of ampleness makes sense on N1Q (X).
As the tensor product of two ample invertible sheaves is ample (Exercise 16.2.H),
the ample Q-line bundles in N1Q (X) form a cone, called the ample cone of X.
20.4.3. Proposition. — If X is a projective k-scheme, the ample cone is open.
20.4.4. In the rest of this section, we often use additive notation for the tensor
product of invertible sheaves, as described in Remark 20.1.8. This is because we
April 1, 2023 draft 575
want to deal with intersections on the Q-vector space N1Q (X). For example by
((aL1 + bL1′ ) · L2 · · · Ln · F ) (where a, b ∈ Q), we mean a(L1 · L2 · · · Ln ·
F ) + b(L1′ · L2 · · · Ln · F ).
Proof. Suppose A is an ample invertible sheaf on X. We will describe a small
open neighborhood of [A ] in N1Q (X) consisting of ample Q-line bundles. Choose
invertible sheaves L1 , . . . , Ln on X whose classes form a basis of N1Q (X). By Ex-
ercise 16.2.E, there is some m such that A ⊗m ⊗ Li and A ⊗m ⊗ Li∨ are both
very ample for all n. Thus (in the additive notation of §20.4.4), A + m 1
Li and
A − m Li are both ample. As the ample ∑
1
Q-line bundles form a cone, it follows
that A + ϵ1 L1 + · · · + ϵn Ln is ample for i |ϵi | ≤ 1/m. □
20.4.5. Proof of the Nakai-Moishezon criterion, Theorem 20.4.1. We prove the Nakai-
Moishezon criterion in several steps.
20.4.A. U NIMPORTANT E XERCISE . Prove the case where dim X = 0.
Step 1: initial reductions. Suppose L satisfies the hypotheses of the Theorem;
we wish to show that L is ample. By Exercises 18.8.A and 18.8.B, we may assume
that X is integral. Moreover, we can work by induction on dimension, so we can
assume that L is ample on any closed subvariety. The base case is dimension 1,
which was done in Exercise 19.2.E.
Step 2: sufficiently high powers of L have sections. We show that H0 (X, L ⊗m ) ̸= 0
for m ≫ 0.
Our plan is as follows. By Asymptotic Riemann-Roch (Exercise 20.1.I), χ(X, L ⊗m ) =
m (L n )/n! + · · · grows (as a function of m) without bound. A plausible means
n
of attack is to show that hi (X, L ⊗m ) = 0 for i > 0 and m ≫ 0. We won’t do that,
but will do something similar.
By Exercise 16.2.C, L is the difference of two very ample line bundles, say
L = ∼ A ⊗ B −1 with A = O(A) and B = O(B). From 0 → O(−A) → O → OA → 0
we have
([Link]) 0 / L ⊗m (−B) / L ⊗(m+1) / L ⊗(m+1) |A / 0.
From 0 → O(−B) → O → OB → 0, we have
([Link]) 0 / L ⊗m (−B) / L ⊗m / L ⊗m |B / 0.
Choose m large enough so that both L ⊗(m+1) |A and L ⊗m |B have vanishing
higher cohomology (i.e., h>0 = 0 for both; use the inductive hypothesis that L is
ample on all proper closed subvarieties, and Serre vanishing, Theorem 18.1.3(ii)).
This implies that for i ≥ 2,
∼ Hi (X, L ⊗m (−B)) (long exact sequence for ([Link]))
Hi (X, L ⊗m ) =
∼ Hi (X, L ⊗m+1 ) (long exact sequence for ([Link]))
=
so the higher cohomology stabilizes (is constant) for large m. From
χ(X, L ⊗m ) = h0 (X, L ⊗m ) − h1 (X, L ⊗m ) + constant,
H0 (L ⊗m ) ̸= 0 for m ≫ 0, completing Step 2.
576 The Rising Sea: Foundations of Algebraic Geometry
So by replacing L by a suitably large multiple (ampleness is independent of
taking tensor powers, Theorem 16.2.2), we may assume L has a section D. We
now use D as a crutch.
Step 3: L ⊗m is globally generated for m ≫ 0.
As D is effective, L ⊗m is globally generated on the complement of D: we
have a section nonvanishing on that big open set. Thus any base locus must be
contained in D. Consider the short exact sequence
([Link]) 0 / L ⊗(m−1) / L ⊗m / L ⊗m |D /0
Now L |D is ample by our inductive hypothesis. Choose m so large that H1 (X, L ⊗m |D ) =
0 (Serre vanishing, Theorem 18.1.3(ii)). From the exact sequence associated to
([Link]),
ϕm : H1 (X, L ⊗(m−1) ) / H1 (X, L ⊗m )
is surjective for m ≫ 0. Using the fact that the H1 (X, L ⊗m ) are finite-dimensional
vector spaces, as m grows, H1 (X, L ⊗m ) must eventually stabilize, so the ϕm are
isomorphisms for m ≫ 0.
Thus for large m, from the long exact sequence in cohomology for ([Link]),
H (X, L ⊗m ) → H0 (X, L ⊗m |D ) is surjective for m ≫ 0. But H0 (X, L ⊗m |D ) has no
0
base points by our inductive hypothesis (applied to D), i.e., for any point p of D
there is a section of L ⊗m |D not vanishing at p, so H0 (X, L ⊗m ) has no base points
on D either, completing Step 3.
Step 4. Thus L is a base-point-free line bundle with positive degree on each
curve (by hypothesis of Theorem 20.4.1), so by Exercise 18.4.M we are done. □
The following result is the key to proving Kleiman’s numerical criterion of
ampleness, Theorem 20.4.7.
20.4.6. Kleiman’s Theorem. — Suppose X is a projective k-scheme. If L is a nef
invertible sheaf on X, then (L k · V) ≥ 0 for every irreducible subvariety V ⊂ X of
dimension k.
As usual, this extends to the proper case, see [Kl1, Thm. IV.2.1]. And as usual,
we postpone the proof until after we appreciate the consequences.
20.4.B. E XERCISE .
(a) (limit of amples is nef) If L and H are any two invertible sheaves such that
L + ϵH is ample for all sufficiently small ϵ > 0, show that L is nef. (Hint:
limϵ→0 . This doesn’t require Kleiman’s Theorem.)
(b) (nef + ample = ample) Suppose X is a projective k-scheme, H is ample, and
L is nef. Show that L + ϵH is ample for all ϵ ∈ Q≥0 . (Hint: use the Nakai-
Moishezon criterion: ((L + ϵH )k · V) > 0. This may help you appreciate the
additive notation.)
20.4.7. Theorem (Kleiman’s numerical criterion for ampleness). — Suppose X is
a projective k-scheme.
(a) The nef cone is the closure of the ample cone.
(b) The ample cone is the interior of the nef cone.
Side remark: of course (a) is false if “projective” is relaxed to “proper” (as
the ample cone of a proper nonprojective variety is empty, but 0 is nef so the nef
April 1, 2023 draft 577
cone is nonempty). However, part (b) is true if X is proper and factorial (see [Kl1,
Thm. IV.2.2] for a proof and a more general statement). Hence if X is smooth,
proper, and nonprojective, then the interior of the nef cone is empty.
20.4.C. E XERCISE . See [Kl1, p. 326, Ex. 2] for Mumford’s example of a non-
ample line bundle on a smooth projective surface that meets every curve positively.
Doesn’t this contradict Theorem 20.4.7?
Proof. (a) Ample invertible sheaves are nef (Exercise 18.4.U(e)), and the nef cone
is closed (Exercise 18.4.V), so the closure of the ample cone is contained in the
cone. Conversely, each nef element of N1Q (X) is the limit of ample classes by Exer-
cise 20.4.B(a), so the nef cone is contained in the closure of the ample cone.
(b) As the ample cone is open (Proposition 20.4.3), the ample cone is contained
in the interior of the nef cone. Conversely, suppose L is in the interior of the nef
cone, and H is any ample class. Then L − ϵH is nef for all small enough positive
ϵ. Then by Exercise 20.4.B(b), L = (L − ϵH ) + ϵH is ample. □
Suitably motivated, we prove Kleiman’s Theorem 20.4.6.
Proof. We may immediately reduce to the case where X is irreducible and reduced.
We work by induction on n := dim X. The base case n = 1 is obvious. So we
assume that (L dim V · V) ≥ 0 for all irreducible V not equal to X. We need only
show that (L n · X) ≥ 0.
Fix some very ample invertible sheaf H on X.
20.4.D. E XERCISE . Show that (L k · H n−k · X) ≥ 0 for all k < n. (Hint: use the
inductive hypothesis.)
Consider P(t) := ((L + tH )n · X) ∈ Q[t]. We wish to show that P(0) ≥ 0.
Assume otherwise that P(0) < 0. Now for t ≫ 0, L + tH is ample, so P(t) is
positive for large t. Thus P(t) has positive real roots. Let t0 be the largest positive
real root of t. (In fact there is only one positive root, as Exercise 20.4.D shows that
all the nonconstant coefficients of P(t) are nonnegative.
20.4.E. E XERCISE . Show that for (rational) t > t0 , L + tH is ample. Hint: use the
Nakai-Moishezon criterion (Theorem 20.4.1); if V ̸= X is an irreducible subvariety,
show that ((L + tH )dim V · V) > 0 by expanding (L + tH )dim V .
Let Q(t) := (L · (L + tH )n−1 · X) and R(t) := (tH · (L + tH )n−1 · X), so
P(t) = Q(t) + R(t).
20.4.F. E XERCISE . Show that Q(t) ≥ 0 for all rational t > t0 . Hint (which you will
have to make sense of): (L + tH ) is ample by Exercise 20.4.E, so for N sufficiently
large, N(L + tH ) is very ample. Use the idea of the proof of Proposition 20.1.4
to intersect X with n − 1 divisors in the class of N(L + tH ) so that “((N(L +
tH ))n−1 · X) is an effective curve C”. Then (L · C) ≥ 0 as L is nef. Thus
Q(t0 ) ≥ 0.
20.4.G. E XERCISE . Show that R(t0 ) > 0. (Hint: Exercise 20.4.D.)
Thus P(t0 ) > 0 as desired. □
CHAPTER 21
Differentials
21.1 Motivation and game plan
Differentials are an intuitive geometric notion, and we are going to figure out
the right description of them algebraically. The algebraic manifestation is some-
what non-intuitive, so it is helpful to understand differentials first in terms of ge-
ometry. Also, although the algebraic statements are odd, none of the proofs are
hard or long. You will notice that this topic could have been done as soon as we
knew about morphisms and quasicoherent sheaves. We have usually introduced
new ideas through a number of examples, but in this case we will spend a fair
amount of time discussing theory, and only then get to examples.
Suppose X is a “smooth” k-variety. We would like to define a tangent bundle.
We will see that the right way to do this will easily apply in much more general
circumstances.
• We will see that the cotangent sheaf is more “natural” for schemes than tangent
bundle/sheaf. This is similar to the fact that the Zariski cotangent space is more
natural than the tangent space (i.e., if A is a ring and m is a maximal ideal, then
m/m2 is “more natural” than (m/m2 )∨ ), as we have repeatedly discussed since
§13.1. In both cases this is because we are understanding “spaces” via their (sheaf
of) functions on them, which is somehow dual to the geometric pictures you have
of spaces in your mind.
So we will define the cotangent sheaf first. An element of the (co)tangent space
will be called a (co)tangent vector.
• Our undergraduate intuition will continue to work — we can calculate using the
Jacobian matrix, the answers will be the same in cases where our undergraduate
calculations apply, and we will even have the advantage of avoiding δ’s and ϵ’s.
• Our construction will automatically apply for general X, even if X is not “smooth”
(or even at all nice, e.g., finite type). The cotangent sheaf will not necessarily be
locally free, but it will still be a quasicoherent sheaf.
• Better yet, this construction will naturally work “relatively”. For any π : X →
Y, we will define Ωπ = ΩX/Y , a quasicoherent sheaf on X, the sheaf of relative
differentials. The fiber of this sheaf at a point will be the cotangent vectors of the
fiber of the map. This will specialize to the earlier case by taking Y = Spec k. The
idea is that this glues together the cotangent sheaves of the fibers of the family.
Figure 21.1 is a sketch of the relative tangent space of a map X → Y at a point
p ∈ X — it is the tangent to the fiber. (The tangent space is easier to draw than the
cotangent space!) An element of the relative (co)tangent space is called a vertical
or relative (co)tangent vector.
579
580 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 21.1. The relative tangent space of a morphism X → Y at
a point p
Thus the central concept of this chapter is the cotangent sheaf Ωπ = ΩX/Y
for a morphism π : X → Y of schemes. A good picture to have in your mind
is the following. If π : X → Y is a submersion of manifolds (a map inducing a
surjection on tangent spaces), you might hope that the tangent spaces to the fibers
at each point p ∈ X might fit together to form a vector bundle. This is the relative
tangent bundle (of π), and its dual is ΩX/Y (see Figure 21.1). Even if you are not
geometrically minded, you will find this useful. (For an arithmetic example, see
Exercise 21.2.H.)
21.2 Definitions and first properties
21.2.1. The affine case: three definitions.
We first study the affine case. Suppose A is a B-algebra, so we have a mor-
phism of rings ϕ : B → A and a morphism of schemes Spec A → Spec B. I will
define an A-module ΩA/B in three ways. This is called the module of relative
differentials or the module of Kähler differentials. The module of differentials
will be defined to be this module, as well as a map d : A → ΩA/B satisfying three
properties. (Caution: although d sends an A-module to an A-module, it is not in
general A-linear. A priori we take it as a homomorphism of abelian groups, but
we will momentarily make it a homomorphism of B-modules, Exercise 21.2.A.)
(i) additivity: da + da ′ = d(a + a ′ ).
(ii) Leibniz: d(aa ′ ) = a da ′ + a ′ da.
(iii) triviality on pullbacks: db = 0 for b ∈ ϕ(B).
These properties will not be surprising if you have seen differentials in any other
context.
21.2.A. T RIVIAL EXERCISE . Show that d is B-linear.
21.2.B. E XERCISE . Prove the quotient rule: if a ′ = as, then s2 da = s da ′ − a ′ ds.
April 1, 2023 draft 581
21.2.C. E XERCISE . State and prove the chain rule for d(f(g)) where f is a polyno-
mial with B-coefficients, and g ∈ A. (As motivation, think of the case B = k. So for
example, dan = nan−1 da, and more generally, if f is a∑ polynomial in one ∑ variable,
df(a) = f ′ (a) da, where f ′ is defined formally: if f = ci xi then f ′ = ci ixi−1 .)
We will now see three definitions of the module of Kähler differentials, which
will soon “sheafify” to the sheaf of relative differentials. The first definition is a
concrete hands-on definition. The second is by universal property. And the third
will globalize well, and will allow us to define ΩX/Y conveniently in general.
21.2.2. First definition of differentials: explicit description. We define ΩA/B
to be finite A-linear combinations of symbols “da” for a ∈ A, subject to the three
rules (i)–(iii) above. For example, take A = k[x, y], B = k. Then a sample differen-
tial is 3x2 dy+4 dx ∈ ΩA/B . We have identities such as d(3xy2 ) = 3y2 dx+6xy dy.
21.2.3. Key fact. Note that if A is generated over B (as an algebra) by xi ∈
A (where i lies in some index set, possibly infinite), subject to some relations rj
(where j lies in some index set, and each is a polynomial in the xi ), then the A-
module ΩA/B is generated by the dxi , subject to the relations drj = 0. In short,
we needn’t take every single element of A; we can take a generating set. And we
needn’t take every single relation among these generating elements; we can take
generators of the relations.
21.2.D. E XERCISE . Verify Key fact 21.2.3. (If you wish, use the affine conormal ex-
act sequence, Theorem 21.2.12, to verify it; different people prefer to work through
the theory in different orders. Just take care not to make circular arguments.)
In particular:
21.2.4. Proposition. — If A is a finitely generated B-algebra, then ΩA/B is a finite type
(i.e., finitely generated) A-module. If A is a finitely presented B-algebra, then ΩA/B is a
finitely presented A-module.
Recall (§8.3.13) that a ring A is finitely presented over another ring B if it can be
expressed with finite number of generators and finite number of relations:
A = B[x1 , . . . , xn ]/(r1 (x1 , . . . , xn ), . . . , rj (x1 , . . . , xn )).
If A is Noetherian, then finitely presented is the same as finite type, as the “finite
number of relations” comes for free, so most of you will not care.
Let’s now see some examples. Among these examples are three particularly
important building blocks for ring maps: adding free variables; localizing; and
taking quotients. If we know how to deal with these, we know (at least in theory)
how to deal with any ring map. (They were similarly useful in understanding the
fibered product in practice, in §10.2.)
21.2.5. Example: taking a quotient. If A = B/I, then ΩA/B = 0: da = 0 for all
a ∈ A, as each such a is the image of an element of B. This should be believable;
in this case, there are no “vertical tangent vectors”.
21.2.6. Example: adding variables. If A = B[x1 , . . . , xn ], then ΩA/B = Adx1 ⊕
· · · ⊕ Adxn . (Note that this argument applies even if we add an arbitrarily infinite
582 The Rising Sea: Foundations of Algebraic Geometry
number of indeterminates.) The intuitive geometry behind this makes the answer
very reasonable. The cotangent bundle of affine n-space should indeed be free of
rank n.
21.2.7. Explicit example: an affine plane curve. Consider the plane curve y2 =
x3 − x in A2k , where the characteristic of k is not 2 (see Figure 19.7 for a picture). Let
A = k[x, y]/(y2 − x3 + x) and B = k. By Key fact 21.2.3, the module of differentials
ΩA/B is generated by dx and dy, subject to the relation
2y dy = (3x2 − 1) dx.
Thus in the locus where y ̸= 0, dx is a generator (as dy can be expressed in terms of
dx). We conclude that where y ̸= 0, Ω e A/B is isomorphic to the trivial line bundle
(invertible sheaf). Similarly, in the locus where 3x2 −1 ̸= 0, dy is a generator. These
two loci cover the entire curve, as solving y = 0 gives x3 − x = 0, i.e., x = 0 or ±1,
and in each of these cases 3x2 − 1 ̸= 0. We have shown that Ω e A/B is an invertible
sheaf.
We can interpret dx and dy geometrically. Where does the differential dx van-
ish? The previous paragraph shows that it doesn’t vanish on the patch where 2y ̸=
0. On the patch where 3x2 − 1 ̸= 0, where dy is a generator, dx = (2y/(3x2 − 1)) dy
from which we see that dx vanishes precisely where y = 0. You should find this
believable from the picture. We have shown that dx = 0 precisely where the curve
has a vertical tangent vector. Once we can pull back differentials (Exercise 21.2.K(a)
or Theorem 21.2.25), we can interpret dx as the pullback of a differential on the x-
axis to Spec A (pulling back along the projection to the x-axis). When we do that,
using the fact that dx doesn’t vanish on the x-axis, we can interpret the locus where
dx = 0 as the locus where the projection map branches. (Can you compute where
dy = 0, and interpret it geometrically?)
This discussion applies to plane curves more generally. Suppose A = k[x, y]/f(x, y),
where for convenience k = k. Then the same argument as the one given above
shows that Ω e A/k is free of rank 1 on the open set D(∂f/∂x), and also on D(∂f/∂y).
If Spec A is a regular curve, then these two sets cover all of Spec A. (Conversely,
Exercise 13.2.F — basically the Jacobian criterion — gives regularity at the closed
points. Furthermore, the curve must be reduced, or else as the nonreduced locus
is closed, it would be nonreduced at a closed point, contradicting regularity. Fi-
nally, reducedness at a generic point is equivalent to regularity — a scheme whose
underlying set is a point is reduced if and only if it is regular. Alternatively, we
could invoke a big result, Fact 13.8.2, to get regularity at the generic point from
regularity at the closed points.)
If, on the other hand, the plane curve is singular, then Ω is not locally free of
rank one. For example, consider the plane curve Spec A where A = C[x, y]/(y2 −
x3 ), so
ΩA/C = (A dx ⊕ A dy)/(2y dy − 3x2 dx).
Then the fiber of ΩA/C over the origin (computed by setting x = y = 0) is rank 2,
as it is generated by dx and dy, with no relation.
Implicit in the above discussion is the following exercise, showing that Ω can
be computed using the Jacobian matrix.
April 1, 2023 draft 583
21.2.E. I MPORTANT BUT E ASY E XERCISE (J ACOBIAN DESCRIPTION OF ΩA/B ). Sup-
pose A = B[x1 , . . . , xn ]/(f1 , . . . , fr ). Then
ΩA/B = (⊕i (A dxi )) /(⊕j dfj )
may be interpreted as the cokernel of the Jacobian matrix ([Link])
J : A⊕r / A⊕n .
(You might notice that if J has full rank everywhere, so A is smooth over B, then
ΩA/B is locally free; see Exercise 21.2.Q for more.)
The next result connects the cotangent module ΩA/B to the cotangent space at
a (rational) point.
21.2.F. E XERCISE ( THE FIBER OF Ω AT A RATIONAL POINT IS THE COTANGENT
SPACE ). Suppose B is a k-algebra, and m ⊂ B is a maximal ideal with residue
∼
field k. Then there is an isomorphism of k-vector spaces δ : m/m2 −→ ΩB/k ⊗B k
∼
(where the k on the right is a B-module via the isomorphism k ←→ B/m). Hint:
both are “computed” using the Jacobian matrix.
Corollary 21.3.8 will give a quite different proof, and generalize it to the case
where B/m is a separable extension of k. It will allow us to extend the Jacobian
description of the Zariski cotangent space to closed points whose residue field is a
separable extension of the ground field, not just the ground field itself.
21.2.G. E XERCISE . Suppose X is a finite type scheme over an algebraically closed
field. Show that the function from the closed points of X to Z≥0 given by p 7→
dim Tp X is upper semicontinuous in the Zariski topology. (Be clear on what the
Zariski topology is on the set of closed points, cf. §8.4.8.) Corollary 21.3.8 will
immediately extend this to all fields of characteristic 0, and all finite fields.
21.2.8. Example: Localization. If T is a multiplicative subset of B, and A = T −1 B,
then ΩA/B = 0. Reason: by the quotient rule (Exercise 21.2.B), if a = b/t, then
da = (t db − b dt)/t2 = 0. If A = Bf , this is intuitively believable; then Spec A is
an open subset of Spec B, so there should be no vertical (co)tangent vectors.
21.2.H. I MPORTANT E XERCISE ( FIELD EXTENSIONS ). This notion of relative differ-
entials is interesting even for finite extensions of fields. In other words, even when
you map a reduced point to a reduced point, something interesting can happen
with differentials.
(a) Suppose K/k is a separable algebraic extension. Show that ΩK/k = 0. Do not
assume that K/k is a finite extension! (Hint: for any α ∈ K, there is a polynomial
f(x) such that f(α) = 0 and f ′ (α) ̸= 0.)
(b) Suppose k is a field of characteristic p, K = k(tp ), L = k(t). Compute ΩL/K
(where K ,→ L is the “obvious” inclusion).
We now delve a little deeper, and discuss two useful and geometrically moti-
vated exact sequences.
584 The Rising Sea: Foundations of Algebraic Geometry
21.2.9. Theorem (cotangent exact sequence, affine version). — Suppose C → B →
A are ring morphisms. Then there is a natural exact sequence of A-modules
a⊗db7→a db da7→da
A ⊗B ΩB/C / ΩA/C / ΩA/B / 0.
F IGURE 21.2. The geometry behind the cotangent exact sequence
The proof will be quite straightforward algebraically, but the statement comes
fundamentally from geometry, and that is how best to remember it. Figure 21.2 is
a sketch of a map π : X → Y. Here X should be interpreted as Spec A, Y as Spec B,
and Spec C (we will soon call it Z) is a point. (If you would like a picture with
a higher-dimensional Spec C, just “take the product of Figure 21.2 with a curve”.)
In the Figure, Y is “smooth”, and X is “smooth over Y” — which means roughly
that all the fibers are smooth. Suppose p is a point of X. Then the tangent space
of the fiber of π at p is certainly a subspace of the tangent space of the total space
of X at p. The cokernel is naturally the pullback of the tangent space of Y at π(p).
This short exact sequence for each p should be part of a short exact sequence of
“relative tangent sheaves”
0 / TX/Y / TX/Z / π∗ TY/Z /0
on X. (We will formally define “relative tangent sheaf” in §21.2.18.) Dualizing this
yields
0 / π∗ ΩY/Z / ΩX/Z / ΩX/Y / 0.
This is precisely the statement of Theorem 21.2.9, except we also have left-
exactness. This discrepancy is because the statement of the theorem is more gen-
eral; we will see in Exercise 21.2.S that in the “smooth” case, we indeed have left-
exactness.
21.2.10. Intriguing Remark. As always, whenever you see something right-exact,
you should suspect that there should be some sort of (co)homology theory so that
this is the end of a long exact sequence. This is indeed the case, and this exact
April 1, 2023 draft 585
sequence involves André-Quillen homology (see [E, p. 386] for more). You should
expect that the next term to the left should be the first homology corresponding
to A/B, and in particular shouldn’t involve C. So if you already suspect that you
have exactness on the left in the case where A/B and B/C are “smooth” (whatever
that means), and the intuition of Figure 21.2 applies, then you should expect fur-
ther that all that is necessary is that A/B be “smooth”, and that this would imply
that the first André-Quillen homology should be zero. Even though you wouldn’t
precisely know what all the words meant, you would be completely correct! You
would also be developing a vague inkling about the cotangent complex. We will see
examples when left-exactness holds in a sufficiently “smooth” situation in Propo-
sition 21.7.2 and Exercise 21.2.S. For a more general statement, see [Stacks, tag
06B6]. See also [Liu, Cor. 6.3.22] and [Liu, Prop. 6.3.11] for clean discussions of
the next two terms in the sequence: “cotangent exact sequence”, “conormal exact
sequence”, . . . .
21.2.11. Proof of Theorem 21.2.9 (the cotangent exact sequence, affine version). First,
note that surjectivity of ΩA/C → ΩA/B is clear, as this map is given by da 7→ da
(where a ∈ A).
Next, the composition over the middle term is clearly 0, as this composition is
given by a ⊗ db 7→ adb 7→ 0.
Finally, we wish to identify ΩA/B as the cokernel of A ⊗B ΩB/C → ΩA/C .
Now ΩA/B is exactly the same as ΩA/C , except we have extra relations: db = 0
for b ∈ B. These are precisely the images of 1 ⊗ db on the left. □
21.2.12. Theorem (conormal exact sequence, affine version). — Suppose B is a
C-algebra, I is an ideal of B, and A = B/I. Then there is a natural exact sequence of
A-modules
a⊗db7→a db
I/I2
δ / A ⊗B ΩB/C / ΩA/C / 0.
The map δ is given by i 7→ 1 ⊗ di, or more formally, 1 ⊗ d : B/I ⊗B I → B/I ⊗B ΩB/C .
(You will recognize the map A ⊗B ΩB/C → ΩA/C from the cotangent exact
sequence, Theorem 21.2.9. A special case of the map δ secretly appeared in Ex-
ercise 21.2.F.) The proof is algebraic, so the geometric discussion afterwards may
help clarify how you should really think of it.
Proof. We will identify the cokernel of δ : I/I2 → A ⊗B ΩB/C with ΩA/C . Consider
A ⊗B ΩB/C . As an A-module, it is generated by db (where b ∈ B), subject to
three types of relations: dc = 0 for c ∈ ϕ(C) (where ϕ : C → B describes B as
a C-algebra), additivity, and the Leibniz rule. Given any relation in B, d of that
relation is 0.
Now ΩA/C is defined similarly, except there are more relations in A; these
are precisely the elements of I ⊂ B. Thus we obtain ΩA/C by starting out with
A⊗B ΩB/C , and adding the additional relations di where i ∈ I. But this is precisely
the image of δ! (Be sure that you see how the identification of the cokernel of δ with
ΩA/C is precisely via the map a ⊗ db 7→ a db.) □
We now give a geometric interpretation of the conormal exact sequence, and
in particular define conormal modules/sheaves/bundles.
586 The Rising Sea: Foundations of Algebraic Geometry
As with the cotangent exact sequence (Theorem 21.2.9), the conormal exact
sequence is fundamentally about geometry. To motivate it, consider the sketch
of Figure 21.3. In the sketch, everything is “smooth”, X is one-dimensional, Y is
two-dimensional, j is the inclusion j : X ,→ Y, and Z is a point. Then at a point
p ∈ X, the tangent space TX |p clearly injects into the tangent space of j(p) in Y,
and the cokernel is the normal vector space to X in Y at p. This should give an
exact sequence of bundles on X:
0 / TX / j∗ TY / NX/Y / 0.
Dualizing this should give
0 /N∨ / j∗ ΩY/Z / ΩX/Z / 0.
X/Y
This is precisely what appears in the statement of the Theorem, except (i) the exact
sequence in algebraic geometry is not necessarily exact on the left, and (ii) we see
∨
I/I2 instead of NSpec A/ Spec B .
F IGURE 21.3. The geometry behind the conormal exact sequence
21.2.13. We resolve the first issue (i) by expecting that the sequence of Theo-
rem 21.2.12 is exact on the left in appropriately “smooth” situations, and this
is indeed the case, see Theorem 21.3.6 and Remark 21.3.7. (If you enjoyed Re-
mark 21.2.10, you might correctly guess several things. The next term on the left
should be the first André-Quillen homology of A/C, so we should only need that
A/C is smooth, and B should be irrelevant. Also, if A = B/I, then we should
expect that I/I2 is the first André-Quillen homology of A/B.)
21.2.14. Conormal modules and conormal sheaves. We resolve the second issue (ii) by
declaring I/I2 to be the conormal module, and in Definition 21.2.15 we will define
the obvious analog as the conormal sheaf.
April 1, 2023 draft 587
Here is some geometric intuition as to why we might want to call (the sheaf
associated to) I/I2 the conormal sheaf, which will likely confuse you, but may of-
fer some enlightenment. First, if Spec A is a closed point of Spec B, we expect the
conormal space to be precisely the cotangent space. And indeed if A = B/m, the
Zariski cotangent space is m/m2 . (We made this subtle connection in §13.1.) In
particular, at some point you will develop a sense of why the conormal (=cotan-
gent) space to the origin in A2k = Spec k[x, y] is naturally the space of linear forms
αx + βy. But then consider the z-axis in Spec k[x, y, z] = A3k , cut out by I = (x, y).
Elements of I/I2 may be written as α(z)x + β(z)y, where α(z) and β(z) are poly-
nomial. This reasonably should be the conormal space to the z-axis: as z varies,
the coefficients of x and y vary. More generally, the same idea suggests that the
conormal module/sheaf to any coordinate k-plane inside n-space corresponds to
I/I2 . Now consider a k-dimensional manifold X inside an n-dimensional mani-
fold Y, with the classical topology. We can apply the same construction: if I is
the ideal sheaf of X in Y, then I /I 2 can be identified with the conormal sheaf
(essentially the conormal vector bundle), because analytically locally X ,→ Y can
be identified with Rk ,→ Rn . For this reason, you might hope that in algebraic
geometry, if Spec A ,→ Spec B is an inclusion of something “smooth” in something
“smooth”, I/I2 should be the conormal module (or, after applying the functor ∼,
the conormal sheaf). Motivated by this, we define the conormal module as I/I2
always, and then notice that it has good properties (such as Theorem 21.2.12), but
take care to learn what unexpected behavior it might have when we are not in the
“smooth” situation, by working out examples such as that of §21.2.7.
21.2.15. Definition. Suppose i : X ,→ Y is a closed embedding of schemes cut out
by ideal sheaf I . Define the conormal sheaf for a closed embedding by I /I 2 ,
∨
denoted by NX/Y . (The product of quasicoherent ideal sheaves was defined in
∨
Exercise 15.5.E.) Important: We interpret NX/Y as a quasicoherent sheaf on X, not
(just) Y — be sure you understand why we may do so. (Exercise 17.1.E is one
reason, but it may confuse the issue more than help.)
∨
Define the normal sheaf as its dual NX/Y := Hom (NX/Y , OX ). This is imperfect
notation, because it suggests that the dual of N is always N ∨ . This is not always
true, as for A-modules, the natural morphism from a module to its double-dual is
not always an isomorphism. (Modules for which this is true are called reflexive,
but we won’t use this notion.)
If the normal sheaf is locally free of finite rank, then we call the associated
vector bundle the normal bundle of X in Y.
∨
21.2.I. E ASY E XERCISE . Define the conormal sheaf NX/Y (and hence the normal
sheaf NX/Y ) for a locally closed embedding i : X ,→ Y of schemes, a quasicoherent
sheaf on X. (Make sure your definition is well-defined!)
In the good situation of a regular embedding, the conormal sheaf (and hence
the normal sheaf) is locally free of finite rank (or more informally, a vector bun-
dle). In particular, the dual of N is indeed N ∨ . As a warm-up we deal with the
important codimension 1 case.
21.2.J. E XERCISE : N ORMAL BUNDLES TO EFFECTIVE C ARTIER DIVISORS . Suppose
∨
D ⊂ X is an effective Cartier divisor (§9.5.1). Show that the conormal sheaf ND/X
588 The Rising Sea: Foundations of Algebraic Geometry
is O(−D)|D (and in particular is an invertible sheaf), and hence that the normal
sheaf is O(D)|D . This justifies our earlier definition of normal bundles to effective
Cartier divisors, in §15.5.1. It may be surprising that the normal sheaf should be
∼ A2 and D is the union of the two axes (and more generally if X
locally free if X =
is regular but D is singular), because you may be used to thinking that a “tubular
neighborhood” is isomorphic to the normal bundle.
We now treat the general case.
21.2.16. Proposition. —
(a) Suppose A is Noetherian. If I is generated by a regular sequence x1 , . . . , xr , then the
map γ : (A/I)⊕r → I/I2 given by (a1 , . . . , ar ) 7→ a1 x1 + · · · + ar xr describes I/I2 as a
free module of rank r over A/I with basis x1 , . . . , xr .
(b) The (co)normal sheaf of a codimension r regular embedding is locally free of rank r.
Proof. (a) Clearly γ is surjective. We now show that it is injective. It suffices to show
that it is injective upon localization to all points of Spec A/I, because injectivity
is a stalk-local condition. Then in such a localization, the regular sequence in A
remains regular (Exercise 9.5.D, plus the fact that the strict inclusion (x1 , . . . , xr ) ⊊
A remains strict upon localization at a prime containing I). We are thus reduced
to the local question. (Caution: Make sure you see why (I/I2 )m = Im /(Im )2 .)
Consider the ai ’s instead as elements of A. Suppose now that (a1 , . . . , ar ) ∈
ker γ; we will show that each ai is in I. Now because xr is not a zerodivisor on
A/(x1 , . . . , xr−1 ), since ar xr = 0 in A/(x1 , . . . , xr−1 ), we have ar ∈ (x1 , . . . , xr−1 ) ⊂
I. Because the roles of the ai ’s are symmetric by Theorem 9.5.6, we are done.
(b) follows immediately from (a). □
We will soon meet a related but harder fact, that if I is the ideal sheaf of a
regular embedding of codimension r, then I n /I n+1 is locally free, because it is
Symn (I /I 2 ) (see Theorem 22.3.8).
21.2.17. Second definition: universal property. Here is a second definition that
is important philosophically, by universal property. Of course, it is a characteriza-
tion rather than a definition: by universal property nonsense, it shows that if the
module exists (with the d map), then it is unique up to unique isomorphism, and
then one still has to construct it to make sure that it exists.
Suppose A is a B-algebra, and M is a A-module. A B-linear derivation of
A into M is a map d : A → M of B-modules (not necessarily a map of A-modules)
satisfying the Leibniz rule: d(fg) = f dg + g df. As an example, suppose B = k,
and A = k[x], and M = A. Then d/dx is a k-linear derivation. As a second
example, if B = k, A = k[x], and M = k, then (d/dx)|0 (the operator “evaluate the
derivative at 0”) is a k-linear derivation.
A third example is d : A → ΩA/B , and indeed d : A → ΩA/B is the universal B-
linear derivation of A. Precisely, the map d : A → ΩA/B is defined by the following
universal property: any other B-linear derivation d ′ : A → M factors uniquely
April 1, 2023 draft 589
through d:
′
AE
d /M
EE yy<
EE y
EE yy
d EE yyy f
" y
ΩA/B
Here f is a map of A-modules. (Note again that d and d ′ are not necessarily maps
of A-modules — they are only B-linear.) By universal property nonsense, if it
exists, it is unique up to unique isomorphism. The map d : A → ΩA/B clearly
satisfies this universal property, essentially by definition.
Depending on how your brain works, you may prefer using the first (construc-
tive) or second (universal property) definition to do the next two exercises.
21.2.K. E XERCISE .
(a) (pullback of differentials) If
AO ′ o AO
B′ o B
is a commutative diagram, describe a natural homomorphism of A ′ -modules A ′ ⊗A
ΩA/B → ΩA ′ /B ′ . An important special case is B = B ′ .
(b) (differentials behave well with respect to base extension, affine case) If furthermore
the above diagram is a “tensor diagram” (i.e., A ′ = ∼ B ′ ⊗B A, so the diagram is
“co-Cartesian”) then show that A ′ ⊗A ΩA/B → ΩA ′ /B ′ is an isomorphism. (De-
pending on how you proceed, this may be trickier than you expect.)
21.2.L. E XERCISE : LOCALIZATION ( STRONGER FORM ; CF. E XAMPLE 21.2.8). Sup-
pose ϕ : B → A is a map of rings, S is a multiplicative subset of A, and T is a
multiplicative subset of B with ϕ(T ) ⊂ S, so we have the following commutative
diagram.
S−1O A o AO
T −1 B o B
Show that the pullback of differentials S ΩA/B → ΩS−1 A/T −1 B of Exercise 21.2.K(a)
−1
is an isomorphism. (This should be believable from the intuitive picture of “verti-
cal cotangent vectors”.) An important case is when T = {1}.
21.2.M. E XERCISE ( FIELD EXTENSIONS CONTINUED , CF. E XERCISE 21.2.H).
(a) Compute Ωk(t)/k . (Hint: §21.2.6 followed by Exercise 21.2.L.)
(b) If K/k is separably generated by t1 , . . . , tn ∈ K (i.e., t1 , . . . , tn form a transcen-
dence basis, and K/k(t1 , . . . , tn ) is algebraic and separable), show that ΩK/k is a
free K-module (i.e., vector space) with basis dt1 , . . . , dtn . Hint: use the cotangent
exact sequence (Theorem 21.2.9) for k ,→ k(t1 , . . . , tn ) ,→ K to show that the dti
span ΩK/k as a K-vector space. The tricky part is showing that the dti are linearly
independent. Do this by showing that there exists a unique map ΩK/k → K send-
ing dt1 to 1, and dti to 0 for i > 1. Do this first for the case where K/k(t1 , . . . , tn )
is generated by one element; then where it is finitely generated; then the general
590 The Rising Sea: Foundations of Algebraic Geometry
case by defining it on all finitely generated subextensions, and using uniqueness
to show that they “all agree”.
21.2.18. Third definition: global. We now want to globalize this definition for an
arbitrary morphism of schemes π : X → Y. We could do this “affine by affine”; we
just need to make sure that the above notion behaves well with respect to “change
of affine sets”. Thus a relative differential
∑ on X would be the data of, for every
affine U ⊂ X, a differential of the form dbi , and on the intersection
ai ∑ ∑ of two
affine open sets U ∩ U ′ , with representatives ai dbi on U and ai′ dbi′ on the
second, an equality on the overlap. Instead, we take a different approach. I will
give the (seemingly unintuitive) definition, then tell you how to think about it, and
then get back to the definition.
Let π : X → Y be any morphism of schemes. Recall that δ : X → X ×Y X is
a locally closed embedding (Proposition 11.3.1(b)). Define the relative cotangent
∨
sheaf ΩX/Y (or Ωπ ) as the conormal sheaf NX/X× YX
of the diagonal (see §21.2.14
— and if X → Y is separated you needn’t even worry about Exercise 21.2.I). (Now
is also as good a time as any to define the relative tangent sheaf TX/Y as the
dual Hom (ΩX/Y , OX ) to the relative cotangent sheaf. If we are working in the
category of k-schemes, then ΩX/k and TX/k are often called the cotangent sheaf
and tangent sheaf of X respectively.)
We now define d : OX → ΩX/Y . Let pr1 : X ×Y X → X and pr2 : X ×Y X → X be
the two projections. Then define d : OX → ΩX/Y on the open set U as follows:
df = pr∗2 f − pr∗1 f.
(How do you interpret pr∗2 f − pr∗1 f as a section of ΩX/Y ?)
Warning: d is not a morphism of quasicoherent sheaves on X, although it is
OY -linear in the only possible meaning of that phrase.
We will soon see that d is indeed a derivation of the sheaf OX (in the only
possible meaning of the phrase), and at the same time see that our new notion of
differentials agrees with our old definition on affine open sets, and hence global-
izes the definition. Note that for any open subset U ⊂ X, d induces a map
([Link]) Γ (U, OX ) / Γ (U, ΩX/Y ),
which we also call d, and interpret as “taking the derivative”.
21.2.19. Motivation. Before connecting this to our other definitions, let me try
to convince you that this is a reasonable definition to make. (This discussion is
informal and nonrigorous.) Say for example that Y is a point, and X a manifold.
Then the tangent bundle TX×X on X × X is pr∗1 TX ⊕ pr∗2 TX , where pr1 and pr2 are
the projections from X × X onto its two factors. Restrict this to the diagonal ∆, and
look at the normal bundle exact sequence:
0 / T∆ / TX×X |∆ / N∆/X / 0.
Now the left morphism sends v to (v, v), so the cokernel can be interpreted as
(v, −v). Thus N∆/X is isomorphic to TX . Thus we can turn this on its head: we
know how to find the normal bundle (or more precisely the conormal sheaf), and
we can use this to define the tangent bundle (or more precisely the cotangent
sheaf).
April 1, 2023 draft 591
21.2.20. Testing this out in the affine case. Let’s now see how this works for the spe-
cial case Spec A → Spec B. Then the diagonal morphism δ : Spec A ,→ Spec A⊗B A
corresponds to the ideal I of A ⊗B A that is the kernel of the ring map
∑ / ∑ xi yi .
α: xi ⊗ yi
∑ I of A ⊗B A is generated
21.2.21. The ideal ∑ by the elements of the form 1 ⊗ a − a ⊗ 1.
Reason: if α( xi ⊗ yi ) = 0, i.e., xi yi = 0, then
∑ ∑ ∑
xi ⊗ yi = (xi ⊗ yi − xi yi ⊗ 1) = xi (1 ⊗ yi − yi ⊗ 1).
The derivation is d : A → A ⊗B A, a 7→ (1 ⊗ a − a ⊗ 1) (an element of I, taken
modulo I2 ). (We shouldn’t really call this “d” until we have verified that it agrees
with our earlier definition, but we irresponsibly will anyway.)
Let’s check that d is indeed a derivation (§21.2.17). Clearly d is B-linear, so we
check the Leibniz rule:
d(aa ′ ) − a da ′ − a ′ da = 1 ⊗ aa ′ − aa ′ ⊗ 1 − a ⊗ a ′ + aa ′ ⊗ 1 − a ′ ⊗ a + a ′ a ⊗ 1
= −a ⊗ a ′ − a ′ ⊗ a + a ′ a ⊗ 1 + 1 ⊗ aa ′
= (1 ⊗ a − a ⊗ 1)(1 ⊗ a ′ − a ′ ⊗ 1)
∈ I2 .
Thus by the universal property of ΩA/B , we have a natural morphism ΩA/B →
I/I2 of A-modules.
21.2.22. Theorem. — The natural morphism f : ΩA/B → I/I2 induced by the universal
property of ΩA/B is an isomorphism.
Proof. We will show this as follows. (i) We will show that f is surjective, and (ii)
we will describe g : I/I2 → ΩA/B such that g ◦ f : ΩA/B → ΩA/B is the identity
(showing that f is injective).
(i) The map f sends da to 1 ⊗ a − a ⊗ 1, and such elements generate I (§21.2.21),
so f is surjective.
(ii) Consider the map A⊗B A → ΩA/B defined by x⊗y 7→ x dy. (This is a well-
defined map, by the universal property of ⊗, see §1.3.5.) Define g : I/I2 → ΩA/B
as the restriction of this map to I. We need to check that this is well-defined, i.e.,
that elements of I2 are sent to 0, i.e., we need that
(∑ ) (∑ ) ∑
xi ⊗ yi xj′ ⊗ yj′ = xi xj′ ⊗ yi yj′ 7→ 0
i,j
∑ ∑
when i xi yi = xj′ yj′ = 0. But by the Leibniz rule,
∑ ∑ ∑
xi xj′ d(yi yj′ ) = xi xj′ yi dyj′ + xi xj′ yj′ dyi
i,j i,j i,j
( ) ( )
∑ ∑ ∑ ∑
= xi yi xj′ dyj′ + xi dyi xj′ yj′
i j i j
= 0.
592 The Rising Sea: Foundations of Algebraic Geometry
Then g ◦ f is indeed the identity, as
da / 1⊗a−a⊗1 / 1 da − a d1 = da
f g
as desired. □
21.2.N. E ASY EXERCISE . Suppose π : X → Y is a morphism of schemes, with open
subschemes Spec A ⊂ X and Spec B ⊂ Y, with Spec A ⊂ π−1 (Spec B). Identify
e A/B , and identify d : Γ (Spec A, OX ) → Γ (Spec A, ΩX/Y ) with
ΩX/Y |Spec A with Ω
d : A → ΩA/B . Thus the global construction indeed naturally “glues together” the
affine construction.
We can now use our understanding of how Ω works on affine open sets to
generalize previous statements to non-affine settings.
21.2.O. E XERCISE . If U ⊂ X is an open subset, show that the map ([Link]) is a
derivation.
21.2.P. E XERCISE . Suppose π : X → Y is locally of finite type, and Y (and hence
X) is locally Noetherian. Show that ΩX/Y is a coherent sheaf on X. (Feel free to
weaken the Noetherian hypotheses for weaker conclusions.)
21.2.Q. E XERCISE . Suppose π : X → Y is smooth of relative dimension n. Prove
that ΩX/Y is locally free of rank n. Hint: the Jacobian description of Ω, Exer-
cise 21.2.E.
The cotangent exact sequence and the conormal exact sequence for schemes
now directly follow.
21.2.23. Theorem. —
π / ρ
/ Z are morphisms of schemes.
(a) (cotangent exact sequence) Suppose X Y
Then there is an exact sequence of quasicoherent sheaves on X
π∗ ΩY/Z / ΩX/Z / ΩX/Y / 0,
globalizing Theorem 21.2.9.
(b) (conormal exact sequence) Suppose ρ : Y → Z is a morphism of schemes, and i : X ,→ Y
∨
is a closed embedding, with conormal sheaf NX/Y . Then there is an exact sequence of
sheaves on X:
δ / ∗ / ΩX/Z / 0,
N∨X/Y i ΩY/Z
globalizing Theorem 21.2.12.
21.2.R. E XERCISE . Prove Theorem 21.2.23. (What needs to be checked?)
You should expect these exact sequences to be left-exact as well in the presence
of appropriate smoothness (see Remark 21.2.10 and §21.2.13). The following is an
important special case for the cotangent exact sequence. (Theorem 21.3.6 will give
a similar statement for the conormal exact sequence, for smooth varieties.)
21.2.S. E XERCISE ( LEFT- EXACTNESS OF THE COTANGENT EXACT SEQUENCE WHEN
π AND ρ ARE SMOOTH ). Show that the cotangent exact sequence is exact on
April 1, 2023 draft 593
the left if π and ρ are smooth. Hint: the (m + n) × (m + n) matrix you used in
Exercise 13.6.D is “block upper triangular”.
21.2.24. Pulling back relative differentials. Not surprisingly, the sheaf of relative
differentials pull back, and behave well under base change.
21.2.25. Theorem (pullback of differentials). —
(a) If
X′
µ
/X
Y′ /Y
is a commutative diagram of schemes, there is a natural homomorphism µ∗ ΩX/Y →
ΩX ′ /Y ′ of quasicoherent sheaves on X ′ . An important special case is Y = Y ′ .
(b) (Ω behaves well under base change) If furthermore the above diagram is a Cartesian
square (so X ′ =∼ X ×Y Y ′ ) then µ∗ ΩX/Y → ΩX ′ /Y ′ is an isomorphism.
21.2.T. E XERCISE . Derive Theorem 21.2.25 from Exercise 21.2.K. (Why does the
construction of Exercise 21.2.K(a) “glue well”?)
As a particular case of Theorem 21.2.25(b), the fiber of the sheaf of relative
differentials is indeed the sheaf of differentials of the fiber. Thus the sheaf of dif-
ferentials notion indeed “glues together” the differentials on each fiber.
21.2.U. E XERCISE . Suppose α : X → Z and β : Y → Z are two morphisms, and
let α ′ : X ×Z Y → Y and β ′ : X ×Z Y → X be the morphisms induced by fibered
∼
product. Describe an isomorphism ΩX×Z Y/Z ←→ (β ′ )∗ ΩX/Z ⊕ (α ′ )∗ ΩY/Z . (The
right side is often written as ΩX/Z ⊞ ΩY/Z .)
21.3 Smoothness of varieties revisited
Suppose k is a field. Since §13.2.3, we have used an awkward definition of
k-smoothness, and we now make our definition of k-smoothness more robust.
21.3.1. Redefinition. A k-scheme X is k-smooth of dimension n or smooth of
dimension n over k if it is locally of finite type, of pure dimension n, and ΩX/k
is locally free of rank n. The dimension n is often omitted, and one might (possi-
bly) want to call something smooth if it is the (scheme-theoretic) disjoint union of
things smooth of various dimensions.
21.3.A. E XERCISE . Verify that this definition is equivalent to the one given in
Definition 13.2.4.
21.3.B. ⋆⋆ E XERCISE ( FOR THOSE WITH BACKGROUND IN COMPLEX GEOMETRY ).
Suppose X is a complex algebraic variety. Show that the analytification Xan of X
(defined in Exercise 7.3.16) is smooth (in the differential-geometric sense) if and
only if X is smooth (in the algebro-geometric sense, over C). In this case, show
594 The Rising Sea: Foundations of Algebraic Geometry
that complex dimension of the complex manifold Xan (half the real dimension) is
dim X. Hint: the Jacobian criterion applies in both settings.
21.3.C. I MPORTANT E XERCISE . Suppose k is perfect, and X is a finite type k-
scheme. Show that X is smooth if and only if X is regular at all closed points. In
particular, Theorem 13.2.7(a) holds. Hint: let Xk := X ×k k. Explain why X is
smooth if and only if Xk is smooth if and only if Xk is regular at all closed points
if and only if X is regular at all closed points. See Exercise 13.2.P for the last step.
21.3.2. Remark: A short definition of smoothness of varieties. Exercise 21.3.C gives
another pithy characterization of smoothness of varieties: a finite type k-scheme is
smooth if it is geometrically regular.
21.3.3. Generic smoothness.
We can now verify something you may already have intuited. In positive
characteristic, this is a hard theorem, in that it uses a result from commutative
algebra that we have not proved.
21.3.4. Theorem (generic smoothness of varieties). — If X is an irreducible variety
over a perfect field k of dimension n, there is a dense open subset U of X such that U is
smooth of dimension n.
Hence, by Fact 13.8.2, U is regular. Theorem 25.3.1 will generalize this to
smooth morphisms, at the expense of restricting to characteristic 0.
Proof. The n = 0 case is immediate, so we assume n > 0.
We will show that the rank at the generic point is n. Then by upper semicon-
tinuity of the rank of a coherent sheaf (Exercise 14.3.K), it must be n in an open
neighborhood of the generic point, and we are done.
We thus have to check that if K is the fraction field of a dimension n integral
finite type k-scheme, i.e., (by Theorem 12.2.1) if K/k is a transcendence degree
n extension, then ΩK/k is an n-dimensional vector space. But every extension
of transcendence degree n > 1 is separably generated (see Exercise 21.2.M(b)): we
can find n algebraically independent elements of K over k, say x1 , . . . , xn , such
that K/k(x1 , . . . , xn ) is separable. (In characteristic 0, this is automatic from tran-
scendence theory, see Exercise 12.2.A, as all finite extensions are separable. But it
also holds for perfect fields in positive characteristic, see [E, Cor. A1.7] or [Mat2,
Thm. 26.2].) Then ΩK/k is generated by dx1 , . . . , dxn (by Exercise 21.2.M(b)). □
21.3.D. E XERCISE ( PROMISED IN E XERCISE 12.2.D). Suppose f1 , . . . , fn ∈ k[x1 , . . . , xn ],
where k is a field of characteristic 0. Show that f1 , . . . , fn are algebraically depen-
dent if and only if the determinant of the Jacobian matrix is identically zero. Hint:
Theorem 21.3.4, generic smoothness.
21.3.5. Left-exactness of the conormal exact sequence for embeddings of smooth
varieties.
As described in §21.2.13, we expect the conormal exact sequence to be exact
on the left in appropriately “smooth” situations.
21.3.6. Theorem (conormal exact sequence for smooth varieties). — Suppose
i : X ,→ Y is a closed embedding of smooth varieties over a field k, with conormal sheaf
April 1, 2023 draft 595
∨
NX/Y . Then the conormal exact sequence (Theorem 21.2.23(b)) is exact on the left:
0 /N∨ δ / i∗ ΩY/k / ΩX/k /0
X/Y
is exact.
By dualizing, i.e., applying Hom (·, OX ), we obtain the normal exact sequence
0 → TX/k → TY/k |X → NX/Y → 0
which is geometrically more intuitive (see Figure 21.3 and the discussion after the
proof of Theorem 21.2.12).
21.3.7. Remark. The conormal sequence is exact on the left in even more general
circumstances. Essentially all that is required is appropriate smoothness of i ◦
g : X → Z, see [Stacks, tag 06B7], and [Stacks, tag 06BB] for related facts.
Proof. We use the fact that smooth k-varieties are regular at their closed points,
which we have only proved for perfect fields, but which we shall later prove fully
(see §13.2.6).
Let I be the ideal sheaf of i : X ,→ Y. By Exercise 13.2.M(b), i is a regular
embedding in the open neighborhood of all closed points, and hence everywhere.
Thus by Proposition 21.2.16(b), I /I 2 is locally free of rank r. By Exercise 6.6.G(a),
the associated points of ker δ are a subset of the associated points of I /I 2 , so to
show that ker δ = 0, it suffices to check this at the associated points of I /I 2 ,
which are precisely the associated points of X (as I /I 2 is locally free).
As stated above, X is regular at closed points, hence (by Theorem 13.2.11) re-
duced (the nonreduced locus is closed, §9.4.10, and hence if nonempty would nec-
essarily contain a closed point). Thus we need only check at the generic points
of (the irreducible components of) X (as X has no embedded points, see §6.6.2 or
Exercise 6.6.R). But this involves checking the left-exactness of a right-exact se-
quence of vector spaces, and as the dimension of the left (the codimension of X
in Y by Proposition 21.2.16(b)) is precisely the difference of the other two, we are
done. □
21.3.8. Important Corollary. — Suppose Y is a smooth k-variety, and q ∈ Y is a closed
point whose residue field κ(q) is separable over k. (This is automatic if char k = 0 or if
k is a finite field.) Then the conormal exact sequence for q ,→ Y yields an isomorphism of
the Zariski cotangent space of Y at q with the fiber of ΩY/k at q.
Proof. Apply Theorem 21.3.6 with X = q. Note that q is indeed a smooth k-variety
(using separability of κ(q)/k!), and that Ωq/k = 0. □
21.3.9. Remark. This result generalizes Exercise 21.2.F to separable closed points.
As described after the statement of Exercise 21.2.F, this has a number of conse-
quences. For example, it extends the Jacobian description of the Zariski tangent
space to separable closed points.
21.3.E. E XERCISE ( CF. §13.2.14). Suppose p is a closed point of a k-variety X, with
residue field κ(p) that is separable over k. Define π : Xk := X ×k k → X by base
596 The Rising Sea: Foundations of Algebraic Geometry
change from Spec k → Spec k. Suppose q ∈ π−1 (p). Show that Xk is regular at q if
and only if X is regular at p.
21.3.10. Proving Theorem 13.8.3, that the localization of regular local rings are
regular in the case of varieties over perfect fields. Theorems 21.3.4 and 21.3.6
allow us to prove Theorem 13.8.3 (an important case of Fact 13.8.2).
21.3.11. Proof of Theorem 13.8.3. Suppose Y is a variety over a perfect field k that is
regular at its closed points (so Y is smooth, by Exercise 21.3.C), and let η be a point
of Y. We will show that Y is regular at η. Let X = η. By Theorem 21.3.4, X contains
a dense (=nonempty) open subset of smooth points. By shrinking Y by discarding
the points of X outside that open subset, we may assume X is smooth.
Then Theorem 21.3.6 (exactness of the conormal exact sequence for smooth
varieties) implies that I /I 2 is a locally free sheaf of rank codimX/Y = dim OY,η .
21.3.F. E XERCISE . Let m be the maximal ideal of OY,η . Identify the stalk of I /I 2
at the generic point η of X with m/m2 . Conclude the proof of Theorem 13.8.3. □
21.3.G. T RICKY E XERCISE ( LOCALIZATION OF REGULAR LOCAL RINGS OF VARI -
ETIES ARE REGULAR , PROMISED JUST AFTER T HEOREM 13.8.3). Suppose (A, m) is
a regular local ring that is the localization of a finitely generated k-algebra, where
k is perfect. Show that the localization of A at a prime is also a regular local ring.
21.4 Examples
The examples below are organized by topic, not by difficulty.
21.4.1. The geometric genus of a curve. A regular irreducible projective curve
C (over a field k) has geometric genus h0 (C, ΩC/k ). (This will be generalized
to higher dimension in §21.5.3.) This is always finite, as ΩC/k is coherent (Exer-
cise 21.2.P), and coherent sheaves on projective k-schemes have finite-dimensional
spaces of sections (Theorem 18.1.3(i)). Sadly, this isn’t really a new invariant. We
will see in Exercise ?? that this agrees with our earlier definition of genus, i.e.,
h0 (C, ΩC/k ) = h1 (C, OC ).
Now let’s compute some differentials!
21.4.2. The projective line. As an important first example, consider P1k , with
the usual projective coordinates x0 and x1 . As usual, the first patch corresponds
to x0 ̸= 0, and is of the form Spec k[x1/0 ] where x1/0 = x1 /x0 . The second patch
corresponds to x1 ̸= 0, and is of the form Spec k[x0/1 ] where x0/1 = x0 /x1 .
Both patches are isomorphic to A1k , and ΩA1k =∼ O 1 . (More precisely, Ωk[x]/k =
Ak
k[x] dx.) Thus ΩP1k is an invertible sheaf (a line bundle). The invertible sheaves on
P1k are of the form O(m). So which invertible sheaf is ΩP1 /k ?
Let’s take a section, dx1/0 on the first patch. It has no zeros or poles there, so
let’s check what happens on the other patch. As x1/0 = 1/x0/1 , we have dx1/0 =
−(1/x20/1 ) dx0/1 . Thus this section has a double pole where x0/1 = 0. Hence
April 1, 2023 draft 597
ΩP1k /k = ∼ O(−2). As a consequence, we have shown that the geometric genus of
P1k is 0.
Note that the above argument works equally well if k were replaced by Z: our
theory of Weil divisors and line bundles of Chapter 15 applies (P1Z is factorial),
so the previous argument essentially without change shows that ΩP1Z /Z = ∼ O(−2).
And because Ω behaves well with respect to base change (Theorem 21.2.25(b)),
and any scheme maps to Spec Z, this implies that ΩP1B /B = ∼ O 1 (−2) for any base
PB
scheme B.
(Also, as suggested by §18.5.2, this shows that ΩP1 /k is the dualizing sheaf for
P1k ; see also Example 18.5.4. But given that we haven’t yet proved Serre duality,
this isn’t so meaningful.)
Side Remark: the fact that the degree of the tangent bundle is 2 is related to
the “Hairy Ball Theorem” (the dimension 2 case of [Hat, Thm. 2.28]).
21.4.3. Hyperelliptic curves. Throughout this discussion of hyperelliptic curves,
we suppose that k = k and char k ̸= 2, so we may apply the discussion of §19.5.
Consider a double cover π : C → P1k by a regular projective curve C, branched over
2g + 2 distinct points. We will use the explicit coordinate description of hyperel-
liptic curves of ([Link]). By Theorem 19.5.1, C has genus g.
21.4.A. E XERCISE : DIFFERENTIALS ON HYPERELLIPTIC CURVES . What is the de-
gree of the invertible sheaf ΩC/k ? (Hint: let x be a coordinate on one of the co-
ordinate patches of P1k . Consider π∗ dx on C, and count poles and zeros. Use the
explicit coordinates of §19.5. You should find that π∗ dx has 2g + 2 zeros and 4
poles (counted with multiplicity), for a total of 2g − 2.) Doing this exercise will set
you up well for the Riemann-Hurwitz formula, in §21.7.
21.4.B. E XERCISE . Show that h0 (C, ΩC/k ) = g (and hence that the geometric
genus of C is g) as follows.
(a) Show that dx 2
y is a (regular) differential on Spec k[x, y]/(y − f(x)) (i.e., an ele-
ment of Ω(k[x,y]/(y2 −f(x)))/k ).
(b) Show that for 0 ≤ i < g, xi (dx)/y extends to a global differential ωi on C (i.e.,
with no poles).
(c) Show that the ωi (0 ≤ i < g) are linearly independent differentials. (Hint:
∑g−1
Show that the valuation of ωi at x = 0 is i. If ω := j=i aj ωj is a nontrivial linear
combination, with aj ∈ k, and ai ̸= 0, show that the valuation of ω at x = 0 is i,
and hence ω ̸= 0.)
⋆ (d) Show that the ωi form a basis for the differentials. (Hint: consider the order
of zeros of the ωi at π−1 (∞).)
21.4.C. ⋆ E XERCISE ( TOWARD S ERRE DUALITY ). (You may later see this as an
example of Serre duality in action.)
(a) Show that h1 (C, ΩC/k ) = 1. Interpret a generator of H1 (C, ΩC/k ) as x−1 dx. (In
particular, the pullback map H1 (P1 , ΩP1 /k ) → H1 (C, ΩC/k ) is an isomorphism.)
(b) Describe a natural perfect pairing
H0 (C, ΩC/k ) × H1 (C, OC ) → H1 (C, ΩC/k ).
598 The Rising Sea: Foundations of Algebraic Geometry
In terms of our explicit coordinates, you might interpret it as follows. Recall from
the proof of the hyperelliptic Riemann-Hurwitz formula (Theorem 19.5.1) that
H1 (C, OC ) can be interpreted as
⟨y y y⟩
, 2,..., g .
x x x
Then the pairing
⟨ ⟩ ⟨y y
dx x dx dx y⟩ ⟨ ⟩
, , . . . , xg−1 × , 2 , . . . , g → x−1 dx
y y y x x x
is basically “multiply and read off the x−1 dx term”. Or in fancier terms: “multiply
and take the residue”. (You may want to compare this to Example 18.5.4.)
21.4.4. Discrete valuation rings. The following exercise is used in the proof of the
Riemann-Hurwitz formula, §21.7.
21.4.D. E XERCISE . Suppose that the discrete valuation ring (A, m, k) is a localiza-
tion of a finitely generated k-algebra. Let t be a uniformizer of A. Show that the
differentials are free of rank one and generated by dt, i.e., ΩA/k = A dt, as follows.
(It is also possible to show this using the ideas from §21.5.)
(a) Show that ΩA/k is a finitely generated A-module.
(b) Show that ⟨dt⟩ = ΩA/k , i.e., that ×dt : A → ΩA/k is a surjection, as follows.
Let π be the projection A → A/m = k, so for a ∈ A, a − π(a) ∈ m. Define
σ(a) = (a − π(a))/t. Show that ΩA/k = ⟨dt⟩ + mΩA/k , using the fact that for
every a ∈ A,
da = σ(a) dt + t dσ(a).
Apply Nakayama’s Lemma version 3 (Exercise 8.2.G) to ⟨dt⟩ ⊂ ΩA/k . (This argu-
ment, with essentially no change, can be used to show that if (A, m, k) is a localiza-
tion of a finitely generated algebra over k, and t1 , . . . , tn generate m, then dt1 , . . . ,
dtn generate ΩA/k .)
(c) By part (b), ΩA/k is a principal A-module. Show that ×dt is an injection as
follows. By the classification of finite generated modules over discrete valuation
rings (Remark 13.5.15), it suffices to show that tm dt ̸= 0 for all m. The surjec-
tion A → A/(tN ) induces a map ΩA/k → Ω(A/(tN ))/k , so it suffices to show that
tm dt is nonzero in Ω(A/(tN ))/k . Show that A/(tN ) = ∼ k[t]/(tN ). The usual dif-
ferentiation rule for polynomials gives a map k[t]/(t ) → k[t]/(tN−1 ) which is a
N
derivation of k[t]/(tN ) over k, and tm dt will not map to 0 so long as N is suf-
ficiently large. Put the pieces together and complete the proof. (An extension of
these ideas can show that if (A, m, k) is a localization of a finitely generated algebra
over k that is a regular local ring, then ΩA/k is free of rank dim A.)
21.4.5. Projective space and the Euler exact sequence. We next examine the
differentials of projective space Pn
k , or more generally PA where A is an arbitrary
n
ring. As projective space is covered by affine open sets of the form An , on which
the differentials form a rank n locally free sheaf, ΩPnA /A is also a rank n locally free
sheaf.
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21.4.6. Theorem (the Euler exact sequence). — The sheaf of differentials ΩPnA /A
satisfies the following exact sequence
0 / ΩPn /A α / OPn (−1)⊕(n+1) ϕ
/ OPn / 0.
A A A
This is handy, because you can get a hold of ΩPnA /A in a concrete way. See
Exercise 21.5.P for an application. By dualizing this exact sequence, we have an
exact sequence
ϕ∨
0 / OPn / OPn (1)⊕(n+1) / TPn /A / 0.
A A A
21.4.7. ⋆ Proof of Theorem 21.4.6. (What is really going on in this proof is that we
consider those differentials on AAn+1
\ {0} that are pullbacks of differentials on Pn
A.
For a different explanation, in terms of the Koszul complex, see [E, §17.5].)
We first describe a map ϕ : O(−1)⊕(n+1) → O, and later identify the kernel
with ΩPnA /A . The map is given by
/ x0 s0 + x1 s1 + · · · + xn sn .
ϕ : (s0 , s1 , . . . , sn )
(Do you see why?) You should think of this as a “degree 1” map, as each xi has
degree 1.
21.4.8. Remark. The dual ϕ∨ : O → O(1)⊕(n+1) of ϕ gives a map Pn → Pn via
Important Theorem 15.2.2 on maps to projective space. This map is the identity,
and this is one way of describing ϕ in a “natural” (coordinate-free) manner.
21.4.E. E ASY EXERCISE . Show that ϕ is surjective, by checking on the open set
D(xi ). (There is a one-line solution.)
Now we must identify the kernel of ϕ with the differentials, and we can do
this on each D(xi ), so long as we do it in a way that works simultaneously for each
open set. So we consider the open set U0 , where x0 ̸= 0, and we have the usual
coordinates xj/0 = xj /x0 (1 ≤ j ≤ n). Given a differential
f1 (x1/0 , . . . , xn/0 ) dx1/0 + · · · + fn (x1/0 , . . . , xn/0 ) dxn/0
we must produce n + 1 sections of O(−1). As motivation, we just look at the first
term, and pretend that the projective coordinates are actual coordinates.
f1 dx1/0 = f1 d(x1 /x0 )
x0 dx1 − x1 dx0
= f1
x20
x1 f1
= − 2 f1 dx0 + dx1
x0 x0
Note that x0 times the “coefficient of dx0 ” plus x1 times the “coefficient of dx1 ” is
0, and also both coefficients are of homogeneous degree −1. Motivated by this, we
define
( )
x1 xn f1 f2 fn
([Link]) α : f1 dx1/0 + · · · + fn dxn/0 7→ − 2 f1 − · · · − 2 fn , , , . . . ,
x0 x0 x0 x0 x0
600 The Rising Sea: Foundations of Algebraic Geometry
Note that over U0 , this indeed gives an injection of ΩPnA /A to O(−1)⊕(n+1) that
surjects onto the kernel of O(−1)⊕(n+1) → OX (if (g0 , . . . , gn ) is in the kernel, take
fi = x0 gi for i > 0).
Let’s make sure this construction, applied to two different coordinate patches
(say U0 and U1 ) gives the same answer. (This verification is best ignored on a first
reading.) Note that
1 x2/1
f1 dx1/0 + f2 dx2/0 + · · · = f1 d + f2 d + ···
x0/1 x0/1
f1 f2 f2 x2/1
=− dx0/1 + dx2/1 − 2 dx0/1 + · · ·
x20/1 x0/1 x0/1
f1 + f2 x2/1 + · · · f2
=− 2
dx0/1 + dx2/1 + · · · .
x0/1 x0/1
Under this map, the dx2/1 term goes to the second factor (where the factors are
indexed 0 through n) in O(−1)⊕(n+1) , and yields f2 /x0 as desired (and similarly
for dxj/1 for j > 2). Also, the dx0/1 term goes to the “zero” factor, and yields
( n )
∑ ∑
n
− fi (xi /x1 )/(x0 /x1 )2 /x1 = − fi (xi /x1 )xi /x20
i=1 i=1
as desired. Finally, the “first” factor must be correct because the sum over i of xi
times the ith factor is 0.
21.4.F. E XERCISE . Finish the proof of Theorem 21.4.6, by verifying that this map
α : ΩPnA /A → OPnA (−1)⊕(n+1) identifies ΩPnA /A with ker ϕ.
□
21.4.G. E XERCISE ( PROMISED IN §18.5.7). Show that h1 (P2k , ΩP2k /k ) > 0. Show
that ΩP2k /k is not the direct sum of line bundles, and can’t even be filtered into line
bundles. Show that Theorem 18.5.6 (that all finite rank vector bundles on P1 split
into line bundles) cannot be extended to rank 2 vector bundles on P2k .
21.4.9. Generalizations of the Euler exact sequence. Generalizations of the Euler exact
sequence are quite useful. We won’t use them later, so no proofs will be given.
First, the argument generalizes readily if Spec A is replaced by an arbitrary base
scheme. The Euler exact sequence generalizes further in a number of ways. As
a first step, suppose V is a rank n + 1 locally free sheaf (or vector bundle) on a
scheme X. Suppose π : PV → X is the corresponding projective bundle. Then
ΩPV /X sits in an Euler exact sequence:
0 / ΩPV /X / OPV (−1) ⊗ π∗ V ∨ / OPV /0
It is not obvious that this is useful, but we have already implicitly seen it in
the case of P1 -bundles over curves, in Exercise 20.2.J, where the normal bundle to
a section was identified in this way.
21.4.10. ⋆⋆ Generalization to the Grassmannian. For another generalization, fix a
base field k, and let G(m, n+1) be the space of sub-vector spaces of dimension m in
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an (n+1)-dimensional vector space V (the Grassmannian, §16.4). Over G(m, n+1)
we have a short exact sequence of locally free sheaves
0 /S / OG(m,n+1) ⊗ V ∨ /Q /0
where OG(m,n+1) ⊗ V ∨ is the “trivial bundle whose fibers are V ∨ ” (do you under-
stand what that means?), and S is the “universal vector bundle” or “tautological
vector (sub)bundle”. Then there is a canonical isomorphism
∼
([Link]) ΩG(m,n+1)/k ←→ Hom (Q, S ).
21.4.H. E XERCISE . Recall that in the case of projective space, i.e., m = 1, S =
O(−1) (Exercise 17.1.H). Verify ([Link]) in this case using the Euler exact se-
quence (Theorem 21.4.6).
21.4.I. E XERCISE . Prove ([Link]), and explain how it generalizes Exercise 20.2.I.
(The hint to Exercise 20.2.I may help.)
This Grassmannian fact generalizes further to Grassmannian bundles, and to
flag varieties, and to flag bundles.
21.5 Understanding smooth varieties using their cotangent
bundles
In this section, we construct birational invariants of varieties over algebraically
closed fields (such as the geometric genus), motivate the notion of an unramified
morphism, show that varieties are “smooth almost everywhere”, and get a first
glimpse of Hodge theory.
21.5.1. The geometric genus, and other birational invariants from i-forms.
Suppose X is a projective scheme over k. Then h0 (X, ΩX/k ) is an invariant of X.
In fact it, and related invariants, are birational invariants if X is smooth, as shown
in the following Exercise 21.5.A. We first define the sheaf of (relative) i-forms
ΩiX/Y := ∧i ΩX/Y . Sections of ΩiX/Y (over some open set) are called (relative)
i-forms (over that open set).
21.5.2. Joke. Old Macdonald had a form; ei ∧ ei = 0.
21.5.A. E XERCISE (h0 (X, ΩiX/k ) ARE BIRATIONAL INVARIANTS ). Suppose X and
X ′ are birational irreducible smooth projective k-varieties. Show (for each i) that
H0 (X, ΩiX/k ) = ∼ H0 (X ′ , Ωi ′ ). Hint: fix a birational map ϕ : X 99K X ′ . By Exer-
X /k
cise 15.3.C, the complement of the domain of definition U of ϕ is codimension at
least 2. By pulling back i-forms from X ′ to U, we get a map ϕ∗ : H0 (X ′ , ΩiX ′ /k ) →
H0 (U, ΩiX/k ). Use Algebraic Hartogs’s Lemma 12.3.14 and the fact that Ωi is lo-
cally free to show the map extends to a map ϕ∗ : H0 (X ′ , ΩiX ′ /k ) → H0 (X, ΩiX/k ). If
ψ : X ′ 99K X is the inverse rational map, we similarly get a map ψ∗ : H0 (X, ΩiX/k ) →
H0 (X ′ , ΩiX ′ /k ). Show that ϕ∗ and ψ∗ are inverses by showing that each composi-
tion is the identity on a dense open subset of X or X ′ .
602 The Rising Sea: Foundations of Algebraic Geometry
21.5.3. The canonical bundle KX and the geometric genus pg (X). If X is a dimension
n smooth k-variety, the invertible sheaf (or line bundle) det ΩX/k = Ωn X/k (the
sheaf of “algebraic volume forms”) has particular importance, and is called the
canonical (invertible) sheaf, or the canonical (line) bundle. It is denoted KX (or
KX/k ). As mentioned in §18.5.2, if X is projective, then KX is the dualizing sheaf
ωX appearing in the statement of Serre duality, something we will establish in
§30.4 (see Desideratum 30.1.1).
21.5.B. E XERCISE ( THE ADJUNCTION FORMULA FOR KX ). Suppose X is a smooth
variety, and and Z is a smooth subvariety of X. Show that
∼ KX |Z ⊗ det NZ/X .
KZ =
(Hint: apply Exercise 14.2.X to Theorem 21.3.6.) In particular, by Exercise 21.2.J, if
Z is codimension 1, then
∼ (KX ⊗ OX (Z)) |Z ,
KZ =
which is more commonly and compactly written as KX (Z)|Z . The adjunction for-
mula is often used inductively, for complete intersections; see Exercise 21.5.G for
an example. (And see Exercise 20.2.B(a) and §30.4 for other versions of the adjunc-
tion formula.)
21.5.4. Definition. If X is a projective (or even proper) smooth k-variety, the bira-
tional invariant h0 (X, KX ) = h0 (X, Ωn X/k ) has particular importance. It is called
the geometric genus, and is denoted pg (X). We saw this in the case of curves in
§21.4.1. If X is an irreducible variety that is not smooth or projective, the phrase
geometric genus refers to h0 (X ′ , KX ′ ) for some smooth projective X ′ birational to X.
(By Exercise 21.5.A, this is independent of the choice of X ′ .) For example, if X is an
irreducible reduced projective curve over k, the geometric genus is the geometric
genus of the normalization of X. (But in higher dimension, it is not clear if there
exists such an X ′ . It is a nontrivial fact that this is true in characteristic 0, and it is
not yet known in positive characteristic; see Remark 22.4.6.)
It is a miracle that for a complex curve the geometric genus is the same as the
topological genus and the arithmetic genus. Exercise 18.5.A showed that the geo-
metric and arithmetic genus are equal (assuming Miracle 18.5.2 that the canonical
bundle is Serre-dualizing). We will connect the geometric genus to the topological
genus in our discussion of the Riemann-Hurwitz formula soon (Exercise 21.7.I).
21.5.C. E XERCISE . Suppose Z is a regular degree d surface in P3k . Compute the
geometric genus pg (Z) of Z. Show that no regular quartic surface in P3k is rational
(i.e., birational to P2k , Definition 7.5.4). (Such quartic surfaces are examples of K3
surfaces, see Exercise 21.5.H.)
21.5.5. Important classes of varieties: Fano, Calabi-Yau, general type.
Suppose X is a smooth projective k-variety. Then X is said to be Fano if KX∨
is ample, and Calabi-Yau if KX = ∼ OX . (Caution: there are other definitions of
Calabi-Yau.)
21.5.D. E XERCISE . For all j ≥ 0, the jth plurigenus of a smooth projective k-
variety is h0 (X, KX⊗j ). Show that the jth plurigenus is a birational invariant.
April 1, 2023 draft 603
(By contrast, h0 (X, K ⊗j ) is not a birational invariant if j < 0. For example,
you can show that h0 (X, K ∨ ) differs for X = P2k and X = Blp P2k .)
The Kodaira dimension of X, denoted κ(X), tracks the rate of growth of the
plurigenera. It is the smallest k such that h0 (X, KX⊗j )/jk is bounded (as j varies
through the positive integers), except that if all the plurigenera h0 (X, KX⊗j ) are 0,
we say κ(X) = −1. It is a nontrivial fact that the Kodaira dimension always exists,
and that it is the maximum of the dimensions of images of the jth “pluricanonical
rational maps”. The latter fact implies that the Kodaira dimension is an integer be-
tween −1 and dim X inclusive. Exercise 21.5.D shows that the Kodaira dimension
is a birational invariant. If κ(X) = dim X, we say that X is of general type. (For
more information on the Kodaira dimension, see [Ii, §10.5].)
21.5.E. E XERCISE . Show that if KX is ample then X is of general type.
21.5.F. E XERCISE . Show that a smooth geometrically irreducible projective curve
(over a field k) is Fano (resp. Calabi-Yau, general type) if its genus is 0 (resp. 1,
greater than 1).
The “trichotomy” of Exercise 21.5.F is morally the reason that curves behave
differently depending on which of the three classes they lie in (see §19.6.1). In some
sense, important aspects of this trichotomy extend to higher dimension, which is
part of the reason for making these definitions. We now explore this trichotomy in
the case of complete intersections.
21.5.G. E XERCISE . Suppose X is a smooth complete intersection in PN k of hyper-
surfaces of degree d1 , . . . , dn , where k is algebraically closed.
(a) Show that KX = ∼ O(−N − 1 + d1 + · · · + dn )|X .
(b) Show that −N − 1 + d1 + · · · + dn is negative (resp. zero, positive) then X is
Fano (resp. Calabi-Yau, general type).
(c) Find all possible values of N and d1 , . . . , dn where X is Calabi-Yau of dimension
at most 3. Notice how small this list is.
21.5.H. E XERCISE . A K3 surface over a field k is a proper smooth geometrically
connected Calabi-Yau surface X over k such that H1 (X, OX ) = 0. (Weil has written
that K3 surfaces were named in honor of Kummer, Kähler, and Kodaira, and the
mountain K2, [BPV, p. 288].) Prove that the dimension 2 (smooth) Calabi-Yau
complete intersections of Exercise 21.5.G(c) are all K3 surfaces.
21.5.6. Tantalizing side remark. If you compare the degrees of the hypersurfaces cut-
ting out complete intersection K3 surfaces (in Exercise 21.5.G(c)), with the degrees
of hypersurfaces cutting out complete intersection canonical curves (see §19.8.2
and Exercise 19.8.E), you will notice a remarkable coincidence. Of course this is
not a coincidence at all.
21.5.I. E XERCISE ( NOT EVERYTHING FITS INTO THIS TRICHOTOMY ). Suppose C is
a smooth projective irreducible complex curve of genus greater than 1. Show that
C ×C P1C is neither Fano, nor Calabi-Yau, nor general type. Hint: Exercise 21.2.U.
21.5.7. ⋆ Kodaira vanishing.
604 The Rising Sea: Foundations of Algebraic Geometry
The Kodaira vanishing theorem is an important result that is an important
tool in a number of different areas of algebraic geometry. We state it for the sake
of culture, but do not prove it (and hence will not use it).
21.5.8. The Kodaira Vanishing Theorem. — Suppose k is a field of characteristic 0,
and X is a smooth projective k-variety. Then for any ample invertible sheaf L , Hi (X, KX ⊗
L ) = 0 for i > 0.
21.5.9. The restriction on characteristic is necessary; Raynaud gave an example
where Kodaira vanishing fails in positive characteristic, [Ra]. The original proof is
by proving the complex-analytic version, and then transferring it into a complex
algebraic statement using Serre’s GAGA Theorem [Se3]. The general characteristic
0 case can be reduced to C — any reduction of this sort is often called (somewhat
vaguely) an application of the Lefschetz principle. (For a precise formulation of the
Lefschetz principle, with a short proof which applies in any characteristic see [Ek].
See [FR] for a generalization. See [MO90551] for more context.) Raynaud later
gave a dramatic algebraic proof of Kodaira vanishing using positive characteristic
(!), see [DeI] or [Il].
21.5.J. E XERCISE . Prove the Kodaira Vanishing Theorem in the case dim X = 1,
and for Pn k . (Neither case requires the characteristic 0 hypothesis.)
21.5.10. ⋆ A first glimpse of Hodge theory.
The invariant hj (X, ΩiX/k ) is called the Hodge number hi,j (X). By Exercise 21.5.A,
hi,0 are birational invariants. We will soon see (in Exercise 21.5.N) that this isn’t
true for all hi,j .
21.5.K. E XERCISE . Suppose X is a smooth projective variety. Assuming Mira-
cle 18.5.2 (that the canonical bundle is Serre-dualizing), show that Hodge numbers
satisfy the symmetry hp,q = hn−p,n−q . (Exercise 14.2.W will be useful.)
21.5.L. E XERCISE ( THE H ODGE NUMBERS OF PROJECTIVE SPACE ). Show that
hp,q (Pn
k ) = 1 if 0 ≤ p = q ≤ n and hp,q n
(P k ) = 0 otherwise. Hint: use the
Euler exact sequence (Theorem 21.4.6) and apply Exercise 14.2.V.
21.5.11. Remark: The Hodge diamond. Over k = C, further miracles occur. If X is
an irreducible smooth projective complex variety, then it turns out that there is a
direct sum decomposition
([Link]) Hm (X, C) = ⊕i+j=m Hj (X, ΩiX/C ),
∑
from which hm (X, C) = i,j
i+j=m h , so the Hodge numbers (purely algebraic
objects) yield the Betti numbers (a priori topological information). Moreover, com-
plex conjugation interchanges Hj (X, ΩiX/C ) with Hi (X, ΩjX/C ), from which
([Link]) hi,j = hj,i .
(Aside: This additional symmetry holds in characteristic 0 in general, but can fail
in positive characteristic, see for example [Ig, p. 966], [Mu1, §II], [Se4, Prop. 16].)
This is the beginning of the vast and rich subject of Hodge theory (see [GH1, §0.6]
for more, or [Vo] for much more).
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If we write the Hodge numbers in a diamond, with hi,j the ith entry in the
(i + j)th row, then the diamond has the two symmetries coming from Serre duality
and complex conjugation. For example, the Hodge diamond of an irreducible
smooth projective complex surface will be of the following form:
1
q q
pg h1,1 pg
q q
1
where pg is the geometric genus of the surface, and q = h0,1 = h1,0 = h2,1 = h1,2
is called the irregularity of the surface. As another example, by Exercise 21.5.L, the
Hodge diamond of Pn is all 0 except for 1’s down the vertical axis of symmetry.
You won’t need the unproved statements ([Link]) or ([Link]) to solve the
following problems.
21.5.M. E XERCISE . Assuming Miracle 18.5.2 (that the canonical bundle is Serre-
dualizing), show that the Hodge diamond of a smooth projective geometrically
irreducible genus g curve over a field k is the following.
1
g g
1
21.5.N. E XERCISE . Show that the Hodge diamond of P1k × P1k is the following.
1
0 0
0 2 0
0 0
1
By comparing your answer to the Hodge diamond of P2k (Exercise 21.5.L), show
that h1,1 is not a birational invariant.
Notice that in both cases, h1,1 is the Picard number ρ (defined in §18.4.9). In
general, ρ ≤ h1,1 (see [GH1, §3.5, p. 456-7] in characteristic 0).
21.5.12. ⋆ Aside: Infinitesimal deformations and automorphisms.
It is beyond the scope of this book to make this precise, but if X is a va-
riety, H0 (X, TX ) parametrizes infinitesimal automorphisms of X, and H1 (X, TX )
parametrizes infinitesimal deformations. As an example if X = P1 (over a field),
TP1 = ∼ O(2) (§21.4.2), so h0 (P1 , TP1 ) = 3, which is precisely the dimension of the
automorphism group of P1 (Exercise 15.2.D).
21.5.O. E XERCISE . Compute h0 (Pnk , TPk ) using the Euler exact sequence (The-
n
orem 21.4.6). Compare this to the dimension of the automorphism group of Pn k
(Exercise 15.2.D).
A , TPA ) = 0. (Thus projective space can’t de-
21.5.P. E XERCISE . Show that H1 (Pn n
form, and is “rigid”.)
606 The Rising Sea: Foundations of Algebraic Geometry
21.5.Q. E XERCISE . Assuming Miracle 18.5.2 (that the canonical bundle is Serre-
dualizing), compute hi (C, TC ) for a genus g smooth projective geometrically irre-
ducible curve over k, for i = 0 and 1. You should notice that h1 (C, TC ) for genus
0, 1, and g > 1 is 0, 1, and 3g − 3 respectively; after doing this, re-read §19.8.3.
21.6 Unramified morphisms
Suppose π : X → Y is a morphism of schemes. The support of the quasicoher-
ent sheaf Ωπ = ΩX/Y is called the ramification locus, and the image of its support,
π(Supp ΩX/Y ), is called the branch locus. If Ωπ = 0, we say that π is formally
unramified, and if π is also furthermore locally of finite type, we say π is unram-
ified. (Caution: there is some lack of consensus in the definition of “unramified”;
“locally of finite type” is sometimes replaced by “locally of finite presentation”,
which was the definition originally used in [Gr-EGA].)
21.6.A. E ASY E XERCISE ( EXAMPLES OF UNRAMIFIED MORPHISMS ).
(a) Show that locally closed embeddings are unramified.
(b) Show that if S is a multiplicative subset of the ring B, then Spec S−1 B → Spec B
is formally unramified. (Thus if η is the generic point of an integral scheme Y, then
Spec OY,η → Y is formally unramified.)
(c) Show that finite separable field extensions (or more correctly, the corresponding
maps of schemes) are unramified.
21.6.B. E XERCISE ( PRACTICE WITH THE CONCEPT ).
(a) Show that the normalization of the node in Exercise 10.7.E (see Figure 8.4) is
unramified.
(b) Show that the normalization of the cusp in Exercise 10.7.F (see Figure 10.5) is
not unramified.
21.6.C. E ASY E XERCISE ( UNRAMIFIED MORPHISMS ARE A “ REASONABLE ” CLASS
OF MORPHISMS ). Show that the class of unramified morphisms is “reasonable” in
the sense of §8.1.
21.6.D. E XERCISE ( CHARACTERIZATIONS OF UNRAMIFIED MORPHISMS BY THEIR
FIBERS ). Suppose π : X → Y is locally of finite type.
(a) Show that π is unramified if and only if for each q ∈ Y, π−1 (q) is the (scheme-
theoretic) disjoint union of schemes of the form Spec K, where K is a finite separa-
ble extension of κ(q).
(b) Show that π is unramified if and only if for each geometric point q, π−1 (q) :=
q ×Y X is the (scheme-theoretic) disjoint union of copies of q.
21.6.E. U NIMPORTANT E XERCISE ( FOR NUMBER THEORISTS ). Suppose ϕ : (A, m) →
(B, n) is a local homomorphism of local rings. In algebraic number theory, such a
ring morphism is said to be unramified if B/ϕ(m)B is a finite separable extension of
A/m. Show that if ϕ is finite type, this agrees with our definition.
21.6.F. E XERCISE ( FOR USE IN E XERCISE 21.6.G( B ) AND E XERCISE 25.2.G).
(a) Suppose π : X → Y is a locally finite type morphism of locally Noetherian
April 1, 2023 draft 607
schemes. Show that π is unramified if and only if δπ : X → X×Y X is an open embed-
ding. Hint: Show the following. If ϕ : X → Z is a closed embedding of Noetherian
schemes, and the ideal sheaf I of ϕ satisfies I = I 2 , then ϕ is also an open em-
bedding. For that, show that if (A, m) is a Noetherian local ring, and I is a proper
ideal of A satisfying I = I2 , then I = 0. For that in turn, use Nakayama version 2
(Lemma 8.2.9). Also use the fact that Supp I is closed (using Exercise 14.3.D), so
its complement is open.
⋆ (b) Adapt your proof of (a) to drop the locally Noetherian hypothesis. Hint:
show that if π is locally of finite type, then δπ is locally finitely presented.
21.6.G. E ASY E XERCISE . Suppose π : X → Y and ρ : Y → Z are locally of finite type.
Let τ = ρ ◦ π:
X?
π /Y
??
??
?
τ ?? ρ
Z
(a) Show that if τ is unramified, then so is π.
(b) Show that if ρ is unramified, and τ is smooth of relative dimension n (e.g., étale
if n = 0), then π is smooth of relative dimension n.
(Does this agree with your geometric intuition?)
21.6.H. E XERCISE . Suppose π : X → Y is locally of finite type. Show that the locus
in X where π is unramified is open.
21.6.I. E XERCISE ( THE MEANING OF UNRAMIFIEDNESS IN “ VERY GEOMETRIC ” SET-
TINGS ). Show that a morphism π : X → Y of finite type schemes over an al-
gebraically closed field is unramified if and only if π is injective on tangent vec-
tors at closed points. (This was mentioned in the remark immediately after Theo-
rem 19.1.1.)
21.6.1. Arithmetic side remark: the different and discriminant. If B is the ring of
integers in a number field (§10.7.1), the different ideal of B is the annihilator of
ΩB/Z . It measures how “(un)ramified” Spec B → Spec Z is, and is a ring-theoretic
version of the ramification locus. The discriminant ideal can be interpreted as the
ideal of Z corresponding to effective divisor on Spec Z that is the “push forward”
(not defined here, but defined as you might expect) of the divisor corresponding
to the different. It is a ring-theoretic version of the branch locus. If B/A is an
extension of rings of integers of number fields, the relative different ideal (of B)
and relative discriminant ideal (of A) are defined similarly. (We won’t use these
ideas.)
21.7 The Riemann-Hurwitz Formula
The Riemann-Hurwitz formula generalizes our calculation of the genus g of
a double cover of P1 branched at 2g + 2 points, Theorem 19.5.1, to higher degree
covers, and to higher genus target curves.
608 The Rising Sea: Foundations of Algebraic Geometry
21.7.1. Definition. A finite morphism between integral schemes X → Y is said to be
separable if it is dominant, and the induced extension of function fields K(X)/K(Y)
is a separable extension. Similarly, a generically finite morphism is generically
separable if it is dominant, and the induced extension of function fields is a sepa-
rable extension. Note that finite morphisms of integral schemes are automatically
separable in characteristic 0.
21.7.2. Proposition. — If π : X → Y is a generically separable morphism of irre-
ducible smooth varieties of the same dimension n, then the cotangent exact sequence (The-
orem 21.2.23) is exact on the left as well:
([Link]) 0 / π∗ ΩY/k ϕ
/ ΩX/k / ΩX/Y / 0.
This is an example of left-exactness of the cotangent exact sequence in the
presence of appropriate “smoothness”, see Remark 21.2.10.
Proof. We must check that ϕ is injective. Now ΩY/k is a rank n locally free sheaf on
Y, so π∗ ΩY/k is a rank n locally free sheaf on X. A locally free sheaf on an integral
scheme (such as π∗ ΩY/k ) is torsion-free (any section over any open set is nonzero
at the generic point, see §6.1.4), so if a subsheaf of it (such as ker ϕ) is nonzero, it
is nonzero at the generic point. Thus to show the injectivity of ϕ, we need only
check that ϕ is an inclusion at the generic point. We thus tensor with Oη where
η is the generic point of X. Tensoring with Oη is an exact functor (localization is
exact, Exercise 1.6.G), and Oη ⊗ΩX/Y = 0 (as K(X)/K(Y) is a separable extension by
hypothesis, and Ω for separable field extensions is 0 by Exercise 21.2.H(a)). Also,
Oη ⊗ π∗ ΩY/k and Oη ⊗ ΩX/k are both n-dimensional Oη -vector spaces (they are
the stalks of rank n locally free sheaves at the generic point). Thus by considering
Oη ⊗ π∗ ΩY/k / Oη ⊗ ΩX/k / Oη ⊗ ΩX/Y /0
(which is Oη⊕n → Oη⊕n → 0 → 0) we see that Oη ⊗ π∗ ΩY/k → Oη ⊗ ΩX/k is
injective, and thus that π∗ ΩY/k → ΩX/k is injective. □
People not confined to characteristic 0 should note what goes wrong for non-
separable morphisms. For example, suppose k is a field of characteristic p, and
consider the map π : A1k = Spec k[t] → A1k = Spec k[u] given by u = tp . Then
Ωπ is the trivial invertible sheaf generated by dt. As another (similar but differ-
ent) example, if K = k(x) and K ′ = k(xp ), then the inclusion K ′ ,→ K induces
π : Spec K[t] → Spec K ′ [t]. Once again, Ωπ is an invertible sheaf, generated by dx
(which in this case is pulled back from ΩK/K ′ on Spec K). In both of these cases, we
have maps from one affine line to another, and there are vertical tangent vectors.
21.7.A. E XERCISE . If X and Y are smooth varieties of dimension n, and π : X → Y is
generically separable, show that the ramification locus is pure codimension 1, and
has a natural interpretation as an effective divisor, as follows. Interpret ϕ as an n×
n Jacobian matrix ([Link]) in appropriate local coordinates, and hence interpret
the locus where ϕ is not an isomorphism as (locally) the vanishing scheme of the
determinant of an n × n matrix. Hence the branch locus is also pure codimension
1. Hence we use the terms ramification divisor and branch divisor.
April 1, 2023 draft 609
Before getting down to our case of interest, dimension 1, we begin with some-
thing (literally) small but fun. Suppose π : X → Y is a surjective k-morphism from
a smooth k-scheme that contracts a subset of codimension greater than 1. More
precisely, suppose π is an isomorphism over an open subset of Y, from an open
subset U of X whose complement has codimension greater than 1. Then by Exer-
cise 21.7.A, Y cannot be smooth. (Small resolutions, to be defined in Exercise 22.4.N,
are examples of such π. In particular, you can find an example there.)
Suppose now that X and Y are dimension 1. Then the ramification locus is a
finite set (ramification points) of X, and the branch locus is a finite set (branch
points) of Y. (Figure 21.4 shows a morphism with two ramification points and one
branch point.) Now assume that k = k. We examine ΩX/Y near a point p ∈ X.
F IGURE 21.4. An example where the branch divisor appears with
multiplicity 2 (see Exercise 21.7.C)
As motivation for what we will see, we note that in complex geometry, noncon-
stant maps from (complex) curves to curves may be written in appropriate local
coordinates as x 7→ xm = y, from which we see that dy pulls back to mxm−1 dx, so
ΩX/Y locally looks like functions times dx modulo multiples of mxm−1 dx.
Consider now our map π : X → Y, and fix p ∈ X, and q = π(p). Because the
construction of Ω behaves well under base change (Theorem 21.2.25(b)), we may
replace Y with Spec of the local ring OY,q at q, i.e., we may assume Y = Spec B,
where B is a discrete valuation ring (as Y is a regular curve), with residue field
k = k corresponding to q. Then as π is finite, X is affine too. Similarly, as the
construction of Ω behaves well with respect to localization (Exercise 21.2.L), we
may replace X by Spec OX,p , and thus assume X = Spec A, where A is a discrete
valuation ring, and π corresponds to B → A, inducing an isomorphism of residue
fields (with k).
Suppose their uniformizers are s and t respectively, with t 7→ usn where u is
an invertible element of A.
X AO usO n
_
Y B t
610 The Rising Sea: Foundations of Algebraic Geometry
Recall that the differentials of a discrete valuation ring over k are generated by d
of the uniformizer (Exercise 21.4.D). Then
dt = d(usn ) = unsn−1 ds + sn du.
This differential on Spec A vanishes to order at least n−1, and precisely n−1 if n is
not divisible by the characteristic. If the order is n − 1, we call it tame ramification,
while if the order is greater, it is called wild ramification. We define one plus this
order to be the the ramification index at this point of X.
21.7.B. E XERCISE . Show that the degree of ΩX/Y at p ∈ X is precisely the ramifi-
cation order of π at p, minus one. (The degree of a coherent sheaf on a curve was
defined in §18.4.5. You will need to make sense of the length of a coherent sheaf at
a point, see for example Exercise 6.5.M.)
21.7.C. E XERCISE : INTERPRETING THE RAMIFICATION DIVISOR IN TERMS OF NUM -
BER OF PREIMAGES . For this exercise, we take the base field k to be algebraically
closed. Suppose all the ramification above q ∈ Y is tame (which is always true in
characteristic 0). Show that the degree of the branch divisor at q is deg π − |π−1 (q)|.
Thus the multiplicity of the branch divisor counts the extent to which the number
of preimages is less than the degree (see Figure 21.4).
21.7.3. Theorem (the Riemann-Hurwitz formula). — Suppose π : X → Y is a finite
separable morphism of projective regular curves, of pure degree n. Let R be the ramification
divisor. Then
([Link]) 2g(X) − 2 = n(2g(Y) − 2) + deg R.
21.7.D. E XERCISE . Prove the Riemann-Hurwitz formula. Hint: Apply the fact
that degree is additive in exact sequences (Exercise 18.4.I) to ([Link]). Recall that
degrees of line bundles pull back well under finite morphisms of integral projec-
tive curves, Exercise 18.4.G. A torsion coherent sheaf on a reduced curve (such as
Ωπ ) is supported in dimension 0 (Exercise 14.3.G(b)), so χ(Ωπ ) = h0 (Ωπ ). Show
that the degree of R as a divisor is the same as its degree in the sense of h0 .
Here are some applications of the Riemann-Hurwitz formula.
21.7.4. Example. The degree of R is always even: any cover of a curve must be
branched over an even number of points (counted with appropriate multiplicity).
21.7.E. E ASY E XERCISE . Show that there is no nonconstant map from a smooth
projective irreducible genus 2 curve to a smooth projective irreducible genus 3
curve. (Hint: deg R ≥ 0.)
21.7.5. Definition. If the only finite étale cover of a connected scheme X is an
isomorphism, we say that X is simply connected in the étale topology. Do you
see why “simply connected” is a reasonable name for the concept? We won’t use
this terminology beyond the following brief discussion.
21.7.6. Example (“P1k is simply connected”). If k = k, the only connected unbranched
finite separable cover of P1k is the isomorphism, for the following reason. Suppose
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X is connected and X → P1k is unramified. Then X is a curve, and regular by
Exercise 25.2.E(a). Applying the Riemann-Hurwitz theorem, using that the ramifi-
cation divisor is 0, we have 2 − 2gX = 2d with d ≥ 1 and gX ≥ 0, from which d = 1
and gX = 0.
21.7.F. E XERCISE (“ IN CHARACTERISTIC 0, A1k IS SIMPLY CONNECTED ”). Show
that if k = k has characteristic 0, the only connected unbranched cover of A1k is
itself. (Aside: in characteristic p, this needn’t hold; Spec k[x, y]/(yp − y − x) →
Spec k[x] is such a map, as you can show yourself. Once the theory of the algebraic
fundamental group is developed, this translates to: “A1 is not simply connected
in characteristic p.” This cover is an example of an Artin-Schreier cover. Fun fact:
the group Z/p acts on this cover via the map y 7→ y + 1. This is an example of a
Galois cover; you can check that the extension of function fields is Galois.)
21.7.G. U NIMPORTANT E XERCISE . Extend Example 21.7.6 and Exercise 21.7.F,
by removing the k = k hypothesis, and changing “connected” to “geometrically
connected”.
21.7.7. Example: Lüroth’s Theorem. Continuing the notation of Theorem 21.7.3, sup-
pose g(X) = 0. Then from the Riemann-Hurwitz formula ([Link]), g(Y) = 0.
(Otherwise, if g(Y) were at least 1, then the right side of the Riemann-Hurwitz
formula would be non-negative, and thus couldn’t be −2, which is the left side.)
Informally: the only maps from a genus 0 curve to a curve of positive genus are
the constant maps. This has a nonobvious algebraic consequence, by our identifi-
cation of covers of curves with field extensions (Theorem 16.3.3): all subfields of
k(x) containing k are of the form k(y) where y = f(x) for some f ∈ k(x).
k(x) P1
O
?
K(C) C = P1
(It turns out that the hypotheses char k = 0 and k = k are not necessary.) This is
Lüroth’s Theorem.
21.7.H. E XERCISE . Use Lüroth’s Theorem to give new geometric solutions to Ex-
ercises 7.5.K and 7.5.M. (These arguments will be less ad hoc, and more suitable
for generalization, than the algebraic solutions suggested in the hints to those ex-
ercises.)
21.7.I. ⋆ E XERCISE ( GEOMETRIC GENUS EQUALS TOPOLOGICAL GENUS ). This
exercise is intended for those with some complex background, who know that
the Riemann-Hurwitz formula holds in the complex analytic category. Suppose
C is an irreducible regular projective complex curve. Show that there is an alge-
braic nonconstant map π : C → P1C . Describe the corresponding map of Riemann
surfaces. Use the Riemann-Hurwitz formula to show that the algebraic notion
of genus (as computed using the branched cover π) agrees with the topological
notion of genus (using the same branched cover). (Recall that assuming Mira-
cle 18.5.2 — that the canonical bundle is Serre-dualizing — we know that the geo-
metric genus equals the arithmetic genus, Exercise ??.)
612 The Rising Sea: Foundations of Algebraic Geometry
21.7.J. U NIMPORTANT E XERCISE . Suppose π : X → Y is a dominant morphism of
regular curves, and R is the ramification divisor of π. Show that ΩX (−R) =∼ π∗ ΩY .
(This exercise is geometrically pleasant, but we won’t use it.) Hint: This says that
we can interpret the invertible sheaf π∗ ΩY over an open set U of X as precisely
those differentials on U vanishing along the ramification divisor.
21.7.8. Informal example: The degree of the discriminant of degree d polynomials in one
variable. You may be aware that there is a degree 2d − 2 polynomial in the coeffi-
cients ad , . . . , a0 of the degree d polynomial
f(x) = ad xd + ad−1 xd−1 + · · · + a0 = 0
that vanishes precisely when f(x) has a multiple root. For example, when d = 2,
the discriminant is a21 − 4a0 a2 . We can “compute” this degree 2d − 2 using the
Riemann-Hurwitz formula as follows. (You should try to make sense of the fol-
lowing informal and imprecise discussion.) We work over an algebraically closed
field k of characteristic 0 for the sake of simplicity. If we take two general degree d
polynomials, g(x) and h(x), the degree of the discriminant “should be” the num-
ber of λ ∈ k for which g(x) − λh(x) has a double root. Consider the morphism
P1 → P1 given by x 7→ [g(x), h(x)]. (Here we use “affine coordinates” on the
source P1 : by x we mean [x, 1].) Then this morphism has degree d. A ramification
point a mapping to the branch point [λ, 1] in the target P1 corresponds to a being
a double root of g(x) − λh(x). Thus the number of branch points should be the
desired degree of the discriminant. By the Riemann-Hurwitz formula there are
2d − 2 branch points (admittedly, with multiplicity). It is possible to turn this into
a proof, and it is interesting to do so.
21.7.9. Bounds on automorphism groups of curves.
It is a nontrivial fact that irreducible smooth projective curves of genus g ≥ 2
have finite automorphism groups. (See [FK, §5.1] for a proof over C. See [Schm]
for the first proof in arbitrary characteristic, although better approaches are now
available.) Granting this fact, we can show that in characteristic 0, the automor-
phism group has order at most 84(g − 1) (Hurwitz’s Automorphisms Theorem), as
follows.
Suppose C is an irreducible smooth projective curve over an algebraically
closed field k = k of characteristic 0, of genus g ≥ 2. Suppose that G is a finite
group of automorphisms of C. We now show that |G| ≤ 84(g − 1). (The case where
k is not algebraically closed is quickly dispatched by base-changing to k.)
21.7.K. E XERCISE .
(a) Let C ′ be the smooth projective curve corresponding to the field extension
K(C)G of k (via Theorem 16.3.3). (K(C)G means the G-invariants of K(C).) De-
scribe a morphism π : C → C ′ of degree |G|, as well as a faithful G-action on C that
commutes with π.
(b) Show that above each branch point of π, the preimages are all ramified to the
same order (as G acts transitively on them). Suppose there are n branch points
and the ith one has ramification ri (each |G|/ri times).
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(c) Use the Riemann-Hurwitz formula to show that
( )
∑
n
ri − 1
′
(2g − 2) = |G| 2g(C ) − 2 +
ri
i=1
To maximize |G|, we wish to minimize
∑
n
ri − 1
([Link]) 2g(C ′ ) − 2 +
ri
i=1
subject to ([Link]) being positive. Note that 1/42 is possible: take g(C ′ ) = 0,
n = 3, and (r1 , r2 , r3 ) = (2, 3, 7).
21.7.L. E XERCISE . Show that you can’t do better than 1/42 by considering the
following cases separately:
(a) g(C ′ ) > 1,
(b) g(C ′ ) = 1,
(c) g(C ′ ) = 0 and n ≥ 5,
(d) g(C ′ ) = 0 and n = 4, and
(e) g(C ′ ) = 0 and n = 3.
21.7.M. E XERCISE . Use the fact that ([Link]) is at least 1/42 to prove the result.
21.7.10. Remark. In positive characteristic, there can be many more automor-
phisms. For example, [Stic], in characteristic p, if pn is a prime power that is not 2,
n n
then the completion of the affine curve yp = x+xp +1 has genus g = pn (pn −1)/2
and automorphism group of order p3n (p3n + 1)(p2n − 1).
CHAPTER 22
⋆ Blowing up
We next discuss an important construction in algebraic geometry, the blow-up
of a scheme along a closed subscheme (cut out by a finite type ideal sheaf). The
theory could mostly be developed immediately after Chapter 17, but the interpre-
tation in terms of the conormal cone/bundle/sheaf of many classical examples
makes it natural to discuss blowing up after differentials.
We won’t use blowing up much in later chapters, so feel free to skip this topic
for now. But it is an important tool. For example, one can use it to resolve singular-
ities, and more generally, indeterminacy of rational maps. In particular, blow-ups
can be used to relate birational varieties to each other.
We will start with a motivational example that will give you a picture of the
construction in a particularly important (and the historically earliest) case, in §22.1.
We will then see a formal definition, in terms of a universal property, §22.2. The
definition won’t immediately have a clear connection to the motivational example.
We will deduce some consequences of the definition (assuming that the blow-up
actually exists). We then prove that the blow-up exists, by describing it quite ex-
plicitly, in §22.3. As a consequence, we will find that the blow-up morphism is
projective, and we will deduce more consequences from this. In §22.4, we will do
a number of explicit computations, to see various sorts of applications, and to see
that many things can be computed by hand.
22.1 Motivating example: Blowing up the origin in the plane
We will generalize the following notion, which will correspond to “blowing up”
the origin of A2k (Exercise 10.3.F). Our discussion will be informal. Consider the
subset of A2 ×P1 corresponding to the following. We interpret P1 as parametrizing
the lines through the origin. Consider the subvariety
{ }
Bl(0,0) A2 := (p ∈ A2 , [ℓ] ∈ P1 ) : p ∈ ℓ) ,
which is the data of a point p in the plane, and a line ℓ containing both p and
the origin. Algebraically: let x and y be coordinates on A2 , and X and Y be
projective coordinates on P1 (“corresponding” to x and y); we will consider the
subset Bl(0,0) A2 of A2 × P1 corresponding to xY − yX = 0. We have the useful
diagram
Bl(0,0) A2 / A2 × P1 / P1
LLL
LLL
L
β LLL
L&
A2
615
616 The Rising Sea: Foundations of Algebraic Geometry
You can verify that it is smooth over k (Definition 13.2.4 or 21.3.1) directly (you
can now make the paragraph after Exercise 10.3.F precise), but here is an informal
argument, using the projection Bl(0,0) A2 → P1 . The projective line P1 is smooth,
and for each point [ℓ] in P1 , we have a smooth choice of points on the line ℓ. Thus
we are verifying smoothness by way of a fibration over P1 .
We next consider the projection to A2 , β : Bl(0,0) A2 → A2 . This is an iso-
morphism away from the origin. Loosely speaking, if p is not the origin, there is
precisely one line containing p and the origin. On the other hand, if p is the origin,
then there is a full P1 of lines containing p and the origin. Thus the preimage of
(0, 0) is a curve, and hence a divisor (an effective Cartier divisor, as the blown-up
surface is regular). This is called the exceptional divisor of the blow-up.
If we have some curve C ⊂ A2 singular at the origin, it can be potentially
partially desingularized, using the blow-up, by taking the closure of C \ {(0, 0)}
in Bl(0,0) A2 . (A desingularization or a resolution of singularities of a variety
X is a proper birational morphism X e → X from a regular scheme.) For example,
2 3 2
consider the curve y = x + x , which is regular except for a node at the origin.
We can take the preimage of the curve minus the origin, and take the closure of
this locus in the blow-up, and we will obtain a regular curve; the two branches of
the node downstairs are separated upstairs. (You can check this in Exercise 22.4.B
once we have defined things properly. The result will be called the proper trans-
form (or strict transform) of the curve.) We are interested in desingularizations for
many reasons. Because we understand regular curves quite well, we could hope to
understand other curves through their desingularizations. This philosophy holds
true in higher dimension as well.
More generally, we can blow up An at the origin (or more informally, “blow
up the origin”), getting a subvariety of An × Pn−1 . Algebraically, If x1 , . . . , xn
are coordinates on An , and X1 , . . . , Xn are projective coordinates on Pn−1 , then
the blow-up Bl⃗0 An is given by the equations xi Xj − xj Xi = 0. Once again, this is
smooth: Pn−1 is smooth, and for each point [ℓ] ∈ Pn−1 , we have a smooth choice
of p ∈ ℓ.
We can extend this further, by blowing up An+m along a coordinate m-plane
A by adding m more variables xn+1 , . . . , xn+m to the previous example; we get
m
a subset of An+m × Pn−1 .
Because in complex geometry, submanifolds of manifolds locally “look like”
coordinate m-planes in n-space, you might imagine that we could extend this to
blowing up a regular subvariety of a regular variety. In the course of making this
precise, we will accidentally generalize this notion greatly, defining the blow-up of
any finite type quasicoherent sheaf of ideals in a scheme. In general, blowing up
may not have such an intuitive description as in the case of blowing up something
regular inside something regular — it can do great violence to the scheme — but
even then, it is very useful.
Our description will depend only on the closed subscheme being blown up,
and not on coordinates. That remedies a defect that was already present in the first
example, of blowing up the plane at the origin. It is not obvious that if we picked
different coordinates for the plane (preserving the origin as a closed subscheme)
that we wouldn’t have two different resulting blow-ups.
As is often the case, there are two ways of understanding the notion of blowing
up, and each is useful in different circumstances. The first is by universal property,
April 1, 2023 draft 617
which lets you show some things without any work. The second is an explicit
construction, which lets you get your hands dirty and compute things (and implies
for example that the blow-up morphism is projective).
The motivating example here may seem like a very special case, but if you
understand the blow-up of the origin in n-space well enough, you will understand
blowing up in general.
22.2 Blowing up, by universal property
We now define the blow-up by a universal property. The disadvantage of starting
here is that this definition won’t obviously be the same as (or even related to) the
examples of §22.1.
Suppose X ,→ Y is a closed subscheme corresponding to a finite type quasico-
herent sheaf of ideals. (If Y is locally Noetherian, the “finite type” hypothesis is
automatic, so Noetherian readers can ignore it.)
The blow-up of X ,→ Y is a Cartesian diagram
([Link]) EX Y / BlX Y
β
X /Y
such that EX Y (the scheme-theoretic preimage of X by β) is an effective Cartier
divisor (defined in §9.5.1) on BlX Y, such that any other such Cartesian diagram
([Link]) D /W
X / Y,
where D is an effective Cartier divisor on W, factors uniquely through it:
D /W
EX Y / BlX Y
X / Y.
We call BlX Y the blow-up (of Y along X, or of Y with center X). (Other somewhat
archaic terms for this are monoidal transformation, σ-process, and quadratic transfor-
mation, and dilation.) We call EX Y the exceptional divisor of the blow-up. (Bl and
β stand for “blow-up”, and E stands for “exceptional”.)
By a typical universal property argument, if the blow-up exists, it is unique up
to unique isomorphism. (We can even recast this more explicitly in the language of
Yoneda’s Lemma: consider the category of diagrams of the form ([Link]), where
618 The Rising Sea: Foundations of Algebraic Geometry
morphisms are diagrams of the form
D0 PPP / W1 QQQ
00 PPP 11 QQQ
00 PPP 1 QQQ
PP11P QQQ
00 P P
11 P( QQQ
(/ ′
00 11 D ′ W
00 1|1 | {{
00 |
| 1 {{
0 ||| 11 {{{
} | }{
X / Y.
Then the blow-up is a final object in this category, if one exists.)
If Z ,→ Y is any closed subscheme of Y, then the scheme-theoretic preimage
β−1 Z is called the total transform of Z. We will soon see that β is an isomorphism
away from X (Observation 22.2.2). β−1 (Z − X) is called the proper transform or
strict transform of Z. (We will use the first terminology. We will also define it in a
more general situation.) We will soon see (in the Blow-up Closure Lemma 22.2.7)
that the proper transform is naturally isomorphic to BlZ∩X Z, where Z ∩ X is the
scheme-theoretic intersection.
We will soon show that the blow-up always exists, and describe it explicitly.
We first make a series of observations, assuming that the blow up exists.
22.2.1. Observation. If X is the empty set, then BlX Y = Y. More generally, if
X is an effective Cartier divisor, then the blow-up is an isomorphism. (Reason:
idY : Y → Y satisfies the universal property.)
∼ β−1 (U), where
22.2.A. E XERCISE . If U is an open subset of Y, then BlU∩X U =
β : BlX Y → Y is the blow-up.
Thus “we can compute the blow-up locally.”
22.2.B. E XERCISE . Show that if Yα is an open cover of Y (as α runs over some
index set), and the blow-up of Yα along X ∩ Yα exists, then the blow-up of Y along
X exists.
22.2.2. Observation. Combining Observation 22.2.1 and Exercise 22.2.A, we see
that the blow-up is an isomorphism away from the locus you are blowing up:
β|BlX Y−EX Y : BlX Y − EX Y → Y − X
is an isomorphism.
22.2.3. Observation. If X = Y, then the blow-up is the empty set: the only map
W → Y such that the pullback of X is an effective Cartier divisor is ∅ ,→ Y. In this
case we have “blown Y out of existence”!
22.2.C. E XERCISE ( BLOW- UP PRESERVES IRREDUCIBILITY AND REDUCEDNESS ). Show
that if Y is irreducible, and X doesn’t contain the generic point of Y, then BlX Y is
irreducible. Show that if Y is reduced, then BlX Y is reduced.
22.2.4. Existence in a first nontrivial case: blowing up a locally principal closed
subscheme.
We next see why BlX Y exists if X ,→ Y is locally cut out by one equation. As the
question is local on Y (Exercise 22.2.B), we reduce to the affine case Spec A/(t) ,→
April 1, 2023 draft 619
Spec A. (A good example to think through is A = k[x, y]/(xy) and t = x.) Let
I = ker(A → At ) = {a ∈ A : tn a = 0 for some n > 0},
and let ϕ : A → A/I be the projection.
22.2.D. E XERCISE . Show that ϕ(t) is not a zerodivisor in A/I.
22.2.E. E XERCISE . Show that β : Spec A/I → Spec A is the blow up of Spec A
along Spec A/t. In other words, show that
Spec A/(t, I) / Spec A/I
β
Spec A/t / Spec A
is a “blow up diagram” ([Link]). Hint: In checking the universal property reduce
to the case where W (in ([Link])) is affine. Then solve the resulting problem about
rings. Depending on how you proceed, you might find Exercise 11.4.G, about the
uniqueness of extension of maps over effective Cartier divisors, helpful.
22.2.F. E XERCISE . Show that Spec A/I is the scheme-theoretic closure of D(t) in
Spec A.
Thus you might geometrically interpret Spec A/I → Spec A as “shaving off
any fuzz supported in V(t)”. In the Noetherian case, this can be interpreted as
removing those associated points lying in V(t). This is intended to be vague, and
you should think about how to make it precise only if you want to.
22.2.5. The Blow-up Closure Lemma.
Suppose we have a fibered diagram
W /Z
cl. emb.
X
cl. emb. /Y
where the bottom closed embedding corresponds to a finite type ideal sheaf (and
hence the upper closed embedding does too). The first time you read this, it may
be helpful to consider only the special case where Z → Y is a closed embedding.
Then take the fibered product of this square by the blow-up β : BlX Y → Y, to
obtain the fibered cube
([Link]) W ×Y E / Z ×Y BlX Y
77X Y 77
77 77
77 77
77 7
EX Y8 77 Cartier / BlX Y 777
88 77 77 77
88 77 77 77
88 77 77 77
88 777
77 / Z
cl. emb.
88 W
88 77
88 77
8 7
cl. emb. /Y
X
620 The Rising Sea: Foundations of Algebraic Geometry
The top square is the Cartesian diagram
([Link]) W ×Y EX Y / Z ×Y BlX Y
EX Y / BlX Y.
Cartier
22.2.G. E ASY E XERCISE . Why is ([Link]) a fibered square? Show the useful
canonical isomorphisms
∼ Z ×Y E X Y =
W ×Y EX Y = ∼ W ×Y BlX Y.
22.2.6. The bottom closed embedding of ([Link]) is locally cut out by one equa-
tion, and thus the same is true of the top closed embedding as well. However, the
local equation on Z×Y BlX Y need not be a non-zerodivisor, and thus the top closed
embedding is not necessarily an effective Cartier divisor.
Let Z be the scheme-theoretic closure of
(Z ×Y BlX Y) \ (W ×Y BlX Y)
in Z×Y BlX Y. (As W×Y BlX Y is locally principal, we are in precisely the situation of
§22.2.4, so the scheme-theoretic closure is not mysterious.) Note that in the special
case where Z → Y is a closed embedding, Z is the proper transform, as defined
in §22.2. For this reason, it is reasonable to call Z the proper transform of Z even if
Z isn’t a closed embedding. Similarly, it is reasonable to call Z ×Y BlX Y the total
transform of Z even if Z isn’t a closed embedding.
Define EZ ,→ Z as the pullback of EX Y to Z, i.e., by the fibered diagram
EZ / Z
_ proper transform
_
cl. emb. cl. emb.
prin.
loc. / Z ×Y BlX Y
W ×Y EX Y total transform
EX Y
Cartier / BlX Y.
Note that EZ is an effective Cartier divisor on Z. (It is locally cut out by one equa-
tion, pulled back from a local equation of EX Y on BlX Y. Can you see why this is
locally not a zerodivisor?) It can be helpful to note that the top square of the dia-
gram above is a blow-up square, by Exercises 22.2.E and 22.2.F (and the fact that
blow-ups can be computed affine-locally).
22.2.7. Blow-up Closure Lemma. — (BlW Z, EW Z) is canonically isomorphic to
(Z, EZ ). More precisely: if the blow-up BlX Y exists, then (Z, EZ ) is the blow-up of Z
along W.
This will be very useful. We make a few initial comments. The first three apply
to the special case where Z → Y is a closed embedding, and the fourth comment
basically tells us we shouldn’t have concentrated on this special case.
April 1, 2023 draft 621
(1) First, note that if Z → Y is a closed embedding, then the Blow-Up Closure
Lemma states that the proper transform (as defined in §22.2) is the blow-up of Z
along the scheme-theoretic intersection W = X ∩ Z.
(2) In particular, the Blow-Up Closure Lemma lets you actually compute blow-
ups, and we will do lots of examples soon. For example, suppose C is a plane
curve, singular at a point p, and we want to blow up C at p. Then we could
instead blow up the plane at p (which we have already described how to do, even
if we haven’t yet proved that it satisfies the universal property of blowing up), and
then take the scheme-theoretic closure of C \ {p} in the blow-up.
(3) More generally, if W is some nasty subscheme of Z that we wanted to blow-
up, and Z were a finite type k-scheme, then the same trick would work. We could
work locally (Exercise 22.2.A), so we may assume that Z is affine. If W is cut
out by r equations f1 , . . . , fr ∈ Γ (Z, OZ ), then complete the f’s to a generating set
f1 , . . . , fn of Γ (Z, OZ ). This gives a closed embedding of Z into An such that W is
the scheme-theoretic intersection of Z with a coordinate linear space An−r .
22.2.8. (4) Most generally still, this reduces the existence of the blow-up to a spe-
cific special case. (If you prefer to work over a fixed field k, feel free to replace Z by
k in this discussion.) Suppose that for each n, Bl(x1 ,...,xn ) Spec Z[x1 , . . . , xn ] exists.
Then I claim that the blow-up always exists. Here’s why. We may assume that
Y is affine, say Spec B, and X = Spec B/(f1 , . . . , fn ). Then we have a morphism
Y → An Z given by xi 7→ fi , such that X is the scheme-theoretic preimage of the
origin. Hence by the blow-up closure lemma, BlX Y exists.
22.2.H. ⋆ T RICKY E XERCISE . Prove the Blow-up Closure Lemma 22.2.7. Hint:
obviously, construct maps in both directions, using the universal property. Con-
structing the following diagram may or may not help. (You will recognize the
bottom cube as ([Link]).)
eff. Cartier / Z
m
m m m m EZ 9
m
9 i i i iiii 88
m m i 88
m m mmm
99
9 i i i iiii 88
m mm 99iiiii 88
vm m i
ti 99 88
EW 2Z WWWW
eff. Cartier / BlW :Z XXXX9X9
W X 88
22 W WWWWW :: 9 X
99XXXXXXXX 88
22 W W WWWWW :: 99 XXXXXX 88
22 W :
WWW:WW 9 X XXXXXXX 8
22 :::W+ loc. prin. X ,
: Z × E Y / Z × Y Bl
22
jjj::
Y 9X
9 i ii ;;X Y
22 j j :: 9 ii i ;;
22 j j jjjjj : 99
i ii iiii ;;
tjjjjjj : 9 9i9ii ;;
i i i ;;
W4 / Z ti 99
;;
44 99 99
9 99 99 ;;
44 ;;
44 99 99 ;
44 99
44 99 i EX Y eff. Cartier / BlX Y
44 ii9i hhhh
44 i ii iiii 999 hh h hhhh
ii 99 hhhh
4 iiii hhhh
tiiiiii
/ Y th h h h
X
Hooked arrows indicate closed embeddings; and when morphisms are further-
more locally principal or even effective Cartier, they are so indicated. Exercise 11.4.G,
on the uniqueness of extension of maps over effective Cartier divisors, may or may
622 The Rising Sea: Foundations of Algebraic Geometry
not help as well. Note that if Z → Y is actually a closed embedding, then so is
Z ×Y BlX Y → BlX Y and hence also Z → BlX Y.
22.3 The blow-up exists, and is projective
22.3.1. It is now time to show that the blow-up always exists. We will see two
arguments, which are enlightening in different ways. Both will imply that the
blow-up morphism is projective, and hence quasicompact, proper, finite type, and
separated. In particular, if Y → Z is quasicompact (resp. proper, finite type, sepa-
rated), so is BlX Y → Z. (And if Y → Z is projective, and Z is quasicompact, then
BlX Y → Z is projective. See the solution to Exercise 17.3.B for the reason for this an-
noying extra hypothesis.) The blow-up of a k-variety is a k-variety (using the fact
that reducedness is preserved, Exercise 22.2.C), and the blow-up of an irreducible
k-variety is a irreducible k-variety (using the fact that irreducibility is preserved,
also Exercise 22.2.C).
Approach 1. As explained in §22.2.8, it suffices to show that BlV(x1 ,...,xn ) Spec Z[x1 , . . . , xn ]
exists. But we know what it is supposed to be: the locus in Spec Z[x1 , . . . , xn ] ×
Proj Z[X1 , . . . , Xn ] cut out by the equations xi Xj − xj Xi = 0. We will show this by
the end of the section.
Approach 2. We can describe the blow-up all at once as a Proj .
22.3.2. Theorem (Proj description of the blow-up). — Suppose X ,→ Y is a closed
subscheme cut out by a finite type quasicoherent sheaf of ideals I ,→ OY . Then
( )
Proj Y OY ⊕ I ⊕ I 2 ⊕ I 3 ⊕ · · · → Y
satisfies the universal property of blowing up.
(We made sense of products of ideal sheaves, and hence I n , in Exercise 15.5.E.)
We will prove Theorem 22.3.2 soon (§22.3.3), after seeing what it tells us. Be-
cause I is finite type, the graded sheaf of algebras has degree 1 piece that is finite
type. The graded sheaf of algebras is also clearly generated in degree 1. Thus the
sheaf of algebras satisfy Hypotheses 17.2.1 (“finite generation in degree 1”).
But first, we should make sure that the preimage of X is indeed an effective
Cartier divisor. We can work affine-locally (Exercise 22.2.A), so we may assume
that Y = Spec B, and X is cut out by the finitely generated ideal I. Then
( )
BlX Y = ProjB B ⊕ I ⊕ I2 ⊕ · · · .
(You may recall that the ring B ⊕ I ⊕ · · · is called the Rees algebra of the ideal I in
B, §13.9.1.) We are slightly abusing notation by using the notation BlX Y, as we
haven’t yet shown that this satisfies the universal property.
The preimage of X isn’t just any effective Cartier divisor; it corresponds to the
invertible sheaf O(1) on this Proj . Indeed, O(1) corresponds to taking our graded
ring, chopping off the bottom piece, and sliding all the graded pieces to the left by
1 (§15.1.4); it is the invertible sheaf corresponding to the graded module
I ⊕ I2 ⊕ I3 ⊕ · · ·
April 1, 2023 draft 623
(where that first summand I has grading 0). But this can be interpreted as the
scheme-theoretic preimage of X, which corresponds to the ideal I of B:
( )
I B ⊕ I ⊕ I2 ⊕ · · · ,→ B ⊕ I ⊕ I2 ⊕ · · · .
Thus the scheme-theoretic preimage of X ,→ Y to Proj (OY ⊕ I ⊕ I 2 ⊕ · · · ),
the invertible sheaf corresponding to I ⊕ I 2 ⊕ I 3 ⊕ · · · , is an effective Cartier
divisor in class O(1). Once we have verified that this construction is indeed the
blow-up, this divisor will be our exceptional divisor EX Y.
Moreover, we see that the exceptional divisor can be described beautifully as
a Proj over X:
( )
([Link]) EX Y = Proj X OY /I ⊕ I /I 2 ⊕ I 2 /I 3 ⊕ · · · .
We will later see that in good circumstances (if X is a regular embedding in Y), this
is a projectivization of a vector bundle (the “projectivized normal bundle”), see
Exercise 22.3.D(a).
22.3.3. Proof of the universal property, Theorem 22.3.2. Let’s prove that this Proj
construction satisfies the universal property. Then Approach 1 will also follow, as
a special case of Approach 2.
22.3.4. Aside: why Approach 1? Before we begin, you may be wondering why we
bothered with Approach 1. One reason is that you may find it more comfortable
to work with this one nice ring, and the picture may be geometrically clearer to
you (in the same way that thinking about the Blow-up Closure Lemma 22.2.7 in
the case where Z → Y is a closed embedding is more intuitive). Another rea-
son is that, as you will find in the exercises, you will see some facts more easily
in this explicit example, and you can then pull them back to more general exam-
ples. Perhaps most important, Approach 1 lets you actually compute blow-ups
by working affine-locally: if f1 , . . . , fn are elements of a ring A, cutting a sub-
scheme X = Spec A/(f1 , . . . , fn ) of Y = Spec A, then BlX Y can be interpreted as
a closed subscheme of Pn−1
A , by pulling back from BlV(x1 ,...,xn ) Spec Z[x1 , . . . , xn ],
and taking the closure of the locus “above X” as dictated by the Blow-up Closure
Lemma 22.2.7.
Proof. Reduce to the case of affine target Spec R with ideal I ⊂ R. Reduce to the
case of affine source, with principal effective Cartier divisor t. (A principal effec-
tive Cartier divisor is locally cut out by a single non-zerodivisor.) Thus we have re-
duced to the case Spec S → Spec R, corresponding to f : R → S. Say (x1 , . . . , xn ) =
I, with (f(x1 ), . . . , f(xn )) = (t). We will describe one map Spec S → Proj R[I] that
will extend the map on the open set Spec St → Spec R. It is then unique, by Ex-
ercise 11.4.G. We map R[I] to S as follows: the degree one part is f : R → S, and
f(Xi ) (where Xi corresponds to xi , except it is in degree 1) goes to f(xi )/t. Hence
an element X of degree d goes to X/(td ). On the open set D+ (X1 ), we get the map
R[X2 /X1 , . . . , Xn /X1 ]/(x2 −X2 /X1 x1 , . . . , xi Xj −xj Xi , . . . ) → S (where there may be
many relations) which agrees with f away from V(t). Thus this map does extend
over V(I). □
Here are some applications and observations arising from this construction of
the blow-up. First, we can verify that our initial motivational examples are indeed
blow-ups. For example, blowing up A2 (with coordinates x and y) at the origin
624 The Rising Sea: Foundations of Algebraic Geometry
yields: B = k[x, y], I = (x, y), and Proj(B ⊕ I ⊕ I2 ⊕ · · · ) = Proj B[X, Y] where the
elements of B have degree 0, and X and Y are degree 1 and “correspond to” x and
y respectively.
22.3.5. Normal bundles to exceptional divisors. The normal bundle to an effective
Cartier divisor D is the (space associated to the) invertible sheaf O(D)|D , the in-
vertible sheaf corresponding to the D on the total space, then restricted to D (Exer-
cise 21.2.J). Thus in the case of the blow-up of a point in the plane, the exceptional
divisor has normal bundle O(−1). (As an aside: Castelnuovo’s Criterion, Theo-
rem 29.7.1, states that conversely given a smooth surface containing E = ∼ P1 with
normal bundle O(−1), E can be blown-down to a point on another smooth sur-
face.) In the case of the blow-up of a regular subvariety of a regular variety, the
blow up turns out to be regular (see Theorem 22.3.10), the exceptional divisor is a
projective bundle over X, and the normal bundle to the exceptional divisor restricts
to O(−1) (Exercise 22.3.D).
22.3.A. H ARDER BUT ENLIGHTENING EXERCISE . If i : X ,→ Pn is a projective
scheme, identify the exceptional divisor of the blow up of the affine cone over X
(§9.3.11) at the origin with X itself, and that its normal bundle (§22.3.5) is isomor-
phic to OX (−1) := i∗ OPn (−1). (In the case X = P1 , we recover the blow-up of
the plane at a point. In particular, we recover the important fact that the normal
bundle to the exceptional divisor is O(−1).)
22.3.6. The normal cone. Motivated by ([Link]), as well as Exercise 22.3.D below,
we make the following definition. If X is a closed subscheme of Y cut out by I ,
then the normal cone NX Y of X in Y is defined as
( )
([Link]) NX Y := Spec X OY /I ⊕ I /I 2 ⊕ I 2 /I 3 ⊕ · · · .
This can profitably be thought of as an algebro-geometric version of an infinitesi-
mal “tubular neighborhood”. But some cautions are in order. If Y is smooth, NX Y
may not be smooth. (You can work out the example of Y = A2k and X = V(xy).)
And even if X and Y are smooth, then although NX Y is smooth (as we will see
shortly, Exercise 22.3.D), it doesn’t “embed” in any way in Y (see Remark 22.3.9).
If X is a closed point p, then the normal cone is called the tangent cone to
Y at p. The projectivized tangent cone is the exceptional divisor EX Y (the Proj
of the same graded sheaf of algebras). Following §9.3.12, the tangent cone and
the projectivized tangent cone can be put together in the projective completion
of the tangent cone, which contains the tangent cone as an open subset, and the
projectivized tangent cone as a complementary effective Cartier divisor.
In Exercise 22.3.D, we will see that at a regular point of Y, the tangent cone may
be identified with the tangent space, and the normal cone may often be identified
with the total space of the normal bundle.
22.3.B. E XERCISE . Suppose Y = Spec k[x, y]/(y2 − x2 − x3 ) (the nodal cubic, see
the bottom of Figure 8.4). Assume (to avoid distraction) that char k ̸= 2. Show that
the tangent cone to Y at the origin is isomorphic to Spec k[x, y]/(y2 − x2 ). Thus, in-
formally, the tangent cone “looks like” the original variety “infinitely magnified”.
22.3.C. E XERCISE . Suppose S• is a finitely generated graded algebra over a field
k. Exercise 22.3.A gives an isomorphism of Proj S• with the exceptional divisor to
April 1, 2023 draft 625
the blow-up of Spec S• at the origin. Show that the tangent cone to Spec S• at the
origin is isomorphic to Spec S• itself. (Your geometric intuition should lead you to
find these facts believable.)
22.3.7. Blowing up regular embeddings.
The case of blow-ups of regular embeddings X ⊂ Y is particularly pleasant.
For example, the exceptional divisor is a projective bundle over X. The central
reason is the following result.
22.3.8. Theorem. — If I ⊂ A is generated by a regular sequence a1 , . . . , ad , then the
A (I/I ) → I /I
natural map Symn 2 n n+1
is an isomorphism.
Hence if a closed embedding i : X ,→ Y is a regular embedding with ideal sheaf
I ⊂ OY , then the natural map Symn (I /I 2 ) → I n /I n+1 is an isomorphism.
Furthermore, in combination with Proposition 21.2.16, we see that I n /I n+1 is a
locally free sheaf.
Before starting the proof of Theorem 22.3.8 in §22.3.11, we show its utility.
22.3.D. E XERCISE ( ASSUMING T HEOREM 22.3.8).
(a) Suppose X → Y is a regular embedding with ideal sheaf I , identify the total
space (§17.1.4) of the normal sheaf (the “normal bundle”) with the normal cone
NX Y ([Link]), and show that the exceptional divisor EX Y is a projective bundle
(the “projectivized normal bundle”) over X.
(b) Show that the normal bundle to EX Y in BlX Y is O(−1) (for the projective bundle
over X).
(c) Assume further that X is a reduced closed point p. Show that p is a regular
point of Y. Identify the total space of the tangent space to p with the tangent cone
to Y at p.
22.3.9. Remark. We can now make sense of a comment made in §22.3.6, that
even if X and Y are smooth, then although NX Y is smooth, it needn’t admit an
open embedding in Y. To do this, start with a smooth complex quartic surface Y
containing a line X. (Most smooth quartic surfaces don’t contain a line, by Exer-
cise 12.2.N, so you will have to construct one by hand.) Then NX Y is a line bundle
over X, and thus rational (i.e., birational to A2C , Definition 7.5.4). But NX Y cannot
admit an open embedding into Y, as otherwise Y would be rational, contradicting
Exercise 21.5.C.
22.3.10. Theorem. — Suppose X ,→ Y is a closed embedding of smooth varieties over k.
Then BlX Y is also smooth.
Proof. (We use the fact that smooth varieties are regular, the Smoothness-Regularity
Comparison Theorem 13.2.7(b), whose proof we still have to complete.)
We need only check smoothness of BlX Y at the points of EX Y (by Observa-
tion 22.2.2). By Exercise 13.2.M(b), X ,→ Y is a regular embedding. Then by Ex-
ercise 22.3.D(a), EX Y is a projective bundle over X, and thus smooth, and hence
regular at its closed points. But EX Y is an effective Cartier divisor on BlX Y. By the
slicing criterion for regularity (Exercise 13.2.C), it follows that BlX Y is regular at
the closed points of EX Y, hence smooth at all points of EX Y. □
626 The Rising Sea: Foundations of Algebraic Geometry
22.3.11. ⋆ Proving Theorem 22.3.8.
The proof of Theorem 22.3.8 may reasonably be skipped on a first reading. We
prove Theorem 22.3.8 following [F2, A.6.1], which in turn follows [Dav]. The proof
will be completed in §22.3.13. To begin, let α be the map of graded rings
α : (A/I)[X1 , . . . , Xd ] → ⊕∞ n n+1
n=0 I /I
which takes Xi to the image of ai in I/I2 . Clearly α is surjective.
22.3.E. E XERCISE . Show that Theorem 22.3.8 would follow from the statement
that α is an isomorphism.
Because a1 is a non-zerodivisor, we can interpret A[a2 /a1 , . . . , ad /a1 ] as a sub-
ring of the total fraction ring (defined in §6.6.35). In particular, as A is a subring of
its total fraction ring, the map A → A[a2 /a1 , . . . , ad /a1 ] is an injection. Define
β : A[T2 , . . . , Td ] → A[a2 /a1 , . . . , ad /a1 ]
by Ti 7→ ai /a1 . Clearly, the map β is surjective, and Li := a1 Ti − ai lies in ker(β).
22.3.12. Lemma. — The kernel of β is (L2 , . . . , Ld ).
Proof. We prove the result by induction on d. We consider first the base case d = 2.
Suppose F[T2 ] ∈ ker β, so F(a2 /a1 ) = 0. Then applying the algorithm for the
deg F
Remainder Theorem, dividing a1 F(T2 ) by a1 T2 − a2 = L2 ,
deg F
([Link]) a1 F(T2 ) = G(T2 )(a1 T2 − a2 ) + R
where G(T2 ) ∈ A[T2 ], and R ∈ A is the remainder. Substituting T2 = a2 /a1 (and
using the fact that A → A[a2 /a1 ] is injective), we have that R = 0. Then (a1 T2 −
deg F
a2 )G(T2 ) ≡ 0 (mod (a1 )). Using the fact that a2 is a non-zerodivisor modulo
deg F deg F
(a1 ) (as a1 , a2 is a regular sequence by Exercise 9.5.E), a short induction
deg F
shows that the coefficients of G(T2 ) must all be divisible by a1 . Thus F(T2 ) is
divisible by a1 T2 − a2 = L2 , so the case d = 2 is proved.
We now consider the general case d > 2, assuming the result for all smaller d.
Let A ′ = A[a2 /a1 ]. Then a1 , a3 , a4 , . . . , ad is a regular sequence in A ′ . Reason: a1
is a non-zerodivisor in A ′ . A ′ /(a1 ) = (A[T2 ]/(a1 T2 − a2 ))/(a1 ) = A[T2 ]/(a1 T2 −
a2 , a1 ) = A[T2 ]/(a1 , a2 ). Then a3 is a non-zerodivisor in this ring because it is
a non-zerodivisor in A/(a1 , a2 ), a4 is a non-zerodivisor in A[T2 ]/(a1 , a2 , a3 ) be-
cause it is a non-zerodivisor in A/(a1 , a2 , a3 ), and so forth. Condition (ii) of the
Definition 9.5.4 of regular sequence also holds, as
A ′ /(a1 , a3 , a4 , . . . , ad ) = A[T2 ]/(a1 , a2 , . . . , ad ) ̸= 0.
Consider the composition
A[T2 , . . . , Td ] → A ′ [T3 , . . . , Td ] → A ′ [a3 /a1 , . . . , ad /a1 ] = A[a2 /a1 , . . . , ad /a1 ].
By the case d = 2, the kernel of the first map is L2 . By the inductive hypothesis,
the kernel of the second map is (L3 , . . . , Ld ). The result follows. □
22.3.13. Proof of Theorem 22.3.8. By Exercise 22.3.E, it suffices to prove that the
surjection α is an isomorphism. Suppose F ∈ ker(α); we wish to show that F =
0. We may assume that F is homogeneous, say of degree n. Consider the map
α ′ : A[X1 , . . . , Xd ] → ⊕∞ n n+1
n=0 I /I lifting α. Lift F to A[X1 , . . . , Xd ], so F ∈ ker(α ′ ).
April 1, 2023 draft 627
We wish to show that F ∈ IA[X1 , . . . , Xd ]. Suppose F(a1 , . . . , ad ) = x ∈ In+1 . Then
we can write x as F ′ (a1 , . . . , ad ), where F ′ is a homogeneous polynomial of the
same degree as F, with coefficients in I. Then by replacing F by F − F ′ , we are
reduced to the following problem: suppose F ∈ A[X1 , . . . , Xd ] is homgeneous of
degree n, and F(a1 , . . . , ad ) = 0, we wish to show that F ∈ IA[X1 , . . . , Xn ]. But
if F(a1 , . . . , ad ) = 0, then F(1, a2 /a1 , . . . , ad /a1 ) = 0 in A[a2 /a1 , . . . , ad /a1 ]. But
Lemma 22.3.12 identifies the kernel of β, so
F(1, T2 , T3 , . . . , Td ) ∈ (a1 T2 − a2 , a1 T3 − a3 , . . . , a1 Td − ad ).
Thus the coefficients of F are in (a1 , . . . , ad ) = I as desired. □
22.4 Examples and computations
In this section we will work through a number of explicit of examples, to get a
sense of how blow-ups behave, how they are useful, and how one can work with
them explicitly. Throughout we work over a field k, and we assume through-
out that char k = 0 to avoid distraction. The examples and exercises are loosely
arranged by topic, but not in order of importance.
22.4.1. Example: Blowing up the plane along the origin.
Let’s first blow up the plane A2 along the origin, and see that the result agrees
with our discussion in §22.1. Let x and y be the coordinates on A2 . The blow-up is
Proj k[x, y, X, Y], where xY −yX = 0. (Here x and y have degree 0 and X and Y have
degree 1.) This is naturally a closed subscheme of A2 × P1 , cut out (in terms of the
projective coordinates X and Y on P1 ) by xY − yX = 0. We consider the two usual
patches on P1 : [X, Y] = [s, 1] and [1, t]. The first patch yields Spec k[x, y, s]/(sy − x),
and the second gives Spec k[x, y, t]/(y − xt). Notice that both are smooth: the first
is Spec k[y, s] =∼ A2 , and the second is Spec k[x, t] =∼ A2 .
We now describe the exceptional divisor. We first consider the first (s) patch.
The ideal is generated by (x, y), which in our ys-coordinates is (ys, y) = (y), which
is indeed principal. Thus on this patch the exceptional divisor is generated by y.
Similarly, in the second patch, the exceptional divisor is cut out by x. (This can be
a little confusing, but there is no contradiction!) This explicit description will be
useful in working through some of the examples below.
22.4.A. E XERCISE . Let p be a k-valued point of P2 . Exhibit an isomorphism be-
tween Blp P2 and the Hirzebruch surface F1 = PP1 (OP1 ⊕ OP1 (1)) (Example 17.2.4).
(The map Blp P2 → P1 informally corresponds to taking a point to the line connect-
ing it to the origin. Do not be afraid: You can do this by explicitly working with
coordinates.)
22.4.2. Resolving singularities.
22.4.3. The proper transform of a nodal curve (Figure 22.1). (You may wish to flip
to Figure 8.4 while thinking through this exercise.) Consider next the curve y2 =
x3 + x2 inside the plane A2 (the nodal cubic, see Exercise 22.3.B). Let’s blow up the
origin, and compute the total and proper transform of the curve. (By the Blow-up
Closure Lemma 22.2.7, the latter is the blow-up of the nodal curve at the origin.)
628 The Rising Sea: Foundations of Algebraic Geometry
In the first patch, we get y2 − s2 y2 − s3 y3 = 0. This factors: we get the exceptional
divisor y with multiplicity two, and the curve 1 − s2 − s3 y = 0. You can easily
check that the proper transform is regular. Also, notice that the proper transform
e meets the exceptional divisor at two points, s = ±1. This corresponds to the two
C
tangent directions at the origin (as s = x/y).
22.4.B. E XERCISE (F IGURE 22.1). Describe both the total and proper transform of
the curve C given by y = x2 − x in Bl(0,0) A2 . Show that the proper transform of
C is isomorphic to C. Interpret the intersection of the proper transform of C with
the exceptional divisor E as the slope of C at the origin.
E E E
Bl(0,0) A2 C̃ C̃ C̃
C
C
A2
C
22.4.3 22.4.B 22.4.C
F IGURE 22.1. Resolving curve singularities (§22.4.3, Exer-
cise 22.4.B, and Exercise 22.4.C)
22.4.C. E XERCISE : BLOWING UP A CUSPIDAL PLANE CURVE ( CF. E XERCISE 10.7.F).
Describe the proper transform of the cuspidal curve C given by y2 = x3 in the
blown-up plane Bl(0,0) A2 . Show that it is regular. Show that the proper transform
of C meets the exceptional divisor E at one point, and is tangent to E there.
The previous two exercises are the first in an important sequence of singulari-
ties, which we now discuss.
22.4.D. E XERCISE : RESOLVING An CURVE SINGULARITIES . Resolve the singularity
y2 = xn+1 in A2 , by first blowing up its singular point, then considering its proper
transform and deciding what to do next.
22.4.4. Toward a definition of An curve singularities. You will notice that your solu-
tion to Exercise 22.4.D depends only on the “power series expansion” of the singu-
larity at the origin, and not on the precise equation. For example, if you compare
§22.4.3 with the n = 1 case of Exercise 22.4.D, you will see that they are “basically
the same”. We will make this precise in Definition 29.3.C.
22.4.E. E XERCISE ( WARM - UP TO E XERCISE 22.4.F). Blow up the cone point z2 =
x2 + y2 (Figure 3.4) at the origin. Show that the resulting surface is regular. Show
April 1, 2023 draft 629
that the exceptional divisor is isomorphic to P1 . (Remark: You can check that the
normal bundle to this P1 is not O(−1), as is the case when you blow up a point on
a smooth surface, see §22.3.5; it is O(−2).)
22.4.F. E XERCISE ( RESOLVING An SURFACE SINGULARITIES ). Resolve the singu-
larity z2 = y2 + xn+1 in A3 by first blowing up its singular point, then considering
its proper transform, and deciding what to do next. (A k-surface singularity ana-
lytically isomorphic to this is called an An surface singularity. For example, the
cone shown in Figure 3.4 is an A1 surface singularity. We make this precise in
Exercise 29.3.C.) This exercise is a bit time consuming, but is rewarding in that it
shows that you can really resolve singularities by hand.
22.4.5. Remark: ADE-surface singularities and Dynkin diagrams (see Figure 22.2). A
k-singularity analytically isomorphic to z2 = x2 y + yn−1 (resp. z2 = x3 + y4 ,
z2 = x3 + xy3 , z2 = x3 + y5 ) is a called a Dn surface singularity (resp. E6 , E7 ,
E8 surface singularity). We will make this precise in Exercise 29.3.C, and you will
then be able to guess the definition of the corresponding curve singularity. If you
(minimally) desingularize each of these surfaces by sequentially blowing up sin-
gular points as in Exercise 22.4.F, and look at the arrangement of exceptional di-
visors (the various exceptional divisors and how they meet), you will discover
the corresponding Dynkin diagram. More precisely, if you create a graph, where
the vertices correspond to exceptional divisors, and two vertices are joined by an
edge if the two divisors meet, you will find the underlying graph of the corre-
sponding Dynkin diagram. This is the start of several very beautiful stories; see
Remark 27.4.5 for a first glimpse of one of them.
An ··· ···
E8
F IGURE 22.2. The exceptional divisors for resolutions of some
ADE surface singularities, and their corresponding dual graphs
(see Remark 22.4.5)
22.4.6. Remark: Resolution of singularities. Hironaka’s Theorem on resolution of
singularities implies that this idea of trying to resolve singularities by blowing
up singular loci in general can succeed in characteristic 0. More precisely, if X is a
variety over a field of characteristic 0, then X can be resolved by a sequence of blow-
ups, where the nth blow-up is along a regular subvariety that lies in the singular
locus of the variety produced after the (n − 1)st stage (see [Hir], and [Ko2]). (The
case of dimension 1 will be shown in §29.5.4, and the case of dimension 2 will be
discussed in §29.7.4.) It is not known if an analogous statement is true in positive
characteristic (except in dimension at most 2, by Lipman, see [Ar3]), but de Jong’s
Alteration Theorem [dJ] gives a result which is good enough for most applications.
630 The Rising Sea: Foundations of Algebraic Geometry
Rather than producing a birational proper map X e → X from something regular, it
produces a proper map from something regular that is generically finite (and the
corresponding extension of function fields is separable).
Here are some other exercises related to resolution of singularities.
22.4.G. E XERCISE . Blowing up a nonreduced subscheme of a regular scheme can
give you something singular, as shown in this example. Describe the blow up
of the closed subscheme V(y, x2 ) in Spec k[x, y] = A2 . Show that you get an A1
surface singularity.
22.4.H. E XERCISE . Desingularize the tacnode (see Exercise 10.7.G and Defini-
tion 29.3.3) y2 = x4 , not in two steps (as in Exercise 22.4.D), but in a single step by
blowing up (y, x2 ).
22.4.I. E XERCISE ( RESOLVING A SINGULARITY BY AN UNEXPECTED BLOW- UP ). Sup-
pose Y is the cone x2 + y2 = z2 , and X is the line cut out by x = 0, y = z on Y. Show
that BlX Y is regular. (In this case we are blowing up a codimension 1 locus that
is not an effective Cartier divisor, see Problem 13.1.3. But it is an effective Cartier
divisor away from the cone point, so you should expect your answer to be an
isomorphism away from the cone point.)
22.4.7. Multiplicity of a function at a regular point. In order to pose Exercise 22.4.J,
we introduce a useful concept. If f is a function on a locally Noetherian scheme
X, its multiplicity at a regular point p is the largest m such that f lies in the mth
power of the maximal ideal in the local ring OX,p . For example, if f ̸= 0, V(f) is
singular at p if and only if m > 1. (Do you see why?)
22.4.J. E XERCISE . Show that the multiplicity of the exceptional divisor in the total
transform of a subscheme Z of An when you blow up the origin is the smallest mul-
tiplicity (at the origin) of a defining equation of Z. (For example, in the case of the
nodal and cuspidal curves above, Example 22.4.3 and Exercise 22.4.C respectively,
the exceptional divisor appears with multiplicity 2.)
22.4.8. Resolving rational maps.
22.4.K. E XERCISE ( UNDERSTANDING THE BIRATIONAL MAP P2 o_ _ _/ P1 × P1 VIA
BLOW- UPS ). Let p and q be two distinct k-points of P2 , and let r be a k-point of
∼
P1 × P1 . Describe an isomorphism Bl{p,q} P2 ←→ Blr P1 × P1 . (Possible hint:
Consider lines ℓ through p and m through q; the choice of such a pair corresponds
to a point of P1 × P1 . A point s of P2 not on line pq yields a pair of lines (ps, qs)
of P1 × P1 . Conversely, a choice of lines (ℓ, m) such that neither ℓ and m is line pq
yields a point s = ℓ ∩ m ∈ P2 . This describes a birational map P2 o_ _ _/ P1 × P1 .
Exercise 22.4.A is related.)
Exercise 22.4.K is an example of the general phenomenon explored in the next
two exercises.
22.4.L. H ARDER
BUT USEFUL EXERCISE ( BLOW- UPS RESOLVE BASE LOCI OF RATIO -
NAL MAPS TO PROJECTIVE SPACE ). Suppose we have a scheme Y, an invertible
sheaf L , and a number of sections s0 , . . . , sn of L (a linear series, Definition 15.2.1).
April 1, 2023 draft 631
Then away from the closed subscheme X cut out by s0 = · · · = sn = 0 (the base
locus of the linear series), these sections give a morphism to Pn . Show that this
morphism extends uniquely to a morphism BlX Y → Pn , where this morphism cor-
responds to the invertible sheaf (β∗ L )(−EX Y), where β : BlX Y → Y is the blow-up
morphism. In other words, “blowing up the scheme-theoretic base locus resolves
this rational map”. Hint: it suffices to consider an affine open subset of Y where
L is trivial. Uniqueness might use Exercise 11.4.G.
22.4.9. Remarks. (i) Exercise 22.4.L immediately implies that blow-ups can be used
to resolve rational maps to projective schemes Y 99K Z ,→ Pn .
(ii) The following interpretation is enlightening. The linear series on Y pulls
back to a linear series on BlX Y, and the base locus of the linear series on Y pulls
back to the base locus on BlX Y. The base locus on BlX Y is EX Y, an effective Cartier
divisor. Because EX Y is not just locally principal, but also locally a non-zerodivisor,
it can be “divided out” from the β∗ si (yielding a section of (β∗ L )(−EX Y), thereby
removing the base locus, and leaving a base-point-free linear series. (In a sense
that can be made precise through the universal property, this is the smallest “mod-
ification” of Y that can remove the base locus.) If X is already Cartier (as for exam-
ple happens with any nontrivial linear system if Y is a regular pure-dimensional
curve), then we can remove a base locus by just “dividing out X”.
(iii) You may wish to revisit Exercise 19.7.D, and interpret it in terms of Exer-
cise 22.4.L.
22.4.10. Examples. (i) The rational map Pn 99K Pn−1 given by [x0 , · · · , xn ] 99K
[x1 , · · · , xn ], defined away from p = [1, 0, · · · , 0], is resolved by blowing up p.
Then by the Blow-up Closure Lemma 22.2.7, if Y is any locally closed subscheme of
Pn , we can project to Pn−1 once we blow up p in Y, and the invertible sheaf giving
the map to Pn−1 is (somewhat informally speaking) β∗ (OPn (1)) ⊗ O(−Ep Y).
(ii) Consider two general homogeneous cubic functions C1 and C2 in three
variables, yielding two cubic curves in P2 . They are smooth (by Bertini’s Theo-
rem 13.4.2), and meet in 9 points p1 , . . . , p9 (using our standing assumption that
we work over an algebraically closed field). Then [C1 , C2 ] gives a rational map
P2 99K P1 . To resolve the rational map, we blow up p1 , . . . , p9 . The result is (gener-
ically) an elliptic fibration Bl{p1 ,...,p9 } P2 → P1 . (This is by no means a complete
argument.)
(iii) Fix six general points p1 , . . . , p6 in P2 . There is a four-dimensional vector
space of cubics vanishing at these points, and they vanish scheme-theoretically
precisely at these points. This yields a rational map P2 99K P3 , which is resolved
by blowing up the six points. The resulting morphism turns out to be a closed
embedding, and the image in P3 is a (smooth) cubic surface. This is the famous
fact that the blow up of the plane at six general points may be represented as a
(smooth) cubic in P3 . (Again, this argument is not intended to be complete.) See
27.4.3 for a more precise and more complete discussion.
In reasonable circumstances, Exercise 22.4.L has an interpretation in terms of
graphs of rational maps.
22.4.M. E XERCISE . Suppose s0 , . . . , sn are sections of an invertible sheaf L
on an integral scheme X, not all 0. By Remark 15.2.5, these data give a rational
map ϕ : X 99K Pn . Give an isomorphism between the graph of ϕ (§11.4.4) and
632 The Rising Sea: Foundations of Algebraic Geometry
BlV(s0 ,...,sn ) X. (Your argument will not require working over a field k; it will
work in general.)
You may enjoy exploring the previous idea by working out how the Cremona
transformation P2 99K P2 (Exercise 7.5.J) can be interpreted in terms of the graph
of the rational map [x, y, z] 99K [1/x, 1/y, 1/z].
22.4.N. ⋆ E XERCISE . Resolve the rational map
[w,x]
Spec k[w, x, y, z]/(wz − xy) _ _ _ _ _ _/ P1
from the cone over the quadric surface to the projective line. Let X be the resulting
variety, and π : X → Spec k[w, x, y, z]/(wz − xy) the projection to the cone over the
quadric surface. Show that π is an isomorphism away from the cone point, and
that the preimage of the cone point is isomorphic to P1 (and thus has codimension
2, and therefore is different from the resolution obtained by simply blowing up the
cone point). Possible hint: if Q is the quadric in P3 cut out by wz − xy = 0, then
factor the rational map as Spec k[w, x, y, z]/(wz − xy) \ {0} → Q (cf. Exercise 9.3.N),
∼
followed by the isomorphism Q −→ P1 × P1 (Example 10.6.2), followed by projec-
tion onto one of the factors.
This is an example of a small resolution. (A small resolution X → Y is a
resolution where the locus of points of Y where the fiber has dimension r is of
codimension greater than 2r. We will not use this notion again in any essential
way.) Notice that this resolution of the morphism involves blowing up the base
locus w = x = 0, which is a cone over one of the lines on the quadric surface wz =
xy. We are blowing up an effective Weil divisor, which is necessarily not Cartier as
the blow-up is not an isomorphism. In Exercise 13.1.E, we saw that (w, x) was not
principal, while here we see that (w, x) is not even locally principal. Essentially by
Exercise 15.4.T, V(w, x) cannot even be the support of a locally principal divisor.
22.4.11. Remark: Non-isomorphic small resolutions. If you instead resolved the map
[w, y], you would obtain a similar looking small resolution
π ′ : X ′ → Spec k[w, x, y, z]/(wz − xy)
(it is an isomorphism away from the origin, and the fiber over the origin is P1 ). But
it is different! More precisely, there is no morphism X → X ′ making the following
the diagram commute.
X RRR / ′
RRR llll X
RRRπ π ′ lll
l
RRR lll
RRR ll
( vll
Spec k[w, x, y, z]/(wz − xy)
The birational map X 99K X ′ is called the Atiyah flop, [At1].
22.4.12. Factorization of birational maps. We end our discussion of resolution of
rational maps by noting that just as Hironaka’s Theorem states that one may re-
solve all singularities of varieties in characteristic 0 by a sequence of blow-ups
along smooth subvarieties (§22.4.6), the Weak Factorization Theorem (first proved
by Włodarczyk) states that any two birational varieties X and Y in characteristic 0
April 1, 2023 draft 633
may be related by blow-ups and “blow-downs” along smooth subvarieties. More
precisely, there are varieties X0 , . . . , Xn , X01 , . . . , X(n−1)n , with X0 = X and Xn = Y,
with morphisms Xi(i+1) → Xi and Xi(i+1) → Xi+1 (0 ≤ i < n) which are blow-ups
of smooth subvarieties.
22.4.13. Blow-ups and line bundles.
22.4.O. E XERCISE ( GENERALIZING E XERCISE 20.2.D). Suppose X is a regular pro-
jective surface over k, and p is a k-valued point. Let β : Blp X → X be the blow-up
morphism, and let E = Ep X be the exceptional divisor. Consider the exact se-
quence
γ : 17→[E]
Z / Pic(Blp X) α / Pic(Blp X \ E) /0
from ([Link]). (Technically, ([Link]) has Pic replaced by Cl. But because regu-
lar local rings are unique factorization domains by §13.8.5, Pic = Cl in this case by
Proposition 15.4.15.) Note that Blp X\E = X\p. Show that Pic(X\p) = Pic X. Show
that β∗ : Pic X → Pic Blp X gives a section to α. Use §22.3.5 to show that OX (E)|E =∼
OE (−1) (so in the language of Chapter 20, E is a (−1)-curve, Definition 20.2.8), and
from that show that γ is an injection. Conclude that Pic Blp X = ∼ Pic X ⊕ Z. Describe
how to find the intersection matrix on N1Q (Blp X) from that of N1Q (X).
22.4.P. E XERCISE . Suppose D is an effective Cartier divisor (a curve) on X. Let
multp D be the multiplicity of D at p (Exercise 22.4.J), and let Dpr be the proper
transform of D. Show that π∗ D = Dpr + (multp D)E as effective Cartier divi-
sors. More precisely, show that the product of the local equation for Dpr and the
(multp D)th power of the local equation for E is the local equation for π∗ D, and
∼ OBl X (Dpr ) ⊗
hence that (i) π∗ D is an effective Cartier divisor, and (ii) π∗ OX (D) = p
⊗(multp D)
OBlp X (E) . (A special case is the equation ℓ = e + m in Hint 20.2.7.)
22.4.14. Change of the canonical line bundle under blow-ups.
As motivation for how the canonical line bundle changes under blowing up,
consider π : Bl(0,0) A2 → A2 . Let X = Bl(0,0) A2 and Y = A2 for convenience. We
use Exercise 21.7.A to relate π∗ KY to KX .
We pick a generator for KY near (0, 0): dx ∧ dy. (This is in fact a generator for
KY everywhere on A2 , but for the sake of generalization, we point out that all that
matters is that is a generator at (0, 0), and hence near (0, 0) by geometric Nakayama,
Exercise 14.3.E.) When we pull it back to X, we can interpret it as a section of KX ,
which will generate KX away from the exceptional divisor E, but may contain E
with some multiplicity µ. Recall that X can be interpreted as the data of a point in
A2 as well as the choice of a line through the origin. We consider the open subset
U where the line is not vertical, and thus can be written as y = mx. Here we
have natural coordinates: U = Spec k[x, y, m]/(y − mx), which we can interpret as
Spec k[x, m]. The exceptional divisor E meets U, at x = 0 (in the coordinates on U),
so we can calculate µ on this open set. Pulling back dx ∧ dy to U, we get
dx ∧ dy = dx ∧ d(xm) = m(dx ∧ dx) + x(dx ∧ dm) = x(dx ∧ dm)
as dx ∧ dx = 0. Thus π∗ (dx ∧ dy) vanishes to order 1 along E.
634 The Rising Sea: Foundations of Algebraic Geometry
22.4.Q. E XERCISE ( CF. U NIMPORTANT EXERCISE 21.7.J). Explain how this deter-
∼
mines a canonical isomorphism KX ←→ (π∗ KY )(E).
22.4.R. E XERCISE . Repeat the above calculation in dimension n. Show that the
exceptional divisor appears with multiplicity (n − 1).
22.4.S. ⋆ E XERCISE . Suppose k is perfect.
(a) Suppose Y is a surface over k, and p is a regular k-valued point, and let β : X →
Y be the blow-up of Y at p. Show that KX = ∼ (β∗ KY )(E). Hint: to find a generator
of KX near p, choose generators x and y of m/m2 (where m is the maximal ideal of
OY,p ), and lift them to elements of OX,p . Why does dx ∧ dy generate KX at p?
(b) Repeat part (a) in arbitrary dimension (following Exercise 22.4.R).
(c) Suppose Z is a smooth m-dimensional (closed) subvariety of a smooth n-dimensional
variety Y, and let β : X → Y be the blow-up of Y along Z. Show that KX = ∼
∗
(β KY )((n − m − 1)E). (Recall from Theorem 22.3.10 that X = BlZ Y is smooth.)
22.4.15. ⋆ Dimensional cohomology vanishing for quasiprojective schemes (promised
in §18.2.7).
Using the theory of blowing up, Theorem 18.2.6 (dimensional cohomology
vanishing for quasicoherent sheaves on projective k-schemes) can be extended to
quasiprojective k-schemes. Suppose X is a quasiprojective k-variety of dimension
n. We show that X may be covered by n + 1 affine open subsets. As X is quasipro-
jective, there is some projective variety Y with an open embedding X ,→ Y. By
replacing Y with the closure of X in Y, we may assume that dim Y = n. Put any
subscheme structure Z on the complement of X in Y (for example the reduced sub-
scheme structure, §9.4.9). Let Y ′ = BlZ Y. Then Y ′ is a projective variety (§22.3.1),
which can be covered by n + 1 affine open subsets. The complement of X in Y ′
is an effective Cartier divisor (EZ Y), so the restriction to X of each of these affine
open subsets of Y is also affine, by Exercise 8.3.E.
22.4.16. Remarks. (i) You might then hope that any dimension n variety can be
covered by n + 1 affine open subsets. This is not true. For each integer m, there is a
threefold that requires at least m affine open sets to cover it, see [RotV, Ex. 4.9]. By
the discussion above, this example is necessarily not quasiprojective. (ii) Here is a
fact useful in invariant theory, which can be proved in the same way. Suppose p1 ,
. . . , pn are closed points on a quasiprojective k-variety X. Then there is an affine
open subset of X containing all of them.
22.4.T. E XERCISE ( DIMENSIONAL COHOMOLOGY VANISHING FOR QUASIPROJEC -
TIVE VARIETIES ). Suppose X is a quasiprojective k-scheme of dimension d. Show
that for any quasicoherent sheaf F on X, Hi (X, F ) = 0 for i > d.
22.4.17. ⋆⋆ Deformation to the normal cone (Figure 22.3).
The following construction is key to the modern understanding of intersection
theory in algebraic geometry, as developed by Fulton and MacPherson, [F2].
22.4.U. E XERCISE : D EFORMATION TO THE NORMAL CONE . Suppose Y is a k-
variety, and X ,→ Y is a closed subscheme.
(a) Show that the exceptional divisor of β : BlX×0 (Y × A1 ) → Y × A1 is isomorphic
to the projective completion of the normal cone to X in Y.
April 1, 2023 draft 635
(b) Let π : BlX×0 (Y × A1 ) → A1 be the composition of β with the projection to A1 .
Show that π−1 (0) is the scheme-theoretic union of BlX Y with the projective com-
pletion of the normal cone to X in Y, and the intersection of these two subschemes
may be identified with EX Y, which is a closed subscheme of BlX Y in the usual way
(as the exceptional divisor of the blow-up BlX Y → Y), and a closed subscheme of
the projective completion of the normal cone as described in Exercise 9.3.O.
The map
BlX×0 (Y × A1 ) \ BlX Y / A1
is called the deformation to the normal cone (short for deformation of Y to the normal
cone of X in Y). Notice that the fiber above every k-point away from 0 ∈ A1 is
canonically isomorphic to Y, and the fiber over 0 is the normal cone. Because this
family is “nice” (more precisely, flat, the topic of Chapter 24), we can prove things
about general Y (near X) by way of this degeneration. (We will see in §24.4.10
that the deformation to the normal cone is a flat morphism, which is useful in
intersection theory.)
F IGURE 22.3. Deformation to the normal cone (§22.4.17)
Part VI
More cohomological tools
CHAPTER 23
Derived functors
Ça me semble extrêmement plaisant de ficher comme ça beaucoup de choses, pas drôles
quand on les prend séparément, sous le grand chapeau des foncteurs dérivés.
I find it very agreeable to stick all sorts of things, which are not much fun when taken
individually, together under the heading of derived functors.
— A. Grothendieck, letter to J.-P. Serre, February 18, 1955 [GrS, p. 6]
In this chapter, we discuss derived functors, introduced by Grothendieck in
his celebrated “Tôhoku article” [Gr1], and their applications to sheaves. For qua-
sicoherent sheaves on quasicompact separated schemes, derived functor cohomol-
ogy will agree with Čech cohomology (§23.5). Čech cohomology will suffice for
most of our purposes, and is quite down to earth and computable, but derived
functor cohomology is worth seeing. First, it will apply much more generally in
algebraic geometry (e.g., étale cohomology) and elsewhere, although this is be-
yond the scope of this book. Second, it will easily provide us with some useful
notions, such as the Ext functors and the Leray spectral sequence. But derived
functors can be intimidating the first time you see them, so feel free to just skim
the main results, and to return to them later.
23.1 The Tor functors
We begin with a warm-up: the case of Tor. This is a hands-on example, but if
you understand it well, you will understand derived functors in general. Tor will
be useful to prove facts about flatness, which we will discuss in §24.3. Tor is short
for “torsion” (see Remark 24.3.1).
If you have never seen this notion before, you may want to just remember its
properties. But I will prove everything anyway — it is surprisingly easy.
The idea behind Tor is as follows. Whenever we see a right-exact functor, we
always hope that it is the end of a long exact sequence. Informally, given a short
exact sequence
([Link]) 0 / N′ /N / N ′′ / 0,
639
640 The Rising Sea: Foundations of Algebraic Geometry
we hope M ⊗A N ′ → M ⊗A N → M ⊗A N ′′ → 0 will extend to a long exact
sequence
([Link])
··· / TorA ′
i (M, N )
/ TorA
i (M, N)
/ TorA ′′
i (M, N )
/ ···
/ TorA ′
1 (M, N )
/ TorA
1 (M, N)
/ TorA ′′
1 (M, N )
/ M ⊗A N ′ / M ⊗A N / M ⊗A N ′′ / 0.
i (M, ·) from A-modules to
More precisely, we are hoping for covariant functors TorA
A-modules (functoriality giving 2/3 of the morphisms in ([Link])), with TorA 0 (M, N) ≡
′′ ′
M⊗A N, and natural connecting homomorphisms δ : TorA i+1 (M, N ) → TorA
i (M, N )
for every short exact sequence ([Link]) giving the long exact sequence ([Link]).
(“Natural” means: given a morphism of short exact sequences, the natural square
you would write down involving the δ-morphism must commute.)
It turns out to be not too hard to make this work, and this will also motivate
derived functors. Let’s now define TorAi (M, N).
Take any resolution R of N by free modules:
··· / A⊕n2 / A⊕n1 / A⊕n0 /N / 0.
More precisely, build this resolution from right to left. Start by choosing generators
of N as an A-module, giving us A⊕n0 → N → 0. Then choose generators of the
kernel, and so on. Note that we are not requiring the ni to be finite (although
we could, if N is a finitely generated module and A is Noetherian). Truncate the
resolution, by stripping off the last term N (replacing → N → 0 with → 0). Then
tensor with M (which does not preserve exactness). Note that M ⊗ (A⊕ni ) =
M⊕ni , as tensoring with M commutes with arbitrary direct sums (Exercise 1.3.M).
Let TorAi (M, N)R be the homology of this complex at the ith stage (i ≥ 0). The
subscript R reminds us that our construction depends on the resolution, although
we will soon see that it is independent of R.
We make some quick observations.
• TorA ∼
0 (M, N)R = M ⊗A N, canonically. Reason: as tensoring is right-exact,
and A⊕n1 → A⊕n0 → N → 0 is exact, we have that M⊕n1 → M⊕n0 → M ⊗A
N → 0 is exact, and hence that the homology of the truncated complex M⊕n1 →
M⊕n0 → 0 is M ⊗A N.
• If M ⊗ · is exact (i.e., M is flat, §1.6.12), then TorA
i (M, N)R = 0 for all i > 0.
(This characterizes flatness, see Exercise 23.1.C.)
Now given two modules N and N ′ and resolutions R and R ′ of N and N ′ , we
can “lift” any morphism N → N ′ to a morphism of the two resolutions:
··· / A⊕ni / ··· / A⊕n1 / A⊕n0 /N /0
··· / A⊕ni′ / ··· / A⊕n1′ / A⊕n0′ / N′ /0
April 1, 2023 draft 641
We do this inductively on i. Here we use the freeness of A⊕ni : if a1 , . . . , ani are
′
generators of A⊕ni , to lift the map b : A⊕ni → A⊕ni−1 (the composition of the
′
differential A⊕ni → A⊕ni−1 with the previously constructed A⊕ni−1 → A⊕ni−1 )
′ ′ ′
to c : A⊕ni → A⊕ni , we arbitrarily lift b(aj ) from A⊕ni−1 to A⊕ni , and declare
this to be c(aj ). (Warning for people who care about such things: we are using the
Axiom of Choice here.)
Denote the choice of lifts by R → R ′ . Now truncate both complexes (remove
column N → N ′ ) and tensor with M. Maps of complexes induce maps of homol-
ogy (Exercise 1.6.D), so we have described maps (a priori depending on R → R ′ )
TorA
i (M, N)R
/ TorA ′
i (M, N )R ′ .
Recall (§1.6.6) that we say two maps of complexes f : C• → C•′ and g : C• → C•′
′
are homotopic if there is a sequence of maps w : Ci → Ci+1 such that f − g =
dw + wd. We saw that two homotopic maps give the same map on homology
(Exercise 1.6.E).
23.1.A. C RUCIAL E XERCISE . Show that any two lifts R → R ′ are homotopic.
We now pull these observations together. (Be sure to digest these completely!)
′
(1) We get a map of A-modules TorA i (M, N)R → Tori (M, N )R ′ , independent
A
′
of the lift R → R .
(2) Hence for any two resolutions R and R ′ of an A-module N, we get a
∼
canonical isomorphism TorA i (M, N)R ←→ Tori (M, N)R ′ . Here’s why. Choose
A
lifts R → R ′ and R ′ → R. The composition R → R ′ → R is homotopic to the
identity (as it is a lift of the identity map N → N). Thus if fR→R ′ : TorA
i (M, N)R →
′
′ is the map induced by R → R , and similarly fR ′ →R is the map
TorAi (M, N) R
induced by R ′ → R, then fR ′ →R ◦ fR→R ′ is the identity, and similarly fR→R ′ ◦
fR ′ →R is the identity.
(3) Hence TorA i (M, ·) doesn’t depend on the choice of resolution. It is a covari-
ant functor ModA → ModA .
23.1.1. Remark. Note that if N is a free module, then TorA
i (M, N) = 0 for all M and
all i > 0, as N has the trivial resolution 0 → N → N → 0 (it is “its own resolution”).
Finally, we get long exact sequences:
23.1.2. Proposition. — For any short exact sequence ([Link]) we get a long exact
sequence of Tor’s ([Link]).
642 The Rising Sea: Foundations of Algebraic Geometry
Proof. Given a short exact sequence ([Link]), choose resolutions of N ′ and N ′′ .
Then use these to get a resolution for N as follows.
([Link]) 0 0 0
··· / A⊕n1′ / A⊕n0′ / N′ /0
··· / A⊕(n1′ +n1′′ ) / A⊕(n0′ +n0′′ ) /N /0
··· / A⊕n1′′ / A⊕n0′′ / N ′′ /0
0 0 0
′ ′′ ′ ′′ ′ ′
The map A⊕(ni+1 +ni+1 ) → A⊕(ni +ni ) is the composition A⊕ni+1 → A⊕ni ,→
′ ′′ ′′ ′′ ′ ′′
A⊕(ni +ni ) along with a lift of A⊕ni+1 → A⊕ni to A⊕(ni +ni ) ensuring that the
middle row is a complex.
′′ ′′
23.1.B. E XERCISE . Verify that it is possible to choose such a lift of A⊕ni+1 → A⊕ni
′ ′′
to A⊕(ni +ni ) .
Hence the middle row of ([Link]) is exact (not just a complex), using the long
exact sequence in cohomology (Theorem 1.6.7), and the fact that the top and bot-
tom rows are exact. Thus the middle row is a resolution, and ([Link]) is a short
exact sequence of resolutions. (This is sometimes called the horseshoe construction,
as the filling in of the middle row looks like filling in the middle of a horseshoe.)
It may be helpful to notice that the columns other than the “N-column” are all “di-
rect sum exact sequences”, and the horizontal maps in the middle row are “block
upper triangular”.
Then truncate (removing the right column 0 → N ′ → N → N ′′ → 0), tensor
with M (obtaining a short exact sequence of complexes) and take cohomology,
yielding the desired long exact sequence. □
23.1.C. E XERCISE . Show that the following are equivalent conditions on an A-
module M.
(i) M is flat.
(ii) TorA
i (M, N) = 0 for all i > 0 and all A-modules N.
(iii) TorA
1 (M, N) = 0 for all A-modules N.
23.1.3. Caution. Given that free modules are immediately seen to be flat, you
might think that Exercise 23.1.C implies Remark 23.1.1. This would follow if we
∼
knew that TorAi (M, N) = Tori (N, M), which is clear for i = 0 (as ⊗ is symmetric),
A
but we won’t know this about Tori when i > 0 until Exercise 23.3.A.
23.1.D. E XERCISE . Show that the connecting homomorphism δ constructed above
is independent of all of choices (of resolutions, etc.). Try to do this with as little
April 1, 2023 draft 643
annoyance as possible. (Possible hint: given two sets of choices used to build
([Link]), build a map — a three-dimensional diagram — from one version of
([Link]) to the other version.)
23.1.E. U NIMPORTANT E XERCISE . Show that TorA i (M, ·) is an additive functor
(Definition 1.6.1). (We won’t use this later, so feel free to skip it.)
We have thus established the foundations of Tor.
23.2 Derived functors in general
23.2.1. Projective resolutions. We used very little about free modules in the above
construction of Tor — in fact we used only that free modules are projective, i.e.,
those modules P such that for any surjection M / / N , it is possible to lift any
morphism P → N to P → M:
([Link]) P A
A
AAA
exists
AA
A
M //N
(As noted in §23.1, this uses the axiom of choice.) Equivalently, Hom(P, ·) is an
exact functor (recall that Hom(Q, ·) is always left-exact for any Q). More gener-
ally, the same idea yields the definition of a projective object in any abelian cate-
gory. Hence by following through our entire argument with projective modules
replacing free modules throughout, (i) we can compute TorA i (M, N) by taking any
projective resolution of N, and (ii) TorAi (M, N) = 0 for any projective A-module
N.
23.2.A. E XERCISE . Show that an object P is projective if and only if every short
exact sequence 0 → Q → R → P → 0 splits. Hence show that an A-module P is
projective if and only if P is a direct summand of a free module.
23.2.B. E XERCISE . Show that projective modules are flat. Hint: Exercise 23.2.A.
Be careful if you want to use Exercise 23.1.C; see Caution 23.1.3. (In fact, finitely
generated projective modules over local rings are even free, see Remark 24.4.6.)
23.2.2. Definition: Derived functors.
The above description was low-tech, but immediately generalizes drastically.
All we are using is that M ⊗A · is a right-exact functor, and that for any A-module
N, we can find a surjection P / / N from a projective module. In general, if F
is any right-exact covariant functor from the category of A-modules to any abelian
category, this construction will define a sequence of functors Li F such that L0 F = F
and the Li F’s give a long exact sequence. We can make this more general still. We
say that an abelian category has enough projectives if for any object N there is a
surjection onto it from a projective object. Then if F is any right-exact covariant
functor from an abelian category with enough projectives to any abelian category,
then we can define the left derived functors to F, denoted Li F (i ≥ 0). You should
644 The Rising Sea: Foundations of Algebraic Geometry
reread §23.1 and see that throughout we only use the fact we have a projective
resolution (repeatedly lifting maps as in ([Link])), as well as the fact that F sends
products to products (a consequence of additivity of the functor, see Remark 1.6.2)
to show that F applied to ([Link]) preserves the exactness of the columns.
23.2.C. E XERCISE . The notion of an injective object in an abelian category is dual
to the notion of a projective object.
(a) State precisely the definition of an injective object.
(b) Define derived functors for (i) covariant left-exact functors (these are called
right derived functors), (ii) contravariant left-exact functors (also called right de-
rived functors), and (iii) contravariant right-exact functors (these are called left
derived functors), making explicit the necessary assumptions of the category hav-
ing enough injectives or projectives.
23.2.3. Notation. Recall from Definition 23.2.2 that if F is a right-exact functor, its
(left) derived functors are denoted Li F (i ≥ 0, with L0 F = F). Similarly, if F is a left-
exact functor, its (right-) derived functors are denoted Ri F. The i is a superscript,
to indicate that the long exact sequence is “ascending in i”.
23.2.4. The Ext functors.
23.2.D. E ASY E XERCISE ( AND DEFINITION ): Ext FUNCTORS FOR A- MODULES , FIRST
VERSION . As Hom(·, N) is a contravariant left-exact functor in ModA , which
has enough projectives, define ExtiA (M, N) as the ith right derived functor of
Hom(·, N), applied to M. State the corresponding long exact sequence for Ext-
modules.
23.2.E. E ASY E XERCISE ( AND DEFINITION ): Ext FUNCTORS FOR A- MODULES , SEC -
OND VERSION . The category ModA has enough injectives (see §23.2.5). As Hom(M, ·)
is a covariant left-exact functor in ModA , define ExtiA (M, N) as the ith right derived
functor of Hom(M, ·), applied to N. State the corresponding long exact sequence
for Ext-modules.
We seem to have a problem with the previous two exercises: we have defined
i
Ext (M, N) twice, and we have two different long exact sequences! Fortunately,
these two definitions of Ext agree (see Exercise 23.3.B), and two long exact se-
quences for Ext are better than one.
23.2.F. E ASY E XERCISE . Use the definition of Ext in Exercise 23.2.D to show that
if A is a Noetherian ring, and M and N are finitely generated A-modules, then
ExtiA (M, N) is a finitely generated A-module.
Ext-functors (for sheaves) will play a key role in the proof of Serre duality, see
§30.2.
23.2.5. ⋆ The category of A-modules has enough injectives. We will need the
fact that ModA has enough injectives, but the details of the proof won’t come up
again, so feel free to skip this discussion.
April 1, 2023 draft 645
23.2.G. E XERCISE . Suppose Q is an A-module, such that for every ideal I ⊂ A,
every homomorphism I → Q extends to A → Q. Show that Q is an injective A-
module. Hint: suppose N ⊂ M is an inclusion of A-modules, and we are given
β : N → Q. We wish to show that β extends to M → Q. Use the Axiom of Choice
to show that among those A-modules N ′ with N ⊂ N ′ ⊂ M, such that β extends
to N ′ , there is a maximal one. If this N ′ is not M, give an extension of β to N ′ +Am,
where m ∈ M \ N ′ , obtaining a contradiction.
23.2.H. E ASY E XERCISE ( USING THE A XIOM OF C HOICE , IN THE GUISE OF Z ORN ’ S
L EMMA ). Show that a Z-module (i.e., abelian group) Q is injective if and only if
it is divisible (i.e., for every q ∈ Q and n ∈ Z̸=0 , there is q ′ ∈ Q with nq ′ = q).
Hence show that any quotient of an injective Z-module is also injective.
23.2.I. E XERCISE . Show that the category of Z-modules ModZ = Ab has enough
injectives. (Hint: if M is a Z-module, then write it as the quotient of a free Z-
module F by some K. Show that M is contained in the divisible group (F ⊗Z Q)/K.)
23.2.J. E XERCISE . Suppose Q is an injective Z-module, and A is a ring. Show that
HomZ (A, Q) is an injective A-module. Hint: First describe the A-module structure
on HomZ (A, Q). You will only use the fact that Z is a ring, and that A is an algebra
over that ring.
23.2.K. E XERCISE . Show that ModA has enough injectives. Hint: suppose M is an
A-module. By Exercise 23.2.I, we can find an inclusion of Z-modules M ,→ Q where
Q is an injective Z-module. Describe a sequence of inclusions of A-modules
/ HomZ (A, M)
M / HomZ (A, Q).
(The A-module structure on HomZ (A, M) is via the A-action on the left argument
A, not via the A-action on the right argument M.) The right term is injective by
the previous Exercise 23.2.J.
23.2.6. ⋆ Universal δ-functors.
(This discussion is best skipped on a first reading; you should move directly
to §23.3. We won’t use the notion of δ-functors until §30.1.10.) We now describe a
more general variant of derived functors, as you may use them in the discussion
of Serre duality in Chapter 30. The advantage of the notion of universal δ-functor
is that we can apply it even in cases where A does not have enough injectives.
Abstracting key properties of derived functors, we define the data of a (coho-
mological) δ-functor, from an abelian category A to another abelian category B.
A δ-functor is a collection of additive functors T i : A → B (where T i is taken to
be 0 if i < 0), along with morphisms δi : T i (A ′′ ) → T i+1 (A ′ ) for each short exact
sequence
([Link]) 0 / A′ /A / A ′′ /0
in A , satisfying two properties:
(i) (short exact sequences yield long exact sequences) For each short exact se-
quence ([Link]), the sequence
··· / T i−1 (A ′′ ) δi−1 / T i (A ′ ) / T i (A) / T i (A ′′ ) δi / T i+1 (A ′ ) / ···
646 The Rising Sea: Foundations of Algebraic Geometry
(where the unlabeled maps come from the covariance of the T i ) is exact.
In particular, T 0 is left-exact.
(ii) (functoriality of (i)) For each morphism of short exact sequences in A
0 / a′ /a / a ′′ /0
0 / A′ /A / A ′′ /0
(where the squares commute), the δi ’s give a commutative diagram
T i (a ′′ )
δi / T i+1 (a ′ )
T i (A ′′ )
δi / T i+1 (A ′ )
(where the vertical arrows come from the covariance of T i and T i+1 ).
Derived functor cohomology is clearly an example of a δ-functor; Čech coho-
mology of sheaves on quasicompact separated schemes is another. (You can make
these statements precise if you wish.)
23.2.L. E XERCISE . Figure out the right definition of morphism of δ-functors A →
B. (It should then be clear that the δ-functors from A to B form a category.)
23.2.7. Definition. A (cohomological) δ-functor (T i , δi ) is universal if for any
other δ-functor (T ′i , δ ′i ), and any natural transformation of functors α : T 0 → T ′0 ,
there is a unique morphism of δ-functors (T i , δi ) → (T ′i , δ ′i ) extending α. By
universal property nonsense (and Exercise 23.2.L), given any covariant left-exact
functor F : A → B, there is at most one universal δ-functor (T i , δi ) extending F (i.e.,
∼
with a natural isomorphism T 0 ←→ F). The key fact about universal δ-functors is
the following.
23.2.8. Theorem. — Suppose (T i , δi ) is a covariant δ-functor from A to B, and for all
A ∈ A , there exists a monomorphism A → J with T i J = 0 for all i > 0. Then (T i , δi ) is
universal.
23.2.M. ⋆⋆ E XERCISE . Prove Theorem 23.2.8. Partial hint: motivated by Corol-
lary 23.2.10 below, follow our discussion of derived functors. Better hint (because
this exercise is hard): follow the hints in [Weib, Exercise 2.4.5], or follow the proof
of [Lan, Ch. XX, Thm. 7.1].
23.2.9. Remark. An additive functor F : A → B is said to be effaceable if for
every A ∈ A , there is a monomorphism A → J with F(J) = 0. The hypotheses
of Theorem 23.2.8 can be weakened to require only that T i is effaceable for each
i > 0, and you are welcome to prove that instead. (Indeed, [Weib, Exercise 2.4.5],
[Lan, Ch. XX, Thm. 7.1], and the original source [Gr1, II.2.2.1] deal with this case.)
We give the statement of Theorem 23.2.8 for simplicity, as we will only use this
version.
23.2.10. Corollary. — If A has enough injectives, and F is a left-exact covariant functor
A → B, then the Ri F (with the δi that accompany them) form a universal δ-functor.
April 1, 2023 draft 647
Proof. Each element of A admits a monomorphism into an injective element; this is
just the definition of “enough injectives” (Exercise 23.2.C). Higher derived functors
of an injective elements I are always 0: just compute the higher derived functor by
taking the injective resolution of I “by itself”. □
23.3 Derived functors and spectral sequences
A number of useful facts can be easily proved using spectral sequences. By
doing these exercises, you will lose any fear of spectral sequence arguments in
similar situations, as you will realize they are all the same.
Before you read this section, you should read §1.7 on spectral sequences.
23.3.1. Symmetry of Tor.
∼
23.3.A. E XERCISE ( SYMMETRY OF Tor). Show that there is an isomorphism TorA i (M, N) ←→
TorA
i (N, M). (Hint: take a free resolution of M and a free resolution of N. Take
their “product” to somehow produce a double complex. Use both orientations of
the obvious spectral sequence and see what you get.)
On a related note:
23.3.B. E XERCISE . Show that the two definitions of Exti (M, N) given in Exer-
cises 23.2.D and 23.2.E agree.
23.3.2. Derived functors can be computed using acyclic resolutions. Suppose
F : A → B is a right-exact additive functor of abelian categories, and that A has
enough projectives. (In other words, the hypotheses ensure the existence of left
derived functors of F. Analogous facts will hold with the other types of derived
functors, Exercise 23.2.C(b).) We say that A ∈ A is F-acyclic (or just acyclic if the
F is clear from context) if Li F A = 0 for i > 0.
The following exercise is a good opportunity to learn a useful trick (Hint 23.3.3).
23.3.C. E XERCISE . Show that you can also compute the derived functors of an
objects B of A using acyclic resolutions (not just projective resolutions), i.e., by
taking a resolution
··· / A2 / A1 / A0 /B /0
by F-acyclic objects Ai , truncating, applying F, and taking homology. Hence Tori (M, N)
can be computed with a flat resolution of M or N.
648 The Rising Sea: Foundations of Algebraic Geometry
23.3.3. Hint for Exercise 23.3.C (and a useful trick: building a “projective resolution of a
complex”). Show that you can construct a double complex
.. .. .. ..
([Link]) . . . .
··· / P2,1 / P1,1 / P0,1 / P1 /0
··· / P2,0 / P1,0 / P0,0 / P0 /0
··· / A2 / A1 / A0 /B /0
0 0 0 0
where the rows and columns are exact and the P? ’s are projective. Do this by
constructing the P? ’s inductively from the bottom right. Remove the bottom row,
and the right-most nonzero column, and then apply F, to obtain a new double
complex. Use a spectral sequence argument to show that (i) the double complex
has homology equal to Li F B, and (ii) the homology of the double complex agrees
with the construction given in the statement of the exercise. If this is too confusing,
read more about the Cartan-Eilenberg resolution below.
23.3.4. The Grothendieck composition-of-functors spectral sequence.
Suppose A , B, and C are abelian categories, F : A → B and G : B → C are a
left-exact additive covariant functors, and A and B have enough injectives. Thus
right derived functors of F, G, and G ◦ F exist. A reasonable question is: how are
they related?
23.3.5. Theorem (Grothendieck composition-of-functors spectral sequence). —
Suppose F : A → B and G : B → C are left-exact additive covariant functors, and
A and B have enough injectives. Suppose further that F sends injective elements of A
to G-acyclic elements of B. Then for each X ∈ A , there is a spectral sequence with
p,q
→ E2 = Rq G(Rp F(X)) converging to R• (G ◦ F)(X).
We will soon see the Leray spectral sequence as an application (Theorem 23.4.5).
There is more one might want to extract from the proof of Theorem 23.3.5. For
example, although E0 page of the spectral sequence will depend on some choices
(of injective resolutions), the E2 page will be independent of choice. For our appli-
cations, we won’t need this refinement.
We will have to work to establish Theorem 23.3.5, so the proof is possibly best
skipped on a first reading.
23.3.6. ⋆ Proving Theorem 23.3.5.
Before we give the proof (in §23.3.8), we begin with some preliminaries to mo-
tivate it. In order to discuss derived functors applied to X, we choose an injective
April 1, 2023 draft 649
resolution of X:
0 /X / I0 / I1 / ··· .
To compute the derived functors Rp F(X), we apply F to the injective resolution I• :
0 / F(I0 ) / F(I1 ) / F(I2 ) / ··· .
Note that F(Ip ) is G-acyclic, by hypothesis of Theorem 23.3.5. If we were to follow
our nose, we might take simultaneous injective resolutions I•,• of the terms in the
above complex F(I• ) (the “dual” of Hint 23.3.3 — note that only the columns are
required to be exact), and apply G, and consider the resulting double complex:
.. .. ..
([Link]) .O .O .O
0 / G(I0,2 ) / G(I1,2 ) / G(I2,2 ) / ···
O O O
0 / G(I0,1 ) / G(I1,1 ) / G(I2,1 ) / ···
O O O
0 / G(I0,0 ) / G(I1,0 ) / G(I2,0 ) / ···
O O O
0 0 0
23.3.D. E XERCISE . Consider the spectral sequence with upward orientation, start-
ing with ([Link]) as page E0 . Show that Ep,q
2 is Rp (G ◦ F)(X) if q = 0, and 0
otherwise.
We now see half of the terms in the conclusion of Theorem 23.3.5; we are
halfway there. To complete the proof, we would want to consider another spectral
sequence, with rightward orientation, but we need to know more about ([Link]);
we will build it more carefully.
23.3.7. Cartan-Eilenberg resolutions.
650 The Rising Sea: Foundations of Algebraic Geometry
Suppose · · · → Cp−1 → Cp → Cp+1 → · · · is a complex in an abelian category
B. We will build an injective resolution of C•
.. .. ..
([Link]) .O .O .O
0 / I0,2 / I1,2 / I2,2 / ···
O O O
0 / I0,1 / I1,1 / I2,1 / ···
O O O
0 / I0,0 / I1,0 / I2,0 / ···
O O O
0 / C0 / C1 / C2 / ···
O O O
0 0 0
satisfying some further properties.
We first define some notation for functions on a complex.
• Let Zp (K• ) be the kernel of the pth differential of a complex K• .
• Let Bp+1 (K• ) be the image of the pth differential of a complex K• . (The
superscript is chosen so that Bp+1 (K• ) ⊂ Kp+1 .)
• As usual, let Hp (K• ) be the cohomology at the pth step of a complex K• .
For each p, we have complexes
.. .. ..
([Link]) .O .O .O
Zp (I•,1 ) Bp (I•,1 ) Hp (I•,1 )
O O O
Zp (I•,0 ) Bp (I•,0 ) Hp (I•,0 )
O O O
Zp (C• ) Bp (C• ) Hp (C• )
O O O
0 0 0
We will construct ([Link]) so that the three complexes ([Link]) are all injective
resolutions (of their first nonzero terms). We begin by choosing injective resolu-
tions Bp,∗ of Bp (C• ) and Hp,∗ of Hp (C• ); these will eventually be the last two lines
of ([Link]).
April 1, 2023 draft 651
23.3.E. E XERCISE . Describe an injective resolution Zp,∗ of Zp (C• ) (the first line of
([Link])) making the following diagram a short exact sequence of complexes.
.. .. ..
([Link]) .O .O .O
0 / Bp,1 / Zp,1 / Hp,1 /0
O O O
0 / Bp,0 / Zp,0 / Hp,0 /0
O O O
0 / Bp (C• ) / Zp (C• ) / Hp (C• ) /0
O O O
0 0 0
Hint: the “dual” problem was solved in ([Link]), by a “horseshoe construction”.
23.3.F. E XERCISE . Describe an injective resolution Ip,∗ of Cp making the following
diagram a short exact sequence of complexes.
.. .. ..
([Link]) .O .O .O
0 / Zp,1 / Ip,1 / Bp+1,1 /0
O O O
0 / Zp,0 / Ip,0 / Bp+1,0 /0
O O O
0 / Zp (C• ) / Cp / Bp+1 (C• ) /0
O O O
0 0 0
(The hint for the previous problem applies again. We remark that the bottom
nonzero rows of ([Link]) and ([Link]) appeared in ([Link]).)
23.3.G. E XERCISE /D EFINITION . Build an injective resolution ([Link]) of C• such
that Zp,∗ = Zp (I•,∗ ), Bp,∗ = Bp (I•,∗ ), Hp,∗ = Hp (I•,∗ ), so the three complexes
([Link]) are injective resolutions. This is called a Cartan-Eilenberg resolution of
C• .
23.3.8. Proof of the Grothendieck spectral sequence, Theorem 23.3.5. We pick up where
we left off before our digression on Cartan-Eilenberg resolutions. Choose an injec-
tive resolution I• of X. Apply the functor F, then take a Cartan-Eilenberg resolution
I•,• of FI• , and then apply G, to obtain ([Link]).
652 The Rising Sea: Foundations of Algebraic Geometry
Exercise 23.3.D describes what happens when we take ([Link]) as E0 in a
spectral sequence with upward orientation. So we now consider the rightward
orientation.
From our construction of the Cartan-Eilenberg resolution, we have injective
resolutions ([Link]), and short exact sequences
([Link]) 0 / Bp (I•,q ) / Zp (I•,q ) / Hp (I•,q ) /0
([Link]) 0 / Zp (I•,q ) / Ip,q / Bp+1 (I•,q ) /0
of injective objects (from the columns of ([Link]) and ([Link])). This means that
both are split exact sequences (the central term can be expressed as a direct sum of
the outer two terms), so upon application of G, both exact sequences remain exact.
Applying the left-exact functor G to
0 / Zp (I•,q ) / Ip,q / Ip+1,q ,
we find that GZp (I•,q ) = ker(GIp,q → GIp+1,q ). But this kernel is the definition
of Zp (GI•,q ), so we have an induced isomorphism GZp (I•,q ) = Zp (GI•,q ) (“G
and Zp commute”). From the exactness of ([Link]) upon application of G, we see
that GBp+1 (I•,q ) = Bp+1 (GI•,q ) (both are coker(GZp (I•,q ) → GIp,q )). From the
exactness of ([Link]) upon application of G, we see that GHp (I•,q ) = Hp (GI•,q )
(both are coker(GBp (I•,q ) → GZp (I•,q )) — so “G and Hp commute”).
We return to considering the rightward-oriented spectral sequence with ([Link])
as E0 . Taking cohomology in the rightward direction, we find Ep,q
1 = Hp (GI•,q ) =
p •,q p p •,q
GH (I ) (as G and H commute). Now H (I ) is an injective resolution of
(Rp F)(X) (the last resolution of ([Link])). Thus when we compute E2 by using the
vertical arrows, we find Ep,q
2 = Rq G(Rp F(X)).
You should now verify yourself that this (combined with Exercise 23.3.D) con-
cludes the proof of Theorem 23.3.5. □
23.4 Derived functor cohomology of O-modules
We wish to apply the machinery of derived functors to define cohomology of
quasicoherent sheaves on a scheme X. Rather than working in the category QCohX ,
for a number of reasons it is simpler to work in the larger category ModOX (but see
Unimportant Remark 23.5.7).
23.4.1. Theorem. — Suppose (X, OX ) is a ringed space. Then the category of OX -
modules ModOX has enough injectives.
As a side benefit (of use to others more than us), taking OX = Z, we see that
the category of sheaves of abelian groups on a fixed topological space have enough
injectives.
April 1, 2023 draft 653
23.4.2. Proof. We prove Theorem 23.4.1 in a series of exercises, following Gode-
ment, [GrS, p. 27-28]. Suppose F is an OX -module. We will exhibit an injec-
tion F ,→ Q ′ into an injective OX -module. For each p ∈ X, choose an inclu-
sion Fp ,→ Qp into an injective OX,p -module (possible as the category of OX,p -
modules has enough injectives, Exercise 23.2.K).
23.4.A. E XERCISE . Show that the skyscraper sheaf Qp := ip,∗ Qp , with module
Qp at point p ∈ X, is an injective OX -module. (You can cleverly do this by abstract
nonsense, using Exercise 23.5.B, but it is just as quick to do it by hand.)f
23.4.B. E ASY E XERCISE . Show that the direct product (possibly infinite) of injec-
tive objects in an abelian category is also injective.
∏
By the previous two exercises, Q ′ := p∈X Qp is an injective OX -module.
23.4.C. E ASY E XERCISE . By considering stalks, show that the natural map F →
Q ′ is an injection.
This completes the proof of Theorem 23.4.1. □
We can now make a number of definitions.
23.4.3. Definition. If (X, OX ) is a ringed space, and F is an OX -module, define
Hi (X, F ) as Ri Γ (X, F ). If furthermore π : (X, OX ) → (Y, OY ) is a map of ringed
spaces, we have higher pushforwards (or derived pushforwards) Ri π∗ : ModOX →
ModOY .
We have defined these notions earlier in special cases, for quasicoherent sheaves
on quasicompact separated schemes (for Hi ), or for quasicompact separated mor-
phisms of schemes (for Ri π∗ ), in Chapter 18. We will soon (§23.5) show that these
older definitions agree with Definition 23.4.3. Thus the derived functor definition
applies much more generally than our Čech definition. But it is worthwhile to note
that almost everything we use will come out of the Čech definition. A notable ex-
ception is the Leray spectral sequence, which we now discuss.
23.4.4. The Leray spectral sequence.
23.4.5. Theorem (Leray spectral sequence). — Suppose π : (X, OX ) → (Y, OY ) is a
morphism of ringed spaces. For any OX -module F , there is a spectral sequence with E2
term given by Hq (Y, Rp π∗ F ) abutting to Hp+q (X, F ).
This is an immediate consequence of the Grothendieck composition-of-functors
spectral sequence (Theorem 23.3.5) once we prove that the pushforward of an in-
jective O-module is an acyclic O-module. We do this now.
23.4.6. Definition. We make an intermediate definition that is independently im-
portant. A sheaf F on a topological space is flasque (also sometimes called flabby)
if all restriction maps are surjective, i.e., if resU⊂V : F (V) → F (U) is surjective for
all U ⊂ V.
23.4.D. E XERCISE . Suppose (X, OX ) is a ringed space.
(a) Show that if
([Link]) 0 / F′ /F / F ′′ /0
654 The Rising Sea: Foundations of Algebraic Geometry
is an exact sequence of OX -modules, and F ′ is flasque, then ([Link]) is exact on
sections over any open set U, i.e. 0 / F ′ (U) / F (U) / F ′′ (U) /0
is exact.
(b) Given an exact sequence ([Link]), if F ′ is flasque, show that F is flasque if
and only if F ′′ is flasque.
23.4.E. E ASY E XERCISE ( PUSHFORWARD OF FLASQUES ARE FLASQUE ).
(a) Suppose π : X → Y is a continuous map of topological spaces, and F is a flasque
sheaf of sets on X. Show that π∗ F is a flasque sheaf on Y.
(b) Suppose π : (X, OX ) → (Y, OY ) is a morphism of ringed spaces, and F is a
flasque OX -module. Show that π∗ F is a flasque OY -module.
23.4.7. Extension by zero, an occasional left adjoint to the inverse image functor. In
order to prove that injective sheaves are flasque (Exercise 23.4.H), we introduce
the “extension by zero” functor. In addition to always being a left adjoint, π−1 can
sometimes be a right adjoint, when π is an inclusion of an open subset. Suppose
i : U ,→ Y is an inclusion of an open set into Y. Define the extension of i by
zero i! : ModOU → ModOY as follows. Suppose F is an OU -module. For open
pre
W ⊂ Y, define (i! F )(W) = F (W) if W ⊂ U, and 0 otherwise (with the obvious
pre
restriction maps). This is clearly a presheaf OY -module. Define i! as (i! )sh . Note
that i! F is an OY -module, and that this defines a functor. (The symbol “!” is read
as “shriek”, presumably because people shriek when they see it. Thus “i! ” is read
as “i-lower-shriek”.)
pre
23.4.F. E XERCISE . Show that i! F satisfies the identity axiom, but need not be
a sheaf. (We won’t need this, but it may give some insight into why this is called
“extension by zero”. Possible source for an example: continuous functions on R.)
23.4.G. E XERCISE .
(a) For q ∈ Y, show that (i! F )q = Fq if q ∈ U, and 0 otherwise.
(b) Show that i! is an exact functor.
(c) If G is an OY -module, describe an inclusion i! i−1 G ,→ G . (Interesting remark
we won’t need: Let Z be the complement of U, and j : Z → Y the natural inclusion.
Then there is a short exact sequence
0 / i! i−1 G /G / j∗ j−1 G / 0.
This is best checked by describing the maps, then checking exactness at stalks.)
(d) Show that (i! , i−1 ) is an adjoint pair, so there is a natural bijection
∼
HomOY (i! F , G ) o / HomO (F , G |U )
U
for any OU -module F and OY -module G . (In particular, the sections of G over U
can be identified with HomOY (i! OU , G ).)
We are ready to use the tool of the extension by zero functor.
23.4.H. E XERCISE ( INJECTIVE SHEAVES ARE FLASQUE ). Suppose (X, OX ) is a
ringed space, and Q is an injective OX -module. Show that Q is flasque. Hint:
If U ⊂ V ⊂ X, then describe an injection of OX -modules 0 → (iU )! OU → (iV )! OV ,
where iU : U ,→ X and iV : V ,→ X are the obvious open embeddings. Apply the
exact contravariant functor Hom(·, Q).
April 1, 2023 draft 655
23.4.I. E XERCISE ( FLASQUE IMPLIES Γ - ACYCLIC ). Suppose F is a flasque OX -
module. Show that F is Γ -acyclic (that Hi (X, F ) = 0 for i > 0, §23.3.2) as follows.
As ModOX has enough injectives, choose an inclusion of F into some injective I ,
and call its cokernel G :
0 /F /I /G / 0.
Then I is flasque by Exercise 23.4.H, so G is flasque by Exercise 23.4.D(b). Take the
long exact sequence in (derived functor) cohomology, and show that H1 (X, F ) = 0.
Your argument works for any flasque sheaf F , so H1 (X, G ) = 0 as well. Show that
H2 (X, F ) = 0. Turn this into an induction.
Thus if π : X → Y is a morphism of ringed spaces, and I is an injective OX -
module, then I is flasque (Exercise 23.4.H), so π∗ I is flasque (Exercise 23.4.E(b)),
so π∗ I is acyclic for the functor Γ (Exercise 23.4.I), so this completes the proof of
the Leray spectral sequence (Theorem 23.4.5). □
23.4.J. E XERCISE . Extend the Leray spectral sequence (Theorem 23.4.5) to deal
with a composition of higher pushforwards for
(X, OX )
π / (Y, OY ) ρ
/ (Z, OZ ).
23.4.8. ⋆⋆ The category of OX -modules on a ringed space need not have enough
projectives. In contrast to Theorem 23.4.1, the category of OX -modules on a
ringed space need not have enough projectives. For example, let X be P1k with the
Zariski-topology (in fact we will need very little about X — only that it is not an
Alexandrov space), but take OX to be the constant sheaf Z. We will see that ModOX
— i.e., the category of sheaves of abelian groups on X — does not have enough
projectives. If ModOX had enough projectives, then there would be a surjection
ψ : P → Z from a projective sheaf. Fix a closed point q ∈ X. We will show that the
map on stalks ψq : Pq → Zq is the zero map, contradicting the surjectivity of ψ.
For each open subset U of X, denote by ZU the extension by zero from U to X of
the constant sheaf with values in Z (§23.4.7 — ZU (V) = Z if V ⊂ U, and ZU (V) = 0
otherwise). For each open neighborhood V of q, let W be a strictly smaller open
neighborhood. Consider the surjection ZX−q ⊕ ZW → Z. By projectivity of P, the
surjection ψ lifts to P → ZX−q ⊕ ZW . The map P(V) → Z(V) factors through
ZX−q (V) ⊕ ZW (V) = 0, and hence must be the zero map. Thus the map ψq : Pq →
Zq map is zero as well (Do you see why?) as desired.
23.5 Čech cohomology and derived functor cohomology agree
We next prove that Čech cohomology and derived functor cohomology agree,
where the former is defined.
23.5.1. Theorem. — Suppose X is a quasicompact separated scheme, and F is a quasico-
herent sheaf. Then the Čech cohomology of F agrees with the derived functor cohomology
of F .
656 The Rising Sea: Foundations of Algebraic Geometry
This statement is not as precise as it should be. We would want to know that
this isomorphism is functorial in F , and that it respects long exact sequences (so
the connecting homomorphism defined for Čech cohomology agrees with that for
derived functor cohomology). There is also an important extension to higher push-
forwards. We leave these issues for the end of this section, §23.5.5
In case you are curious: so long as it is defined appropriately, Čech cohomol-
ogy agrees with derived functor cohomology in a wide variety of circumstances
outside of scheme theory (if the underlying topological space is paracompact), but
not always (see [Gr1, §3.8] for a counterexample). Remark 23.5.6 is also related.
The central idea in the proof (albeit with a twist) is a spectral sequence argu-
ment in the same style as those of §23.3, and uses two “cohomology-vanishing”
ingredients, one for each orientation of the spectral sequence.
(A) If (X, OX ) is a ringed space, Q is an injective OX -module, and X = ∪i Ui is
a finite open cover, then Q has no ith Čech cohomology with respect to this cover
for i > 0.
(B) If X is an affine scheme, and F is a quasicoherent sheaf on X, then (Ri Γ )(F ) =
0 for i > 0.
Translation: (A) says that building blocks of derived functor cohomology have
no Čech cohomology, and (B) says that building blocks of Čech cohomology have
no derived functor cohomology.
23.5.A. P RELIMINARY E XERCISE . Suppose (X, OX ) is a ringed space, Q is an
injective O-module, and i : U ,→ X is an open subset. Show that Q|U is injective
on U. Hint: use the fact that i−1 has an exact left adjoint i! (extension by zero), see
§23.4.7, and the following diagrams.
0 /A /B 0 / i! A / i! B
} ?
| ?
Q|U Q
In the course of Exercise 23.5.A, you will have proved the following fact, which
we shall use again in Exercise 30.3.C. (You can also use it to solve Exercise 23.4.A.)
23.5.B. E XERCISE ( RIGHT ADJOINTS TO EXACT FUNCTORS PRESERVE INJECTIVES ).
Show that if (F, G) is an adjoint pair of additive functors between abelian cate-
gories, and F is exact, then G sends injective elements to injective elements.
23.5.2. Proof of Theorem 23.5.1, assuming (A) and (B). As with the facts proved in
§23.3, we take the only approach that is reasonable: we choose an injective resolu-
tion 0 → F → Q• of F and a Čech cover of X, mix these two types of information
in a double complex, and toss it into our spectral sequence machine (§1.7). More
precisely, choose a finite affine open cover X = ∪i Ui and an injective resolution
0 /F / Q0 / Q1 / ··· .
April 1, 2023 draft 657
Consider the double complex
.. .. .. ..
([Link]) .O .O .O .O
0O / ⊕i Q2 (Ui ) / ⊕i,j Q2 (Uij ) / ⊕i,j,k Q2 (Uijk ) / ···
O O O
0O / ⊕i Q1 (Ui ) / ⊕i,j Q1 (Uij ) / ⊕i,j,k Q1 (Uijk ) / ···
O O O
0O / ⊕i Q0 (Ui ) / ⊕i,j Q0 (Uij ) / ⊕i,j,k Q0 (Uijk ) / ···
O O O
0 /0 /0 /0 / ···
We take this as the E0 term in a spectral sequence. First, we use the rightward
filtration. As higher Čech cohomology of injective O-modules is 0 (assumption
(A)), we get 0’s everywhere except in “column 0”, where we get Qi (X) in row i:
.. .. .. ..
.O .O .O .O
0O Q2 (X) 0O 0O ···
O
0O Q1 (X) 0O 0O ···
O
0O Q0 (X) 0O 0O ···
O
0 0 0 0
658 The Rising Sea: Foundations of Algebraic Geometry
Then we take cohomology in the vertical direction, and we get derived functor
cohomology of F on X on the E2 page:
.. .. .. ..
. . . .
0 Z5 R2 Γ (X, F ) 0V- 0 ···
55 Z55 --
55 55 --
55 55 --
55 55
5 5 -
0 Z5 5R Γ (X, F ) 55
1
0V- -- 0 ···
55 555 5
Z 55 55 -- --
55 5 5 55 - -
55 55 555 55 -- --
55 -
0 55 Γ (X, F ) 555 --
-- 0 ···
55 55 0
55 55 --
55 55 --
0 0 0
We then start over on the E0 page, and this time use the filtration corresponding
to choosing the upward arrow first. By Proposition 23.5.A, Qi |UJ is injective on
UJ , so we are computing the derived functor cohomology of F on UJ . Then the
higher derived functor cohomology of F on UJ is 0 (assumption (B)), so all entries
are 0 except possibly on row 0. Thus the E1 term is:
([Link])
0 /0 /0 /0 / ···
0 /0 /0 /0 / ···
0 / ⊕i Γ (Ui , F ) / ⊕i,j Γ (Uij , F ) / ⊕i,j,k Γ (Uijk , F ) / ···
0 /0 /0 /0 / ···
Row 0 is precisely the Čech complex of F , so the spectral sequence converges at
the E2 term, yielding the Čech cohomology. Since one orientation yields derived
functor cohomology and one yields Čech cohomology, we are done. □
So it remains to show (A) and (B).
23.5.3. Ingredient (A): injectives have no Čech cohomology.
23.5.C. E XERCISE . Suppose X = ∪j Uj is a finite cover of X by open sets, and
F is a flasque sheaf (Definition 23.4.6) on X. Show that the Čech complex for F
with respect to ∪n
j=1 Uj has no cohomology in positive degree, i.e., that it is exact
except in degree 0 (where it has cohomology F (X), by the sheaf axioms). Hint:
use induction on n. Consider the short exact sequence of complexes ([Link]) (see
April 1, 2023 draft 659
also ([Link])). The corresponding long exact sequence will immediately give the
desired result for i > 1, and flasqueness will be used for i = 1.
Thus flasque sheaves have no Čech cohomology, so injective O-modules in
particular (Exercise 23.4.H) have none. This is all we need for our algebro-geometric
applications, but to show you how general this machinery is, we give an entertain-
ing application.
23.5.D. U NIMPORTANT E XERCISE ( PERVERSE PROOF OF INCLUSION - EXCLUSION
THROUGH COHOMOLOGY OF SHEAVES ). The inclusion-exclusion principle is
(equivalent to) the following: suppose that X is a finite set, and Ui (1 ≤ i ≤ n)
are finite sets covering X. As usual, define UI = ∩i∈I Ui for I ⊂ {1, . . . , n}. Then
∑ ∑ ∑ ∑
|X| = |Ui | − |U|I| | + |U|I| | − |U|I| | + · · · .
|I|=2 |I|=3 |I|=4
Prove this by endowing X with the discrete topology, showing that the constant
sheaf Q is flasque, considering the Čech complex computing Hi (X, Q) using the
cover {Ui }, and using Exercise 1.6.B.
23.5.4. ⋆ Ingredient (B): quasicoherent sheaves on affine schemes have no de-
rived functor cohomology.
We show the following statement by induction on k. Suppose X is an affine
scheme, and F is a quasicoherent sheaf on X. Then Ri Γ (X, F ) = 0 for 0 < i ≤ k.
The result is vacuously true for k = 0; so suppose we know the result for all
0 < k ′ < k (with X replaced by any affine scheme). Suppose α ∈ Rk Γ (X, F ). We
wish to show that α = 0. Choose an injective resolution by OX -modules
..
.O
d1
QO 1
d0
QO 0
FO
0
Then α has a representative α in Qk (X) = Γ (X, Qk ), such that dα ′ = 0. Because
′
the injective resolution is exact, α ′ is locally a boundary. In other words, in the
open neighborhood of any point p ∈ X, there is an open set Vp such that α|Vp =
dα ′ for some α ′ ∈ Qk−1 (Vp ). (Be sure you see why this is true! Recall that taking
cokernel of a map of sheaves requires sheafification, see Proposition 2.6.1.) By
shrinking Vp if necessary, we can assume Vp is affine. By the quasicompactness
of X, we can choose a finite number of the Vp ’s that cover X. Rename these as Ui ,
so we have an affine cover X. Consider the Čech cover of X with respect to this
660 The Rising Sea: Foundations of Algebraic Geometry
affine cover (not the affine cover you might have thought we would use — that of
X by itself — but instead an affine cover tailored for our particular α). Consider
the double complex ([Link]), as the E0 term in a spectral sequence.
First consider the rightward orientation. As in the argument in §23.5.2, the
spectral sequence converges at E2 , where we get 0 everywhere, except that the
derived functor cohomology appears in the 0th column.
Next, start over again, choosing the upward filtration. On the E1 page, row
0 is the Čech complex, as in ([Link]). All the rows between 1 and k − 1 are 0
by our inductive hypothesis, but we don’t yet know anything about the higher
rows. Because we are interested in the kth derived functor, we focus on the kth
antidiagonal (Ep,k−p
• ). The only possibly nonzero terms in this antidiagonal
∏ are
Ek,0
1 and E0,k
1 . We look first at the term on the bottom row Ek,0
1 = |I|=k Γ (UI , F ),
which is part of the Čech complex:
··· /∏ Γ (UI , F ) /∏ Γ (UI , F ) /∏ Γ (UI , F ) / ··· .
|I|=k−1 |I|=k |I|=k+1
But we have already verified that the Čech cohomology of a quasicoherent sheaf
on an affine scheme vanishes — this is the one spot where we use the quasicoher-
ence of F . Thus this term vanishes by the E2 page (i.e., Ek,0
i = 0 for i ≥ 2).
So the only term of interest in the kth antidiagonal of E1 is E0,k
1 , which is the
homology of
∏ / ∏ Qk (Ui ) / ∏ Qk+1 (Ui ),
([Link]) i Qk−1 (Ui ) i i
∏
which is i Rk Γ (Ui , F ) (using Preliminary Exercise 23.5.A which stated that the
Qj |Ui are injective on Ui , so they can be used to compute Rk (Γ (Ui , F )). So E0,k
2 is
the homology of
0 / ∏ Rk Γ (Ui , F ) /∏ Rk Γ (Uij , F )
i i,j
and thereafter all differentials to and from the E0,k
• terms will be 0, as the sources
and targets of those arrows
∏ k will be 0. Consider now our lift of α ′ of our original
class α ∈ R Γ (X, F ) to i R Γ (Ui , F ). Its image in the homology of ([Link]) is
k
zero — this was how we chose our cover Ui to begin with! Thus α = 0 as desired,
completing our proof. □
23.5.E. ⋆⋆ E XERCISE . The proof is not quite complete. We have a class α ∈
Rk Γ (X, F ), and we have interpreted Rk Γ (X, F ) as
(∏ )
/ ∏ Rk Γ (Uij , F ) .
i R Γ (Ui , F )
k
ker i,j
We have two maps Rk Γ (X, F ) → Rk Γ (Ui , F ), one coming from the natural restric-
tion (under which we can see that the image of α is zero), and one coming from the
actual spectral sequence machinery. Verify that they are the same map. (Possible
hint: with the filtration used, the E0,k
∞ term is indeed the quotient of the homology
of the double complex, so the map goes the right way.)
23.5.5. ⋆ Tying up loose ends.
April 1, 2023 draft 661
23.5.F. I MPORTANT E XERCISE . State and prove the generalization of Theorem 23.5.1
to higher pushforwards Ri π∗ , where π : X → Y is a quasicompact separated mor-
phism of schemes.
23.5.G. E XERCISE . Show that the isomorphism of Theorem 23.5.1 is functorial in
F , i.e., given a morphism F → G , the diagram
Hi (X, F ) o / Ri Γ (X, F )
Hi (X, G ) o / Ri Γ (X, G )
commutes, where the horizontal arrows are the isomorphisms of Theorem 23.5.1,
and the vertical arrows come from functoriality of Hi and Ri Γ . (Hint: “spectral
sequences are functorial in E0 ”, which can be easily seen from the construction, al-
though we haven’t said it explicitly. See §1.7.7, which remarks on the functoriality
of spectral sequences.)
23.5.H. E XERCISE . Show that the isomorphisms of Theorem 23.5.1 induce isomor-
phisms of long exact sequences.
23.5.6. Remark. If you wish, you can use the above argument to prove the fol-
lowing theorem of Leray. Suppose we have a sheaf of abelian groups F on a
topological space X, and some covering {Ui } of X such that the (derived functor)
cohomology of F in positive degree vanishes on every finite intersection of the
Ui . Then the cohomology of F can be calculated by the Čech cohomology of the
cover {Ui }; there is no need to pass to the colimit of all covers, as is the case for
Čech cohomology in general.
23.5.7. Unimportant Remark: Working in QCohX rather than ModOX . In our definition
of derived functors of quasicoherent sheaves on X, we could have tried to work
in the category of quasicoherent sheaves QCohX itself, rather than in the larger
category ModOX . There are several reasons why this would require more effort.
It is not hard to show that QCohX has enough injectives if X is Noetherian (see
for example [Ha1, Exer. III.3.6(a)]). Because we don’t have “extension by zero”
(§23.4.7) in QCoh, the proofs that injective quasicoherent sheaves on an open set U
restrict to injective quasicoherent sheaves on smaller open subsets V (the analog of
Exercise 23.5.A) and that injective quasicoherent sheaves are flasque (the analog of
Exercise 23.4.H) are harder. You can use this to show that Hi and Ri π∗ computed
in QCoh are the same as those computed in ModO (once you make the statements
precise). It is true that injective elements of QCohX (X Noetherian) are injective in
ModOX , but this requires work (see [Mur, Prop. 68]).
It is true that QCohX has enough injectives for any scheme X, but this is much
harder, see [EE]. And as is clear from the previous paragraph, “enough injectives”
is only the beginning of what we want.
23.5.8. Unimportant Remark. Theorem 23.5.1 implies that if π : X → Y is quasicom-
pact and separated, then Ri π∗ sends QCohX to QCohY (by showing an isomorphism
with Čech cohomology). If X and Y are Noetherian, the hypothesis “separated” can
be relaxed to “quasiseparated”, using the ideas of Unimportant Remark 23.5.7. But
662 The Rising Sea: Foundations of Algebraic Geometry
because morphisms from a Noetherian scheme are automatically quasiseparated
(Easy Exercise 8.3.B(b)), we can then remove the redundant “quasiseparated” as-
sumption. This sounds exciting, but it is not nearly as useful as the separated case,
because without Čech cohomology, it is hard to compute anything.
CHAPTER 24
Flatness
The concept of flatness is a riddle that comes out of algebra, but which technically is
the answer to many prayers.
— D. Mumford [Mu7, III.10]
It is a riddle, wrapped in a mystery, inside an enigma; but perhaps there is a key.
— W. Churchill [Ch]
24.1 Introduction
We come next to the important concept of flatness (first introduced in §14.5.8).
We could have discussed flatness at length as soon as we had discussed quasico-
herent sheaves and morphisms. But it is an unexpected idea, and the algebra and
geometry are not obviously connected, so we have left it for relatively late. “Ex-
act” seems more descriptive terminology than “flat” (so we would have “exact
modules” and “exact morphisms”), but this has not caught on.
Serre has stated that he introduced flatness purely for reasons of algebra in his
landmark “GAGA” paper [Se3], and that it was Grothendieck who recognized its
geometric significance.
A flat morphism π : X → Y is the right notion of a “nice”, or “nicely varying”
family over Y. For example, if π is a projective flat family over a connected Noe-
therian base (translation: π : X → Y is a projective flat morphism, with Y connected
and Noetherian), we will see that various numerical invariants of fibers are con-
stant, including the dimension (§24.5.7), and numbers interpretable in terms of an
Euler characteristic (see §24.7):
(a) the Hilbert polynomial (Corollary 24.7.2),
(b) the degree (in projective space) (Exercise 24.7.B(a)),
(b’) (as a special case of (b)) if π is finite, the degree of π (recovering and
extending the fact that the degree of a projective map between regular
curves is constant, §16.3.4, see Exercise 24.4.G and §24.4.12),
(c) the arithmetic genus (Exercise 24.7.B(b)),
(d) the degree of a line bundle if the fiber is a curve (Corollary 24.7.3), and
(e) intersections of divisors and line bundles (Exercise 24.7.D).
One might think that the right hypothesis might be smoothness, or more gener-
ally some sort of equisingularity, but we only need something weaker. And this
is a good thing: branched covers are not fibrations in any traditional sense, yet
they still behave well — the double cover A1 → A1 given by y 7→ x2 has constant
degree 2 (§10.3.4, revisited in §16.3.9). Another key example is that of a family of
smooth curves degenerating to a nodal curve (Figure 24.1) — the topology of the
663
664 The Rising Sea: Foundations of Algebraic Geometry
(underlying analytic) curve changes, but the arithmetic genus remains constant.
One can prove things about regular curves by first proving them about a nodal
degeneration, and then showing that the result behaves well in flat families. De-
generation techniques such as this are ubiquitous in algebraic geometry.
F IGURE 24.1. A flat family of smooth curves degenerating to a
nodal curve: y2 = x3 + x2 + tx.
Given the cohomological nature of the constancy of Euler characteristic result,
you should not be surprised that the hypothesis needed (flatness) is cohomological
in nature — it can be characterized by vanishing of Tor (Exercise 23.1.C), which we
use to great effect in §24.3.
But flatness is important for other reasons too. As a start: as this is the right
notion of a “nice family”, it allows us to correctly define the notion of moduli space.
For example, the Hilbert scheme of Pn “parametrizes closed subschemes of Pn ”.
Maps from a scheme B to the Hilbert scheme correspond to (finitely presented)
closed subschemes of Pn B flat over B. By universal property nonsense, this defines
the Hilbert scheme up to unique isomorphism (although we of course must show
that it exists, which takes some effort — see Theorem 26.3.1 for more). The moduli
space of smooth projective curves is defined by the universal property that maps to
the moduli space correspond to projective flat (finitely presented) families whose
geometric fibers are smooth curves. (Sadly, this moduli space does not exist...) On
a related note, flatness is central in deformation theory: it is key to understanding
how schemes (and other geometric objects, such as vector bundles) can deform
(cf. §21.5.12). Finally, the notion of Galois descent generalizes to (faithfully) “flat
descent”, which allows us to “glue” in more exotic Grothendieck topologies in the
same way we do in the Zariski topology (or more classical topologies); but this is
beyond the scope of our current discussion.
Happy families are all alike; every unhappy family is unhappy in its own way. (See,
for example, Figure 24.2, and Exercises 24.2.G(d), 24.2.K, and 24.4.H.)
— L. Tolstoy, Anna Karenina, [To, l. 1]
24.1.1. Structure of the chapter.
Flatness has many aspects of different flavors, and it is easy to lose sight of
the forest for the trees. Because the algebra of flatness seems so unrelated to the
geometry, it can be nonintuitive. We will necessarily begin with algebraic founda-
tions, but you should focus on the following points: methods of showing things
are flat (both general criteria and explicit examples), and classification of flat mod-
ules over particular kinds of rings. You should try every exercise dealing with
explicit examples such as these.
April 1, 2023 draft 665
Here is an outline of the chapter, to help focus your attention.
• In §24.2, we discuss some of the easier facts, which are algebraic in nature.
• §24.3, §24.4, and §24.6 give ideal-theoretic criteria for flatness. §24.3 and
§24.4 should be read together. The first uses Tor to understand flatness,
and the second uses these insights to develop ideal-theoretic criteria for
flatness. §24.6, on local criteria for flatness, is harder.
• §24.5 is relatively free-standing, and could be read immediately after §24.2.
It deals with topological aspects of flatness, such as the fact that flat mor-
phisms are open in good situations.
• In §24.7, we explain the fact that “the Euler characteristic of quasicoherent
sheaves is constant in flat families” (with appropriate hypotheses), and
its many happy consequences. This section is surprisingly easy given its
utility.
You should focus on what flatness implies and how to “picture” it, but also on
explicit criteria for flatness in different situations, such as for integral domains
(Observation 24.2.2), principal ideal domains (Exercise 24.4.B), discrete valuation
rings (Exercise 24.4.C), the dual numbers (Exercise 24.4.D), and local rings (Theo-
rem 24.4.5).
24.2 Easier facts
Many facts about flatness are easy or immediate, although a number are tricky.
As always, I will try to make clear which is which, to help you remember the easy
facts and the key ideas of proofs of the harder facts. We will pick the low-hanging
fruit first.
We recall the definition of a flat A-module (§1.6.12). If M ∈ ModA , M ⊗A · is
always right-exact (Exercise 1.3.H). We say that M is a flat A-module (or flat over
A or A-flat) if M ⊗A · is an exact functor. We say that a ring morphism B → A is flat
if A is flat as a B-module. (In particular, the algebra structure of A is irrelevant.)
24.2.1. Two key examples.
(i) Free A-modules (even of infinite rank) are clearly flat. More generally, pro-
jective modules are flat (Exercise 23.2.B).
(ii) Localizations are flat: Suppose S is a multiplicative subset of B. Then B →
S−1 B is a flat ring morphism because localization is exact (Exercise 1.6.G(a)).
24.2.A. E ASY E XERCISE : FIRST EXAMPLES .
(a) (trick question) Classify flat modules over a field k.
(b) Show that A[x1 , . . . , xn ] is a flat A-module.
(c) Show that the ring morphism Q[x] → Q[y], with x 7→ y2 , is flat. (This will help
us understand Example 10.3.4 better, see §24.4.12.)
We make some quick but important observations.
24.2.2. Important Observation. If x is a non-zerodivisor of A, and M is a flat A-
module, then
×x
M /M
666 The Rising Sea: Foundations of Algebraic Geometry
×x
is injective. (Reason: apply the exact functor M⊗A · to the exact sequence 0 /A / A .)
In particular, flat modules are torsion-free. (Torsion-freeness was defined in §6.1.4.)
This observation gives an easy way of recognizing when a module is not flat. We
will use it many times.
24.2.B. E XERCISE : ANOTHER EXAMPLE . Show that a finitely generated module
over a principal ideal domain is flat if and only if it is torsion-free if and only if it
is free. Hint: Remark 13.5.15 classifies finitely generated modules over a principal
ideal domain. (Exercise 24.4.B sheds more light on flatness over a principal ideal
domain. Proposition 14.3.2 is also related.)
24.2.C. E XERCISE ( FLATNESS IS PRESERVED BY CHANGE OF BASE RING ). Show
that if M is a flat B-module, B → A is a homomorphism, then M ⊗B A is a flat
A-module.
24.2.D. E XERCISE ( FLATNESS IS PRESERVED BY COMPOSITION ). Show that if A is
a flat B-algebra, and M is A-flat, then M is also B-flat.
24.2.3. Proposition (flatness is a stalk/prime-local property). — An A-module M
is flat if and only if Mp is a flat Ap -module for all prime ideals p ⊂ A.
You are welcome to prove that it suffices to check only maximal ideals, but we
don’t need this extension.
Proof. Suppose first that M is a flat A-module. Given any exact sequence of Ap -
modules
([Link]) 0 / N′ /N / N ′′ / 0,
we wish to show that
([Link]) 0 / Mp ⊗Ap N ′ / Mp ⊗Ap N / Mp ⊗Ap N ′′ /0
is also exact. Now ([Link]) is also an exact sequence of A-modules, so
([Link]) 0 / M ⊗A N ′ / M ⊗A N / M ⊗A N ′′ /0
is exact (by A-flatness of M). But M ⊗A N is canonically isomorphic to M ⊗A
Ap ⊗Ap N = Mp ⊗Ap N (and similarly for N ′ , N ′′ ), so we can rewrite ([Link]) as
([Link]) (make sure you see why the maps in ([Link]) and ([Link]) are the same)
as desired.
Assume next that Mp is a flat Ap -module for all p. Given any short exact
sequence ([Link]), we seek to show that ([Link]) is exact. By right-exactness of
tensor product (Exercise 1.3.H), ([Link]) is exact except possibly on the left. Let K
be ker(M ⊗A N ′ → M ⊗A N), so
([Link]) 0 /K / M ⊗A N ′ / M ⊗A N / M ⊗A N ′′ /0
is exact; we wish to show that K = 0. Given any p, localizing ([Link]) at p and
tensoring with the exact Ap -module Mp yields
([Link]) 0 / Mp ⊗Ap Np′ / Mp ⊗Ap Np / Mp ⊗Ap Np′′ / 0.
April 1, 2023 draft 667
∼
Localizing ([Link]) at p and using the isomorphisms Mp ⊗Ap Np ←→ (M ⊗A N)p ,
we obtain the exact sequence
0 / Kp / Mp ⊗Ap Np′ / Mp ⊗Ap Np / Mp ⊗Ap Np′′ / 0,
which is the same as the exact sequence ([Link]) except for the Kp . Hence Kp = 0
for all primes p ⊂ A, so K = 0 (by Exercise 4.1.F) as desired. □
24.2.4. Flatness for schemes.
Motivated by Proposition 24.2.3, the extension of the notion of flatness to
schemes is straightforward.
24.2.5. Definition: flat quasicoherent sheaves. We say that a quasicoherent sheaf
F on a scheme X is flat at p ∈ X if Fp is a flat OX,p -module. We say that a
quasicoherent sheaf F on a scheme X is flat (over X) if it is flat at all p ∈ X. In light
of Proposition 24.2.3, we can check this notion on an affine open cover of X.
24.2.6. Definition: flat morphism. Similarly, we say that a morphism of schemes
π : X → Y is flat at p ∈ X if OX,p is a flat OY,π(p) -module. We say that a morphism
of schemes π : X → Y is flat if it is flat at all p ∈ X. We can check flatness locally on
the source and target.
We can combine these two definitions into a single fancy definition.
24.2.7. Definition: flat quasicoherent sheaf over a base. Suppose π : X → Y is a mor-
phism of schemes, and F is a quasicoherent sheaf on X. We say that F is flat (over
Y) at p ∈ X if Fp is a flat OY,π(p) -module. We say that F is flat (over Y) if it is flat
at all p ∈ X.
Definitions 24.2.5 and 24.2.6 correspond to the cases X = Y and F = OX
respectively. (Definition 24.2.7 applies without change to the category of ringed
spaces, but we won’t use this.)
24.2.E. E ASY E XERCISE ( REALITY CHECK ). Show that open embeddings are flat.
Our results about flatness over rings above carry over easily to schemes.
24.2.F. E XERCISE . Show that a map of rings B → A is flat if and only if the
corresponding morphism of schemes Spec A → Spec B is flat. More generally, if
B → A is a map of rings, and M is an A-module, show that M is B-flat if and
f is flat over Spec B. (Be careful: this requires more than merely invoking
only if M
Proposition 24.2.3.)
Thus if π : X → Y is an affine morphism, and F is a quasicoherent sheaf on X,
then F is flat over Y if and only if π∗ F is flat over Y.
24.2.G. E ASY E XERCISE ( EXAMPLES AND REALITY CHECKS ).
(a) If X is a scheme, and p ∈ X, show that the natural morphism Spec OX,p → X is
flat. (Hint: localization is flat, §24.2.1.)
(b) Show that An A → Spec A is flat.
(c) If F is a locally free sheaf on a scheme X, show that PF → X (Definition 17.2.3)
is flat.
(d) Show that Spec k → Spec k[t]/(t2 ) is not flat. (Draw a picture to try to see what
668 The Rising Sea: Foundations of Algebraic Geometry
is not “nice” about this morphism. Some more insight about flatness of the dual
numbers will be given in the criterion of Exercise 24.4.D.)
24.2.H. E XERCISE ( FLATNESS IS PRESERVED BY COMPOSITION ). Suppose π : X → Y
and F is a quasicoherent sheaf on X, flat over Y. Suppose also that ψ : Y → Z is a
flat morphism. Show that F is flat over Z.
24.2.I. E XERCISE ( FLATNESS IS PRESERVED BY BASE CHANGE ). Suppose π : X → Y
is a morphism, and F is a quasicoherent sheaf on X, flat over Y. If ρ : Y ′ → Y is
any morphism, and ρ ′ : X ×Y Y ′ → X is the induced morphism, show that (ρ ′ )∗ F
is flat over Y ′ .
(ρ ′ )∗ F F
ρ′
X ×Y Y ′ /X
π
Y′
ρ
/Y
In particular, using Exercise 24.2.A(a), if X and Y ′ are k-schemes, and F is any
quasicoherent sheaf on X, then (ρ ′ )∗ F is flat over Y ′ . For example, X ×k Y ′ is
always flat over Y ′ — “products over a field are flat over their factors”. (Feel free to
immediately generalize this further; for example, F can be a quasicoherent sheaf
on a scheme Z over X, flat over Y.)
24.2.8. Flat morphisms behave reasonably. Since flatness is clearly local on the target
from the definition, the previous two exercises show that the class of flat mor-
phisms is “reasonable” in the sense of §8.1.
The following exercise is very useful for visualizing flatness and non-flatness
(see for example Figure 24.2).
24.2.J. E XERCISE ( FLAT MAPS SEND ASSOCIATED POINTS TO ASSOCIATED POINTS ).
Suppose π : X → Y is a flat morphism of locally Noetherian schemes. Show that
any associated point of X must map to an associated point of Y. (Feel free to im-
mediately generalize this to a coherent sheaf F on X, flat over Y, without π itself
needing to be flat.) Hint: suppose π♯ : (B, n) → (A, m) is a local morphism of Noe-
therian local rings (i.e., π♯ (n) ⊂ m, §7.3.1). Suppose n is not an associated prime
of B. Show that there is an element f ∈ n not in any associated prime of B (per-
haps using prime avoidance, Proposition 12.2.13), and hence is a non-zerodivisor.
Show that π♯ f ∈ m is a non-zerodivisor of A using Observation 24.2.2, and thus
show that m is not an associated prime of A.
24.2.K. E XERCISE . Use Exercise 24.2.J to show that the following morphisms are
not flat (see Figure 24.2):
(a) Spec k[x, y]/(xy) → Spec k[x],
(b) Spec k[x, y]/(y2 , xy) → Spec k[x],
(c) Bl(0,0) A2k → A2k .
April 1, 2023 draft 669
Hint for (c): first pull back to a line through the origin to obtain a something akin
to (a). (This foreshadows the statement and proof of Proposition 24.5.8, which says
that for flat morphisms “there is no jumping of fiber dimension”.)
F IGURE 24.2. Morphisms that are not flat (Exercise 24.2.K)
24.2.L. E XERCISE . Show that π : X → Y is flat if and only if π∗ : QCohY → QCohX
is an exact functor. (Translation: the earlier definition of flat morphism in Re-
mark 14.5.8 agrees with Definition 24.2.6. But Definition 24.2.6 is “better”!)
24.2.9. Theorem (cohomology commutes with flat base change). — Suppose
ρ′
X′ /X
π′ π
Y′
ρ
/Y
is a Cartesian diagram, and π (and thus π ′ ) is quasicompact and separated (so higher
pushforwards of quasicoherent sheaves by π and π ′ exist, as described in §18.7). Suppose
also that ρ is flat, and F is a quasicoherent sheaf on X. Then the natural morphisms
∗
(Exercise 18.7.B(a)) ρ∗ (Ri π∗ F ) → Ri π∗′ (ρ ′ F ) are isomorphisms.
24.2.M. E XERCISE . Prove Theorem 24.2.9. Hint: Exercise 18.7.B(b) is the special
case where ρ is affine. Extend it to the quasicompact and separated case using
the same idea as the solution to Exercise 14.4.C (which used Exercise 6.2.G). Your
proof of the case i = 0 will only need a quasiseparated hypothesis in place of the
separated hypothesis.
A useful special case is where Y ′ is the generic point of a reduced component
of Y. In other words, in light of Exercise 24.2.G(a), the stalk of the higher pushfor-
ward of F at the generic point is the cohomology of F on the fiber over the generic
point. This is a first example of something important: understanding cohomology
of (quasicoherent sheaves on) fibers in terms of higher pushforwards. (We would
certainly hope that higher pushforwards would tell us something about higher co-
homology of fibers, but this is certainly not a priori clear!) In comparison to this
result, which shows that cohomology of any quasicoherent sheaf commutes with
670 The Rising Sea: Foundations of Algebraic Geometry
flat base change, §24.7 and Chapter 26 deal with when and how cohomology of a
flat quasicoherent sheaf commutes with any base change.
24.2.10. Pulling back closed subschemes (and ideal sheaves) by flat morphisms.
Closed subschemes pull back particularly well under flat morphisms, and this
can be helpful to keep in mind. As pointed out in Remarks 14.5.8 and 14.5.10, in
the case of flat morphisms, pullback of ideal sheaves as quasicoherent sheaves agrees
with pullback in terms of the pullback of the corresponding closed subschemes.
In other words, closed subscheme exact sequences pull back (remain exact) un-
der flat pullbacks. This is in fact not just a necessary condition for flatness; it is
also sufficient, which can be shown using the ideal-theoretic criterion for flatness
(Theorem 24.4.1). There is an analogous fact about pulling ideal sheaves of flat
subschemes by arbitrary pullbacks, see §24.3.2.
24.2.N. E XERCISE .
(a) Suppose D is an effective Cartier divisor on Y and π : X → Y is a flat morphism.
Show that the pullback of D to X (by π) is also an effective Cartier divisor.
(b) Use part (a) to show that under a flat morphism, regular embeddings pull back
to regular embeddings.
24.2.O. U NIMPORTANT E XERCISE .
(a) Suppose π : X → Y is a morphism, and Z ,→ Y is a closed embedding cut out by
an ideal sheaf I ⊂ OY . Show that (π∗ I )n = π∗ (I n ). (Products of quasicoherent
ideal sheaves were defined in Exercise 15.5.E.)
∗
(b) Suppose further that π is flat, Y = An k , and Z is the origin. Let J = π I be the
quasicoherent sheaf of algebras on X cutting out the pullback W of Z. Prove that
the graded sheaf of algebras ⊕n≥0 J n /J n+1 (do you understand the multiplica-
tion?) is isomorphic to OW [x1 , . . . , xn ] (interpreted as a graded sheaf of algebras).
(Hint: first show that J n /J n+1 = ∼ Symn (J /J 2 ).)
24.2.P. U NIMPORTANT E XERCISE .
(a) Show that blowing up commutes with flat base change. More precisely, if
π : X → Y is any flat morphism, and Z ,→ Y is any closed embedding, give a
∼
canonical isomorphism (BlZ Y) ×Y X ←→ BlZ×Y X X. (You can proceed by univer-
sal property, using Exercise 24.2.N(a), or by using the Proj construction of the blow
up and Exercise 24.2.O.)
(b) Give an example to show that blowing up does not commute with base change
in general.
24.3 Flatness through Tor
We defined the Tor (bi-)functor in §23.1: TorA i (M, N) is obtained by taking a
free resolution of N, removing the N, tensoring it with M, and taking homology.
Exercise 23.1.C characterized flatness in terms of Tor: M is A-flat if TorA
1 (M, N) =
0 for all N. In this section, we reap the easier benefits of this characterization,
recalling key properties of Tor when needed. In §24.4, we work harder to extract
more from Tor.
April 1, 2023 draft 671
It is sometimes possible to compute Tor from its definition, as shown in the
following exercise that we will use repeatedly.
24.3.A. E XERCISE . Define (M : x) as {m ∈ M : xm = 0} ⊂ M — it consists of the
elements of M annihilated by x. If x is not a zerodivisor, show that
M/xM if i = 0;
TorA (M, A/(x)) = (M : x) if i = 1;
i
0 if i > 1.
Hint: use the resolution
×x
0 /A /A / A/(x) /0
of A/(x).
24.3.1. Remark. As a corollary of Exercise 24.3.A, we see again that flat modules
over an integral domain are torsion-free (and more generally, Observation 24.2.2).
Also, Exercise 24.3.A gives the reason for the notation Tor — it is short for torsion.
24.3.B. E XERCISE . If B is A-flat, use the FHHF Theorem (Exercise 1.6.I(c)) to give
∼
an isomorphism B ⊗A TorA i (M, N) ←→ Tori (B ⊗ M, B ⊗ N).
B
Recall that the Tor functor is symmetric in its entries (there is an isomorphism
∼
TorAi (M, N) ←→ Tori (N, M), Exercise 23.3.A). This gives us a quick but very use-
A
ful result.
24.3.C. E ASY E XERCISE . If 0 → N ′ → N → N ′′ → 0 is an exact sequence of
A-modules, and N ′′ is flat (e.g., free), show that 0 → M ⊗A N ′ → M ⊗A N →
M ⊗A N ′′ → 0 is exact for any A-module M.
We would have cared about this result long before seeing Tor, so it gives some
motivation for learning about Tor. (Unimportant side question: Can you prove
this without Tor, using a diagram chase?)
24.3.D. E XERCISE ( IMPORTANT CONSEQUENCE OF E XERCISE 24.3.C). Suppose
0 → F ′ → F → F ′′ → 0 is a short exact sequence of quasicoherent sheaves on a
scheme Y, and F ′′ is flat (e.g., locally free). Show that if π : X → Y is any morphism
of schemes, the pulled back sequence 0 → π∗ F ′ → π∗ F → π∗ F ′′ → 0 remains
exact.
24.3.E. E XERCISE ( CF. E XERCISE 14.2.S FOR THE ANALOGOUS FACTS ABOUT VEC -
TOR BUNDLES ). Suppose 0 → M ′ → M → M ′′ → 0 is an exact sequence of
A-modules.
(a) If M and M ′′ are both flat, show that M ′ is too. (Hint: Recall the long ex-
act sequence for Tor, Proposition 23.1.2. Also, use that N is flat if and only if
Tori (N, N ′ ) = 0 for all i > 0 and all N ′ , Exercise 23.1.C.)
(b) If M ′ and M ′′ are both flat, show that M is too. (Same hint.)
(c) If M ′ and M are both flat, show that M ′′ need not be flat.
24.3.F. E XERCISE . If · · · → M−2 → M−1 → M0 → 0 is an exact sequence of flat
A-modules, show that it remains exact upon tensoring with any other A-module.
(One possible approach: break the exact sequence into short exact sequences.)
672 The Rising Sea: Foundations of Algebraic Geometry
24.3.G. E ASY E XERCISE . If 0 → M0 → M1 → · · · → Mn → 0 is an exact sequence,
and Mi is flat for i > 0, show that M0 is flat too. (Hint: break the exact sequence
into short exact sequences.)
We will use the Exercises 24.3.F and 24.3.G later in this chapter.
24.3.2. Pulling back quasicoherent ideal sheaves of flat closed subschemes by
arbitrary morphisms (promised in §24.2.10). Suppose
W
α /X
Y
β
/Z
is a fibered product, and V ,→ X is a closed subscheme. Then Y ×Z V is a closed sub-
scheme of W (§10.2.2). There are two possible senses in which IV/X can be “pulled
back” to W: as a quasicoherent sheaf α∗ IV/X , and as the ideal of the “pulled back”
closed subscheme IY×Z V/W . As pointed out in Remark 14.5.10, these are not nec-
essarily the same, but they are the same if β is flat. We now give another important
case in which they are the same.
24.3.H. E XERCISE . If V is flat over Z (with no hypotheses on β), show that
α∗ IV/X =∼ IY× V/W . Hint: Exercise 24.3.D.
Z
24.4 Ideal-theoretic criteria for flatness
The following theorem will allow us to classify flat modules over a number of
rings. It is a refined version of Exercise 23.1.C, that M is a flat A-module if and
only if TorA1 (M, N) = 0 for all A-modules N.
24.4.1. Theorem (ideal-theoretic criterion for flatness). — The A-module M is flat
if and only if TorA
1 (M, A/I) = 0 for every ideal I.
24.4.2. Remarks. Before getting to the proof, we make some side remarks that may
give some insight into how to think about flatness. Theorem 24.4.1 is profitably
stated without the theory of Tor. It is equivalent to the statement that M is flat if
and only if for all ideals I ⊂ A, I⊗A M → M is an injection, and you can reinterpret
the proof in this guise. Perhaps better, M is flat if and only if I ⊗A M → IM is an
isomorphism for every ideal I.
Flatness is often informally described as “continuously varying fibers”, and
this can be made more precise as follows. An A-module M is flat if and only if
it restricts nicely to closed subschemes of Spec A. More precisely, what we lose
in this restriction, the submodule IM of elements which “vanish on Z”, is easy
to understand: it consists of formal linear combinations of elements i ⊗ m, with
no surprise relations among them — i.e., the tensor product I ⊗A M. This is the
content of the following exercise, in which you may use Theorem 24.4.1.
24.4.A. ⋆ E XERCISE ( THE EQUATIONAL CRITERION FOR∑FLATNESS ). Show that
ai mi = 0 with ai ∈ A
an A-module M is flat if and only if for every relation ∑
and mi ∈ M, there exist mj′ ∈ M and aij ∈ A such that j aij mj′ = mi for all i
April 1, 2023 draft 673
∑
and i ai aij = 0 in A for all j. (Translation: whenever elements of M satisfy an
A-linear relation, this is “because” of linear equations holding in A.)
24.4.3. Unimportant remark. In the statement of Theorem 24.4.1, it suffices to check
only finitely generated ideals. This is essentially the content of the following state-
ment, which you can prove if you wish: Show that an A-module M is flat if and
only if for all finitely generated ideals I, the natural map I ⊗A M → M is an injection.
Hint: if there is a counterexample for an ideal J that is not finitely generated, use
it to find another counterexample for an ideal I that is finitely generated.
24.4.4. Proof of the ideal-theoretic criterion for flatness, Theorem 24.4.1. By Exercise 23.1.C,
we need only show that TorA A
1 (M, A/I) = 0 for all I implies Tor1 (M, N) = 0 for all
A-modules N, and hence that M is flat.
We first prove that TorA 1 (M, N) = 0 for all finitely generated modules N, by
induction on the number n of generators a1 , . . . , an of N. The base case (if n = 1,
so N =∼ A/ Ann(a1 ) — our first use of the annihilator ideal in a long time) is our
assumption. If n > 1, then Aan = ∼ A/ Ann(an ) is a submodule of N, and the
quotient Q is generated by the images of a1 , . . . , an−1 , so the result follows by
considering the Tor1 portion of the Tor long exact sequence for
0 / A/ Ann(an ) /N /Q / 0.
We deal with the case of general N by abstract nonsense. Notice that N is the
union of its finitely generated submodules {Nα }. In fancy language, this union
is a filtered colimit — any two finitely generated submodules are contained in a
finitely generated submodule (specifically, the submodule they generate). Filtered
colimits of modules commute with cohomology (Exercise 1.6.M), so Tor1 (M, N) is
the colimit over α of Tor1 (M, Nα ) = 0, and is thus 0. □
We now use Theorem 24.4.1 to get explicit characterizations of flat modules
over three (types of) rings: principal ideal domains, dual numbers, and some local
rings.
Recall Observation 24.2.2, that flatness implies torsion-free. The converse is
true for principal ideal domains:
24.4.B. E XERCISE ( FLAT = TORSION - FREE FOR A PID). Show that a module over a
principal ideal domain is flat if and only if it is torsion-free.
24.4.C. E XERCISE ( FLATNESS OVER A DVR). Suppose M is a module over a dis-
crete valuation ring A with uniformizer t. Show that M is flat if and only if t is not
a zerodivisor on M, i.e., (using the notation defined in Exercise 24.3.A) (M : t) = 0.
(See Exercise 24.2.B for the case of finitely generated modules.) This yields a sim-
ple and very important geometric interpretation of flatness over a regular curve,
which we discuss in §24.4.9.
24.4.D. E XERCISE ( FLATNESS OVER THE DUAL NUMBERS ). Show that M is flat
over k[t]/(t2 ) if and only if the “multiplication by t” map M/tM → tM is an
isomorphism. (This fact is important in deformation theory and elsewhere.) Hint:
k[t]/(t2 ) has only three ideals.
674 The Rising Sea: Foundations of Algebraic Geometry
24.4.5. Important Theorem (flat = free = projective for finitely presented mod-
ules over local rings). — Suppose (A, m) is a local ring (not necessarily Noetherian),
and M is a finitely presented A-module. Then M is flat if and only if it is free if and only
if it is projective.
24.4.6. Remarks. Warning: modules over local rings can be flat without being free:
Q is a flat Z(p) -algebra (Z(p) is the localization of Z at p, not the p-adics), as all
localizations are flat (§24.2.1), but it is not free (Do you see why?).
Also, non-Noetherian people may be pleased to know that with a little work,
“finitely presented” can be weakened to “finitely generated”: use [Mat2, Thm. 7.10]
in the proof below, where finite presentation comes up.
Proof. For any ring, free modules are projective (§23.2.1), and projective modules
are flat (Exercise 23.2.B), so we need only show that flat modules are free for a local
ring.
(At this point, you should see Nakayama coming from a mile away.) Now
M/mM is a finite-dimensional vector space over the field A/m. Choose a basis of
M/mM, and lift it to elements m1 , . . . , mn ∈ M. Consider A⊕n → M given by
ei 7→ mi . We will show this is an isomorphism. It is surjective by Nakayama’s
Lemma (see Exercise 8.2.H): the image is all of M modulo the maximal ideal,
hence is everything. As M is finitely presented, by Lemma 6.4.4 (“finitely pre-
sented implies always finitely presented”), the kernel K is finitely generated. Ten-
sor 0 → K → A⊕n → M → 0 with A/m. As M is flat, the result is still exact
(Exercise 24.3.C):
0 / K/mK / (A/m)⊕n / M/mM / 0.
But (A/m)⊕n → M/mM is an isomorphism by construction, so K/mK = 0. As K is
finitely generated, K = 0 by Nakayama’s Lemma 8.2.9. □
Here is an immediate and useful corollary — really just a geometric interpre-
tation.
24.4.7. Corollary (flat = locally free for finitely presented sheaves). — A finitely
presented sheaf F on X is flat (over X) if and only if it is locally free.
Proof. Local freeness of a finitely presented sheaf can be checked at the stalks,
Exercise 14.3.F. □
24.4.E. E XERCISE . Suppose π : X → Y is a finite flat morphism of locally Noether-
ian schemes, and F is a finite rank locally free sheaf on X.
(a) Show that π∗ F is a finite rank locally free sheaf on Y.
(b) If Y is irreducible with generic point η, the degree of π above η is n, and
F is locally free of rank r, show that π∗ F is locally free of rank nr. (This
may be trickier than it looks.)
24.4.8. Remark. In particular, taking F = OX , we see that in the locally Noetherian
setting, finite flat morphisms have locally constant degree.
24.4.F. ⋆ E XERCISE ( INTERESTING VARIANT OF T HEOREM 24.4.5, BUT UNIMPOR -
TANT FOR US ). Suppose A is a ring (not necessarily local), and M is a finitely
April 1, 2023 draft 675
presented A-module. Show that M is flat if and only if it is projective. Hint: show
that M is projective if and only if Mm is free for every maximal ideal m. The harder
direction of this implication uses the fact that HomAm (Mm , Nm ) = HomA (M, N)m ,
which follows from Exercise 1.6.H. (Remark: There exist finitely generated flat mod-
ules that are not projective.
∏∞ They are necessarily not finitely presented. Example
without proof: let A = i=1 F2 , interpreted as functions Z≥0 → Z/2, and let M
be the module of functions modulo those of proper support, i.e., those vanishing
at almost all points of Z≥0 .)
24.4.G. E XERCISE . Prove the following useful criterion for flatness: Suppose
π : X → Y is a finite morphism, and Y is reduced and locally Noetherian. Then
π is flat if and only if π∗ OX is locally free, if and only if the rank of π∗ OX is locally
constant (dimκ(q) (π∗ OX )q ⊗ κ(q) is a locally constant function of q ∈ Y). Partial
hint: Exercise 14.3.L.
24.4.H. E XERCISE . Show that the normalization of the node (see Figure 8.4) is
not flat. Hint: use Exercise 24.4.G. (This exercise can be strengthened to show that
nontrivial normalizations are never flat.)
24.4.I. E XERCISE . In A4k = Spec k[w, x, y, z], let X be the union of the wx-plane
with the yz-plane:
([Link]) X = Spec k[w, x, y, z]/(wy, wz, xy, xz).
The projection A4k → A2k given by k[a, b] → k[w, x, y, z] with a 7→ w − y, b 7→ x − z
restricts to a morphism X → A2k . Show that this morphism is not flat.
24.4.9. Flat families over regular curves. Exercise 24.4.C gives an elegant geomet-
ric criterion for when morphisms to regular curves are flat.
24.4.J. E XERCISE ( CRITERION FOR FLATNESS OVER A REGULAR CURVE ). Suppose
π : X → Y is a morphism from a locally Noetherian scheme to a regular (locally
Noetherian) curve. (The local Noetherian hypothesis on X is so we can discuss its
associated points.) Show that π is flat if and only if all associated points of X map
to a generic point of Y. (This is a partial converse to Exercise 24.2.J, that flat maps
always send associated points to associated points. As with Exercise 24.2.J, feel
free to immediately generalize your argument to a coherent sheaf F on X.)
24.4.10. For example, a nonconstant map from an integral (locally Noetherian)
scheme to a regular curve must be flat. (As another example, the deformation
to the normal cone, discussed in the double-starred section §22.4.17 and depicted
in Figure 22.3, is flat.) Exercise 24.4.H (and the comment after it) shows that the
regular condition is necessary. The example of two planes meeting at a point in
Exercise 24.4.I shows that the dimension 1 condition is necessary.
24.4.11. ⋆ Unimportant remark: A valuative criterion for flatness. Exercise 24.4.J shows
that flatness over a regular curves is geometrically intuitive (and is “visualizable”).
It gives a criterion for flatness in general: suppose π : X → Y is finitely presented
morphism. If π is flat, then for every morphism Y ′ → Y where Y ′ is the Spec of a
discrete valuation ring, π ′ : X ×Y Y ′ → Y ′ is flat, so no associated points of X ×Y Y ′
map to the closed point of Y ′ . If Y is reduced and locally Noetherian, then this is
a sufficient condition; this can reasonably be called a valuative criterion for flatness.
676 The Rising Sea: Foundations of Algebraic Geometry
(Reducedness is necessary: consider Exercise 24.2.G(d).) This gives an excellent
way to visualize flatness, which you should try to put into words (perhaps after
learning about flat limits below). See [Gr-EGA, IV3 .11.8.1] for a proof (and an
extension without Noetherian hypotheses).
24.4.12. Revisiting the degree of a projective morphism from a curve to a regular curve.
As hinted after the statement of Proposition 16.3.5, we can now better understand
why nonconstant projective morphisms from a curve to a regular curve have a
well-defined degree, which can be determined by taking the preimage of any point
(§16.3.4). (Example 10.3.4 was particularly enlightening.) This is because such
maps are flat by Exercise 24.4.J, and then the degree is constant by Remark 24.4.8
(see also Exercise 24.4.G). Also, Exercise 24.4.G yields a new proof of Proposi-
tion 16.3.5.
24.4.13. Flat limits. Here is an important consequence of Exercise 24.4.J, which we
can informally state as: we can take flat limits over one-parameter families. More
precisely: suppose A is a discrete valuation ring, and let 0 be the closed point of
Spec A and η the generic point. Suppose X is a locally Noetherian scheme over A,
and Y is a closed subscheme of X|η . Let Y ′ be the scheme-theoretic closure of Y in
X. Then Y ′ is flat over A. Similarly, suppose Z is a one-dimensional Noetherian
scheme, 0 is a regular point of Z, and π : X → Z is a morphism from a locally
Noetherian scheme to Z. Assume that π−1 (Z − {0}) is flat over Z − {0}. If Y is a
closed subscheme of π−1 (Z − {0}), and Y ′ is the scheme-theoretic closure of Y in X,
then Y ′ is flat over Z. In both cases, the closure Y ′ |0 is often called the flat limit of
Y. (Feel free to weaken the Noetherian hypotheses on X.)
24.4.K. E XERCISE . Suppose (with the language of the previous paragraph) that A
is a discrete valuation ring, X is a locally Noetherian A-scheme, and Y is a closed
subscheme of the generic fiber X|η . Show that there is only one closed subscheme
Y ′ of X such that Y ′ |η = Y, and Y ′ is flat over A.
24.4.L. H ARDER E XERCISE ( AN EXPLICIT FLAT LIMIT ). Let X = A3 × A1 → Z = A1
over a field k, where the coordinates on A3 are x, y, and z, and the coordinates on
A1 are t. Define Y away from t = 0 as the union of the two lines y = z = 0 (the
x-axis) and x = z − t = 0 (the y-axis translated by t). Find the flat limit at t = 0.
(Hints: (i) it is not the union of the two axes, although it includes this union. The
flat limit is nonreduced at the node, and the “fuzz” points out of the plane they
are contained in. (ii) (y, z)(x, z) ̸= (xy, z). (iii) Once you have a candidate flat limit,
be sure to check that it is the flat limit. (iv) If you get stuck, read Example 24.4.14
below.)
Consider a projective version of the previous example, where two lines in P3
degenerate to meet. The limit consists of two lines meeting at a node, with some
nonreduced structure at the node. Before the two lines come together, their space
of global sections is two-dimensional. When they come together, it is not immedi-
ately obvious that their flat limit also has two-dimensional space of global sections
as well. The reduced version (the union of the two lines meeting at a point) has
a one-dimensional space of global sections, but the effect of the nonreduced struc-
ture on the space of global sections may not be immediately clear. However, we
April 1, 2023 draft 677
will see that “cohomology groups can only jump up in flat limits”, as a conse-
quence (indeed the main moral) of the Semicontinuity Theorem 26.1.1.
24.4.14. ⋆⋆ Example of variation of cohomology groups in flat families. We can
use a variant of Exercise 24.4.L to see an example of a cohomology group actually
jumping. We work over an algebraically closed field to avoid distractions. Before
we get down to explicit algebra, here is the general idea. Consider a twisted cubic
C in P3 . A projection prp from a random point p ∈ P3 will take C to a nodal
plane cubic. Picture this projection “dynamically”, by choosing coordinates so p
is at [1, 0, 0, 0], and considering the map ϕt : [w, x, y, z] 7→ [tw, x, y, z]; ϕ1 is the
identity on P3 , ϕt is an automorphism of P3 for t ̸= 0, and ϕ0 is the projection.
The limit of ϕt (C) as t → 0 will be a nodal cubic, with nonreduced structure at
the node “analytically the same” as what we saw when two lines came together
(Exercise 24.4.L). (The phrase “analytically the same” can be made precise once we
define completions in §29.)
Let’s now see this in practice. Rather than working directly with the twisted
cubic, we use another example where we saw a similar picture. Consider the nodal
(affine) plane cubic y2 = x3 + x2 . Its normalization (see Figure 8.4, Example (3) of
§8.3.5, Exercise 10.7.E, . . . ) was obtained by adding an extra variable m correspond-
ing to y/x (which can be interpreted as blowing up the origin, see §22.4.3). We use
the variable m rather than t (used in §8.3.5) in order to reserve t for the parameter
for the flat family.
We picture the nodal cubic C as lying in the xy-plane in A3 = Spec k[x, y, m],
and the normalization C e projecting to it, with m = y/x. What are the equations
e
for C? Clearly, they include the equations y2 = x3 + x2 and y = mx, but these
are not enough — the m-axis (i.e., x = y = 0) is also in V(y2 − x3 − x2 , y − mx).
A little thought (and the algebra we have seen earlier in this example) will make
clear that we have a third equation m2 = (x+1), which along with y = mx implies
y2 = x2 +x3 . Now we have enough equations: k[x, y, m]/(m2 −(x+1), y−mx) is an
integral domain, as it is clearly isomorphic to k[m]. Indeed, you should recognize
this as the algebra appearing in Exercise 10.7.E.
Next, we want to formalize our intuition of the dynamic projection to the xy-
plane of C e ⊂ A3 . We picture it as follows. Given a point (x, y, m) at time 1, at time
t we want it to be at (x, y, mt). At time t = 1, we “start with” C, e and at time t = 0
we have (set-theoretically) C. Thus at time t ̸= 0, the curve C e is sent to the curve
cut out by equations
k[x, y, m]/(m2 − t2 (x + 1), ty − mx).
The family over Spec k[t, t−1 ] is thus
k[x, y, m, t, t−1 ]/(m2 − t2 (x + 1), ty − mx).
Notice that we have inverted t because we are so far dealing only with nonzero t.
For t ̸= 0, this is certainly a “nice” family, and so surely flat. Let’s make sure this
is true.
24.4.M. E XERCISE . Check this, as painlessly as possible! Hint: by a clever change
of coordinates, show that the family is constant “over Spec k[t, t−1 ]”, and hence
678 The Rising Sea: Foundations of Algebraic Geometry
pulled back (in some way you must figure out) via Spec k[t, t−1 ] → Spec k from
Spec k[X, Y, M]/(M2 − (X + 1), Y − MX) / Spec k,
which is flat by Trick Question 24.2.A(a).
We now figure out the flat limit of this family over t = 0, in Spec k[x, y, m, t] →
A1 = Spec k[t]. We first hope that our flat family is given by the equations we have
already written down:
Spec k[x, y, m, t]/(m2 − t2 (x + 1), ty − mx).
But this is not flat over A1 = Spec k[t], as the fiber dimension jumps (§24.5.7):
substituting t = 0 into the equations (obtaining the fiber over 0 ∈ A1 ), we find
Spec k[x, y, m]/(m2 , mx). This is set-theoretically the xy-plane (m = 0), which of
course has dimension 2. Notice for later reference that this “false limit” is scheme-
theoretically the xy-plane, with some nonreduced structure along the y-axis. (This may
remind you of Figure 4.4.)
So we are missing at least one equation. One clue as to what equation is miss-
ing: the equation y2 = x3 + x2 clearly holds for t ̸= 0, and does not hold for our
naive attempt at a limit scheme m2 = mx = 0. So we put this equation back in,
and have a second hope for describing the flat family over A1 :
Spec k[x, y, m, t]/(m2 − t2 (x + 1), ty − mx, y2 − x3 − x2 ) / Spec k[t].
Let A = k[x, y, m, t]/(m2 − t2 (x + 1), ty − mx, y2 − x3 − x2 ) for convenience.
The morphism Spec A → A1 is flat at t = 0. How can we show it? We could hope
to show that A is an integral domain, and thus invoke Exercise 24.4.J. Instead we
use Exercise 24.4.B, and show that t is not a zerodivisor on A. We do this by giving
a “normal form” for elements of A.
24.4.N. E XERCISE . Show that each element of A can be written uniquely as a
polynomial in x, y, m, and t such that no monomial in it is divisible by m2 , mx, or
y2 . Then show that t is not a zerodivisor on A, and conclude that Spec A → A1 is
indeed flat.
Thus the flat limit when t = 0 is given by
Spec k[x, y, m]/(m2 , mx, y2 − x2 − x3 ).
24.4.O. E XERCISE . Show that the flat limit is nonreduced, and the “nonreduced-
ness has length 1 and supported at the origin”. More precisely, if X = Spec A/(t),
show that IXred is a skyscraper sheaf, with value k, supported at the origin. Sketch
this flat limit X.
24.4.15. Note that we have a nonzero global function on X, given by m, which is
supported at the origin (i.e., 0 away from the origin).
We now use this example to get a projective example with interesting behavior.
We take the projective completion of this example, to get a family of cubic curves
in P3 degenerating to a nodal cubic C with a nonreduced point.
24.4.P. E XERCISE . Do this: describe this family (in P3 × A1 ) precisely.
April 1, 2023 draft 679
Take the long exact sequence corresponding to
0 / ICred / OC / OCred / 0,
to get
0 / H0 (C, ICred ) α / H0 (C, OC ) / H0 (C, OCred )
/ H1 (C, ICred ) / H1 (C, OC ) / H1 (C, OCred )
/ H2 (C, ICred )
We have H1 (C, ICred ) = H2 (C, ICred ) = 0 as ICred is supported in dimension 0
(by dimensional cohomology vanishing, Theorem 18.2.6). Also, Hi (Cred , OCred ) =
Hi (C, OCred ) (property (v) of cohomology, see §18.1). The (reduced) nodal cubic
Cred has h0 (O) = 1 (§11.5.7) and h1 (O) = 1 (cubic plane curves have genus 1,
([Link])). Also, h0 (C, ICred ) = 1 as observed above. Finally, α is not 0, as there
exists a nonzero function on C vanishing on Cred (§24.4.15 — convince yourself that
this function extends from the affine patch Spec A to the projective completion).
Using the long exact sequence, we conclude h0 (C, OC ) = 2 and h1 (C, OC ) = 1.
Thus in this example we see that (h0 (O), h1 (O)) = (1, 0) for the general member
of the family (twisted cubics are isomorphic to P1 ), and the special member (the
flat limit) has (h0 (O), h1 (O)) = (2, 1). Notice that both cohomology groups have
jumped, yet the Euler characteristic has remained the same. The first behavior, as
stated after Exercise 24.4.L, is an example of the Semicontinuity Theorem 26.1.1.
The second, constancy of Euler characteristics in flat families, is what we turn to
next. (It is no coincidence that the example had a singular limit, see §26.1.3.)
24.5 Topological aspects of flatness
We now discuss some topological aspects and consequences of flatness, that
boil down to the Going-Down Theorem for flat morphisms (§24.5.3), which in turn
comes from faithful flatness. Because dimension in algebraic geometry is a topo-
logical notion, we will show that dimensions of fibers behave well in flat families
(§24.5.7).
24.5.1. Faithful flatness. The notion of faithful flatness is handy for many reasons,
and we describe only a few. A B-module M is faithfully flat if for all complexes
of B-modules
([Link]) N ′ → N → N ′′ ,
([Link]) is exact if and only if ([Link])⊗B M is exact. A B-algebra A is faithfully
flat if it is faithfully flat as a B-module.
24.5.A. E XERCISE . Show that a flat B-module M is faithfully flat if and only if for
all B-modules N, M ⊗B N = 0 implies that N = 0.
680 The Rising Sea: Foundations of Algebraic Geometry
24.5.B. E XERCISE . Suppose M is a flat B-module. Show that the following are
equivalent.
(a) M is faithfully flat;
(b) for all prime ideals p ⊂ B, M ⊗B κ(p) is nonzero;
(c) for all maximal ideals m ⊂ B, M ⊗B κ(m) = M/mM is nonzero.
Suppose π : X → Y is a morphism of schemes. We say that π is faithfully
flat if it is flat and surjective. (Unlike flatness, faithful flatness is not particularly
useful for quasicoherent sheaves, so we do not define faithfully flat quasicoherent
sheaves over a base.)
24.5.C. E XERCISE ( CF. E XERCISE 24.5.B( B )). Suppose B → A is a ring morphism.
Show that A is faithfully flat over B if and only if Spec A → Spec B is faithfully flat.
24.5.2. Faithfully flat morphisms behave “reasonably”. Faithfully flat morphisms be-
have “reasonably” in the sense of §8.1 (preserved by composition and base change,
and local on the target) because both flatness and surjectivity have this property
(§24.2.8 and Exercise 10.4.G respectively).
24.5.D. E XERCISE . Suppose π : Spec A → Spec B is flat.
(a) Show that π is faithfully flat if and only if every closed point q ∈ Spec B is in the
image of π. (Hint: Exercise 24.5.B(c).)
(b) Hence show that every flat (local) morphism of local rings (Definition 7.3.1) is
faithfully flat. (Morphisms of local rings are assumed to be local, i.e., the maximal
ideal pulls back to the maximal ideal.)
24.5.3. Going-Down for flat morphisms. A consequence of Exercise 24.5.D is the
following useful result, whose statement makes no mention of faithful flatness.
(The statement is not coincidentally reminiscent of the Going-Down Theorem for
finite extensions of integrally closed domains, Theorem 12.2.12.)
24.5.E. E XERCISE (G OING -D OWN T HEOREM FOR FLAT MORPHISMS ).
(a) Suppose that B → A is a flat morphism of rings, corresponding to a map
π : Spec A → Spec B. Suppose q ⊂ q ′ are prime ideals of B, and p ′ is a prime
ideal of A with π([p ′ ]) = [q ′ ]. Show that there exists a prime p ⊂ p ′ of A with
π([p]) = [q]. Hint: show that Bq ′ → Ap ′ is a flat local ring homomorphism, and
hence faithfully flat by the Exercise 24.5.D(b).
(b) Part (a) gives a geometric consequence of flatness. Draw a picture illustrating
this.
(c) Recall the Going-Up Theorem, described in §8.2.4. State the Going-Down The-
orem for flat morphisms in a way parallel to Exercise 8.2.F, and prove it.
24.5.F. E XERCISE . Suppose π : X → Y is an integral (e.g., finite) flat morphism, and
Y has pure dimension n. Show that X has pure dimension n. (This generalizes
Exercise 12.1.H(a).) Hint: π satisfies both Going-Up (see Exercise 8.2.F) and Going-
Down.
24.5.G. I MPORTANT E XERCISE : FLAT MORPHISMS ARE OPEN ( IN REASONABLE SIT-
UATIONS ). Suppose π : X → Y is locally of finite type and flat, and Y (and hence
X) is locally Noetherian. Show that π is an open map (i.e., sends open sets to open
sets). Hint: reduce to showing that π(X) is open for all such π. Reduce to the case
April 1, 2023 draft 681
where X and Y are both affine. Use Chevalley’s Theorem 8.4.2 to show that π(X) is
constructible. Use the Going-Down Theorem for flat morphisms, Exercise 24.5.E,
to show that π(X) is closed under generization. Conclude using Exercise 8.4.C.
24.5.4. Remark (proof of Proposition ??). Suppose A and B are finite type k-algebras.
Then by Exercise 24.5.G, Spec A ×Spec k Spec B → Spec B is an open map.
24.5.5. Theorem (promised in Fact 10.5.6). Suppose X is a k-scheme. Then X → Spec k
is universally open, i.e., remains open after any base change.
24.5.6. Follow-ups to Exercise 24.5.G.
(i) Of course, not all open morphisms are flat: witness Spec k[t]/(t) → Spec k[t]/(t2 ).
(ii) Also, in quite reasonable circumstances, flat morphisms are not open: witness
Spec k(t) → Spec k[t] (flat by Example 24.2.1(ii)).
(iii) On the other hand, you can weaken the hypotheses of “locally of finite type”
and “locally Noetherian” to just “locally finitely presented” [Gr-EGA, IV2 .2.4.6] —
as with the similar generalization in Exercise 10.3.I of Chevalley’s Theorem 8.4.2,
use the fact that any such morphism is “locally” pulled back from a Noetherian
situation. We won’t use this, and hence omit the details.
24.5.7. Dimensions of fibers are well-behaved for flat morphisms.
24.5.8. Proposition. — Suppose π : X → Y is a flat morphism of locally Noetherian
schemes, with p ∈ X and q ∈ Y such that π(p) = q. Then
codimX p = codimY q + codimπ−1 (q) p
(see Figure 12.4).
Informal translation: the dimension of the fibers is the difference of the dimen-
sions of X and Y (at least locally). Compare this to Exercise 12.4.A, which stated
that without the flatness hypothesis, we would only have inequality (≤).
24.5.H. E XERCISE . Prove Proposition 24.5.8 as follows. As just mentioned, Exer-
cise 12.4.A gives one inequality, so show the other. Given a chain of irreducible
closed subsets in Y containing q, and a chain of irreducible closed subsets in
π−1 (q) ⊂ X containing p, construct a chain of irreducible closed subsets in X con-
taining p, using the Going-Down Theorem for flat morphisms (Exercise 24.5.E).
As a consequence of Proposition 24.5.8, if π : X → Y is a flat map of irreducible
varieties, then the fibers of π all have pure dimension dim X − dim Y. (Warning:
Spec k[t]/(t) → Spec k[t]/(t2 ) does not exhibit dimensional jumping of fibers, is
open, and sends associated points to associated points, cf. Exercise 24.2.J, but is not
flat. If you prefer a reduced example, the normalization of the cuspidal plane cubic
Spec k[t] → Spec k[x, y]/(y2 − x3 ), shown in Figure 10.5, also has these properties.)
This leads us to the following useful definition.
24.5.9. Definition. If π : X → Y is a flat morphism that is locally of finite type, and
all fibers of π have pure dimension n, we say that π is flat of relative dimension n.
(In particular, when one says a morphism is flat of relative dimension n, the locally
finite type hypotheses are implied. Remark 24.5.11 motivates this hypothesis.)
682 The Rising Sea: Foundations of Algebraic Geometry
24.5.I. E XERCISE . Suppose π : X → Y is a flat morphism of finite type k-schemes,
and Y is equidimensional (so “codimension is the difference of dimensions”, cf.
Theorem 12.2.9). Show that the following are equivalent.
(i) The scheme X has pure dimension dim Y + n.
(ii) The morphism π is flat of relative dimension n.
24.5.J. E XERCISE . Suppose π : X → Y and ρ : Y → Z are morphisms of locally Noe-
therian schemes, flat of relative dimension m and n respectively (hence locally of
finite type). Show that ρ◦π is flat of relative dimension m+n. Hint: Exercise 24.5.I.
24.5.K. E XERCISE . Show that the notion of a morphism being “flat of relative
dimension n” is preserved by arbitrary base change. Hint to show that fiber di-
mension is preserved: Exercise 12.2.M.
24.5.10. Remark. For practice, you can now give a second solution to Exer-
cise 12.2.F, that dimension is additive for products of varieties.
24.5.11. Remark. The reason for the “locally finite type” assumption in the defini-
tion of “flat of relative dimension n” is that we want this to be a “reasonable” class
of morphisms. In particular, we want our notion of “flatness of relative dimension
n” to be preserved by base change. Consider the fibered diagram
Spec k(x) ⊗k k(y) / Spec k(y)
π′ π
Spec k(x) / Spec k.
Both π and π ′ are trivially flat, because they are morphisms to spectra of fields
(Exercise 24.2.A(a)). But the dimension of the fiber of π is 0, while (as described in
Remark 12.2.17) the dimension of the fiber of π ′ is 1.
24.5.12. Generic flatness. ”Generic flatness” (which would be better called “gen-
eral flatness”), stated in Exercise 24.5.R, will be a consequence of the following
fact. For the purposes of this discussion only, we say a B-algebra A satisfies (†) if for
each finitely generated A-module M, there exists a nonzero f ∈ B such that Mf is a free
Bf -module.
24.5.13. Grothendieck’s Generic Freeness Lemma. — Suppose B is a Noetherian
integral domain. Then every finitely generated B-algebra satisfies (†).
Proof. We prove the Generic Freeness Lemma 24.5.13 in a series of exercises.
24.5.L. E XERCISE . Show that B itself satisfies (†).
24.5.M. E XERCISE . Reduce the proof of Lemma 24.5.13 to the following statement:
if A is a finitely generated B-algebra satisfying (†), then A[T ] does too. (Hint: in-
duct on the number of generators of A as a B-algebra.)
We now prove this statement. Suppose A satisfies (†), and let M be a finitely
generated A[T ]-module, generated by the finite set S. Let M0 = 0, and let M1 be
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the sub-A-module of M generated by S. For n > 0, inductively define
Mn+1 = Mn + TMn ,
a sub-A-module of M. Note that M is the increasing union of the A-modules Mn .
24.5.N. E XERCISE . Show that multiplication by T induces a surjection
ψn : Mn /Mn−1 / Mn+1 /Mn .
24.5.O. E XERCISE . Show that for n ≫ 0, ψn is an isomorphism. Hint: use the
ascending chain condition on M1 .
24.5.P. E XERCISE . Show that there is a nonzero f ∈ B such that (Mi+1 /Mi )f is free
as a Bf -module, for all i. Hint: as i varies, Mi+1 /Mi passes through only finitely
many isomorphism classes.
24.5.Q. E XERCISE ( NOT REQUIRING N OETHERIAN HYPOTHESES ). Suppose M is
a B-module that is an increasing union of submodules Mi , with M0 = 0, and
that every Mi+1 /Mi is free. Show that M is free. Hint: first construct compatible
∼
isomorphisms ϕn : ⊕i=0n−1
Mi+1 /Mi −→ Mn by induction on n. Then show that
∞
the colimit ϕ := colim ϕn : ⊕i=0 Mi+1 /Mi → M is an isomorphism. Side Remark:
More generally, your argument will show that if the Mi+1 /Mi are all projective
modules (to be defined in §23.2.1), then M is (non-naturally) isomorphic to their
direct sum.
□
24.5.R. E ASY E XERCISE ( GENERIC FLATNESS ). Suppose π : X → Y is a finite
type morphism to a Noetherian integral scheme, and F is a coherent sheaf on
X. Show that there is a dense open subset U ⊂ Y over which F is flat. Transla-
tion: F is flat at all points of X mapping to U. (An important special case is if
F = OX , which shows that there is a dense open subset U over which π is flat.)
Hint: Grothendieck’s Generic Freeness Lemma 24.5.13.
24.5.14. Interpretation of the degree of a generically finite morphism. We use this to
interpret the degree of a rational map of varieties in terms of counting preimages,
fulfilling a promise made in §12.2.2. Suppose π : X 99K Y is a generically finite
rational map of k-varieties of degree d. For simplicity we assume that X and Y are
irreducible. (But feel free to relax this.) Replace X by an open subset on which π
is a morphism. By Proposition 12.4.4 (“generically finite implies generally finite”),
there is a dense open subset V of Y over which π is finite. By “generic flatness”
(Exercise 24.5.R), there is a dense open subset V ′ of V over which π is finite and
flat. Then by Remark 24.4.8 (“finite flat morphisms have locally constant degree”),
over this open subset V ′ , π has “locally constant degree”, which is necessarily d .
24.5.15. Exercise 24.5.R can be improved:
24.5.16. Theorem (generic flatness, improved version, [Stacks, tag 052B]). — If
π : X → Y is a finite type morphism of schemes, Y is reduced, and F is a finite type quasi-
coherent sheaf on X, then there is an open dense subscheme U ⊂ Y such that F |π−1 (U) is
of finite presentation over π−1 (U), and flat over U.
684 The Rising Sea: Foundations of Algebraic Geometry
We won’t use this result, so we omit the proof.
24.5.17. Flatness is an open condition. Generic flatness can be used to show that in
reasonable circumstances, the locus where a quasicoherent sheaf is flat over a base
is an open subset. More precisely:
24.5.18. Theorem (flatness is an open condition). — Suppose π : X → Y is a locally
finite type morphism of locally Noetherian schemes, and F is a coherent sheaf on X.
(a) The locus of points of X at which F is Y-flat is an open subset of X.
(b) If π is closed (e.g., proper), then the locus of points of Y over which F is flat (i.e.
those q ∈ Y for which F is flat at all p ∈ π−1 (q)) is an open subset of Y.
Part (b) follows immediately from part (a). Part (a) reduces to a nontrivial
statement in commutative algebra, see for example [Mat2, Thm. 24.3] or [Gr-EGA,
IV3 .11.1.1]. As is often the case, Noetherian hypotheses can be dropped in ex-
change for local finite presentation hypotheses on the morphism π, see [Gr-EGA,
IV3 .11.3.1] or [Stacks, tag 00RC].
24.6 Local criteria for flatness
(This is the hardest section on ideal-theoretic criteria for flatness, and could
profitably be postponed to a second reading.)
In the case of a Noetherian local ring, there is a greatly improved version of
the ideal-theoretic criterion of Theorem 24.4.1: we need check only one ideal —
the maximal ideal. The price we pay for the simplicity of this “local criterion for
flatness” is that it is harder to prove.
24.6.1. Theorem (local criterion for flatness). — Suppose (A, m) is a Noether-
ian local ring, and M is a finitely generated A-module. Then M is flat if and only if
TorA
1 (M, A/m) = 0.
This is a miracle: flatness over all of Spec A is determined by what happens
over the closed point. (Caution: the finite generation hypothesis is necessary. Let
A = k[x, y](x,y) and M = k(x), with y acting as 0. Then M is not flat by Observa-
tion 24.2.2, but it turns out that it satisfies the local criterion otherwise.)
Theorem 24.6.1 is an immediate consequence of the following more general
statement.
24.6.2. Theorem (local criterion for flatness, more general version). — Suppose
(B, n) → (A, m) is a local morphism of Noetherian local rings (§7.3.1), and that M is a
finitely generated A-module. Then M is B-flat if and only if TorB
1 (M, B/n) = 0.
24.6.3. ⋆ Proof of Theorem 24.6.2. A sign of the difficulty of this result is that the
Artin-Rees Lemma 13.9.3 (or a consequence thereof) is used twice — once for the
local ring (A, m) (in the guise of the Krull Intersection Theorem, Exercise 13.9.A),
and once for the local ring (B, n).
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24.6.A. E ASY P RELIMINARY E XERCISE . With the same hypotheses as Theorem 24.6.2,
suppose that TorB B
1 (M, B/n) = 0. Show that Tor1 (M, N) = 0 for all B-modules N of
finite length, by induction on the length of N.
By Exercise 23.1.C, if M is B-flat, then TorB 1 (M, B/n) = 0, so it remains to
assume that TorB 1 (M, B/n) = 0 and show that M is B-flat.
By the ideal theoretic criterion for flatness (Theorem 24.4.1, see §24.4.2), we
wish to show that ϕ : I ⊗B M → M is an injection for all ideals I of B, i.e., that
ker ϕ = 0.
Note that I ⊗B M inherits an A-module structure (as M is an A-module). It
is furthermore a finitely generated A-module (Do you see why?), so by the Krull
Intersection Theorem (Exercise 13.9.A), ∩t mt (I ⊗B M) = 0. Thus it suffices to
show that ker ϕ ⊂ mt (I ⊗B M) for all t.
As n ⊂ m (or more correctly, the image of n is contained in m), it suffices to
show that ker ϕ ⊂ nt (I ⊗B M) for all t. Notice that nt (I ⊗B M) is (the image in
I ⊗B M of) (nt I) ⊗B M.
24.6.B. E XERCISE . Show that for each s, nt ∩ I ⊂ ns I for t ≫ 0, so it suffices to
show that ker ϕ ⊂ (nt ∩ I) ⊗B M for all t. Hint: Use the Artin-Rees Lemma 13.9.3,
taking A there to be B here, Mt = nt , I = n, and L = I.
Consider the short exact sequence
0 / nt ∩ I /I / I/(nt ∩ I) / 0.
Applying (·) ⊗B M, and using the fact that I/(nt ∩ I) is finite length, we have that
0 / (nt ∩ I) ⊗B M / I ⊗B M / (I/(nt ∩ I)) ⊗B M /0
is exact using Exercise 24.6.A. Our goal is thus to show that ker ϕ maps to 0 in
( ) ( )
([Link]) I/(nt ∩ I) ⊗B M = (I + nt )/nt ⊗B M.
Applying (·) ⊗B M to the short exact sequence
([Link]) 0 / (I + nt )/nt / B/nt / B/(I + nt ) / 0,
and using Exercise 24.6.A (as B/(I+nt ) is finite length), the top row of the diagram
([Link])
0 / ((I + nt )/nt ) ⊗B M α / (B/nt ) ⊗B M / (B/(I + nt )) ⊗B M /0
O O
I ⊗B M
ϕ
/ B ⊗B M
is exact, and the square clearly commutes. But then any element of I ⊗B M map-
ping to 0 in B ⊗B M = M must map to 0 (under the right vertical arrow) in
(B/nt ) ⊗B M, and hence must have mapped to 0 in ((I + nt )/nt ) ⊗B M by the
injectivity of α, as desired. □
This argument basically shows that flatness is an “infinitesimal” property, de-
pending only on the completion of the scheme at the point in question. This is
made precise as follows.
Suppose (B, n) → (A, m) is a (local) homomorphism of Noetherian local rings,
and M is an A-module. If M is flat over B, then for each t ∈ Z≥0 , M/(nt M) is
686 The Rising Sea: Foundations of Algebraic Geometry
flat over B/nt (flatness is preserved by base change, 24.2.I). (You should of course
restate this in your mind in the language of schemes and quasicoherent sheaves.)
The infinitesimal criterion for flatness states that this necessary criterion for flatness
is actually sufficient.
24.6.C. ⋆ E XERCISE ( THE INFINITESIMAL CRITERION FOR FLATNESS ). Suppose
(B, n) → (A, m) is a (local) homomorphism of local rings, and M is a finitely gen-
erated A-module. Suppose further that for each t ∈ Z≥0 , M/(nt M) is flat over
B/nt . Show that M is flat over B. (In combination with Exercise 24.6.A, this gives
another proof of the local criterion of flatness, Theorem 24.6.2.) Hint: follow the
proof of Theorem 24.6.2. Given the hypothesis, then for each t, we wish to show
that ker ϕ maps to 0 in ([Link]). We wish to apply (·)⊗B M to ([Link]) and obtain
the (exactness of the) top row of ([Link]). To do this, show that applying (·) ⊗B M
to ([Link]) is the same as applying (·) ⊗B/nt (M/nt M). Then proceed as in the
rest of the proof of Theorem 24.6.2.
Exercise 24.6.C implies the useful fact that if A is a Noetherian local ring, then
its completion (at its maximal ideal) is flat over A.
24.6.4. The slicing criterion for flatness.
A useful variant of the local criterion is the following. Suppose t is a non-
zerodivisor of B in n (geometrically: an effective Cartier divisor on the target pass-
ing through the closed point). If M is flat over B, then t is not a zerodivisor of M
(Observation 24.2.2). Also, M/tM is a flat B/tB-module (flatness commutes with
base change, Exercise 24.2.I). The next result says that this is a characterization of
flatness, at least when M is finitely generated, or somewhat more generally.
24.6.5. Theorem (slicing criterion for flatness). — Suppose (B, n) → (A, m) is a
local morphism of Noetherian local rings, M is a finitely generated A-module, and t ∈ n
is a non-zerodivisor on B. Then M is B-flat if and only if
(i) t is not a zerodivisor on M, and
(ii) M/tM is flat over B/(t).
(For slicing criteria for other properties, see Exercise 13.2.C and Theorem 28.2.3.)
Proof. Assume that t is not a zerodivisor on M, and M/tM is flat over B/(t). We
will show that M is B-flat. (As stated at the start of §24.6.4, the other implication is
a consequence of what we have already shown.)
By the local criterion for flatness, Theorem 24.6.2, we know
B/(t)
Tor1 (M/tM, (B/(t))/n) = 0,
and we wish to show that TorB 1 (M, B/n) = 0. (Note that (B/(t))/n = B/n.) The
result then follows from the following lemma. □
24.6.6. Lemma. — Suppose M is a B-module, and t ∈ B is not a zerodivisor on M.
Then for any B/(t)-module N, we have
B/(t)
([Link]) TorB
i (M, N) = Tori (M/tM, N).
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Proof. We calculate the left side of ([Link]) by taking a free resolution of M:
([Link]) ··· / F2 / F1 / F0 /M / 0.
By Exercise 24.3.A, TorBi (M, B/(t)) = 0 for i > 0 (here we use that t is not a zero-
divisor on M, to show that TorB 1 (M, B/(t)) = 0). But this Tor module is computed
by tensoring the free resolution ([Link]) of M with B/(t). Thus the complex
([Link]) ··· / F2 /tF2 / F1 /tF1 / F0 /tF0 / M/tM /0
is exact (exactness except at the last term comes from the vanishing of Tori ). This is
a free resolution of M/tM over the ring B/(t)! The left side of ([Link]) is obtained
by tensoring ([Link]) by N and truncating and taking homology, and the right
side is obtained by tensoring ([Link]) by N and truncating and taking homology.
As (·) ⊗B N = (· ⊗B (B/t)) ⊗B/t N, we have established ([Link]) as desired. □
24.6.D. E XERCISE . Give a second (admittedly less direct) proof of the criterion for
flatness over a discrete valuation ring of Exercise 24.4.J, using the slicing criterion
for flatness (Theorem 24.6.5).
24.6.E. E XERCISE . Use the slicing criterion to give a second solution to Exer-
cise 24.4.I, on two planes in P4 meeting at a point.
The following exercise gives a sort of slicing criterion for flatness in the source.
24.6.F. E XERCISE . Suppose A is a B-algebra, A and B are Noetherian, M is a finitely
generated A-module, and f ∈ A has the property that for all prime ideals n ⊂ B,
multiplication by f is injective on M/nM. Show that if M is B-flat, then M/fM is
also B-flat. Show the same result with the hypothesis “for all prime ideals n ⊂ B”
replaced by “(B, n) → (A, m) is a local homomorphism of local rings”. (Hint: Use
the local criterion for flatness, Theorem 24.6.2. Notice that
×f
0 /M /M / M/fM /0
is a flat resolution of M/fM.)
Exercise 24.6.F has an immediate geometric interpretation: “Suppose π : X →
Y is a morphism of Noetherian schemes, F is a coherent sheaf on X, and Z ,→ X is a
locally principal subscheme ...” In the special case where F = OX , this leads to the
notion of a relative effective Cartier divisor: a locally principal subscheme of X
that is an effective Cartier divisor on all the fibers of π. Exercise 24.6.F implies that
if π is flat, then any relative effective Cartier divisor is also flat. (See Exercise 26.3.F
for an important application.)
24.6.7. Remark: Local slicing criterion for flatness in the source, without Noetherian
assumptions.
The Noetherian hypotheses in Exercise 24.6.F can be removed. Suppose (B, n) →
(A, m) is a flat (local) homomorphism of local rings (not necessarily Noetherian).
Suppose further that A is the localization of a finitely presented B-algebra. (This
means that A is essentially finitely presented, or essentially of finite presentation, over
B, but we won’t need this language.) If f ∈ A is a non-zerodivisor in B/mB, then
A/f is flat over B. See [Stacks, tag 046Z] for a proof.
688 The Rising Sea: Foundations of Algebraic Geometry
24.6.8. ⋆⋆ Fibral flatness. We conclude by mentioning a criterion for flatness that
is useful enough to be worth recognizing, but not so useful as to merit proof here.
24.6.G. E XERCISE . Suppose we have a commuting diagram
([Link]) X?
π /Y
??
??
?
τ ?? ρ
Z
and a quasicoherent sheaf F on X, and points p ∈ X, q = π(p) ∈ Y, r = τ(p) ∈ Z.
Suppose ρ is flat at q, and F is π-flat at p. Show that F is τ-flat at p, and F |r is
πr -flat at p. Here F |r is the restriction of F to the fiber above r, and πr : τ−1 (r) →
ρ−1 (r) is the restriction of π above r.
The Fibral Flatness Theorem states that in good circumstances the converse is
true.
24.6.9. The Fibral Flatness Theorem ([Gr-EGA, IV3 .11.3.10], see also [Stacks, tag
039A]). — Suppose we have a commuting diagram ([Link]) and a finitely presented
sheaf F on X, and points p ∈ X, q = π(p) ∈ Y, r = τ(p) ∈ Z, with Fp ̸= 0. Suppose
either X and Y are locally Noetherian, or ρ and τ are locally of finite presentation. Then
the following are equivalent.
(a) F is τ-flat at p, and F |r is πr -flat at p.
(b) ρ is flat at q, and F is π-flat at p.
This is a useful way of showing that a F is π-flat. The architecture of the argu-
ment is as follows. First reduce to the case where X, Y, and Z are affine. Cleverly
reduce to the Noetherian case (see [Gr-EGA, IV.11.2.7]), then solve the resulting
nontrivial problem in commutative algebra (see [Gr-EGA, IV.[Link]]).
24.7 Flatness implies constant Euler characteristic
We come to an important consequence of flatness promised in §24.1. We will
see that this result implies many answers and examples to questions that we would
have asked before we even knew about flatness.
24.7.1. Important Theorem (Euler characteristic is constant in flat families). —
Suppose π : X → Y is a projective morphism of locally Noetherian
∑ schemes, and F is a
coherent sheaf on X, flat over Y. Then χ(Xq , F |Xq ) = i≥0 (−1) h (Xq , F |Xq ) is a
i i
locally constant function of q ∈ Y (where Xq = π (q)).
−1
This is the first sign that “cohomology behaves well in flat families.” (We
will soon see a second: the Semicontinuity Theorem 26.1.1. A different proof of
Theorem 24.7.1, giving an extension to the proper case, will be given in §26.2.5.)
The Noetherian hypotheses are used to ensure that π∗ F (m) is a coherent sheaf.
Theorem 24.7.1 gives a necessary condition for flatness. Converses (yielding a
sufficient condition) are given in Exercise 24.7.A.
April 1, 2023 draft 689
Proof. We make three quick reductions. (i) The question is local on the target Y, so
we may reduce to case Y is affine, say Y = Spec B, so π factors through a closed
embedding X ,→ Pn B for some n. (ii) We may reduce to the case X = PB , by
n
considering F as a sheaf on PB . (iii) We may reduce to showing that for m ≫ 0,
n
h0 (Xq , F (m)|Xq ) is a locally constant function of q ∈ Y (by Serre vanishing for
m ≫ 0, Theorem 18.1.3(ii), h0 agrees with the Euler characteristic).
Twist by O(m) for m ≫ 0, so that all the higher cohomology of F vanishes.
Now consider the Čech complex C • for F (m). Note that all the terms in the
Čech complex C • are flat, because F is flat. (Do you see why?) As all higher
cohomology groups (higher pushforwards) vanish, C • is exact except at the first
term, where the cohomology is Γ (π∗ F (m)). We add the module Γ (π∗ F (m)) to the
front of the complex, so it is once again exact:
([Link])
0 / Γ (π∗ F (m)) / C1 / C2 / ··· / C n+1 / 0.
(We have done this trick of tacking on a module before, for example in ([Link]).)
Thus by Exercise 24.3.G, as we have an exact sequence in which all but the first
terms are flat, the first term is flat as well. Thus π∗ F (m) is a flat coherent sheaf on
Y, and hence locally free (Corollary 24.4.7), and thus has locally constant rank.
Suppose q ∈ Y. We wish to show that the Hilbert function hF |Xq (m) is a
locally constant function of q. To compute hF |Xq (m), we tensor the Čech reso-
lution with κ(q) and take cohomology. Now the extended Čech resolution (with
Γ (π∗ F (m)) tacked on the front), ([Link]), is an exact sequence of flat modules,
and hence remains exact upon tensoring with κ(q) (Exercise 24.3.F). Thus
∼ Γ (π∗ F (m)|q ),
Γ (π∗ F (m)) ⊗ κ(q) =
so the Hilbert function hF |Xq (m) is the rank at q of a locally free sheaf, which is a
locally constant function of q ∈ Y. □
Before we get to the interesting consequences of Theorem 24.7.1, we mention
some converses.
24.7.A. U NIMPORTANT E XERCISE ( CONVERSES TO T HEOREM 24.7.1). (We won’t
use this exercise for anything.)
(a) Suppose A is a ring, and S• is a finitely generated A-algebra that is flat over A.
Show that Proj S• is flat over A.
(b) Suppose π : X → Y is a projective morphism of locally Noetherian schemes
(which as always includes the data of an invertible sheaf OX (1) on X), such that
π∗ OX (m) is locally free for all m ≥ m0 for some m0 . Show that π is flat. Hint:
describe X as
( ⊕ )
Proj OY (⊕m≥m0 π∗ OX (m)) .
(c) More generally, suppose π : X → Y is a projective morphism of locally Noether-
ian schemes, and F is a coherent sheaf on X, such that π∗ F (m) is locally free for
all m ≥ m0 for some m0 . Show that F is flat over Y.
(d) Suppose π : X → Y is a projective morphism
∑ of locally Noetherian schemes,
and F is a coherent sheaf on X, such that (−1)i hi (Xq , F |q ) is a locally constant
690 The Rising Sea: Foundations of Algebraic Geometry
function of q ∈ Y. If Y is reduced, show that F must be flat over Y. (Hint: Ex-
ercise 14.3.L shows that constant rank implies local freeness in particularly nice
circumstances.)
We now give some ridiculously useful consequences of Theorem 24.7.1.
24.7.2. Corollary. — Assume the same hypotheses and notation as in Theorem 24.7.1.
Then the Hilbert polynomial of F |Xq is locally constant as a function of q ∈ Y.
24.7.B. C RUCIAL E XERCISE . Suppose X → Y is a projective flat morphism, where
Y is connected. Show that the following functions of q ∈ Y are constant: (a) the
degree of the fiber, (b) the dimension of the fiber, (c) the arithmetic genus of the
fiber.
24.7.C. E XERCISE . Use §24.4.9 and Exercise 24.7.B(a) to give another solution to
Exercise 16.3.D(a) (“the degree of a finite map from a curve to a regular curve is
constant”).
Another consequence of Corollary 24.7.2 is something remarkably useful.
24.7.3. Corollary. — An invertible sheaf on a flat projective family of curves has locally
constant degree on the fibers.
(Recall that the definition of the degree of a line bundle on a projective curve
requires no hypotheses on the curve such as regularity, see ([Link]).)
Proof. An invertible sheaf L on a flat family of curves is always flat (as locally it is
isomorphic to the structure sheaf). Hence χ(Xq , Lq ) is a constant function of q. By
the definition of degree given in ([Link]), deg(Xq , Lq ) = χ(Xq , Lq ) − χ(Xq , OXq ).
The result follows from the local constancy of χ(Xq , Lq ) and χ(Xq , OXq ) (Theo-
rem 24.7.1). □
The following exercise is a serious generalization of Corollary 24.7.3.
24.7.D. ⋆ E XERCISE
FOR THOSE WHO HAVE READ STARRED C HAPTER 20: INTER -
SECTION NUMBERS ARE LOCALLY CONSTANT IN FLAT FAMILIES . Suppose
π : X → Y is a flat projective morphism to a connected scheme; L1 , . . . , Ln are
line bundles on X; and F is a coherent sheaf on X, flat over Y, such that the sup-
port of F when restricted to any fiber of π has dimension at most n. If q is any
point of Y, define (the temporary notation) (L1 · L2 · · · Ln · F )q to be the inter-
section on the fiber Xq of L1 , . . . , Ln with F |Xq (Definition 20.1.1). Show that
(L1 · L2 · · · Ln · F )q is independent of q.
Corollary 24.7.3 motivates the following discussion.
24.7.4. Definition. Suppose L1 and L2 are line bundles on a k-variety X. We say
that L1 and L2 are algebraically equivalent if there exists a connected (but not
necessarily irreducible) k-variety Y with two k-valued points q1 and q2 , and a line
bundle L on X × Y such that the restriction of L to the fibers over q1 and q2 are
isomorphic to L1 and L2 respectively.
April 1, 2023 draft 691
24.7.E. E XERCISE . Show that “algebraic equivalence” really is an equivalence
relation. Show that the line bundles algebraically equivalent to O form a subgroup
of Pic X. This subgroup is denoted Pic0 X.
24.7.5. The Néron-Severi group is the group of line bundles Pic X modulo alge-
braic equivalence, Pic X/ Pic0 X. (This definition was promised in §18.4.9.) By
Corollary 24.7.3, algebraic equivalence implies numerical equivalence (§18.4.9):
Pic0 X ⊂ Picτ X. (Side Remark: a line bundle on a proper k-scheme X is numer-
ically trivial if and only if there exists an integer m ̸= 0 with L⊗m algebraically
trivial. Thus Picτ X/ Pic0 X is torsion. See [SGA6, XIII, Thm. 4.6] for a proof, or
[Laz, Cor. 1.4.38] for the projective case.)
24.7.6. ⋆ Hironaka’s example of a proper nonprojective smooth threefold.
In §15.2.13, we produced a proper nonprojective variety, but it was singular.
We can use Corollary 24.7.3 to give a smooth example, due to Hironaka.
Inside P3k , fix two conics C1 and C2 , which meet in two (k-valued) points, p1
and p2 . We construct a proper map π : X → P3k as follows. Away from pi , we blow
up Ci and then blow up the proper transform of C3−i (see Figure 24.3). This is
well-defined, as away from p1 and p2 , C1 and C2 are disjoint, blowing up one and
then the other is the same as blowing up their union, and thus the order doesn’t
matter.
F IGURE 24.3. Hironaka’s example of a proper nonprojective
smooth threefold
Note that π is proper, as it is proper away from p1 , and proper away from
p2 , and the notion of properness is local on the target (Proposition 11.5.4(b)). As
P3k is proper (over k, Theorem 8.4.10), and compositions of proper morphisms are
proper (Proposition 11.5.4(c)), X is proper.
692 The Rising Sea: Foundations of Algebraic Geometry
24.7.F. E XERCISE . Show that X is smooth. (Hint: Theorem 22.3.10.) Let Ei be the
preimage of Ci \ {p1 , p2 }. Show that π|Ei : Ei → Ci \ {p1 , p2 } is a P1 -bundle (and
flat).
24.7.G. E XERCISE . Let Ei be the closure of Ei in X. Show that Ei → Ci is flat.
(Hint: Exercise 24.4.J.)
24.7.H. E XERCISE . Show that π−1 (pi ) is the union of two P1 ’s, say Yi and Zi ,
meeting at a point, such that Yi , Y3−i , Z3−i ∈ Ei but Zi ∈
/ Ei .
24.7.I. E XERCISE . Show that X is not projective as follows. Suppose otherwise
L is a very ample line bundle on X, so L has positive degree on every curve
(including the Yi and Zi ). Using flatness of Ei → Ci , and constancy of degree in flat
families (Exercise 24.7.D), show that degYi L = degY3−i L + degZ3−i L . Obtain
a contradiction. (This argument will remind you of the argument of §15.2.13.)
24.7.7. The notion of “projective morphism” is not local on the target. Note that
π : X → P3 is not projective, as otherwise X would be projective (as the compo-
sition of projective morphisms is projective if the final target is quasicompact, Ex-
ercise 17.3.B). But away from each pi , π is projective (as it is a composition of
blow-ups, which are projective by construction, and the final target is quasicom-
pact, so Exercise 17.3.B applies). Thus the notion of “projective morphism” is not
local on the target.
CHAPTER 25
Smooth and étale morphisms, and flatness
We have defined smooth and étale morphisms earlier (Definition 13.6.2), but
we are now in a position to understand them much better. We will see that the
notion of unramified morphism (§21.6) is a natural companion to them.
Our three algebro-geometric definitions won’t be so obviously a natural triplet,
but we will discuss the definitions given in [Gr-EGA] (§25.2.6), and in this context
the three types of morphisms look very similar. (We briefly mention other ap-
proaches and definitions in §25.2.7.)
25.1 Some motivation
The three classes of morphisms we will discuss in this chapter are the analogs
of the following types of maps of manifolds, in differential geometry.
• Submersions are maps inducing surjections of tangent spaces everywhere.
They are useful in the notion of a fibration. (Perhaps a more relevant
notion from differential geometry, allowing singularities, is: “locally on
the source a smooth fibration”.)
• Isomorphisms locally on the source (or local isomorphisms) are maps inducing
isomorphisms of tangent spaces.
• Immersions are maps inducing injections of tangent spaces.
(Recall our warning from §9.2: “immersion” is often used in algebraic geometry
with a different meaning.)
[picture to be made later]
F IGURE 25.1. Sketches of notions from differential geometry: (a)
maps “locally on the source a smooth fibration”, (b) local isomor-
phisms, and (c) immersions. (In algebraic geometry: (a) smooth
morphisms, (b) étale morphisms, and (c) unramified morphisms.)
In order to better understand smooth and étale morphisms, we temporarily
forget our earlier definitions, and consider some examples of things we want to
be analogs of “local isomorphism” (or “locally on the source an isomorphism”)
and “locally on the source a smooth fibration”, and see if they help us make good
definitions.
25.1.1. “Local isomorphisms” (étale morphisms). Consider the parabola x =
y2 projecting to the x-axis, over the complex numbers. (This example has come
693
694 The Rising Sea: Foundations of Algebraic Geometry
up repeatedly, in one form or another, including in Exercise 13.6.E.) We might
reasonably want this to be a local isomorphism (on the source) away from the
origin. We might also want the notion of local isomorphism space to be an open
condition: the locus where a morphism is a local isomorphism should be open
on the source. This is true for the differential geometric definition. But then this
morphism should be a local isomorphism over the generic point, and here we
get a non-trivial residue field extension (C(y)/C(y2 )), not an isomorphism. Thus
we are forced to consider (the Spec’s of) certain finite extensions of fields to be
“isomorphisms locally on the source” — in this case, even “covering spaces”. (We
will see in Exercise 25.2.C that we want precisely the finite separable extensions;
you could have shown this earlier.)
Note also in this example there are no (nonempty) Zariski-open subsets U ⊂
Spec C[x] \ {0} and V ⊂ Spec C[x, y]/(x − y2 ) \ {(0, 0)} where the map sends U into
V isomorphically (Exercise 13.6.E), so this is not a local isomorphism in a way you
may have seen before. This leads to the notion of the étale topology, which is not
even a topology in the usual sense, but a “Grothendieck topology” (§6.2.9). The
étale topology is beyond the scope of this book.
25.1.2. Submersions (smooth morphisms).
25.1.3. Fibers are smooth varieties. As a first approximation of the algebro-geometric
version of submersion, we will want the fibers to be smooth varieties (over the
residue field). So the very first thing we need is to generalize the notion of “vari-
ety” over a base. It is reasonable to do this by having a locally finite type hypoth-
esis. For somewhat subtle reasons, we will require the stronger condition that the
morphism be locally of finite presentation. (If you really care, you can see where
it comes up in our discussion. But of course there is no difference for Noetherian
readers.)
The fibers are not just varieties; they should be smooth varieties (of dimension
n, say). From the case of smoothness over a field, or from our intuition of what
smooth varieties should look like, we expect the sheaf of differentials on the fibers
to be locally free of rank n, or even better, that the sheaf of relative differentials be
locally free of rank n.
25.1.4. Flatness. At this point, our first approximation of “smooth morphism” is
some version of “locally finitely presented, and fibers are smooth varieties”. But
that isn’t quite enough. For example, a horrible map from a scheme X to a curve
Y that maps a different regular variety to each point of Y (X is the infinite disjoint
union of these) should not be considered a smooth fibration in any reasonable
sense. Also, we might not want to consider Spec k → Spec k[ϵ]/(ϵ2 ) to be a sub-
mersion; for example, this isn’t surjective on tangent spaces, and more generally
the picture “doesn’t look like a fibration”.
Both problems are failures of π : X → Y to be a nice, “’continuous” family.
Whenever we are looking for some vague notion of “niceness” we know that “flat-
ness” will be in the definition.
For comparison, note that “unramified” has no flatness hypothesis, and in-
deed we didn’t expect it, as we would want the inclusion (closed embedding) of
the origin into A1 to be unramified. But then weird things may be unramified.
April 1, 2023 draft 695
F IGURE 25.2. We don’t want this to be a “smooth morphism”
⨿
For example, if X = z∈C Spec C, then the morphism X → A1C sending the point
corresponding to z to the point z ∈ A1C is unramified. Such is life.
25.1.5. Desired Alternate Definitions. We might hope that a morphism π : X → Y is
smooth of relative dimension n if and only if
(i) π is locally of finite presentation,
(ii) π is flat of relative dimension n, and
(iii) ΩX/Y is locally free of rank n.
We might similarly hope that a morphism π : X → Y is étale if and only if
(i) π is locally of finite presentation,
(ii) π is flat, and
(iii) ΩX/Y = 0.
We will shortly show (in Theorem 25.2.2 and Exercise 25.2.B respectively) that
these desired definitions are equivalent to Definition 13.6.2.
25.2 Different characterizations of smooth and étale morphisms
The main result in this section is a description of equivalent characterizations
of smooth morphisms, Theorem 25.2.2. We will state the theorem, and then give
consequences, and then finally give a proof.
25.2.1. But first, we discuss a preliminary fact. It requires something from §28.2.7:
if k is a field, and f1 , . . . , fi ∈ k[x1 , . . . , xN ] cut out a dimension N − i subscheme
X of AN k , and fi+1 ∈ k[x1 , . . . , xN ] does not vanish on any irreducible component
of X, then fi+1 is not a zerodivisor on X. For now, take this fact for granted; you
shouldn’t read all of Chapter 28 in order to do this exercise. There are other ways
around this issue, but it is not worth the effort. (The case i = 1 was Exercise 6.6.F.)
25.2.A. E XERCISE . Suppose π : X → Y is smooth of relative dimension n. Either (i)
assume Y (and hence X) is locally Noetherian, or (ii) accept Remark 24.6.7 (the slic-
ing criterion for flatness in the source without Noetherian hypotheses, which had a
696 The Rising Sea: Foundations of Algebraic Geometry
reference rather than a proof). Show that π is flat. Hint: suppose π is the morphism
Spec B[x1 , . . . xn+r ]/(f1 , . . . , fr ) → Spec B. Consider B[x1 , . . . , xn+r ]/(f1 , . . . , fi ) as
i runs from 0 to r, and use induction on i and the slicing criterion for flatness in
the source ((i) Exercise 24.6.F or (ii) Remark 24.6.7).
We now come to the central result of this section.
25.2.2. Theorem. — Suppose π : X → Y is a morphism of schemes. Then the following
are equivalent.
(i) The morphism π is smooth of relative dimension n (Definition 13.6.2).
(ii) The morphism π is locally finitely presented and flat of relative dimension n; and
Ωπ is locally free of rank n (Desired Alternate Definition 25.1.5).
(iii) The morphism π is locally finitely presented and flat, and the fibers are smooth
k-schemes of pure dimension n.
(iv) The morphism π is locally finitely presented and flat, and the geometric fibers are
smooth k-schemes of pure dimension n.
Before proving Theorem 25.2.2, we motivate it, by giving a number of exercises
and results assuming it.
25.2.B. E XERCISE . Show that a morphism π is étale (Definition 13.6.2) if and only
if π is locally of finite presentation, flat, and Ωπ = 0 (Desired Alternate Defini-
tion 25.1.5).
25.2.C. E ASY E XERCISE . Suppose π : X → Y is a morphism. Show that the follow-
ing are equivalent.
(a) π is étale.
(b) π is smooth and unramified.
(c) π is locally finitely presented, flat, and unramified.
(d) π is locally finitely presented, flat, and for each q ∈ Y, π−1 (q) is the dis-
joint union of schemes of the form Spec K, where K is a finite separable
extension of κ(q).
(e) π is locally finitely presented, flat, and for each geometric point q of Y,
π−1 (q) is the (scheme-theoretic) disjoint union of copies of q.
25.2.D. E XERCISE . If π : X → Y is étale, show that any preimage p ∈ X of any regu-
lar point q ∈ Y whose local ring has dimension n is also a regular point whose local
ring has dimension n. Hint: Prove the result by induction on dim OY,q . “Slice” by
an element of mY,q \ m2Y,q . Use the slicing criterion for regularity (Exercise 13.2.C).
25.2.3. Proof of the Smoothness-Regularity Comparison Theorem 13.2.7(b) (every smooth
k-scheme is regular). By Observation 13.6.4, any dimension n smooth k-scheme X
can locally be expressed as an étale cover of An
k , which is regular by Exercise 13.3.P.
Then by Exercise 25.2.D, X is regular. □
25.2.E. E XERCISE . Suppose π : X → Y is a morphism of equidimensional k-
varieties, and Y is smooth. Use the cotangent exact sequence (Theorem 21.2.23)
to show the following.
(a) Suppose that dim X = dim Y = n, and π is unramified. Show that X is smooth.
April 1, 2023 draft 697
⋆ (b) Suppose dim X = m > dim Y = n, and the (scheme-theoretic) fibers of π over
closed points are smooth of dimension m − n. Show that X is smooth.
25.2.F. E XERCISE . Suppose π : X → Y is a morphism (over k) of smooth equidi-
mensional k-varieties, where dim X = m and dim Y = n. (These two parts are
clearly essentially the same geometric situation.)
(a) Show that if the fibers of π are all smooth of dimension m − n, then π is smooth
of relative dimension m − n.
(b) Show that if π∗ ΩY → ΩX is an “injection of vector bundles” (its cokernel is
locally free, or equivalently, “Tπ is surjective”), then π is smooth of relative dimen-
sion m − n.
Hint: for each point q ∈ Y, OY,q is a regular local ring. Work by induction on
dim OY,q , and “slice” by an element of mY,q \ m2Y,q .
25.2.G. E XERCISE . Suppose π : X → Y is locally finitely presented, ρ : Y → Z is
étale, and τ = ρ ◦ π. Show that π is smooth of dimension n (e.g., étale, taking
n = 0) if and only if τ is. (We showed earlier that π is unramified if and only if τ
is. Do you see why and where?) Hint: use the Cancellation Theorem 11.2.1 for flat
morphisms and Exercise 21.6.F. For the Ω part of the problem, use the cotangent
exact sequence, Theorem 21.2.23. (If you only solved Exercise 21.6.F(a), then you
will still be able to use it to prove this in the Noetherian case.)
25.2.4. ⋆⋆ Proof of Theorem 25.2.2.
(i) implies (ii). As noted in §13.6.2, local finite presentation is clear. Flatness
follows from Exercise 25.2.A. Finally, the sheaf of relative differentials is locally
free of rank n by Exercise 21.2.Q.
(ii) implies (iii). Suppose π satisfies (ii). We wish to show that the fibers are
smooth. The hypotheses of (ii) are preserved by base change, so we may assume
that Y = Spec k. Then X is indeed smooth (see the equivalent Definition 21.3.1).
(iii) implies (iv) by Exercise 13.2.H.
We now come to the main part of the argument: (iv) implies (i). (Part of this
argument will be reminiscent of the proof of Theorem 13.6.5, in which we also had
to prove smoothness.)
Fix a closed point p ∈ X. Let q = π(p) ∈ Y, say q = Spec k. We will show
that there is an open neighborhood Ui of p and Vi of q of the form stated in Def-
inition 13.6.2. It suffices to deal with the case that p is a closed point in π−1 (q),
because closed points are dense in finite type schemes (Exercise 5.3.F). (We cannot
and do not assume that q is a closed point of Y.)
Because π is finitely presented, there are affine open neighborhoods U of p and
V of q, with π(U) ⊂ V, such that the morphism π|U : U → V can be written as
Spec B[x1 , . . . , xN ]/I / Spec B,
where I is finitely generated.
Fix a geometric point q = Spec k of Y mapping to q. Fix a point p of the
geometric fiber over q, which maps to p ∈ X. (Why is there such a p?) We then
698 The Rising Sea: Foundations of Algebraic Geometry
have a diagram
Uk / Uk /U
Spec k[x1 , . . . , xN ]/Ik / Spec k[x1 , . . . , xN ]/Ik / Spec B[x1 , . . . , xN ]/I
π|U
Spec k / Spec k / Spec B
q / q /V
where Uk (resp. Uk ) are the fibers of U over q (resp. q), and Ik (resp. Ik ) is the ideal
cutting out Uk (resp. Uk ) in AN k
(resp. AN
k ).
We make an important observation, using §24.3.2 (for a closed subscheme flat
a base, the pullback of the defining ideal as a quasicoherent sheaf is the same as
the ideal of the pulled back closed subscheme). Because B[x1 , . . . , xN ]/I is flat over
B, we have that Ik = I ⊗B k and Ik = I ⊗B k.
By our hypothesis (iv), the geometric fiber Uk ⊂ AkN is smooth, and hence
regular at its closed points by Exercise 13.2.E. (Here we use the fact that k is alge-
braically closed.)
Let r = N − n be the codimension of Uk in AN k (and the codimension of Uk
in ANk
). By the Jacobian criterion for smoothness over a field (§??), the cotangent
space for Uk at p is cut out in ΩAN |p by r linear equations (over k). By the conormal
k
exact sequence for Uk ⊂ AN k
(Theorem 21.2.23(b)), these equations are spanned by
the elements of Ik , which in turn are spanned by elements of I (as Ik = I ⊗B k, so
elements of Ik are finite sums of pure tensors i ⊗ a with i ∈ I and a ∈ k). Thus
we can choose f1 , . . . , fr in I so that the images of f1 , . . . , fr in k[x1 , . . . , xN ] cut out
the Zariski tangent space of Uk at p (as the Zariski tangent space at a closed point
of a variety over an algebraically closed field is computed by the Jacobian matrix,
Exercise 13.2.E).
25.2.H. E XERCISE . Show that f1 , . . . , fr generate the ideal (Ik )p . Hint: look at your
argument for Exercise 13.2.M(a).
Rearrange the xi ’s so that the Jacobian matrix of the fi with respect to the first r
of the xi is invertible at p, and hence at p, and hence in an open neighborhood of p.
Then (an open neighborhood of p in) Spec B[x1 , . . . , xN ]/(f1 , . . . , fr ) is of the form
we are looking for. We will show that U is the same as Spec B[x1 , . . . , xN ]/(f1 , . . . , fr )
(i.e., I = (f1 , . . . , fr )) near p, thereby completing the proof.
For notational compactness (at the cost of having subscripts later on with con-
fusingly different meanings), define
A := B[x1 , . . . , xN ]/(f1 , . . . , fr ),
Ak := A ⊗B k = k[x1 , . . . , xN ]/(f1 , . . . , fr ),
Ak := A ⊗B k = k[x1 , . . . , xN ]/(f1 , . . . , fr ).
April 1, 2023 draft 699
We have the diagram
A/J o @A
`AA
AA
AA
AA
B
where J denotes the image of I in A. We wish to show that “J is 0 near p”.
Let m be the maximal ideal of A corresponding to p, and let m be the maximal
ideal of Ak corresponding to p.
Let Jk be the image of Ik in Ak . We use §24.3.2 a second time in this proof.
Because A/J = B[x1 , . . . , xN ]/I is flat over B, Jk can be interpreted both as the
pullback of J as a quasicoherent sheaf, or as the ideal sheaf of the “pulled back
closed subscheme corresponding to J”. More precisely,
([Link]) J ⊗B k = JAk .
Similarly,
([Link]) J ⊗B k = JAk .
Now Exercise 25.2.H means that
( )
J · Ak m = (0),
so taking the quotient by the maximal ideal m of (Ak )m yields
( ) ( )
J · Ak ⊗Ak Ak /m = (0),
which by ([Link]) can be rewritten as
( ) ( )
J ⊗B k ⊗A⊗B k Ak /m = (0),
which in turn can be readily rewritten as
( )
(J ⊗B k) ⊗A⊗B k Ak /m = (0)
and then as ( )
((J ⊗B k) ⊗A⊗B k (Ak /m)) ⊗Ak /m Ak /m = (0)
But Ak /m = k is a field extension of Ak /m = k, and a k-vector space V is 0 if (and
only if) V ⊗k k = 0, so we have shown that
((J ⊗B k) ⊗A⊗B k (Ak /m)) = (0).
Using ([Link]) (essentially reversing our steps, with k replaced by k), we have
(J · Ak ) ⊗Ak (Ak /m) = 0,
which means that J ⊗A (A/m) = 0.
25.2.I. E XERCISE . Show that Jm = 0, and from this conclude that there is an
element f ∈ A \ m such that fJ = 0. (Hint: Nakayama, and finite generation of J.)
Then J = 0 in the open neighborhood D(f) ⊂ Spec A of p, implying that (i)
holds. □
This proof can be made notably easier by working in characteristic 0, where
we can take (iii) rather than (iv) as our starting point to prove (i), using the fact
that smooth schemes over perfect fields k are regular at closed points (see Exer-
cise 21.3.C).
700 The Rising Sea: Foundations of Algebraic Geometry
25.2.5. ⋆⋆ Formally unramified, smooth, and étale.
[Gr-EGA] takes a different starting point for the definition of unramified, smooth,
and étale. The definitions there make clear that these three definitions form a fam-
ily.
The cost of these definitions are that they are perhaps less immediately moti-
vated by geometry, and it is harder to show some basic properties. The benefit is
that it is possible to show more (for example, left-exactness of the cotangent and
conormal exact sequences, and good interpretations in terms of completions of lo-
cal rings). But we simply introduce these ideas here, and do not explore them. See
[BLR, §2.2] for an excellent discussion. (You should largely ignore what follows,
unless you find later in life that you really care.)
25.2.6. Definition. We say that π : X → Y is formally smooth (resp. formally
étale, formally unramified) if for all affine schemes Z, and every closed subscheme
Z0 ⊂ Z defined by a nilpotent ideal, and every morphism Z → Y, the canonical
map HomY (Z, X) → HomY (Z0 , X) is surjective (resp. bijective, injective). This
is summarized in the following diagram, which is reminiscent of the valuative
criteria for separatedness and properness.
Z0 _ /X
>
?
nilpotent ideal π
Z /Y
(You can check that this is the same as the definition we would get by replacing
“nilpotent” by “square-zero”. This is sometimes an easier formulation to work
with.)
Then [Gr-EGA] defines smooth as morphisms that are formally smooth and
locally of finite presentation, and similarly for unramified and étale.
One can show that [Gr-EGA]’s definitions of formally unramified, and smooth
agree with the definitions we give. For “formally unramified” (where our defini-
tion given in §21.6 is not obviously the same as the definition of [Gr-EGA] given
here), see [Gr-EGA, IV4 .17.2.1] or [Stacks, tag 00UO]. For “smooth”, see [Gr-EGA,
IV4 .17.5.1] or [Stacks, tag 00TN]. (Our characterization of étale as smooth of rel-
ative dimension 0 then agrees with [Gr-EGA]. Our definition of unramified as
formally unramified plus locally of finite type disagrees with [Gr-EGA], as men-
tioned in §21.6.)
25.2.7. Other starting points. Unlike many other definitions in algebraic geom-
etry, there are a number of quite different ways of defining smooth, étale, and
unramified morphisms, and it is nontrivial to relate them. We have just described
the approach of [Gr-EGA]. Another common approach is the characterization of
smooth morphisms as locally finitely presented, flat, and with regular geomet-
ric fibers (see Theorem 25.2.2). Yet another definition is via a naive version of
the cotangent complex; this is the approach taken by [Stacks, tag 00T2], and is
less frightening than it sounds. Finally, the different characterizations of Exer-
cise 25.2.C give a number of alternate initial definitions of étaleness.
April 1, 2023 draft 701
25.3 Generic smoothness and the Kleiman-Bertini Theorem
We will now discuss a number of important results that fall under the rubric
of “generic smoothness”, an idea we first met in §21.3.3. All will require working
over a field of characteristic 0 in an essential way.
25.3.1. Theorem (generic smoothness on the source). — Let k be a field of character-
istic 0, and let π : X → Y be a dominant morphism of integral k-varieties. Then there is a
nonempty (=dense) open set U ⊂ X such that π|U is smooth of dimension dim X − dim Y.
The key idea already appeared in Theorem 21.3.4, when we showed that every
variety has an open subset that is regular.
Proof. Define n = dim X − dim Y (the “relative dimension”). Now K(X)/K(Y) is a
finitely generated field extension of transcendence degree n (from transcendence
theory, see for example Exercise 12.2.A), so ΩX/Y has rank n at the generic point,
by Exercise 21.2.M(b). (Here we use the hypothesis char k = 0, as we are using
the fact that K(X)/K(Y) is separably generated by any transcendence basis.) By
upper semicontinuity of fiber rank of a coherent sheaf (Exercise 14.3.K), it is rank
n for every point in a dense open set. On a reduced scheme, constant rank implies
locally free of that rank (Exercise 14.3.L), so ΩX/Y is locally free of rank n on that
set. Also, by generic flatness (Exercise 24.5.R), it is flat on a dense open set. Let U
be the intersection of these two open sets. □
25.3.2. Example. An examination of the proof yields an example showing that this
result fails in positive characteristic: consider the purely inseparable extension
Fp (t)/Fp (tp ). The same problem can arise even over an algebraically closed field of
characteristic p: consider A1k = Spec k[t] → Spec k[u] = A1k , given by u 7→ tp .
If furthermore X is smooth, the situation is even better.
25.3.3. Theorem (generic smoothness on the target). — Suppose π : X → Y is a
morphism of k-varieties, where char k = 0, and X is smooth (over k). Then there is a
dense open subset U of Y such that π|π−1 (U) is a smooth morphism.
Note that π−1 (U) may be empty! Indeed, if π is not dominant, we will have to
take such a U.
To prove Theorem 25.3.3, we use a neat trick. Suppose π : X → Y is a morphism
of schemes that are finite type over k, where char k = 0. Define
{ ( ) }
Xr = p ∈ X : rank π∗ ΩY/k → ΩX/k p ≤ r .
25.3.A. E XERCISE . Show that Xr is a closed subset of X. Hint: If X and Y are both
smooth, show that the rank condition implies that Xr is cut out by “determinantal
equations”, or use an appropriate form of uppersemicontinuity.
By Chevalley’s Theorem 8.4.2, π(Xr ) is constructible, so we can make sense of
dim π(Xr ).
702 The Rising Sea: Foundations of Algebraic Geometry
25.3.4. Lemma. — If π : X → Y is a morphism of schemes that are finite type over k,
where char k = 0, then dim π(Xr ) ≤ r.
Proof. In this proof, we make repeated use of the identification of Zariski cotangent
spaces at closed points with the fibers of cotangent sheaves, using Corollary 21.3.8.
We can replace X by an irreducible component of Xr , and Y by the closure of that
component’s image in Y (with reduced subscheme structure, see §9.4.9). The result-
ing map will have all of X contained in Xr , so we may as well assume X = Xr . This
boils down to the following linear algebra observation: if a linear map ρ : V1 → V2
has rank at most r, and Vi′ is a subspace of Vi , with ρ sending V1′ to V2′ , then
the restriction of ρ to V1′ has rank at most that of ρ itself.) Thus we have a dom-
inant morphism π : X → Y, and we wish to show that dim Y ≤ r. Using generic
smoothness on the source (Theorem 25.3.1) for Y → Spec k, we can shrink Y fur-
ther so as to assume that it is smooth. By generic smoothness on the source for
π : X → Y, there is a nonempty open subset U ⊂ X such that π : U → Y is smooth.
But then for any point p ∈ U, the cotangent map π∗ ΩY |π(p) → ΩX |p is injective
(Exercise 21.2.S), and has rank at most r. Taking p to be a closed point, we have
dim Y = dimπ(p) Y ≤ dim ΩY |π(p) ≤ r. □
There is not much left to do to prove the theorem.
25.3.5. Proof of Theorem 25.3.3. Reduce to the case Y smooth over k (by restricting to
a smaller open set, using generic smoothness of Y, Theorem 25.3.1). Say n = dim Y.
Now dim π(Xn−1 ) ≤ n − 1 by Lemma 25.3.4 , so remove π(Xn−1 ) from Y as well.
Then the rank of Ωπ is at least n for each closed point of X. But as Y is regular of
dimension n, we have that Ωπ = (π∗ ΩY/k → ΩX/k ) is injective for every closed
point of X, and hence π∗ ΩY/k → ΩX/k is an injective map of sheaves (Do you see
why?). Thus π is smooth by Exercise 25.2.F(b). □
25.3.6. ⋆⋆ The Kleiman-Bertini Theorem. The same idea of bounding the di-
mension of some “bad locus” can be used to prove the Kleiman-Bertini Theo-
rem 25.3.7 (due to Kleiman), which is useful in (for example) enumerative geome-
try. Throughout this discussion k = k, although the definitions and results can be
generalized. Suppose G is a group variety (over k = k), and we have a G-action on
a variety X. We say that the action is transitive if it is transitive on closed points.
A better definition (that you can show is equivalent) is that the action morphism
G × X → X restricted to a fiber above any closed point of X is surjective. A variety
X with a transitive G-action is said to be a homogeneous space for G. For example,
G acts on itself by left-translation, and via this action G is a homogeneous space
for itself.
25.3.B. E ASY E XERCISE . Suppose G is a group variety over an algebraically closed
field k of characteristic 0. Show that every homogeneous space X for G is smooth.
(In particular, taking X = G, we see that G is smooth.) Hint: X has a dense open set
U that is smooth by Theorem 25.3.1, and G acts transitively on the closed points of
X, so we can cover X with translates of U.
25.3.7. The Kleiman-Bertini Theorem, [Kl2, Thm. 2]. — Suppose X is homogeneous
space for a group variety G (over a field k = k of characteristic 0). Suppose α : Y → X and
β : Z → X are morphisms from smooth k-varieties Y and Z.
April 1, 2023 draft 703
(a) Then there is a nonempty open subset V ⊂ G such that for every σ ∈ V(k), Y ×X Z
defined by
Y ×X Z /Z
β
Y
σ◦α /X
(Y is “translated by σ”) is smooth of dimension dim Y + dim Z − dim X (but possibly
empty).
(b) Furthermore, there is a nonempty open subset V ⊂ G such that
([Link]) (G ×k Y) ×X Z /G
is a smooth morphism of relative dimension dim Y + dim Z − dim X over V.
The first time you hear this, you should think of the special case where Y → X
and Z → X are locally closed embeddings (Y and Z are smooth subvarieties of X).
In this case, the Kleiman-Bertini theorem says that the second subvariety will meet
a “general translate” of the first “transversely”.
Proof. It is more pleasant to describe this proof “backwards”, by considering how
we would prove it ourselves. We will use generic smoothness twice.
Clearly (b) implies (a), so we prove (b).
In order to show that the morphism ([Link]) is smooth over a nonempty
open set V ⊂ G, it would suffice to apply generic smoothness on the target (Theo-
rem 25.3.3) to ([Link]). Hence it suffices to show that (G ×k Y) ×X Z is a smooth
k-variety. Now Z is smooth over k, so it suffices to show that (G ×k Y) ×X Z → Z
is a smooth morphism (as the composition of two smooth morphisms is smooth,
Exercise 13.6.D). But this is obtained by base change from G×k Y → X, so it suffices
to show that this latter morphism is smooth (as smoothness is preserved by base
change).
Now G×k Y → X is a G-equivariant morphism. (By “G-equivariant”, we mean
that the G-action on both sides respects the morphism.) By generic smoothness of
the target (Theorem 25.3.3), this is smooth over a dense open subset X. But then
by transitivity of the G-action on X, this morphism is smooth everywhere. □
25.3.C. E XERCISE ( POOR MAN ’ S K LEIMAN -B ERTINI ). Prove Theorem 25.3.7(a)
without the hypotheses on k (on algebraic closure or characteristic), and without
the smoothness in the conclusion. Hint: This is a question about dimensions of
fibers of morphisms, so you could have solved this after reading §12.4.
25.3.D. E XERCISE ( IMPROVED CHARACTERISTIC 0 B ERTINI ). Suppose Z is a
smooth k-variety, where char k = 0 and k = k. Let V be a finite-dimensional
base-point-free linear series on Z, i.e., a finite vector space of sections of some in-
vertible sheaf L on Z. Show that a general element of V, considered as a closed
subscheme of Z, is regular. (More explicitly: each element s ∈ V gives a closed sub-
scheme of Z. Then for a general s, considered as a point of PV, the corresponding
closed subscheme is smooth over k.) Hint: figure out what this has to do with the
Kleiman-Bertini Theorem 25.3.7. Let n = dim V, G = GL(V), X = P|V ∨ |, take Z in
Kleiman-Bertini to be the Z of the problem, and let Y be the “universal hyperplane”
over P|V ∨ | (the incidence variety I ⊂ PV × PV ∨ of Definition 13.4.1).
704 The Rising Sea: Foundations of Algebraic Geometry
25.3.E. E ASY E XERCISE . Interpret Bertini’s Theorem 13.4.2 over a characteristic 0
field as a corollary of Exercise 25.3.D.
In characteristic 0, Exercise 25.3.D is a good improvement on Bertini’s Theo-
rem. For example, we don’t need L to be very ample, or X to be projective. But
unlike Bertini’s Theorem, Exercise 25.3.D fails in positive characteristic, as shown
by the one-dimensional linear series {pQ : Q ∈ P1 }. This is essentially Exam-
ple 25.3.2. (Do you see why this does not contradict Bertini’s Theorem 13.4.2?)
CHAPTER 26
Cohomology and base change theorems
26.1 Statements and applications
Higher pushforwards are easy to define, but it is hard to get a geometric sense
of what they are, or how they behave. For example, given a morphism π : X → Y,
and a quasicoherent sheaf F on X, you might reasonably hope that the fibers of
Ri π∗ F are the cohomologies of F along the fibers. More precisely, given ψ : q → Y
corresponding to the inclusion of a point (better: ψ : Spec κ(q) → Y), yielding the
fibered diagram
ψ′
([Link]) Xq /X
π′ π
q
ψ
/ Y,
one might hope that the morphism
ϕp ∗ p
q : ψ (R π∗ F )
/ Hp (Xq , F |Xq )
(given in Exercise 18.7.C) is an isomorphism. (Note: F |Xq and (ψ ′ )∗ F are symbols
for the same thing. The first is often preferred, but we sometimes use the second
because we will consider more general ψ and ψ ′ .) We could then picture Ri π∗ F
as somehow fitting together the cohomology groups of fibers into a coherent sheaf.
(Warning: this is too much to hope for, see Exercise 26.1.A.)
It would also be wonderful if hp (Xq , (ψ ′ )∗ F ) was constant, and ϕp
q put them
together into a nice locally free sheaf (vector bundle) Rp π∗ F .
The base change ψ : q → Y should not be special. As long as we are dream-
ing, we may as well hope that in good circumstances, given a Cartesian diagram
([Link])
ψ′
([Link]) W /X
π′ π
Z
ψ
/ Y,
the natural morphism
ϕp ∗ p / Rp π∗′ (ψ ′ )∗ F
([Link]) Z : ψ (R π∗ F )
705
706 The Rising Sea: Foundations of Algebraic Geometry
of sheaves on Z (Exercise 18.7.B(a)) is an isomorphism. (In some cases, we can
already address this question. For example, cohomology commutes with flat base
change, Theorem 24.2.9, so the result holds if ψ is flat.
We formalize our dreams into three nice properties that we might wish in this
situation. We will see that they are closely related. Suppose F is a coherent sheaf
on X, π : X → Y is proper, Y (hence X) is Noetherian, and F is flat over Y.
(a) Given a Cartesian square ([Link]), is ϕp
q : R π∗ F ⊗κ(q) → H (Xq , F |Xq )
p p
an isomorphism?
∗ p p ′ ′ ∗
(b) Given a Cartesian square ([Link]), is ϕp Z : ψ (R π∗ F ) → R π∗ (ψ ) F
an isomorphism?
(c) Is Rp π∗ F locally free?
We turn first to property (a). The dimension of the left side Rp π∗ F ⊗ κ(q) is an
upper semicontinuous function of q ∈ Y by upper semicontinuity of rank of finite
type quasicoherent sheaves (Exercise 14.3.K). The Semicontinuity Theorem states
that the dimension of the right is also upper semicontinuous. More formally:
26.1.1. Semicontinuity Theorem. — Suppose π : X → Y is a proper morphism of
Noetherian schemes, and F is a coherent sheaf on X flat over Y. Then for each p ≥ 0,
the function Y → Z given by q 7→ dimκ(q) Hp (Xq , F |Xq ) is an upper semicontinuous
function of q ∈ Y.
Translation: ranks of cohomology groups are upper semicontinuous in proper
flat families. (A proof will be given in §26.2.4.)
26.1.2. Example. You may already have seen an example of cohomology groups
jumping, in §24.4.14. Here is a simpler example, albeit not of the structure sheaf.
Let (E, p0 ) be an elliptic curve over a field k, and consider the projection π : E ×
E → E to the second factor. Let L be the invertible sheaf (line bundle) on E × E
corresponding to the divisor that is the diagonal, minus the section of p0 × E of π
(where p0 ∈ E). Then L |p0 (i.e., L |E×p0 ) is trivial, but L |p is non-trivial for any
p ̸= p0 (as we showed in our study of genus 1 curves, in §19.9). Thus h0 (E, L |p )
is 0 in general, but jumps to 1 for p = p0 .
26.1.A. E XERCISE . Show that π∗ L = 0. Thus we cannot picture π∗ L as “gluing
together” h0 of the fibers; in this example, cohomology does not commute with
“base change” or “taking fibers”.
26.1.3. Side Remark. In characteristic 0, the cohomology of O doesn’t jump in
smooth families. Over C, this is because Betti numbers are constant in connected
families, and ([Link]) (from Hodge theory) expresses the Betti constants hkBetti as
sums (over i + j = k) of upper semicontinuous functions hj (Ωi ), so the Hodge
numbers hj (Ωi ) must in fact be constant. The general characteristic 0 case can
be reduced to C by an application of the Lefschetz principle (which also arose in
§21.5.9). But ranks of cohomology groups of O for smooth families of varieties can
jump in positive characteristic (see for example [MO70920]). Also, the example
of §24.4.14 shows that the “smoothness” hypothesis cannot be removed.
26.1.4. Grauert’s Theorem. If Rp π∗ F is locally free (property (c)) and ϕp q is
an isomorphism (property (a)), then hp (Xq , F |Xq ) is clearly locally constant. The
following is a partial converse.
April 1, 2023 draft 707
26.1.5. Grauert’s Theorem. — If π : X → Y is proper, Y is reduced and locally Noether-
ian, F is a coherent sheaf on X flat over Y, and hp (Xq , F |Xq ) is a locally constant func-
tion of q ∈ Y, then Rp π∗ F is locally free, and ϕp
Z is an isomorphism for all ψ : Z → Y.
In other words, if cohomology groups of fibers have locally constant dimen-
sion (over a reduced base), then they can be fit together to form a vector bundle,
and the fiber of the pushforward is identified with the cohomology of the fiber.
Our dreams at the start of this chapter have come true!
(See §26.2.12 to remove Noetherian hypotheses.)
We further note that if Y is integral, π is proper, and F is a coherent sheaf
on X flat over Y, then by the Semicontinuity Theorem 26.1.1 there is a dense open
subset of Y on which Rp π∗ F is locally free (and on which the fiber of the pth higher
pushforward is the pth cohomology of the fiber).
The following statement is even more magical than Grauert’s Theorem 26.1.5.
26.1.6. Cohomology and Base Change Theorem. — Suppose π is proper, Y is locally
Noetherian, F is coherent over X and flat over Y, and ϕp
q is surjective. Then the following
hold.
(i) There is an open neighborhood U of q such that for any ψ : Z → U, ϕp Z is an
isomorphism. In particular, ϕp q is an isomorphism.
(ii) Furthermore,
p−1
(a) ϕq is surjective (hence an isomorphism by (i)) if and only if
(b) R π∗ F is locally free in some open neighborhood of q (or equivalently,
p
(Rp π∗ F )q is a free OY,q -module, Exercise 14.3.F).
(These then imply that hp (Xr , F |Xr ) is constant for r in an open neighborhood
of q.)
(Proofs of Theorems 26.1.5 and 26.1.6 will be given in §26.2. Note in (ii) that
if p = 0, ϕp−1
q q is the zero map. See §26.2.12 to
is automatically surjective, as ϕ−1
remove Noetherian hypotheses.)
This is amazing: the hypothesis that ϕp q is surjective involves what happens
only over points q of X, with reduced structure, yet it has implications over the
(possibly nonreduced) scheme as a whole! This might remind you of the local
criterion for flatness (Theorem 24.6.2), which indeed is the key technical ingredient
of the proof.
Here are some consequences.
26.1.B. E XERCISE . Use Theorem 26.1.6 to give a second solution to Exercise 24.4.E.
(This is a big weapon to bring to bear on this problem, but it is still enlightening;
your original solution to Exercise 24.4.E may foreshadow the proof of the Coho-
mology and Base Change Theorem 26.1.6.)
26.1.C. E XERCISE . Suppose π : X → Y is proper, Y is locally Noetherian, and F is a
coherent sheaf on X, flat over Y. Suppose further that Hp (Xq , F |Xq ) = 0 for some
q ∈ Y. Show that there is an open neighborhood U of q such that (Rp π∗ F )|U = 0.
26.1.D. E XERCISE . Suppose π : X → Y is proper, Y is locally Noetherian, and F is
a coherent sheaf on X, flat over Y. Suppose further that Hp (Xq , F |Xq ) = 0 for all
708 The Rising Sea: Foundations of Algebraic Geometry
q ∈ Y. Show that the (p − 1)st cohomology commutes with arbitrary base change:
ϕp−1
Z is an isomorphism for all ψ : Z → Y.
26.1.E. E XERCISE . Suppose π is proper, Y is locally Noetherian, and F is a coher-
ent sheaf on X flat over Y. Suppose further that Rp π∗ F = 0 for p ≥ p0 . Show that
Hp (Xq , F |Xq ) = 0 for all q ∈ Y, p ≥ p0 .
26.1.F. E XERCISE . Suppose π is proper, Y is locally Noetherian, and F is a coherent
sheaf on X, flat over Y. Suppose further that Y is reduced. Show that there exists
a dense open subset U of Y such that ϕp Z is an isomorphism for all ψ : Z → U
and all p. (Hint: find suitable open neighborhoods of the generic points of Y. See
Exercise 24.2.M and the paragraph following it.)
26.1.7. An important class of morphisms: Proper, O-connected morphisms π : X →
Y of locally Noetherian schemes.
If a morphism π : X → Y satisfies the property that the natural map OY →
π∗ OX is an isomorphism, we say that π is O-connected. Clearly the notion of O-
connectedness is local on the target, and preserved by composition.
26.1.G. E ASY E XERCISE . Show that proper O-connected morphisms of locally
Noetherian schemes are surjective.
26.1.8. We will soon meet Zariski’s Connectedness Lemma 29.5.1, which shows
that proper, O-connected morphisms of locally Noetherian schemes have connected
fibers. In some sense, this class of morphisms is really the right class of morphisms
capturing what we might want by “connected fibers”; this is the motivation for the
terminology. The following result gives some evidence for this point of view, in
the flat context.
26.1.H. I MPORTANT E XERCISE . Suppose π : X → Y is a proper flat morphism of
locally Noetherian schemes, whose fibers satisfy h0 (Xq , OXq ) = 1. (Important re-
mark: this is satisfied if π has geometrically connected and geometrically reduced
fibers, by §11.5.7.) Show that π is O-connected. Hint: consider
ϕ0
OY ⊗ κ(q) / (π∗ OX ) ⊗ κ(q) q
∼ κ(q) .
/ H0 (Xq , OX ) =
q
The composition is surjective, hence ϕ0q is surjective, hence it is an isomorphism
by the Cohomology and Base Change Theorem 26.1.6(i). Then by the Cohomology
and Base Change Theorem 26.1.6(ii), π∗ OX is locally free, thus of rank 1. Perhaps
use Nakayama’s Lemma to show that a map of invertible sheaves OY → π∗ OX that
is an isomorphism on fibers over points (with reduced structure) is necessarily an
isomorphism of sheaves.
26.1.9. ⋆ Unimportant remark. This class of proper, O-connected morphisms is not
preserved by arbitrary base change, and thus is not “reasonable” in the sense of
§8.1. But you can show that they are preserved by flat base change, using the fact
that cohomology commutes with flat base change, Theorem 24.2.9. Furthermore,
the conditions of Exercise 26.1.H behave well under base change, and Noether-
ian hypotheses can be removed from the Cohomology and Base Change Theo-
rem 26.1.6 (at the expense of finitely presented hypotheses, see §26.2.12), so the
April 1, 2023 draft 709
class of morphisms π : X → Y that are proper, finitely presented, and flat, with
geometrically connected and geometrically reduced fibers, is “reasonable” (and
useful).
26.1.10. We next address the following question. Suppose π : X → Y is a morphism
of schemes. Given an invertible sheaf L on X, we ask when it is the pullback of
an invertible sheaf M on Y. For this to be true, we certainly need that L is trivial
on the fibers. We will see that if π is a proper O-connected morphism of locally
Noetherian schemes, then this often suffices. Given L , we recover M as π∗ L ; the
fibers of M are one-dimensional, and glue together to form a line bundle. We now
begin to make this precise.
26.1.I. E XERCISE . Suppose π : X → Y is a proper, O-connected morphism of locally
Noetherian schemes. Show that if M is any invertible sheaf on Y, then the natural
morphism M → π∗ π∗ M is an isomorphism. In particular, we can recover M from
π∗ M by applying the pushforward π∗ .
26.1.11. Proposition. — Suppose π : X → Y is a flat, proper morphism of locally
Noetherian schemes with geometrically connected and geometrically reduced fibers (hence
O-connected, by Exercise 26.1.H). Suppose also that Y is reduced, and L is an invertible
sheaf on X that is trivial on the fibers of π (i.e., L |Xq is a trivial invertible sheaf on Xq
for all q ∈ Y). Then π∗ L is an invertible sheaf on Y (call it M ), and the natural map
π∗ M → L is an isomorphism.
Proof. By Grauert’s Theorem 26.1.5, π∗ L is locally free of rank 1 (again, call it M ),
and M ⊗OY κ(q) → H0 (Xq , L |Xq ) is an isomorphism. We have a natural map
of invertible sheaves π∗ M = π∗ π∗ L → L . To show that it is an isomorphism,
we need only show that it is surjective. (Do you see why? If A is a ring, and
ϕ : A → A is a surjection of A-modules, why is ϕ an isomorphism?) For this, it
suffices to show that it is surjective on the fibers of π. (Do you see why? Hint:
if the cokernel of the map is not 0, then it is not 0 above some point of Y.) But
this follows from the first line of the proof (using for example that M = ∼ O in a
neighborhood of q). □
Proposition 26.1.11 has some pleasant consequences. For example, if you have
two invertible sheaves A and B on X that are isomorphic on every fiber of π, then
they differ by a pullback of an invertible sheaf on Y: just apply Proposition 26.1.11
to A ⊗ B ∨ .
26.1.12. Projective bundles.
26.1.J. E XERCISE . Let X be a locally Noetherian scheme, and let pr1 : X × Pn → X
be the projection onto the first factor. Suppose L is a line bundle on X × Pn ,
whose degree on every fiber of pr1 is zero. Use the Cohomology and Base Change
Theorem 26.1.6 to show that (pr1 )∗ L is an invertible sheaf on X. Show that the
natural map pr∗1 ((pr1 )∗ L ) → L is an isomorphism, as at the end of proof of
Proposition 26.1.11.
Your argument will apply just as well to the situation where pr1 : X × Pn → X
is replaced by a Pn -bundle over X, pr1 : Z → X; or by pr1 : Z → X which is a proper
smooth morphism whose geometric fibers are integral curves of genus 0.
710 The Rising Sea: Foundations of Algebraic Geometry
Furthermore, the locally Noetherian hypotheses can be removed, see §26.2.12.
26.1.K. E XERCISE . Suppose X is a connected Noetherian scheme. Show that
Pic(X × Pn ) =∼ Pic X × Z. Hint: the map Pic X × Pic Pn → Pic(X × Pn ) is given by
(L , O(m)) 7→ pr∗1 L ⊗ pr∗2 O(m), where pr1 : X × Pn → X and pr2 : X × Pn → Pn
are the projections from X × Pn to its factors. (The notation ⊠ is often used for this
construction, see §15.2.11.)
∼
A very similar argument will show that if Z is a Pn -bundle over X, then Pic Z =
Pic X × Z. You will undoubtedly also be able to figure out the right statement if X
is not connected.
26.1.13. Remark. As mentioned in §19.10.1, the Picard group of a scheme often
“wants to be a scheme”. You may be able to make this precise in the case of Pic Pn
Z.
In this case, the scheme Pic Pn
Z is “Z copies of Spec Z”, with the “obvious” group
scheme structure. Can you figure out what functor it represents? Can you show
that it represents this functor? This will require extending Exercise 26.1.K out of
the Noetherian setting, using §26.2.12.
26.1.L. E XERCISE . Suppose π : X → Y is a projective flat morphism over a Noe-
therian integral scheme, all of whose geometric fibers are isomorphic to Pn (over
the appropriate field). Show that π is a projective bundle if and only if there is
an invertible sheaf L on X that restricts to O(1) on all the geometric fibers. (One
direction is clear: if it is a projective bundle, then it has a O(1) which comes from
the projectivization, see Exercise 17.2.D. In the other direction, the candidate vec-
tor bundle is π∗ L . Show that it is indeed a locally free sheaf of the desired rank.
Show that its projectivization is indeed π : X → Y.)
Caution: the map π : Proj R[x, y, z]/(x2 + y2 + z2 ) → Spec R shows that not ev-
ery projective flat morphism over a Noetherian integral scheme, all of whose geo-
metric fibers are isomorphic to Pn , is necessarily a Pn -bundle. However, Tsen’s The-
orem implies that if the target is a smooth curve over an algebraically closed field, then
the morphism is a Pn -bundle (see [GS, Thm. 6.2.8]). Example 18.4.7 shows that
“curve” cannot be replaced by “5-fold” in this statement — the “universal smooth
plane conic” is not a P1 -bundle over the parameter space U ⊂ P5 of smooth plane
conics. If you wish, you can extend Example 18.4.7 to show that “curve” cannot
even be replaced by “surface”. (Just replace the P5 of all conics with a generally
chosen P2 of conics — but then figure out what goes wrong if you try to replace it
with a generally chosen P1 of conics.)
26.1.M. E XERCISE . Suppose π : X → Y is the projectivization of a vector bundle F
over a locally Noetherian scheme (i.e., X =∼ Proj Sym• F ). Recall from §17.2.3 that
for any invertible sheaf L on Y, X =∼ Proj Sym• (F ⊗ L )). Show that these are the
only ways in which it is the projectivization of a vector bundle. (Hint: recover F
by pushing forward O(1).)
26.1.14. The Hodge bundle.
26.1.N. E XERCISE ( THE H ODGE BUNDLE ). Suppose π : X → Y is a flat proper mor-
phism of locally Noetherian schemes, and the fibers of π are regular irreducible
April 1, 2023 draft 711
curves of genus g. (By Theorem 25.2.2 it is a smooth morphism of relative dimen-
sion 1, and ΩX/Y is a line bundle.) Show that π∗ ΩX/Y is a locally free sheaf on
Y of rank g, and that the construction of π commutes with base change: given a
Cartesian square
ψ′
([Link]) X′ /X
π′ π
Y′
ψ
/ Y,
there is a canonical isomorphism
( ′ ) ∼ ( )
π∗ ΩX ′ /Y ′ ←→ ψ∗ π∗ ΩX/Y .
(The locally free sheaf π∗ ΩX/Y is called the Hodge bundle.) Hint: use the Coho-
mology and Base Change Theorem 26.1.6 twice, once with p = 2, and once with
p = 1.
26.2 ⋆ Proofs of cohomology and base change theorems
The key to proving the Semicontinuity Theorem 26.1.1, Grauert’s Theorem 26.1.5,
and the Cohomology and Base Change Theorem 26.1.6 is the following wonderful
idea of Mumford (see [Mu3, p. 47 Lem. 1]). It turns questions of pushforwards
(and how they behave under arbitrary base change) into something computable
with vector bundles (hence questions of linear algebra). After stating it, we will
interpret it.
26.2.1. Key Theorem. — Suppose π : X → Spec B is a proper morphism, and F is a
coherent sheaf on X, flat over Spec B, where B is Noetherian. Then there is a complex
([Link]) ···
δ−2 / K−1 δ−1 / K0 δ0 / K1 δ1 / ··· / Kn δr /0
of finitely generated free B-modules and an isomorphism of functors
∼
([Link]) Hp (X ×B A, F ⊗B A) ←→ Hp (K• ⊗B A)
for all p, for all ring maps B → A. (Here A needn’t be Noetherian.)
Because ([Link]) is a complex of free B-modules, all of the information is con-
tained in the maps, which are matrices with entries in B. This will turn questions
about cohomology (and base change) into questions about linear algebra. For ex-
ample, semicontinuity will turn into the fact that ranks of matrices (with functions
as entries) drop on closed subsets (§12.2.16(ii)).
Although the complex ([Link]) is infinite, by ([Link]) it has no cohomology
in negative degree, even after any ring extension B → A (as the left side of ([Link])
is 0 for p < 0).
The idea behind the proof is as follows: take the Čech complex, produce a
complex of finite rank free modules mapping to it “with the same cohomology” (a
quasiisomorphic complex, §18.2.3). We first construct the complex so that ([Link])
holds for B = A in the next lemma, and then show the same complex works for
general A, in Lemma 26.2.3 immediately thereafter.
712 The Rising Sea: Foundations of Algebraic Geometry
26.2.2. Lemma. — Let B be a Noetherian ring. Suppose C• is a complex of B-modules
such that Hi (C• ) are finitely generated B-modules, and such that Cp = 0 for p > n. Then
there exists a complex K• of finite rank free B-modules such that Kp = 0 for p > n, and a
∼
homomorphism of complexes α : K• → C• such that α induces isomorphisms Hi (K• ) −→
Hi (C• ) for all i.
Proof. We build this complex inductively. (This may remind you of Hint 23.3.3.)
Assume we have defined (Kp , αp , δp ) for p ≥ m + 1 (as in ([Link])) such that the
squares commute, and the top row is a complex, and αq defines an isomorphism
of cohomology Hq (K• ) → Hq (C• ) for q ≥ m + 2 and a surjection ker(δm+1 ) →
Hm+1 (C• ), and the Kp are finite rank free B-modules. (Our base case is m = p:
take Kn = 0 for n > p.)
([Link]) Km+1
δm+1 / Km+2 δm+2 / ···
αm+1 αm+2
··· / Cm−1 / Cm / Cm+1 / Cm+2 / ··· .
ϵm−1 ϵm ϵm+1
We construct (Km , δm , αm ). Choose generators of Hm (C• ), say c1 , . . . , cM . Let
( )
m+1
m+1 α •
D m+1
:= ker ker(δ ) −→ H m+1
(C ) .
Choose generators of Dm+1 , say d1 , . . . , dN . (This is where we use the Noether-
ian hypotheses — to ensure this kernel Dm+1 is finitely generated.) Let Km =
B⊕(M+N) . Define δm : Km → Km+1 by sending the last N generators to d1 , . . . , dN ,
and the first M generators to 0. Define αm by sending the first M generators of
B⊕(M+N) to (lifts of) c1 , . . . , cM , and sending the last N generators to arbitrarily
chosen lifts of the αm+1 (di ) (as the αm+1 (di ) are 0 in Hm+1 (C• ), and thus lie in
the image of ϵm ), so the square (with upper left corner Km ) commutes. Then by
construction, we have completed our inductive step:
Km
δm / Km+1 δm+1 / Km+2 / ···
αm αm+1 αm+2
··· / Cm−1 / Cm / Cm+1 / Cm+2 / ··· .
ϵm−1 ϵm ϵm+1
26.2.3. Lemma. — Suppose α : K• → C• is a morphism of complexes of flat B-modules,
bounded on the right (i.e., Kn = Cn = 0 for n ≫ 0), inducing isomorphisms of coho-
mology (a quasiisomorphism, §18.2.3). Then “this quasiisomorphism commutes with arbi-
trary change of base ring”: for every B-algebra A, the maps Hp (K• ⊗B A) → Hp (C• ⊗B A)
are isomorphisms.
Proof. The mapping cone M• of α : K• → C• is exact by Exercise 1.7.E. Then M• ⊗B
A is still exact, by Exercise 24.3.F. But M• ⊗B A is the mapping cone of
α ⊗B A : K• ⊗B A / C• ⊗B A,
April 1, 2023 draft 713
so by Exercise 1.7.E, α ⊗B A induces an isomorphism of cohomology (i.e., is a
quasiisomorphism) too. □
Proof of Key Theorem 26.2.1. Choose a finite affine covering of X. Take the Čech com-
plex C• for F with respect to this cover. Recall that Grothendieck’s Coherence The-
orem 18.9.1 (which had Noetherian hypotheses) showed that the cohomology of
F is coherent. (Theorem 18.9.1 required serious work. If you need Theorem 26.2.1
only in the projective case, the analogous statement with projective hypotheses,
Theorem 18.7.1(d), was much easier.) Apply Lemma 26.2.2 to get the nicer vari-
ant K• of the same complex C• . By Lemma 26.2.3, if we tensor with A and take
cohomology, we get the same answer whether we use K• or C• . □
We now use Theorem 26.2.1 to prove some of the fundamental results stated
earlier: the Semicontinuity Theorem 26.1.1, Grauert’s Theorem 26.1.5, and the Co-
homology and Base Change Theorem 26.1.6. In the course of proving Semiconti-
nuity, we will give a new proof of Theorem 24.7.1, that Euler characteristics are
locally constant in flat families (that applies more generally in proper situations).
26.2.4. Proof of the Semicontinuity Theorem 26.1.1. The result is local on Y, so
we may assume Y is affine. Let K• be a complex as in Key Theorem 26.2.1.
Then for q ∈ Y,
dimκ(q) Hp (Xq , F |Xq ) = dimκ(q) ker(δp ⊗B κ(q)) − dimκ(q) im(δp−1 ⊗B κ(q))
= dimκ(q) (Kp ⊗B κ(q)) − dimκ(q) im(δp ⊗B κ(q))
([Link]) − dimκ(q) im(δp−1 ⊗B κ(q))
Now dimκ(q) im(δp ⊗B κ(q)) is a lower semicontinuous function on Y. (Reason:
the locus where the dimension is less than some number N is obtained by setting
all N × N minors of the matrix Kp → Kp+1 to 0; cf. §12.2.16(ii)).) The same is true
for dimκ(q) im(δp−1 ⊗B κ(q)). The result follows. □
26.2.5. A new proof (and extension to the proper case) of Theorem 24.7.1 that
Euler characteristics of flat sheaves are locally constant.
If K• were finite “on the left” as well — if Kp = 0 for p ≪ 0 — then we
would have a short proof of Theorem 24.7.1. By taking alternating sums (over p)
of ([Link]), we would have that
∑ ∑
χ(Xq , F |Xq ) = (−1)p hp (Xq , F |Xq ) = (−1)p rank Kp ,
which is locally constant. The only problem is that the sums are infinite. We patch
this problem by truncating the complex K• below where there is cohomology. De-
fine J• by Jp = Kp for p ≥ 0, Jp = 0 for p < −1, and J−1 := ker(K−1 → K0 ). Then
J• is a complex in the obvious way, and the map of complexes K• → C• clearly
714 The Rising Sea: Foundations of Algebraic Geometry
factors through J• :
··· / J−3 / J−2 / J−1 / J0 / J1 / J2 / ···
··· /0 /0 / ker(K−1 → K0 ) / K0 / K1 / K2 / ···
∼ ∼
··· /0 /0 /0 / C0 / C1 / C2 / ···
Clearly J• → C• induces an isomorphism on cohomology (recall both have 0 coho-
mology for p < 0).
Now J−1 (the kernel of a map of coherent modules) is coherent. Consider the
mapping cone M• of β : J• → C• :
0 → J−1 → C−1 ⊕ J0 → C0 ⊕ J1 → · · · → Cn−1 ⊕ Jn → Cn → 0.
From Exercise 1.7.E, as J• → C• induces an isomorphism on cohomology, the map-
ping cone has no cohomology — it is exact. All terms in it are flat except possibly
J−1 (the Cp are flat by assumption, and Ji is free for i ̸= −1). Hence J−1 is flat
too, by Exercise 24.3.G. But flat coherent sheaves are locally free (Corollary 24.4.7).
Then Theorem 24.7.1 follows from
∑ ∑
χ(Xq , F |Xq ) = (−1)p hp (Xq , F |Xq ) = (−1)p rank Jp .
□
26.2.6. Proof of Grauert’s Theorem 26.1.5 and the Cohomology and Base Change
Theorem 26.1.6 (following Eric Larson).
(⋆⋆ Experts: You might see in the proof that what makes pth cohomology com-
mute with base change is that the complex of Key Theorem 26.2.1 can be “broken”
into two complexes at the pth step. You might even want to interpret this in terms
of the Čech complex as an object of the derived category of B-modules.)
Thanks to Theorem 26.2.1, Theorems 26.1.5 and 26.1.6 are now statements
about a complex of free modules over a Noetherian ring.
26.2.7. Definition. Suppose ϕ : E → F is a morphism of finite rank locally free
sheaves on a scheme X. (More precisely: E and E are finite rank locally free
sheaves, and ϕ : E → F is a morphism of quasicoherent sheaves.) We say ϕ is
strongly of constant rank a if for every point p ∈ X, there are integers b and c,
and there is an open neighborhood U of p with a commutative diagram
E |U
ϕ
/ F |U
O O
∼ ∼
OU
⊕(a+b) / O ⊕a / O ⊕(a+c)
U U
⊕(a+b) ⊕a
where the map OU → OU is projection to the first a summands, and the map
⊕a ⊕(a+c)
OU → OU is inclusion as the first a summands. We say that ϕ is strongly of
constant rank if near every point p ∈ X, ϕ is strongly of constant rank a for some
a.
April 1, 2023 draft 715
26.2.8. Important but straightforward observations. (i) The notion “strongly of con-
stant rank a” commutes with any base change Y → X. (ii) The quasicoherent
sheaves ker ϕ, im ϕ, and coker ϕ are locally free (of finite rank b, a, and c respec-
tively), and their construction commutes with any base change Y → X.
0 / ker ϕ /E ϕ
/F / coker ϕ /0
O O O O
∼ ∼ ∼ ∼
0 / O ⊕b / O ⊕(a+b) / O ⊕(a+c) / O ⊕c /0
U U U U
(iii) If ϕ : E → F is strongly of constant rank a, then at any point p ∈ X, the rank
of ϕ|p : Ep → |p is a.
In the next exercises we give three criteria for when a morphism ϕ of finite
rank locally free sheaves is strongly of constant rank.
26.2.A. E XERCISE . Suppose ϕ : E → F is a morphism of finite rank locally free
sheaves. Show that ϕ is strongly of constant rank a if and only if coker ϕ is locally
free of rank a.
26.2.B. E XERCISE . Suppose X is reduced, and ϕ : E → F is a morphism of finite
rank locally free sheaves. Show that ϕ is strongly of constant rank a if and only if
ϕ|p : E |p → F |p is rank a for all points p ∈ X. (Hint: use the previous exercise,
and Exercise 14.3.L.)
26.2.C. E XERCISE . Suppose ϕ : E → F is a morphism of finite rank locally free
sheaves, and p ∈ X. Show that the natural map (ker ϕ)|p → ker(ϕ|p ) is surjective
if and only if ϕ is strongly of constant rank in some neighborhood of p.
26.2.9. Proof of Grauert’s Theorem 26.1.5. By hypothesis, hp (Xq , F |Xq ) is a
locally constant function of q ∈ Y. From ([Link]), hp (Xq , F |Xq ) = rank Kp −
rank im(δp |q ) − rank im(δp−1 |q ). But rank Kp is constant, and rank im(δp |q ) and
rank im(δp−1 |q ) are lower semicontinuous, so in fact rank im(δp |q ) and rank im(δp−1 |q )
must be locally constant. By Exercise 26.2.B, both δp−1 and δp are strongly of con-
stant rank. Then by Observation 26.2.8(ii) coker δp−1 and im δp are both locally
free (of finite rank). In the short exact sequence
([Link]) 0 / Hp (K• ) / coker δp−1 / im δp /0
(Exercise [Link], the “dual” definition of cohomology), both coker δp−1 and im δp
correspond to finite rank locally free sheaves. Thus Hp (K• ) does as well, by Exer-
cise 14.2.S(a).
26.2.D. E XERCISE . Show (perhaps using ([Link])) that the construction of Hp (K• )
commutes with any base change, thereby completing the proof of Grauert’s Theo-
rem 26.1.5. □
In order to prove the Cohomology and Base Change Theorem 26.1.6, we need
a preliminary result.
716 The Rising Sea: Foundations of Algebraic Geometry
26.2.10. Lemma. — Suppose
δp−1 δp
Kp−1
K
/ Kp K
/ Kp+1
δp−1 δp
Jp−1
J
/ Jp J
/ Jp+1
is a map of complexes, with the left vertical arrow surjective. Then Hp (K• ) → Hp (J• ) is
surjective if and only if ker δp p
K → ker δJ is surjective.
Proof. The map im δp−1 K → im δp−1
J is surjective: any element α of im δp−1
J lifts
p−1 p−1
to J , then can lift to K , which then can map to Kp , which maps to α. Then
apply the Snake Lemma 1.7.5 to
0 / im δp−1 / ker δp / Hp (K• ) /0
K K
0 / im δp−1 / ker δp / Hp (J• ) / 0.
J J
26.2.11. Proof of the Cohomology and Base Change Theorem 26.1.6. We focus
on the complex near the pth step, and its restriction to the point q ∈ X:
Kp−1 / Kp δp / Kp+1 free B-modules
/ Kp ⊗B κ(q) δ ⊗κ(q)
p
Kp−1 ⊗B κ(q) / Kp+1 ⊗B κ(q)
By hypothesis, ϕp q : (R π∗ F )|q → H (Xq , F |Xq ) is surjective. By Lemma 26.2.10,
p p
this is equivalent to (ker δ ) ⊗ κ(q) → ker(δp ⊗ κ(q)) being surjective. By Exer-
p
cise 26.2.C, this is equivalent to δp being strongly of constant rank near q, which
implies (by Observation 26.2.8(ii)) that ker δp is finite rank locally free, and the
construction of ker δp commutes with any base change in a neighborhood of q.
Now Hp (K• ) = coker(Kp−1 → ker δp ), i.e., we have
Kp−1 / ker δp / Hp (K• ) / 0.
Thus Hp (K• ) commutes with any base change (as tensor product is right exact).
This completes the proof of part (i) of the Theorem.
For part (ii), consider again the map Kp−1 → ker δp of finite rank locally free
sheaves, whose cokernel is Hp (K• ). Now Hp (K• ) is locally free if and only if
Kp−1 → ker δp is strongly of constant rank, if and only if (since δp is strongly
of constant rank) δp−1 is strongly of constant rank, if and only if Hp−1 (K• ) →
Hp−1 (K• |q ) is surjective. This completes the proof of part (ii). □
26.2.12. ⋆ Removing Noetherian conditions.
It can be helpful to have versions of the theorems of §26.1 without Noetherian
conditions; important examples come from moduli theory, and will be discussed
April 1, 2023 draft 717
in the next section. Noetherian conditions can often be exchanged for finite pre-
sentation conditions. We begin with an extension of Exercise 10.3.H.
26.2.E. E XERCISE . Suppose π : X → Spec B is a finitely presented morphism, and
F is a finitely presented sheaf on X. Show that there exists a base change diagram
of the form
([Link]) F F′
X
σ / X′
π π′
Spec B
ρ
/ Spec Z[x1 , . . . , xN ]/I
where N is some integer, I ⊂ Z[x1 , . . . , xN ], and π ′ is finitely presented (= finite
type as the target is Noetherian, see §8.3.13), and a finitely presented (= coherent)
quasicoherent sheaf F ′ on X ′ with F = ∼ σ∗ F ′ .
26.2.13. Properties of π ′ . (The ideal I appears in the statement of Exercise 26.2.E
not because it is needed there, but to make the statement of this remark correct.)
If π is proper, then diagram ([Link]) can be constructed so that π ′ is also proper
(using [Gr-EGA, IV3 .8.10.5]). Furthermore, if F is flat over Spec B, then ([Link])
can be constructed so that F ′ is flat over Spec Z[x1 , . . . , xN ]/I (using [Gr-EGA,
IV3 .11.2.6]). This requires significantly more work.
26.2.F. E XERCISE . Assuming the results stated in §26.2.13, prove the following re-
sults, with the “locally Noetherian” hypotheses removed, and “finite presentation”
hypotheses added:
(a) the constancy of Euler characteristic in flat families (Theorem 24.7.1, ex-
tended to the proper case as in §26.2.5);
(b) the Semicontinuity Theorem 26.1.1;
(c) Grauert’s Theorem 26.1.5 (you will have to show that Z[x1 , . . . , xN ]/I in
([Link]) can be taken to be reduced); and
(d) the Cohomology and Base Change Theorem 26.1.6.
26.2.14. Necessity of finite presentation conditions. The finite presentation conditions
are necessary. There is a projective flat morphism to a connected target where the
fiber dimension jumps. There is a finite flat morphism where the degree of the
fiber is not locally constant. There is a projective flat morphism to a connected
target where the fibers are curves, and the arithmetic genus is not constant. See
[Stacks, tag 05LB] for the first example; the other two use the same idea.
26.3 Applying cohomology and base change to moduli problems
The theory of moduli relies on ideas of cohomology and base change. We
explore this by examining two special cases of one of the primordial moduli spaces,
the Hilbert scheme: the Grassmannian, and the fact that degree d hypersurfaces in
718 The Rising Sea: Foundations of Algebraic Geometry
projective space are “parametrized” by another projective space (corresponding to
degree d polynomials, see Remark 4.5.3).
As suggested in §24.1, the Hilbert functor HilbY Pn of Pn Y parametrizes finitely
presented closed subschemes of Pn Y , where Y is an arbitrary scheme. More pre-
cisely, it is a contravariant functor sending the Y-scheme X to the set of finitely pre-
sented closed subschemes of X ×Y Pn Y = PX flat over X (and sending morphisms
n
X1 → X2 to pullbacks of flat families). An early achievement of Grothendieck
was the construction of the Hilbert scheme, which can then be cleverly used to
construct many other moduli spaces.
26.3.1. Theorem (Grothendieck). — HilbZ Pn is representable by a scheme locally of
finite type.
(Grothendieck’s original argument is in [Gr5]. A readable construction is
given in [Mu2], and in [FGIKNV, Ch. 5].)
26.3.A. E ASY E XERCISE . Assuming Theorem 26.3.1, show that HilbY Pn is repre-
sentable, by showing that it is represented by HilbZ Pn ×Z Y. Thus the general case
follows from the “universal” case of Y = Z.
26.3.B. E XERCISE . Assuming Theorem 26.3.1, show that HilbZ Pn is the disjoint
p(m) n
union of schemes HilbZ P , each one corresponding to finitely presented closed
subschemes of PZ whose fibers have fixed Hilbert polynomial p(m). Hint: Corol-
n
lary 24.7.2.
p(m)
26.3.2. Theorem (Grothendieck). — Each HilbZ Pn is projective over Z.
In order to get some feeling for the Hilbert scheme, we discuss two important
examples, without relying on Theorem 26.3.1.
26.3.3. The Grassmannian.
We have defined the Grassmannian G(k, n) twice before, in §7.7 and §16.4.
The second time involved showing the representability of a (contravariant) functor
(from Sheaves to Sets), of rank k locally free quotient sheaves of a rank n free sheaf.
We now consider a parameter space for a more geometric problem. The space
will again be G(k, n), but because we won’t immediately know this, we invent
some temporary notation. Let G ′ (k, n) be the contravariant functor (from Schemes
to Sets) which assigns to a scheme B the set of finitely presented closed subschemes
of Pn−1
B , flat over B, whose fiber over any point b ∈ B is a (linearly embedded)
Pκ(b) in Pn−1
k−1
κ(b) :
X / Pn−1
cl. subscheme
([Link])
ppp B
pp p
flat, f. pr.
pp π
pw pppp
B
(This describes the map to Sets; you should think through how pullback makes
this into a contravariant functor.)
26.3.4. Theorem. — The functor G ′ (k, n) is represented by G(k, n).
April 1, 2023 draft 719
Translation: there is a natural bijection between diagrams of the form ([Link])
(where the fibers are Pk−1 ’s) and diagrams of the form ([Link]) (the diagrams that
G(k, n) parametrizes, or represents).
One direction is notably easier. Suppose we are given a diagram of the form
([Link]) over a scheme B,
([Link]) OB⊕n / / Q,
where Q is locally free of rank k. Applying Proj B to the Sym• construction on both
OB⊕n and Q, we obtain a closed embedding
( )
([Link]) Proj B (Sym• Q) / Proj Sym• O ⊕n = Pn−1 × B
LLL B
pp
B
LLL
LLL p pppp
LL& pp
xppp
B
(as, for example, in Exercise 17.2.H).
The fibers are linearly embedded Pk−1 ’s (as base change, in this case to a point
of B, commutes with the Proj construction, Exercise 17.2.E). Note that Proj (Sym• Q)
is flat and finitely presented over B, as it is a projective bundle. We have con-
structed a diagram of the form ([Link]).
We now need to reverse this. The trick is to produce ([Link]) from our geo-
metric situation ([Link]), and this is where cohomology and base change will be
used.
Given a diagram of the form ([Link]) (where the fibers are Pk−1 ’s), consider
the closed subscheme exact sequence for X:
0 / IX / O n−1 / OX / 0.
P B
Tensor this with OPn−1 (1):
B
([Link]) 0 / IX (1) /O (1) / OX (1) / 0.
Pn−1
B
Note that OX (1) restricted to each fiber of π is O(1) on Pk−1 (over the residue
field), for which all higher cohomology vanishes (§18.3).
26.3.C. E XERCISE . Show that Ri π∗ OX (1) = 0 for i > 0, and π∗ OX (1) is locally free
of rank k. Hint: use the Cohomology and Base Change Theorem 26.1.6. Either use
the non-Noetherian discussion of §26.2.12 (which we haven’t proved), or else just
assume B is locally Noetherian.
26.3.D. E XERCISE . Show that the long exact sequence obtained by applying π∗ to
([Link]) is just a short exact sequence of locally free sheaves
0 / π∗ IX (1) / π∗ O n−1 (1) / π∗ OX (1) / 0.
P B
of ranks n − k, n, and k respectively, where the middle term is canonically identi-
fied with OB⊕n .
The surjection OB⊕n / / π∗ OX (1) is precisely a diagram of the sort we wished
to construct, ([Link]).
720 The Rising Sea: Foundations of Algebraic Geometry
26.3.E. E XERCISE . Close the loop, by using these two “inverse” constructions to
show that G(k, n) represents the functor G ′ (k, n).
26.3.5. Hypersurfaces.
Ages ago (in Remark 4.5.3), we informally said that hypersurfaces of degree d
n+d
in P are parametrized by a P( d )−1 . We now make this precise. We work over
n
a base Z for suitable generality. You are welcome to replace Z by a field of your
choice, but by the same argument as in Easy Exercise 26.3.A, all other cases are
obtained from this one by base change.
Define the contravariant functor Hd,n : Sch → Sets from schemes to sets as
follows. To a scheme B, we associated the set of all closed subschemes X ,→ Pn B,
flat and finitely presented over B, all of whose fibers are degree d hypersurfaces in
Pn (over the appropriate residue field). To a morphism B1 → B2 , we obtain a map
Hd,n (B2 ) → Hd,n (B1 ) by pullback.
n+d
26.3.6. Proposition. — The functor Hd,n is represented by P( d )−1 .
As with the case of the Grassmannian, one direction is easy, and the other
requires cohomology and base change.
n+d
26.3.F. E ASY E XERCISE . Over P( d )−1 , described a closed subscheme X ,→
n+d
Pn × P( d )−1 that will be the universal hypersurface. Show that X is flat and
n+d
finitely presented over P( d )−1 . (For flatness, you can use the local criterion of
flatness on the source, Exercise 24.6.F, but it is possible to deal with it easily by
working by hand.)
n+d
Thus given any morphism B → P( d )−1 , by pullback, we have a degree d
hypersurface X over B (an element of Hd,n (B)).
Our goal is to reverse this process: from a degree d hypersurface π : X → B
n+d
over B (an element of Hd,n (B)), we want to describe a morphism B → P( d )−1 .
Consider the closed subscheme exact sequence for X ,→ PnB , twisted by OPB (d):
n
([Link]) 0 / IX (d) / OPn (d) / OX (d) / 0.
B
26.3.G. E XERCISE ( CF. E XERCISE 26.3.C). Show that the higher pushforwards (by
π) of each term of ([Link]) is 0, and that the long exact sequence of pushforwards
of ([Link]) is
0 / π∗ IX (d) / π∗ OPn (d) / π∗ OX (d) / 0.
B
( )
where the middle term is free of rank n+d d (whose summands can be identified
with degree d monomials in the projective variables x1 , . . . , xn (see Exercise 9.3.J),
and the left term π∗ IX (d) is locally free of rank 1 (basically, a line bundle).
⊕(n+d)
(It is helpful to interpret the middle term OB d as parametrizing homoge-
neous degree d polynomials in n+1 variables, and the rank 1 subsheaf of π∗ IX (d)
as “the equation of X”. This will motivate what comes next.)
April 1, 2023 draft 721
⊕(n+d
d )
Taking the dual of the injection π∗ IX (d) ,→ OB , we have a surjection
⊕(n+d
d )
OB //L
from a free sheaf onto an invertible sheaf L = (π∗ IX (d))∨ , which (by the univer-
n+d
sal property of projective space) yields a morphism B → P( d )−1 .
26.3.H. E XERCISE . Close the loop: show that these two constructions are inverses,
thereby proving Proposition 26.3.6.
26.3.7. Remark. The proof of the representability of the Hilbert scheme shares a
number of features of our arguments about the Grassmannian and the parameter
space of hypersurfaces.
CHAPTER 27
Twenty-seven lines
This topic is Chapter 27 for purely numerological reasons. As a result, it in-
vokes one fact that we will only meet in a later chapter: Castelnuovo’s Criterion
(Theorem 29.7.1) is used in the proof of Proposition 27.4.1. This is a feature rather
than a bug: you needn’t read the details of the later chapters in order to enjoy this
one. In fact, you should probably read this many chapters earlier, taking key facts
as “black boxes”, to appreciate the value of seemingly technical definitions and
theorems before you learn about them in detail. This topic is a fitting conclusion
to an energetic introduction to algebraic geometry, even if you do not earlier cover
everything needed to justify all details.
27.1 Introduction
F IGURE 27.1. Twenty-seven lines on a cubic surface
Wake an algebraic geometer in the dead of night, whispering: “27”. Chances are, he
will respond: “lines on a cubic surface”.
— R. Donagi and R. Smith, [DS] (on page 27, of course)
Since the middle of the nineteenth century, geometers have been entranced by
the fact that there are 27 lines on every smooth cubic surface, and by the remark-
able structure of the configuration of the lines. Their discovery by Cayley and
Salmon in 1849 has been called the beginning of modern algebraic geometry, [Do,
p. 55].
723
724 The Rising Sea: Foundations of Algebraic Geometry
The reason so many people are bewitched by this fact is because it requires
some magic, and this magic connects to many other things, including fundamental
ideas we have discussed, other beautiful classical constructions (such as Pascal’s
Mystical Hexagon Theorem 19.4.4, the fact that most smooth quartic plane curves
have 28 bitangents, exceptional Lie groups, . . . ), and many themes in modern al-
gebraic geometry (deformation theory, intersection theory, enumerative geometry,
arithmetic and diophantine questions, ...). It will be particularly pleasant for us, as
it takes advantage of many of the things we have learned.
You are now ready to be initiated into the secret fellowship of the twenty-seven
lines.
27.1.1. Theorem. — Every smooth cubic surface in P3k contains exactly 27 lines.
Theorem 27.1.1 is closely related to the following.
27.1.2. Theorem. — Every smooth cubic surface over k is isomorphic to P2 blown up at
6 points.
There are many reasons why people consider these facts magical. First, there
is the fact that there are always 27 lines. Unlike most questions in enumerative ge-
ometry, there are no weasel words such as “a general cubic surface” or “most cubic
surfaces” or “counted correctly” — as in, “every monic degree d polynomial has
d roots — counted correctly”. And somehow (and we will see how) it is precisely
the smoothness of the surface that makes it work.
Second, there is the magic that you always get the blow-up of the plane at six
points (§27.4).
Third, there is the magical incidence structure of the 27 lines, which relates to
E6 in Lie theory. The Weyl group of E6 is the symmetry group of the incidence
structure (see Remark 27.3.5). In a natural way, the 27 lines form a basis of the
27-dimensional fundamental representation of E6 .
27.1.3. Structure of this chapter. Throughout this chapter, X will be a smooth cu-
bic surface over an algebraically closed field k. In §27.2, we establish some prelim-
inary facts. In §27.3, we prove Theorem 27.1.1. In §27.4, we prove Theorem 27.1.2.
We remark here that the only input that §27.4 needs from §27.3 is Exercise 27.3.J.
This can be done directly by hand (see for example [Rei, §7], [Be, Thm. IV.13], or
[Sh, p. 246-7]), and Theorem 27.1.2 readily implies Theorem 27.1.1, using Exer-
cise 27.4.E. We would thus have another, shorter, proof of Theorem 27.1.1. The
reason for giving the argument of §27.3 is that it is natural given what we have
done so far, it gives you some glimpse of some ideas used more broadly in the sub-
ject (the key idea is that a map from one moduli space to another is finite and flat),
and it may help you further appreciate and digest the tools we have developed.
27.2 Preliminary facts
By Essential Exercise 15.1.C, there is a 20-dimensional vector space of cubic
forms in four variables, so the cubic surfaces in P3 are parametrized by P19 . Let
∆ ⊂ P19 be the locus corresponding to singular cubic hypersurfaces. Bertini’s
April 1, 2023 draft 725
Theorem 13.4.2 shows that the locus of smooth cubics P19 \ ∆ is dense and open in
the space P19 of all cubics.
27.2.A. E XERCISE . Show that any smooth cubic surface X is “anticanonically
embedded” — it is embedded by the complete anticanonical linear series KX∨ .
Hint: the adjunction formula, Exercise 21.5.B.
27.2.B. E XERCISE . Suppose X ⊂ P3k is a smooth cubic surface. Suppose C is a
curve on X. Show that C is a line if and only if C is a (−1)-curve (Definition 20.2.8).
Hint: the adjunction formula again, perhaps in the guise of Exercise 20.2.B(a); and
also Exercise 18.6.K.
It will be useful to find a single cubic surface over a single field with exactly 27
lines:
27.2.C. H ANDS - ON E XERCISE . Show that the Fermat cubic surface
([Link]) x30 + x31 + x32 + x33 = 0
in P3C has precisely 27 lines, each of the form
x0 + ωxi = xj + ω ′ xk = 0,
where {1, 2, 3} = {i, j, k}, j < k, and ω and ω ′ are cube roots of 1 (possibly the
same). This will require some brute force. Possible hint: up to a permutation
of coordinates, show that every line in P3 can be written x0 = ax2 + bx3 , x1 =
cx2 + dx3 . Show that this line is on ([Link]) if and only if
([Link]) a3 + c3 + 1 = b3 + d3 + 1 = a2 b + c2 d = ab2 + cd2 = 0
Show that if a, b, c, and d are all nonzero, then ([Link]) has no solutions.
27.2.1. ⋆ The singular cubic surfaces give an irreducible divisor ∆ in the param-
eter space P19 of all cubic surfaces. This discussion is starred not because it is
hard, but because it is not needed in the rest of the chapter. Nonetheless, it is a
pretty application of what we have learned, and it foreshadows key parts of the
argument in §27.3.
Bertini’s Theorem 13.4.2 shows that the locus of smooth cubics in the P19 of all
cubics is dense and open, but the proof suggests more: that the complement ∆ of
this locus is of pure codimension 1. We now show that this is the case, and even
that this “discriminant hypersurface” ∆ is irreducible.
27.2.D. E XERCISE . (Hint for both: recall the solution to Exercise 12.2.N.)
(a) Define the incidence correspondence Y ⊂ P19 × P3 corresponding to the data
of a cubic surface X, along with a singular point p ∈ X. (This is part of the exercise!
We need Y as a scheme, not just as a set.) Let µ be the projection Y → P19 .
Y@
}} @@ 15
µ
}}} @@P -bundle
@@
}~ }
P19 P3
(b) Show that Y is an irreducible smooth variety of dimension 18, by describing it
as a P15 -bundle over P3 .
726 The Rising Sea: Foundations of Algebraic Geometry
27.2.E. E XERCISE . Show that there exists a cubic surface with a single singular
point. Feel free to assume k is your favorite field; the main point is to familiarize
yourself with geometric ideas, not the peculiarities of positive characteristic fields.
(Hint if char k ̸= 2: Exercise 13.3.C.)
27.2.F. E XERCISE . Show that µ(Y) = ∆ is a closed irreducible subset of codimen-
sion 1. Hint for the codimension 1 statement: Exercise 12.4.A or Theorem 12.4.1,
in combination with Exercise 27.2.E.
Your argument will generalize with essentially no change to deal with degree
d hypersurfaces in Pn .
27.3 Every smooth cubic surface (over k) contains 27 lines
We are now ready to prove Theorem 27.1.1. Until Exercise 27.3.K, to avoid dis-
traction, we assume char k = 0. However, the following argument carries through
without change if char k ̸= 3. The one required check — and the reason for the
restriction on the characteristic — is that Exercise 27.2.C works with C replaced by
any such k.
27.3.A. E XERCISE . (Hint for both: recall the solution to Exercise 12.2.N.)
(a) Define the incidence correspondence Z ⊂ P19 × G(1, 3) corresponding to the
data of a line ℓ in P3 contained in a cubic surface X. (As in Exercise 27.2.D, this is
part of the exercise.) Let π be the projection Z → P19 .
ZE
}} EE
}} EEP15 -bundle
π
}} EE
}~ } EE
"
P19 G(1, 3)
(b) Show that Z is an irreducible smooth variety of dimension 19, by describing it
as a P15 -bundle over the Grassmannian G(1, 3).
27.3.B. E XERCISE . Use the fact that there exists a cubic surface with a finite number
of lines (Exercise 27.2.C), and the behavior of dimensions of fibers of morphisms
(Exercise 12.4.A or Theorem 12.4.1) to show the following.
(a) Every cubic surface contains a line, i.e., π is surjective. (Hint: show that
π is projective.)
(b) “Most cubic surfaces have a finite number of lines”: there is a dense
open subset U ⊂ P19 such that the cubic surfaces parametrized by closed
points of U have a positive finite number of lines. (Hint: upper semicon-
tinuity of fiber dimension, Theorem 12.4.3.)
The following fact is the key result in the proof of Theorem 27.1.1, and one
of the main miracles of the 27 lines, that ensures that the lines stay distinct on a
smooth surface. It states, informally, that two lines can’t come together without
damaging the surface. This is really a result in deformation theory: we are explic-
itly showing that a line in a smooth cubic surface has no first-order deformations.
April 1, 2023 draft 727
27.3.1. Theorem. — If ℓ is a line in a regular cubic surface X, then {ℓ ⊂ X} is a reduced
isolated point of the fiber of π : Z → P19 .
Before proving Theorem 27.3.1, we use it to prove Theorem 27.1.1.
27.3.2. Proof of Theorem 27.1.1, assuming Theorem 27.3.1. Now π is a projective
morphism, and by Theorem 27.3.1, over P19 \ ∆, π has relative dimension 0, and
hence has finite fibers. Hence by Theorem 18.1.6 (projective + finite fibers = finite),
π is finite over P19 \ ∆.
Furthermore, Z and P19 are both smooth of dimension 19 (over Z), and the
fibers of π : Z → P19 are (geometrically) reduced points above P19 \ ∆, again by
Theorem 27.3.1. Then by Exercise 25.2.F, π is étale over P19 \ ∆ (and in particular
flat).
Thus, over P19 \ ∆, π is a finite flat morphism, and so the fibers of π (again,
away from ∆) always have the same number of points, “counted correctly” (Re-
mark 24.4.8). But by Theorem 27.3.1, above each closed point of P19 \ ∆, each point
of the fiber of π counts with multiplicity one (here using k = k). Finally, by Exer-
cise 27.2.C, the Fermat cubic surface gives an example of one regular cubic surface
with precisely 27 lines, so (as P19 \ ∆ is connected) we are done. □
We have actually shown that away from ∆, Z → P19 is a finite étale morphism
of degree 27.
27.3.3. ⋆ Proof of Theorem 27.3.1. Choose projective coordinates so that the line ℓ
is given, in a distinguished affine subset (with coordinates named x, y, z), by the
z-axis. (We use affine coordinates to help visualize what we are doing, although
this argument is better done in projective coordinates. On a second reading, you
should translate this to a fully projective argument.)
27.3.C. E XERCISE . Consider the lines of the form (x, y, z) = (a, b, 0) + t(a ′ , b ′ , 1)
(where (a, b, a ′ , b ′ ) ∈ A4 is fixed, and t varies in A1 ). Show that a, b, a ′ , b ′ can be
interpreted as the “usual” coordinates on one of the standard open subsets of the
Grassmannian (see §7.7), with [ℓ] as the origin.
Having set up local coordinates on the moduli space, we can get down to
business. Suppose f(x, y, z) = 0 is the (affine version) of the equation for the cubic
surface X. Because X contains the z-axis ℓ, f(x, y, z) ∈ (x, y). More generally, the
line
([Link]) (x, y, z) = (a, b, 0) + t(a ′ , b ′ , 1)
lies in X precisely when f(a + ta ′ , b + tb ′ , t) is 0 as a cubic polynomial in t. This is
equivalent to four equations in a, a ′ , b, and b ′ , corresponding to the coefficients
of t3 , t2 , t, and 1. This is better than just a set-theoretic statement:
27.3.D. E XERCISE . Verify that these four equations are local equations for the
scheme-theoretic fiber (or scheme-theoretic preimage) π−1 ([X]).
Now we come to the crux of the argument, where we use the regularity of X
(along ℓ). We have a precise question in algebra. We are given a cubic surface X
given by f(x, y, z) = 0, containing ℓ, and we know that X is regular (including “at
∞”, i.e., in P3 ). To show that [ℓ] = V(a, a ′ , b, b ′ ) is a reduced isolated point in
the fiber of π, we work in the ring k[a, a ′ , b, b ′ ]/(a, a ′ , b, b ′ )2 , i.e., we impose the
728 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 27.2. Parameters for the space of “lines near ℓ”, in terms
of where they meet the z = 0 plane and the z = 1 plane
equations
([Link]) a2 = aa ′ = · · · = (b ′ )2 = 0,
and try to show that a = a ′ = b = b ′ = 0. (It is essential that you understand
why we are setting (a, a ′ , b, b ′ )2 = 0. You can also interpret this argument in
terms of the derivatives of the functions involved — which after all can be inter-
preted as forgetting higher-order information and remembering only linear terms
in the relevant variables, cf. Exercise 13.1.I. See [Mu6, §8D] for a description of this
calculation in terms of derivatives.)
Suppose f(x, y, z) = cx3 x3 + cx2 y x2 y + · · · + c1 1 = 0, where cx3 , cx2 y , · · · ∈ k.
Because ℓ ⊂ X, i.e., f ∈ (x, y), we have c1 = cz = cz2 = cz3 = 0. We now substitute
([Link]) into f, and then apply ([Link]). Only the coefficients of f of monomials
involving precisely one x or y survive:
cx (a + a ′ t) + cxz (a + a ′ t)t + cxz2 (a + a ′ t)t2
+cy (b + b ′ t) + cyz (b + b ′ t)t + cyz2 (b + b ′ t)t2
= (a + a ′ t)(cx + cxz t + cxz2 t2 ) + (b + b ′ t)(cy + cyz t + cyz2 t2 )
is required to be 0 as a polynomial in t. (Recall that cx , . . . , cyz2 are fixed elements
of k.) Let Cx (t) = cx +cxz t+cxz2 t2 and Cy (t) = cy +cyz t+cyz2 t2 for convenience.
Now X is regular at (0, 0, 0) precisely when cx and cy are not both 0 (as cz = 0).
More generally, X is regular at (0, 0, t0 ) precisely if cx + cxz t0 + cxz2 t20 = Cx (t0 )
and cy + cyz t0 + cyz2 t20 = Cy (t0 ) are not both zero. You should be able to quickly
check that X is regular at the point of ℓ “at ∞” precisely if cxz2 and cyz2 are not
both zero. We summarize this as follows: X is regular at every point of ℓ precisely
if the two quadratics Cx (t) and Cy (t) have no common roots, including “at ∞”.
April 1, 2023 draft 729
We now use this to force a = a ′ = b = b ′ = 0 using (a + a ′ t)Cx (t) + (b +
′
b t)Cy (t) ≡ 0.
We deal first with the special case where Cx and Cy have two distinct roots,
both finite (i.e., cxz2 and cyz2 are nonzero). If t0 and t1 are the roots of Cx (t), then
substituting t0 and t1 into (a + a ′ t)Cx (t) + (b + b ′ t)Cy (t), we obtain b + b ′ t0 = 0,
and b + b ′ t1 = 0, from which b = b ′ = 0. Similarly, a = a ′ = 0.
27.3.E. E XERCISE . Deal with the remaining cases to conclude the proof of Theo-
rem 27.3.1. (It is possible to do this quite cleverly. For example, you may be able
to re-choose coordinates to ensure that Cx and Cy have finite roots.)
□
27.3.4. The configuration of lines.
By the “configuration of lines” on a cubic surface, we mean the data of which
pairs of the 27 lines intersect. We can readily work this out in the special case
of the Fermat cubic surface (Exercise 27.2.C). (It can be more enlightening to use
the description of X as a blow-up of P2 , see Exercise 27.4.E.) We now show that
the configuration is the “same” (interpreted appropriately) for all smooth cubic
surfaces.
27.3.F. E XERCISE . Construct a degree 27! finite étale map W → P19 \ ∆, that
parametrizes a cubic surface along with an ordered list of 27 distinct lines. Hint: let
W ′ be the 27th fibered power of Z over P19 \ ∆, interpreted as parametrizing a
cubic surface with an ordered list of 27 lines, not necessarily distinct. Let W be the
subset corresponding to where the lines are distinct, and show that W is open and
closed in W ′ , and thus a union of connected components of W ′ . An alternative
way of identifying W within W ′ , in a way that might generalize to Exercise 27.3.H:
make sense of the fact for each i, j, “ℓi · ℓj ” is a locally constant function on W ′ , so
the locus where these functions are positive for all i ̸= j is both open and closed;
show that this is the W we seek.
We now make sense of the statement that the configuration of lines on the
Fermat cubic surface (call it X0 ) is the “same” as the configuration on some other
smooth cubic surface (call it X1 ). Lift the point [X0 ] to a point w0 ∈ W. Let W ′′ be
the connected component of W containing w0 .
27.3.G. E XERCISE . Show that the morphism W ′′ → P19 \ ∆ is finite and étale (and
surjective).
Choose a point w1 ∈ W ′′ mapping to [X1 ]. Because W parametrizes a “label-
ing” or ordering of the 27 lines on a surface, we now have chosen an identification
of the lines on X0 with those of X1 . Let the lines be ℓ1 , . . . , ℓ27 on X0 , and let the
corresponding lines on X1 be m1 , . . . , m27 .
27.3.H. E XERCISE ( USING STARRED E XERCISE 24.7.D). Show that ℓi · ℓj = mi · mj
for all i and j.
27.3.I. E XERCISE . Show that for each smooth cubic surface X ⊂ P3k , each line on X
meets exactly 10 other lines ℓ1 , ℓ1′ , . . . , ℓ5 , ℓ5′ on X, where ℓi and ℓi′ meet for each i,
and no other pair of the lines meet.
730 The Rising Sea: Foundations of Algebraic Geometry
27.3.J. E XERCISE . Show that every smooth cubic surface contains two disjoint
lines ℓ and ℓ ′ , such that there are precisely five other lines ℓ1 , . . . , ℓ5 meeting both ℓ
and ℓ ′ . (In fact, for any two disjoint lines ℓ and ℓ ′ in a smooth cubic surface, there
are precise five other lines meeting them; but this is strictly harder than what the
problem asks.)
27.3.5. Remark (cf. Remark 27.4.5): The Weyl group W(E6 ). The symmetry group of
the configuration of lines — i.e., the subgroup of the permutations of the 27 lines
preserving the intersection data — magically turns out to be the Weyl group of E6 ,
a group of order 51840. (You know enough to at least verify that the size of the
group is 51840, using the Fermat surface of Exercise 27.2.C, but this takes some
work.) It is no coincidence that the degree of W ′′ over P19 \ ∆ is 51840, and the
Galois group of the Galois closure of K(Z)/K(P19 \ ∆) is isomorphic to W(E6 ) (see
[H1, III.3]).
27.3.K. ⋆⋆ E XERCISE . Prove Theorem 27.3.1 in arbitrary characteristic. Begin by
figuring out the right statement of Exercise 27.3.A over Z, and proving it. Then
follow the argument given in this section, making changes when necessary.
27.3.6. ⋆ Fano varieties of lines, and Hilbert schemes. In Exercises 27.3.A
and 27.3.K, you constructed a moduli space of lines contained in a X, as a scheme.
Your argument can be generalized to any X ⊂ PN . This construction is called
the Fano variety of lines of X (not to be confused with the notion of a Fano variety,
§21.5.5), and is an example of a Hilbert scheme.
27.4 Every smooth cubic surface (over k) is a blown up plane
We now prove Theorem 27.1.2. As stated in §27.1.3, this section is remarkably
independent from the previous one; all we will need is Exercise 27.3.J, and it is
possible to prove this in other ways.
Suppose X is a smooth cubic surface (over k). Suppose ℓ is a line on X, and
choose coordinates on the ambient P3 so that ℓ is cut out by x0 and x1 . Projection
from ℓ gives a rational map P3 99K P1 (given by [x0 , x1 , x2 , x3 ] 7→ [x0 , x1 ]), which
extends to a morphism on X. The reason is that this rational map is resolved by
blowing up the closed subscheme V(x0 , x1 ) (Exercise 22.4.L). But (x0 , x1 ) cuts out
the effective Cartier divisor ℓ on X, and blowing up an effective Cartier divisor
does not change X (Observation 22.2.1).
Now choose two disjoint lines ℓ and ℓ ′ as in Exercise 27.3.J, and consider the
morphism ρ : X → P1 × P1 , where the map to the first P1 is projection from ℓ,
and the map to the second P1 is the projection from ℓ ′ . The first P1 can then be
identified with ℓ ′ , and the second with ℓ.
27.4.A. E XERCISE . Show that the morphism ρ is birational. Hint: given a general
point of (p, q) ∈ ℓ ′ × ℓ, we obtain a point of X as follows: the line pq in P3 meets
the cubic X at three points by Bézout’s Theorem 9.3.D: p, q, and some third point
x ∈ X; send (p, q) to x. (This idea appeared earlier in the development of the group
law on the cubic curve, see Proposition 19.10.3.) Given a general point x ∈ X, we
obtain a point (p, q) ∈ ℓ ′ × ℓ by projecting from ℓ ′ and ℓ.
April 1, 2023 draft 731
In particular, we have shown for the first time that every smooth cubic surface
over k is rational.
27.4.B. E XERCISE : ρ CONTRACTS PRECISELY ℓ1 , . . . , ℓ5 . Show that ρ is an isomor-
phism away from the ℓi mentioned in Exercise 27.3.J, and that each ρ(ℓi ) is a point
pi ∈ ℓ ′ × ℓ.
27.4.1. Proposition. — The morphism ρ : X → P1 × P1 is the blow-up of P1 × P1 at the
five pi .
Proof. By Castelnuovo’s Criterion (Theorem 29.7.1), as the lines ℓi are (−1)-curves
(Exercise 27.2.B), they can be contracted. More precisely, there is a morphism
β : X → X ′ that is the blow-up of X ′ at five closed points p1′ , . . . , p5′ , such that
ℓi is the exceptional divisor at pi′ . We wish to show that X ′ is P1 × P1 .
The morphism ρ : X → P1 ×P1 yields a morphism ρ ′ : X ′ \{p1′ , . . . p5′ } → P1 ×P1 .
We now show that ρ ′ extends over pi′ for each i, sending pi′ to pi . Choose an open
neighborhood of pi ∈ P1 × P1 isomorphic to A2 , with coordinates x and y. Then
both x and y pull back to functions on a punctured open neighborhoods of pi′ (i.e.,
there is some open neighborhood U of pi′ such that x and y are functions on U\{pi′ }).
By Algebraic Hartogs’s Lemma 12.3.14, they extend over pi′ , and this extension is
unique as P1 × P1 is separated — use the Reduced-to-Separated Theorem 11.4.2 if
you really need to. Thus ρ ′ extends over pi′ . (Do you see why ρ ′ (pi′ ) = pi ?)
27.4.C. E XERCISE . Show that the birational morphism ρ ′ : X ′ → P1 × P1 is invert-
ible. Hint: you can use Zariski’s Main Theorem (in the guise of Exercise 29.6.D),
but you needn’t use something so powerful. Instead, note that the birational map
ρ ′−1 is a morphism away from p1 , . . . , p5 . Use essentially the same argument as
in the last paragraph to extend ρ ′−1 over each pi .
□
27.4.2. Conclusion of the proof of Theorem 27.1.2. As a consequence we see that X is
the blow-up of P1 × P1 at 5 points. Because the blow-up of P1 × P1 at one point
is isomorphic to the blow-up of P2 at two points (Exercise 22.4.K), Theorem 27.1.2
then follows. □
27.4.3. Reversing the process.
(This is a more precise version of 22.4.10(iii).) The process can be reversed: we
can blow-up P2 at six points, and embed it in P3 . We first explain why we can’t
blow up P2 at just any six points and hope to embed the result in P3 . Because the
cubic surface is embedded anticanonically (Exercise 27.2.A), we see that any curve
C in X must satisfy (KX · C) < 0.
27.4.D. E XERCISE . Suppose P2 is sequentially blown up at p1 , . . . , p6 , resulting in
a smooth surface X.
(a) If pi lies on the exceptional divisor of the blow-up at pj (i > j), then show that
there is a curve C ⊂ X isomorphic to P1 , with (KX · C) ≥ 0.
(b) If the pi are distinct points on P2 , and three of them are collinear, show that
there is a curve C ⊂ X isomorphic to P1 , with (KX · C) ≥ 0.
732 The Rising Sea: Foundations of Algebraic Geometry
(c) If the six pi are distinct points on a smooth conic, show that there is a curve
C ⊂ X isomorphic to P1 , with (KX · C) ≥ 0.
Thus the only chance we have of obtaining a smooth cubic surface by blowing
up six points on P2 is by blowing up six distinct points, no three on a line and not
all on a conic.
27.4.4. Proposition. — The anticanonical map of P2 blown up at six distinct points, no
three on a line and not all on a conic, gives a closed embedding into P3 , as a cubic surface.
Because we won’t use this, we only describe the main steps of the proof: first
count sections of the anticanonical bundle KP∨ ∼
2 = OP2 (3) (there is a 4-dimensional
vector space of cubics on P vanishing at the six points, and these correspond to
2
sections of the anticanonical bundle of the blow-up via Exercise 22.4.S(a)). Then
show that these sections separate points and tangent vectors of X, thus showing
that the anticanonical linear series gives a closed embedding, Theorem 19.1.1. Ju-
dicious use of the Cremona transformation (Exercise 7.5.J) can reduce the amount
of tedious case-checking in this step.
27.4.E. E XERCISE . Suppose X is the blow-up of P2k at six distinct points p1 , . . . ,
p6 , no three on a line and not all on a conic. Verify that the only (−1)-curves on X
are the six exceptional divisors, the proper transforms of the 15 lines pi pj , and the
proper transforms of the six conics through five of the six points, for a total of 27.
27.4.F. E XERCISE . Solve Exercises 27.3.I and 27.3.J again, this time using the de-
scription of X as a blow-up of P2 .
27.4.5. Remark. If you blow up 4 ≤ n ≤ 8 points on P2 , with no three on a line and
no six on a conic, then the symmetry group of the configuration of lines is a Weyl
group, as shown in the following table.
n 4 5 6 7 8
W(A4 ) W(D5 ) W(E6 ) W(E7 ) W(E8 )
(If you know about Dynkin diagrams, you may see the pattern, and may be able
to interpret what happens for n = 3 and n = 9.) This generalizes part of Re-
mark 27.3.5, and the rest of it can similarly be generalized.
CHAPTER 28
Depth and Cohen-Macaulayness
We now introduce the notion of depth. Depth is an algebraic rather than geo-
metric concept, so we concentrate on developing some geometric sense of what
it means. Most important is the geometric bound on depth by dimension of (clo-
sures of) associated points (Theorem 28.1.2). A central tool to understanding depth
is the Koszul complex, but we avoid this approach, as we can prove what we need
directly.
When the depth of a local ring equals its dimension, the ring is said to be
Cohen-Macaulay, and this is an important way in which schemes can be “nice”.
For example, regular local rings are Cohen-Macaulay (§28.2.5), as are regular em-
beddings in smooth varieties (Proposition 28.2.6). Cohen-Macaulayness will be
key to the proof of Serre duality in Chapter 30, through the Miracle Flatness Theo-
rem 28.2.11.
Another application of depth is Serre’s R1 + S2 criterion for normality (Theo-
rem 28.3.2), which we will use to prove that regular schemes are normal (§28.3.5)
without having to show that regular local rings are factorial (the Auslander-Buchsbaum
Theorem, Fact 13.8.5), and to prove that regular embeddings in smooth schemes
are normal if they are regular in codimension 1 (§28.3.3).
28.1 Depth
Recall the theory of regular sequences from §9.5.3.
28.1.1. Definition. Suppose (A, m) is a Noetherian local ring, and M is a finitely
generated A-module. The depth of M (denoted depth M) is the length of the
longest M-regular sequence with elements in m. (More generally, if R is a Noe-
therian ring, I ⊂ R is an ideal, and M is a finitely generated R-module, then the
I-depth of M, denoted depthI M, is the length of the longest M-regular sequence
with elements in I. We won’t need this.)
28.1.A. I MPORTANT E XERCISE . Suppose M is a nonzero finitely generated module
over a Noetherian local ring (A, m). Show that depth M = 0 if and only if every
element of m is a zerodivisor of M if and only if m is an associated prime of M.
28.1.B. E XERCISE . Suppose M is a finitely generated module over a Noetherian
local ring A. Show that depth M ≤ dim Supp M. In particular,
([Link]) depth A ≤ dim A.
(We will improve this result in Theorem 28.1.6.)
733
734 The Rising Sea: Foundations of Algebraic Geometry
At this point, it is hard to determine the depth of an A-module M. You can
start trying to build an M-regular sequence by successively choosing x1 , x2 , . . . ,
but how do you know you have made the right choices to find the longest one?
The happy answer is that you can’t go wrong; this is the content of the next result.
(We then describe how to find the depth of a module M in practice, in §28.1.4.)
28.1.2. Theorem. — Suppose M is a finitely generated module over a Noetherian local
ring (A, m). Then all maximal M-regular sequences contained in m (M-regular sequences
x1 , . . . , xn in m that cannot be extended to x1 , . . . , xn+1 ) have the same length. Thus the
depth of M is the length of any maximal M-regular sequence.
We prove Theorem 28.1.2 by giving a cohomological criterion, Theorem 28.1.3,
for a regular sequence to be maximal. (You will then prove Theorem 28.1.2 in Ex-
ercise 28.1.D.) We will also use this criterion to give a better bound on the depth in
Theorem 28.1.6. Theorem 28.1.2 is the key technical result of this Chapter. An im-
portant moral is that depth should be understood as a “cohomological” property.
28.1.3. Theorem (cohomological criterion for existence of regular sequences). —
Suppose (A, m) is a Noetherian local ring, and M is a finitely generated A-module. The
following are equivalent.
(i) For every finitely generated A-module N with Supp N = {[m]} (i.e., N has finite
length, Exercise 6.6.X(a)), ExtiA (N, M) = 0 for all i < n.
(ii) ExtiA (A/m, M) = 0 for all i < n.
(iii) There exists an M-regular sequence in m of length n.
This result can be extended in various ways, see for example [Mat1, Thm. 28].
Proof. Clearly (i) implies (ii).
28.1.C. E XERCISE . Prove that (ii) implies (i). Hint: Use induction on the length of
N, and the long exact sequence for ExtiA (·, M).
Proof that (iii) implies (ii). The case n = 0 is vacuous. We inductively prove the
result for all n. Suppose (iii) is satisfied, where n ≥ 1, and assume that we know
(ii) for “all smaller n”. Choose a regular sequence x1 , . . . , xn of length n. Then x1
is a non-zerodivisor on M, so we have an exact sequence
×x1
([Link]) 0 /M /M / M/x1 M / 0.
Then M/x1 M has a regular sequence x2 , . . . , xn−1 of length n − 1, so by the induc-
tive hypothesis, ExtiA (A/m, M/x1 M) = 0 for i < n − 1. Taking the Ext long exact
sequence for ExtiA (A/m, ·) for ([Link]), we find that
×x1
ExtiA (A/m, M) / ExtiA (A/m, M)
is an injection for i < n. Now ExtiA (A/m, M) can be computed by taking an in-
jective resolution of M, and applying HomA (A/m, ·). Hence as x1 lies in m (and
thus annihilates A/m), multiplication by x1 is the zero map. Thus (ii) holds for n
as well.
Proof that (ii) implies (iii). The case n = 0 is vacuous.
April 1, 2023 draft 735
We deal next with the case n = 1, by showing the contrapositive. Assume
that there are no non-zerodivisors in m on M, so by Exercise 28.1.A, m is an as-
sociated prime of M. Thus (§6.6.7) we have an injection A/m ,→ M, yielding
HomA (A/m, M) ̸= 0 as desired.
We now inductively prove the result for all n > 1. Suppose (ii) is satisfied,
where n ≥ 2, and assume that we know (iii) for “all smaller n” . Then by the case
n = 1, there exists a non-zerodivisor x1 on M, so we have a short exact sequence
([Link]). A portion of the Ext long exact sequence for ExtiA (A/m, ·) for ([Link])
is
ExtiA (A/m, M) / ExtiA (A/m, M/x1 M) / Exti+1 (A/m, M).
A
By assumption, both ExtiA (A/m, M) and Exti+1 A (A/m, M) are 0 for i < n − 1, so
ExtiA (A/m, M/x1 M) = 0 for i < n − 1, so by the inductive hypothesis, we have an
(M/x1 M)-regular sequence x2 , . . . , xn of length n − 1 in m. Adding x1 to the front
of this sequence, we are done. □
28.1.D. E XERCISE . Prove Theorem 28.1.2. Hint: by Theorem 28.1.3 (notably, the
equivalence of (ii) and (iii)), you have control of how long an M-regular sequence
in m can be. Use the criterion, and the long exact sequence used in the proof of
Theorem 28.1.3, to show that any M-regular sequence in m can be extended to this
length.
28.1.E. E XERCISE . Suppose M is a finitely generated module over a Noether-
ian local ring (A, m). If x is a non-zerodivisor in m, show that depth(M/xM) =
depth M − 1. Hint: Theorem 28.1.2.
28.1.4. Finding the depth of a module. We can now compute the depth of M by
successively finding non-zerodivisors, as follows. Is there a non-zerodivisor x on
M in m?
(a) If not, then depth M = 0 (Exercise 28.1.A).
(b) If so, then choose any such x, and (using the previous exercise) repeat the
process with M/xM.
The process must terminate by Exercise 28.1.B.
28.1.F. I MPORTANT E XERCISE . Suppose (A, m) is a dimension d regular local ring.
Show that depth A = d. Hint: Exercise 13.2.B.
28.1.G. E XERCISE ( CF. E XERCISE 24.4.I). Suppose X = Spec R, where
R = k[w, x, y, z]/(wy, wz, xy, xz),
the union of two co-ordinate two-planes in A4k meeting at the origin. Show that
the depth of the local ring of X at the origin is 1. Hint: Show that w − y is not a
zerodivisor, and that R/(w − y) has an embedded point at the origin.
28.1.5. Depth is bounded by the dimension of associated prime ideals.
Theorem 28.1.3 can be used to give an important improvement of the bound
([Link]) on depth by the dimension:
28.1.6. Theorem. — The depth of a module M is at most the smallest dim A/p as p runs
over the associated prime ideals of M.
736 The Rising Sea: Foundations of Algebraic Geometry
(The example of two planes meeting at a point in Exercise 28.1.G shows that
this bound is not sharp.) The key step in the proof of Theorem 28.1.6 is the follow-
ing result of Ischebeck.
28.1.7. Lemma. — Suppose (A, m) is a Noetherian local ring, and M and N are nonzero
finitely generated A-modules. Then ExtiA (N, M) = 0 for i < depth M − dim Supp N.
Proof. Consider the following statements.
(generalr ) Lemma 28.1.7 holds for dim Supp N ≤ r.
(primer ) Lemma 28.1.7 holds for dim Supp N ≤ r and N = A/p for some prime p.
Note that (general0 ) (and hence (prime0 )) is true, as in this case Supp N = {[m]},
and the result follows from Theorem 28.1.3 (from “(iii) implies (i)”).
28.1.H. E XERCISE . Show that (primer ) implies (generalr ). Hint: For a short exact se-
quence 0 → M ′ → M → M ′′ → 0, Supp M = Supp M ′ ∪ Supp M ′′ (Exercise 6.6.B).
We conclude the proof by showing that (generalr−1 ) implies (primer ) for r ≥ 1.
Fix a prime p ⊂ A with dim A/p = r. Since dim A/p > 0, we can choose x ∈ m \ p.
Consider the exact sequence
×x
([Link]) 0 / A/p / A/p / A/(p + (x)) / 0,
noting that dim Supp A/(p+(x)) ≤ r−1 (Do you see why?). Then the Ext long exact
sequence obtained by applying HomA (·, M) to ([Link]), along with the vanishing
of ExtiA (A/(p + (x))), M) for i < depth M − r + 1 (by (generalr−1 )), implies that
×x
ExtiA (A/p, M) / ExtiA (A/p, M)
is an isomorphism for i < depth M − r. But ExtiA (A/p, M) is a finitely generated
A-module (Exercise 23.2.F), so by Nakayama’s Lemma 8.2.8, ExtiA (A/p, M) = 0 for
i < depth M − r. □
28.1.I. E ASY E XERCISE . Prove Theorem 28.1.6. Hint: if p ∈ Ass(M), then HomA (A/p, M) ̸=
0 (§6.6.7).
28.2 Cohen-Macaulay rings and schemes
28.2.1. Definition. A Noetherian local ring (A, m) is Cohen-Macaulay (or often
CM for short) if depth A = dim A, i.e., if equality holds in ([Link]). (One may
define Cohen-Macaulay module similarly, but we won’t need this concept.) A
locally Noetherian scheme is Cohen-Macaulay if all of its local rings are Cohen-
Macaulay. We won’t use this language, but a ring A is a Cohen-Macaulay ring
of all of its localizations Ap at all primes p are Cohen-Macaulay, or equivalently, if
Spec A is Cohen-Macaulay. (Fact 28.2.14 below, that Cohen-Maculayness of a local
ring is preserved by localization, ensures that there is no contradiction between
this definition, and the definition of a Cohen-Macaulay local ring.)
April 1, 2023 draft 737
28.2.A. E XERCISE . Show that every locally Noetherian scheme of dimension 0 is
Cohen-Macaulay. Show that a locally Noetherian scheme of dimension 1 is Cohen-
Macaulay if and only if it has no embedded points.
28.2.2. (Counter)example. Let X be the example of Exercise 28.1.G — two planes
meeting at a point. By Exercise 28.1.G, X is not Cohen-Macaulay.
28.2.B. E XERCISE . Suppose A is Cohen-Macaulay Noetherian local ring. Use
Theorem 28.1.6 to show that Spec A is equidimensional, and has no embedded
points. (It is not true that Noetherian local rings of pure dimension having no
embedded prime ideals are Cohen-Macaulay, see Example 28.2.2.)
28.2.3. Theorem (slicing criterion for Cohen-Macaulayness). — Suppose (A, m) is
a Noetherian local ring, and x ∈ m is a non-zerodivisor. Then (A, m) is Cohen-Macaulay
if and only if (A/x, m) is Cohen-Macaulay.
Compare this to the slicing criteria for regularity and flatness (Exercise 13.2.C
and Theorem 24.6.5 respectively).
28.2.4. Geometric interpretation of the slicing criterion. Suppose X is a locally Noe-
therian scheme, and D is an effective Cartier divisor. If X is Cohen-Macaulay, then
so is D. If D is Cohen-Macaulay, then X is Cohen-Macaulay at the points of D.
28.2.C. E XERCISE . Prove Theorem 28.2.3, using Theorem 28.1.2, the fact that
maximal regular sequences (in m) all have the same length. (Hint: Recall Exer-
cise 12.3.H, that dim A/(f) ≥ dim A − 1 for any f ∈ A.)
28.2.D. E XERCISE . Show that if (A, m) is Cohen-Macaulay, then a set of elements
x1 , . . . , xr ∈ m is a regular sequence (for A) if and only if dim A/(x1 , . . . , xr ) =
dim A − r.
28.2.5. By Exercise 28.1.F, regular local rings (Noetherian by definition) are Cohen-
Macaulay. In particular, as smooth schemes over a field k are regular (Theorem 13.2.7(b),
proved in §25.2.3), we see that smooth k-schemes are Cohen-Macaulay. (In combi-
nation with Exercise 28.2.B, this explains why effective Cartier divisors on smooth
varieties have no embedded points, justifying a comment made in Aside 20.2.3.)
Combining this with Exercise 28.2.D or §28.2.4, we have the following.
28.2.6. Proposition. — Regular embeddings in smooth k-schemes are Cohen-Macaulay.
28.2.7. As a consequence of Proposition 28.2.6 and the fact that Cohen-Macaulay
schemes have no embedded points (Exercise 28.2.B), we see that regular embed-
dings in smooth k-schemes (in An k or Pk for example) have no embedded points,
n
generalizing Exercise 6.6.F (the hypersurface in An
k case). This is not clear with-
out the theory of Cohen-Macaulayness! (This fact was used in Exercise 25.2.A, see
§25.2.1.)
28.2.8. Alternate definition of Cohen-Macaulayness. The slicing criterion (Theo-
rem 28.2.3) gives an enlightening alternative inductive definition of Cohen-Macaulayness
in terms of effective Cartier divisors, in the spirit of the method of §28.1.4 for com-
puting depth. Suppose as before that (A, m) is a Noetherian local ring.
(i) If dim A = 0, then A is Cohen-Macaulay (Exercise 28.2.A).
738 The Rising Sea: Foundations of Algebraic Geometry
(iia) If dim A > 0, and every element of m is a zerodivisor, then A is not Cohen-
Macaulay (by Exercise 28.1.A).
(iib) Otherwise, choose any non-zerodivisor x in m. Then A is Cohen-Macaulay
if and only if A/(x) (necessarily of dimension dim A − 1 by Krull’s Prin-
cipal Ideal Theorem 12.3.3) is Cohen-Macaulay.
The following example could have been stated (but not proved) before we
knew any algebraic geometry at all. (We work over C rather than over an arbitrary
field simply to ensure that the statement requires as little background as possible.)
28.2.E. F UN E XERCISE (M AX N OETHER ’ S AF + BG T HEOREM ). Suppose f, g ∈
C[x0 , x1 , x2 ] are two homogeneous polynomials, cutting out two curves in P2C that
meet “transversely”, i.e., at a finite number of reduced points. Suppose h ∈
C[x0 , x1 , x2 ] is a homogeneous polynomial vanishing at these points. Show that
h ∈ (f, g). Hint: show that the intersection of the affine cones V(f) and V(g) in
A3 has no embedded points. (This problem is quite nontrivial to do without the
theory developed in this chapter! As a sign that this is subtle: you can easily con-
struct three quadratics e, f, g ∈ C[x0 , x1 , x2 ] cutting out precisely the two points
[1, 0, 0] and [0, 1, 0] ∈ P2C , yet the line z = 0 is not in the ideal (e, f, g) for degree
reasons.)
28.2.9. Miracle flatness.
We conclude with a remarkably simple and useful criterion for flatness, which
we shall use in the proof of Serre duality. The main content is the following alge-
braic result.
28.2.10. Miracle Flatness Theorem (algebraic version). — Suppose ϕ : (B, n) →
(A, m) is a (local) homomorphism of Noetherian local rings, such that A is Cohen-Macaulay,
and B is regular, and A/nA = A ⊗B (B/n) (the ring corresponding to the fiber) has pure
dimension dim A − dim B. Then ϕ is flat.
Proof. We prove Theorem 28.2.10 by induction on dim B. If dim B = 0, then B is a
field (Exercise 13.2.A), so the result is immediate, as everything is flat over a field
(Exercise 24.2.A(a)). Assume next that dim B > 0, and we have proved the result
for all “B of smaller dimension”. Choose x ∈ n − n2 , so B/x is a regular local ring
of dimension dim B − 1 (Exercise 12.3.H). Then
dim A/xA ≤ dim B/(x) + dim A/nA (Key Exercise 12.4.A)
= dim B − 1 + dim A/nA (Exercise 12.3.H)
= dim A − 1 (by hypothesis of Theorem 28.2.10).
By (Exercise 12.3.H), dim A/xA ≥ dim A − 1, so we have dim A/xA = dim B/(x) +
dim A/nA = dim A − 1. By Exercise 28.2.D, A/xA is a Cohen-Macaulay ring, and
x is a non-zerodivisor on A. The inductive hypothesis then applies to (B/(x), n) →
(A/xA, m), so A/xA is flat over B/(x). Then by the local slicing criterion for flat-
ness (Theorem 24.6.5), B → A is flat, as desired. □
28.2.11. Miracle Flatness Theorem. — Suppose π : X → Y is a morphism of equidi-
mensional finite type k-schemes, where X is Cohen-Macaulay, Y is regular, and the fibers
of π have dimension dim X − dim Y. Then π is flat.
April 1, 2023 draft 739
28.2.F. E XERCISE . Prove the Miracle Flatness Theorem 28.2.11. (Do not forget that
schemes usually have non-closed points!)
The geometric situation in the Miracle Flatness Theorem 28.2.11 is part of the
following pretty package.
28.2.G. E XERCISE . Suppose π : X → Y is a map of locally finite type k-schemes,
where both X and Y are equidimensional, and Y is regular. Show that if any two of
the following hold, then the third does as well:
(i) π is flat of relative dimension dim X − dim Y.
(ii) X is Cohen-Macaulay.
(iii) Every fiber Xy is Cohen-Macaulay of pure dimension dim X − dim Y.
Hint: if ϕ : B → A is a flat ring map, then ϕ sends non-zerodivisors to non-
zerodivisors (Observation 24.2.2).
The statement of Exercise 28.2.G can be improved, at the expense of killing the
symmetry. In the implication (ii) and (iii) imply (i), the Cohen-Macaulay hypothe-
ses in (iii) are not needed.
28.2.12. Example. As an example of Exercise 28.2.G in action, we consider the
example of two planes meeting a point, continuing the notation of Exercise 28.1.G.
Consider the morphism π : X → Y := A2 given by (w − y, x − z). Note that Y is
regular (§13.3.6). But X is not Cohen-Macaulay (Exercise 28.1.G) and π is not flat
(Exercise 24.4.I), so by Exercise 28.2.G, you can use either of these to prove the
other.
28.2.13. Fancy properties of Cohen-Macaulayness.
We mention a few additional properties of Cohen-Macaulayness without proof.
They are worth seeing, but we will not use them.
If X is a locally Noetherian scheme, the locus of Cohen-Macaulay points is
open, see [Mat2, Thm 24.5] (and also [Stacks, tag 00RD]). In particular:
28.2.14. Fact (cf. Fact 13.8.5). — Any localization of a Cohen-Macaulay Noetherian
local ring at a prime ideal is also Cohen-Macaulay.
(See [Stacks, tag 00NB], [E, Prop. 18.8], [Mat2, Thm. 17.3(iii)], or [Mat1, Thm. 30]
for a direct proof.) In particular, for quasicompact schemes, Cohen-Macaulayness
may be checked at closed points. The fact that Cohen-Macaulayness is preserved
by localization can be used to quickly show that Cohen-Macaulay local rings are
catenary (see [E, Cor. 18.10], [Mat1, Thm. 31(ii)], or [Mat2, Thm. 17.9]). A ring A
is Cohen-Macaulay if and only if A[x] is Cohen-Macaulay ([E, Prop 18.9], [Mat2,
Thm 17.7], [Mat1, Thm. 33]), if and only A[[x]] is [Mat2, p. 137]. A local ring is
Cohen-Macaulay if and only if its completion is Cohen-Macaulay ([E, Prop. 18.8],
[Mat2, Thm 17.5]).
28.3 ⋆ Serre’s R1 + S2 criterion for normality
The notion of depth yields a useful criterion for normality, due to Serre.
740 The Rising Sea: Foundations of Algebraic Geometry
28.3.1. Definition. Suppose A is a Noetherian ring, and k ∈ Z≥0 . We say A has
property Rk (A is regular in codimension ≤ k, or more sloppily, A is regular in
codimension k) if for every prime p ⊂ A of codimension at most k, Ap is regular.
(In light of Fact 13.8.2, a Noetherian local ring is regular and only if it has property
Rk for all k.)
We say A has property Sk if for every prime p ⊂ A, the local ring Ap has
depth at least min(k, dim Ap ) — “the local rings are Cohen-Macaulay up until
codimension k, and have depth at least k thereafter”. (In light of Fact 28.2.14, a
Noetherian local ring is Cohen-Macaulay if and only if it has property Sk for all
k.)
28.3.A. E ASY EXERCISE . Note that a Noetherian ring A trivially always has prop-
erty S0 . Show that a Noetherian ring A has property R0 if Spec A is “generically
reduced”: it is reduced at the generic point of each of its irreducible components.
Show that a Noetherian ring A has property S1 if and only if Spec A has no embed-
ded points. (Possible hint: Exercise 28.1.A.)
28.3.B. E XERCISE . Show that a Noetherian ring A has no nilpotents (Spec A is
reduced) if and only if it has properties R0 and S1 . (Hint: show that a Noetherian
scheme is reduced if and only if each irreducible component is generically reduced,
and it has no embedded points. )
Incrementing the subscripts in Exercise 28.3.B yields Serre’s criterion.
28.3.2. Theorem (Serre’s criterion for normality). — A Noetherian ring A is normal
if and only if it has properties R1 and S2 .
(Recall from §5.4.1 that a Noetherian ring A is normal if its localizations Ap
at all primes p are integrally closed domains.) Thus failure of normality can have
two possible causes: it can be failure of R1 (something we already knew, from the
equivalence of (a) and (g) in Theorem 13.5.8), or it can be the more subtle failure
of S2 . Examples of varieties satisfying R1 but not S2 are given in Example 28.3.4
(two planes meeting at a point) and Exercise 28.3.D (the pinched plane).
28.3.3. Applications. As usual, before giving a proof, we give some applications
to motivate the result. First, it implies that Cohen-Macaulay schemes are normal
if and only if they are regular in codimension 1. Thus to check normality of hy-
persurfaces (or more generally, regular embeddings) in Pn k (or more generally, in
any smooth variety), it suffices to check that their singular locus has codimen-
sion greater than one. (You should think through the details of why these state-
ments are true.) In particular, this gives a new (more complicated) proof of Exer-
cise 5.4.I(b) and (c).
28.3.C. E XERCISE ( PRACTICE WITH THE CONCEPT ). Show that two-dimensional
normal varieties are Cohen-Macaulay.
28.3.4. Example: two planes meeting at a point. The variety X of Exercise 28.1.G (two
planes meeting at a point) is not normal (why?), but it is regular away from the
origin. This implies that X does not have property S2 (and hence is not Cohen-
Macaulay), without the algebraic manipulations of Exercise 28.1.G.
April 1, 2023 draft 741
We already knew that this example was not Cohen-Macaulay, but the same
idea can show that the pinched plane Spec k[x3 , x2 , xy, y] (appearing in Exercise 13.5.I)
is not Cohen-Macaulay. Because of the “extrinsic” description of the ring, it is dif-
ficult to do this in another way.
28.3.D. E XERCISE : THE PINCHED PLANE IS NOT C OHEN -M ACAULAY. Let A be
the subring k[x3 , x2 , xy, y] of k[x, y]. Show that A is not Cohen-Macaulay. Hint:
Exercise 13.5.I showed that A is not integrally closed.
28.3.5. Regular local rings are integrally closed. Serre’s criterion can be used to
show that regular local rings are integrally closed without going through the hard
Fact 13.8.5 (the Auslander-Buchsbaum Theorem) that they are unique factoriza-
tion domains. Regular local rings are Cohen-Macaulay (§28.2.5), and (by Exer-
cise 28.3.B) regular in codimension 0 as they are integral domains (Theorem 13.2.11),
so we need only show that regular local rings are regular in codimension 1. We
can invoke a different hard Fact 13.8.2 that localizations of regular local rings are
again regular, but at least we have shown this for localizations of finitely generated
algebras over a perfect field (see Theorem 13.8.3 and Exercise 21.3.G).
28.3.6. Caution. As is made clear by the following exercise, the condition S2 is a
condition on all prime ideals, not just those of codimension at most 2.
28.3.E. E XERCISE . Give an example of a variety satisfying R1 , and Cohen-Macaulay
at all points of codimension at most 2, which is not normal.
28.3.7. Proof of Theorem 28.3.2. The proof of Serre’s criterion will take us until
the end of this section.
28.3.8. Normal implies R1 + S2 .
Suppose first that A is normal. It is reduced, and thus satisfies (R0 and) S1 by
Exercise 28.3.B. It satisfies R1 from the equivalence of (a) and (g) in Theorem 13.5.8.
All that is left is to verify property S2 . We thus must show that if (A, m) is an
integrally closed Noetherian local ring (implicitly, integral domain) of dimension
greater than 1, then A has depth at least 2.
Choose any nonzero x ∈ m. (Don’t forget that normality implies that the local
ring A is an integral domain.) We wish to show that depth A/(x) > 0. Assume
otherwise that depth A/(x) = 0, so (by Exercise 28.1.A) m is an associated prime of
A/(x). Thus there is some nonzero y ∈ A/(x) (i.e., y ∈ / (x)) with ym = 0 in A/(x),
i.e., multiplying any element z ∈ m by y gives you a multiple of x. Let w = y/x ∈ K(A).
We will show that w ∈ A, and thus that y ∈ (x), yielding a contradiction.
For each prime ideal p ⊂ A of codimension 1, choose any z ∈ m \ p. Then
zw = zy/x ∈ (y/x)m ⊂ A by the italicized statement in the previous paragraph,
so w ∈ Ap . Thus w ∈ Ap for all codimension 1 prime ideals p ⊂ A, so by Algebraic
Hartogs’s Lemma 12.3.14 (using the hypothesis that A is integrally closed), w ∈ A
as desired.
28.3.9. R1 + S2 implies normal: the integral domain case. Normality is a stalk-local
condition by definition (§5.4.1), so it suffices to show:
(†) if (A, m) is a dimension d Noetherian local ring satisfying R1 and S2 then
it is an integrally closed integral domain.
742 The Rising Sea: Foundations of Algebraic Geometry
(As A satisfies R0 and S1 , A is reduced by Exercise 28.3.B. Also, d is finite by Exer-
cise 12.3.J.)
The case in which A is an integral domain is notably easier, and may help
motivate the statement of the criterion, so we deal with this case first, and leave the
general case as something to read when you have too much time on your hands.
Note that this case suffices for many of the consequences we discuss, notably the
normality of regular schemes (§28.3.5).
Suppose now that A is an integral domain. Suppose x ∈ K(A) is integral over
A. We must prove that x ∈ A. Write x = f/g, where f, g ∈ A. We wish to show that
f ∈ (g), or equivalently that f restricts to 0 on the closed subscheme W := V(g) of
Spec A.
28.3.F. E XERCISE . Show that W := V(g) has no embedded points. Translation:
A/(g) satisfies S1 .
Let η1 , . . . , ηm be the generic points of the irreducible components of W, cor-
responding to prime ideals p1 , . . . , pm of A. By Exercise 28.3.F, η1 ,. . . , ηm are all
the associated points of W, so the natural map
([Link]) A/(g) / ∏m OW,η = ∏m (A/(g))p
i=1 i i=1 i
is an injection, by Exercise 6.6.I.
The ring Api is regular in codimension 1, so by parts (a) and (g) of Theo-
rem 13.5.8, Api is integrally closed. Now x is integral over A and thus over Api , so
by the integral closedness of Api , x ∈ Api . Hence f is 0 in each Api /(g) = (A/(g))pi .
From the injectivity of ([Link]), we have that f is 0 on W as desired.
28.3.10. ⋆⋆ R1 + S2 implies normal: the general case. We prove (†) by induction on d.
28.3.G. E XERCISE . Prove the desired result if d = 0 and d = 1.
Our next step is to show that A is integrally closed in its total fraction ring,
the localization of A at the multiplicative subset of non-zerodivisors (defined in
§6.6.35). Suppose we have f, g ∈ A, with g a non-zerodivisor, such that f/g satisfies
the monic equation
∑
n
([Link]) (f/g)n + ai (f/g)n−i = 0
i=1
with ai ∈ A. We prove f ∈ (g) by induction on d. The cases d = 0 and 1 follow
from Exercise 28.3.G. Assume now that d > 1, and that the result is known for
“smaller d”.
As depth A ≥ 2, depth A/(g) ≥ 1, so there is a non-zerodivisor t on A/(g)
with t ∈ m. Consider the localization of ([Link]) at all the prime ideals corre-
sponding to points of D(t) ⊂ Spec A (those prime ideals not containing t), each
of which has codimension < d. By the inductive hypothesis, f ∈ (g) in each of
these localizations, so f is zero in (A/(g))t . But as t is a non-zerodivisor on A/(g),
the map A/(g) → (A/(g))t is an injection (Exercise 1.3.C), so f is zero in A/(g), as
desired. We have thus shown that A is integrally closed in its total fraction ring.
April 1, 2023 draft 743
28.3.11. Lemma. — Suppose R is a reduced ring with finitely many minimal prime ideals
p1 , . . . , pn . If R is integrally closed in its total fraction ring, then R is a finite product of
integral domains.
28.3.12. Proof of Lemma 28.3.11. The pi are
∏nthe associated prime ideals of R, by Ex-
ercise 6.6.R, so the natural map ϕ : R → i=1 Rpi is an inclusion (by Exercise 6.6.I).
28.3.H.
∏n E XERCISE . Show that the map ϕ identifies the total fraction ring of R with
i=1 pi .
R
∏
Suppose ei is the ith idempotent of the total fraction ring Rpi (i.e., (0, . . . , 0, 1, 0, . . . , 0),
where the 1 is in the ith spot). Since R is integrally closed in its total fraction ring,
it contains each of the ei .
28.3.I. E XERCISE .
∏ Conclude the proof of Lemma 28.3.11, by describing R =
n
i=1 Rei , and showing that each Rei is an integrally closed integral domain. Pos-
sible hint: Remark 3.6.3. □
We now return to our proof of Serre’s criterion. By Lemma 28.3.11, we now
know that A is a product of integral domains. But Spec A is connected (A is a local
ring!), so A is an integral domain. □
CHAPTER 29
Power series and the Theorem on Formal Functions
29.1 Introduction
Power series are a central tool in analytic geometry. Their analog in algebraic
geometry, completion, is similarly useful. We will only touch on some aspects of
the subject.
In §29.2, we deal with some algebraic preliminaries. In §29.3, we use comple-
tions to (finally) give a definition of various singularities, such as nodes. (We won’t
use these definitions in what follows.) In §29.4, we state the main technical result
of the chapter, the Theorem on Formal Functions 29.4.2. The subsequent three sec-
tions give applications. In §29.5, we prove Zariski’s Connectedness Lemma 29.5.1
and the Stein Factorization Theorem 29.5.3. In §29.6, we prove a commonly used
version of (Grothendieck’s version of) Zariski’s Main Theorem 29.6.1; we rely on
§29.5. In §29.7, we prove Castelnuovo’s Criterion for contracting (−1)-curves,
which we used in Chapter 27. The proof of Castelnuovo’s Criterion also uses §29.5.
Finally, in §29.8, we prove the Theorem on Formal Functions 29.4.2.
There are deliberately many small sections in this chapter, so you can see that
they tend not to be as hard at they look, with the exception of the proof of the The-
orem on Formal Functions itself, and possibly Theorem 29.2.6 relating completion
to exactness and flatness.
29.2 Algebraic preliminaries
Suppose A is a ring, and J1 ⊃ J2 ⊃ · · · is a decreasing sequence of ideals.
^ and is called
Then we may take the limit lim A/Jn . This ring is often denoted A,
the completion of A (for this sequence of ideals); the sequence of ideals is left
implicit. The most important case of completion is if Jn = In , where I is an ideal
of A. The limit lim A/In is called the I-adic completion of A, or the completion
of A along I or at I.
29.2.1. Example. We define k[[x1 , . . . , xn ]] as the completion of k[x1 , . . . , xn ] at the
maximal ideal (x1 , . . . , xn ). This is the ring of formal power series in n variables
over k.
The p-adic numbers (Example 1.4.4) are another example.
745
746 The Rising Sea: Foundations of Algebraic Geometry
29.2.A. E XERCISE . Suppose that J1′ ⊃ J2′ ⊃ · · · is a decreasing series of ideals that
′ ′
is cofinal with Jn . In other words, for every Jn , there is some JN with Jn ⊃ JN , and
′ ′
for every Jn , there is some JN with Jn ⊃ JN . Show that there is a canonical isomor-
∼
phism lim A/Jn′ ←→ lim A/Jn . Thus what matters is less the specific sequence of
ideals than the “cofinal” equivalence class.
29.2.2. Preliminary remarks. We have an obvious morphism A → A. ^
^
If we put the discrete topology on A/Jn , then A naturally has the structure of
a topological ring (a ring that is a topological space, where all the ring operations
are continuous, or equivalently, a ring object in the category of topological spaces).
We then can have the notion of a topological module M over a topological ring A ′
— a module over the underlying ring A ′ , with a topology, such that the action of
A ′ on M is continuous.
29.2.B. E XERCISE . Suppose m is a maximal ideal of a ring A. Show that the
completion of A at m is canonically isomorphic to the completion of Am at m.
If (A, m) is a Noetherian local ring, then the natural map A → A ^ is an injec-
tion: anything in the kernel must lie in ∩m , which is 0 by the Krull Intersection
i
Theorem (Exercise 13.9.A(b)). Thus “no information is lost by completing”, just as
analytic functions are (locally) determined by their power series expansion.
(In the case of completion at an ideal I, we say that A is I-adically separated
if A → A ^ is an injection, and complete with respect to I if A → A ^ is an isomor-
phism, although we won’t need these phrases. For example, the Krull Intersection
Theorem implies that if I is a proper ideal of a Noetherian integral domain or a
Noetherian local ring, then A is I-adically separated.)
29.2.C. E XERCISE . Suppose that (A, m) is Noetherian local ring containing its
residue field k (i.e., it is a k-algebra). Let x1 , . . . , xn be elements of A whose images
are a basis for m/m2 . Show that the map of k-algebras
([Link]) k[[t1 , . . . , tn ]] /A
^
defined by ti 7→ xi is a surjection. (First explain why there is such a map!) As
usual, for local rings, the completion is assumed to be at the maximal ideal.
Exercise 29.2.C is a special case of the Cohen Structure Theorem. (See [E, §7.4]
for more on this topic.)
29.2.D. E XERCISE . Let X be a locally Noetherian scheme over k, let p ∈ X
be a rational (k-valued) point. Suppose p ∈ X is regular of codimension d (i.e.,
∼
dim OX,p = d). Describe an isomorphism O^X,p ←→ k[[x1 , . . . , xd ]] as topological
rings. (Hint: As in Exercise 29.2.C, choose d elements of m that restrict to a basis
of m/m2 ; these will be your x1 , . . . , xd . Show that the map ([Link]) has no kernel.
It may help to identify mn /mn+1 with Symn (m/m2 ) using Theorem 22.3.8.)
The converse also holds: if (A, m, k) is a Noetherian local ring that is a k-
^ =
algebra, and A ∼ k[[x1 , . . . , xd ]], then A is a regular local ring of dimension d;
see [AtM, Prop. 11.24] for the key step.
April 1, 2023 draft 747
29.2.3. Remark. Suppose p is a smooth rational (k-valued) point of a k-variety of
dimension d, and f ∈ OX,p (f is a “local function”). By way of the isomorphism of
Exercise 29.2.D, we can interpret f as an element of k[[x1 , . . . , xd ]]. This should be
interpreted as the “power series expansion of f at p”, in the “local coordinates x1 ,
. . . , xd ”.
29.2.4. Aside: Some more geometric motivation.
Exercise 29.2.D may give some motivation for completion: “in the completion,
regular schemes look like affine space”. This is often stated in the suggestive lan-
guage of “formally locally, regular schemes are isomorphic to affine space”; this
will be made somewhat more precise in §29.4.1.
We now give a little more geometric motivation for completion, that we will
not use later on. Recall from §13.6.1 that étale morphisms are designed to look like
“local isomorphisms” in differential geometry. But Exercise 13.6.E showed that this
metaphor badly fails in one important way. More precisely, let Y = Spec k[t], and
X = Spec k[u, 1/u], and let p ∈ X be given by u = 1, and q ∈ Y be given by t = 1.
Suppose char k ̸= 2. The morphism π : X → Y induced by t 7→ u2 is étale, and
π(p) = q. But there is no open neighborhood of p that π maps isomorphically onto
an open neighborhood of q. However, the following Exercise shows that π induces
an isomorphism of completions (an isomorphism of “formal neighborhoods”).
29.2.E. E XERCISE . Continuing the notation of the previous paragraph, show that
π induces an isomorphism of completions O^Y,q → O^X,p .
29.2.F. E XERCISE . Suppose Y = Spec A, and X = Spec A[t]/(f(t)), and π : X → Y is
the morphism induced by A → A[t]/(f(t)). Suppose p ∈ X is a closed point, q ∈ Y
is a closed point, π(p) = q, and π is étale at p and induces an isomorphism of
residue fields. Show that π induces an isomorphism of completions O^Y,q → O^X,p .
(If you are not familiar with Hensel’s Lemma, you will rediscover its central idea
in the course of solving this exercise.)
With a little more care, you can show more generally that if π : X → Y is an
étale morphism, π(p) = q, and π induces an isomorphism of residue fields at p,
then π induces an isomorphism of completions O^Y,q → O^X,p . (You may even wish
to think about how to remove the hypothesis of isomorphism of residue fields.)
These ideas are close to the definition of “formal étaleness” discussed in §25.2.6.
You can interpret these results as a statement that “the implicit function the-
orem works formally locally”, even though it doesn’t work Zariski-locally. (The
étale topology is somewhere between these two; it is partially designed so that the
implicit function theorem in this sense always holds, essentially by fiat. But this is
not the place to discuss the étale topology.)
29.2.5. Completion and exactness.
We conclude this section with an interesting and useful statement.
29.2.6. Theorem. — Suppose A is a Noetherian ring, and I ⊂ A is an ideal. For any
A-module M, let M ^ = lim M/Ij M be the completion of M with respect to I.
(a) The completion A ^ (of A with respect to I) is flat over A.
(b) If M is finitely generated, then the natural map A ^ ⊗A M → M
^ is an isomorphism.
(c) If 0 → M → N → P → 0 is a short exact sequence of finitely generated A-modules,
748 The Rising Sea: Foundations of Algebraic Geometry
then 0 → M ^ → N ^ → P ^ → 0 is exact. (Thus completion preserves exact sequences of
finitely generated modules, by Exercise 1.6.F.)
We will use (a) in §29.3, and (b) in §29.8.
29.2.7. Remark. Before proving Theorem 29.2.6, we make some remarks. Parts
(a) and (b) together clearly imply part (c), but we will use (c) to prove (a) and
(b). Also, note a delicate distinction (which helps me remember the statement): if
0 → M → N → P → 0 is an exact sequence of A-modules, not necessarily finitely
generated, then
([Link]) 0 /A
^ ⊗A M /A
^ ⊗A N /A
^ ⊗A P /0
is always exact, but
([Link]) 0 /M
^ /N
^ /P
^ /0
need not be exact — and when it is exact, it is often because the modules are finitely
generated, and thus ([Link]) is really ([Link]).
Caution: completion is not always exact. Consider the exact sequence of k[t]-
modules
×(t,t2 ,t3 ,... )
0 / ⊕∞ k[t] / ⊕∞ k[t] / ⊕∞ k[t]/(tn ) / 0.
n=1 n=1 n=1
After completion with respect to the ideal ((t, t, t, . . . )), the sequence is no longer
exact in the middle: (t2 , t3 , t4 , . . .) maps to 0, but is not in the image of the comple-
tion of the previous term.
⋆⋆ Proof. The key step is to prove (c), which we do through a series of exercises.
Suppose that 0 → M → N → P → 0 is a short exact sequence of finitely generated
A-modules.
^ →P
29.2.G. E XERCISE . Show that N ^ is surjective. Hint: consider an element of
P as a sequence (pj ∈ P/I P)j≥0 , where the image of pj+1 is pj , cf. Exercise 1.4.C.
^ j
Build a preimage (nj ∈ N/Ij N)j≥0 by induction on j.
^ → P)
We now wish to identify ker(N ^ with M.
^
29.2.H. E XERCISE . Show that for each j ≥ 0,
([Link]) 0 / M/(M ∩ Ij N) / N/Ij N / P/Ij P /0
is exact. (Possible hint: show that 0 → M ∩ Ij N → M → N/Ij N → P/Ij P → 0 is
exact.)
The short exact sequences ([Link]) form an inverse system as j varies. Its limit
is left-exact (because limits always are), but it is also right-exact by Exercise 1.6.N,
as the “transition maps on the left” M/(M ∩ Ij+1 N) → M/(M ∩ Ij N) are clearly
surjective. Thus
([Link]) 0 / lim M/(M ∩ Ij N) /N
^ /P
^ /0
is exact. To complete the proof of (c), it suffices (by Exercise 29.2.A) to show that
the sequence of submodules Ij M is cofinal with the sequence M ∩ Ij N, so that the
term lim M/(M ∩ Ij N) on the left of ([Link]) is naturally identified with M.
^
April 1, 2023 draft 749
29.2.I. E XERCISE . Prove this. Hint: clearly Ij M ⊂ M ∩ Ij N. By Corollary 13.9.4 to
the Artin-Rees Lemma 13.9.3, for some integer s, M ∩ Ij+s N = Ij (M ∩ Is N) for all
j ≥ 0, and clearly Ij (M ∩ Is N) ⊂ Ij M.
This completes the proof of part (c) of Theorem 29.2.6.
For part (b), present M as
([Link]) A⊕m
α / A⊕n /M /0
where α is an m × n matrix with coefficients in A. Completion is exact in this case
by part (c), and clearly commutes with finite direct sums, so
^ ⊕m
A /A
^ ⊕n /M
^ /0
is exact. Tensor product is right-exact, and commutes with direct sums (Exer-
cise 1.3.M), so
^ ⊕m
A /A
^ ⊕n /A
^ ⊗A M /0
is exact as well. Notice that the maps from A ^ ⊕m to A^ ⊕n in both right-exact se-
quences are the same; they are both α. Thus their cokernels are identified, and (b)
follows.
Finally, to prove (a), we need to extend the ideal-theoretic criterion for flatness
(Theorem 24.4.1) slightly. Recall (§24.4.2) that it is equivalent to the fact that an
A-module M is flat if and only if for all ideals I, the natural map I ⊗A M → M is
an injection.
29.2.J. E XERCISE ( STRONGER FORM OF THE IDEAL - THEORETIC CRITERION FOR FLAT-
NESS ). Show that an A-module M is flat if and only if for all finitely generated ideals
I, the natural map I ⊗A M → M is an injection. (Hint: if there is a counterexample
for an ideal J that is not finitely generated, use it to find another counterexample
for an ideal I that is finitely generated.)
By this criterion, to prove (a) it suffices to prove that the multiplication map
I ⊗A A^ →A ^ is an injection for all finitely generated ideals I. But by part (b), this is
the same showing that ^I → A ^ is an injection; and this follows from part (c). □
29.3 Types of singularities
Singularities are best defined in terms of completions. As an important first
example, we finally define “node”.
29.3.1. Definition. Suppose X is a dimension 1 variety over k, and p ∈ X is a
closed point. We say that X has a node at p if the completion of OX,p at mX,p is
isomorphic (as topological rings) to k[[x, y]]/(xy).
29.3.A. E XERCISE . Suppose k = k and char k ̸= 2. Show that the curve in A2k cut
out by y2 = x2 + x3 , which we have been studying repeatedly since Figure 8.4, has
a node at the origin.
750 The Rising Sea: Foundations of Algebraic Geometry
29.3.B. E XERCISE . Suppose k = k and char k ̸= 2, and we have f(x, y) ∈ k[x, y].
Show that Spec k[x, y]/(f(x, y)) has a node at the origin if and only if f has no terms
of degree 0 or 1, and the degree 2 terms are not a perfect square. (This generalizes
Exercise 29.3.A.)
The definition of node outside the case of varieties over algebraically closed
fields is more problematic, and we give some possible ways forward. For varieties
over a non-algebraically closed field k, one can always base change to the closure
k. As an alternative approach, if p is a k-valued point of a variety over k (not
necessarily algebraically closed), then we could take the same Definition 29.3.1;
this might reasonably be called a split node, because the branches (or more pre-
cisely, the tangent directions) are distinguished. Those singularities that are not
split nodes, but which become nodes after base change to k (such as the origin in
Spec R[x, y]/(x2 + y2 )) might reasonably be called non-split nodes.
29.3.2. Other singularities. We may define other singularities similarly. To avoid
complications, we do so over an algebraically closed field.
29.3.3. Definition. Suppose X is a variety over k, and p is a closed point of X,
where char k ̸= 2, 3. We say that X has a cusp (resp. tacnode, triple point) at p
if O^X,p is isomorphic to the completion of the curve Spec k[x, y]/(y2 − x3 ) (resp.
Spec k[x, y]/(y2 − x4 ), Spec k[x, y]/(y3 − x3 )). We say that X has an ordinary mul-
tiple point of multiplicity m, or ordinary m-fold point, if O^X,p is isomorphic to
the completion of the curve Spec k[x, y]/(f(x, y)) where f is a homogeneous poly-
nomial of degree m with no repeated roots. (You can see quickly that an ordinary
2-fold point — or ordinary double point — is precisely a node, and an ordinary 3-fold
point is a triple point.)
29.3.C. T RIVIAL E XERCISE . (For this exercise, work over an algebraically closed
field for simplicity.) Define An curve singularity (see §22.4.4). Define An surface
singularity (see Exercise 22.4.F). Define Dn , E6 , E7 , and E8 surface and curve sin-
gularities (see Remark 22.4.5).
29.3.4. Using this definition. We now give an example of how this definition can
be used.
29.3.D. E XERCISE . Suppose X is a k-variety with a node at a closed point p. Show
that the blow up of X at p yields a morphism β : X̃ → X, where the exceptional
divisor β−1 (p) consists of two reduced smooth points. Hint: use the fact that com-
pletion is flat (Theorem 29.2.6(a)), and that blowing up commutes with flat base
change (Exercise 24.2.P(a)), to turn this into a calculation on the “formal model” of
the node, Spec k[[x, y]]/(xy).
29.3.E. E XERCISE . Continuing the terminology of the previous exercise, describe
an exact sequence
([Link]) 0 → OX → β∗ OX̃ → Op → 0.
Hint: faithful flatness.
29.3.F. E XERCISE . We continue the terminology of the previous two exercises. If X
is a pure-dimensional reduced projective curve, show that pa (X) = pa (X̃) + 1.
April 1, 2023 draft 751
Thus “resolving a node” of a curve reduces the arithmetic genus of the curve
by 1. If you wish, you can readily show that “resolving a cusp” reduces the genus
by 1, and “resolving a tacnode” reduces the genus by 2. In general, for each type of
curve singularity, the contribution it makes to the genus — the difference between
the genus of the curve and that of its normalization, when the curve is projective
— is called the δ-invariant. Thus δ for a node or cusp is 1, and δ for a tacnode is 2.
29.3.G. E XERCISE . Show that for any singularity type (other than a smooth point),
δ > 0.
29.3.H. E(XERCISE
) . Show that a reduced irreducible degree d plane curve can have
at most d−12 singularities.
29.3.I. E XERCISE . Here is a trick for speedily working out the genus of a nodal
(projective reduced) curve when it comes up in examples. (The description will
be informal.) Assuming it is possible, draw a sketch on a piece of paper (i.e., the
real plane) where nodes “look like nodes”, and a curve of genus g is drawn with
g holes, as in Figure 29.1. (In Figure 29.1, we see four irreducible components, of
geometric genus 0, 0, 1, and 3 respectively. The first three components are smooth,
while the fourth meets itself once. There are six additional nodes.) Then if the
curve is connected, count the number of holes visible in the picture. Prove that
this recipe works. (Feel free to figure out what to do if the curve is not connected.)
F IGURE 29.1. This curve has genus 8 (count the “holes”!)
29.3.5. This can be quite useful. For example, the sketches in(Figure ) 29.2 can
remind you that a degree d plane curve has arithmetic genus d−1 2 , the curve
on P1 × P1 coming from a section of O(a, b) (§15.2.11) has genus (a − 1)(b − 1),
and a curve in class 2C + 2F on the Hirzebruch surface F2 (using the language
of Exercise 20.2.M) has arithmetic genus 3. In each case, we are taking a suitable
curve in the class, taking advantage of the fact that arithmetic genus is constant in
flat families (Crucial Exercise 24.7.B).
752 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 29.2. These curves have arithmetic genus 6, 6, and 3 respectively
29.3.6. Other definitions. If k = C, then definitions of this sort agree with the
analytic definitions (see [Ar1, §1]). For example, a complex algebraic curve singu-
larity is a node if and only if it is analytically isomorphic to an open neighborhood
of xy = 0 in C2 . There is also a notion of isomorphism “étale-locally”, which we
do not define here. Once again, this leads to the same definition of these types of
singularities (see [Ar2, §2]).
29.4 The Theorem on Formal Functions
Suppose π : X → Y is proper morphism of locally Noetherian schemes, and F is
a coherent sheaf on X, so Ri π∗ F is a coherent sheaf (Grothendieck’s Coherence
Theorem 18.9.1). Fix a point q ∈ Y. We already have a sense that there is an
imperfect relationship between the fiber of Ri π∗ F at q and the cohomology of F
“on the fiber Xq ”, and much of Chapter 26 was devoted to making this precise.
The Theorem on Formal Functions deals with this issue in a different way.
Rather than comparing the fiber of Ri π∗ F with the cohomology of F restricted to
April 1, 2023 draft 753
the fiber, it gives an isomorphism between information on “infinitesimal thicken-
ings” of the fiber. Informally:
Ri π∗ FN VV / Hi (Xq , F |Xq )
NNNVVVVVV
NNN VVVVV
NNN VVVV
NNN VVVV
+
NNN i
NNHN (0th order nbhd of Xq , F )
NNN O
NNN
NNN
&
H (1st order nbhd of Xq , F )
i
O
&
Hi (2nd order nbhd of Xq , F )
O
..
.O
completion of Ri π∗ F at q
Thm. 29.4.2: iso / limit
29.4.1. We now make this more precise. If Z is a closed subscheme of W cut out by
ideal sheaf I , we say that the closed subscheme cut out by I n+1 is the nth order
formal (or infinitesimal) neighborhood (or thickening) of Z (in W). The phrase
“formal neighborhood” without mention of an “order” refers to the information
contained in all of these neighborhoods at once, often in the form of a limit of the
sort we will soon describe. (This also leads us to the notion of formal schemes, an
important notion we will nonetheless not need.)
We turn now to our situation of interest. Rather than the fiber of Ri π∗ F at q,
we consider its completion: we take the stalk at q, and complete it at mY,q . Rather
than the cohomology of F along the fiber, we consider the cohomology of F when
restricted to the nth formal neighborhood Xn of the fiber, and take the limit. The
Theorem of Formal Functions says that these are canonically identified.
Before we state the Theorem on Formal Functions, we need to be precise about
what these limits are, and how they are defined. To concentrate on the essential,
we do this in the special case where q is a closed point of Y, and leave the (mild)
extension to the general case to you (Exercise 29.4.A).
We deal first with Ri π∗ F . It is helpful to note that by Exercise 29.2.B, we can
compute the restriction to the nth formal neighborhood either by pulling back to
Spec OY,q (“the germ of Y at q”, i.e., tensoring with OY,q ); or in any affine open
neighborhood of q ∈ Y. For convenience, we pick an affine open neighborhood
Spec B ⊂ Y of q. (Again, by Exercise 29.2.B, it won’t matter which affine open
subset we take.) Define XB := π−1 (Spec B) for convenience. Let m ⊂ B be the
maximal ideal corresponding to q. Then Ri π∗ (F )^q is canonically the completion
of the coherent B-module Hi (XB , F |XB ) at m:
Ri π∗ (F )^q = lim Hi (XB , F |XB )/mn Hi (XB , F |XB ).
754 The Rising Sea: Foundations of Algebraic Geometry
We turn next to the cohomology of F on thickenings of the fiber. We have
closed embeddings Xn ,→ Xn+1 , and thus maps of cohomology groups Hi (Xn+1 , F |Xn+1 ) →
Hi (Xn , F |Xn ). We have base change maps
([Link]) Hi (XB , F |XB )/mn Hi (XB , F |XB ) → Hi (Xn , F |Xn )
(see ([Link])) such that the square
Hi (XB , F |XB )/mn+1 Hi (XB , F |XB ) / Hi (Xn+1 , F |X )
n+1
Hi (XB , F |XB )/mn Hi (XB , F |XB ) / Hi (Xn , F |Xn )
commutes. (Do you see why? Basically, this is again because they are base change
maps.) Thus we have an induced map of limits:
([Link]) Ri π∗ (F )^q / limn→∞ Hi (Xn , F |Xn ).
29.4.A. E XERCISE . Extend the previous discussion to the case where q is not
closed.
The Theorem on Formal Functions states that this is an isomorphism.
29.4.2. Theorem on Formal Functions. — Suppose π : X → Y is a proper morphism
of locally Noetherian schemes, F is a coherent sheaf on X, and q ∈ Y. Then ([Link]) is
an isomorphism for all i ≥ 0.
Warning: the Theorem on Formal Functions does not imply anything about
the maps “at finite level”, i.e., about ([Link]) for “finite n”.
The proof of Theorem 29.4.2 is subtle, and is postponed to the double-starred
§29.8. We first give four important applications to keep you motivated and excited:
Zariski’s Connectedness Lemma 29.5.1, Stein Factorization 29.5.3, Zariski’s Main
Theorem 29.6.1, and Castelnuovo’s Criterion 29.7.1 for contracting (−1)-curves on
surfaces.
29.5 Zariski’s Connectedness Lemma and Stein Factorization
We now state and prove Zariski’s Connectedness Lemma, which was men-
tioned in §26.1.8.
29.5.1. Zariski’s Connectedness Lemma. — If a proper morphism π : X → Y of
locally Noetherian schemes is O-connected (see §26.1.7), then π−1 (q) is connected for
every q ∈ Y.
The proof requires the following result.
29.5.A. E ASY E XERCISE ( THE COMPLETION OF A LOCAL RING IS A LOCAL RING ).
Suppose (A, m) is a Noetherian local ring. Show that the completion of A along
^ := lim A/mn , is a local ring, with maximal ideal mA.
m, A ^ Hint: show that any
^ ^
element of A not in mA is invertible.
April 1, 2023 draft 755
Proof. Assume otherwise⨿ that there is some q ∈ Y such that π−1 (q) is not con-
−1
nected, say π (q) = X1 X2 (where X1 and X2 are nonempty open subsets of
the fiber, see Figure 29.3). Then the nth order formal neighborhood of π−1 (q), hav-
ing the same topological space, is also disconnected. We use the useful trick of
idempotents (Remark 3.6.3). Let e1 be the function 1 on X1 and 0 on X2 , and let
e2 be the function 1 on X2 and 0 on X1 . These functions make sense for any order
formal neighborhood, and they have natural images in the inverse limit. Thus we
get nonzero elements e1 , e2 ∈ O^Y,q with e1 + e2 = 1, e1 e2 = 0. Now, O^Y,q is a local
ring (Exercise 29.5.A). But e1 e2 = 0 implies that neither e1 nor e2 is invertible (or
else the other one would be 0), so both e1 and e2 are in the maximal ideal, and
hence e1 + e2 can’t be 1. We thus have a contradiction. □
F IGURE 29.3. “Formal neighborhoods” of X1 and X2 in the proof
of Zariski’s Connectedness Lemma 29.5.1
29.5.2. Stein factorization. We next show the existence of a Stein factorization. We
could have given this construction long before, but now Zariski’s Connectedness
Lemma 29.5.1 will give us some impressive consequences.
29.5.3. Stein Factorization Theorem. — Any proper morphism π : X → Y of locally
Noetherian schemes can be factored into β◦α, where α : X → Y ′ is proper and O-connected
(hence has connected fibers, by Zariski’s Connectedness Lemma 29.5.1), and β : Y ′ → Y is
a finite morphism.
O-conn. / Y′
([Link]) X>
>> α ~
>> β ~~
> ~
π >> ~~
~~ finite
Y
We note that by the Cancellation Theorem 11.2.1 for projective morphisms,
if π happens to be projective, then so is α (as δβ , being a closed embedding, is
projective).
Although it is not in the statement of the theorem, the proof produces a specific
factorization, which is called the Stein factorization of π. The picture to have in
mind is that the Stein factorization (roughly) contracts the continuous parts of the
fibers, in some canonical way; see Figure 29.4.
As usual, the Noetherian hypotheses can be removed (see [Stacks, tag 03H2]).
756 The Rising Sea: Foundations of Algebraic Geometry
F IGURE 29.4. Stein Factorization
Proof of the Stein Factorization Theorem 29.5.3. By Grothendieck’s Coherence Theo-
rem 18.9.1, π∗ OX is a coherent sheaf (of algebras) on Y. Define Y ′ := Spec π∗ OX ,
so (as π∗ OX is finite type) the structure morphism β : Y ′ → Y is finite. We have a
factorization
X> / Y′
>> α
~~
>> β ~
~
π >>
> ~~
~
~ finite
Y
By the Cancellation Theorem 11.2.1 for proper morphisms, α is proper. Finally,
we show that α is O-connected. By the quasicoherence of both OY ′ and α∗ OX , it
suffices to check on an affine cover of Y ′ . We choose as our affine cover of Y ′ the
pullback of an affine cover of Y. If U is an affine open subset of Y, then on β−1 (U),
∼
on the level of rings, OY ′ → α∗ OX is precisely the isomorphism Γ (U, π∗ OX ) −→
Γ (U, π∗ OX ). □
29.5.B. E XERCISE . Suppose π : X → Y is a proper morphism of locally Noetherian
schemes, that is an isomorphism over a dense open subset of Y. Suppose further
that Y is normal. Show that π is O-connected. (This applies, for example, to blow-
ups of smooth varieties under smooth centers.) Hence, by Zariski’s Connectedness
Lemma 29.5.1, for every q ∈ Y, π−1 (q) is connected. This is called Zariski’s Main
Theorem (the version for birational morphisms). Hint: Exercise 10.7.P.
29.5.C. E XERCISE . Suppose π : X → Y and π ′ : X → Y ′ are two proper morphisms
of locally Noetherian schemes, each contracting the same connected set of X (and
an isomorphism elsewhere), and suppose Y and Y ′ are normal. Show that π and
∼
π ′ are the same (or more precisely, that there is an isomorphism i : Y −→ Y ′ such
′
that π = i ◦ π). Informal translation: If X → Y has connected fibers, then Y is
determined by just knowing the locus contracted on X. Hint: Identify Y and Y ′ as
topological spaces, and then identify π and π ′ as maps of topological spaces. Use
Stein factorization to recover the structure sheaf as π∗ OX .
29.5.D. E XERCISE . Show that the construction of the Stein factorization of a
morphism π : X → Y of locally Noetherian schemes commutes with any flat base
change Z → Y of locally Noetherian schemes.
April 1, 2023 draft 757
29.5.4. Resolution of singularities of curves.
If C is a reduced projective curve over a field k, then we can resolve its singu-
larities by normalization: ν : C̃ → C. (See Remark 22.4.6 for some discussion of
resolution of singularities, and Theorem 13.5.8 for the reason why normal curves
are regular.) But as we have seen from examples, it requires luck and insight to
figure out how to take an integral closure, and I often have neither. We now take
the (inspired) guesswork out of desingularization by explaining how to desingu-
larize by blowing up. The algorithm is simple: we find a singular point, then blow
it up, then look for more singular points to repeat the process. Clearly if there are
no singular points to be found, then we are done; the problem is to show that this
is guaranteed to terminate. We do this by making use of an integer invariant: the
arithmetic genus. We must show (i) that if pa (C) = pa (C̃), then ν is an isomor-
phism — C is already nonsingular; (ii) if C ′ → C is a birational morphism, then
pa (C ′ ) ≤ pa (C) (so pa (C̃) will be a lower bound for the arithmetic genus through-
out the process); and (iii) that blowing up a singular point decreases the arithmetic
genus.
To set up these results, we consider the following situation. Suppose π : C ′ →
C is a finite morphism (where C is as described in the previous paragraph, and C ′
is a reduced curve), that is an isomorphism away from a finite closed subset of C.
Then the pullback map OC → π∗ OC ′ has no kernel, as C is reduced, and the map
is an isomorphism on the generic points of the components of C. The cokernel G
is supported on a finite set of closed points, and thus Hi (C, G ) = 0 for i > 0, and if
H0 (C, G ) = 0, then G = 0. From the exact sequence
0 / OC / π∗ OC ′ /G / 0,
and the fact that π is affine, χ(C ′ , OC ′ ) = χ(C, OC ) + χ(C, G ), from which pa (C) ≥
pa (C ′ ), with equality if and only if π is O-connected (i.e., G = 0).
29.5.E. E XERCISE . Show that if π is O-connected, then π is an isomorphism. Hint:
use Zariski’s Connectedness Lemma 29.5.1 to show that the fibers are connected,
and hence that π is bijective. Identify C and C ′ as topological spaces. Then use the
∼
isomorphism OC −→ π∗ OC ′ to identify C and C ′ as ringed spaces.
To complete our strategy, it remains to show that if β : C ′ → C is the blow-
up of C at a point p, and β is an isomorphism, then C is already nonsingular
at that point. But if β is an isomorphism, then p is the exceptional divisor, and
hence effective Cartier, and hence cut out locally by a singular equation. But then
mC,p ⊂ OC,p is principal, so OC,p is a regular local ring of dimension 1.
(You should verify that we have completed our strategy. Can you extend this
argument to the case where C is not projective?)
Resolution of singularities for surfaces will be briefly discussed in §29.7.4.
29.6 Zariski’s Main Theorem
Zariski’s Main Theorem is misnamed in all possible ways (although not hor-
ribly so). It is not a single Theorem, because there are many results that go by this
name, and they often seem quite unrelated. What they have in common is that
758 The Rising Sea: Foundations of Algebraic Geometry
they are intellectual descendants of a particular result of Zariski. This result is
not the Main Theorem of Zariski’s prolific career; the name comes because it was
the Main Theorem of a particular paper, [Z]. And finally, it is not Zariski’s in any
stronger sense than this; the modern versions are due to Grothendieck.
We have already seen one version of Zariski’s Main Theorem: the “birational”
form of Exercise 29.5.B. Our goal in this section is to prove a strong statement that
is close to the optimal version of the one most often used.
Before we start, we note that the fiber of a proper morphism over a point q ∈ Y
is a proper (hence finite type) scheme over the residue field κ(q), and we say that a
point is isolated in its fiber if it forms a component of the fiber of dimension 0. (Here
component means both connected and irreducible component.)
29.6.1. Zariski’s Main Theorem (Grothendieck’s form). — Suppose π : X → Y is a
proper morphism of locally Noetherian schemes.
(a) The set of points of X that are isolated in their fiber forms an open subset X0 ⊂ X.
(b) The morphism π|X0 : X0 → Y factors into an open embedding X0 ,→ Y ′ followed by a
finite morphism Y ′ → Y. Moreover, the morphism π : X → Y factors through Y ′ .
([Link]) X
~~? ???
~ ??α
~~
open
??
/ ~~~ ?
X0 @ y π open 3 Y′
@@
@@
π|X0 @@
@
β finite
Y
As with Stein factorization, the proof of the theorem yields a specific factoriza-
tion.
If π is a morphism of varieties, we already know part (a), by upper semiconti-
nuity of fiber dimension Theorem 12.4.3(a). For this reason, the proof in the case
of varieties is easier, and (even if you are interested in the more general case) you
are advised to read the proof restricting to this simpler case, to concentrate on the
main ideas. But even in the case of varieties, we will need some of the ideas arising
in the proof of (a), so you should read it until advised to skip ahead to (b).
Proof. (a) Take the Stein factorization ([Link]) of π:
X@
@@
@@O-conn.
α @@
π Y′
~~
β ~
~
~~~
~~ finite
Y.
By the finiteness of β, a point of X is an isolated point in its fiber of π if and only if
it is an isolated point in its fiber of α. Thus we may replace π by α. (Basically, we
are reducing to the case where π is O-connected, but we prefer to carefully call the
morphism under consideration α so we can return to considering π in the proof of
(b).)
April 1, 2023 draft 759
Because fibers of proper O-connected morphisms of locally Noetherian schemes
are connected (Zariski’s Connectedness Lemma 29.5.1), a point is isolated in its
fiber of α if and only if it is its fiber.
If you are considering only the variety case, at this point you should jump to
the proof of part (b).
To show that X0 is open, we will identify it with the locus where Ωα = 0 (the
unramified locus of α — not of π!), which is open by Exercise 21.6.H.
29.6.A. E XERCISE . If Ωα |p = 0, show that p is isolated in its fiber of α (and hence
of π).
We now show the other direction. Suppose p is isolated in its fiber, and let r ∈
′ ∼
Y be α(p). We will show that α induces an isomorphism α♯ : OY ′ ,r −→ OX,p , so
ΩOX,p /OY ′ ,r = 0. As the construction of Ω behaves well with respect to localization
on the source and target (Exercise 21.2.L), this implies that (Ωα )p = 0, so Ωα is 0
at p.
The stalk OY ′ ,r is obtained by taking the colimit (of sections of O) over all
open subsets of Y ′ containing r. For any such open subset V ⊂ Y ′ , the condition
∼
α∗ OX = OY ′ gives an isomorphism Γ (V, OY ′ ) ←→ Γ (α−1 (V), OX ) (compatible with
inclusions). We will show that the system of open subsets α−1 (V) (as V varies
through open neighborhoods of r), which each necessarily contain p, is cofinal
with the system of open neighborhoods of p in X. To do this, we must show that
for any open neighborhood U of p in X, there is an open neighborhood V of r in
Y ′ such that α−1 (V) ⊂ U. To do this, note that X \ U is closed in X, so α(X \ U) is
closed in Y ′ (as α is proper), so its complement V := Y ′ \ α(X \ U) is open. Simply
note that α−1 (V) ⊂ U (implicitly using that α, being proper and O-connected, is
surjective, see Exercise 26.1.G), and we are done.
(b) In our proof of (a), we have established that α gives a bijection between
X0 and an open subset of Y ′ . Notice that this is furthermore a homeomorphism:
any open subset of Y ′ pulls back to an open subset of X0 by the continuity of
α; and if U is an open subset of X0 , then α(X \ U) is a closed subset of Y ′ , so
its complement (which is α(U), using that proper O-connected morphisms are
surjective, Exercise 26.1.G) is open.
Using this isomorphism of topological spaces, the condition of O-connectedness
of α (restricted to α(X0 )) shows that α gives an isomorphism of ringed spaces (i.e.,
∼
of schemes) X0 −→ α(X0 ). We have found our desired factorization. □
29.6.B. E XERCISE . Prove Zariski’s Main Theorem with slightly different hypothe-
ses: with Y affine, say Spec A, and X a quasiprojective A-scheme. (Hint: by the Defi-
nition 4.5.9 of quasiprojective A-scheme, we can find an open embedding X ,→ X ′
into a projective A-scheme. Apply Theorem 29.6.1 to X ′ → Spec A.)
For the next two applications (Exercises 29.6.D and 29.6.E), we will need an
annoying hypothesis, which is foreshadowed by the previous exercise. We say
that a morphism π : X → Y of locally Noetherian schemes satisfies (†) if for all
affines Ui in some open cover of Y, the restriction π|π−1 (Ui ) : π−1 (Ui ) → Ui fac-
tors as an open embedding into a scheme proper over Ui . A morphism satisfying
(†) is necessarily separated and finite type. It turns out that this is sufficient: Na-
gata’s Compactification Theorem states that every separated finite type morphism
760 The Rising Sea: Foundations of Algebraic Geometry
of Noetherian schemes π : X → Y can be factored into a dense open embedding
into a scheme proper over Y. (See [Lüt] for a proof. The Noetherian hypotheses
can be replaced by the condition that Y is quasicompact and quasiseparated, see
[Co].)
29.6.C. E XERCISE . Show that if π : X → Y is a morphism of varieties over k, and
X is an open subset of a proper variety Z, then π satisfies (†). (Hint: X is an open
subscheme of its closure in Z ×k Y.)
29.6.D. E XERCISE . Suppose π : X → Y is a quasifinite birational morphism of inte-
gral locally Noetherian schemes, and that Y is normal. Suppose further π satisfies
(†). Show that π is an open embedding. (Hence if furthermore π is a bijection, then
π must be an isomorphism.)
29.6.E. E XERCISE . Suppose π : X → Y is a quasifinite morphism of Noetherian
schemes satisfying (†). Show that π factors as an open embedding into a finite
morphism.
X >
open
/ Y′
>> ~~
>> ~~
π >>
> ~~ finite
~ ~
Y
This shows that it is reasonable to think of quasifinite morphisms as “open subsets
of finite morphisms”, as promised in §8.3.12.
As a final application of Zariski’s Main Theorem, we can finally prove a char-
acterization of finite morphisms that we have mentioned a number of times.
29.6.2. Theorem. — Suppose π : X → Y is a morphism of locally Noetherian schemes.
The following are equivalent.
(a) π is finite.
(b) π is affine and proper.
(c) π is proper and quasifinite.
As usual, Noetherian hypotheses can be removed: [Gr-EGA, IV3 .8.11.1] shows
that proper, quasifinite, locally finitely presented morphisms are finite.
Proof. Finite morphisms are affine by definition, and proper by Proposition 11.5.3,
so (a) implies (b).
To show that (b) implies (c), we need only show that affine proper morphisms
have finite fibers (as the “finite type” part of the definition of quasifiniteness is
taken care of by properness). This was shown in Exercise 18.9.A.
Finally, we assume (c), that π is proper and quasifinite, and show (a), that π is
finite. By Zariski’s Main Theorem 29.6.1, we have a factorization ([Link]).
X0 @
open
/ Y′
@@ γ
@@
π @@@ finite
Y
April 1, 2023 draft 761
Now X = X0 . (Do you see why? Hint: Exercise 8.4.D followed by Exercise 8.3.G.)
By the Cancellation Theorem 11.2.1 for proper morphisms (using that Y ′ → Y is
finite hence separated), γ is proper.
29.6.F. E XERCISE . Show that proper quasicompact open embeddings are closed
embeddings. Hint: use Corollary 9.4.5 to show that the image is open and closed
in the target.
Applying this to our situation, we see that X → Y is the composition of two
finite morphisms γ : X ,→ Y ′ and Y ′ → Y, and is thus finite itself. □
29.6.3. ⋆⋆ Other versions of Zariski’s Main Theorem.
The Noetherian conditions in Theorem 29.6.1 can be relaxed (see [Gr-EGA,
IV3 .8.12.6] or [GW, Thm. 12.73]): if π : X → Y is a separated morphism of finite
type, and Y is quasicompact and quasiseparated, then the set of points X0 isolated
in their fiber is open in X, and for every quasicompact open subset U of X0 , there
is a factorization
U? / Y′
?? γ
~~
?? β ~
~
? ~~
π|U ?? ~
~ finite
Y
such that β is finite, γ|U is a quasicompact open embedding, and γ−1 (γ(U)) = U.
There are also topological and power series forms of Zariski’s Main Theorem,
see [Mu7, §III.9].
29.7 Castelnuovo’s Criterion for contracting (−1)-curves
We now prove a result used in Chapter 27. We showed in Exercise 22.4.O that
if we blow up a regular surface at a (reduced) point, the exceptional divisor is a
(−1)-curve (see Definition 20.2.8: it is isomorphic to P1 , and has normal bundle
OC (−1)). Castelnuovo’s Criterion is the converse: if we have a quasiprojective
surface containing a (−1)-curve, that surface is obtained by blowing up another
surface at a reduced regular point. We say that we can blow down the (−1)-curve.
29.7.1. Theorem (Castelnuovo’s Criterion). — Let C ⊂ X be a (−1)-curve on a
smooth projective surface over k. Then there exists a birational morphism π : X → Y such
that Y is a smooth projective surface, π(C) is a k-valued point, π is the blow-up of Y at
that point, and C is the exceptional divisor of the blow-up.
By Exercise 29.5.C, there is only one way to “blow down C”: this contraction
is unique.
Proof. The proof is in three steps. Step 1. We construct π : X → Y that contracts C to
a point q (and is otherwise an isomorphism). At this point we will know that Y is a
projective variety. Step 2. Then we show that Y is smooth; this is the hard step, and
requires the Theorem on Formal Functions 29.4.2. Step 3. Finally, we recognize π
as the blow-up Blq Y → Y.
762 The Rising Sea: Foundations of Algebraic Geometry
Step 1. We do this by finding an invertible sheaf L whose complete linear
series will do the job. We start with a very ample invertible sheaf H on X such
that H1 (X, H ) = 0. We can find such an invertible sheaf H by choosing any
very ample invertible sheaf, and then taking a suitably large multiple, invoking
Exercise 16.2.C (very ample ⊗ very ample = very ample) and Serre vanishing (The-
orem 18.1.3(ii)). Let k = H ·C; k > 0 by the very ampleness of H (Exercise 20.1.K).
29.7.A. E XERCISE . Show that H1 (X, H (iC)) = 0 for 0 ≤ i ≤ k. Hint: use induction
on i, using
([Link]) 0 / H ((i − 1)C) / H (iC) / H (iC)|C / 0.
∼ P1 ; which O(n) is it?
Hint: Note that H (iC)|C is a line bundle on C =
Define L := H (kC). We will use the sections of H to obtain sections of L ,
via the map ϕ : H0 (X, H ) → H0 (X, H (kC)).
29.7.B. E XERCISE . Show that L is base-point-free. Hint: To show that L has
no base points away from C, consider the image of ϕ. To show that L has no
base points on C, use that from ([Link]) for i = k, we have that H0 (X, L ) →
∼ OC .
H0 (C, L |C ) is surjective, and L |C =
Thus the complete linear series |L | yields a morphism π ′ from X to some pro-
jective space PN .
29.7.C. E XERCISE . Show that π ′ precisely contracts C to a point q ′ . More explicitly,
show that π ′ sends C to a point q ′ , and π ′ |X\C : X \ C → PN \ {q ′ } is a closed em-
bedding. Hint: To show that π ′ gives a closed embedding away from C: consider
the image of ϕ. To show that C is contracted by π ′ , use the fact that deg L |C = 0.
Let Y ′ be the image of π ′ , so we have a morphism X → Y ′ (which we also
call π ′ ). Let ν : Y → Y ′ be the normalization of Y ′ , so π ′ lifts to π : X → Y by the
universal property of normalization (§10.7). (We are normalizing in order to use
Exercise 29.5.B in Step 2.)
29.7.D. E ASY EXERCISE . Show that ν−1 (q ′ ) ⊂ Y is a single point, which we call q;
and that π(C) = q. (Hint: the image of π is closed, and π(C) is connected.)
29.7.E. E XERCISE . Let X be a smooth projective surface, containing a curve C ⊂ X
isomorphic to P1k . If C·C < 0, show that there is a morphism π : X → X ′ contracting
C to a point, and leaving the rest of X unchanged. (This will not be used, and is
included to give practice with the argument of Step 1.)
Step 2. We now show that Y is a smooth surface. As Y is normal, we have
that π∗ OX = ∼ OY (π : X → Y is O-connected), by Exercise 29.5.B. We will show
that Y is smooth at q by showing that O^Y,q = ∼ k[[x, y]] as topological rings, as
then dimk (m/m ) = 2. By the Theorem on Formal Functions 29.4.2, O^Y,q =
2 ∼
′ ′
lim H (Cn , OCn′ ), where Cn is the closed subscheme of X that is the scheme-theoretic
0
preimage of the nth order neighborhood of q.
We are not precisely sure what the nth order neighborhood is, but that is fine;
this inverse system is cofinal with O(−nC) = IC/X n
(Do you see why?), so we can
take this inverse limit instead (by Exercise 29.2.A). It suffices to show that for all
April 1, 2023 draft 763
∼ k[[x, y]]/(x, y)n where Cn is defined as 0 → O(−nC) →
n ≥ 0, H0 (Cn , OCn ) =
OX → OCn → 0.
We do this by induction on n. As a k-vector space, this is easy, using
0 / I n /I n+1 / OC / OCn /0
n+1
(the closed subscheme exact sequence ([Link]) for Cn in Cn+1 ), using the canonical
∼ ( )
isomorphism H0 (P1 , OP1 (n)) ←→ Symn H0 (P1 , OP1 (1)) . The tricky thing is that
we want this isomorphism as rings.
29.7.F. E XERCISE . Prove this. (This may remind you of how we found the ring
of functions on the total space of an invertible sheaf in Exercise 19.11.E. This is no
coincidence.)
Hence we have smoothness, completing Step 2.
Step 3. We now must recognize π as the blow-up of Y at q. As C is an effective
Cartier divisor on X, by the universal property of blowing up means that there is
a unique morphism α making the following diagram commute
X=
α / Blq Y
==
== {{
π === {{{
{ β
}{{
Y
By the Cancellation Theorem 11.2.1 for projective morphisms, α is projective.
29.7.G. E XERCISE . Show that α has finite fibers.
As projective morphisms with finite fibers are finite (Theorem 18.1.6), α is a
finite morphism. But then α is a birational finite morphism to a normal scheme,
and thus an isomorphism by Exercise 10.7.P. □
So far we have only used the Theorem on Formal Functions 29.4.2 for H0 . The
next exercise will give you a chance to see it in action for other cohomology groups.
29.7.H. E XERCISE .
(a) Suppose β : X = Blq Y → Y is the blow-up of a smooth surface over k at a
smooth k-valued point. Show that R1 β∗ OX = R2 β∗ OX = 0.
(b) Show that the natural maps β∗ : H1 (Y, OY ) → H1 (X, OX ) and β∗ : H2 (Y, OY ) →
H2 (X, OX ) are isomorphisms.
29.7.2. Elementary transformations.
Recall the definition of the Hirzebruch surfaces Fn (over a field k) from Exam-
ple 17.2.4. If n > 0, then on Fn , we have a unique curve E of maximally negative
self-intersection (Exercise 20.2.R). It has self-intersection E · E = −n. It is a section
of the projection π : Fn → P1 . (If n = 0, so Fn = ∼ P1 × P1 , E is usually defined as
any “constant” section of π : P × P → P — it is not unique.)
1 1 1
Suppose q is a k-valued point of Fn . Let F be the fiber of π containing q.
29.7.I. E XERCISE . Show that F · F = 0.
764 The Rising Sea: Foundations of Algebraic Geometry
Let β : Blq Fn → Fn be the blow-up at q, and let Z be the exceptional divisor
(as the name “E” is taken). Let F ′ be the proper transform of F, and let E ′ be the
proper transform of E.
29.7.J. E XERCISE . Show that F ′ · F ′ = −1.
Thus by Castelnuovo’s Criterion, we can blow down F ′ , to obtain a new sur-
face Y.
29.7.K. E XERCISE . Suppose n > 0. If q ∈ / E, show that Y = ∼ Fn−1 . If q ∈ E,
∼
show that Y = Fn+1 . Possible hint: If you knew that Y was a Hirzebruch surface
Fm , you could recognize it by the self-intersection of the unique curve of negative
self-intersection if m > 0.
∼ F1 . Hint: Exercise 22.4.K.
29.7.L. E XERCISE . Suppose n = 0. Show that Y =
This discussion can be generalized to P1 -bundles over more general curves.
The following is just a first step in the story.
29.7.M. E XERCISE . Suppose C is a smooth curve over k, π : X → C is a P1 -bundle
over C. If q is a k-valued point of X, then we can blow up q and blow down the
proper transform of the fiber through q. Show that the result is another P1 -bundle
X ′ over C. (This is called an elementary transformation of the ruled surface.)
29.7.N. E XERCISE . Suppose X = Proj C (L ⊕ M ), and q lies on the section corre-
sponding to
0 /L / L ⊕M /M / 0.
∼ Proj (L (π(q)) ⊕ M )).
Show that X ′ = C
∼ Proj V ,
Can you speculate (or show) what happens if you are just told that X = C
where V is a locally free sheaf of rank 2, and q lies on a section corresponding to
([Link])?
29.7.3. Minimal models of surfaces.
A surface over an algebraically closed field is called minimal if it has no (−1)-
curves. If a surface X is not minimal, then we can choose a (−1)-curve, and blow
it down. If the resulting surface is not minimal, we can again blow down a (−1)-
curve, and so on. By the finiteness of the Picard number ρ (which we have admit-
tedly not proved, see §18.4.9), as blowing down reduces ρ by 1 (by Exercise 22.4.O),
this process must terminate. By this means we construct a minimal model of X — a
minimal surface birational to X. If minimal models were unique, this would pro-
vide a means of classifying surfaces up to birationality: if X and X ′ were smooth
projective surfaces, to see if they were birational, we would find their minimal
models, and see if they were isomorphic.
Sadly, minimal models are not unique. The example of P1 × P1 and P2 show
that there can be more than one minimal model in a birational equivalence class.
(Why are these two surfaces minimal?) Furthermore, the isomorphism between
the blow-up of P2 at two points with the blow-up of P1 × P1 at one point (Exer-
cise 22.4.K) shows that a smooth surface can have more than one minimal model.
April 1, 2023 draft 765
Nonetheless, the failure of uniqueness is well-understood: it was shown by
Zariski that the only surfaces with more than one minimal model are those bira-
tional to C×P1 for some curve C. This is part of the Enriques-Kodaira classification
of surfaces. For more on this, see [Be], [Ba], or [BPV, §6].
29.7.4. Here are two more facts worth mentioning but not proving here. First, sin-
gular surfaces can be desingularized by normalizing and then repeatedly blowing
up points; this explicit desingularization is analogous to the version for curves
in §29.5.4, and is generalized by Hironaka’s Theorem on resolution of singularities
(Remark 22.4.6). Second, birational maps X o_ _ _/ Y between smooth surfaces can
be factored into a finite number of blow-ups followed by a finite number of blow-
downs (cf. §22.4.12, on weak factorization). As a consequence, by Exercise 29.7.H,
birational projective surfaces have the same Hi (O) for i = 0, 1, 2. (Using facts
stated in §21.5.10, you can show that over C, this implies that the entire Hodge
diamond except for h1,1 is a birational invariant of surfaces.)
29.8 ⋆⋆ Proof of the Theorem on Formal Functions 29.4.2
In this section, we will prove the following.
29.8.1. Theorem. — Suppose X → Spec B is a proper morphism, with B Noetherian,
and F is a coherent sheaf on X. Suppose I is an ideal of B, and B ^ is the I-adic completion
lim B/I of B. Let Xn := X ×B (B/I
n n+1
) (the nth order formal neighborhood of the fiber
X0 ) and let Fn be the pullback of F to Xn . Then for all i, the natural map
([Link]) ^ = Hi\
Hi (X, F ) ⊗B B (X, F ) / lim Hi (Xn , Fn )
is an isomorphism.
This proof is due to Serre, by way of B. Conrad.
29.8.A. E XERCISE . Prove that Theorem 29.8.1 implies Theorem 29.4.2. (This is
essentially immediate if q is a closed point, and might require a little thought if q
is not closed; cf. Exercise 29.4.A.)
On the right side of ([Link]), we have morphisms X1 ,→ X2 ,→ · · · ,→ X, from
which we get restriction maps Hi (X1 , F1 ) ← Hi (X2 , F2 ) ← · · · ← Hi (X, F ). But
notice that the Xi are all supported on the same underlying set, and it is helpful to
keep in mind that the Fi ’s are all sheaves on the same topological space.
We will most often apply this in the case where I is a maximal ideal. But we
may as well prove the result in this generality. The result can be relativized (with B
and I replaced by a scheme and a closed subscheme), but we won’t bother giving
a precise statement.
Our proof will only use properness through the fact that the pushforward of
coherent sheaves under proper morphisms are coherent (Grothendieck’s Coher-
ence Theorem 18.9.1), which required hard work. If you haven’t read that proof,
you can retreat to the projective case with little loss.
^
We will show that both sides of ([Link]) are B-modules, and that the map of
^
([Link]) is an isomorphism of topological B-modules.
766 The Rising Sea: Foundations of Algebraic Geometry
Write In F for the coherent sheaf on X defined as you might expect: if I is
the pullback of eI from Spec B to X, In F is the image of I n ⊗ F → F . Then
Hi (Xn , Fn ) can be interpreted as Hi (X, F /In F ) (by §18.1 property (v)), so the
terms in the limit on the right side of ([Link]) all live on the single space X. From
now on we work on X.
The map in the statement of the theorem arises from the restriction Hi (X, F ) →
Hi (X, F /In F ). This appears in the long exact sequence associated to
0 / In F /F / F /In F / 0,
and in particular in the portion
Hi (X, In F )
un
/ Hi (X, F ) / Hi (X, F /In F ) / Hi+1 (X, In F ) vn
/ Hi+1 (X, F ).
We shrink this further to:
([Link])
0 / Hi (X, F )/ im(un ) / Hi (X, F /In F ) / ker(vn ) /0
and then apply lim to both sides. Limits are left-exact (§1.6.13), so the result is
left-exact. But the situation is even better than that. The transition maps of the left
term for our exact sequences,
Hi (X, F )/ im(un+1 ) / Hi (X, F )/ im(un ),
are clearly surjective, so by Exercise 1.6.N we have an exact sequence
([Link])
0 / lim Hi (X, F )/ im(un ) µ / lim Hi (X, F /In F ) / lim ker(vn ) / 0.
Two key facts will imply our result. (i) We will show that {im(un )} is cofinal
with the I-adic topology on Hi (X, F ). Thus by Exercise 29.2.A, we have a natural
isomorphism of the left side of ([Link]) with
∼
lim Hi (X, F )/In Hi (X, F ) ←→ Hi (X, F )^.
Because Hi (X, F ) is a finitely generated B-module (by Grothendieck’s Coherence
Theorem 18.9.1, or more simply Exercise 18.1.A in the projective case), this is iso-
morphic to Hi (X, F ) ⊗B B ^ by Theorem 29.2.6(b), the left side of ([Link]). (ii) We
will show that there is some d such that the transition map ker(vn+d ) → ker(vn )
is the zero map for n ≫ 0. This implies that the right term lim ker(vn ) in ([Link])
is 0. (Do you see why?) As a result, the map µ in ([Link]) becomes our desired
isomorphism. We now begin these two tasks.
(i) We will show that there is some n0 such that for n ≥ n0 ,
In Hi (X, F ) ⊂ im(un ) ⊂ In−n0 Hi (X, F ).
The first inclusion is straightforward: note that Hi (X, F ) → Hi (X, F /In F ) is B-
linear with kernel im(un ), and target annihilated by In .
We will make use of the ring R• := B ⊕ I ⊕ I2 ⊕ · · · (the Rees algebra, defined in
§13.9.1). It is a graded ring generated in degree 1. Because I is a finitely generated
ideal of B, R• is a finitely generated B-algebra, and thus Noetherian.
April 1, 2023 draft 767
For each a ∈ Im , we have a commutative diagram of quasicoherent sheaves
×a
In F
_ / In+m F
_
×a
F /F
which induces a commutative diagram of B-modules
×a
Hi (X, In F ) / Hi (X, In+m F )
×a
Hi (X, F ) / Hi (X, F ).
In this way, ⊕n≥0 Hi (X, In F ) and ⊕n≥0 Hi (X, F ) are graded R• -modules (where
a is considered as an element of Rm ). Then ⊕n≥0 im(un ) is the image of the map
of R• -modules
([Link]) ⊕Hi (X, In F ) / ⊕Hi (X, F ),
and is thus itself an R• -module.
We will show that ⊕n≥0 Hi (X, In F ) is a finitely generated R• -module. This will
imply that its image ⊕n≥0 im(un ) is also finitely generated, and thus by Proposi-
tion 13.9.2, for some n0 im(un+1 ) = I im(un ) for n ≥ n0 , which in turn implies
(by induction) that for n ≥ n0 , we have im(un ) ⊂ In−n0 Hi (X, F ), which will
complete task (i).
Now cohomology of quasicoherent sheaves commutes with direct sums (§18.1
(vii)), so ⊕n≥0 Hi (X, In F ) = Hi (X, ⊕n≥0 In F ).
29.8.B. E XERCISE . Consider the fibered diagram
X ×B R•
σ /X
ρ
Spec R• / Spec B.
Interpret ⊕n Hi (X, In F ) as Ri ρ∗ σ∗ F . (Be sure to check that the R• -action deter-
mined by the pushforward agrees with the R• -action on ⊕n Hi (X, In F ) described
above!)
But σ∗ F is coherent (pullback takes finite type quasicoherent sheaves to fi-
nite type quasicoherent sheaves, and all schemes here are locally Noetherian),
so ρ∗ σ∗ F is coherent (proper pushforward of coherent sheaves on Noetherian
schemes are coherent, by Grothendieck’s Coherence Theorem 18.9.1). We have
now completed task (i).
(ii) For the same reason that ⊕n≥0 Hi (X, In F ) is a coherent R• -module, ⊕n≥0 Hi+1 (X, In F )
is a coherent R• -module. (Just replace i with i + 1 throughout the discussion in (i).)
Notice that ⊕n≥0 ker vn is the kernel of the map of graded R• -modules
⊕n≥0 vn
⊕n≥0 Hi+1 (X, In F ) / ⊕n≥0 Hi+1 (X, F )
768 The Rising Sea: Foundations of Algebraic Geometry
(which is just ([Link]) with i replaced by i + 1) and thus itself has the struc-
ture of a graded R• -module. It is a submodule of the finitely generated module
⊕Hi+1 (X, In F ), so ⊕n≥0 ker vn is finitely generated as well. We invoke Propo-
sition 13.9.2 a second time, to show that there is some d such that ker(vn+1 ) =
I ker(vn ) for n ≥ d, from which
([Link]) ker(vA+B ) = IA ker vB for A ≥ 0 and B ≥ d.
For any a ∈ I , the map
d
×a : In F / In+d F
induces a map Hi+1 (X, In F ) → Hi+1 (X, In+d F ), which sends ker(vn ) to ker(vn+d ).
(This can be interpreted as coming from the action of R• on the module ⊕ ker(vn ),
taking a as an element of Rd .) As a runs through Id , the B-linear spans of the
images of
ker(vn ) / Hi+1 (X, In F ) ×a / Hi+1 (X, In+d F )
for n ≥ d is Id ker(vn ) = ker(vn+d ) by ([Link]). The composition
×a
Hi+1 (X, In F ) / Hi+1 (X, In+d F ) / Hi+1 (X, In F )
(the latter map coming from inclusion of sheaves) is exactly the map
×a : Hi+1 (X, In F ) / Hi+1 (X, In F ).
Thus the image of ker(vn+d ) → ker(vn ) is exactly the B-linear span of the images
of the composition maps
/ Hi+1 (X, In F ) ×a / Hi+1 (X, In F )
ker(vn )
as a runs through Id .
It thus suffices to show that the multiplication by a ∈ Id on Hi+1 (X, In F ) an-
nihilates ker(vn ) for n ≥ d. Because ker(vn ) = In−d ker(vd ) for all n ≥ d (([Link])
again), it suffices to show that any element a of Id annihilates ker(vd ). But ker(vd )
is the image of Hi (X, F /Id F ) (from the long exact sequence, see ([Link])), and
thus is annihilated by any element of Id , as desired. □
CHAPTER 30
⋆ Proof of Serre duality
Réfléchissant un peu à ton théorème de dualité, je m’aperçois que sa formulation
générale est à peu près évidente, et d’ailleurs je viens de vérifier qu’elle se trouve implicite-
ment (dans le cas de l’espace projectif) dans ton théorème donnant les T q (M) par des Ext.
(J’ai bien l’impression, salaud, que tes §3 et 4 du Chap. 3 peuvent se faire aussi sans aucun
calcul).
Thinking a bit about your duality theorem, I notice that its general form is almost
obvious, and in fact I just checked that (for a projective space) it is implicitly contained in
your theorem giving the T q (M) in terms of Exts. (I have the impression, you bastard, that
§3 and 4 in your Chap. 3 could be done without any computation).
— A. Grothendieck, letter to J.-P. Serre, December 15, 1955 [GrS, p. 19]
30.1 Introduction
Throughout this chapter, we work over a fixed “ground field” k.
We first met Serre duality in §18.5 (or even Theorem 18.1.2), and we have re-
peatedly seen how useful it is. We will prove Theorem 18.5.1 (Corollary 30.3.10,
combined with Exercise 30.4.I, see Remark 30.4.9), as well as stronger versions, and
we will be left with a desire to prove even more. We give three statements (Serre
duality for vector bundles; Serre duality for Hom; and Serre duality for Ext), in two
versions (functorial and trace). (These names are idiosyncratic and nonstandard.)
We give several variants for a number of reasons. First, the easier statements will
be easier to prove, and the hardest statements we won’t be able to prove here. Sec-
ond, they may help give you experience in knowing how to know what to hope
for, and what to try to prove.
Throughout this chapter, X will be a projective k-scheme of pure dimension
n. We will want a coherent sheaf ω (or with more precision, ωX , or even better,
ωX/k ) on X, the dualizing sheaf, which will play a role in the statements of duality.
For the best statements, we will want a trace morphism
([Link]) t : Hn (X, ωX ) → k.
30.1.1. Desideratum: the determinant of the cotangent bundle is dualizing for
smooth varieties. If X is smooth, we will want ωX = KX in this case (recall
KX = det ΩX ) — the miracle that the canonical bundle is Serre-dualizing (§18.5.2).
In particular, ωX is an invertible sheaf. This will be disturbingly harder to prove
769
770 The Rising Sea: Foundations of Algebraic Geometry
than the basic duality statements we show; we will only get to it later (Exer-
cise 30.4.I). But we will prove more, for example that ωX is an invertible sheaf
if X is a regular embedding in a smooth variety (Exercise 30.4.H).
30.1.2. Desideratum: Serre duality for vector bundles. The first version of dual-
ity, which (along with Desideratum 30.1.1) gives Theorem 18.5.1, is the following:
if F is locally free of finite rank, then we have a functorial isomorphism
([Link]) ∼ Hn−i (X, F ∨ ⊗ ωX )∨ .
Hi (X, F ) =
More precisely, we want to construct a particular isomorphism ([Link]), or equiv-
alently, a particular perfect pairing Hi (X, F ) × Hn−i (X, F ∨ ⊗ ωX ) → k. This iso-
morphism will be functorial in F , i.e., it gives a natural isomorphism of covariant
functors
∼ /
([Link]) Hi (X, ·) Hn−i (X, ·∨ ⊗ ωX )∨ .
We call this functorial Serre duality for vector bundles.
Better still, there should be a cup product in cohomology, which can be used
to construct a map Hi (X, F ) × Hn−i (X, F ∨ ⊗ ωX ) → Hn (X, ωX ). This should
be functorial in F (in the sense that we get a natural transformation of func-
tors Hi (X, ·) → Hn−i (X, ·∨ ⊗ ωX )∨ ⊗ Hn (X, ωX )). Combined with the trace map
([Link]), we get a map Hi (X, F ) × Hn−i (X, F ∨ ⊗ ωX ) → k, which should yield
([Link]). We call this the trace version of Serre duality for vector bundles. (This
was hinted at after the statement of Theorem 18.5.1.)
In fact, the trace version of Serre duality for vector bundles (and hence the
functorial version) is true when X is Cohen-Macaulay, and in particular when X is
smooth. We will prove the functorial version (see Corollary 30.3.10). We will give
an indication of how the trace version can be proved in Remark 30.3.15.
30.1.3. Desideratum: duality for more general X and F . A weaker sort of
duality will hold with weaker hypotheses. We will show that (without Cohen-
Macaulay hypotheses) for any coherent sheaf F on a pure n-dimensional projec-
tive k-scheme X, there is a functorial isomorphism (functorial in F )
∼ / Hn (X, F )∨ .
([Link]) Hom(F , ωX )
We call this functorial Serre duality for Hom.
In parallel with Serre duality for vector bundles, we have a natural candidate
for the perfect pairing:
([Link]) Hom(F , ωX ) × Hn (X, F ) / Hn (X, ωX ) t / k,
where the trace map t is some linear functional on Hn (X, ωX ). If this composition
is a perfect pairing, we say that X (with the additional data of (ωX , t)) satisfies the
trace version of Serre duality for Hom. Unlike the trace version of Serre duality
for vector bundles, we already know what the “cup product” map Hom(F , ωX ) ×
Hn (X, F ) → Hn (X, ωX ) is: an element [σ : F → ωX ] of Hom(F , ωX ) induces
— by covariance of Hn (X, ·), see §18.1 — a map Hn (X, F ) → Hn (X, ωX ). The
resulting pairing is clearly functorial in F , so the trace version of Serre duality
for Hom implies the functorial version. Unlike the case of Serre duality for vector
bundles, the functorial version of Serre duality for Hom also implies the trace
version:
April 1, 2023 draft 771
30.1.A. E XERCISE . Show that the functorial version of Serre duality for Hom im-
plies the trace version. In other words, the trace map is already implicit in the
∼
functorial isomorphism Hom(F , ωX ) −→ Hn (X, F )∨ . Hint: consider the com-
muting diagram (coming from functoriality)
Hom(F , ωX ) / Hn (X, F )∨
O O
Hom(ωX , ωX ) / Hn (X, ωX )∨ .
30.1.4. Definition. Suppose X is a projective k-scheme of pure dimension n. A
coherent sheaf ω = ωX = ωX/k along with a map t : Hn (X, ωX ) → k is called
dualizing if the natural map (cf. ([Link]))
([Link]) Hom(F , ωX ) × Hn (X, F ) / Hn (X, ωX ) t /k
is a perfect pairing for all coherent sheaves F on X. We call ωX the dualizing sheaf
and t the trace map. (The earlier discussion of ωX and t was aspirational. This
now is a definition.) If X has such (ωX , t), we say that X satisfies Serre duality (for
Hom). The following proposition justifies the use of the word “the” (as opposed
to “a”) in the phrase “the dualizing sheaf”.
30.1.5. Proposition. — If a dualizing sheaf and trace (ωX , t) exists for X, this data is
unique up to unique isomorphism.
Proof. Suppose we have two such (ωX , t) and (ωX′ , t ′ ). From the two morphisms
([Link]) Hom(F , ωX ) × Hn (X, F ) / Hn (X, ωX ) t /k
/ Hn (X, ω ′ ) t′ / k,
Hom(F , ωX′ ) × Hn (X, F ) X
∼ Hom(F , ω ′ ), which is functorial in F .
we get a natural bijection Hom(F , ωX ) = X
By the typical universal property argument (Exercise 1.3.Z), this induces a (unique)
∼
isomorphism ωX ←→ ωX′ . From ([Link]), under this isomorphism, the two trace
maps t and t ′ must be the same too. □
We will prove the functorial and trace versions of Serre duality for Hom in
Corollary 30.3.12. The special case of projective space will be a key ingredient; we
prove this case now.
30.1.6. Serre duality (for Hom) for projective space. Define ωPnk (or just ω for conve-
∼
nience) as OPnk (−n − 1). Let t be any isomorphism(a) Hn (Pn k , ωPk ) −→ k (Theo-
n
rem 18.1.2(b)). As the notation suggests, (ωPnk , t) will be dualizing for projective
space Pnk.
30.1.B. E XERCISE . Suppose F = OPnk (m). Show that the natural map ([Link]) is
a perfect pairing. (Hint: do this by hand. See the discussion after Theorem 18.1.2.)
Hence show that if F is a direct sum of line bundles on Pn k , the natural map
([Link]) is a perfect pairing.
772 The Rising Sea: Foundations of Algebraic Geometry
30.1.7. Proposition. — The functorial version (and hence the trace version by Exer-
cise 30.1.A) of Serre duality for Hom holds for Pn
k.
Proof. We wish to show that the (functorial) natural map
∼ / Hn (Pn , F )∨ ,
Hom(F , ωPnk ) k
coming from the cup pairing and the choice of isomorphism t, is an isomorphism
(cf. ([Link])). Fix a coherent sheaf F on Pn
k . By Theorem 16.1.1, we can present
F as
([Link]) 0 /G /E /F /0
where E is a finite direct sum of line bundles, and G is coherent. Applying the
left-exact functor Hom(·, ωPnk ) to ([Link]), we have the exact sequence
([Link]) 0 / Hom(F , ωPn ) / Hom(E , ωPn ) / Hom(G , ωPn ).
k k k
Taking the long exact sequence in cohomology for ([Link]) and dualizing, we
have the exact sequence
([Link]) 0 / Hn (Pn , F )∨ / Hn (Pn , E )∨ / Hn (Pn , G )∨
k k k
The (functorial) pairing ([Link]) gives a map from ([Link]) to ([Link]):
([Link])
0O /0 / Hn (Pn , F )∨ / Hn (Pn , E )∨ / Hn (Pn , G )∨
O kO kO kO
α β γ δ ϵ
0 /0 / Hom(F , ωPn ) / Hom(E , ωPn ) / Hom(G , ωPn )
k k k
Maps α and β are obviously isomorphisms, and Exercise 30.1.B shows that δ is an
isomorphism. Thus by the subtle version of the Five Lemma (Exercise 1.7.D, as β
and δ are injective and α is surjective), γ is injective. This shows that the natural
map Hom(F ′ , ωPnk ) → Hn (Pn ′ ∨ ′
k , F ) is injective for all coherent sheaves F , and
′
in particular for F = G . Thus ϵ is injective. Then by the dual of the subtle version
of the Five Lemma (as β and δ are surjective, and ϵ is injective), γ is surjective. □
30.1.8. Mathematical puzzle. Here is a puzzle to force you to confront a po-
tentially confusing point. We will see that Desideratum 30.1.1 holds for P1 , so
ωP1 =∼ ΩP1 . What then is the trace map t : H1 (P1 , ΩP1 ) → k? The Čech complex
for H1 (P1 , ΩP1 ) (with the usual cover of P1 ) is given by
([Link]) 0 / ΩP1 (U0 ) × ΩP1 (U1 ) α / ΩP1 (U0 ∩ U1 ) / 0.
If U0 = Spec k[x], and U0 ∩ U1 = Spec k[x, 1/x], then the differentials on U0 ∩ U1
are those of the form f(x) dx where f(x) is a Laurent polynomial (for example:
(x−3 + x−1 + 3 + 17x4 ) dx). To compute H1 (P1 , ΩP1 ), we need to find which such
differentials on U0 ∩ U1 are in the image of α in ([Link]). Clearly any term of the
form xi dx (for i ≥ 0) extends to a differential on U0 , and thus is in the image of
α. A short calculation shows that any term of the form xi dx (i < −1) extends to a
differential on U1 . Thus the cokernel of α can be described as the one-dimensional
k-vector space generated by x−1 dx. We have an obvious isomorphism to k: take
April 1, 2023 draft 773
the coefficient of x−1 dx, which can be interpreted as “take the residue at 0”. But
there is another choice, which is equally good: take the residue at ∞ — certainly
there is no reason to privilege 0 over ∞ (or U0 over U1 )! But these two residues
are not the same — they add to 0 (as you can quickly calculate — you may also
believe it because of the Residue Theorem in the theory of Riemann surfaces). So:
which one is the trace?
30.1.9. Desideratum: a stronger version of duality, involving Ext.
Ta formule:
Hn−p (X, F ) ′ = Extp n
O (X, F, Ω )
m’excite beaucoup, car je suis bien convaincu que c’est la bonne façon d’énoncer le théorème
de dualité à la fois dans le cas analytique et dans le cas algébrique (le plus important —
pour moi!).
I find your formula
Hn−p (X, F ) ′ = Extp n
O (X, F, Ω )
very exciting, as I am quite convinced that it is the right way to state the duality theorem
in both the analytic case and the algebraic case (the more important one — for me!).
— J.-P. Serre, letter to A. Grothendieck, December 22, 1955 [GrS, p. 21]
The vector bundle and Hom versions of Serre duality have a common exten-
sion. If we have an isomorphism of functors
∼ / Hn−i (X, ·)∨ ,
([Link]) Exti (·, ωX )
we say that X satisfies functorial Serre duality for Ext. (The case i = 0 is functorial
Serre duality for Hom, or by Exercise 30.1.A, the trace version.) Here Exti is the
derived functor of Hom; see the start of §30.2 below.
In Exercise 30.2.I, we will find that the functorial version of Serre duality for
Ext (resp. the trace version) implies the functorial version of Serre duality for vec-
tor bundles (resp. the trace version). Thus to prove Theorem 18.5.1, it suffices to
prove functorial Serre duality for Ext, and Desideratum 30.1.1 (see Remark 30.4.9).
We will prove the functorial version of Serre duality for Ext when X is Cohen-
Macaulay in Corollary 30.3.14.
30.1.10. Functorial Serre duality for Ext holds for projective space.
We now prove that functorial Serre duality for Ext holds for projective space.
We will use the machinery of universal δ-functors (§23.2.6), so you may wish to
either quickly skim that section, or else ignore this discussion.
30.1.C. E XERCISE . Show that (ExtiPnk (·, ωPnk )) is a (contravariant) universal δ-
functor. Hint: Ext is not a derived functor in its first argument, so you can’t use
the “projective” version of Corollary 23.2.10. Instead, use Theorem 23.2.8, and the
existence of a surjection O(m)⊕N → F for each F , for some m < 0.
∨
30.1.D. E XERCISE . Show that (Hn−i (Pn k , ·) ) is a universal δ-functor. (What are
the δ-maps?) Hint: try the same idea as in the previous exercise.
774 The Rising Sea: Foundations of Algebraic Geometry
∼ ∨
Proposition 30.1.7 gives an isomorphism of functors Ext0Pnk (·, ωPnk ) ←→ Hn (Pnk , ·) ,
so by the Definition 23.2.7 of universal δ-functor, we have an isomorphism of δ-
∼ ∨
functors (ExtiPnk (·, ωPnk )) ←→ (Hn−i (Pn
k , ·) ), thereby proving functorial Serre du-
ality for Ext for Pk .
n
30.1.11. Trace version of Serre duality for Ext. As with the previous versions, the
functoriality of functorial Serre duality for Ext should come from somewhere. We
should expect a natural cup product Exti (F , ωX ) × Hn−i (X, F ) → Hn (X, ωX ),
which coupled with the trace map ([Link]) should yield the isomorphism ([Link]).
We call this the trace version of Serre duality for Ext. We will not be able to prove
the trace version, as we will not define this cup product. But we will give some
indication of how it works in §30.2.3.
30.1.12. Necessity of Cohen-Macaulay hypotheses. We remark that the Cohen-
Macaulay hypotheses are necessary everywhere they are stated. The following
example applies in all cases. Let X be the union of two 2-planes in P4k , meeting at
a point p. If there were a coherent dualizing sheaf ωX on X, then for d ≫ 0, we
would have h1 (X, OX (−d)) = h1 (X, ωX (d)) by Serre duality, which must be 0 by
Serre vanishing (Theorem 18.1.3(ii)). We show that this is not the case.
30.1.E. E XERCISE . Let H be a hyperplane in P4 not passing through p; say H is
hyperplane x0 = 0. Let Z be the intersection of dH (the divisor xd 0 = 0) with X.
Show (cheaply) that for d ≥ 0, h0 (Z, OZ ) > 1. Show that h1 (X, OX ) = 0 (perhaps
using an easy Čech cover, or perhaps by comparing the cohomology of X to that
of its normalization, as we did in with curves in ([Link])). Use the exact sequence
0 → OX (−Z) → OX → OZ → 0
to show that h (X, OX (−d)) > 0.
1
30.2 Ext groups and Ext sheaves for O-modules
Recall that for any ringed space X, the category ModOX has enough injectives
(Theorem 23.4.1). Thus for any OX -module F on X, we may define
ExtiX (F , ·) : ModOX → ModΓ (X,OX )
as the ith right derived functor of HomX (F , ·), and we have a corresponding long
exact sequence for ExtiX (F , ·). We similarly define a sheaf version of this
Ext iX (F , ·) : ModOX → ModOX
as the ith right derived functor of Hom X (F , ·). In both cases, the subscript X is
often omitted when it is clear from the context, although this can be dangerous
when more than one space is relevant to the discussion. (We saw Ext functors for
A-modules in §23.2.4.)
Warning: it is not clear (and in fact not true, see §23.4.8) that ModOX has
enough projectives, so we cannot define Exti as a derived functor in its left ar-
gument. Nonetheless, we will see that it behaves as though it is a derived functor
— it is “computable by acyclics”, and has a long exact sequence (Remark 30.2.1).
April 1, 2023 draft 775
Another warning: with this definition, it is not clear that if F and G are quasi-
coherent sheaves on a scheme, then the Ext i (F , G ) are quasicoherent, and indeed
the aside in Exercise 14.3.A(a) points out this need not be true even for i = 0. But
Exercise 30.2.F will reassure you.
Exercise 23.5.A (an injective OX -module, when restricted to an open subset
U ⊂ X, is injective on U) has a number of useful consequences.
30.2.A. E XERCISE . Suppose I is an injective OX -module. Show that Hom OX (·, I )
is an exact contravariant functor. (A related fact: HomOX (·, I ) is exact, by the
definition of injectivity, Exercise 23.2.C(a).)
30.2.B. E XERCISE . Suppose X is a ringed space, F and G are OX -modules, and U is
∼
an open subset. Describe a canonical isomorphism Ext iX (F , G )|U ←− Ext iU (F |U , G |U ).
Hint: take an injective resolution of G on X, and restrict it to U. Use Exercise 30.2.A
to show that the result is an injective resolution of G |U .
30.2.C. E XERCISE . Suppose X is a ringed space, and G is an OX -module.
(a) Show that
{
G if i = 0, and
Ext i (OX , G ) =
0 otherwise.
∼
(b) Describe a canonical isomorphism Exti (OX , G ) ←→ Hi (X, G ).
30.2.D. E XERCISE . Use Exercise 30.2.C(a) to show that if E is a locally free sheaf
on X, then Ext i (E , G ) = 0 for i > 0.
In the category of modules over a ring, we like projectives more than injectives,
because free modules are easy to work with. It would be wonderful if locally free
sheaves on schemes were always projective, but sadly this is not true. For if OX
were projective, then Exti (OX , ·) would be zero (as a functor) for i > 0, but by
Exercise 30.2.C(b), it is the functor Hi (X, ·), which is often nonzero. Nonetheless,
we can still compute Ext using a locally free resolution, as shown by the following
exercise.
30.2.E. I MPORTANT E XERCISE . Suppose X is a ringed space, and
([Link]) ··· / E1 / E0 /F /0
is a resolution of an OX -module F by locally free sheaves. (Of course we are
most interested in the case where X is a scheme, and F is quasicoherent, or even
coherent.) Let E• denote the truncation of ([Link]), where F is removed. Describe
∼
an isomorphism Ext i (F , G ) ←→ Hi (Hom (E• , G )). In other words, Ext • (F , G ))
can be computed by taking a locally free resolution of F , truncating, applying
Hom (·, G ), and taking homology. Hint: choose an injective resolution
0 /G / I0 / I1 / ···
776 The Rising Sea: Foundations of Algebraic Geometry
and consider the spectral sequence whose E0 term is
.. ..
.O .O
Hom (E0 , I1 ) / Hom (E1 , I1 ) / ···
O O
Hom (E0 , I0 ) / Hom (E1 , I0 ) / ··· .
This result is important: to compute Ext , we can compute it using finite rank
locally free resolutions. You can work affine by affine (by Exercise 30.2.B), and on
each affine you can use a free resolution of the left argument. As another conse-
quence of Exercise 30.2.E:
30.2.F. E XERCISE . Suppose F and G are coherent sheaves on a quasiprojective
k-scheme X. Show that Ext iX (F , G ) is a coherent sheaf as well. (Your argument
will work on any scheme for which there always exist resolutions by finite rank
locally free sheaves.)
30.2.1. Remark. The statement “Exti (F , G ) behaves like a derived functor in the first
argument” is true in a number of ways. We can compute it using a resolution of F
by locally frees, which are acyclic for Exti (·, G ). And we even have a correspond-
ing long exact sequence, as shown in the next exercise.
30.2.G. E XERCISE . Suppose 0 → F ′ → F → F ′′ → 0 is an exact sequence of
OX -modules on a ringed space X. For any OX -module G , describe a long exact
sequence
0 / Hom(F ′′ , G ) / Hom(F , G ) / Hom(F ′ , G )
/ Ext1 (F ′′ , G ) / Ext1 (F , G ) / Ext1 (F ′ , G ) / ··· .
Hint: take an injective resolution 0 → G → I 0 → · · · . Use the fact that if I is
injective, then Hom(·, I ) is exact (the definition of injectivity, Exercise 23.2.C(a)).
Hence get a short exact sequence of complexes
0 → Hom(F ′′ , I • ) → Hom(F , I • ) → Hom(F ′ , I • ) → 0
and take the long exact sequence in cohomology.
Here are two useful exercises.
30.2.H. E XERCISE . Suppose X is a ringed space, F and G are OX -modules, and E
is a locally free sheaf on X. Describe isomorphisms
∼ ∼
Ext i (F ⊗ E ∨ , G ) ←→ Ext i (F , G ⊗ E ) ←→ Ext i (F , G ) ⊗ E
and ∼ Exti (F , G ⊗ E ).
Exti (F ⊗ E ∨ , G ) =
Hint: show that if I is injective then I ⊗ E is injective.
April 1, 2023 draft 777
30.2.I. E XERCISE . If F is a locally free sheaf on a scheme X, and ωX is any co-
∼
herent sheaf on X, describe an isomorphism Exti (F , ωX ) ←→ Hi (X, F ∨ ⊗ ωX )
(functorial in F ). Show that functorial Serre duality for Ext implies functorial
Serre duality for vector bundles. (You may wish to ponder the trace versions as
well.) As a consequence, by §30.1.10, functorial Serre duality for vector bundles
holds for projective space. Hint: Exercises 30.2.H and 30.2.C(b).
30.2.2. The local-to-global spectral sequence for Ext.
“Sheaf” Ext and “global” Ext are related by a spectral sequence. This is a
straightforward application of the Grothendieck composition-of-functors spectral
sequence, once we show that Hom (F , I ) is acyclic for the functor Γ .
30.2.J. E XERCISE . Suppose I is an injective OX -module. Show that Hom (F , I )
is flasque (and thus Γ -acyclic by Exercise 23.4.I). Hint: suppose j : U ,→ V is an
inclusion of open subsets. We wish to show that Hom (F , I )(V) → Hom (F , I )(U)
is surjective. Note that I |V is injective on V (Exercise 23.5.A). Apply the exact
functor HomV (·, I |V ) to the inclusion j! (F |U ) ,→ F |V of sheaves on V (§23.4.7).
30.2.K. E XERCISE ( THE LOCAL - TO - GLOBAL SPECTRAL SEQUENCE FOR Ext). Sup-
pose X is a ringed space, and F and G are OX -modules. Describe a spectral se-
quence with E2 -term Hj (X, Ext i (F , G )) abutting to Exti+j (F , G ). (Hint: use the
Grothendieck composition-of-functors spectral sequence, Theorem 23.3.5. Recall
that Hom(F , ·) = Γ (Hom (F , ·)), Exercise 2.3.C.)
30.2.3. ⋆⋆ Composing Ext’s (and Hi ’s): the Yoneda cup product.
It is useful and reassuring to know that Ext’s can be composed, in a reasonable
sense. We won’t need this, and so just outline the ideas, so you can recognize them
in the future should you need them. For more detail, see [Gr3, §2] or [Cart].
If C is an abelian category, and A• and B• are complexes in C , then define
Hom• (A• , B• ) as the integer-graded group of graded homomorphisms: the elements
of Homn (A• , B• ) are the maps from the complex A• to B• shifted “to the right by
n”, without the requirement that the squares commute. Define δ : Hom• (A• , B• )
by
δ(u) = du + (−1)n+1 ud
for each u ∈ Homn (A• , B• ) (where d sloppily denotes the differential in both A•
and B• ). Then δ2 = 0, turning Hom• (A• , B• ) into a complex. Let H• (A• , B• ) be the
cohomology of this complex. If C• is another complex in C , then composition of
maps of complexes yields a map Hom• (A• , B• ) × Hom• (B• , C• ) → Hom• (A• , C• )
which induces a map on cohomology:
([Link]) H• (A• , B• ) × H• (B• , C• ) → H• (A• , C• )
which can be readily checked to be (well-defined and) associative. In particular,
H• (A• , A• ) has the structure of a graded associative non-commutative ring (with
unit), and H• (A• , B• ) (resp. H• (B• , A• )) has a natural graded left-module (resp.
right-module) structure over this ring. The cohomology groups H• (A• , B• ) are
functorial in both A• and B• . A short exact sequence of complexes 0 → A•′ →
A• → A•′′ → 0 induces long exact sequences
··· / Hi (A•′ , B• ) / Hi (A• , B• ) / Hi (A•′′ , B• ) / Hi+1 (A•′ , B• ) / ···
778 The Rising Sea: Foundations of Algebraic Geometry
and
··· / Hi (B• , A•′′ ) / Hi (B• , A• ) / Hi (B• , A•′ ) / ··· .
Suppose now that C has enough injectives. Suppose A, B ∈ C , and let IA • be
any injective resolution of A (more precisely: take an injective resolution of A, and
remove the “leading” A), and similarly for IB • . Then it is a reasonable exercise to
describe canonical isomorphisms
∼ • ∼
H• (IA •
• , I• ) ←→ H (A, I• ) ←→ Ext (A, B)
B B
where in the middle term, the “A” is interpreted as a complex that is zero, except
the 0th piece is A.
Then the map ([Link]) induces a (graded) map
([Link]) Ext• (A, B) × Ext• (B, C) → Ext• (A, C)
extending the natural map Hom(A, B)×Hom(B, C) → Hom(A, C). (Of course, one
must show that the map ([Link]) is independent of choice of injective resolutions
of B and C.)
In particular, in the category of O-modules on a ringed space X, we have (using
Exercise 30.2.C(b)) a natural map
Hi (X, F ) × Extj (F , G ) → Hi+j (X, G ).
This is the source of the natural map in the trace version of Serre duality for Ext,
discussed at the end of §30.1.
30.3 Serre duality for projective k-schemes
We now prove various versions of Serre duality for projective k-schemes, by
leveraging what we know about Serre duality for projective space.
30.3.1. The weird functor π!sh .
The key construction is a right adjoint π!sh to the pushforward π∗ , when π is
an affine morphism. (Caution: the notation π!sh is nonstandard, and is introduced
only for the purposes of the arguments we will give.) This is surprising, as we
usually think of π∗ as a right-adjoint (to the pullback π∗ ), not a left adjoint. This
can be seen as very roughly analogous to the surprising occasional left-adjoint to
the pullback: extension by zero (§23.4.7).
30.3.2. We begin with the ring-theoretic version. Suppose B → A is a ring mor-
phism, M is an A-module, and N is a B-module. Note that HomB (A, N) naturally
has the structure of an A-module. Also, M naturally carries the structure of a B-
module; when we wish to emphasize its structure as a B-module, we sometimes
call it MB (see Exercise 1.5.E).
Consider the map
([Link]) HomA (M, HomB (A, N)) → HomB (MB , N)
defined as follows. Given m ∈ M, and an element ϕ of HomA (M, HomB (A, N)),
send m to ϕm (1).
April 1, 2023 draft 779
30.3.A. E XERCISE .
(a) Show that ([Link]) is a homomorphism of B-modules.
(b) Show that ([Link]) is a bijection. Thus (M 7→ MB , N 7→ HomB (A, N)) is an
adjoint pair ModA ↔ ModB .
(c) Show that this bijection ([Link]) behaves well with respect to localization at an
element of B.
Exercise 30.3.A(c) implies that this naturally “sheafifies” to a construction for
an affine morphism π : X → Y.
30.3.B. E XERCISE . [This exercise is wrong as stated; we’ll need to be in the finite
case. But this is on my to-do list. -R.] Suppose π : X → Y is an affine morphism.
(a) Explain how the map
π!sh : QCohY / QCoh
X
G / π−1 Hom Y (π∗ OX , G )
(where Hom Y (π∗ OX , G ) is interpreted as a quasicoherent sheaf on X via Exercise 17.1.E,
and in this guise is denoted π−1 Hom Y (π∗ OX , G )) globalizes the construction of Ex-
ercise 30.3.A, yielding a covariant functor QCohY → QCohX .
(b) Describe a natural isomorphism of quasicoherent sheaves on Y
∼
π∗ π!sh G ←→ Hom Y (π∗ OX , G ).
(c) Show that (π∗ , π!sh ) is an adjoint pair between QCohX and QCohY .
Caution: we have defined π!sh only for categories of quasicoherent sheaves.
If π is a finite morphism, and Y (and hence X) is locally Noetherian (the case that
will be relevant for us), then π!sh is a covariant functor from the category of coherent
sheaves on Y to coherent sheaves on X. We may show this affine-locally, using the
notation of §30.3.2. As A and N are both coherent B-modules, HomB (A, N) is a
coherent B-module (cf. Exercise 14.3.A(b)), hence a finitely generated B-module,
and hence a finitely generated A-module, hence a coherent A-module.
Thus if π is a finite morphism of locally Noetherian schemes, (π∗ , π!sh ) is an
adjoint pair between CohX and CohY .
30.3.3. If F ∈ QCohX and G ∈ QCohY , then there is a natural isomorphism
∼
([Link]) π∗ Hom X (F , π!sh G ) −→ Hom Y (π∗ F , G ),
which affine-locally is the isomorphism ([Link]) described in Exercise 30.3.A.
If G is an OX -module (not necessarily quasicoherent), it is in general not clear
how to make sense of this construction to define an OY -module π!sh G . (Try it and
see!) However, in the special case where π is a closed embedding, we can make
sense of π!sh G , as discussed in the next exercise.
30.3.C. E XERCISE ( USED IN §30.4). Suppose π : X → Y is a closed embedding of
schemes and G is an OY -module.
(a) Explain why π!sh (G ) := Hom Y (π∗ OX , G ) naturally has the structure of an OX -
module. Hint: if I is the ideal sheaf of X, explain how π!sh (G ) (over some open
780 The Rising Sea: Foundations of Algebraic Geometry
subset U ⊂ Y) is annihilated by “functions vanishing on X” (elements of I (U)).
Hence we have defined a map π!sh : ModOY → ModOX extending the map of Exer-
cise 30.3.B(a).
(b) Show that (π∗ , π!sh ) is an adjoint pair between ModOX and ModOY .
(c) Show that π!sh sends injective OY -modules to injective OX -modules. (Hint: π∗ is
exact; use Exercise 23.5.B.)
30.3.4. Remark. If π is finite and flat, which is the case most of interest to us, π!sh
agrees (in the only possible sense of the word) with π! , one of Grothendieck’s “six
operations”, and indeed this motivates our notation (“a variant of π! for sheaves”).
But π! naturally lives in the world of derived categories, so we will not discuss it
here. (For more on π! , see [KS1, Ch. III].)
We now apply the machinery of π!sh to Serre duality.
30.3.5. Projective n-dimensional schemes are covers of Pn .
30.3.6. Proposition. — Suppose X is a projective k-scheme of pure dimension n.
(a) There exists a finite morphism π : X → Pn .
(b) If furthermore X is Cohen-Macaulay, then π is flat.
Proof. Part (b) follows from part (a) by the Miracle Flatness Theorem 28.2.11, so we
will prove part (a).
Choose a closed embedding j : X ,→ PN . For simplicity of exposition, first
assume that k is an infinite field. By Exercise 12.3.C(d), there is a linear space
L of codimension n + 1 (one less than complementary dimension) disjoint from
X. Projection from L yields a morphism π : X → Pn . The morphism π is affine
(PN \ L → Pn is affine, and the closed embedding X ,→ PN \ L is, like all closed
embeddings, affine) and projective (by the Cancellation Theorem 11.2.1 for projec-
tive morphisms), so π is finite (projective affine morphisms of locally Noetherian
schemes are finite, Corollary 18.1.5).
30.3.D. E XERCISE . Prove Proposition 30.3.6(a), without the assumption that k is
infinite. Hint: using Exercise 12.3.C(c), show that there is some d such that there is
an intersection of n + 1 degree d hypersurfaces missing X. Then apply the above
argument to the dth Veronese embedding of PN (§9.3.6).
□
30.3.7. Remark. More generally, the above argument shows that any projective
k-scheme of dimension n (not necessarily equidimensional) can be expressed as a
finite cover of Pn . This might be seen as a projective version of Noether normal-
ization.
30.3.8. Serre duality on X via π!sh .
Suppose π : X → Y is a finite morphism of projective k-schemes of pure dimen-
sion n, and we have a coherent sheaf ωY on Y. (We will soon apply this in the case
where Y = Pn k , but we may as well avoid distraction and needless specificity.)
April 1, 2023 draft 781
30.3.9. Proposition. — Suppose π is flat. If functorial Serre duality for Ext holds for Y,
with dualizing sheaf ωY , then functorial Serre duality for vector bundles holds for X, with
dualizing sheaf π!sh (ωY ).
Note the mismatch of the hypotheses and the conclusion: we use functorial
Serre duality for Ext in the hypothesis, and get functorial Serre duality only for
vector bundles in the conclusion.
Proof. For each i, and each finite rank locally free sheaf F on X, we have isomor-
phisms (functorial in F ):
∼
Hn−i (X, F ∨ ⊗ π!sh ωY ) ←→ Hn−i (Y, π∗ (F ∨ ⊗ π!sh ωY )) (affineness of π, §18.1 (v))
∼
←→ Hn−i (Y, π∗ (Hom X (F , π!sh ωY ))) (Exercise 14.3.B)
∼
←→ H n−i
(Y, Hom Y (π∗ F , ωY )) (equ. ([Link]))
∼
←→ Hn−i (Y, (π∗ F )∨ ⊗ ωY ) (Exercises 24.4.E and 14.3.B)
∼
←→ Hi (Y, π∗ F )∨ (functorial Serre duality for Ext on Y)
∼ ∨
←→ H (X, F )
i
(affineness of π, §18.1 (v))
(The hypothesis of flatness is used to show that π∗ F is locally free.) □
30.3.10. Corollary. — Functorial Serre duality for vector bundles holds for every Cohen-
Macaulay equidimensional projective k-scheme.
Proof. Combine Proposition 30.3.9 with Proposition 30.3.6(b) and §30.1.10. □
30.3.11. Proposition. — Suppose π : X → Y is a finite morphism of projective k-schemes.
If the trace version of Serre duality for Hom holds for Y with dualizing sheaf (ωY , tY ),
then functorial Serre duality for Hom holds for X with dualizing sheaf π!sh ωY .
Recall from Exercise 30.1.A that for Serre duality for Hom, the trace version is
equivalent to the functorial version. We state the Proposition in this awkward way
because we use tY , and conclude functoriality for Serre duality for Hom for X. But
the trace map for X will come cheaply as the diagonal arrow in ([Link]).
Note that we have no flatness hypotheses on π (unlike the corresponding
propositions for Serre duality for vector bundles and, soon, for Ext).
Proof. The following diagram commutes, and is functorial in F .
([Link])
HomX (F , π!sh ωY ) × Hn (X, F ) / Hn (X, π! ωY )
shD
DD
DD
DD
DD
D tX
Hn (Y, π∗ π!sh ωY ) DDD
DD
DD
DD
DD
D!
HomY (π∗ F , ωY ) × Hn (Y, π∗ F ) / Hn (Y, ωY ) t Y
/k
782 The Rising Sea: Foundations of Algebraic Geometry
(The left vertical arrow is an isomorphism; it is an isomorphism on each factor.)
The commutativity of the diagram relies on the adjointness of (π∗ , π!sh ), and the
affineness of π. □
30.3.12. Corollary. — The functorial and trace versions of Serre duality for Hom hold
for all equidimensional projective k-schemes (with no Cohen-Macaulay hypotheses).
Proof. Combine Proposition 30.3.11 with Proposition 30.3.6(a) and Proposition 30.1.7.
□
30.3.13. Proposition. — If X is a Cohen-Macaulay projective k-scheme of pure di-
mension n, and π : X → Pn is a finite flat morphism (as in Proposition 30.3.6(b)), then
functorial Serre duality for Ext holds for X with dualizing sheaf ωX := π!sh (ωPn ).
Unlike Proposition 30.3.9 and 30.3.11, we did not state this for general π : X →
Y; we will use the fact that the target is Pn .
Proof. The argument will parallel that of §30.1.10: we will show an isomorphism
of δ-functors
∼
([Link]) ExtiX (F , π!sh (ωPn )) −→ Hn−i (X, F )∨ .
We already have an isomorphism for i = 0 (Corollary 30.3.12), so it suffices to show
that both sides of ([Link]) are universal δ-functors. We do this by verifying the
criterion of Theorem 23.2.8. For any coherent sheaf F on X we can find a surjection
O(−m)⊕N → F for m ≫ 0 (and some N), so it suffices to show that for m ≫ 0,
ExtiX (O(−m), π!sh (ωPn )) = 0 and Hn−i (X, O(−m))∨ = 0
for i > 0 and m ≫ 0. For the first, we have (for i > 0 and m ≫ 0)
Exti (O(−m), π! (ωPn )) =∼ Hi (X, π! (ωPn )(m)) (Exercise 30.2.H)
X sh sh
=0 (Serre vanishing, Thm. 18.1.3(ii))
For the second, we have
Hn−i (X, OX (−m)) = Hn−i (X, OX ⊗ π∗ O(−m))
∼ Hn−i (Pn , (π∗ OX ) ⊗ O(−m))
=
by the projection formula (Exercise 18.7.E(b)). Now π∗ OX is locally free by Exer-
cise 24.4.E, so by functorial Serre duality for vector bundles on Pn , we have (for
m ≫ 0)
Hn−i (Pn , (π∗ OX ) ⊗ O(−m)) = ∼ Hi (Pn , (π∗ OX )∨ ⊗ O(m) ⊗ ωPn )
∼ Hi (Pn , ((π∗ OX )∨ ⊗ ωPn ) ⊗ O(m))
=
=0 (Serre vanishing, Thm. 18.1.3(ii))
□
30.3.14. Corollary. — Functorial Serre duality for Ext holds for all equidimensional
Cohen-Macaulay projective k-schemes.
Proof. Combine Proposition 30.3.13 with Proposition 30.3.6(b) and the projective
space case of §30.1.10. □
April 1, 2023 draft 783
30.3.15. ⋆⋆ Remark: the trace version of Serre duality for vector bundles. Here is an
outline of how the above proof can be extended to prove the trace version of Serre
duality for vector bundles on all equidimensional Cohen-Macaulay projective k-
schemes. Continuing the notation of Proposition 30.3.13, the Yoneda cup product
of §30.2.3 followed by the trace map gives a pairing
∪ / Hn (X, ωX ) t /k,
ExtiX (F , ωX ) × Hn−i (X, F )
which is functorial in F . This induces a functorial map ([Link]). One shows
that this particular map is a map of δ-functors. Then by the above argument, this
particular map is an isomorphism.
30.4 The adjunction formula for the dualizing sheaf, and ωX = KX
The dualizing sheaf behaves well with respect to slicing by effective Cartier
divisors, and this will be useful to obtaining Desideratum 30.1.1, i.e., the miracle
that the canonical bundle is Serre-dualizing (§18.5.2). In order to show this, we
give a description for the dualizing sheaf for a subvariety of a variety satisfying
Serre duality for Ext.
30.4.1. Preliminary Observation. Suppose π : X → Y is a closed embedding. Then
for any OY -module F , Ext iY (π∗ OX , F ) naturally has the structure of an OX -module.
(Reason: we compute this by taking an injective resolution of F by OY -modules,
then truncating, then applying Hom Y (π∗ OX , ·). But for any OY -module G , Hom Y (π∗ OX , G )
has the structure of an OX -module.) To emphasize its structure as an OX -module,
we write it as π−1 Ext iY (π∗ OX , F ).
30.4.A. E XERCISE . Show that if Y (and hence X) is locally Noetherian, and G is
a coherent sheaf on Y, then π−1 Ext iY (π∗ OX , G ) is a coherent sheaf on X. (Hint:
Ext iY (π∗ OX , G ) is a coherent sheaf on Y, Exercise 30.2.F.)
30.4.2. The dualizing sheaf for a subvariety in terms of the dualizing sheaf of
the ambient variety.
For the rest of this section, π : X → Y will be a closed embedding of equidimen-
sional projective k-schemes of dimension n and N respectively, where Y satisfies
functorial Serre duality for Ext. Let r = N − n (the codimension of X in Y). By
Corollary 30.3.12, X satisfies functorial Serre duality for Hom. We now identify
ωX in terms of ωY .
30.4.3. Theorem. — We have ωX = π−1 Ext rY (π∗ OX , ωY ).
Before we prove Theorem 30.4.3, we explain what happened to the “earlier”
Ext iY (π∗ OX , ωY )’s.
30.4.4. Proposition. — Suppose that π : X ,→ Y is a closed embedding of equidimen-
sional projective k-schemes of dimension n and N respectively, and Y satisfies functorial
Serre duality for Ext. Then for all i < r := N − n, Ext iY (π∗ OX , ωY ) = 0.
784 The Rising Sea: Foundations of Algebraic Geometry
Proof. As Ext iY (π∗ OX , ωY ) is coherent (Exercise 30.2.F), it suffices to show that
Ext iY (π∗ OX , ωY ) ⊗ O(m) has no nonzero global sections for m ≫ 0 (as for any
coherent sheaf G on Y, G (m) is generated by global sections for m ≫ 0 by Serre’s
Theorem A, Theorem 16.1.4). By Exercise 30.2.H,
Hj (Y, Ext iY (π∗ OX , ωY )(m)) = Hj (Y, Ext iY (π∗ OX , ωY (m))).
If j > 0, then for m ≫ 0, by Serre vanishing, Hj (Y, Ext iY (π∗ OX , ωY )(m)) = 0. Thus
by the local-to-global spectral sequence for Ext (Exercise 30.2.K),
H0 (Y, Ext iY (π∗ OX , ωY (m))) = ExtiY (π∗ OX , ωY (m))).
By Exercise 30.2.H again, then functorial Serre duality for Ext on Y,
ExtiY (π∗ OX , ωY (m))) = ExtiY (π∗ OX (−m), ωY ) = HN−i (Y, π∗ OX (−m))
which is 0 if N − i > n, as the cohomology of a quasicoherent sheaf on a projec-
tive scheme vanishes in degree higher than the dimension of the sheaf’s support
(dimensional cohomology vanishing, Theorem 18.2.6). □
The most difficult step in the proof of Theorem 30.4.3 is the following.
30.4.5. Lemma. — Suppose that π : X → Y is a closed embedding of codimension r of
equidimensional projective k-schemes, and Y satisfies functorial Serre duality for Ext. We
have an isomorphism, functorial in F ∈ CohX :
∼
([Link]) HomX (F , π−1 Ext rY (π∗ OX , ωY )) ←→ ExtrY (π∗ F , ωY ).
Proof. Choose an injective resolution
0 / ωY / I0 / I1 / I2 / ···
of ωY . To compute the right side of ([Link]), we drop the ωY from this resolution,
and apply HomY (π∗ F , ·), to obtain
0 / HomY (π∗ F , I 0 ) / HomY (π∗ F , I 1 ) / HomY (π∗ F , I 2 ) / ··· ,
or (by adjointness of π∗ and π!sh for O-modules when π is a closed embedding,
Exercise 30.3.C(b)):
0 / HomX (F , π! I 0 ) / HomX (F , π! I 1 ) / HomX (F , π! I 2 ) / ··· .
sh sh sh
Motivated by this, consider the complex
([Link]) 0 / π! I 0 / π! I 1 / π! I 2 / ··· .
sh sh sh
Note first that ([Link]) is indeed a complex, and second that π!sh I i are injective
OX -modules (Exercise 30.3.C(c)).
30.4.B. E XERCISE . Show that the cohomology of ([Link]) at the ith step is
Ext iY (π∗ OX , ωY ).
Thus by Proposition 30.4.4, the complex ([Link]) is exact before the rth step.
April 1, 2023 draft 785
30.4.C. E XERCISE . Show that there exists a direct sum decomposition π!sh I r =
J ⊕ K , so that
0 / π! I 0 / π! I 1 / ··· / π! I r−1 /J /0
sh sh sh
is exact. Hint: work out the case r = 1 first. Another hint: Notice that if
0 / I0 α /F
is exact and I 0 is injective, then there is a map β : F → I 0 “splitting” α, allowing
us to write F as a direct sum I 0 ⊕ J 1 . If F is furthermore injective, then J 1 is
injective too. This is the beginning of an induction.
30.4.D. E XERCISE . (We continue the notation of the previous exercise.) Identify
ker(K → π!sh I r+1 ) with π−1 Ext rY (π∗ OX , ωY ).
30.4.E. E XERCISE . Put together the pieces above to complete the proof of Lemma 30.4.5.
□
We are now ready to prove Theorem 30.4.3.
30.4.6. Proof of Theorem 30.4.3. Suppose F is a coherent sheaf on X. We wish to
find an isomorphism
∼
HomX (F , π−1 Ext rY (π∗ OX , ωY )) ←→ Hn (X, F )∨ ,
functorial in F . By Lemma 30.4.5, we have a functorial isomorphism
∼
HomX (F , π−1 Ext rY (π∗ OX , ωY )) ←→ ExtrY (π∗ F , ωY ).
By functorial Serre duality for Ext on Y, we have a functorial isomorphism
∼
ExtrY (π∗ F , ωY ) ←→ HN−r (Y, π∗ F )∨ .
As F is a coherent sheaf on X, and N − r = n, the right side is is precisely
Hn (X, F )∨ . □
30.4.7. Applying Theorem 30.4.3. We first apply Theorem 30.4.3 in the special
case where X is an effective Cartier divisor on Y. We can compute the dualizing
sheaf π−1 Ext 1Y (π∗ OX , ωY ) by computing Ext 1Y (π∗ OX , ωY ) using any locally free
resolution (on Y) of π∗ OX (Exercise 30.2.E). But π∗ OX has a particularly simple
resolution, the closed subscheme exact sequence ([Link]) for X:
([Link]) 0 / OY (−X) / OY / π∗ OX / 0.
We compute Ext • (π∗ OX , ωY ) by truncating (removing the π∗ OX ), and applying
Hom (·, ωY ): Ext • (π∗ OX , ωY ) is the cohomology of
0 / Hom Y (OY , ωY ) / Hom (OY (−X), ωY ) / 0,
i.e., 0 / ωY / ωY ⊗ OY (X) / 0.
We immediately see that Ext i (π∗ OX , ωY ) = 0 if i ̸= 0, 1. Furthermore, Ext 0 (π∗ OX , ωY ) =
0 by Proposition 30.4.4. (Unimportant aside: you can use this to show that ωY has
no embedded points.)
786 The Rising Sea: Foundations of Algebraic Geometry
We now consider ωX = coker(ωY → ωY ⊗ OY (X)). Tensoring ([Link]) with
the invertible sheaf OY (X), and then tensoring with ωY , yields
ωY / ωY ⊗ OY (X) / ωY ⊗ OY (X)|X /0
The right term is often (somewhat informally) written as ωY (X)|X . Thus
ωX = coker(ωY → ωY ⊗ OY (X)) = ωY (X)|X ,
and this identification is canonical.
We have shown the following.
30.4.8. Proposition (the adjunction formula). — Suppose that Y is a Cohen-Macaulay
projective scheme of pure dimension n (which satisfies functorial Serre duality for Ext by
Corollary 30.3.14), and X is an effective Cartier divisor on Y. (Hence X is Cohen-Macaulay
by §28.2.4, and thus satisfies functorial Serre duality for Ext by Corollary 30.3.14.) Then
ωX = ωY (X)|X . In particular, if ωY is an invertible sheaf on Y, then ωX is an invertible
sheaf on X.
As an immediate application, we have the following.
30.4.F. E XERCISE . Suppose X is a complete intersection in Pn , of hypersurfaces
of degrees d1 , . . . , dr . (Note that X is Cohen-Macaulay by Proposition 28.2.6, and
thus satisfies functorial Serre duality for Ext, by Corollary 30.3.14.) Show that
ωX = ∼ OX (−n − 1 + ∑ di ). If furthermore X is smooth, show that ωX = ∼ det ΩX .
(Hint for the last sentence: use the adjunction formula for K , Exercise 21.5.B).
But we can say more.
30.4.G. E XERCISE . Suppose Y is a smooth equidimensional variety, and π : X ,→ Y
is a codimension r regular embedding with normal sheaf NX/Y (which is locally
free, by Proposition 21.2.16(b)). Suppose L is an invertible sheaf on Y.
(a) Show that Ext iY (π∗ OX , L ) = 0 if i ̸= r.
∼
(b) Describe a canonical isomorphism π−1 Ext rY (π∗ OX , L ) ←→ (det NX/Y ) ⊗OX
L |X .
(Note that because Exercise 30.4.G has nothing explicitly to do with duality,
we have no projectivity assumptions on Y; it is a completely local question.) From
Exercise 30.4.G we deduce the following.
30.4.H. I MPORTANT E XERCISE . Suppose X is a codimension r regular embedding
in Pnk . (Then X is Cohen-Macaulay by Proposition 28.2.6, and thus satisfies functo-
rial Serre duality for Ext by Corollary 30.3.14.) Show that
∼ (det NX/Pn ) ⊗ ωPn |X .
ωX = π−1 Ext rPn (π∗ OX , ωPn ) =
In particular, ωX is an invertible sheaf.
30.4.I. I MPORTANT E XERCISE . Suppose X is a smooth pure codimension r sub-
variety of Pnk (and hence a regular embedding, by Exercise 13.2.M(b)). Show that
ωX = ∼ KX . Hint: both sides satisfy adjunction (see Exercise 21.5.B for adjunction
∼ (det NX/Y ) ⊗ (KPn )|X .
for Ω): they are isomorphic to (det NX/Y ) ⊗ ωPn |X =
30.4.9. Remark. As long promised, the version of Serre duality given in Theo-
rem 18.5.1 now follows by combining Corollary 30.3.10 with Exercise 30.4.I.
April 1, 2023 draft 787
Aux yeux de ces amateurs d’inquiétude et de perfection, un ouvrage n’est jamais
achevé, mot qui pour eux n’a aucun sens, mais abandonné; et cet abandon, qui le livre
aux flammes ou au public (et qu’il soit l’effet de la lassitude ou de l’obligation de livrer),
leur est une sorte d’accident, comparable à la rupture d’une réflexion . . .
In the eyes of those lovers of anxiety and perfection, a work is never finished — a
word that for them has no meaning — but abandoned; and this abandonment, whether to
the flames or to the public (and which is the result of weariness or an obligation to deliver)
is a kind of accident to them, like the breaking off of a reflection . . .
— P. Valéry, [Val, p. 1497]
Well, I’ve been talking to you for two years and now I’m going to quit. In some ways
I would like to apologize, and other ways not. I hope – in fact, I know – that two or three
dozen of you have been able to follow everything with great excitement, and have had a
good time with it. But I also know that “the powers of instruction are of very little efficacy
except in those happy circumstances in which they are practically superfluous.” So, for
the two or three dozen who have understood everything, may I say I have done nothing
but shown you the things. For the others, if I have made you hate the subject, I’m sorry. I
never taught elementary physics before, and I apologize. I just hope that I haven’t caused a
serious trouble to you, and that you do not leave this exciting business. I hope that someone
else can teach it to you in a way that doesn’t give you indigestion, and that you will find
someday that, after all, it isn’t as horrible as it looks.
— R. Feynman, [FLS, Epilogue]
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Index
(−1)-curve, 568, 633, 725, 731, 732, 745, see also NS(X) (Néron-Severi group), 500
Castelnuovo’s Criterion, 761, 764 N1 (X) = Pic X/ Picτ X, 500
blowing down, 761 NX Y (normal cone), 624
(M : x), 671 Ri F (right derived functor), 644
(L1 · L2 · · · Ln · F ) (intersection of L1 , . . . , Ri π∗ (higher pushforward), see sheaf, higher
Ln with F ), 561 pushforward, 512
A-scheme, 161 as derived functor, 653
ADE singularities, 629 quasicoherent definition, 512
An singularity, 750 Rk (regular in codimension k), 740
An -singularities, 628, 629 SLn (group scheme), 225, 324
A• (I), 390 S−1 A (localization), 32
AnnA m, 186 S+ , 149
AssA M, 187 Sk , see property Sk
AssA (M), 187 S• , 149
BlX Y (blow-up of Y along X), 617 Sn• , 213
Creg , 551 Supp m, 133
D+ (f), 151 T • (M) tensor algebra, 402
Dn singularity, 750 T • (F ), 404
Ep,q (entry in double complex), 60 V(S) (vanishing set), 113
E6 , 724, 730 V(T ), 151
E8 , 574, 750 Xf , 175
EX Y (exceptional divisor), 617 Xs (s ∈ Γ (L )), 443
En , 629, 732 [p] (point of Spec A corresponding to p), 100
En singularity, 750 A2 , 103
Ep,q
r (entry (p, q) in rth page of spectral Aut(A) (automorphisms of A), 26
sequence), 61 ∆ (diagonal locally closed subscheme of
G(k, n) (Grassmannian), 225 X ×Y X), 310
GLn (group scheme), 224, 324, 466 Fn (Hirzebruch surface), 473
H ((co)homology), 52 Γ
H0 (U, F ), 71 adjoint to Spec, 207
I(S), 125 Γ (U, F ), 71
JC (Jacobian corank function), 362 Γ• , 445, 446
K(A), 32, 158 Mor, 25
K(X), 158 ΩiX/Y (sheaf of relative i-forms), 601
K(X) (Grothendieck group of coherent ΩA/B (Kähler differentials), 591
sheaves on X), 572 ΩX/Y (relative cotangent sheaf), 590
K(X)≤d , 573 Pic0 X, 691
KX , 567 Spec 0, 102
Li F (left derived functors), 644 Spec k, 102
M(n)• , 422 Sym• , 402
M• , 417 ⊠, 428, 452, 453, 710
M• (I), 390 KX , see canonical, bundle
Mtors (torsion submodule), 171 TX/Y (relative tangent sheaf), 590
795
796 The Rising Sea: Foundations of Algebraic Geometry
·∨ (dual), 399 Mg (moduli space of curves), 542
χ(X, F ) (Euler characteristic), 421, 495 ND/X (normal bundle to effective Cartier
⨿
divisor), 444
for schemes, 138 O (structure sheaf), 129
⨿
(coproduct), 37 O-connected
δ-functor, see delta-functor local on the target, 708
deg F (degree of coherent sheaf on curve), O-connected morphisms, 708
498 + proper implies surjective, 759
δ-invariant, 751 O-connected morphisms, 708, 709, 756–759
δπ (diagonal morphism), 36, 308 + proper implies connected fibers, 754
ℓ(M), length, 181 + proper implies surjective, 708, 759
ℓ(F ), length of a coherent sheaf, 184 closed under composition, 708
γπ , 313 not preserved by base change, 708
A^ (completion), 745 preserved by flat base change, 708
,→, see [open, closed, l cl] embedding, see O(1)
[open, closed, locally closed] embedding, on relative Proj, 472
228, 251, 254 O ⊕I = O I , free sheaf of “rank I”, 395
see[open, closed, lococally closed] OK (ring of integers in number field K), 304
embedding, 254 OX (structure sheaf), 76
κ(X) (Kodaira dimension), 603 OX -modules, 76
κ(p) (residue field of point p), 139 Ext-functors for, see Ext functors, for
κ(p) (residue field), 139 O-modules
λ-invariant, 545, 545 not always quasicoherent, 171
A1 , see also affine line, 100, 102, 103 tensor product, 90
A2 , see also affine plane OX,p , 76
An , see also affine n-space, 105 OSpec A , 129
functorial characterization, 222 Hom , 404
G(k − 1, n − 1) (Grassmanian), 226 of quasicoherents not necessarily
Gm (multiplicative group scheme), 222, 324, quasicoherent, 404
555 Proj , see relative Proj
PF (projectivization of finite type Spec , see relative Spec
quasicoherent sheaf), 473 | L | (complete linear series), 424
P(d1 , . . . , dn ) (weighted projective space), µn (group scheme), 224
262 νd (Veronese embedding), 260
PV (projectivization of vector space), 153 O-connected, proper morphisms
P1k (projective line), 143 not reasonable class, 708
Pn (projective space), 152 ω (dualizing sheaf), 769, 771
Pn -bundle (projective bundle), 473 Cl X (class group), 438
PnA (projective space over A), 144 Cl(An k ) = 0, 438
is quasicompact, 155 Hom
Q-Cartier, 441 need not commute with localization, 55
Q-Cartier divisor, 441 Hom (“sheaf Hom”)
Q-line bundles, 501, 501, 574, 575 is left-exact, 55
Z-graded ring, see graded ring, Z- LocPrin, 437
Z≥0 -graded ring, see graded ring, Z≥0 ∼
Pic(Pn k ) = Z, 439
Zp (p-adics), 42 Pic X (Picard group), 399
AnX , 279
Pic(An k ) = 0, 438
N (nilradical), 111 Pic0 (E), 543, 551, see also Picard group, 559
F (U), 71 ∼ E, 549
=
F (n), 422 Picτ X (group of numerically trivial line
F |U (restriction of sheaf to open subset), 74 bundles), 500
F |p , 140 Prin (group of principal Weil divisors), 437
F sh (sheafification), 82 Proj S• , 150
F ∨ (dual of OX -module), 78 Proj, 146
Flf , 406 Spec A, 100
Ftor , 406 Spec Z, 102
G |X (pullback), 411 Spec
KX (canonical sheaf/bundle), 502 adjoint to Γ , 207
April 1, 2023 draft 797
Supp D (support of divisor), 434 Veck (category of vector spaces over k), 26
Supp G (support of sheaf of sets), 93 ×A (sloppy notation), 273
Supp s, 93 S (constant sheaf), 74
Sym• (F ), 404 lim (colimit), see colim
−→
Tor functors, 639 lim, see limit
←−
adj(M) (adjugate matrix), 231 ∧• , 403
codim (codimension), 331 ∧• (F ), 404
coker (cokernel), 50 g
M • (quasicoherent sheaf corresponding to
cokerpre (cokernel presheaf), 79 graded module M• )
deg L = degC L , degree of a line bundle, in terms of “compatible germs”, 417
496 g
M • (quasicoherent sheaf corresponding to
det F (determinant bundle), 403
graded module M• ), 417
div, 434
is an exact functor, 418
idA (identity morphism), 26
need not be an isomorphism, 418
ker (kernel), 50
Me (quasicoherent sheaf corresponding to a
kerpre (presheaf kernel), 78
obj (object in a category), 25 module M), 132
tr. deg (transcendence degree), 334 d : OX → ΩX/Y , 590
⊕ (direct sum), 49 d : A → ΩA/B , 580
⊗ (tensor product), 34 d-uple embedding (Veronese embedding) νd ,
⊗OX (tensor product of OX -modules), 90 260
ϕp f, U = resVU (f)72
q (cohomology and base change map), 705
π-ample, see relatively ample, see ampleness, hA (functor of maps from A), 28
in relative setting hA (functor of maps to A), see functor, of
π-very ample, see very ample, relatively, see points
very ample, relatively hF (m) (Hilbert function), 505
π∗ G , 412 ip,∗ , 74
π∗ s, pullback of a section, 414 k-point, see k-valued point
π∗ , 410, 414 k-rational point, see k-valued point
π! , 779 k-rational point of a k-scheme, see k-valued
right-adjoint to π∗ , 779 point
π!sh , 778 k-smooth, see smoothness, over a field
π−1 F (inverse image sheaf), 90 k-subset, 463
π−1 , 90 k-valued point, 209
is right-exact, 92 k-valued point, 209, 219, 260, 274, 362, 364,
π! (extension by zero), 93, 654 368, 370–372, 426, 499, 528–530, 543, 545,
ρ(X) (Picard number), 501 551–554, 567–569, 627, 633, 634, 690, 691,
Ext functors 746, 747, 750, 761, 763, 764
computable with locally free resolutions, k-variety, see variety
776 k[[x1 , . . . , xn ]], 745
σ-process ■, see blow-up k[ϵ]/(ϵ2 ), see dual numbers
√ n-fold, 330
√−5, 167, 168
I (radical of ideal), 114 n-plane, 258
Ab (category of abelian groups), 27 opp (opposite category), 29
AbX (category of sheaves of abelian groups on p-adics, 40, 41, 57, 377, 388, 674, 745
X), 77 pa (X) (arithmetic genus), 497
has enough injectives, 652 pg (X) (geometric genus), 602
CohX (category of coherent sheaves on X), 179 t : Hn (X, ωX ) → k (trace map), 769
ModA (category of A-modules), 27 xi/j , 144, 144, 148, 150, 226, 257, 299, 314,
has enough injectives, 18 419–421, 426, 465, 596, 599, 600
ModOX , 77, 176 OX (D), 435
not enough projectives, 655 ModOX (category of O-modules)
QCohX (category of quasicoherent sheaves on has enough injectives, 652
X), 176 Hom , 77
Rings (category of rings), 27 is left-exact, 89
Sets (category of sets), 26 need not commute with stalkification, 78
SetsX (category of sheaves of sets on X), 77 “reasonable” classes of morphisms
Top (category of topological spaces), 27 isomorphisms, 228
798 The Rising Sea: Foundations of Algebraic Geometry
open embeddings, 229 204, 217–219, 221–225, 237, 239, 244, 245,
“reasonable” classes of morphisms 264, 273, 285, 318, 321, 323, 329, 330, 349,
preserved by composition, 227 369, 371, 372, 379, 401, 402, 405, 407, 408,
410, 415, 422, 432, 435, 436, 505, 523, 524,
Abel, N. H. ■, 325 528, 533, 534, 544, 545, 555, 596, 608, 611,
abelian category, 25, 27, 38, 49, 50, 50, 51, 663, 668, 676, 678, 694, 701, 727
53–57, 59, 78, 79, 87, 89, 90, 176, 177, 179, affine morphisms
197, 395, 398, 643–645, 650, 653, 777 reasonable class, 289
enough injectives affine morphisms ■
e.g., modules, 644, 645 are quasicompact and quasiseparated, 235
has enough projectives, 643 preserved by composition, 235
of complexes, 53 affine morphisms ■, 235
abelian cone associated to coherent sheaf ■, affine-local on target, 235
470 as Spec , 469
abelian group scheme ■, 223 preserved by base change, 289
abelian semigroup ■, 46 affine n-space, 133
abelian varieties ■, 325, 325, 326, 551 minus origin, 133
are abelian, 326 affine n-space, 401, 470
absolute Frobenius ■, see Frobenius minus origin, 142
abstract nonsense ■, see category theory with doubled origin, 142
abut ■, 63 affine n-space, 105, 105, 106, 110, 119, 133, 144,
action of group variety/scheme ■, see group 155, 157, 166, 215, 216, 222, 244, 246, 258,
variety/scheme, action 281, 286, 334, 336, 337, 345, 358, 364–366,
acyclic ■, see also resolution (complexes), 370–372, 381, 382, 432, 438, 439, 457, 469,
acyclic 514, 598, 616, 621, 630, 667, 670, 696, 737
object, 647, 649 (over a field) is regular, 371
additive category ■, see category, additive (over any base) is flat, 665
additive functor ■, see functor, additive minus origin, 118, 140, 141, 143, 157, 239,
adjoints, 45 241, 264, 307, 313, 316, 318, 319, 385, 386,
of forgetful functors, 47 492
right with doubled origin, 143, 157, 307, 313, 316,
preserves injectives, 656 385
table of, 47 affine open subscheme/subset ■, 138
adjugate matrix ■, 231 affine plane, 103, 104, 106, 108, 113, 115, 117,
adjunction formula, 602, 725, 786 120–122, 126, 129, 132, 139–141, 143, 193,
for canonical bundle, 602, 725 222, 239, 241, 244, 253, 263, 273, 286, 319,
for curve on a surface, 567 320, 336, 369, 379, 400, 432, 440, 441, 492,
for dualizing sheaf, 783, 786, 786 533, 543, 559, 566, 567, 582, 587, 588, 615,
affine 3-space, 676 616, 623–625, 627, 628, 630, 633, 668, 675,
affine cover cohomology vanishing, 482, 490 731, 739, 749
affine line, 101 affine scheme ■, see scheme, affine
affine n-space affine variety ■, see variety, affine
over a scheme X (An X ), 279
affine-local
affine 3-space, 113, 126, 358, 361, 362, 379, 587, closed embeddings, 251
629, 676, 677, 738 implied by stalk-local, 160, 228
Affine Communication Lemma ■, 132, 159, affine-local ■, 159, 160
160, 162, 169, 170, 179, 204, 227, 235, 239, on the source, 229
440 on the target, 229
affine complex varieties, 12, 13, see varieties, affine-local on target, 228
affine complex, 106, 108, 112 Alexandrov space ■, 655
affine cone ■, 147, 154, 261, 261, 262, 335, 344, algebraic field extension ■, see field extension,
345, 367, 441, 624, 738 algebraic
relative version, 473 algebraic equivalence, 690
affine cover cohomology vanishing, 483 implies numerical equivalence, 691
affine cover cohomology vanishing, 484, 515, algebraic group ■, 324
517 Algebraic Hartogs’s Lemma ■, 144, 146, 163,
affine line, see also line, 100, 101, 102, 102, 103, 165, 342, 347, 347, 348, 379, 401, 433, 436,
103, 106, 114, 115, 118, 134, 141–143, 162, 442, 601, 731, 741
April 1, 2023 draft 799
algebraic space ■, 431 associated point, 184, 187
Alteration Theorem ■, 629 associated points
ample cone, 500, 570, 574, 576, 577 of locally Noetherian scheme, 193
ampleness, 449, 451, see also Kodaira’s associated points ■, 298
criterion for ampleness, see also Kleiman’s associated points ■
numerical criterion for ampleness, see of integral schemes, 195
also Serre’s cohomological criterion for associated points ■, 136, 186, 193–195, 266,
ampleness, 515, see also Nakai-Moishezon 268, 320, 440, 443, 444, 460, 499, 506, 508,
criterion for ampleness, 570, see also 562–564, 566, 573, 595, 619, 668, 675, 681,
ample cone, 576, 577 733
⊗ base-point-free is ample, 453 and flatness, 668
= positive degree on smooth projective of coherent sheaf, 186
integral curve, 528 associated prime, 184, 187
better-behaved than very ampleness, 453 associated prime ideal, 187
implies nef, 501 associated primes ■, 192
in relative setting, 477, 477 associated primes ■, 668, 733, 735, 741, 743
in the absolute setting, 456, 456 Associated-to-Separated Theorem ■, 320
properties of, 456 Asymptotic Riemann-Roch ■, see
Kodaira’s criterion, see Kodaira Embedding Riemann-Roch, Asymptotic
Theorem Atiyah flop ■, 632
of vector bundle, 478 Atiyah, M. ■, 17, 229, 632
open condition in families, 453 Auslander, M. ■, 389
preserved by ⊗, 453 Auslander-Buchsbaum Theorem ■, 389, 389,
preserved by ⊠, 453 445, 566, 733, 741
preserved by finite pullback, 453, 478, 499, automorphism group ■, 26, 27, 537, 540, 542,
515, 516 554, 555, 605, 612
relative, see relatively ample, 456 bounds for curves, 612
Serre’s cohomological criterion, 517 infinitesimal, 605
Serre’s cohomological criterion, 452, of a scheme, 206
515–517 of an object in a category, 26, 26
vector bundle, 478 Axiom of Choice ■, 18, 111, 121, 290, 641, 643,
with respect to π, see ampleness, in relative see also Zorn’s Lemma, 645
setting
analytic geometry, 745, 752 base, 283
analytification ■, 315 base gluability axiom, see also gluability axiom
of a morphism, 211 base change, 284
analytification ■, 211, 211, 212, 315, 325, 399, base change diagram, see Cartesian
400, 497, 498, 501, 509, 558, 565, 593, 594, diagram/square
604 base field extension, 282
André-Quillen homology ■, 584, 586 base gluability axiom, 130
annihilater ideal, 186 base gluability axiom ■, 130
anticanonical bundle ■, see also base gluability axiom ■, 85, 131
canonical,bundle, 732 base identity axiom ■, 85, see also identity
arithmetic genus ■, see genus, arithmetic axiom, 130, 131
arrow ■, see morphism base locus, 423, 424, 631, 632
Artin-Rees Lemma ■, 357 scheme-theoretic, see scheme-theoretic, base
Artin-Rees Lemma ■, 376, 390, 391, 391, 684, locus
685, 749 base of a topology, 84
Artin-Schreier cover ■, 611 presheaf, see presheaf, on a base
Artinian local ring, 333 sheaf, see sheaf, on a base
Artinian scheme, 184 base point ■, 423, 527, 538, 576, 762
ascending chain condition ■, 123, 124, 125, base ring, 149
683 base scheme, 206, 283
assassin, 187 base-point-free locus, 424
associated points ■, 506 base-point-freeness, 424, 424, see also global
associated prime generation, 449
of a ring, 187 ⊗ ample is ample, 453
associated graded ■, 360, 573 ⊗ very ample is very ample, 452
800 The Rising Sea: Foundations of Algebraic Geometry
and maps to projective space, 424 of the plane, 286, 440, 567, 568, 615, 627, 724,
implied by very ampleness, 452 729–732
in relative setting, 477 as graph of rational map, 320
preserved by ⊗, see global generation (of preserves irreducibility and reducedness,
quasicoherent sheaf), preserved by ⊗ 618
relative, 456 Proj description, 622
with respect to π, see base-point-freeness, in to resolve base locus, 630
relative setting Blow-Up Closure Lemma ■, 618, 620, 621,
Bertini’s Theorem ■, 357, 369, 372, 373, 373, 623, 627, 631
508, 511, 539, 631, 704, see also Borel-Moore homology and Chow groups,
Kleiman-Bertini Theorem, 724, see also 574
Kleiman-Bertini Theorem, 725 boundary (homological algebra) ■, 52
improved version, 703 box-times, see ⊠
weaker hypotheses, 374 branch ■
Betti numbers ■, 604, 706 divisor, 608, 610
Bézout’s Theorem ■, 508 locus, 606
Bézout’s Theorem ■, 532, 550 points, 533, 533, 534, 545, 609, 609, 612
Bézout’s Theorem ■, 258, 260, 302, 371, 427, branched cover ■, see also double cover, 237,
428, 508, 509, 530, 540, 541, 562, 567, 730 533, 535, 611
for plane curves, 508 Buchsbaum, D. ■, 389
bilinear ■, 34
bilinear form ■, 571 Calabi-Yau variety ■, 350
symmetric (index of), 571 Calabi-Yau variety ■, see also trichotomy
birational ■, 605 (classification of varieties), 602, 603
(rational) map, 215, 215, 216, 218, 219, 301, Cancellation Theorem
460, 601, 630, 632, 731, 765 for reasonable classes of morphisms, 308
factorization of, 632 Cancellation Theorem ■, 308
invariant, 601–604, 765 for closed embeddings, 452
model, 457 for flat morphisms, 697
morphism, 215, 302, 305, 458, 519, 616, 730, for projective morphisms, 476, 755, 763, 780
731, 760, 761, 763, 764 for proper morphisms, 322, 324, 761
Zariski’s Main Theorem version, 756, 758 for quasicompact separated morphisms,
varieties/schemes, 215, 215, 216, 457, 459, 482
568, 602, 615, 625, 632, 764, 765 for quasicompact morphisms, 235, 479
need not be isomorphic, 440 in Sets, 308
birational morphism, 215 canonical ■
birational, right?, 757 curve, see curve, canonical
bitangents ■, 724 canonical curve, 538
blow down, 633 canonical ■
blow down ■, 761 bundle KX , 502, 602, see also anticanonical
blow-up ■, 286, 360, see also proper transform bundle
(of blow-up), 615, see also universal is Serre-dualizing, 502, 542, 597, 602,
property, of blow-up, 617, see also total 604–606, 611, 769, 783
transform (of blow-up) embedding, 538
and line bundles, 633 map, 536
and the canonical bundle, 633 sheaf, see canonical, bundle KX
commutes with flat base change, 670, 750 canonical embedding, 538, 538, 541, 550
computable locally, 618 Cartan-Eilenberg resolution ■, 648, 649, 651,
does not commute with general base 651, 652
change, 670 Cartesian diagram/square, 36, 284
exists, 622 Cartier divisors ■, see also effective Cartier
is projective, 622 divisors, 17
locally principal closed subscheme, 618 Castelnuovo’s Criterion ■, 624, 723, 731, 745,
not flat, 668 761, 761, 764
of affine space, 470, 617 category ■, 25, see also subcategory
of nonreduced subscheme, 630 abelian, see abelian category
of regular embeddings, 625 additive, 49, 49, 50, 78, 79, 87
of smooth in smooth is smooth, 625 concrete, 27
April 1, 2023 draft 801
equivalence, 30, 30, 86, 173, 206, 217, 418, are reasonable class of morphisms, 251
459 closed under composition, 251
index, 40, 42, 43, 72 closed embeddings ■, 237, 251, 251
locally small, 25 affine-local on target, 251
of A-schemes, 208 are finite, 251
of k-schemes, 208 are monomorphisms, 281
of S-schemes, 208 are proper, 321, 322
of complexes, 53 are separated, 317
of open subsets, 28 base change by, 279
of schemes, 206 in projective space, 256
of subsets of a set, 28 intersections of, 280
opposite, 29, 217, 459 preserved by base change, 289
rings and affine schemes, 206 closed immersions ■, see closed embeddings
small, 30, 40, 44, 53 closed map ■, 236, 248, see also universally
category of vector bundles, 402 closed morphisms, 321
category theory ■, 13, 19, 23, 77 closed point ■, 523, 739, 765
catenary rings ■, 338 of Spec A correspond to maximal ideals,
Cayley, A. ■, 723 119
Cayley-Bacharach Theorem ■, 530 closed point ■, 106, 119, 119–121, 143, 145,
Čech cohomology, 487 153–155, 158, see also degree, of closed
Čech cohomology, 17, 307, 481, 487, 488, 489, point, 162, 204, 211, 238, 245, 246, 252,
646, 655–661 259, 274, 286, 296, 297, 318, 323, 326, 332,
= derived functor cohomology, 639, 653, 341, 361, 362, 365, 366, 368, 369, 371–374,
655, 656 383, 385, 387, 389, 406, 408, 411, 428, 431,
agrees with derived functor, 655 451, 455, 457, 462, 508, 516, 517, 523,
Čech complex ■, 487, 487–490, 493, 494, 512, 525–527, 532, 533, 543, 556, 558, 559, 568,
535, 658–660, 689, 711, 713, 772 582, 583, 587, 594, 595, 624, 625, 634, 655,
Čech cover ■, 656, 659, 774 675, 676, 684, 686, 697, 698, 702, 726, 727,
Čech resolution, 689 731, 747, 749, 750
chase of base, see base change checking Cohen-Macaulayness (for
Chasles’ Theorem ■, 530 quasicompact schemes), 739
Chern class ■, 497, 564, 572–574 checking for singularities of varieties, 364
Chevalley’s Theorem ■, 243, 244, 245, 245, checking normality (for quasicompact
248, 263, 287, 288, 350, 564, 681 schemes), 164
for finitely presented morphisms, 245, 288 checking reducedness (for quasicompact
for locally finitely presented morphisms, schemes), 157
288 dense for finitely generated k-algebras, 119
Chinese Remainder Theorem ■, 134, 145, 184, dense for varieties, 156
280 of Pn , 143, 145, 152, 259
k
Chow group ■, 574 of Spec Q(t) ⊗Q C, 282
Chow groups, 574 of affine n-space, 119
Chow’s Lemma ■, 518, 518–520, 562 of locally finite type k-schemes, 162
other versions, 521 quasicompact schemes have one, 155
Churchill, W. ■, 663 schemes need not have one, 155
class (set theory) ■, 26 closed subscheme, 229
class group ■, 168, 438, 438–442 closed subscheme exact sequence ■, 415, 496
and unique factorization, 441 closed subscheme exact sequence, 252
excision exact sequence, 439 closed subscheme exact sequence ■, 402, 416,
in number theory, 400, 439, 441 418, 443, 507, 517, 670, 720, 763, 785
closed subschemes ■ closed subscheme-theoretic image, see
cut out by s, 254 scheme-theoretic image
closed embeddings ■ closed subschemes ■, 134, see also closed
preserved by composition, 251 embeddings, 138, 148, 152, 251, 251
closed embeddings ■ arbitrary intersections, 253
preserved by base change, 280 correspond to quasicoherent sheaf of ideals,
closed embeddings 252
affine-local, 251 finite union of, 253
are monomorphisms, 253 locally principal
802 The Rising Sea: Foundations of Algebraic Geometry
have codimension 0 or 1, 343 Čech = derived functor, 655
locally principal, 267, 267, 289, 620, 621, 631, Čech = derived functor, 639, 653, 655, 656
see also divisor, locally principal, 687 and change of base field, 491
pull back, 289 behaves well in flat families, 688
closed under composition commutes with flat base change, 669, 706
O-connected morphisms, 708 dimensional vanishing, 679, 784
closed embeddings, 251 more generally, 492
closure dimensional cohomology vanishing, 482
scheme-theoretic, see scheme-theoretic, dimensional vanishing, 491, 634
closure relative, 514
cocycle condition ■, 87, 142, 170, 276, 396, 397, of a double complex, 60
417, 421 of line bundles on projective space, 492
codimension ■ pullback, 482
one, 342 relative dimensional vanishing, 514
codimension ■, 271, 331 with supports, 17
at most difference of dimensions, 332 Cohomology and Base Change Theorem ■,
odd behavior, 332 714
pathologies, 349 Cohomology and Base Change Theorem ■,
sometimes difference of dimensions, 337 717
cofinal ■, 746, 748, 759, 762, 766 Cohomology and Base Change Theorem ■,
Cohen Structure Theorem ■, 746 390, 511, 514, 707, 707–709, 711, 713, 714,
Cohen-Macaulay, 184 719
Cohen-Macaulay ring, 736 cokernel ■, 50, see also universal property, of
Cohen-Macaulayness cokernel
stalk-local, 736 presheaf, 79
Cohen-Macaulayness ■, 389, 390, 503, 566, colim (colimit), 42
733, 736, 737–741, 770, 773, 774, 780–783, colimit, 42
786 colimits
and adding a variable, 739 do not necessarily commute with
fancy properties, 739 right-exact functors, 58
implies no embedded points, 737 colimits ■, 42
implies no embedded points, 737, 738 are right-exact, 56
of all dimension 0 Noetherian schemes, 737 commute with colimits, 56
of all dimension 1 Noetherian schemes commute with left adjoints, 56
without embedded points, 737 e.g., cokernels, 56
of all dimension 2 normal varieties, 740 filtered, 43
of regular local rings, 733 are exact for A-modules, 92
open condition, 739 commute with cohomology, 58, 673
preserved by localization, 736, 739 commute with homology in ModA , 58
slicing criterion, see slicing criterion, for in ModA are exact, 56–58
Cohen-Macaulayness localization as, 44
Coherence Theorem ■, see Grothendieck’s not always exact, 57
Coherence Theorem non-filtered, 44
coherent sheaves ■, 154, see also modules, collapse (of spectral sequence) ■, 63
coherent, 179, 395, 398 Com subset C (category of complexes in C),
CohX is abelian category, 197 53
abelian cone of, 470 comathematician ■, 42
affine-local nature, 179 commutative monoid, 50
dual, 405 compatible germs ■, 417
Euler characteristic, 495 compatible germs ■, 51, 81, 81, 82, 84, 85, 92,
flat = locally free, see finitely presented 152, 173, 252, 430
sheaves, flat = locally free complete intersections ■, 602
cohomological criterion of affineness ■, see complete k-scheme ■, 321
Serre’s cohomological criterion for complete intersections ■, 511
affineness in projective space
cohomology, see also Čech cohomology, see positive-dimensional ones are connected,
also derived functor cohomology, see also 511
homology, 17, 52, 495, 513 complete intersections ■
April 1, 2023 draft 803
in projective space, 510 cone over smooth quadric surface, see quadric
complete intersections ■, 272, 510, 511, 540, surface, 146, 165, 167, 300, 335, 360, 367,
541, 550, 603, 786 442, 632
in affine space cone point, 261, 359, 557, 628, 630, 632
are Cohen-Macaulay, 737 conic, 148, 151, 152, 217–219, 257, 259, 262,
implies no embedded points, 737 350, 374, 375, 429, 499, 500, 509, 529, 531,
complete linear series ■, see linear series, 532, 538, 539, 556, 557, 691, 710, 732
complete universal, 499
complete with respect to an ideal I ■, 746 coniveau filtration on K(X), 573
completion ■, 14, 42, 196, 360, 677, 685, 700, connected ■
745, 745, 746, 746–750, 753, 754, 765 fibers, see fibers, connected
and Cohen-Macaulayness, 739 connected ■, 117, 155
and exactness, 747 component, see component, connected
commutes with finite direct sums, 749 connectedness, see also
is flat, 686, 748, 750 idempotent-connectedness package
not always exact, 748 connecting homomorphism ■, 54, 62, 482,
of A along I, 745 488, 490, 513, 640, 642, 656
preserves exact sequences of finitely conormal
generated modules, 748, 749 bundle, 585
complex (abelian category) ■ cone/bundle/sheaf, 615
double, 67 exact sequence, 585, 592
complex (abelian category) ■ affine version, 585
double for smooth varieties, 595
(hyper)cohomology of, 60 left-exact in good circumstances, 586, 592,
complex (abelian category) ■, 51, 51 594, 595
double, 59, 60, 60, 65, 66, 270, 647–649, 656, left-exactness, 700
657, 660 module, 585, 586
first quadrant, 61 sheaf, 585, 586, 587
total complex of, 60 of regular embedding is locally free, 588
factorization into short exact sequences, 52 conormal exact sequence, 585
homotopic maps give same map on Conrad, B. ■, 25
homology, 53, 641 constant (pre)sheaf ■, 74
complex (affine) n-space, see n-space constant (pre)sheaf ■, 74
complex (affine) plane, see affine plane constant rank implies locally free for finite
complex geometry, see analytification type quasicoherent sheaves ■, see finite
complex manifold, see manifold, complex type, quasicoherent sheaves, constant
complex varieties, see also affine complex rank implies locally free
varieties, see varieties, complex, 146, 211, constructible subsets ■, see also locally
399, 560, 604 constructible subsets, 244, 245
component ■ are finite disjoint unions of locally closed
connected, 155 subsets, 244
irreducible, 155 in more general situations, 288
component ■ locally, 288
connected, 121, 122, 123, 161, 295, 397 contravariant functor ■, see functor,
irreducible, 121, 121, 123, 298 contravariant
= minimal primes for Spec A, 126 coordinates ■
Noetherian spaces have finitely many, projective, 152
122 coordinates ■, 100
composition series, 181 projective, 552, 599
composition-of-functors spectral sequence ■, coproduct ■
see Grothendieck of schemes, 273
composition-of-functors spectral coproduct ■, see also fibered coproduct, 37, 43
sequence of schemes
compositum ■, 334 is disjoint union, 273
comultiplication ■, 225 of sets, 37
cone, 359 corank, 362
affine, see affine cone cotangent
projective, see projective cone bundle, 502
804 The Rising Sea: Foundations of Algebraic Geometry
complex, 585, 700 plane, 538
exact sequence, 696 curves ■, 257, 330
map, 361 canonical, 538
sheaf, 579, see also tangent sheaf elliptic, see elliptic curves, 554
relative, 590 genus, 523
space, 71, 357, 358, 359, 361, 579, 583, 587, genus 0, 510, 528–530, 532, 535–537, 542,
595, 698, 702 606, 611, 709
Jacobian criterion, 362 are conics, 529
vector, 358, 579, 579 genus 1, 510, 532, 533, 535–538, 542, 543,
= differential, 358 553–556, 559, 679
relative, 579 not classified by j-invariant, 554
vertical, 579, 583 genus 2, 535–537, 610
cotangent exact sequence, 585 hyperelliptic in precisely one way, 536
affine version, 584 genus 3, 498, 510, 535, 537–541, 610, 751
affine version, 585 not all hyperelliptic, 535
left-exact in good circumstances, 584, 592, genus 4, 511, 540, 541, 550
608 genus 5, 540, 541
left-exactness, 700 genus 6, 510, 751
counterexamples (list of) ■, 133 hyperelliptic, see hyperelliptic curves
covariant functor ■, see functor, covariant moduli space, 664
cover, 70 non-rational, 219
by open subfunctors, 278 nonhyperelliptic, 535, 538–541, 550
covering space ■, 381, 694 of every genus, 535
Cremona transformation ■, 219, 320, 433, 632, plane, 369, 508, 530, 539, 555, 567, 582, 621,
732 628, 679, 724, 749, 751
cross-ratio ■, 545 proper implies projective, 516
cross-ratio ■, 544 trigonal, 539, 541
classifies 4 points on P1 , 545 various categories are equivalent, 459
cubic, see also twisted cubic curve, see also cusp, 302, 369, see also normalization, of cusp,
nodal cubic, 302, 532, 539, 540, 546–554, 523, 606, 628, 630, 750, 751
559, 631, 677–679
cuspidal cubic, 302, 369, 606, 628
curves, see also cuspidal cubic, 631
normalization, 681
hypersurface, 257
cycle (homological algebra) ■, 52
nodal
normalization of, 677
plane curves, 369 de Jong, A.J. ■, 629
surface, 14, 16, 342, 540, 541, 631, 723–727, Dedekind domain ■, 167, 168, 304, 338, 380,
729–732 400
Fermat, 725, 729 unique factorization of ideals, 380
is blown-up plane, 730 deformation theory ■, 361, 605, 664, 673, 724,
singular, 725 726
cup product ■, 770, 774 deformation to the normal cone ■, 634, 635,
Yoneda, 777, 783 675
curve singularity, 750 deformations (infinitesimal) ■, 605
Curve-to-Projective Extension Theorem ■, degenerate, 424
431 degenerate linear series ■, see linear series,
Curve-to-Projective Extension Theorem ■, (non)degenerate
217–219, 432, 458–460, 545, 548 degree
necessity of hypotheses, 432 d map, 427
curves ■ algebraic = analytic for maps of curves, 460
exists regular projective birational model of in projective space, 507, 663
each, 457 additive for unions, 509
genus 0, 751 constant in flat families, 690
genus 1 of curve, 427
classified by j-invariant, 554 topological definition, 509
genus 3, 540 of closed point, 162
genus 4, 540 of coherent sheaf on curve, 498
nonhyperelliptic, 540 additive in exact sequences, 498
April 1, 2023 draft 805
of discriminant of degree d polynomials, diagonal ∆ (locally closed subscheme of
612 X ×Y X) ■, 310
of divisor on regular curve over k, 496 diagonal morphism, 36, 38, 307, 308, 310, 313,
of finite flat morphism is locally constant, 314, 317, 520, 591
674 diagonal morphism δ ■, 308
of finite flat morphism is locally constant, is a locally closed embedding, 310
286, 460, 565, 612, 634, 676, 683, 727 Diagonal-Base-Change diagram, 37
of finite map from curve to regular curve is Diagonal-Base-Change diagram ■, 37, 38, 310,
constant, 461, 497, 533, 545, 690 316
of finite morphism at point, 409 diagonalizing quadratic forms ■, 369
of generically finite morphism, 683 diagonalizing quadratic forms, 571
of generically finite rational map, 335 diagonalizing quadratic forms ■, 369
multiplicative under composition, 335 diagonalizing quadratic forms ■, 166, 167,
of homogeneous element, 149 219, 259, 260, 300, 359, 571
of hypersurface, 257 diagram indexed by ■, see category, index
of line bundle on curve Dieudonné, J. ■, 269
additive for ⊗, 497 completely functorised, 48
of line bundle on curve, 496, 562, 663 different ideal ■, see also relative different and
additive in exact sequences, 610 discriminant ideals, 607
of line bundle on projective space, 439 differentiable manifolds ■, see manifolds,
of projective morphism from curve to differentiable
regular curve, 676 differentials, 308, 358, see also cotangent exact
of projective morphism of curves, 460, 460 sequence, 610
delta-functors ■, 782 = cotangent vectors, 358
behave well with respect to base change,
universal, 773
589, 593
delta-functors ■, 645, 783
explicit description, 581
e.g., derived functors, 646
fiber at a rational point, 583
morphism of, 646
module of (for ring maps), 580
universal, 645, 646, 773, 782
on hyperelliptic curves, 597
depth, 184
on projective space, see Euler exact
depth ■, 733, 733, 739–742
sequence
bounded by dimension of support, 733
pulling back, 589, 593
derivation ■, 358, 588, 588, 590–592, 598
universal property, see universal property,
universal, 588 of differentials
derived functors dilation ■, see blow-up
left, 644 dimension
derived category ■, 488, 780 of variety at a point, 354
derived functor cohomology, 17, 646, 655, 656, of a variety at a point, 341
658–660 semicontinuity(the, 341
= Čech cohomology, 639, 653, 655, 656 of variety at a point, 340
derived functors, 17, 59, 481, 492, 512, 645, dimension ■
774, 776 pure, see equidimensional
agrees with Čech cohomology, 655 dimension ■, 104, 329
and spectral sequences, 647 = transcendence degree, 334
computed with acyclic resolutions, 647 additive for products of varieties, 337
left, 643 constant in flat families, 690
right, 644 of fibers, 351
derived pushforward, see higher pushforward never lower than expected, 351, 726
descending chain condition ■, 122, 123 of scheme, 14, 157, 163
descent, see gluing dimension at a point, 340
descent ■, 281, 553, 664 dimensional filtration on K(X), 573
desingularization ■, see resolution dimensional cohomology vanishing ■
(singularities) for quasiprojective schemes, 634
determinant (line) bundles ■, 403, 502, 769 dimensional cohomology vanishing ■, 482,
behave well in exact sequences, 404 491, 634, 679, 784
determinant map GLn → Gm ■, 224 for quasiprojective schemes, 634
dévissage ■, 17, 562 more generally, 492
806 The Rising Sea: Foundations of Algebraic Geometry
relative, 514 double cover ■, see also branched cover, 109,
Diophantine equations ■, 210, 217–219, 536, 237, 533, 533, 534, see also hyperelliptic
724 map, 535–538, 544, 545, 548, 559, 597, 607,
direct image sheaf, see sheaf, pushforward 663
direct limits ■, see colimits dual ■
discrete valuation ■, 387 of OX -module, 78
discrete topology ■, 74, 75, 81, 145, 237, 659, of coherent sheaf, 405
746 of locally free sheaf, 399
discrete valuation ■, see also discrete projective space, 372
valuation rings, see also valuations variety, 375
discrete valuation ■, 377, 385 dual numbers ■, 102, 110, 111, 134, 138, 158,
discrete valuation rings ■ 211, 251, 264, 318, 330, 361, 408, 446, 673,
finitely generated modules over, 401 694
flatness criterion, 687 flatness criterion, 673
discrete valuation rings ■, 108, 303, 357, 365, dualizing sheaf ■, 483, 502, 541, 769, 771, 781,
371, 378, 384–388, 404, 407, 433, 434, 457, 785
461, 462, 557, 598, 609, 610, 665, 673, 675, = canonical sheaf, 783
676 DVR ■, see discrete valuation rings
classification of finite generated modules Dwork, B. ■, 388
over, 598 Dynkin diagrams ■, 629, 732
differentials over a field, 598, 610
finitely generated modules over, 380, 407, effaceable functor ■, see functor, effaceable
422, 462, 543, 598 effective Cartier divisor, 184
flatness criterion, 673 effective Cartier divisor
discriminant ideal ■, see also relative different slicing, 268
and discriminant ideals, 607 effective Cartier divisors ■, 17, 267, 268, 268,
disjoint union of schemes ■, see also infinite 269, 272, 286, 320, 364, 419, 432, 440, 441,
disjoint union of schemes, 138, 138, 141, 443–445, 492, 562–565, 567, 587, 616–625,
147, 158, 159, 164, 244, 245, 266, 295, 331, 630–634, 670, 686, 687, 730, 737, 757, 763,
593, 606, 694, 696, 718 783, 785, 786
is coproduct, 273 have pure codimension 1, 343
distinguished affine base ■, 172, 172, 173 normal bundles to, 587
distinguished open set, see open set, relative, 687
distinguished restriction to open sets, 440
divisible abelian group ■, 645 effective cone, 570, 570
divisor Eisenbud, D. ■, 304
locally principal, 437, 437–439 Eisenstein’s Criterion ■, 369
principal, 437, 438, 439 elimination of quantifiers ■, 247, 248
divisor ■ elimination theory ■, 243, see also
Q-Cartier, see Q-Cartier divisor Fundamental Theorem of Elimination
branch, see branch, divisor Theory, 248
Cartier, 17 ellipse ■, 532, 555, 556
effective Cartier, see effective Cartier elliptic curves ■, 544
divisors elliptic curves ■, 400
exceptional, see exceptional divisor group law, 549
Weil, see Weil divisor elliptic curves ■, 165, 211, 219, 324, 534, 536,
domain of definition ■, 319 542, 543, 543–545, 548, 551, 553–560, 568,
domain of definition ■, 194, 194, 214, 218, 219, 706
317, 319, 319, 601 are group varieties, 550
dominant (or dominating) ■, 215, 355 counterexamples and pathologies, 557
dominant (or dominating) ■, 301 degenerate, 555
dominant (or dominating) ■, 215, 215, 217, degree 1 points = degree 0 line bundles, 543
219, 245, 303, 335, 352, 355, 459, 460, 558, group law, 543, 544, 549, 551, 559, 730
564, 608, 612, 701, 702 level n structure, 544
Donagi, R. ■, 723 non-torsion point, 558, 559
double complex ■, see complex (abelian not same as genus 1 curves, 543
category), double elliptic fibration ■, 631
double cover ■, 544, 548 embedded point/prime, 192
April 1, 2023 draft 807
embedded points exact sequence, see also exponential exact
of locally Noetherian scheme, 193 sequence, see also Grassmannian,
embedded points ■, 186, 434, 460, 462, 508, universal exact sequence, see also long
566, 567, 595, 735, 737, 738, 740, 742, 785 exact sequence, see also Euler exact
embedding (unwise terminology) ■, 255 sequence
enough injectives, 648 equalizer, 73, 130, 277
enough injectives, 18, 644–648, 652, 661, 774, excision for class groups, 439
778 grafting, 65
enough projectives, 643, 644, 647, 655, 774 split, 652
epimorphisms ■, 38, 38, 49, 50, 56, 59, 83, 84, exactness
86–88 stalk-local, 177
equalizer exact sequence ■, 73, 130, 277 exceptional divisor ■, 286, 567, 568, 616, 617,
equidimensional ■, 352 623–625, 627–630, 633–635, 731, 732, 750,
equidimensional ■, 330, 330, 331, 341, 345, 757, 761, 764
355, 365, 367, 368, 382, 383, 431, 460, 573, normal bundle to, 624
593, 631, 680, 682, 737–739, 771, 780–784, exponential exact sequence ■, 84, 87, 89, 497
786 Ext functors, 639, 769, 773
equivalence of categories ■, see category, composition of, 777
equivalence first version, 644
equivariant morphism ■, 703 for O-modules, 774
espace étalé ■, see sheaf, space of sections computable by acyclics, 774
essentially finitely presented ■, 687 long exact sequence, 774
essentially surjective ■, 30 second version, 644
étale morphisms ■, 729 two definitions are same, 647
étale cohomology ■, 176, 639 Ext functors, 774
étale cover ■, 382, 696 behaves like derived functor in first
étale morphisms ■, 381 argument, 776
étale morphisms ■, 357, 366, 380, 382, 607, needn’t preserve quasicoherence, 775
693, 695, 696, 697, see also formally étale, extending the base field ■, 282
700, 727, 729, 747 extension by zero ■, 93, 654, 656, 661, 778
differential geometric motivation, 380 extension of an ideal ■, 280
form “reasonable” class, 382 extension of fields ■, see field extension
not same as “local isomorphism”, 382 extension of scalars ■, 48
open condition, 381 exterior algebra ■, 403
preserved by composition, 382
étale topology ■, 176, 694, 747 factorial
étale-locally ■, 752 ring, 165
Euclid ■, 103 stalk-local, 165
Euclidean algorithm / Euclidean domain ■, factorial ■, 389
103, 104, 165 factorial ■, 165, 165, 167, 360, 389, 438, 439,
Euclidean domain, 102 441, 445, 557, 566, 577, 597, 733
Euler exact sequence ■, 600 but no affine open is UFD (example), 557
Euler characteristic ■, 421, 509, 510, 566, 572, implies normal, 165
663, 664, 679, 689 open condition, 165
additive in exact sequences, 496, 506, 572 weaker than regular (example), 389
constant in projective flat families, 665, 679, faithful flatness ■, 679, 680
688, 713 preserved by base change, 680
constant in proper flat families, 511, 713 faithful functor ■, see functor, faithful
without Noetherian conditions, 717 faithful module ■, 234
of coherent sheaf, 495 faithfully flat morphisms
polynomiality, 505, 542 form “reasonable” class, 680
Euler exact sequence ■, 598–601, 604, 605 Faltings’ Theorem (Mordell’s Conjecture) ■,
generalizations, 600 536
exact, 51, 51 Fano variety (classification theory) ■, 350,
exact functor ■, see functor, exact 602, 603, 730
exact modules, 663 Fano variety (of lines) ■, 730
exact morphisms, 663 Fermat, 219
808 The Rising Sea: Foundations of Algebraic Geometry
Fermat cubic surface, 725, 727, see cubic, 384, 460, 461, 491, 496, 511, 526, 528, 551,
surface, Fermat, 729, 730 553, 554, 558, 562, 594, 611, 612, 630, 699
Fermat curve ■, 219, 369 algebraic, 230, 231, 303, 331, 334, 341, 583
Fermat’s Last Theorem ■, 219, 536 finite, 105, 119, 162, 167, 237, 245, 280, 281,
Fermat, P. de ■, 219 292, 298, 303–305, 331, 334, 335, 340, 368,
FHHF Theorem ■, 56, 58, 491, 511–514, 671 457, 533, 557, 583, 606, 694, 696
fiber finitely generated, 217, 297, see also
of a sheaf, 407 transcendence degree, 334, 510, 701
fibered product Galois, 280, 281, 340, 611
in category of open sets, 36 inseparable, 291
fibered product ■, 255 normal, 340
fibered coproduct ■, see also coproduct, see purely inseparable, 294, 295, 305, 701
also universal property, of fibered purely transcendental, 217, 341
coproduct, 37, 274 separable, 298, 305, 583, 594, 606, 608, 694,
fibered diagram/square, 36 696
fibered product separably generated, 297, 589, 594, 701
of schemes, 273 filtered, see also colimits, filtered, 43, 43, 44,
with open embedding, 229 56–59, 72, 92, 172, 173, 482, 491, 673
fibered product ■, see also product, 35, 36–38, final object ■, see object, final
41, 125, 222, 273–275, see also universal finite extension of rings, 339
property, of fibered product, 276–281, 283, finite B-algebra ■, 236
284, 286, 288, 291, 301, 313, 316, 318, 320, finite extension of fields, 105
411, 413, 430, 467, 468, 470, 581, 619, 672 finite extension of integral domain, 338
“commutes with localization”, 281 finite extension of integral domains, 339
of functors, 277 finite extension of rings, 238, 338
of schemes, 273 finite extensions of integrally closed domains,
fibered products 680
of sets, 36 finite extensions of fields, 167, 238, 245, 292,
fibers, 227, 283, see also generic fiber, 284 303–305, 331, 334, 457, 557, 583, 594, 694
connected, 295, 755, 756 finite extensions of integrally closed domains,
from Zariski’s Connectedness Lemma, 339
754 finite fibers not preserved by base change ■,
dimension of, 351 289
well-behaved for flat morphisms, 669, finite flat morphisms ■, 286, 460, 565, 674,
679, 681 683, 717, 724, 727, 780, 782
geometric, 291, 291, 292, 664, 696–698, 700, have locally constant degree, 674
709, 710 have locally constant degree, 565, 676, 683,
properties preserved by base change, 291 727
geometrically connected (etc.), 291 finite global generation ■, see global
of OX -module, 140 generation (of quasicoherent sheaf), finite
scheme-theoretic, see scheme-theoretic, finite length, 181
fiber, 727 scheme, 184
field ■ finite morphisms
perfect, 297, 298 reasonable class, 289
field extension ■, 293 finite morphisms ■
field ■ = projective + finite fibers, 525
perfect, 596 finite morphisms ■, 236, see also finite flat
field ■ morphisms
imperfect, 324 = integral + finite type, 240
perfect, 297, 298, 389, 594–596, 699, 741 = projective + affine, 485
separably closed, 291, 295–297, 315 = projective + finite fibers, 460, 476, 485,
field extension 486, 499, 727, 763
finite, 303 = projective + quasifinite, 485
purely inseparable, 294 = proper + affine, 324, 485, 518, 760, 760
field extension ■ = proper + finite fibers, 485, 760
algebraic, 331 = proper + quasifinite, 324, 760
field extension ■, 168, 217, 236, 281, 282, 293, = proper + quasifinite + locally finitely
295–298, 301, 303–305, 341, 365, 368, 371, presented, 760
April 1, 2023 draft 809
affine-local on target, 236 preserved by composition, 243
are affine, 236 finitely presented morphisms
are closed, 239, 259 reasonable class, 310
are integral, 231, 239 finitely presented modules ■, see modules,
are projective, 238, 476 finitely presented
are proper, 321 finitely presented sheaves
are quasifinite, 239, 241 flat = locally free, 674
have finite fibers, 239, 284, 286 local freeness is stalk-local property, 406
not same as finite fibers, 239 finitely presented sheaves ■, see also modules,
preserved by composition, 238 finitely presented, 179, 688, 717
preserved by base change, 289 affine-local, 179
separable, 608 finiteness of integral closure, see integral
to Spec k, 237 closure, finiteness of
finite type ■ finiteness of zeros and poles ■, 434
quasicoherent sheaves finiteness of zeros and poles ■, 379
support is closed, 405 finitentess of normalization
finite type implied by quasiprojective, 161 seenormalization, finitentess of, 305
finite type ■ first quadrant double complex ■, 61
A-scheme, 161 Fitzgerald, F.S. ■, 113
morphisms, 240, 321 Five Lemma ■, 51, 52, 65, 66
are affine-local, 240 subtler, 66, 772
preserved by base change, 289 flabby sheaf ■, see sheaf, flasque/flabby
over a ring, 161 flag variety ■, 226, 466, 601
quasicoherent sheaves, see also modules, bundles, 601
finitely generated, 179 flasque sheaf ■, see sheaf, flasque/flabby
affine-local, 179 flat morphisms
constant rank implies locally free, 408, and regular sequences, 269
462, 675, 690, 701 form “reasonable” class, 668
finite type morphisms flat of relative dimension n
reasonable class, 289 reasonable class, 682
finitely presented flat of relative dimension n
morphisms, 242 includes locally finite type hypotheses, 681
finitely generated ■ flatness, 243, 323, 414, 417, 460, 491, 500, 511,
domain, 334 513, 514, 561, see also finite flat
field extension, 217 morphisms, 574, 635, 639, 640, 642, 643,
modules, see modules, finitely generated see also resolution (complexes), flat, 667,
finitely globally generated ■, see global 692, see also generic flatness, see also
generation (of quasicoherent sheaf), finite Miracle Flatness Theorem
finitely presented, see finitely presented, see = free = projective for finitely presented
also local finite presentation, 240, see modules over local rings, 665, 674
finitely presented morphisms = locally free for finitely presented sheaves,
= finite type under Noetherian hypotheses, 674
243 = projective for finitely presented modules,
= finite type under Noetherian hypotheses, 675
241 = torsion-free for PID, 673
= finite type under Noetherian hypotheses, and blowing up, 670
288 at a point, 667
algebra (ring map), 242 commutes with base change, 686
algebra (ring map), 241, 241, 242, 581, 687 constancy of Euler characteristics, see Euler
essentially, 687 characteristic, constant ...
modules, see modules, finitely presented constancy of fiber arithmetic genus, 690
morphisms, 234, 241, 453, 664, 675, 683, 697, constancy of fiber degree, 690
700, 708, 709, 717–720 constancy of fiber dimension, 690
= “finite in all ways”, 243 equational criterion, 672
affine-local on source, 242 faithful, see faithful flatness
Chevalley’s Theorem, 245, 288 fiber dimension well-behaved, 669, 690
locally pullbacks of nice morphisms, 288 fibral, 688, 688
preserved by base change, 289 flat limit, 676, 676, 678, 679
810 The Rising Sea: Foundations of Algebraic Geometry
explicit example, 676 formal power series ■, see power series,
Going-Down Theorem, see Going-Down formal
Theorem, for flatness formal scheme ■, 17, 753
good behavior of fiber dimension, 681 formally étale ■, 700, 700, 747
ideal-theoretic criteria, 665, 670, 672, 672, formally smooth ■, 700, 700
673, 684, 685, 749 formally unramified ■, 606, 700, 700
finitely generated version, 673 Four Squares Theorem ■, 219
stronger form, 749 fraction field ■, see also total fraction ring
implies constant Euler characteristic, see (total quotient ring), 32, 139, 158, 163, 164,
Euler characteristic, constant in 217, 301, 302, 378–380, 442, 594
projective flat families fractional ideal ■, 395, 400, 441
implies torsion-free, 666, 671, 673, 684, 686, fractional linear transformations ■, 426, 538
739 free resolution ■, see resolution (complexes),
infinitesimal criterion, 686 free
local criterion, 665, 684, 684, 686, 687, 707, free sheaf, 177
720 free sheaf ■, 395
more general version, 684 Freyd-Mitchell Embedding Theorem ■, 51, 51
no higher Tor, 685 Frobenius ■, 523
no higher Tor, 642, 643, 664, 670–673 Frobenius ■, 523
of affine space, 665 absolute, 241
of completion, 686, 748 full functor ■, see functor, full
of free modules, 665 full rank quadratic form ■, see maximal rank
of localization, 665 (quadratic form)
of modules, 56, 665 full subcategory ■, see subcategory, full
of open embeddings, 667 fully faithful functor ■, see functor, fully
faithful
of projective modules, 665
Fulton, W. ■, 634
of quasicoherent sheaf over a base, 667
function field ■, 215
of relative dimension n, 681
function field ■, 158, 171, 195, 215, 217, 219,
of relative dimension n, 682, 695, 696, 739
298, 301, 303, 304, 334, 336, 337, 354, 379,
preserved by base change, 682
387, 457, 460, 530, 533, 572, 608, 611, 630
of ring morphism, 665
determines irreducible regular projective
open condition, 684, 684
curve, 459
open in good situations, 665, 680
functions
over a field, 665 global, 76
over Discrete Valuation Rings (criterion), on a ringed space, 76
665, 673, 687 on a ringed space, 76
over dual numbers, 665, 668, 673 on an open subset, 76
over integral domains, 665, 666 functions ■
over principal ideal domains, 665, 666, 673 on a ringed space, 76
over regular curves, 675 functions ■, see also differentiable functions,
preserved by base change, 666, 668 194
sends associated points to associated = map to A1 , 221
points, 668 multiplicity at regular point, 630
slicing criterion, see slicing criterion, for on a scheme, 100
flatness on a scheme, 137
stalk-local, 667 on projective space, 144
stalk/prime-local property, 666 value at a point, 138
topological aspects, 665, 679 value at a point, 100, 139
transitivity of, 666, 668 functor, see also derived functors
valuative criterion, 675 additive, 49, 49, 54, 57, 645–648, 656
variation of cohomology, 677 category, 39, 53, 277
flex ■, 547, 548 composition of, 28
forgetful functor ■, see functor, forgetful contravariant, 29
form of degree d, 149 covariant, 28
formal neighborhood ■, 747, 753, 753, 755, effaceable, 646
765 exact, 55
formal power seeries, 41 faithful, 29, 30, 40, 47, 51, 318
April 1, 2023 draft 811
forgetful, 28 generic smoothness ■, 121, 594, 701–703
full, 29, 30, 40, 47, 51, 318 of varieties, 594
fully faithful, 29 on source, 702
identity, 28 on source, 701, 701, 702
left-exact, see left exact on target, 701
natural isomorphism, 30 generically finite ■, 287, 630
natural transformation, 30, 30, 39, 46, 57, 77, implies generally finite, 355, 683
277, 278, 464, 646, 770 generically separable morphisms ■, see also
of invertible functions, 222 separable finite morphisms, 608
of maps, 29 generization ■, 120, 120, 155, 164, 245, 681
of points, 29, 209, 210 genus ■, 505
representable, 38, 39, 221, 221, 222, 277–279 arithmetic, 497, 507, 509, 541, 602, 611, 663,
right-exact, see right-exact 664, 690, 717, 751, 757
functors = topological, 498
right-exact constant in projective flat families, 690
do not always commute with colimits, 58 geometric, 596, 602, 602, 751
fundamental groupoid ■, 26 = topological, 611
fundamental point (of rational map) ■, 319 is birational invariant, 601, 602
Fundamental Theorem of Elimination Theory topological, 498
■, 243, 248, 248, 249, 259, 323, 351, 373, geometric fiber ■, see fiber, geometric
432, 486, 691 geometric genus ■, see genus, geometric
Geometric Nakayama’s Lemma ■, see
GAGA ■, 604, 663 Nakayama’s Lemma, geometric version
Galois cohomology ■, 176 geometric Noether normalization ■, see
Galois theory ■, 281 Noether normalization, geometric
Galois theory ■, 103, 106, 112, 280, 281, 305, geometric point ■, 291, 291, 292, 325, 326, 537,
339, 340, 368, 533, 546, 611, 664, 730 696, 697
Gauss’s Lemma ■, 165, 166 geometrically connected ■, 291, 292, 295, 296,
Gaussian integers Z[i] ■, 165, 286, 303, 371, 603, 611, 708, 709
379 geometrically integral ■, 291, 292, 293, 297,
general point ■, 335 325, 502, 523, 526, 529, 530, 551
general fiber, see also generic fiber, 287 geometrically irreducible ■, 291, 292, 293, 325,
general flatness ■, 682 459, 502, 526, 572, 603, 606
general point ■, 375 geometrically reduced ■, 291, 292, 297, 298,
general point ■, 121, 375, 631, 730 324, 325, 708, 709
general type (variety) ■, 351, see also Germain, S. ■, 101
trichotomy (classification of varieties), germs ■, 72, 73
603, 603 compatible, see compatible germs
generated by a finite number of global determine section of sheaf, 80
sections, see global generation (of of smooth functions, 70
quasicoherent sheaf) ,finite global functions, 76
generated by global sections, see global global generation (of quasicoherent sheaf) ■
generation finite
generated in degree 1, 149, 445, 472 every finite type quasicoherent sheaf on
generic fiber, 284 every affine scheme, 450
generic smoothness ■ global generation (of quasicoherent sheaf) ■,
on target, 703 see also base-point-freeness, 449, 450, 515
generic fiber, see also general fiber, 287 at a point, 450
generic flatness ■, 701 every quasicoherent sheaf on every affine
generic flatness ■, 121, 682–684 scheme, 450
improved version, 683 finite, 450
Generic Freeness Lemma ■, 682, 682, 683 open condition, 450
generic point ■, 101, 155, 158 preserved by ⊗, 428, 450
generic point ■, 103, 108, 112, 113, 118, 120, relative, 456, 477
120, 121, 126, 133, 139, 140, 143, 158, 171, for locally ringed spaces, 477
172, 195, 215, 217, 239, 244, 245, 252, 281, with respect to π, see globally generation,
284, 285, 287, 329, 332, 334, 338, 344, 354, relative
379, 400, 406, 407, 411, 433, 434 global section, 72
812 The Rising Sea: Foundations of Algebraic Geometry
gluability axiom ■, 73, see also base gluability Grauert’s Theorem ■, 706, 707, 707, 709, 711,
axiom, 131 713, 714, 717
gluing Grothendieck composition-of-functors
morphisms of locally ringed spaces, 205 spectral sequence ■, 648
morphisms of ringed spaces, 202 Grothendieck composition-of-functors
morphisms of schemes, 207, 275, 277 spectral sequence ■, 648, 648, 649,
morphisms of topological spaces, 74 651–653, 777
gluing ringed spaces along open sets ■, 141 Grothendieck functor ■, 222
gluing schemes ■ Grothendieck group of coherent sheaves on X
along closed subschemes, 429 (K(X)) ■, 572
along open subsets, 141, 429 Grothendieck topology ■, 175, 176, 664, 694
Gödel-Bernays set theory ■, 30 Grothendieck’s “six operations” ■, 780
Godement, R. ■, 653 Grothendieck’s Coherence Theorem ■, 323,
Going-Down Theorem ■ 410, 449, 477, 483, 484, 512, 518, 518–520,
for finite extensions of integrally closed 572, 713, 752, 756, 765–767
domains, 339 for projective morphisms, 485
for finite extensions of integrally closed Grothendieck’s form of Zariski’s Main
domains, 338 Theorem ■, 758
Going-Down Theorem ■, 232 Grothendieck’s Generic Freeness Lemma ■,
for finite extensions of integrally closed see Generic Freeness Lemma
domains, 233, 338, 339, 339, 680 Grothendieck’s Theorem ■, 503
for flat morphisms, 339, 679, 680, 681 Grothendieck, A. ■, 11, 12, 14, 17, 23, 25, 48,
for integral extensions of integrally closed 59, 67, 96, 97, 110, 120, 153, 211, 227, 235,
domains, 339 277, 307, 388, 389, 474, 492, 503, 639, 653,
Going-Up Theorem ■, 232, 331, 339, 680 663, 718, 758, 773
graded ideal, see homogeneous ideal calls Serre a bastard, 769
graded modules Grothendieck-Riemann-Roch Theorem ■, 564
saturation, 418 group (perverse definition) ■, 26
graded rings ■, 48, 147, 149, 212 group law on elliptic curve ■, see elliptic
Z-, 149 curves, group law
= Z≥0 -graded ring, 149 group object (in a category) ■, 222, 222
assumptions on, 149 group variety/scheme ■, 221, 222, 223,
finitely generated over A, 149 223–225, 324, 324, 326, 428, 466, 551, 555,
generated in degree 1, 149 702, 703, 710
maps of, 212 abelian, 223
over A, 149 action, 225, 428, 466, 702
graph (of a) morphism ■, 313 transitive, 702
graph (of a) morphism ■, 313 morphism of, 224
graph (of a) morphism ■, 521, 568 structure on elliptic curves, 553
is a locally closed embedding, 313, 521 groupification ■, 46, 48
to a separated scheme is a closed groupoid ■, 26
embedding, 313, 521
graph of a morphism, 521 Hairy Ball Theorem ■, 597
graph of a morphism γπ , 313 Harris, J. ■, 664
graph of a rational map ■, 313, 319, 320, 631, Hartogs’s Lemma ■, see also Algebraic
632 Hartogs’s Lemma, 141, 347
Grassmannian Hausdorff ■, 98, 307
tautological bundles, 464 Hausdorff ■, 118, 142, 146, 211, 307, 307, 311,
Grassmannian ■, 154, 225, 225, 226, 226, 428, 312, 321
462–464, 466, 600, 601, 717, 718, 720, 721, height, see codimension
726, 727 height ■, see codimension
G(2, 4) = G(1, 3), 342, 465, 466 Hensel’s Lemma ■, 747
G(2, 5), 550 Hermitian metric ■, 453
as moduli space, 462 higher pushforward, 653
bundle, 466, 466, 601 higher direct image sheaf, see sheaf, higher
functor, 462, 463 pushforward
universal exact sequence, 464 Hilbert Basis Theorem ■, 124, 124
universal vector bundle, 601 Hilbert function ■, 124, 505, 505, 509, 542, 689
April 1, 2023 draft 813
of coherent sheaf, 505 hyperplane, 148, 257, 258, 336, 342, 344,
of projective scheme, 505 372–375, 424, 425, 427, 428, 439, 440, 506,
Hilbert polynomial ■, 483, 505, 505–507, 509, 508, 509, 527, 536, 541, 550, 774
510, 541, 562, 564, 663, 718 universal, 703
locally constant in flat families, 690 hyperplane class, 437, 509
Hilbert scheme ■, 664, 717, 718, 721, 730 hypersurface, 105, 146, 148, 257, 257, 258, 260,
Hilbert Syzygy Theorem ■, 124, 449, 506 267, 332, 337–339, 341, 342, 344, 349–351,
Hilbert’s (Weak) Nullstellensatz ■, see 364–366, 369, 371, 373, 375, 389, 428, 440,
Nullstellensatz 466, 485, 507–509, 511, 550, 562, 603, 717,
Hilbert’s fourteenth problem ■, 560 720, 721, 725, 726, 737, 740, 780, 786
Hilbert, D. ■, 105, 124, 449 degree, 257
Hironaka’s Theorem ■, 629, 632, 765 discriminant, 725
Hironaka, H. ■, 323, 691 quadric, see also quadric surface, 257
Hirzebruch surface ■, see also ruled surface
Hirzebruch surface ■, 473, 473, 569, 627, 751, I-adic completion ■, 745
763, 764 I-adic filtration ■, 390
Hirzebruch-Riemann-Roch Theorem ■, 564 I-adically separated ■, 746
Hodge bundle ■, 710, 711 I-depth ■, see depth
I-filtration of a module ■, 390
Hodge diamond ■, 604, 605, 765
I-stable filtration ■, 390
Hodge Index Theorem ■, 501, 570, 571
ideal
Hodge numbers ■, 404, 604, 604, 605, 706
graded, see homogeneous ideal
invariance of some, 604
ideal ■
not all are birational invariants, 605
irrelevant, 150
of projective space, 604
ideal sheaves ■, 174
Hodge theory ■, 601, 604, 706
ideal ■, see also different ideal, see also
homogeneous element ■, 149
discriminant ideal
homogeneous ideal, 149, 165, 360, 418, 446,
extension of, 280
447
graded, see homogeneous ideal
homogeneous ideal ■, 149
homogeneous, see homogeneous ideal
homogeneous space ■, 702 irrelevant, 149, 151, 258, 262
homology ■, 52 minimal prime, see minimal prime ideal
commutes with exact functors, see also of denominators, 164, 164, 165, 348, 348
FHHF Theorem, 56 of nilpotents, 700
commutes with filtered colimits in ModA , product of two, 114
58 ideal sheaves ■, 252
homomorphism (in additive category) ■, 49 ideal sheaves ■
homotopic maps of complexes ■ product of, 670
give same map on homology, 53 product of, 444, 587, 622
homotopic maps of complexes ■, 53, 641 idempotent, 208, 295
give same map on homology, 641 idempotent ■, 117, 295, 743, 755
Hopf algebra ■, 225 idempotent-connectedness package, 208
Horrocks, G. ■, 503 idempotent-connectness package, 295
horseshoe construction ■, 642, 651 idempotent-connectness package, 117
Hurwitz’s Automorphisms Theorem ■, 612 identity axiom ■, 131
hypercohomology ■, see cohomology, of a identity axiom ■, 73, see also base identity
double complex axiom
hyperelliptic identity functor ■, 28
curves, 523, 532, 532, 534, see also curves, identity morphism idA ■, 26
nonhyperelliptic, 535–540, 548, 550, 551, image (of morphism in a category), 50
597, see also Riemann-Hurwitz formula, image (of morphism of schemes)
hyperelliptic, 598 of proper is proper, 322
differentials on, 597 scheme-theoretic, see scheme-theoretic,
moduli spaces, 536 image
most not if g > 2, 535 set-theoretic, 244
involution, 551 image closed subscheme, see scheme-theoretic
map, 533, 535, 536 image
unique for g ≥ 2, 536 image presheaf ■, 79
814 The Rising Sea: Foundations of Algebraic Geometry
immersion integral morphisms of rings ■, 230
(differential geometry), 693 preserved by composition, 231
of manifolds, 99 preserved by localization of source,
of schemes (unwise terminology), 255 quotient of source and target, 230
incidence correspondence/variety ■, 342, 372, integral scheme ■, 158
725, 726 = irreducible and reduced, 158
inclusion-exclusion via cohomology of almost stalk-local property, 159, 161
sheaves ■, 659 integrally closed ■, see also integral closure,
indeterminacy locus ■, 319 163
index category ■, see category, index intersection, see scheme-theoretic, intersection
index of symmetric bilinear form ■, 571 intersection number/product of L1 , . . . , Ln
indicator sheaf ■, 83 with F ■, 564
induced reduced subscheme ■, see reduced intersection number/product of L1 , . . . , Ln
subscheme structure with F ■, 564
inductive limits ■, see colimits locally constant in flat families, 690
infinite disjoint union of schemes ■, see also intersection number/product of L1 , . . . , Ln
disjoint union of schemes, 133, 138, 141, with F ■
158, 175, 264, 267, 748 deformation invariance, 561
infinitesimal neighborhood ■, see formal intersection number/product of L1 , . . . , Ln
neighborhood with F ■, 561, 561–565, 571–573
initial object ■, see object, initial is symmetric multilinear, 562
injective ■, see also resolution (complexes), on a surface, 566
injective intersection theory ■, 427, 635, 663, 724
objects on a surface, 566
closed under direct product, 653 inverse image
in abelian category, 644 scheme, see scheme-theoretic, pullback
preserved by right adjoints, 656 scheme-theoretic, see scheme-theoretic,
injective limits ■, see colimits inverse image
injective maps of rings induce dominant sheaf, 90, 90, 91, 410, 414
maps of schemes, 117 construction, 91
injective morphisms of schemes not exact, 92
preserved by base change ■, see also left adjoint to pushforward, 90
universally injective (radicial)
right adjoint to extension by zero, 93, 654
morphisms, 290
inverse image scheme, see scheme-theoretic
integral closure, see also normalization
preimage
integral closure
inverse image sheaf
finiteness of, 305
stalk-local nature, 92
integral closure ■, 234
inverse limit ■, see limit
integral closure ■, 301–304, 339, 348, 757
invertible sheaf ■, see line bundles
finiteness of, 305
irreducible component, 127
finiteness of, 304, 457, 460
irreducible ■, 117, 117, 155
of Noetherian need not be Noetherian, 304
component, see component, irreducible
integral element of B-algebra ■, 230
criterion to be, 354
integral extension, 230
irreducible object in abelian category, 181
integral extensions of rings ■, 230, 339
irregularity (surface) ■, 605
does not imply finite, 231
irrelevant ideal ■, see ideal, irrelevant
preserved by localization of source, 230
integral morphisms Ischebek, F. ■, 736
reasonable class, 289 isomorphism ■
integral morphisms ■, 239 in a category, 26
affine-local, 239 of schemes, 137
are affine, 239 of ringed spaces, 137
are closed, 239 of schemes, 206
fibers of, 240, 330
need not be finite, 239 j-invariant ■, 554
preserved by base change, 289 and cross-ratio, 544
preserved by base change, 240 j-invariant ■, 534, 542, 545, 546, 548, 554
preserved by composition, 239 Jacobian
April 1, 2023 draft 815
criterion, 362, 364–366, 368, 370, 383, 533, Krull’s Principal Ideal Theorem ■, 271, 335,
582, 583, 594, 595 343, 343–346, 349, 358, 364, 371, 375, 506,
for projective hypersurfaces, 369 738
for smoothness, 698 for tangent spaces, 359
description of Ω, 583, 592 Krull, W. ■, 343, 364
map, 362, 371 Kummer, E. ■, 603
matrix, 362, 362, 363, 365, 373, 374, 381, 383, Künneth formula for quasicoherent sheaves
582, 583, 608, 698 ■, 495
Jacobian corank function, 364
Jacobian corank function, 362, 362, 363, 365 Larson, E. ■, 714
Jacobian test for projective hypersurfaces ■, Lasker, E. ■, 195
369 Lefschetz principle ■, 604, 706
Jacobson radical ■, 233 left derived functors ■, see derived functors,
joke (bad) ■, 12 left
joke (bad) ■, 40, 42, 44, 601 left-adjoints, 45
Jordan-Hölder package, 180 are right-exact, 56
Jordan-Hölder Theorem, 181 left-exact, 54, 55
T 0 , 646
Hom, 55
K2 ■, 603
Hom , 89
K3 surface ■, 602, 603, 603
and derived functors, 481
Kähler differentials, see differentials, 591
and FHHF Theorem, 56
universal property, 581, 589, 591
and right derived functors, 644
Kähler, E. ■, 603
and universal δ-functors, 646
Kedlaya, K. ■, 11
e.g., right adjoint, 57
kernels ■, 50, see also universal property, of limits, 56
kernel
not ⊗, 34
are limits, 56 not pullback, 415
commute with limits, 57 pushforward, 89
presheaf, 78 right adjoints, 56
Kim, M. ■, 558 sections over U, 89
Kisin, M. ■, 16 Leibniz rule ■, 358, 580, 585, 588, 591
Kleiman’s numerical criterion for ampleness length, 181
■, 501, 570, see also Nakai-Moishezon of a coherent sheaf, 184
criterion for ampleness, 574, 576, 576 length ■
Kleiman’s Theorem ■, 576, 576, 577 finite, 685
Kleiman, S. ■, 702 of dimension 0 scheme, 566
Kleiman-Bertini Theorem ■, 373, 702, 703, length of regular sequence, 269
703, see also Bertini’s Theorem Leray spectral sequence ■, 482, 514, 518, 519,
poor man’s, 703 639, 648, 653, 655
Klein quartic curve ■, 540 Leray, J. ■, 59, 69, 661
Klein, F. ■, 329 Lie groups ■, 325, 326, 724
Knutson, A. ■, 13 limits ■, 40, see also universal property, of
Kodaira dimension κ(X) ■, 603 limit
is birational invariant, 603 are left-exact, 56, 766
Kodaira Embedding Theorem ■, 452 commute with kernels, 57
Kodaira vanishing ■, 483, 604, 604 commute with limits, 56, 57
Kodaira’s criterion for ampleness ■, 452 commute with right adjoints, 56, 57
Kodaira, K. ■, 452, 603 e.g., kernels, 56
Koszul complex ■, 269, 599, 733 projective, 41
Krull dimension ■, see dimension line, 14–16, see also affine line, 100–103, 109,
Krull Intersection Theorem ■, 391, 684, 685, 112, 135, 136, 142, 143, 146–148, 162, 204,
746 217, 252, 257, 258, 258–260, 273, 274, 286,
Krull’s Height Theorem ■, 271, 333, 346, 347, 300, 302, 307, 316, 318, 319, 336, 341, 342,
371, 372, 383 349, 350, 358–360, 367, 370, 371, 374, 375,
Krull’s Principal Ideal Theorem ■, 342 385, 386, 429, 437, 441, 442, 466, 470, 499,
Krull’s Principal Ideal Theorem ■, 343 508, 509, 530–532, 541, 545–549, 551–557,
for tangent spaces, 359 559, 567, see also projective line, 615, 616,
816 The Rising Sea: Foundations of Algebraic Geometry
625, 627, 630, 632, 633, 669, 676, 677, linear space ■, 258, 258, 260, 261, 344, 550, 621,
725–727, 729, see also Fano variety of lines, 780
730–732, 738 Lipman, J. ■, 629
on cone, 359 Littlewood, J.E. ■, 111
tangent, see tangent, line local rings
with doubled origin, 133, 142, see also affine regular, see regular local rings
space, with doubled origin, 143, 162, 307, local ■, see also affine-local, see also stalk-local
313, 316, 318, 319, 385, 386 on the source, 229
line bundles, see also ampleness, 528, 709 on the target, 228
semiample, 455 local finite presentation
line bundles, 17, 153, 174, 210, 347, 395, 396, morphisms
397, 397–401, 404, 419, 420, 422–429, affine-local on target, 242
433–436, 438–441, 443–445, 449, see also local finite presentation, see also finite
very ampleness, 451–453, 456, 464, 470, presentation, 240
472–475, 477, 478, 491, 492, 496–498, see morphisms, 234, 241, 242, 381, 606, 607, 681,
also Picard group, 500, see also Q-line 684, 688, 694–697, 760
bundle, 501–503, 507–509, 515, 516, ”limit-preserving”, 243
526–530, 532, 535–538, 541–544, 547, 548, Chevalley’s Theorem, 288
550, 551, 554, 557–560, 562–565, 567–577, preserved by base change, 289
582, 588, 596, 597, 600, 602, 604, 608, 610,
preserved by composition, 243
612, 622–625, 630, 631, 633, 663, 689–692,
local freeness of finitely presented sheaf is
703, 706, 709, 710, 720, 721, 762, 769, 770,
stalk-local, 406
772, 786
local isomorphism, 693
additive notation, 565
local on the target
algebraically equivalent, see algebraic
O-connected morphisms, 708
equivalence
local rings ■, 18
and maps to projective schemes, 423
morphisms of, 205, 680
base-point-free, see base-point-freeness
localization ■, see also universal property, of
degree, 562
localization, 31, see also universal
additive in exact sequences, 610
property, of localization, 388
degree 0, 526
commutes with direct sums, 33
degree 2g − 2, 526
is exact, 55–57, 608, 665
globally generated, see global generation (of
quasicoherent sheaf) is flat, 665
nef, 500, see also nef cone, 501, 577 need not commute with Hom, 33, 55
cone, 501, 568 need not commute with infinite products,
negative degree, 526 33
numerical equivalence, 500 of schemes are monomorphisms, 281
numerical property, 500 preserved by base change, 281
numerically effective, see line bundles, nef locally closed embeddings ■
numerically trivial, 500, 500, 570, 572, 691 finite intersections of, 280
on projective schemes, 422 locally free sheaf ■, 396
on projective space locally closed subscheme, 255
cohomology, 492 locally closed embeddings
total space, see total space, of line bundle are monomorphisms, 255
twisting by, 422 preserved by composition, 255
very ample, see very ample reasonable class, 289
line sheaf ■, 397 locally closed embeddings ■, 307, 374
linear form ■, 166, 540, 550, 553, 587 locally closed embeddings ■, 228, 251, 254,
linear independence of characters ■, 280, 305 254–256, 266, 267, 271, 280, 281, 293, 308,
linear series ■, 424, 568, 570, 630, 631, 703, 310, 311, 318, 386, 590, 606, 703
704, 725 are locally of finite type, 255
(non)degenerate, 424, 424 are monomorphisms, 281
anticanonical, 732 finite intersections of, 255, 280
canonical, 536 preserved by base change, 280
complete, 424, 426, 428, 525, 536, 550, 553, preserved by composition, 256
762 locally closed immersions ■, see locally closed
always nondegenerate, 424 embeddings
April 1, 2023 draft 817
locally closed subschemes ■, see also locally Lying Over Theorem ■, 231, 232, 239, 302, 336,
closed embeddings, 254 339, 354, 387
locally closed subset ■, 244
locally constructible subsets ■, see also MacPherson, R. ■, 634
constructible subsets, 288 magic diagram, see Diagonal-Base-Change
locally finite presentation diagram
morphism, 695 manifold, 140
locally finite type complex, 140
A-scheme, 161 differentiable, 140
morphisms, 240 smooth, 140
are affine-local, 240 manifolds, 13, 18, 25, 69, 74, 76, 97–100, 139,
preserved by base change, 289 201, 204, 211, 221, 225, 227, 307, 329, 381,
preserved by composition, 240 395, 398, 400, 560, 580, 587, 590, 693
to locally Noetherian schemes, 241 analytic, 71, 97
over a ring, 161 complex, 99, 109, 141, 180, 211–213, 219,
locally finitely presented morphisms 321, 438, 453, 558, 594, 616
reasonable class, 289 differentiable, 71, 97–99, 201, 202, 358, 361,
locally free resolution ■, see resolution 381
(complexes), locally free immersion, see immersion, of manifolds
locally free sheaf ■, see also vector bundle, morphisms of, 98
395, 397, 398 submersion, see submersion
= finitely presented sheaf with free stalks, vector bundle on, 395
406 map (in a category) ■, 26
associated to vector bundle, 469 mapping cone ■, 61, 66, 66, 490, 712, 714
rational/regular section, 401 Max Noether’s AF + BG Theorem ■, 738
locally of finite presentation, see local finite maximal rank (quadratic form) ■, 369
presentation maximal ideal, 127
locally of finite type ■, see locally finite type maximal rank (quadratic form) ■, 167
locally of finite type morphisms maximal rank (quadratic form) ■, 260, 300
reasonable class, 289 maximum principle ■, 323
locally principal closed subscheme, see closed McLarty, C. ■, 9, 96, 97
subscheme, locally principal minimal models of surfaces ■, 764
locally principal Weil divisor, see divisor, minimal prime, 127, 192
locally principal minimal prime ideal ■, 126, 126, 127, 191, 297,
locally ringed spaces, 202 331, 343, 348, 743
morphisms glue, 205 = irreducible component of Spec A, 126
locally ringed spaces ■ Noetherian ring has finite number, 127
affine schemes as examples, 205 Miracle Flatness Theorem ■, 733, 738, 739, 780
locally ringed spaces ■, 100, 138, 139, 204–207, algebraic version, 738
222, 361, 397, 430 Möbius strip ■, 395
morphisms of, 205, 477 modular curve ■, 544
locus where two morphisms agree ■, 317, 319, modular form ■, 544
325, 326 modules ■
long exact sequence, 54, 59, 61, 62, 66, 481, coherent, 195
482, 484, 487–490, 494, 496, 497, 503, 504, finitely generated
511–513, 527, 573, 576, 584, 641–645, 655, over Discrete Valuation Rings, 401
656, 661, 673, 679, 735, 766, 768, 776, 777 finitely presented, 195
for Ext, 644, 734–736, 774 “finitely presented implies always
for Ext-functors of O-modules, 774 finitely presented”, 179
for Tor, 640, 641, 671 graded, 446
for higher pushforward sheaves, 512, 719, modules ■
720 category ModA has enough injectives, 644,
in cohomology, 772 645
lower semicontinuity, see semicontinuity classification of finitely generated over
lower semicontinuity ■, see semicontinuity DVRs, 598
Lüroth’s Theorem ■, 546, 611, 611 Cohen-Macaulay, see also
Lutz-Nagell Theorem ■, 559 Cohen-Macaulayness, 736
818 The Rising Sea: Foundations of Algebraic Geometry
coherent, see also coherent sheaves, 178, 179, dominant, 215
195–197 from Spec of local ring, 209
Homs are coherent, 197 manifolds, 98
form an abelian category, 197 of (pre)sheaves, 77
over non-Noetherian rings, 195 of graded rings, 212
depth, see depth of group schemes, 224
finitely generated of local rings, 205
over principal ideal domains, 666 of locally ringed spaces, 205
finitely generated, see also finite type glue, 205
quasicoherent sheaves, 178 of ringed spaces, 202
over a principal ideal domain, 18, 407 glue, 202
over Discrete Valuation Rings, 380, 407, of schemes, 14, 204, 206
422, 462, 543, 598 glue, 205, 207, 275, 277
finitely presented, 55, 178, 195–197, 581, 674, of sheaves
675 determined by stalks, 81
= coherent for Noetherian rings, 197 of topological spaces
“finitely presented implies always glue, 74
finitely presented”, 179 quasiaffine, see quasiaffine morphisms
“finitely presented implies always multiplicative group, 222
finitely presented”, 674 multiplicative subset ■, 31
and commutation of localization and multiplicity of function at regular point ■, 630
Hom, 33 multiplicity of zero or pole ■, see order of
graded, 418 pole/zero
flatness, see flatness Mumford, D. ■, 11, 110, 577, 663, 711
free implies projective implies flat, 665
graded, 48, 417, 443, 445, 446, 449, 767 Nagata’s Compactification Theorem ■, 759
quasicoherent sheaf corresponding to, Nagata’s Lemma ■, 165, 442, 442
417, 445 Nagata, M. ■, 333, 336
saturated, see saturated S• -module Nagell-Lutz Theorem ■, 559
Noetherian, see Noetherian, module Nakai-Moishezon criterion for ampleness ■,
of Kähler differentials, see Kähler 528, 561, 565, see also Kleiman’s numerical
differentials criterion for ampleness, 574, 574–577
projective, 643 Nakayama’s Lemma ■, 271
topological, 746, 765 Nakayama’s Lemma ■, 230, 233, 234, 234, 347,
moduli space ■, 226, see also parameter space, 368, 376–378, 384, 391, 406, 408, 450, 525,
386, 387, 425, 536, 539, 541, 542, 544, 545, 598, 607, 633, 674, 699, 708, 736
551, 664, 710, 717, 718, 724, 727, 730 geometric version, 406, 408
of curves, 542 natural isomorphism of functors ■, 30
monoid, 26 natural transformation of functors ■, see
monoidal transformation ■, see blow-up functor, natural transformation
monomorphisms nef, see line bundles, nef, 576
e.g. closed embeddings, 253 nef cone, 500, 501, 501, 568, 570, 576, 577
e.g. locally closed embeddings, 255 Néron-Severi group NS(X) ■, 500, 691
e.g. open embeddings of schemes, 202, 229 Néron-Severi Theorem ■, see Theorem of the
reasonable class of morphisms, 310 Base (Néron-Severi Theorem)
monomorphisms ■, 50, 293 Nietzsche, F. ■, 23
monomorphisms ■, 38, 38, 49–52, 83, 84, 88, nilpotent ■, 157
281, 284, 293, 646, 647 nilpotent ■, 13, 110, 111, 111, 115, 117, 133,
diagonal characterization, 38 145, 157, 174, 191, 211, 267, 330, 532, 700,
preserved by composition, 38, 281 740
Mordell’s conjecture (Faltings’ Theorem) ■, nilradical, 127
536 nilradical ■, 111, 114, 119, 157, 174, 215, 233,
Mordell-Weil Theorem, group, and rank ■, 267
543, 558 is intersection of all primes, 111
morphisms, 25, 201 nodal cubic, 302, 624, 627, 664, 675, 677–679
and tangent spaces, 361 normalization of, 302, 677
criterion to be a closed embedding, 523, 524 nodal cubic curve, 238
diagonal, see diagonal morphism node, 302, 369, 369, 370, 630, 745, 749, 749, 751
April 1, 2023 draft 819
normalization, 524 normal form for quadrics, see diagonalizing
Noether normalization ■, 457 quadratic forms
geometric, 336 normal ring
Noether normalization ■, 305, 334, 335, 335, stalk-local, 163
337, 338, 353, 354 normal (scheme) ■, 164
Noether, E. ■, 195, 304 normal (scheme) ■, 141, see also
Noether, M. ■, see also Max Noether’s normalization, 163–167, 301, 303–305,
AF + BG Theorem, 738 347, 348, 360, 379, 389, 401, 433, 435–439,
Noether-Lefschetz Theorem ■, 342 441, 442, 533, see also Serre’s criterion for
Noetherian, see also scheme, locally normality, 733, 740, 742, 756, 757, 760
Noetherian implied by factorial, 165
conditions, 517 may not be UFD, 167
hypotheses, 14, 17, 125, 153, 191, 248, 269, need not be integral, 164
271, 272, 343, 376, 410, 453, 454, 478, 483, normal bundle, 566, 568, 569, 587, 590, 600,
485, 515, 517, 607, 676, 681, 683, 684, 687, 624, 625, 629, 761
688, 695, 708, 710, 713, 716, 719, 755, 760, projectivized, 623, 625
761 to effective Cartier divisor, 444, 587
induction, 122 to exceptional divisors, 624
local ring, 269, 333, 338, 346, 347, 363, 376, to regular embedding, 588
377, see also discrete valuation rings, 378, normal cone, 624, 634
389, 391, 607, 668, 684–686, 733–737, 739, projective completion, 634
741, 746, 754 normal exact sequence for smooth varieties ■,
has finite dimension, 333, 347 595
module, 124, 124 normal ring, 163
rings, 118, 122, 123, 123–125, 127, 150, normal sheaf to subscheme ■, see also normal
160–162, 165, 178, 180, 191, 195, see also bundle
Noetherian, local ring, 269, 271, 288, normal sheaf to subscheme ■, 587, 786
303–305, 330, 343, 345, 347, 363, 379, 390, to regular embedding is locally free, 588
391, 515, 682, 714, 733, 740, 746, 748 normality
finite number of minimal primes, 127 stalk-local, 163, 164, 741
finitely generated module over, 188, 190 normalization, see also integral closure
important facts about, 123, 124 finiteness of, 305, 457, 460
infinite-dimensional, 330, 333, 347 normalization ■, 237, see also universal
scheme, 160, 161, 162, 164, 165, see scheme, property, of normalization, 301, 301–303,
Noetherian, 312 305, 331, 380, 386, 459, 460, 467, 468, 470,
fibered product need not be Noetherian, 471, 516, 533, 539, 602, 606, 675, 677, 751,
274 757, 762, 774
finite number of irreducible components, in field extension, 304
161 in field extension, 303, 304, 305, 371, 457
with ring of sections not Noetherian, 560 is birational morphism, 302, 305
topological space, 122, 122–124, 155, 161, is integral and surjective, 302
244, 492 not flat, 675
finitely many irreducible components, of cusp, 523, 606, 681
122 of node, 460, 524
Noetherian topological space, 155 Nullstellensatz ■, 105, 105, 106, 112, 113, 119,
non-affine scheme (example) ■, 138, 141, 143, 120, 126, 156, 211, 243–245, 247, 248, 274,
144 290, 334, 368, 543
non-archimedean ■, 176, 180, 196, 377 from dimension theory, 334
non-zerodivisor ■, 32, 268–271, 444, 620, 623, number field ■, see also ring, of integers in
626, 631, 665, 668, 686, 734, 735, 737–739, number field, 303
742 numerical equivalence, 500
nondegenerate linear series ■, see linear numerical criterion ■
series, (non)degenerate for ampleness, see Kleiman’s numerical
nonprojective proper variety ■, see proper criterion for ampleness
nonprojective variety (examples) for line bundle on curve to be
nonquasiseparated scheme (example) ■, 157 base-point-free, 527, 528
nonreduced scheme (example) ■ , 157 for line bundle on curve to be very ample,
nonsingular ■, see regular 528
820 The Rising Sea: Foundations of Algebraic Geometry
numerical equivalence, 500, 563, 574 Pappus of Alexandria, 530, 545
implied by algebraic equivalence, 691 Pappus of Alexandria ■, 530
numerically effective, see line bundles, nef Pappus’s Theorem ■, 530, 531, 532
numerically trivial line bundles Picτ X, see parabola ■, 104, 107–109, 121, 136, 284–286,
line bundle, numerically trivial, 500 292, 461, 509, 693
parameter space ■, see also moduli space, 341,
object ■ 342, 350, 499, 710, 718, 721, 725
initial, 41, 93 partial flag variety ■, see flag variety
object ■ partially ordered set ■, 27, 27, 28, 40, 41, 43,
acyclic, 774, 777 121, 349
final, 31, 31, 36, 73, 74, 208, 222, 235, 281, partition of unity ■, 130, 163, 230, 489
307, 423, 462, 618 Pascal’s “Mystical Hexagon” Theorem ■,
in category of schemes, 208 530–532, 724
in a category, 25 Pascal, B. ■, 530
initial, 31, 31, 49 perfect pairing of vector bundles ■, 404
zero, 31, 31, 49, 224 Pfaffian ■, 550
Oka’s Theorem ■, 180, 196
Picard group ■, 399, 400, 419, 420, 435,
open embeddings
437–441, 444, 497, see also line bundles,
are “reasonable” class, 229
499–501, 543, 554, 557, 560, 566–570, 573,
preserved by base change, 229
633, 691, 710
open set
of Spec of UFD is 0, 438
distinguished, 116, 172, 304
of cone, 441
open cover ■, 70
torsion example, 440
open embedding, 76
Picard number ρ(X) ■, 501, 605, 764
open embeddings ■, 228, 760
finiteness of, see also Theorem of the Base
are flat, 667
(Néron-Severi Theorem), 501
are locally finitely presented, 242
complex case, 501
are locally of finite type, 240
Picasso, P. ■, 111
are monomorphisms, 281
PID ■, see principal ideal domain
are separated, 317
pinched plane ■, 380, 423, 740
base change by, 279
normalization of, 303, 380
of ringed spaces, 202
not Cohen-Macaulay, 741
preserved by base change, 288
plane, 258
open embeddings of schemes
pinched, see pinched plane
are monomorphisms, 202, 229
with doubled origin, see affine space, with
open immersion ■, see open embeddings
doubled origin
open immersions, see open embeddings
plane curves, see curves, plane
open set
Bézout’s Theorem, 508
distinguished, 107, 112, 116, 117, 130, 131,
Plücker ■
138, 140, 144, 152, 159, 160, 167, 169, 172,
embedding, 226, 464–466, 550
174, 175, 206, 213, 236, 264, 281, 319, 352,
equations, 465
402, 412, 417, 440, 490, 512, 559
plurigenus ■, 602
form base for Zariski topology, 116
is birational invariant, 602
projective distinguished, 151, 151
Poincaré, H. ■, 136
open subfunctors, 278
open subscheme, 138, 228, 229 point ■
opposite category, 206, 217, 459 closed, see closed point
opposite category ■, see category, opposite field-valued/ring-valued/scheme-valued,
orbifolds ■, 14, see also stacks, 542 209
order of pole/zero ■, 379 general, see general point
order of pole/zero ■, 378 generic, see generic point
ordinary double point ■, 750 geometric, see geometric point
ordinary multiple (m-fold) point ■, 750 pole ■
orientation of spectral sequence ■ of order n
rightward, 60 for Noetherian scheme, 379
upward, 63 pole ■, 163, 347, 378, 379, 379, 401, 420,
434–439, 461, 497, 526, 530, 559, 596, 597
page of spectral sequence ■, 60 of order n
paleolithic era ■, 375 for DVR, 378
April 1, 2023 draft 821
Poncelet’s Porism ■, 555, 555, 557 products
Poonen, B. ■, 11, 539 of varieties, 315
poset ■, see partially ordered set projection formula ■, 416, 507, 514, 564, 574
power series ■, 746 more general, 565
power series ■, 628, 745, 761 projective
formal, 745 module
preimage, see also scheme-theoretic preimage, = free for finitely generated over local
see also scheme-theoretic preimage, 284 rings, 674
scheme-theoretic, 727 is flat, 643
preserved by composition moduleu
affine morphisms, 235 = direct summand of free module, 643
locally finitely presented morphisms, 243 object in an abelian category, 643
preserved by base change projective transformation, see also projective
not O-connected morphisms, 708 change of coordinates
preserved by products, see reasonable classes projective bundle ■, 625
of morphisms projective module ■, see modules, projective
presheaf ■ projective S-scheme, 432
section of, 71 projective Y-scheme, 474
presheaf ■, 71 projective bundle, 374
cokernel, 79 projective bundle ■, 211, 342, 374, 473, 499,
espace étalé, see sheaf, space of sections 569, 600, 624, 625, 692, 709, 710, 719, 725,
germ, 72, see germ 726, 764
image, 79 projective change of coordinates, see also
kernel, 78 projective transformation
not necessarily sheaf, 73 projective change of coordinates, 426
on a base, 85 projective completion, 262, 635, 678, 679
stalk, 85 of normal cone, 634
quotient, 79 projective cone, 147, 154, 262, 262
separated, 73 relative version, 473
stalk, 72 projective coordinates ■, see coordinates,
prevariety (complex analytic) ■, 211 projective
primary ■ projective limit ■, see limit
decomposition, 195 projective line, 143, see also line, 596, 616, 632
ideal, 195 projective morphisms ■, 727
primary ideal, 195, 343 projective morphisms ■, 432, 460, 467, 474,
prime avoidance ■, 339, 340, 344, 347, 668 474–476, 484, 486, 512, 514, 515, 519, 520,
prime ideal, 127 524, 525, 676, 688, 689, 692, 755, 763, 780
principal divisor, see Weil divisor, principal “sort of” local on the target, 474
principal fractional ideal ■, 400 are proper, 475
principal ideal ■, see also Krull’s Principal not a “reasonable” class, 476
Ideal Theorem, 103, 140, 267, 359, 360, 400 notion not local on target, 692
principal ideal domain, 666 preserved by base change, 474, 475
finitely generated modules over, 666 usually closed under composition, 458, 474,
principal ideal domain ■, 18, 103, 371, 377, 475, 520, 622, 692
380, 401, 422, 501, 543, 665, 673 projective over Y, 474
finitely generated modules over, 18, 407 projective resolution ■, see resolution
principal ideal domains, 666 (complexes), projective
principal ideal domains ■, 407 projective schemes, see scheme, projective
principal Weil divisor, see divsor, principal are proper, 322
principality not affine-local, 267, 268, 559 line bundles on, 422
product ■, see also fibered product, 23, 24, see projective space ■, 144, 152, 419
also universal property, of product, 41 automorphisms, 426, 538
of irreducible varieties over k is irreducible, cohomology of line bundles on, 492
290 coordinates, see coordinates, projective
of quasicoherent ideal sheaves, see ideal functions on, 144
sheaves, product of functorial definition, 424
of schemes, 273 is finite type, 240
isn’t products of sets, 273 is separated, 313
822 The Rising Sea: Foundations of Algebraic Geometry
Serre duality for, 771 occasional right-adjoint π! , 779, 780
Serre duality for, 773 occasional right-adjoint of, 779
tautological bundle, 470 of O-modules, 203
projective transformation, 426 of quasicoherent sheaves, 409
projective variety ■, see variety, projective of quasicoherents
projectivization ■ is exact for affine morphisms, 409
of finite type sheaf, 473 right adjoint to inverse image, 90
of finite type quasicoherent sheaf, see also sheaf, see sheaf, pushforward
normal bundle, projectivized, see also Pythagorean triples ■, 217
tangent cone, projectivized Pythagorean triples ■, 218, 220, 529
of vector space, 153
proper nonprojective variety (examples), 323,
QCoh sub X, 169
429, 568, 691
qcqs (quasicompact and quasiseparated) ■,
proper transform (of blow-up) ■, 567, 616,
234
618, 618, 620, 621, 627–629, 633, 691, 732,
qcqs (quasicompact and quasiseparated) ■,
764
17, 156, 175, 235, 236, 243, 388, 410,
of nodal curve, 627
414–416, 443, 454, 477, 479, 517, 760, 761
proper, finitely presented, flat, geometrically
qcqs = quasicompact and quasiseparated, 156
connected and geometrically reduced
qcqs = quasicompact and quasiseparated ■,
fibers is a reasonable class, 709
234
properness ■, 118, 146, 307, 321, 321, 475
Qcqs Lemma ■, 175, 175, 236
closed under product, 322
quadratic form, see rank, of quadratic form
local on target, 322
quadratic forms, see diagonalizing quadratic
of projective schemes, 322
forms, see maximal rank (quadratic form)
preserved by base change, 322, 326
quadratic trasformation ■, see blow-up
preserved by composition, 322
property Rk , see regular, in codimension k quadric surface, 133
property R0 means generically reduced, 740 quadric hypersurface, 148, 260, 466, 541
property Sk , 740, 740 quadric surface, 146, 165, 166, 219, 260, 300,
S1 means no embedded points, 740 335, 360, 367, 380, 442, 540, 541, 556, 632
pseudo-morphisms ■, 214 cone over, see cone over quadric surface
Puiseux series ■, 377 quartic, 293, 538–541, 548, 602, 625, 724
pullback, see also base change hypersurface, 257
construction via affines, 411 Klein, 540
in cohomology, 482 surface, 342, 602, 625
is not left-exact, 415 most contain no lines, 342, 625
of quasicoherent sheaves, 409 quasiaffine ■
of ideal sheaves, 416 morphisms, 453, 479, 479
= pullback as sheaf for flat morphisms, properties of, 479
417 schemes, 479
of quasicoherent sheaves, 421 = OX ample, 479
explicit construction, 414 quasicoherent sheaves ■, 395
universal property, 412 on projective schemes, 417
of schemes, 283 quasicoherent sheaves ■, 14, see also finite
scheme-theoretic, see scheme-theoretic, type quasicoherent sheaf, 132, 169, 169,
pullback 172, 395, 398, see also finitely presented
universal property, 413, 414 sheaves
pullback diagram/square, 36, see Cartesian characterization by distinguished
diagram/square inclusions, 173
pullback of a section, 414 corresponding to graded modules, 417, 445
pullback of an O-module, 203 corresponding to modules, 169
pure dimension, see equidimensional form an abelian category, 176
purely inseparable extension, 294 globally generated, see global generation
push-pull formula ■, 513 Künneth formula, 495
push-pull map, 92, 203, 513 local nature of, 417
for cohomology, 513 morphisms of, 176
pushforward not all locally free, 401
occasional right-adjoint π! , 784 not necessarily preserved by Hom , 404
April 1, 2023 draft 823
on affines have no derived functor radical ideal ■, 114, 126, 134, 162, 266
cohomology, 659 radical of ideal ■, 114
on ringed spaces, 177 = intersection of primes containing ideal,
pullback of, 414 114
pushforwards usually quasicoherent, 410 commutes with finite intersections, 114
restriction of, 411 radicial morphisms, see universally injective
quasicompact morphisms morphisms, see universally injective
reasonable class, 289 morphisms
quasicompact ■ radicial morphisms ■, see universally
schemes, 155 injective morphisms
quasicompact morphisms ramification
reasonable class, 289 points, 544
quasicompact ■ ramification ■
morphisms, 234 divisor, 608, 612
affine-local on the target, 235 and number of preimages, 610
closed under composition, 234 locus, 606
preserved by base change, 289 order, 610
schemes point, 533, 609, 609
have closed points, 155 tame, 610
topological space, 118 wild, 610
quasifinite morphisms ■, 238, 241, 760 rank ■
from proper to separated is finite, 324 of vector bundle on manifold, 396
how to picture, 241, 760 rank ■
most are open subsets of finite morphisms, of coherent sheaf, 407
760 additive in exact sequences, 407
need not be finite, 241 of finite type quasicoherent sheaf at point,
preserved by base change, 289 407
to fields are finite, 241, 245, 287, 289, 761 of quadratic form, 167, see also maximal
quasiinverse ■, 31 rank (quadratic form)
quasiisomorphism ■, 488, 711–713 rank (of quadratic form), 540
quasiprojective rank of OX -module, 140
morphisms, 475 rankp , 140
scheme, see scheme, quasiprojective rational function ■, 195, 461
variety, see variety, quasiprojective rational function ■, 214, 435
quasiprojective implies finite type, 161 rational function ■, 76, 100–102, 140, 158, 163,
quasiseparated morphisms 194, 194, 195, 214, 217, 220, 221, 319, 347,
reasonable class, 310 379, 434–436, 497, 500, 552, 559
quasiseparatedness, 17, 156, 157, 161, 175, 227, rational map ■, 214
234–236, 243, 308, 310, 310, 312, 313, 387, rational map ■, 214, see also birational,
388, 410, 414–416, 443, 454, 456, 477, 479, (rational) map, see also dominant,
661, 669, 760, 761 215–219, 221, 313, 317, 319, 320, see also
affine-local on target, 235 degree, of rational map, see also graph of
all locally Noetherian schemes, 161 a rational map, 335, 426, 433, 458–460,
e.g., affine schemes, 156 548, 558, 601, 615, 631, 632, 683, 730
e.g., locally Noetherian schemes, 161, 235 rational normal curve ■, 118, 259, 427, 511,
e.g., morphisms from locally Noetherian 535, 536, see also twisted cubic curve
schemes, 235 not complete intersection for d > 2, 511
of topological space, 156 rational point of k-scheme, see k-valued point
preserved by base change, 289 rational point of a k-scheme, see k-valued
preserved by composition, 234 point
Quillen, D. ■, 438 rational section of locally free sheaf ■, 401
Quillen-Suslin Theorem ■, 438 rational variety ■, 215, 625
quotient ■, 51 Raynaud, M. ■, 604
object, 50 reasonable classes of morphisms
presheaf, 79 surjective morphisms, 290
sheaf, see sheaf, quotient reasonable class of morphisms
flat of relative dimension n, 682
radical ideal, 127 reasonable class of morphisms
824 The Rising Sea: Foundations of Algebraic Geometry
finitely presented, 310 reducedness ■, 157
monomorphisms, 310 is stalk-local, 157
quasiseparated morphisms, 310 not open condition in general, 157
universally injective morphisms, 294 of ring, 111
reasonable class of morphisms often open condition, 267
universally closed morphisms, 321 reducible ■, 155
universally injective morphisms, 317 reducible ■, see irreducible
“reasonable” class of morphisms ■, 227 reduction, 499
reasonable classes of morphisms reduction (of scheme) ■, 267
preserved by base change, 227 reduction of a morphism, 306
reasonable classes of morphisms, 308 reduction of a scheme, 306
etale morphisms, 382 universal property, 306
flat morphisms, 668 Rees algebra ■, 390, 622, 766
locally closed embeddings, 289 reflexive sheaf ■, 405, 587
quasicompact, affine, finite, integral, locally regular functions, 76
finite type, finite type, locally finitely regular ■
presented, 289 does not imply smooth, 366
satisfy the Cancellation Theorem, 308 e.g., Ank , 371
smooth morphisms, 382 in codimension 1 (property R1 ), 434
unnramified morphisms, 606 in codimension 1 (property R1 ), 379
reasonable classes of morphisms, 227 in codimension k (property Rk ), 740
closed embeddings, 251 local rings, 363
faithfully flat morphisms, 680 are Cohen-Macaulay, 737
local on the target, 228 are Cohen-Macaulay, 390, 733, 741
preserved by composition, 227 are integral domains, 366
preserved by products, 228 are integrally closed, 389, 733, 741
reasonble classes of morphisms are unique factorization domains, see
quasicompact morpihsms, 289 Auslander-Buchsbaum Theorem
recurring (counter)examples preserved by localization, 364, 388, 389,
x2 = 0 in the projective plane, 511 582, 594, 596, 740, 741
x2 = 0 in the projective plane, 133, 158, 324 of Ank , 372
recurring (counter)examples ring, 363
affine space with doubled origin, 133 scheme, 363
recurring (counter)examples, 15, 133 regular embeddings ■, 267, 271, 271, 272, 345,
k(x) ⊗k k(y), 133 361, 367, 587, 588, 595, 623, 625, 670, 733,
k(x) ⊗k k(y), 282, 341, 682 737, 740, 770, 786
(cone over) quadric surface, 133, 146, open condition, 271
165–167, 219, 257, 260, 300, 335, 360, 367, regular function ■, see function, 194
369, 380, 440–442, 540, 556, 632 regular functions, see functions
affine space minus the origin, 118, 124, 133, regular local rings, 363, 364, 366, 367, 371, 375,
140, 141, 492 376, 378, 379, 388–390, 596, 598, 633, 697,
affine space with doubled origin, 142, 143, 733, 737, 741, 746, 757
157, 239, 307, 313, 316, 318, 319, 385, 386 regular section of locally free sheaf ■, 401
embedded point on line, 133, 136, 157, 185, regular sequence, 184
193, 194, 319, 668 length, 269
infinite disjoint unions of schemes, 133, 138, regular sequence ■, 588
141, 158, 175, 264, 267, 748 regular sequence ■, 267, 268, 269, 269, 271,
Spec Qbar to Spec Q, 241 272, 588, 625, 626, 733–735, 737
Spec Qbar to Spec Q, 133, 231, 239, 241, 274, cohomological criterion for existence, 734
281, 289, 292 maximal, 734
two planes meeting at a point, 133 order matters, 269
two planes meeting at a point, 132, 503, 511, regularity
675, 687, 735–737, 739, 740 stalk-local, 363
reduced subscheme structure ■, 267, 267, 634 relative Proj ■
Reduced-to-Separated Theorem ■, 214, 317, universal property, 470
319, 319, 320, 384, 385, 432, 731 relative Proj ■, 467, 470, 471
reducedness O(1), 472
stalk-local, 157, 161, 163, 298 and affine base change, 470
April 1, 2023 draft 825
commutes with base change, 472 hyperelliptic, 544
finite generation in degree 1, 472 Riemann-Hurwitz formula ■, 523, 533, 547,
relative Spec ■, 467 597, 598, 602, 607, 610, 610–613
relative Spec ■, 467 applications, 610
and base change, 469 hyperelliptic, 533, 534, 535, 537, 598
universal property, 467, 468 Riemann-Roch, 538
relative i-forms, see sheaf of (relative) i-forms for nonreduced curves, 499
relative cotangent exact sequence, 592 Riemann-Roch ■
left-exact in good circumstances, 592 for coherent sheaves or vector bundles, 498
relative cotangent sheaf, 590 for surfaces, 571
relative different and discriminant ideals ■, Riemann-Roch ■, 495, 496, 496, 502, 508, 526,
607 538, 540, 542, 547, 564, 567
relative dimension, 355, 381 Asymptotic, 564, 564, 567, 575
relative tangent sheaf, 590 common formulation, 498
relatively ample, 452, see ampleness, in for nonreduced curves, 499
relative setting for surfaces, 564, 567
relatively base-point-free, see in higher dimension, see
base-point-freeness, in relative setting Hirzebruch-Riemann-Roch Theorem
relatively globally generated ■, see global restatement using Serre duality, 502
generation (of quasicoherent sheaf), vast generalization, see
relative Grothendieck-Riemann-Roch Theorem
relatively very ample ■, see very ample, right adjoints ■, 45, 778
relatively are left-exact, 56
Remainder Theorem ■, 626 commute with limits, 57
representable functor ■, 221, see functor, right derived functors ■, see derived functors,
representable right
residue field κ(p), 139 right-exact, 34, 54, 55
Residue Theorem ■, 461, 773 π−1 , 92
resolution (complexes) ■, see also and derived functors, 481
Cartan-Eilenberg resolution and FHHF Theorem, 56
acyclic, 647 and left derived functors, 644
flat, 647, 687 e.g., left adjoint, 57
free, 640, 647, 670, 687, 776 left adjoints, 56
injective, 647, 649–652, 656, 659, 734, 775, need not commute with colimit, 58
776, 778, 784 tensor product, 34, 55
locally free, 775, 776, 785 rightward orientation (of spectral sequence)
projective, 643, 644, 648 ■, 60
resolution (singularities) ■, 615, 616, 627, see rigid ■, 605
also Alteration Theorem, 629, 630, see also Rigidity Lemma ■, 324, 325, 325, 326, 485
Weak Factorization Theorem, 751, 765 ring
for surfaces, 765 local, 673
for curves, 757 ring ■, see also local rings, see also graded ring,
for surfaces, 757 see also Noetherian ring
of indeterminacy of rational maps, 615 catenary, 338, 739
small, 609, 632, 632 examples, 338
non-isomorphic, 632 of integers in number field, 303, 304, 395,
restriction 400, 441, 607
of sheaves, see also pullback topological, 746
restriction map, 72 ring scheme ■, 223, 225
restriction of a quasicoherent sheaf ■, 411 ring-theoretic
seealsoquasicoherent sheaves, restriction of, branch locus, 607
411 ramification locus, see different ideal
restriction of scalars, 48 ringed spaces, 76
restriction of sheaf to open subset G |U , 74 ringed spaces, 13, 76, 77, 90, 97, 98, 137, see
resultant ■, 248 also locally ringed spaces, 138, 141, 150,
Riemann surface ■, 99, 460, 537, 611, 773 201, 202, 205, 240, 252, 395, 397, 398, 403,
genus, 498 409, 420, 471, 653, 654, 656, 774–778
Riemann-Hurwitz formula ■ (locally) free sheaf on, 395, 397
826 The Rising Sea: Foundations of Algebraic Geometry
(quasi)coherent sheaves on, 177, 180 scheme-theoretic inverse image, see
functions on, 76 scheme-theoretic, pullback
functions on, 100, 139 scheme-theoretic preimage, 194, 284, 409, 461,
higher pushforwards for, 653 567, 617, 618, 621, 623, 727, 762
isomorphism of, 137, 137, 138, 202, 759 scheme-theoretic pullback, see
Leray spectral sequence, 653 scheme-theoretic preimage, 284
morphisms glue, 202 scheme-theoretic support, 194, 499, 519
morphisms of, 201, 202, 202–206, 412, 414, scheme-theoretic union, 253, 359, 593, 635, 696
468, 653–655 scheme-theoretically dense, 193, 193
glue, 202 schemes, 137
open embedding of, 76, 202, 206, 228, 413 affine, 129, 137
Picard functor for, 399 cohomological criterion, see Serre’s
pullback for, 411 cohomological criterion for affineness
pushforward of O-modules, 203 is quasiseparated, 156
structure sheaf, see structure sheaf disjoint union, 175
rings finite type, see finite type, 161
regular local, see regular local rings functions on, 137
Rosenbluth, A. ■, 133 gluing, 275
ruled surface ■, see also Hirzebruch surface, isomorphism, see isomorphism, scheme
473, 568, 569, 764 locally Noetherian, 156, 160, 161
elementary transformation, 763, 764 are quasiseparated, 161
self-intersection of section of, 569 implies quasiseparated, 161
ruling ■, 146, 260, 260, 300, 342, 367, 442, 466, locally of finite type, see locally of finite
556 type
of higher-dimensional quadrics, 261 morphisms, see morphisms, of schemes
of quadrics in P5 , 466 morphisms glue, 207, 275, 277
Noetherian, 17, 155, 229, 235, 245, 256, 266,
287, 288, 330, 347, 367, 379, 384, 389, 410,
Salmon, G. ■, 723 431, 438, 439, 515, 524, 607, 676
Samuel, P. ■, 389 finiteness of zeros and poles, 379
saturated S• -module ■, 448 non-affine, 138
saturation functor ■, 445, 446, 446 nonquasiseparated (example), 157
adjoint to forgetful functor, 445, 447 normal, see normal scheme
need not be injective or surjective, 446 over a ring, 161
scheme-theeoretic support projective, 48, 146, 147, 153, 210, 212, 217,
of a module, 254 257, 262, 307, 319, 321, 423, 518, 564, 601,
scheme-theoretic, 194, 253 624, 631, 786
scheme-theoretic fiber, 284, 284, 727 are qcqs, 156
scheme-theoretic intersection maps to, 425
of locally closed subschemes, 289 quasiaffine, see quasiaffine, schemes
scheme-theoretic pullback, see quasiprojective, 146, 153, 161
scheme-theoretic preimage regular, 363
scheme-theoretic support, 254 visualizing, 104, 108, 111, 133, 134, 211, 241,
scheme-theoretic base locus, 424 262, 408
scheme-theoretic base locus, 424 Schubert cell ■, 225
scheme-theoretic closure, 194, 263, 266, 266, Second Riemann Extension Theorem ■, 347
320, 457, 520, 521, 619–621, 676 section ■
scheme-theoretic fiber, 194, 227, 284, 286, 295, of a morphism, 312
697 section ■
scheme-theoretic image, 194, 263, 263–266, of a sheaf, see sheaf, section of
320, 322, 323, 424 sections of F
and set-theoretic image, 265 sometimes means sections of F over X, 72
computable affine-locally, 265 Segre embedding ■, 299, 300, 314, 428, 452,
scheme-theoretic intersection, 136, 194, 253, 525
272, 359, 374, 423, 509, 566, 618, 621 as complete linear series, 428
closed subschemes, 253 coordinate-free description, 300
scheme-theoretic inverse image, see Segre variety ■, 300
scheme-theoretic preimage self-intersection of curve on a surface, 566
April 1, 2023 draft 827
semiample line bundle, 455 Serre duality ■, 483, 495, 502, 504, 523, 526,
semicontinuity 538, 540, 542, 567, 571, 572, 597, 602, 604,
(lower) of rank of matrix, 715 605, 644, 645, 733, 738, 769, 773, 774
(lower) rank of matrix, 713 for Ext, 769, 783
(upper) of fiber dimension, 758 functorial, 773, 773, 777, 781–786
dimension of a variety at a point, 341 functorial (for projective space), 773
list of examples, 340 trace version, 773, 774
semicontinuity ■, 340 for Hom, 769, 771, 773
semicontinuity ■ for projective space, 771
(lower) rank of matrix, 341 functorial, 770, 771, 782, 783
(lower) rank of matrix, 711 trace version, 770, 771, 782
(upper) degree of finite morphism, 341, 409, for Cohen-Macaulay projective schemes,
525 503
(upper) dimension of tangent space, 583 for projective schemes, 778
(upper) dimension of tangent space at for smooth projective varieties, 502
closed points, 341 for vector bundles, 769, 773
(upper) fiber dimension, 341 functorial, 770, 773, 777, 781, 782
functorial (for projective space), 777
(upper) fiber dimension, 354, 486, 525, 726
trace version, 770, 773, 783
(upper) of fiber dimension, 351
weak, 770
(upper) rank of cohomology groups, 341,
trace version
see Semicontinuity Theorem
for Ext, 778
(upper) rank of sheaf, 341, 408, 594, 701, 706
for vector bundles, 770
list of examples, 340
Serre vanishing ■, 483, 495, 504, 505, 516, 575,
semicontinuity (upper)
576, 689, 762, 774, 782, 784
fiber dimension, 486
relative, 515
rank of finite type quasicoherent sheaves,
Serre’s cohomological criterion for ampleness,
408
515
Semicontinuity Theorem ■, 677, 679, 688, 706, Serre’s cohomological criterion for affineness,
706, 707, 711, 713, 717 492, 517
semicontinuous Serre’s cohomological criterion for affineness
(upper) Jacobian corank function, 362 ■, 482, 492, 517
separable extension ■, see field extension, Serre’s cohomological criterion for ampleness,
separable see ampleness, Serre’s cohomological
separable finite morphisms ■, 608 criterion
separable generation ■, see field extension, Serre’s criterion for normality ■, 348, 733, 739,
separably generated 740, 741, 743
separably closed ■, see field, separably closed Serre’s Theorem A ■, 451, 451, 453, 784
separated presheaf ■, 73 Serre, J.-P. ■, 11, 17, 48, 59, 69, 97, 130, 211,
separatedness ■, 307, 312, 316, 322, 513 388, 389, 438, 451, 452, 518, 639, 663, 769,
separatedness ■, 142, 146, 156, 162, see also 773
Associated-to-Separated Theorem, see sextic, 257, 540, 546
also Reduced-to-Separated Theorem, 214, sheaf, see also subsheaf, 13, 73
234, 307, 308, 311, 311–313, 315, 317–325, coherent, see coherent sheaf
357, 384–387, 431, 432, 453, 455, 456, 459, determined by sheaf on affine base, 85, 173
475–477, 479, 481, 482, 487–489, 491, direct image, see sheaf, pushforward
511–514, 517, 518, 520–522, 590, 616, 622, dualizing, see dualizing sheaf
639, 646, 653, 655, 661, 662, 669, 700, 731, espace étalé, see sheaf, space of sections
759, 761 extension by zero, 93, 654
preserved by composition, 317 left adjoint to inverse image, 93, 654
topological characterization, 311 fiber, 411
Serre duality ■ finite type, see finite type, quasicoherent
for Hom sheaf
functorial, 781 finitely presented, see finite presentation,
for Ext quasicoherent sheaf
functorial, 781 flasque (flabby), 653, 777
for Hom have no Čech cohomology, 659
trace version, 781 implies acyclic, 655
828 The Rising Sea: Foundations of Algebraic Geometry
preserved by pushforward, 654 universal property, 82
germ, see germs short exact sequence ■, 51
gluability axiom, 73 signature of symmetric bilinear form ■, 571
higher pushforward, 689 simple group of order 168 ■, 540
higher pushforward, 449, 511–515, 519, 573, simple object in abelian category, 181
656, 661, 669, 689, 705, 707, 711, 720 simply connected (étale), 610
and base change, 513 singular (point), see regular
commutes with affine flat base change, singularities, see also resolution (singularities),
513 363, 745, 749
commutes with flat base change, 669 site ■, see Grothendieck topology
ideal, see also pullback, of ideal sheaves skyscraper sheaf ■, see sheaf, skyscraper
identity axiom, 73 slicing by an effective Cartier divisor, see
indicator, 83 effective Cartier divisor, slicing
injective slicing criterion ■
have no Čech cohomology, 658 for regularity, 364
implies flasque, 654 for Cohen-Macaulayness, 737, 737
inverse image, see inverse image sheaf geometric interpretation, 737
invertible, see line bundle for flatness, 686, 686, 687, 695, 737, 738
locally free, see locally free sheaf in source, 687, 696
of (relative) i-forms ΩiX/Y , 601 in source (more general version), 687
of differentiable functions, 98 for regularity, 552, 625, 696, 737
of nilpotents, 174 small category ■, see category, small
of relative differentials, 579, 697 small resolution ■, see resolution
of sections, 396 (singularities), small
of smooth functions, 69 Smith, R. ■, 723
on a base, 84, 85 smooth functions ■
determines sheaf, 85 germ, 70
on the big Zariski site, see Zariski sheaf sheaf, 69
pushforward, 75, 75, 77, 89, 90, 98, 203, 409, smooth quadric surface, 167, 360
410, 413, 415, 416, 484, 514, 574, 653, 707, smoothness ■, 381
709, 765, 767, 778 smoothness ■, 14, 99, 108, 323, 324, 357, 380,
preserves coherence for projective 381, 382, 682, 693, 696, 697, see also
morphisms, 484 formally smooth, see also generic
preserves coherence for proper smoothness, 702
morphisms, see Grothendieck’s closed under product, 382
Coherence Theorem differential geometric motivation, 380
quasicoherent, see quasicoherent sheaves form “reasonable” class, 382
quotient, 83 of relative dimension n, 381, 381–383, 592,
restriction to open subset G |U , 410 607, 695, 695, 697, 703
section of open condition, 381
determined by germs, 80 of varieties preserved by base field
section of, see section of sheaf, 71 extension, 365
support of, see support, of section open condition, 539
skyscraper, 74, 74, 75, 83, 91, 171, 653, 678 over a field, 364
space of sections, 69, 71, 75, 83, 92 over a field
stalk, 73 = geometrically regular, 594
structure, see structure sheaf over a field, 365, 593, 616
sheaf Proj, see relative Proj of dimension d, 365
sheaf Spec, see relative Spec over a ring, 382
sheaf Hom, 77 Smoothness-Regularity Comparison Theorem
sheaf Proj ■, 366, 625, 696
universal property, 470 Snake Lemma ■, 52, 54, 62, 64, 64, 65, 196
sheaf on a base, 172 source (of morphism in category) ■, 26
sheafification ■, 48, 79, see also universal space of sections of sheaf ■, see sheaf, space of
property, of sheafification, 82 sections
construction, 82 specialization ■, 120, 120, 121, 155, 245, 349
induces isomorphism of stalks, 83 spectral functor ■, 66, 661
is a functor, 82 spectral sequence ■, 66
April 1, 2023 draft 829
spectral sequence ■, 54, 59, 60, 60–67, 270, determine isomorphisms, 81
271, 518, 647–649, 652, 653, 656–658, 660, determine morphisms, 81
661, 776, 777 of (pre)sheaf on base, 85
and derived functors, 647 of a sheaf, 73
collapse of, 63 of presheaf, 72
convergence, 63 Stein factorization ■, 754, 755, 755, 756, 758
Grothendieck composition-of-functors, see Stein Factorization Theorem ■, 745, 755, 756
Grothendieck composition-of-functors Stein space ■, 518, 558
spectral sequence stereographic projection ■, 217
Leray, see Leray spectral sequence Stillwell, J. ■, 136
local-to-global for Ext, 777 strict transform (of blow-up) ■, see proper
local-to-global for Ext, 777, 784 transform (of blow-up)
orientation, see orientation of spectral strongly of constant rank, 714
sequence structure morphism ■, 208
page, 60 structure sheaf ■, 129
spectrum of ring (Spec) ■, 99 of ringed space, 76
split exact sequence ■, 652 subcategory ■, 28
stacks ■, 14, 87, 176, see also orbifolds, 542, 544 full, 29, 29, 47, 51, 77, 176, 277
stalk-local, 80 fully faithful, 29, 47
Cohen-Macaulayness, 736 submersion, 381, 590, 694
cokernels of morphisms of sheaves of submersion ■, 99, 580, 693, 694
abelian groups, 88 subobject ■, 50
exactness, 177 subscheme
exactness for sheaves, 89 closed, see closed subschemes
factorial, 165 cut out by section of locally free sheaf, 401
flatness, 667 locally closed, see locally closed subschemes
implies affine-local, 228 open, 138
implies affine-local, 160 subscheme (= locally closed subscheme), 255
injectivity of maps of sheaves, 588 subsheaf ■, 83
kernels of morphisms of sheaves of abelian subtler Five Lemma ■, see Five Lemma,
groups, 88 subtler
local freeness of finitely presented sheaves, subvariety (incl. open and closed), 315
406 suport
morphisms of sheaves, 81 scheme-theoretic, 254
morphisms of sheaves being epimorphisms, support
83 of a module, 186
morphisms of sheaves being injective, 83 stalk-local notion, 93
morphisms of sheaves being isomorphisms, support ■
81 of a section s
nature of inverse image sheaf, 92 is closed, 93
normality, 163, 164, 741 of a sheaf, 405
normality of ring, 163 support ■
reducedness, 157, 161, 163, 298 of m ∈ M, 133
regularity of a locally Noetherian scheme, of a section s, 93
363 of a section s, 93, 405
sections of a sheaf, 80 of a sheaf, 93
support, 93 of finite type quasicoherent sheaf is closed,
tensor product of sheaves, 90 405
torsion-free, 171 of Weil divisor, 434
torsion-freeness, 171 surfaces, 257, 330, 602, see also cubic, surface
stalk-local ■, 157 cubic
stalk-local ■ Fermat, 727, 729
implies affine-local, 160 Enriques-Kodaira classification, 765
stalk-local properties, 228 intersection theory, 566
stalkification ■ minimal (model), 764
doesn’t commute with Hom , 78 proper but no nontrivial line bundles, 559
is exact, 57, 89 proper nonprojective, 568
stalks ■ quadric, 510
830 The Rising Sea: Foundations of Algebraic Geometry
smooth projective, 440 is right-exact, 34, 55, 666, 749
surjective morphisms of OX -modules, 90
reasonable class, 290 tensor-finiteness trick, 296, 296, 298
surjective morphisms ■, 232 tensor-finiteness trick ■, 298
checking on closed points, 245 tensor-finiteness trick ■, 298
preserved by base change, 289 Theorem of the Base (Néron-Severi Theorem)
Sylvester’s law of intertia, 571 ■, 500, see also Picard number ρ(X), 501
Sylvester, J. ■, 571 Theorem on Formal Functions ■, 745, 752,
symbol , 24 753, 754, 754, 761–763, 765
symbol exists, 24 thickening ■, see formal neighborhood
symbolic power of an ideal q(n) , 343 topological ring/module ■, 746
symmetric algebra ■, 149, 402 topology ■
system of parameters, 347 base of, 84
system of parameters ■, 347, 351 discrete, see discrete topology
étale, see étale topology
tacnode, 369 Grothendieck, see Grothendieck topology
tacnode ■, 369, 630, 750, 751 profinite, 281
tame ramification ■, 610 Zariski, see Zariski topology
tangent topolopological spaces
bundle, 395 morphisms glue, 74
cone, 624, 624 topos ■, 23, 176
= tangent space for regular point, 624, Tor functors, 664, 665, 670
625 long exact sequence, 641
projectivized, 624 symmetry of, 647, 671
line, 358, 359, 370, 374, 547, 548, 551, 555, torsion ■
557 (sub)module, 171
map, 523 quasicoherent sheaf on reduced scheme,
plane, 370, 370 172
sheaf, see also cotangent, sheaf sheaf, 406
relative, 584, 590 torsion-freeness
space, 99, 341, 357–361, 363, 371, 379, 383, stalk-local, 171
437, 524, 579, 580, 583, 584, 586, 595, 624, torsion-freeness ■
625, 693, 694, 698 = flat for PID, 673
and morphisms, 361 implied by flatness, 666, 671, 673, 684, 686,
vector, 358, 579, 579 739
relative, 579 module, 171
vertical, 579, 582, 583 sheaf, 172, 406
tangent cone torsor ■, 281
projectivized, 624 total complex (of a double complex) ■, 60
Taniyama-Shimura Conjecture ■, 536 total fraction ring (total quotient ring) ■, see
Tao, T. ■, 13 also fraction field, 194, 626, 742, 743
target (of morphism in category) ■, 26 total space ■
Tarski, A. ■, 248 of line bundle, 558, 560, 569, 763
Tate curve ■, 546 of vector bundle, 397, 469, 560, 624, 625
Tate, J. ■, 176, 388 total transform (of blow-up) ■, 618, 620, 627
tautological bundle trace map ■, 405, 769, 770, 771, 771, 772, 774,
Grassmannian, 464 781, 783
tautological bundle ■ transcendence basis ■, 701
Grassmannian, 601 transcendence basis ■, 334, 341, 589
on projective space, 470 transcendence degree ■, 337
Taylor, R. ■, 536 transcendence degree ■, 334, 334, 336–338,
tensor algebra ■, 402 459, 510, 594, 701
tensor product ■, 34, see also universal = dimension, 334
property, of tensor product, see also transcendence theory ■, 231, 297, 334, 594,
universal property, of tensor product 701
as fibered coproduct of rings, 274 transition functions/matrices ■, 396, 396, 397,
commutes with direct sum, 35, 58, 640, 749 399, 402, 403, 419–422, 425, 434, 469–471,
is not left-exact, 34 497, 505
April 1, 2023 draft 831
trichotomy (classification of varieties) ■, 536, of kernel, 50, 79, 80
603 of limit, 41, 57
triple point ■, 750, 750 of localization, 31, 32, 33, 174
trivial bundle/sheaf of rank n ■, 396 of normalization, 301, 301, 302, 458, 762
trivialization of vector bundle■, 396 of product, 24, 31
tropical geometry ■, 125 of projective space, 721
trvial bundle, 396 of pullback, 411, 412, 413, 414
Tsen’s Theorem ■, 710 of relative Proj, 470
twisted cubic curve ■, 507 of relative Spec, 467, 467, 468
twisted cubic curve ■, see also rational normal of sheafification, 82, 82, 88
curve, 118, 257, 257–259, 335, 370, 418, of stalks, 75
507, 677, 679 of tensor product, 34, 35, 35, 45, 591
two planes meeting at a point ■, 133 universally, 321
two planes meeting at a point, see recurring universally injective morphisms
counter)examples, two planes meeting at reasonable class, 294
a point universally closed morphisms
two planes meeting at a point ■, 739 form reasonable class, 321
two planes meeting at a point ■, 132, 503, 511, universally closed morphisms ■, 321, 321,
675, 687, 735–737, 740, 774 387, 388, 431, 475, 520
not S2 or Cohen-Macaulay, 740 universally injective (radicial) morphisms ■,
294
ultrafilter ■, 119 universally injective (radicial) morphisms ■,
uniformizer ■, 376, 378, 380, 404, 433, 461, 293, 294, 294, 317
462, 598, 609, 610, 673 and the diagonal morphism, 317
union (scheme-theoretic), see are separated, 317
scheme-theoretic, union universally injective morphisms
unique factorization domain ■, 165, 440 reasonable class, 317
unique factorization and class groups ■, 441 “universally P” ■, 290
unique factorization domain ■, 100, 102, unramified morphisms
164–168, 220, 303, 345, 360, 376, 378, 380, form “reasonable” class, 606
389, 438–442, 557, 741 unramifiedness ■, 99, 251, 255, 524, 601, 606,
= all codimension 1 primes principal, 165, 606, 611, 693, 694, 696, 759
333, 345, 360, 438, 442 characterizations by fibers, 606
codimension 1 primes are principal, 332 diagonal characterization, 607
codimension 1 primes are principal, 332 examples, 606
how to check, 165 formal, see formally unramified
not affine-local condition, 167 in number theory, 606
uniruled ■, 350 open condition, 607
universal delta-functor ■, see delta-functors, preserved by composition, 606
universal upper semicontinuity, see semicontinuity
universal hyperplane, see hyperplane, upper semicontinuity ■, see semicontinuity
universal upward orientation (of spectral sequence) ■,
universal property ■, 24, 31, 33, 35, 36, 41, 47, 63
174, 221, 222, 276, 279, 301, 318, 412, 467,
468, 471, 588, 589, 622, 631, 646, 664, 771 Valéry, P. ■, 787
and Yoneda’s Lemma, 38 valuation rings ■, 125, 196, 348, see also
of pullback, 414 discrete valuation rings, 377, 378, 384,
of relative Proj, 470 387, 388
of Sym and ∧, 403 importance of, 388
of blow-up, 615, 616, 617, 618, 619, 621–623, valuations ■, see also discrete valuations, 377,
670, 763 see also valuation rings, 434, 458, 597
of cokernel, 50, 79, 88 valuative criteria ■, 17, 357, 384
of colimit, 88 for flatness, 675
of differentials, 588 for properness, 387, 387, 388, 432, 700
of fibered coproduct, 37 for separatedness, 385, 386, 387, 388, 700
of fibered product, 36, 36, 273, 275, 276, 289 for universal closedness, 387, 387, 388
of inverse image sheaf, 91 value of a function at a point ■, see functions,
of Kähler differentials, 581, 589, 591 value at a point
832 The Rising Sea: Foundations of Algebraic Geometry
vanishing theorems ■, 515 Weak Nullstellensatz ■, see Nullstellensatz
vanishing scheme ■, 152, 153, 254, 257, 608 Weierstrass coordinates ■, 549
vanishing set ■, 113, 151 Weierstrass normal form ■, 548, 549, 551, 553
vanishing theorems ■, see also dimensional weighted projective space ■, 262
cohomology vanishing Weil divisor ■
vanishing theorems ■, see also Kodaira locally principal, 437
vanishing, see also Serre vanishing, 495 Weil divisor, see divisor, Weil
varieties, 162, 315 Weil divisor ■, 419
affine, 162 Weil divisor ■, 433, 434, 434, 435, 437–439,
affine complex, 106 441, 443, 567, 597, 632
classically, 120 effective, 434
complex, 97 irreducible, 434
products of, 315 locally principal, 437, 439, see also closed
projective, 162 subscheme, locally principal, 632
quasiprojective, 162 not necessarily locally principal, 441
with non-finitely generated ring of global not necessarily locally principal, 437
sections, 560 of zeros and poles, 434
Vaserstein, L. ■, 438 principal, 437
vector bundles ■, 395 restriction to open set, 434
vector bundles ■ support of, 434
trivialization, 396 Weil, A. ■, 388, 550, 603
vector bundles ■, 14, 75, 76, 154, 180, 395–398, Weyl group ■, 724, 730, 732
401, 405, 408, 449, 469, 473, 498, 505, 569, Weyl, H. ■, 145
587, 600, 623, 664, 671, 707, 710, 711, see Wiener, N. ■, 133
also Serre duality, for vector bundles, 769, wild ramification ■, 610
770, 773, 777, 781, 783 Wiles, A. ■, 536
ample, 478 Włodarczyk, W. ■, 632
associated to locally free sheaves, 469
classification on P1 , 503 Yoda embedding ■, 40
not always direct sum of line bundles, 600 Yoneda cup product ■, see cup product,
on manifold, 395 Yoneda
perfect pairing, 404 Yoneda embedding ■, 40
pulling back, 411 Yoneda’s Lemma ■, 277
total space, see total space, of vector Yoneda’s Lemma ■, 13, 38–40, 210, 221, 274,
bundles 384, 424, 464, 617
Veronese embedding ■, see also rational
normal curve, see also twisted cubic Zariski closure, 113
curve, 118, 258, 259, 300, 314, 373, 426, Zariski cotangent space ■, see cotangent,
427, 507–509, 525, 535, 780 space
as complete linear series, 426, 525 Zariski sheaf (sheaf on the big Zariski site) ■,
Veronese embedding νd ■, 260 277, 277, 279, 463
Veronese subring Sn• ■, 213, 213, 259 Zariski site ■, 277
Veronese surface ■, 260, 260 Zariski tangent space ■, see tangent space
very ample ■, 451, 506, 563–565, 571, 573, 575, Zariski topology ■, 112–117, 133, 137, 138,
577, 692, 704, 762 142, 151, 152, 172, 173, 247, 248, 281, 330,
⊗ base-point-free is very ample, 452 436, 447, 583
behaves worse than ample, 453 on Proj S• , 151
implies base-point-free, 452 on Spec A, 113
n
in relative setting, 477 on k , 247, 341
preserved by ⊠, 452 on scheme, 137
preserved by ⊗, 452 Zariski’s Lemma, see also Nullstellensatz
relatively, 451, 472 Zariski’s Connectedness Lemma ■, 708, 745,
with respect to π, see very ample, relatively 754, 754–757, 759
very general ■, 342 Zariski’s Lemma ■, 105
Viète’s formula ■, 552 Zariski’s Main Theorem ■
Voevodsky, V. ■, 176 Grothendieck’s form, 759
Zariski’s Main Theorem ■, 241, 324, 731, 758,
Weak Factorization Theorem ■, 632, 765 760, 761
April 1, 2023 draft 833
for birational morphisms, 756, 758
Grothendieck’s form, 745, 758
misnamed, 757
topological and power series forms, 761
Zariski, O. ■, 323, 364, 758, 765
zero of order n ■
for Noetherian scheme, 379
zero object ■, see object, zero
zero of order n ■
for discrete valuation rings, 378
zerodivisor (for ring or module) ■, 32
Zorn’s Lemma ■, 111, 121, 645
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