# SCHEMES. David Harari. Tsinghua, February-March 2005

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1 SCHEMES David Harari Tsinghua, February-March 2005 Contents 1. Basic notions on schemes First definitions and examples Morphisms of schemes : first properties Some miscellaneous properties of schemes Dimension of a scheme Definition, first properties Dimension and schemes of finite type over a field Morphisms and dimension Separated, proper, projective morphisms Separated morphisms Proper morphisms Projective morphisms Quasi-coherent and coherent sheaves on schemes First definitions and properties Direct and inverse images Quasi-coherent sheaves and exact sequences Quasi-coherent sheaves on Proj S Sheaves of modules over P r A Flat morphisms, smooth morphisms Definition of a flat morphism Flatness and dimension Flat and non flat morphisms Smooth morphisms

2 6. Divisors Weil divisors Cartier divisors Invertible sheaves In this course, all rings are assumed to be commutative and with a unit element. A homomorphism ϕ : A B of rings must satisfy ϕ(1 A ) = 1 B ; for a homomorphism of local rings ψ : (A, M A ) (B, M B ), it is moreover required that ψ 1 (M B ) = M A. A domain is a ring A with A {0}, and such that ab = 0 (with a, b A) implies a = 0 or b = 0. An ideal of a ring A is prime if A/ is a domain (in particular A is not a prime ideal of A). The main reference will be the book Algebraic Geometry by R. Hartshorne (Graduate Texts in Mathematics, Springer-Verlag 1977), denoted by [H] in the following. For commutative algebra, one may use Matsumura s book [M] Commutative Algebra. 1. Basic notions on schemes 1.1. First definitions and examples Recall that the spectrum Spec A of a ring A is the set of its prime ideals, equipped with the Zariski topology (except in very specific cases, it is not Hausdorff) : the closed subsets are the V (I) (for any ideal I of A), where by definition V (I) is the set of all Spec A such that I. A base of open subsets consists of the D(f) for f A, where D(f) is the set of all Spec A such that f. Notice that if A is a domain, then any non empty open subset of Spec A contains the element (0) Spec A, so in this case any non empty open subset is dense. The topological space SpecA also comes with a sheaf of rings O such that O (the stalk of the sheaf at ) is isomorphic to A (the localisation of the ring A with respect to the multiplicative set A ), and O(D(f)) (the ring of sections of O over the open subset D(f)) is isomorphic to A f (the localisation of the ring A with respect to the multiplicative set {1, f,..., f n,...}). For example the ring Γ(SpecA, O) of global sections of the sheaf O is just A. Intuitively, O corresponds to germs of functions defined around, and O(D(f)) to functions defined on the open subet f 0. One way to construct the sheaf O (see [H], II.2 for more details) is to define (for each open subset U) the ring O(U) as the ring of functions U U A which are locally (for the Zariski topology) of the type a with a, f A. f 2

3 A locally ringed space is a topological space X, equipped with a sheaf of rings O X, such that for each P X the stalk O X,P is a local ring. A morphism X Y of locally ringed spaces is a pair (f, f # ) such that f : X Y is a continuous map, and f # : O Y f O X is a morphism of sheaves of rings, with the additional condition that for each P X, the induced map f # P : O Y,f(P) O X,P is a homomorphism of local rings. An affine scheme is a locally ringed space which is isomorphic to SpecA for some ring A. An important property (see [H], II.2.3) is that the contravariant functor A Spec A gives an anti-equivalence of categories between rings and affine schemes, the inverse functor being X Γ(X, O X ). Examples of affine schemes. 1. Spec ({0}) =. 2. For a field k, Spec k consists of one single point, with structural sheaf k. 3. Spec (k[x 1,..., X n ]) is the affine space A n k over k. More generally, an affine variety over a field k is an affine scheme Spec A, where the ring A is a finitely generated k-algebra. Since such an A is isomorphic to a quotient k[x 1,..., X n ]/(P 1,..., P r ), where the P i are polynomials, this means that such a variety is defined in the affine space by the equations P i (X 1,..., X n ) = 0 for 1 i r. For example on A 1 k, you have the generic point η, corresponding to the ideal (0); the point η belongs to any non empty open subset, hence the closure of {η} is the whole A 1 k. The other points are closed (this corresponds to the fact that the associated ideals are maximal); some of them correspond to the elements of k (via the maximal ideal (X a) k[x]), but there might be other points if k is not algebraically closed : e.g. on A 1 R, there is the point (X2 + 1), although x = 0 has no solution in R. On A 2 k, it is still much more complicated, because you also have the prime ideals (π) k[x 1, X 2 ], where π is an irreducible polynomial (the generic point of the curve π(x 1, X 2 ) = 0 ). Thus the language of schemes takes into account two new things : generic points, and points in field extensions of the ground field. 4. Let k be a field and set k[ε] = k[x]/x 2. The affine scheme Spec (k[ε]) correspond to the equation x 2 = 0 on the affine line. As a topological space, it is just one point, but as a scheme it is not the same as Spec k. Actually Spec (k[ε]) corresponds to a double point. That s another 3

4 advantage of schemes : it is possibile to give a precise meaning to the intuitive notion of multiplicity. 5. The affine scheme Spec Z consists of one generic point, and infinitely many closed points (one for each prime number). Now we come to the general definition of a scheme : Definition 1.1 A scheme is a locally ringed space (X, O X ) such that for any P X, there exists an open neighborhood U of P with the property that the locally ringed space (U, (O X ) U ) is an affine scheme. For each point x of a scheme X, one defines its residue field k(x) as the quotient of the local ring O X,x by its maximal ideal M x. Usually we shall simply write X for (X, O X ). For example, on A n k, the residue field of each closed point is a finite field extension of k. On any scheme X, you can evaluate an element f O X,x (hence also an element of Γ(X, O X )) at x, taking the reduction of f modulo M x : you get an element of the residue field k(x). E. g. on A 1 R = Spec (R[T]), the evaluation of T at the point x = (T 2 + 1) is the element 1 1 of the residue field C of x. So far we don t have any example of a non-affine scheme. An important remark is that an open subset U of a scheme X obviously is a scheme (with the restriction of O X to U as structural sheaf), but an open subset of an affine scheme is not necessarily affine : take k a field, X = A 2 k, U = X {(0, 0)} (U is obtained by removing the closed point corresponding to the maximal ideal (T 1, T 2 ) k[t 1, T 2 ]). Then U is not affine. Indeed the inclusion map i : U X is not an isomorphism, but it is easy to check that the induced map i : Γ(X, O X ) Γ(U, O U ) is (set A = k[t 1, T 2 ], and K = FracA = k(t 1, T 2 ); any element of Γ(U, O U ) must belong to the localisations A T1 and A T2, and the intersection of these two subrings of K is A). The most important class of examples of non affine schemes is obtained by means of graded rings. Let S = d 0 S d be a graded ring, and set S + = d>0 S d. One defines Proj S as the set of homogeneous prime ideals that do not contain S +. For each homogeneous ideal I of S, one defines V (I) as the set of Proj S such that I. This gives Proj S a topology, a base of open subsets consisting of the D + (f) for f homogeneous element of S, where D + (f) is the set of Proj S with f. One defines a sheaf 1 that is, the image of T in R[T]/(T 2 + 1) C; note that here you cannot distinguish between 1 and 1; more about this later. 4

5 O on Proj S, with the properties : O is isomorphic to S ( ) (the elements of degree zero in the localisation of S with respect to homogeneous elements of S ) and O(D + (f)) is isomorphic to S (f) (the ring of elements of degree zero in the localisation S f ). With these properties, it is clear that Proj S is a scheme. For example Proj(k[X 0,..., X n ]) is the projective space P n k over the field k. It is covered by the affine subsets D + (T i ) for 0 i n, each of those isomorphic to A n k. In particular this shows that Γ(Pn k, O P n ) = k because the k intersection of the rings S (Ti ) (where S := k[x 0,..., X n ]) is k, hence P n k is not an affine scheme. More generally, a projective variety over k is a scheme Proj S, where S is the quotient of k[x 0,..., X n ] by a homogeneous ideal (this corresponds to equations P i (X 0,..., X n ) = 0, where the P i are homogeneous polynomials) Morphisms of schemes : first properties Recall that a morphism of schemes is just a morphism of the underlying locally ringed spaces. Observe that if f : Y X is a morphism of schemes, then for each y Y with image x = f(y), there is an induced homomorphism O X,x O Y,y, hence also a homomorphism between the residue fields k(x) k(y). In particular if X is an affine or a projective k-variety, each residue field is an extension of k (and this extension is finite for, and only for, closed points). Definition 1.2 Let S be a (fixed) scheme. An S-scheme (or scheme over S is a scheme X, equipped with a morphism X S. A morphism of S- schemes (or S-morphism) is a morphism X Y which is compatible with the given morphisms X S and Y S. When X, Y are S-schemes, the piece of notation Mor S (X, Y ) stands for the set of S-morphisms from X to Y. Definition 1.3 Let A be a ring and X an A-scheme (=Spec A-scheme). Let B be an A-algebra. A B-point of X is an element of Mor Spec A (Spec B, X). Examples. 1. This notion is especially useful when A = k is a field, and B = L is a field extension of k. In this case, giving an L-point of a k-scheme X is the same as giving its image x X (recall that the underlying topological space of Spec L is a singleton), plus a k-morphism k(x) L. 5

6 2. Let k be a field, k[ε] = k[t]/t 2. For an X-scheme X, giving a k[ε]- point of X is the same as giving a point x X and a k-morphism O X,x k[ε], that is a point x with residue field k plus a k-morphism (M x /M 2 x ) k. The dual Hom((M x/m 2 x ), k) of the k-vector space (M x /M 2 x ) is the tangent space of X at x; hence a k[ε]-point of X consists of a point x with residue field k and a tangent vector at x. Let S be a scheme, X and Y two S-schemes. There is a fibred product X S Y ; it is an S-scheme with S-morphisms p X : X S Y X and p Y : X S Y Y (first and second projection) satisfying the following universal property : for any S-scheme Z and any pair of S-morphisms f X : Z X, f Y : Z Y, there is a unique S-morphism g : Z X S Y such that f X = p X g, f Y = p Y g. For X = Spec A, Y = Spec B, S = Spec R, one takes X S Y := Spec (A R B). The general construction of X S Y consists of a globalisation of this, see [H], II.3.3. for the details. For example A m k An k = Am+n k. We can see that even for m = n = 1, the underlying topological space of A 2 k is not the product of the underlying topological space of A 1 k by itself, because it has more points (the generic points of the curves). Also, P 1 k P1 k is not isomorphic to P2 k. The first application of fibred product is the notion of fibre : Definition 1.4 Let f : X Y be a morphism of schemes. Let y Y and Spec (k(y)) Y the corresponding morphism. The fibre of f at y is the scheme X y := X Y Spec (k(y)). It is easy to check (by reduction to the affine case) that the underlying topological space of Spec (k(y)) is the inverse image f 1 ({y}); now we have a canonical k(y)-scheme structure on this inverse image. Examples. 1. For a scheme X over SpecZ, there is a generic fibre X Q over Q, and special fibres X p over each finite field F p = Z/pZ ( reduction modulo p ). For example if X = SpecZ[T 1, T 2 ]/(T T 2 2 2), the generic fibre is a conic over Q, but the reduction X 2 modulo 2 is A 1 F 2 [ε] = Spec (F 2 [ε, T 2 ]). 2. Let k be a field of characteristic 2, X = Spec (k[t 1, T 2 ]/(T 2 2 T 1 ), Y = A 1 k = Spec (k[t 1]). Consider the morphism X Y, (t 1, t 2 ) t 1 (that means that it is induced by the ring homomorphism k[t 1 ] k[t 1, T 2 ]/(T 2 2 T 1 ) that sends T 1 to the coset of T 1 ). Then the fibre at the closed point t 1 = 0 is Spec (k[ε]) (one double point). The fibre 6

7 at the closed point t 1 = a for a 0 is Spec (k[t 2 ]/(T 2 2 a)), that is either the spectrum of a quadratic field extension k( a), or the union Spec (k k) of two k-points. Another application of the fibred product is base extension, which is the scheme-theoretic version of the extension of scalars associated to the tensor product. For example, if X is an affine or a projective variety over a field k, one can consider the L-variety X L := X k L (:= X Spec k Spec L) for any field extension L/k. This corresponds to look at the same polynomial equations, but over the field L. For instance some points of A 1 R have residue field R, but any closed point of A 1 C has residue field C. Nevertheless there is always a bijection between L-points of X and X L thanks to the adjunction property of the tensor product : Hom k (A, L) = Hom L (A k L, L) for any k-algebra A. The same is true if L is replaced by any L-algebra. Now we come to special classes of morphisms. Definition 1.5 An open subscheme U of a scheme X is an open subset, equipped with the restriction of the sheaf O X to U. An open immersion is a morphism of schemes X Y which induces an isomorphism from X to an open subscheme of Y. The notion of closed subscheme is more complicated, because you have to define the locally ringed space structure on the closed subset, and there is no canonical one. First we have to define closed immersions. Definition 1.6 A closed immersion is a morphism f : X Y of schemes such that : i) f induces a homeomorphism (i.e. a bicontinuous map) from X to a closed subset of X. ii) The map of sheaves f # : O Y f O X is surjective. 2 Typically, a closed immersion is a morphism that looks locally like Spec (A/I) Spec A for some ring A and some ideal I of A. Definition 1.7 A closed subscheme of a scheme Y is a scheme X, equipped with a closed immersion i : X Y, where one identifies the pairs (Y, i) and (Y, i ) if there exists an isomorphism of schemes g : Y Y such that g i = i. 2 This means that f # is surjective on stalks, not that the map O Y (U) f O X (U) = O X (f 1 (U)) is surjective for any open set U Y. 7

8 Thus Spec (A/I) is a closed subscheme of Spec A with underlying topological space V (I), but there might be several structures of closed subscheme on V (I), e.g. Spec (k[ε]) and Spec k are two different closed subschemes of A 1 k with underlying space {0} (the closed point corresponding to the ideal (T) Spec (k[t])). Similarly, consider the closed subset F = V (T 1 ) of the affine plane A 2 k = Spec (k[t 1, T 2 ]). You have the closed subscheme structure on F given by the ideal (T 1 ) (a line), but also one given by (T1 2 ) (a doubled line), or by (T1 2, T 1 T 2 ) (a line with the origin doubled). Now we deal with finiteness properties related to morphisms. Definition 1.8 A morphism of schemes f : X Y is locally of finite type if Y can be covered by open affine subsets V i = Spec B i, with each f 1 (V i ) covered by open affine subsets U ij = Spec A ij, such that A ij is a finitely generated B i -algebra for any i, j. The morphism f is of finite type if moreover finitely many U ij are sufficient for each i. Examples. 1. A composition of two morphisms of finite type is of finite type. 2. In general a localisation Spec O X,P X is not of finite type because the localisation A ( Spec A) of a ring A is not a finitely generated A-algebra. 3. For A a ring and f A, the open immersion Spec A f Spec A is of finite type because A f is generated as an A-algebra by 1/f. 4. More generally Spec B Spec A is of finite type if B is a finitely generated B-algebra The notion of finite type morphism (and also of finite morphism, see below) is stable under base extension (this fact is not obvious). There is a stronger notion : Definition 1.9 A morphism f : X Y is finite if Y can be covered by affine subsets V i = Spec B i, such that f 1 (V i ) = Spec A i is affine and satisfies : A i is a finite type B i -module. 3 The converse is true : use the fact that if f 1,..., f r are elements of B such that each B fi is f.g. over A, and Spec B is the union of the D(f i ) (which means that the ideal generated by (f 1,..., f r ) is B), then B is f.g. over A. 8

9 Examples. 1. A closed immersion is finite : indeed in this case Y can be covered by affine subsets Spec B i, such that f 1 (Spec B i ) is isomorphic to Spec A i, where A i is the quotient of B i by some ideal. 2. An open immersion is quasi finite (that means that each fibre is finite), but not finite in general because A f is not a finite type A-module for A a ring and f A. Notice that finite implies quasi finite (when B is a finite type A-module, there are only finitely many prime ideals of B lying over a given ideal of A). 3. Let X be the closed subscheme of A 2 k defined by (T 2 2 T 1). We have defined above a morphism f : X A 1 k, (t 1, t 2 ) t 1. This morphism is finite because k[t 1, T 2 ]/(T 2 2 T 1) is a finite k[t 1 ]-module. If one removes the closed point (1, 1) from X, the restriction of f to X {(1, 1)} still is of finite type, surjective and quasi-finite but one can check that it is not finite anymore Some miscellaneous properties of schemes Definition 1.10 A scheme X is reduced if for any open subset U of X, the ring O X (U) has no nilpotent elements. This is equivalent to saying that for each P X, the local ring O X,P has no nilpotent elements, hence reduced is a local property. For example Spec (k[ε]) is not reduced. Definition 1.11 A scheme X is irreducible if it is not empty, and if for each decomposition X = X 1 X 2 with X 1, X 2 closed subsets, one has X 1 = X or X 2 = X. Notice that this is a global property. It does not depend on the scheme structure on X, only on the topological structure. Intuitively, irreducible means that X doesn t break into smaller pieces. Equivalently, X irreducible means that the intersection of two non empty open subsets is not empty, or that any non empty open subset is dense. Also, any non empty open subscheme of an irreducible scheme is irreducible. For instance Spec (k[ε]) is irreducible, Spec (k[t 1, T 2 ]/T 1 T 2 ) is not. Definition 1.12 A scheme X is integral if it is both irreducible and reduced. 9

10 In particular Spec A is integral if and only if A is a domain (indeed irreducible corresponds to the fact that the nilradical Spec A is prime). For example the affine space and the projective space over a field are integral. If X is an integral scheme, there is a unique generic point η which is dense in X (take U = Spec A an affine open subset of X, then A is a domain and one takes for η the point corresponding to the prime ideal (0) Spec A). The local ring of X at η is a field (the quotient field of A), the function field of X. For example the function field of SpecZ is Q, the function field of A n k or P n k is k(t 1,..., T n ). There is another characterisation of integral schemes : Proposition 1.13 A scheme X is integral if and only if for any open subset U of X, the ring O X (U) is a domain. Proof : Suppose that O X (U) is a domain. Then it has no nilpotent elements, so X is reduced. If U 1 and U 2 are two disjoint open subsets, then O X (U) = O X (U 1 ) O X (U 2 ) (by definition of a sheaf), hence O X (U 1 ) or O X (U 2 ) must be zero (else O X (U) would not be a domain), which implies that U 1 or U 2 is empty. Conversely, assume that X is irreducible and reduced. Let U be an open subset, and take f, g O X (U) such that fg = 0; we have to prove that either f or g is zero. Denote by Y the set of points x U such that the restriction f x to O X,x belongs to the maximal ideal M x (or equivalently : such that the evaluation f(x) k(x) is zero). Let us show that Y is a closed subset of U. If U = Spec A is affine, this is clear because in this case Y is just the open subset D(f) Spec A f of U. In the general case, cover U with affine open subsets U i and use U Y = (U i Y ). Similarly Z := {x U, g x M x } is a closed subset of U. We have Y Z = U : indeed fg = 0, and the condition f x g x = 0 implies that either f x or g x belongs to M x. Since U is irreducible as an open subset of an irreducible space, we have for example Y = U. In particular, for any affine open subset V = Spec A of U, the restriction of f to O X (V ) is nilpotent (because f belongs to Spec A, which is the nilradical of A), hence is zero (recall that X is reduced). Finally f = 0. Recall that a ring A is noetherian if any ideal of A is finitely generated (or equivalently : if any non empty family of ideals has a maximal element, or any ascending chain of ideals is stationary). There is an analogue of this property for schemes : 10

11 Definition 1.14 A scheme X is i) quasi-compact if every open cover of X has a finite subcover. 4 ii) locally noetherian if X can be covered by open affine subsets Spec A i, where each A i is a notherian ring. iii) noetherian if it is both noetherian and quasi-compact. Notice that any affine scheme SpecA is quasi-compact because Spec A is covered by affine subsets D(f i ) if and only if 1 belongs to the ideal generated by the f i, and in this case finitely many f i will do. Thus a scheme is noetherian if and only if it can be covered by finitely many SpecA i, with each A i noetherian. Proposition 1.15 The scheme Spec A is noetherian if and only if the ring A is noetherian. In particular if X is locally noetherian, then any affine open subset Spec A of X satisfies: the ring A is noetherian. Proof (sketch of) : The scheme Spec A can be covered by finitely many Spec A i, i = 1,..., r, with each A i noetherian. Refining the cover if necessary, we may assume that A i = A fi, with f i A. Now the result is a consequence of the following algebraic fact : if each A fi is noetherian and 1 (f 1,..., f r ), then A is noetherian. See [H], II.3.2. for a proof of this. Clearly a closed subscheme Y of a noetherian scheme X is noetherian (a closed subset of a quasi-compact topological space is quasi-compact, and X can be covered by affine subsets Spec A i, such that each Spec A i Y is isomorphic as a scheme to the spectrum of some quotient ring of A i ). The same statement for an open subscheme is not obvious, because an open subset of a quasi-compact space is not in general quasi-compact. It is nevertheless true : Proposition 1.16 Let X be a noetherian scheme. Then any open subscheme of X is noetherian. 4 Sometimes this is taken as the definition of a compact topological space, but usually the Hausdorff condition is required for this; moreover the good analogue of compact for a scheme of finite type over a field is proper, not quasi-compact. See below. 11

12 Proof : Using the previous proposition, it is clear that U is locally noetherian. To prove that U is quasi-compact, we use Lemma 1.17 Let X be a noetherian scheme. Then the topological space X is noetherian. (A topological space is noetherian if any descending chain of closed subsets is stationary, or equivalently if any non empty family of closed subsets has a minimal element; notice that the converse of the statement of the lemma is false, e.g. for Spec A with A= ring of integers of Q p ; then Spec A has two points but A is not noetherian). Proof of the lemma : Covering X by finitely many affine open subsets, it is sufficient to show the result when X is the spectrum of a noetherian ring A. In this case a descending chain of closed subsets is of the form V (I 1 )... V (I n )... Replacing each I n by its radical I n, we may assume that each I n satisfies I n = I n (recall that the radical of an ideal I is the ideal consisting of those x such that some power of x belongs to I). Then the condition that the sequence (V (I n )) is decreasing means exactly that the sequence (I n ) is increasing, hence is stationary because A is a noetherian ring. Now we can prove the proposition. Obviously, an open subset U of the noetherian space X is a noetherian topological space as well. In particular it is quasi-compact : indeed any non empty family of open subsets of U has a maximal element; now if (U j ) j J is an open cover of U, then the family of the j F U j for F finite has a maximal element, which gives a finite subcover of U. Corollary 1.18 Let X be a notherian scheme. Then any open immersion U X is of finite type. Proof : For any open affine subset Spec A of X, the open set Spec A U is quasi-compact, hence can be covered by finitely many D(f i ) = Spec A fi, and each A fi is a finitely generated A-algebra. Corollary 1.19 Let S be a scheme and let X, Y be two S-schemes. Assume that X is noetherian and of finite type over S. Then any S-morphism f : X Y is of finite type. 12

13 In particular any k-morphism between two affine or projective k-varieties is of finite type. Proof : Since any open subset of X is noetherian (hence quasi-compact), it is sufficient to prove that f is locally of finite type. But this follows from the fact that if B is an A-algebra and C is a B-algebra, then the property that C is finitely generated over A implies that it is finitely generated over B. Here is one last useful property of noetherian schemes (actually of noetherian topological spaces) : Proposition 1.20 Let X be a noetherian topological space. Then any closed subset Y can be written as a finite union Y = r i=1 Y i, where each Y i is irreducible and Y i Y j for i j. The decomposition is unique up to permutation. One says that the Y i are the irreducible components of Y. Caution : for a scheme X, there is in general no canonical closed subscheme structure on its irreducible components. Proof : Existence:consider the set of closed subsets that do not admit such a decomposition. If this set is non empty, it has a minimal element Y. Then Y is not irreducible, and can be written Y = Y 1 Y 2, where Y 1 and Y 2 are proper closed subsets. By minimality of Y, Y 1 and Y 2 have a decomposition into irreducible components, which contradicts the fact that Y has not. The condition Y i Y j for i j is obtained by removing some of the Y i if necessary. Unicity : if Y = r i=1 Y i = s i=1 Y i, then Y 1 = s i=1 (Y i Y 1 ). Since Y 1 is irreducible, this means that Y 1 is one of the (Y i Y 1), namely Y 1 Y i for some i, for example Y 1 Y 1. Then by symmetry Y 1 is a subset of Y l for some l, and the condition Y i Y j for i j implies that l = 1, that is Y 1 = Y 1. One concludes by induction on r. 2. Dimension of a scheme 2.1. Definition, first properties Definition 2.1 Let X be a scheme. The dimension of X (denoted dim X) if the supremum (possibly + ) of all integers n such that there exists a chain Y 0 Y 1... Y n 13

14 of distinct irreducible closed subsets of X. Notice that dim X depends only on the topological space structure of X. Proposition 2.2 Let X = Spec A. Then dim X is the Krull dimension dim A of A. Recall that the Krull dimension of a ring A is the supremum of ht for Spec A, where the height ht of a prime ideal is the supremum of all n such that there exists a chain 0... n = of distinct prime ideals of A. Also ht = dim A. Proof : An irreducible closed subset of Spec A is of the form V ( ) with prime. Now for ideals I, J equal to their radicals (e.g. prime ideals), the equality V (I) V (J) is equivalent to I J, whence the result. Examples. 1. The dimension of A n k is n (this follows from the fact that for any noetherian ring A, dim A[X 1,..., X n ] = n + dim A, see [M], chapter 5). The same is true for P n k (see theorem below). 2. The dimension of Spec Z is 1 (likewise for any principal ideal domain, or even Dedekind domain). 3. The dimension of Spec k or Spec (k[ε]) is zero for any field k. 4. Some rings of dimension 1 are not noetherian (take the ring of integers of Q p ), some noetherian rings are not of finite dimension (see Nagata s book Local rings ). Definition 2.3 Let X be a scheme and Y an irreducible closed subset of X. The codimension codim (Y, X) of Y in X is the supremum of all integers n such that there exists a chain of distinct closed irreducible subsets Y = Y 0... Y n 14

15 For example the codimension of the irreducible subset V ( ) in Spec A is the dimension dim(a/ ) of the domain (A/ ) ( Spec A). Caution. In general the equality dimy + codim (Y, X) = dim X does not hold, even if X is an integral affine scheme. Take X = Spec A where A = R[u] and R = k[[t]]. Then the prime ideal = (tu 1) of A satisfies ht = 1, but A/ R[1/t] is a field, hence is of dimension zero. Nevertheless dim A = dim R + 1 = 2. Similarly the dimension of a dense open subset of X = Spec A might be strictly smaller than dim X : take A = k[[t]], then dim(a[1/t]) = 0, thus the dimension of D(t) Spec A is zero. In the next subsection, we shall see that the situation is somewhat better for integral schemes of finite type over a field Dimension and schemes of finite type over a field The main result is the following. It is a consequence of important (and difficult) results in commutative algebra. Theorem 2.4 Let X be an integral scheme of finite type over a field k, with function field K. Then 1. dim X is finite, equal to the transcendence degree trdeg (K/k) of K over k. 2. For any non empty open subset U of X, dim X = dim U. 3. For any closed point P X, dim X = dim O X,P. Proof : First of all, 2. follows from 1. because X and U have the same function field. To prove 1., we remark that if (U i ) is an open cover of X, then X and U i have same function field and dimx = sup i (dim U i ); thus it is sufficient to prove 1. when X = Spec A is affine, where A is a finitely generated k-algebra with quotient field K. Now the formula dima = trdeg (K/k) is a classical result in commutative algebra (see [M], chapter 5). It is an easy consequence of Noether s normalisation lemma : there exists y 1,..., y r A, algebraically independent over k, such that A is a finite module over k[y 1,..., y r ]. To prove 3., one may assume (using 2.) that X is affine. then the result follows from the formula dim(a/ ) + ht = dim A 15

16 which holds for any finitely generated k-algebra A and any prime ideal of A (this is another consequence of Noether s normalisation lemma). Now we would like to be able to compute the dimension of a scheme of finite type over a field k without the assumption that it is integral. First af all, note that if X is any scheme, there is a reduced scheme X red, equipped with a closed immersion X red X, and with same topological space as X : for X = Spec A, one just takes X red = Spec (A red ), where A red is the quotient of A by its nilradical. The general case follows easily (see [H], II.3) fore more details. If X is any scheme of finite type over a field k, write X = r i=1 Y i the decomposition of X into irreducible closed subsets, and give Y i its structure of reduced scheme (starting from an arbitrary closed subscheme structure on Y i ). Then the dimension of each Y i (which does not depend on its scheme structure) can be computed using the formula with the transcendance degree, because each Y i can now be considered as an integral scheme. Then we have dim X = sup dim Y i 1 i r Indeed any closed irreducible subset Y of X satisfies Y = 1 i r (Y Y i), hence Y Y i = Y for some i, that is Y Y i ; therefore any descending chain of irreducible closed subsets of X is contained in some Y i. Here is another consequence of this principle, which extends Theorem 2.4 to non necessarily integral schemes. Let us say that a noetherian scheme is pure if each irreducible component of Y has the same dimension. Proposition 2.5 Let X be a scheme of finite type over a field k. Then 1. For a non empty open subset U, we have dim U = dim X if U is dense or if X is pure. 2. If X is pure, any closed irreducible subset Y of X satisfies dim Y + codim (Y, X) = dim X Proof : 1. If X is irreducible, we may assume it is reduced (replacing it by X red if necessary), hence integral and we apply Theorem 2.4. In general, let X = 1 i r Y i be the decomposition of X into irreducible subsets. Then any non empty open subset U of X meets Y i for some i. If X is pure, then dim X = dim Y i and dim U = dim(u Y i ) because U Y i is a non empty open subset of the irreducible scheme Y i (which is an integral scheme of finite 16

17 type over k when equipped with its reduced structure). Now assume that U is dense (but X not necessarily pure). Then U Y i for any i = 1,..., r because each Y i contains a non empty open subset of X (the complement in X of the union of Y j for j i). Thus dim(u Y i ) = dim Y i by the previous argument. Since dim U = sup 1 i r dim(u Y i ) and dim X = sup 1 i r dim Y i, we are done. 2. Since Y is contained in some irreducible component of X and X is pure, we may assume X irreducible. Let U be an affine open subset of X containing some point of Y, then dim X = dim U and dim Y = dim(y U) by 1. Moreover codim (Y, X) = codim (Y U, X U) : indeed Z Z U is a strictly increasing bijection between irreducible closed subsets of X containing Y and irreducible closed subsets of U containing Y U (if Y 1 contains strictly Y 2, with Y 1 and Y 2 Y irreducible, then Y 1 U is dense in Y 1, hence meets Y 1 Y 2 ). Therefore we may assume X = Spec A affine and Y = V ( ) with Spec A. Now the formula follows from dim(a/ ) + ht = dim A which holds for any k-algebra of finite type. Remark : As we have seen, the codimension formula is false, even for an integral and affine scheme X, if we do not assume that X is of finite type over a field. On the other hand, the formula is clearly false if X is not pure (take the disjoint union of a line and a point in the affine plane). One last result about schemes of finite type over a field : Proposition 2.6 Let X be a scheme of finite type over a field k. Then the closed points of X are dense. Again, this is false in general, e.g. X = Spec (k[[t]]). Proof : We can assume that X is integral (thanks to the decomposition of X into irreducible components). Let U = Spec A be an affine open subset of X. Then A has a maximal ideal, that is there exists a point x U which is closed in U. Now by Theorem 2.4, we have dim O X,P = dim O U,P = dim U = dim X. This shows that x is closed in any open affine subset Spec B of X (thanks to the formula dim(b/ ) + dim B = dim B, applied to the prime ideal Spec B corresponding to x). Therefore x is closed in X, and any non empty open subset of X has a closed point. Another approach consists of using the fact that a point is closed in X if and only if its residue field is a finite extension of k. 17

18 2.3. Morphisms and dimension Here again, intuitive results are false in general. For example a morphism f : Y X might be surjective with dim Y < dim X, e.g. Y = Spec (k((t)) k), X = Spec (k[[t]]); then X is of dimension 1, Y is of dimension zero, but the morphism Y X induced by the homomorphism k[[t]] k((t)) k, f(t) (f(t), f(0)) is surjective. The situation is somewhat better in two cases: finite morphisms and morphisms between schemes of finite type over a field. Theorem 2.7 Let f : Y X be a finite and surjective morphism of noetherian schemes. Then dim X = dim Y. The assumption surjective is of course necessary (for example a closed immersion is a finite morphism). Proof : One reduces immediately to the case when X, Y are affine. Let f : Spec B Spec A be a finite and surjective morphism, we have to show that dim A = dim B. We can suppose that SpecB and Spec A are reduced, replacing the homomorphism i : A B by A red B red (which is finite as well). Then the assumption that f is surjective implies that i is injective 5 : indeed any prime ideal of A which does not contain the kernel I of i is not in the image of f; and the assumption that A has no nilpotents implies that such a prime ideal exists if I 0 because the intersection of all prime ideals of A is zero. Now the result follows from the so-called Cohen-Seidenberg Theorem in commutative algebra ([M], chapters 2 and 5). Basically, it is related to the going-up theorem : if A is a subring of B with B/A finite, then for any pair of ideals p 1 p 2 of A, and any ideal P 1 of B lying over p 1, there is an ideal P 2 P 1 of B lying over p 2. Here is another result coming from commutative algebra : Theorem 2.8 Let f : Y X be a morphism of noetherian schemes. Let y Y and x = f(y). Let Y x be the fibre of Y at x. Then dim O Y,y dim O X,x + dim x Y x 5 One can check that for A reduced, i injective is equivalent to Spec B Spec A dominant, that is the image of Spec B is dense in Spec A) 18

19 (dim x Y x means the dimension of the local ring of the fibre Y x at x). A special case is when x, y are closed points of integral schemes of finite type over a field. Then the inequality means dim Y dim X dim Y x ( the dimension of the fibre is at least the relative dimension ). We shall see later that the equality holds in Theorem 2.8 in one important case : when the morphism f is flat. Proof : One reduces immediately to the affine case Y = Spec B, X = Spec A; then it is the formula ([M], chapter 5) : dim B dim A p + dim(b A k(p)) which holds for each prime ideal of B and its inverse image p Spec A (with residue field k(p) := Frac(A/p)). For schemes of finite type over a field, there is a more precise result : Theorem 2.9 Let f : Y X be a dominant morphism of integral schemes of finite type over a field k. Set e = dim Y dim X. Then there is a non empty open subset U of Y such that for any x f(u), the dimension of the fibre U x is e. Recall that dominant means that the image f(y ) is dense in X, or equivalently that the generic point of Y is mapped to the generic point of X. Proof : Shrinking Y and X if necessary, we may assume that Y = Spec B and X = Spec A are affine. Notice that the generic fibre Y η is of finite type 6 over the function field K of X; it is an integral scheme with same function field L as Y. Since trdeg (L/k) = trdeg (L/K) + trdeg (K/k) we obtain that dim Y η = e by Theorem 2.4, that is L/K is of transcendance degree e. Let t 1,..., t e be a transcendance base of L/K. Localising A and B if necessary, we can assume that t 1,..., t e B and that B is a finite module over A[t 1,..., t e ] because L is a finite field extension of K(t 1,..., t e ). Set X 1 = Spec (A[t 1,..., t e ]), then the morphism f factorises through a finite morphism Y X 1. Now for x X, the fibre Y x has a finite and surjective morphism to the fibre of X 1 X at x; the latter is isomorphic to A e k(x), hence is of dimension e. We conclude with Theorem One must be careful here: Y η is not of finite type over k, because Spec K Spec k is not a morphism of finite type. 19

20 3. Separated, proper, projective morphisms The usual notions of separated (that is Hausdorff) topological space, and of compact topological space are not convenient for schemes: for example Spec A is almost never Hausdorff, but is always quasi-compact. Nevertheless, one would like to say that for example A n C is separated but not compact because its set of complex points C n is Hausdorf and not compact; similarly P n C should be compact. That s the motivation for the following definitions. Since we might have to deal with quite general schemes, it is useful to define the notions of separated and proper in a relative context, that is to define them for morphisms, not for schemes Separated morphisms Let f : X Y be a morphism of schemes. The diagonal morphism is the morphism : X X Y X which induces the identity map on both components (the fibred product is relative to the morphism f). Definition 3.1 The morphism f is said to be separated if is a closed immersion. Notice that it is a relative notion (any scheme is separated over itself!). Proposition 3.2 Any morphism f : X Y of affine schemes is separated. Proof : For X = Spec B, Y = Spec A, the diagonal morphism comes from the homomorphism B A B B, b b bb, which is surjective. A non separated morphism is somewhat pathological. To have an example, we need the notion of glueing of two schemes. Let X 1, X 2 be two schemes, U 1, U 2 two open subsets (resp. of X 1, X 2 ), and assume that there is an isomorphism of schemes i : U 1 U 2. Then we define the scheme X obtained by glueing X 1 and X 2 along U 1 and U 2 as follows. As a topolgical space, X is the quotient of the disjoint union X 1 X2 by the equivalence relation x 1 i(x 1 ) (x 1 arbitrary in U 1 ), whence maps j 1 : X 1 X and j 2 : X 2 X, such that a set V is open in X iff j1 1 (V ), j2 1 (V ) are resp. open subsets of X 1, X 2. Now the sheaf O X is defined as : O X (V ) consists of the pairs (s 1, s 2 ) with s 1 O X1 (j1 1 (V )), s 2 O X2 (j2 1 (V )), such that s 1 and s 2 coincide on U 1 = U 2, that is the image of the restriction of s 1 to j1 1 (V ) U 1 by the isomorphism i is the restriction of s 2 to j2 1 (V ) U 2. 20

21 Now take X 1 = X 2 = A 1 k, U 1 = U 2 = A 1 k {P }, where P is the closed point corresponding to the origin. Then X is the affine line with two origins. 7 It is not separated over k because X k X is the plane with both axes doubled and four origins; the image of is the usual diagonal, which is not closed because it contains only two of the four origins. Remark : If the image of the diagonal morphism is closed, then the morphism is separated; indeed in this case induces a bicontinuous map from X to a closed subset of X Y X, and the condition about the surjectivity of the associated map of sheaves holds thanks to Proposition 3.2. Roughly speaking, separated means that there should be some unicity of the limit, that is if Z is a scheme and z Z, a morphism f from Z {z} to a separated scheme X should have at most one extension to Z (at least if the local ring O Z,z is reasonable, for example if Z is a nonsingular curve). The formalisation of this idea is the following theorem: Theorem 3.3 (Valuative criterion) Let f : X Y be a morphism of schemes with X noetherian. Then f is separated if and only if the following condition holds. Let R be any valuation ring with quotient field K, then for any commutative diagram Spec K X g i f Spec R Y (where i is the morphism induced by the inclusion R K) there is at most one extension Spec R X of the morphism g making the diagram commutative. For example if Y = Spec k and C is a nonsingular integral curve over k, the ring O C,P of C at any point P is a discrete valuation ring with quotient field K (the function field of C); any k-morphism from an open subset of C to a k-scheme X is defined at the generic point, hence yields a k-morphism Spec K X. The theorem says that if X is separated over k, then this morphism has at most one extension to P. The proof is highly technical, see [H], II.4. As an easy Corollary, we obtain 7 It should not be taken for the affine line with one doubled point, which is the affine scheme Spec (k[x, y]/(x 2, xy) 21

22 Corollary 3.4 Assume all schemes noetherian. Then 1. Open and closed immersions are separated. 2. A composition of two separated morphisms is separated. 3. A separated morphism remains separated after base extension. Definition 3.5 Let k be a field. A k-variety is a scheme, separated and of finite type over k. 8 Here is another property looking like unicity of the limit : Proposition 3.6 Let S be a scheme, X a reduced and noetherian S-scheme, Y a separated S-scheme. Let U be a dense open subset of X, and f, g two S-morphisms X Y which coincide on U. Then f = g. Proof : Consider the morphism h : X Y S Y given by (f, g). Since f and g coincide on U, the image f(u) of U is contained in the image (Y ) of the diagonal map : Y Y S Y. The map f is continuous, which implies that the image f(u) of the closure of U is a subset of f(u). But f(u) is contained in (Y ) ( (Y ) being closed in Y S Y because Y is separated over S) and f(u) = f(x) (U is dense in X by assumption). This shows that the set-theoretic maps f and g agree on X. It remains to show that the corresponding f # and g # coincide as well. Since this is a local question, we can assume that all relevant schemes are affine. Set X = Spec B, Y = Spec A. Let ϕ, ψ the homomorphisms A B resp. associated to f, g. Let a A, set b = ϕ(a) ψ(a). By assumption the restriction of b to U is zero; thus U V (bb), hence V (bb) = Spec B because V (bb) is a closed and dense subset of Spec B. Therefore b is a nilpotent element of B, that is b = 0 (X is reduced). Finally ϕ = ψ. Notice this last statement about separated morphisms : if X is separated over an affine scheme S, and U, V are two affine open subsets of X, then U V is affine (it is easy to see that U V U S V is a closed immersion). 8 Some authors require further that a variety is integral. 22

23 3.2. Proper morphisms Recall that a map between two topological spaces is closed if the image of any closed subset is a closed subset. Such is the case for example for a continuous map between (Hausdorff) compact topological spaces. This suggests the following definition. Definition 3.7 A morphism f : X Y is proper if it is separated, of finite type, and universally closed (the latter means that for any morphism Y Y, the corresponding map X Y Y Y is closed). For example, the affine line A 1 k is not proper over Speck. Indeed the projection A 1 k k A 1 k = A2 k A1 k is not closed: the image of the closed subset xy = 1 (the hyperbola) is A 1 k {0}, which is not closed (it is a dense open subset of the affine line). We shall see that projective k-varieties are proper over Speck. Proposition 3.8 Any finite morphism f : X Y (with X noetherian) is proper. Proof : Cover X with affine subsets U i = Spec A i, such that the inverse image f 1 (U i ) is isomorphic to SpecB i, with B i of finite type as an A i - module. Using the valuative criterion and the fact that a morphism of affine schemes is separated, it is immediate that f is separated. Now for any homomorphism of rings ϕ : A B with B finite over A, the corresponding morphism g : Spec B Spec A is closed (if B is noetherian) thanks to the going-up theorem 9, which shows in particular that g(v ( )) = V (ϕ 1 ( )) for each prime ideal of B; thus the image of an irreducible closed subset is closed, and any closed subset is a finite union of irreducible closed subsets because B is noetherian. Applying this to each SpecB i Spec A i, we see that any finite morphism is closed. Since finite morphisms are stable under base extension, we are done. As for separated morphisms, there is a valuative criterion. Theorem 3.9 (Valuative criterion of properness) Let f : X Y be a morphism of finite type with X noetherian. Then f is proper if and only if the following condition holds. Let R be any valuation ring with quotient field K, then for any commutative diagram 9 ϕ is not necessarily injective, but one can just apply the Cohen-Seidenberg Theorem to the induced homomorphism A/ ker ϕ B. 23

24 Spec K X g i f Spec R Y (where i is the morphism induced by the inclusion R K) there is a unique extension Spec R X of the morphism g making the diagram commutative. For a projective variety X over a field k, the valuative criterion corresponds to the following intuitive fact: take R a valuation ring, K its quotient field, Spec K X a K-point. Then you can make it an R-point by removing the denominators, because on P n k, the K-points with homogeneous coordinates (x 0,..., x n ) and (dx 0,..., dx n ) are the same for any d 0. Here are some consequences of the valuative criterion of properness: Corollary Closed immersions are proper. 2. The composition of two proper morphisms is proper. 3. Properness is stable by base extension. 4. If X is proper over S and Y is separated over S, then any S-morphism X Y is proper (this will work for example to projective k-varieties). The most important class of proper morphisms is the class of projective morphisms; this is a relative version of projective varieties over a field Projective morphisms For any scheme Y, set P n Y = Pn Z Spec Z Y, where P n Z = Proj (Z[x 0,...x n ]). Definition 3.11 A morphism of schemes f : X Y is projective if it has a factorisation f = p i, where i : X P n Y is a closed immersion, and p : P n Y Y is the projection. For example let A be a ring, and S = A[x 0,..., x n ]/I a graded ring, where I is some homogeneous ideal of S := A[x 0,..., x n ]. Then the natural morphism Proj S Spec A is projective. Indeed the morphism Proj S Proj S = P n A is a closed immersion. Here is the main theorem about projective morphisms: Theorem 3.12 A projective morphism of noetherian schemes is proper. 24

25 Proof : Properness is stable by base extension, and a closed immersion is proper, hence it is sufficient to prove the result for the projection π : X = P n Z SpecZ. Write X as the union of the open affine subsets D +(x i ) = SpecZ[x 0 /x i,..., x n /x i ]. Each one is isomorphic to the affine space over Z, so π is of finite type. We apply the valuative criterion: let R be a valuation ring with quotient field K, v : K (G, +) the corresponding valuation. Consider a commutative diagram Spec K X Spec R Spec Z Let ξ X the image of the point of Spec K; we may assume that ξ belongs to every V i (else we reduce to the case of P n 1 Z because P n Z V i is isomorphic to P n 1 Z ). This means that each x i/x j is invertible in O X,ξ, hence has an image (still denoted x i /x j ) in k(ξ), where k(ξ) is the residue field of ξ. We have an inclusion of fields i : k(ξ) K corresponding to the K- point ξ on X. Let f ij = i(x i /x j ) K, and set g i = v(f i0 ) for i = 0,..., n. Denote by g k the smallest g i for the ordering in G. Then v(f ik ) = g i g k is non negative, hence f ik R for each i (we have removed the denominators, using homogeneity). Therefore the K-point ξ extends to an R-point via the homomorphism Z[x 0 /x k,..., x n /x k ] R obtained by sending each x i /x k to f ik, which gives a morphism Spec R V k X. Unicity is obvious. The question of deciding whether a proper variety is projective is in general quite difficult. One should be aware that: Any proper curve is projective. Every non singular proper surface is projective, but there are counterexamples for singular surfaces. In dimension 3, there exist proper and non projective regular varieties (e.g. among the so-called toric varieties). 25

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