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Upper semicontinuity of fibre cohomology dimensions

Statement

Assume the Axiom of Choice and the Axiom of Dependent Choice (The Axiom of Choice, The axiom of dependent choice: a relation in which every element is related to something admits an N-indexed chain), inherited from the perfect-complex construction cited below. Let f:X→S be a proper morphism of finite presentation (Proper morphisms, Locally finite presentation morphisms) with S an arbitrary scheme, and let F be a coherent OX-module (Coherent module sheaves) that is flat over S: for every x∈X the stalk Fx is a flat module over the local ring OS,f(x) (Flat and faithfully flat modules and ring homomorphisms, A local ring is a nonzero commutative ring with a unique maximal ideal). By [F2] such an F is finitely presented.

For s∈S let κ(s) be the residue field (The residue field at a point of an affine scheme), let Xs:=X×SSpec⁡κ(s) be the fibre of f over s with projection gs:Xs→X (Base change of objects, morphisms and properties), and let Fs:=gs∗F (Pullback of a module along a morphism of ringed spaces). Then for every integer q≥0 the function hq:S⟶N,hq(s):=dim⁡κ(s)Hq(Xs,Fs), is finite-valued, and, regarded as a real-valued function via the inclusion N⊆R, it is upper semicontinuous in the sense of Upper semicontinuous real map on a topological space: for every a∈R the strict sublevel set {s∈S:hq(s)<a} is open in S, equivalently every superlevel set {s∈S:hq(s)≥a} is closed. Equivalently, and this is the form proved below, every point s0∈S has an open neighbourhood W⊆S with hq(s)≤hq(s0) for all s∈W.

The empty source X=∅, the zero sheaf F=0, the empty base S=∅, the degree q=0, a perfect complex concentrated in degree 0, an affine or non-Noetherian base S and the case Xs=∅ for some or all s are included. No Noetherianness, projectivity, flatness of f or finite-dimensionality hypothesis beyond the stated ones is imposed, and no hypothesis at all is imposed on the cohomology and base-change maps of Cohomology and base change for proper flat coherent families: coherence of F enters only through the finite presentation supplied by [F2].

Facts & Assumptions

Given: The Axiom of Choice and the Axiom of Dependent Choice, a proper morphism of finite presentation f:X→S with S arbitrary, a coherent OX-module F flat over S, an integer q≥0, and a point s0∈S.

[F1]

Properness, finite presentation and affine charts: a proper morphism is separated, of finite type and universally closed; a morphism of finite type is quasi-compact; every point of a scheme has an affine open neighbourhood, so there is an affine open U=Spec⁡A⊆S containing s0; the points of U are the primes m⊆A, with residue field κ(m)≅Am/mAm; the open subscheme XU:=f−1U represents the fibre product X×SU, its structure morphism XU→U is proper, and base change of a locally finitely presented morphism is again locally of finite presentation, so XU→U is proper of finite presentation. (Proper morphisms, Locally finite type and finite type morphisms, Quasi-compact and quasi-separated morphisms, Locally finite presentation morphisms, Schemes, The underlying space of an affine spectrum, The residue field at a point of an affine scheme, Affine open subschemes, Restricting fibre products to open subschemes, Properness survives arbitrary base change, Local finiteness conditions under base change)

[F2]

Coherence implies finite presentation: a coherent OX-module is quasi-coherent of finite type, and the kernel of every morphism OUn→F∣U is of finite type; hence on an affine open Spec⁡B with F∣Spec⁡B≅M~ and M finitely generated, the kernel of a surjection Bn→M is finitely generated and M is finitely presented, so F is finitely presented; restrictions of coherent modules to open subschemes are coherent. (Coherent module sheaves, Finite type and finitely presented module sheaves, Quasi-coherent module on a scheme, Kernel sheaves are objectwise, while cokernels and images are sheafified, Finitely presented modules and finitely presented algebras, Affine quasi-coherent sheaves are modules)

[F3]

The universal perfect complex: for the commutative ring A, the proper morphism of finite presentation XU→Spec⁡A and the finitely presented module FU:=F∣XU that is flat over A (each stalk flat over the corresponding base local ring), there are an integer r≥0 and a bounded complex K∙ of finitely generated projective A-modules, concentrated in degrees 0,…,r and finite free in positive degrees, with canonical isomorphisms θA′:Hq(K∙⊗AA′)≅Hq((XU)A′,(FU)A′) for every A-algebra A′ and every q∈Z, natural in A′; here K∙⊗AA′ is the termwise tensor complex and Hq is the cohomology object of a cochain complex. The Axiom of Choice and the Axiom of Dependent Choice are inherited from this supplier. (Universal finite projective cohomology complex over any base, The tensor product of a right and a left chain complex is totalized by direct sums with the Koszul differential, Cohomology object of a cochain complex, Base change of objects, morphisms and properties, Pullback of a module along a morphism of ringed spaces, The Axiom of Choice, The axiom of dependent choice: a relation in which every element is related to something admits an N-indexed chain)

[F4]

Open restriction commutes with base change: for a morphism f:X→S, an open U⊆S and the open subscheme XU=f−1U representing X×SU, and for every S-scheme T whose structure morphism to S factors through U, there is a canonical identification X×ST≅XU×UT compatible with the projections; consequently, for s∈U the fibre of f at s is canonically identified with the fibre of fU:XU→U at s, and under this identification the pullback of F to the fibre of f corresponds to the pullback of FU to the fibre of fU, by the composition rule f∗g∗≅(g∘f)∗ for pullbacks of modules. (Restricting fibre products to open subschemes, Iterated base change, Base change of objects, morphisms and properties, Pullback of a module along a morphism of ringed spaces)

[F5]

Cohomology is invariant under isomorphism: if a morphism of schemes is an isomorphism and the coefficient sheaves on source and target correspond under the pullback along it, then the pullback maps of sheaf cohomology along the isomorphism and along an inverse are mutually inverse, by the compatibility with composition and the identity clause of the variance of sheaf cohomology. (Variance of sheaf cohomology, Sheaf cohomology as right derived global sections)

[F6]

Fibres of associated sheaves and quotients of finitely generated modules: let A be a commutative ring, N a finitely generated A-module and p⊆A a prime with OSpec⁡A,p=Ap; then the canonical maps (N~)p→Np and Np→N⊗AAp are isomorphisms, and the fibre N~(p)=(N~)p⊗Apκ(p) is canonically isomorphic to N⊗Aκ(p) through the associativity and unit isomorphisms for tensor products. A quotient module of a finitely generated module is finitely generated: the images of any generating family generate the quotient. (The stalk of an associated sheaf is the localisation, Fibre of a module sheaf at a point, Localisation of modules is extension of scalars, Associativity of tensor products for compatible bimodules, The regular module is a tensor unit: R⊗RN≅N and M⊗RR≅M, Module sheaf on an affine scheme, The underlying space of an affine spectrum, Generated submodule, cyclic and finitely generated modules, module basis and free module, Quotient module M/N with scalar multiplication on additive cosets)

[F7]

Rank-nullity over a field and cokernels of linear maps: for a linear map T:V→W of vector spaces over a field with V finite-dimensional, dim⁡V=dim⁡ker⁡T+rank⁡T where rank⁡T=dim⁡im⁡T, and if T is surjective then W is finite-dimensional with dim⁡W=dim⁡V−dim⁡ker⁡T; dimensions of quotient spaces enter the proof only through this identity applied to surjections. For an R-module homomorphism f:M→N the cokernel is the quotient module coker⁡f=N/im⁡f, and the canonical projection N→coker⁡f is a surjective homomorphism with kernel im⁡f; over a field this is the quotient map of the vector space N by its subspace im⁡f, so the surjective form above applies with V=N and W=coker⁡f. (Rank-nullity: dim⁡FV=nullity⁡T+rank⁡T, Rank and nullity of a linear map with finite-dimensional domain, Finite-dimensional vector space, and its dimension dim⁡FV; infinite-dimensional means having no finite basis, Module homomorphism and isomorphism, kernel, image and cokernel, Quotient module M/N with scalar multiplication on additive cosets, The quotient vector space V/W and its canonical projection, Coset equality, well-defined quotient operations, and the canonical projection with kernel W)

[F8]

Finitely generated projective modules: a finitely generated module is a quotient of a finite free module; a surjection onto a projective module splits, so a finitely generated projective module is a direct summand of a finite free module, hence finitely generated and finitely presented; over a local ring (R,n), a finitely generated module N whose residue classes generate N/nN is generated by lifts of those classes, and if Rm→N is a split surjection with kernel N′ then the induced surjection Rm/nRm→N/nN is an isomorphism only if N′=nN′, so N′=0 and N≅Rm is free. The implication from projectivity to the splitting uses the Axiom of Choice. (Generated submodule, cyclic and finitely generated modules, module basis and free module, The splitting lemma for short exact sequences of modules, Equivalent characterizations of projective modules, Projective modules and the lifting property, Assuming the Axiom of Choice, Nakayama's lemma, Assuming the Axiom of Choice, generators modulo an ideal in the Jacobson radical lift to generators, The Jacobson radical of a ring, A local ring is a nonzero commutative ring with a unique maximal ideal, Finitely presented modules and finitely presented algebras, The Axiom of Choice)

[F9]

The free locus and the fibre dimension: let P be a finitely generated projective A-module with associated sheaf P~ on Spec⁡A; for ρ≥0 the locus Zρ={p∈Spec⁡A:P~p≅OSpec⁡A,p ρ} is open and P~ is locally free of rank ρ on it. For the prime p, the stalk is P~p≅Pp and the fibre is P~(p)≅P⊗Aκ(p) by [F6]; on Zρ this fibre is κ(p)ρ, so the function p↦dim⁡κ(p)(P⊗Aκ(p)) is constant with value ρ on Zρ. (Openness of the finite free locus, Locally free sheaves of finite rank, Fibre of a module sheaf at a point, The stalk of an associated sheaf is the localisation, Affine quasi-coherent sheaves are modules, Module sheaf on an affine scheme, Localisation of modules is extension of scalars, Associativity of tensor products for compatible bimodules, The regular module is a tensor unit: R⊗RN≅N and M⊗RR≅M, Tensor products commute with arbitrary direct sums)

[F10]

Fitting ideals control fibre dimensions: let G be a quasi-coherent OX-module of finite type on a scheme X, with Fitting ideal sheaves Fitt⁡r(G)⊆OX and fibre G(x)=Gx⊗κ(x); then for every r≥0 the locus D(Fitt⁡r(G))={x∈X:dim⁡κ(x)G(x)≤r} is open in X. In particular, for a finitely generated module N over a commutative ring A and a prime p⊆A, the set of primes p′ with dim⁡κ(p′)(N⊗Aκ(p′))≤dim⁡κ(p)(N⊗Aκ(p)) is an open neighbourhood of p in Spec⁡A, the fibre of N~ being N⊗Aκ(p′) by [F6]. (Fitting ideals control fibre generator loci, Fitting ideal sheaves, Fibre of a module sheaf at a point, Finite type and finitely presented module sheaves)

[F11]

Upper semicontinuity and openness: a map g:T→R on a topological space is upper semicontinuous exactly when every strict sublevel set {t:g(t)<a} is open, equivalently when every superlevel set {g(t)≥a} is closed; the underlying topological space of a scheme is a topological space, and an arbitrary union of open sets is open, so a subset of a topological space that contains an open neighbourhood of each of its points is open. (Upper semicontinuous real map on a topological space, Topology on a set, open and closed sets, clopen sets, the closed-set axiomatisation, and the coarser/finer comparison, Schemes)

[F12]

Cohomology and base change (used only in the comparison of 1.10): for the family of the statement, a point s∈S and q≥0, the cohomology and base-change map is the κ(s)-linear map φsq:(Rqf∗F)(s)→Hq(Xs,Fs) out of the fibre of the higher direct image sheaf (Cohomology and base-change map, Higher direct image of a sheaf, Fibre of a module sheaf at a point, Pullback of a module along a morphism of ringed spaces, The residue field at a point of an affine scheme). If φsq and φsq−1 are surjective (the second condition being automatic for q=0), then Rqf∗F is locally free of finite rank in a neighbourhood of s, and there is an affine open neighbourhood U⊆S of s such that for every morphism h:T→U, with gT:XT→X the projection, the base-change map h∗(Rqf∗F∣U)→RqfT∗(gT∗F) is an isomorphism of OT-modules; for T=Spec⁡κ(u) with u∈U the left side has global sections the fibre (Rqf∗F)(u), by the affine localisation of higher direct images and the pullback formula for associated sheaves, and the right side has global sections Hq(Xu,Fu), so the fibre of the finite locally free sheaf Rqf∗F at u is identified with Hq(Xu,Fu) and its dimension is the rank. (Cohomology and base change for proper flat coherent families, Higher direct images localize over an affine base, Scheme pullback preserves quasi-coherence, Affine quasi-coherent sheaves are modules, Module sheaf on an affine scheme, Locally free sheaves of finite rank, Base change of objects, morphisms and properties, Restricting fibre products to open subschemes)

[F13]

The Axiom of Choice and the Axiom of Dependent Choice are the choice principles named in the statement. (The Axiom of Choice, The axiom of dependent choice: a relation in which every element is related to something admits an N-indexed chain)

Proof

technique · direct: restrict to an affine chart of the base, let the universal perfect complex compute every fibre's cohomology, express each fibre cohomology dimension over its residue field by rank-nullity as a difference of fibre term dimensions and differential ranks, observe that the term dimensions are constant on the open free loci while the cokernel fibre dimensions are upper semicontinuous by Fitting ideals, and conclude that the cohomology dimension does not increase on a neighbourhood of each point
1.1F1F2given

The affine chart and its data. Fix s0∈S and choose by [F1] an affine open U=Spec⁡A⊆S containing s0; write m0⊆A for the corresponding prime, put XU:=f−1U≅X×SU and FU:=F∣XU. By [F1] the morphism fU:XU→U is proper of finite presentation; by [F2] the restriction FU is coherent and finitely presented, conditions that are local on the source and pass to open subschemes; and FU is flat over A, because for x∈XU one has (FU)x=Fx and OU,fU(x)=OS,f(x). Fix q≥0 for the rest of the proof.

1.2F31.1

The universal complex on the chart. By 1.1 the hypotheses of [F3] hold for the proper finitely presented morphism fU and the finitely presented module FU flat over A, so there are an integer r≥0 and a bounded complex K∙ of finitely generated projective A-modules, concentrated in degrees 0,…,r and finite free in positive degrees, with canonical isomorphisms θA′:Hq(K∙⊗AA′)≅Hq((XU)A′,(FU)A′) for every A-algebra A′ and every q∈Z.

1.3F3F4F51.2

The fibre cohomology computed by the complex. Let p∈U, with residue field κ(p) and s:=p∈S. By [F4] the fibre Xs=X×SSpec⁡κ(s) is canonically identified with the fibre (XU)κ(p)=XU×USpec⁡κ(p) of fU at p, carrying Fs to (FU)κ(p); by [F5] the cohomology groups correspond, so Hq(Xs,Fs)≅Hq((XU)κ(p),(FU)κ(p)) as κ(p)-vector spaces for every q. Composing with θκ(p) of 1.2 applied to the A-algebra κ(p) gives, for every q≥0, hq(p)=dim⁡κ(p)Hq(K∙⊗Aκ(p)), where K∙⊗Aκ(p) is the termwise tensor complex over the field κ(p).

1.4F6F71.3

The fibre complex and its dimensions. Put C∙:=K∙⊗Aκ(p), write dpj:Cj→Cj+1 for its differentials, and put ej(p):=dim⁡κ(p)Cj; then Cj=0 and ej(p)=0 for j∉{0,…,r}. Each ej(p) is a natural number: Kj is finitely generated, hence a quotient of a finite free A-module An, so Cj is a quotient of the finite-dimensional space κ(p)n, and [F7] gives dim⁡κ(p)Cj<∞. Applying the first identity of [F7] to dpq and to dpq−1, and the surjective identity of [F7] to the canonical projection ker⁡dpq→Hq(C∙)=ker⁡dpq/im⁡dpq−1 with kernel im⁡dpq−1, gives hq(p)=dim⁡κ(p)ker⁡dpq−rank⁡dpq−1=eq(p)−rank⁡dpq−rank⁡dpq−1, where rank⁡dpj is the rank of the κ(p)-linear map dpj; in particular hq(s) is a natural number for every s∈U.

1.5F6F71.4

Cokernels and the rank identity. For every j∈Z let Nj:=coker⁡(dj:Kj→Kj+1)=Kj+1/im⁡(dj) be the cokernel of the differential of K∙; it is a finitely generated A-module, because Kj+1 is finitely generated and Nj is a quotient of it, by [F6]. Tensoring the right-exact sequence Kj→djKj+1→Nj→0 with κ(p) yields an exact sequence Cj→dpjCj+1→Nj⊗Aκ(p)→0, so Nj⊗Aκ(p)≅coker⁡(dpj); by [F6] the fibre at p of the associated sheaf Nj~ on Spec⁡A is Nj~(p)≅Nj⊗Aκ(p). Applying the surjective form of [F7] to the canonical projection Cj+1→coker⁡(dpj), whose kernel is im⁡(dpj), gives rank⁡dpj=ej+1(p)−dim⁡κ(p)(Nj⊗Aκ(p)), valid for every j and every p∈U, with both sides equal to 0 when j≥r (where Kj+1=0 and Nj=0) and when j<0 (where Kj=0, dj=0 and Nj=Kj+1 with rank⁡dpj=0).

1.6F6F8F91.4

Constant term dimensions on an open neighbourhood. By [F8] each Kj is finitely generated projective, hence finitely presented, and by [F6] and [F9] the loci Zj(ρ)={p∈U:Kj~p≅OU,p ρ} are open and the fibre dimension ej(p) is constant with value ρ on Zj(ρ). Since Km0j is free over the local ring Am0 by [F8], with ej:=ej(m0) one has m0∈Zj(ej); hence V:=⋂j=0rZj(ej) is an open neighbourhood of m0 in U, and for every p∈V and every j∈{0,…,r} one has ej(p)=ej, while ej(p)=0 for j∉{0,…,r}.

1.7F6F101.51.6

Upper semicontinuity of the cokernel fibre dimensions. Fix j∈Z and put dj:=dim⁡κ(m0)(Nj⊗Aκ(m0)), the fibre dimension of Nj~ at m0; the module Nj is finitely generated by 1.5, so Nj~ is quasi-coherent of finite type on U and [F10] shows that Wj:={p∈U:dim⁡κ(p)(Nj⊗Aκ(p))≤dj}={p∈U:dim⁡κ(p)Nj~(p)≤dj} is open in U and contains m0. On the open set V∩Wj, using 1.5, 1.6 and the constancy of ej+1 on V, rank⁡dpj=ej+1−dim⁡κ(p)(Nj⊗Aκ(p))≥ej+1−dj=rank⁡dm0j.

1.81.41.7

The cohomology dimension does not increase near s0. Set W:=V∩Wq∩Wq−1, an open subset of U containing m0. For every p∈W, combining 1.4 with the inequalities of 1.7 for j=q and j=q−1 gives hq(p)=eq−rank⁡dpq−rank⁡dpq−1≤eq−rank⁡dm0q−rank⁡dm0q−1=hq(m0). Since W⊆U⊆S is open in S and contains the point s0 corresponding to m0, this exhibits for s0 an open neighbourhood on which hq does not exceed its value at s0.

1.9F111.8

Upper semicontinuity. The point s0∈S was arbitrary in 1.1-1.8, so every point of S has an open neighbourhood on which hq does not exceed its value at that point. Let a∈R and put Aa:={s∈S:hq(s)<a}; for every s∈Aa the neighbourhood just produced is contained in Aa, because hq(t)≤hq(s)<a for every t in it. Hence Aa=⋃{O⊆S open:O⊆Aa}: the inclusion from right to left is clear, and the converse holds because each s∈Aa lies in an open O⊆Aa. By the union axiom of [F11] this arbitrary union of open sets is open, so Aa is open and equivalently each superlevel set {hq≥a} is closed; regarded as a real-valued function, hq is therefore upper semicontinuous on S.

1.10F121.21.81.9

Comparison with the base-change hypotheses (context, not used above). If at s0 the maps φs0q and φs0q−1 of [F12] are surjective -- for q=0 the second condition is automatic -- then [F12] supplies an open neighbourhood of s0 on which Rqf∗F is locally free of finite rank and every base change of Rqf∗F is an isomorphism, and the base change to Spec⁡κ(u) identifies the fibre of Rqf∗F at a nearby point u with Hq(Xu,Fu); the function hq is then constant, equal to that rank, on a neighbourhood of s0. The argument of 1.1-1.9 assumes no such surjectivity and covers the points where the base-change maps fail to be isomorphisms: this is exactly the content of the corollary, and it is the reason the fibre cohomology is computed from the universal complex of 1.2 rather than from Rqf∗F.

2.1F3F8F9F10F131.21.41.61.7∎

Boundaries and choice. If X=∅ then every fibre Xs is empty, all groups Hq(Xs,Fs) vanish by the empty-sum convention of the cohomology functor, and hq≡0 is constant; the same conclusion holds if F=0 or if the complex of 1.2 is the zero complex, and in the latter case r=0, K0=0 and every ej=0, so that V=Wj=U in 1.6 and 1.7. If S=∅ then hq has empty domain, every strict sublevel set is empty and therefore open, and the pointwise form of the statement is vacuous. A fibre Xs=∅ at a point is included: by the comparison of 1.3 the complex K∙⊗Aκ(p) has vanishing cohomology, and 1.4 still computes hq(p)=0. The zero ring A=0 does not occur here, because m0 is a prime of A and Spec⁡0=∅; the case q=0 is included in 1.4 with dp−1=0, and the case q>r is included with eq=0 and rank⁡dpq−1=0. The Axiom of Choice is consumed through [F3] in 1.2 and through [F8] and [F9] in 1.6, and the Axiom of Dependent Choice is inherited from [F3]; the Fitting loci of [F10] in 1.7 and the sets V∩Wj are determined by the given data and the fixed point m0, and no further selection of points, presentations or minors is made.

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