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Frobenius on the affine line is finite flat but not smooth

Statement

Let k=Fp for a prime p and let F:Spec⁡k[u]→Spec⁡k[t] be the morphism induced by the k-algebra map k[t]→k[u], t↦up (the relative Frobenius on the affine line).

  1. k[u] is a free k[t]-module with basis 1,u,…,up−1, so F is a finite, flat, locally finitely presented morphism, finite locally free of rank p.
  2. The fibre of F over the prime (t)∈Spec⁡k[t] is Spec⁡k[u]/(up); its local ring at the prime (u) has dimension zero and embedding dimension one, hence is not regular.
  3. Consequently the fibre is not geometrically regular at (u), so F is not smooth at (u) and not étale at (u); in particular F is neither smooth nor étale, and finite flat of finite presentation does not imply smooth.

The relative derivative d(t)/du=pup−1=0 in k[u] corroborates the failure: the differential of the defining equation of the presentation k[t]→k[t][u]/(up−t) vanishes identically.

Facts & Assumptions

Given: The data and hypotheses displayed in the Statement, with the conventions fixed there.

[F1]

A morphism f:X→S is flat at x when OX,x is flat over OS,f(x), and flat when this holds everywhere (Flat morphism of schemes); for affine charts U=Spec⁡B⊆X, V=Spec⁡A⊆S with f(U)⊆V, flatness at every point of U is equivalent to flatness of B over A (Affine-local flatness).

[F2]

A free module over a commutative ring is projective and flat (Under the stated choice boundary, free modules are projective and hence flat).

[F3]

A morphism f:X→S is finite when for every affine open Spec⁡A⊆S its inverse image is affine, say Spec⁡B, and B is a module-finite A-algebra (Finite morphisms of schemes).

[F4]

A morphism is locally of finite presentation when it has affine charts on which the ring map is a finitely presented algebra map (Locally finite presentation morphisms); a polynomial algebra over a ring is finitely presented and a quotient by a finitely generated ideal is finitely presented (Finitely presented modules and finitely presented algebras).

[F5]

A morphism f:X→S is smooth at x exactly when it is locally of finite presentation at x, flat at x, and its scheme-theoretic fibre at f(x) is geometrically regular at x; in particular a fibre that is not geometrically regular at x makes smoothness fail there (Smooth morphism of schemes).

[F6]

For a finitely presented ring map R→S with p=q∩R, the fibre at q is S⊗Rκ(p), and geometric regularity at q quantifies over every field extension K/κ(p); taking K=κ(p) shows that geometric regularity at q forces regularity of the localisation of S⊗Rκ(p) at the image of q (Geometrically regular algebras and geometrically regular fibres).

[F7]

For a nonzero commutative Noetherian local ring (T,n) the embedding dimension is edim⁡T=dim⁡κ(n/n2) and T is regular exactly when dim⁡T=edim⁡T (embedding dimension and regular local ring).

[F8]

A scheme is étale at x when it is smooth at x and of relative dimension zero at x; hence étaleness at x implies smoothness at x (Étale morphism of schemes).

[F9]

For ring maps A→B, A→A′ there is a canonical isomorphism Spec⁡B×Spec⁡ASpec⁡A′≅Spec⁡(B⊗AA′) (Affine fibre products are spectra of tensor products), and −⊗AA′ is right exact, so B⊗k[t]k≅k[u]/(up) for B=k[t][u]/(up−t) and k[t]→k, t↦0 (Tensoring is right exact).

[F10]

The Krull dimension of a commutative ring is the supremum of lengths of strict chains of prime ideals (Krull dimension of a nonzero ring); every prime ideal contains the nilradical, and a maximal ideal is a prime that admits no larger proper prime (Prime ideals and maximal ideals in a commutative ring).

Proof

technique · direct
1.1given

The presentation. B:=k[u]=k[t][u]/(up−t) (the quotient map sends u to the class of u, and up=t holds in B). We claim that 1,u,…,up−1 is a k[t]-basis of B. Every power un with n≥p equals t un−p, so the displayed elements span B over k[t] and every element of B is ∑i=0p−1ci(up)ui with ci∈k[t]. If such a combination vanishes in k[u], then its coefficients in the basis {un:n≥0} of k[u] over k all vanish; the exponent n receives contributions only from the i with i≡n(modp), hence ci(up)=0 for all i and ci=0 because u is transcendental over k. This proves the claim.

2.1F3F4step 1.1

Finiteness and finite presentation. The basis of step 1.1 exhibits B as a module-finite k[t]-algebra, generated by u (indeed by 1,u,…,up−1), so F is finite by [F3]. Moreover k[t][u] is a polynomial algebra over k[t], hence a finitely presented k[t]-algebra by [F4], and B is its quotient by the principal ideal (up−t), so B is a finitely presented k[t]-algebra and F is locally of finite presentation by [F4].

2.2F1F2step 1.1

Flatness. By step 1.1, B is a free k[t]-module, hence flat over k[t] by [F2]. The morphism F has the single affine chart Spec⁡B→Spec⁡k[t], so flatness at every point follows from the affine-local criterion [F1].

2.3F9step 1.1

The special fibre. Applying [F9] to k[t]→B and the residue map k[t]→k, t↦0, the fibre over the prime (t) is B⊗k[t]k=k[u]/(up). The prime (u)⊆B lies over (t) because t=up∈(u), and its image in the fibre is the maximal ideal (u)k[u]/(up).

3.1F7F10step 2.3

The fibre local ring is not regular. Write R=(k[u]/(up))(u) for the local ring of the fibre at the image of (u), with maximal ideal m=(u)R. Since up=0 in R, one has mp=0⊆P for every prime P of R; as P is prime this forces m⊆P, hence P=m by maximality of m. Thus m is the only prime of R and dim⁡R=0 by [F10]. On the other hand u∉m2 and m=(u), so m/m2 is one-dimensional over κ=k, i.e. edim⁡R=1 by [F7]. Therefore dim⁡R=0≠1=edim⁡R and R is not regular.

4.1

Failure of smoothness. If the fibre were geometrically regular at the image of (u), then by the case K=κ((t))=k of [F6] the local ring R would be regular; step 3.1 shows it is not, so the fibre is not geometrically regular at that point. Since F is locally of finite presentation (step 2.1) and flat (step 2.2) but its fibre fails geometric regularity, [F5] shows that F is not smooth at the prime (u)∈Spec⁡k[u]. By [F8] F is therefore not étale at (u), and hence neither smooth nor étale; the relative derivative remark in the Statement is the observation that the Jacobian of the presentation k[t][u]/(up−t) is pup−1=0 in k[u]. [F5, F6, F8, step 3.1] □

Depends on

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