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Critical loci have small images in characteristic zero

Statement

Assume the Axiom of Choice (The Axiom of Choice). Let k be an algebraically closed field of characteristic 0, let X and Y be smooth classical varieties over k, so that their structure morphisms X→Spec⁡k and Y→Spec⁡k are smooth in the sense of Smooth morphisms via local standard smooth presentations, and let f ⁣:X→Y be a morphism of classical varieties. For a classical point x of X the residue field is κ(x)=k, and the differential dxf ⁣:TxX⟶Tf(x)Y of Differentials, open restriction, and the chain rule is a k-linear map. For r≥0 define Cr={x∈X:rank⁡dxf≤r}, the set of classical points x of X at which that differential has rank at most r. Then:

  1. Cr is closed in X; explicitly, Cr is the set of classical points of a closed subvariety of the smooth classical variety X;
  2. dim⁡f(Cr)‾≤r, where the closure is taken in the classical variety Y and dim⁡ is the dimension of Global and local dimension of classical varieties.

Neither irreducibility, connectedness, equidimensionality nor nonemptiness of X or of Y is assumed, and the empty case is permitted. The characteristic-0 hypothesis is used only for claim 2: claim 1 holds over any algebraically closed field.

Facts & Assumptions

Given: The Axiom of Choice; an algebraically closed field k of characteristic 0; smooth classical varieties X and Y over k; a morphism f ⁣:X→Y; an integer r≥0.

[F1]

The Axiom of Choice: AC asserts that every family of nonempty sets has a choice function.

[F2]

Smooth morphisms via local standard smooth presentations: a morphism of finite-type k-schemes is smooth when every source point has affine neighbourhoods on which the induced ring map has a standard smooth presentation at the prime of that point; the condition is local on the source and on the target, and the definition assumes AC.

[F3]

Standard smooth presentations and locally standard smooth maps: a standard smooth presentation of an R-algebra S is an isomorphism S≅(R[x1,…,xn]/(f1,…,fc))g with an invertible c×c Jacobian minor; the invertible minor may be assumed to occupy the first c columns, a further principal localisation may be absorbed into the presentation, and the relative dimension is n−c.

[F4]

Irreducible classical varieties and integral separated finite-type schemes: under AC the closed-point construction and its inverse give an equivalence between irreducible classical k-varieties and integral finite-type k-schemes, each original point being identified with its singleton, so classical points correspond to closed points.

[F5]

Classical algebraic prevarieties, regular maps, and varieties: a classical algebraic prevariety over k is covered by affine models whose points have residue field canonically k; a classical algebraic variety is a separated prevariety; polynomial principal opens form a basis of the topology; these definitions use no Axiom of Choice.

[F6]

Classical varieties have finite irreducible decompositions: every classical variety is Noetherian and has finitely many irreducible components; every open or closed subvariety has a finite affine cover.

[F7]

Every nonempty principal open is a classical affine variety: under AC, for an affine variety X and 0≠h∈k[X], the principal open DX(h) is an affine variety with coordinate ring canonically k[X]h.

[F8]

Classical affine morphisms are contravariantly equivalent to coordinate-ring homomorphisms and Affine schemes are contravariantly equivalent to commutative rings: pullback gives a natural bijection between morphisms of affine algebraic sets and k-algebra maps of their coordinate rings, and a ring map A→B corresponds contravariantly to a morphism Spec⁡B→Spec⁡A; an affine classical variety is thus described by its coordinate ring and its spectrum.

[F9]

The coordinate ring of a classical affine algebraic set: for an affine algebraic set W⊆kN the coordinate ring is k[W]=k[x1,…,xN]/I(W); it is reduced and generated as a k-algebra by the finitely many coordinate classes.

[F10]

Differentials, open restriction, and the chain rule: at k-rational points the differential is the dual of the induced cotangent map, it is functorial under composition, and every k-open immersion induces an isomorphism on tangent spaces at each rational point.

[F11]

The intrinsic Zariski tangent space: TxX is the dual of mx/mx2; for a k-scheme locally of finite type it is finite-dimensional, and at a k-rational point the intrinsic and relative tangent spaces agree.

[F12]

Cotangent space at a rational point: at a k-rational point x of a k-scheme, the map m/m2→ΩX/k⊗OX,xκ(x), [a]↦da⊗1, is an isomorphism of k-vector spaces, natural in the pair (X,x).

[F13]

Jacobian presentation of Ω: for P=A[x1,…,xn] and B=P/I with I=(f1,…,fr), the module ΩB/A is the cokernel of the B-linear map Br→Bn whose j-th column is the vector of partial derivatives (∂fj/∂xi); in particular ΩB/A is generated by dx1,…,dxn.

[F14]

Relative differential-rank condition: if B is a standard smooth k-algebra with presentation B≅(k[x1,…,xn]/(f1,…,fc))g whose leading c×c Jacobian minor h=det⁡(∂fj/∂xi)1≤i,j≤c maps to a unit of B, then ΩB/k is free of rank n−c, and in the computation the localising isomorphism Bn→Bn−c, (u′,v′)↦v′−DC−1u′, restricted to the complementary coordinates is the identity; accordingly the images duc+1,…,dun of the differentials of the free coordinates form a B-basis of ΩB/k.

[F15]

Localization, base change and functoriality of differentials: an A-algebra homomorphism B→C induces a canonical C-linear functoriality map C⊗BΩB/A→ΩC/A, c⊗db↦c d(image of b).

[F16]

Change of rings: N⊗RM≅N⊗S(S⊗RM): for a ring homomorphism R→S, a right S-module N and a left R-module M there is a natural isomorphism N⊗RM≅N⊗S(S⊗RM).

[F17]

Assuming choice, ker⁡T∗=(im⁡T)∘ and im⁡T∗=(ker⁡T)∘; in finite dimensions rank⁡T∗=rank⁡T: for a linear map T ⁣:V→W of finite-dimensional vector spaces, rank⁡T∗=rank⁡T.

[F18]

[algebra] Field linear algebra. For a matrix over a field, its rank is at most r if and only if every (r+1)×(r+1) minor vanishes; for composable linear maps rank⁡(B∘A)≤rank⁡B, and if B is injective then rank⁡(B∘A)=rank⁡A; the dual of a surjective linear map is injective; and the rank of a linear map equals the rank of any matrix of it whose selected source vectors generate the source and whose selected target vectors form a basis.

[F19]

[algebra] Quotients of local rings. If (R,m) is a local ring and I⊆m an ideal, then R/I is local with maximal ideal m/I and (m/I)/(m/I)2≅m/(m2+I); hence the natural map m/m2→(m/I)/(m/I)2 is surjective.

[F20]

The local ring at a point of an affine variety is the localization at its maximal ideal: under AC, for a classical affine variety X over an algebraically closed field and x∈X, there is a canonical isomorphism of local rings OX,x≅k[X]mx.

[F21]

Localisation commutes with kernels images and cokernels: for an R-module homomorphism f ⁣:M→N, localisation identifies S−1(coker⁡f)≅coker⁡(S−1f).

[F22]

Classical affine algebraic sets correspond to radical ideals, and irreducible sets to prime ideals: under AC, for A=R/I(X) the radical ideals of A correspond bijectively to the closed subsets of X; points correspond to maximal ideals, and a closed subvariety V(H) has coordinate ring A/H.

[F23]

Global and local dimension of classical varieties: for a classical variety X with irreducible components Xi and a closed point x one has dim⁡xX=max⁡x∈Xidim⁡Xi, while dim⁡X is its chain dimension.

[F24]

Chain dimension and the empty-space convention: for a Noetherian topological space, dim⁡T is the supremum of the lengths of strict chains of nonempty irreducible closed subsets of T, and dim⁡∅=−∞.

[F25]

Dimension of a finite closed union: if a Noetherian space T is a finite union of closed subsets T1,…,Tm, then dim⁡T=max⁡idim⁡Ti, with both sides −∞ for m=0.

[F26]

Interior, closure, boundary, exterior, derived set and isolated point in a topological space: the closure A‾ is the smallest closed superset of A, and A is closed if and only if A=A‾.

[F27]

Regular and singular loci: for a reduced classical finite-type space over an algebraically closed field k and a closed point x, one has x∈Xreg if and only if dim⁡κ(x)TxX=dim⁡xX; this classical component-dimension test assumes AC.

[F28]

A dominant map has a surjective differential on a dense source open: under AC, for k algebraically closed of characteristic 0 and a dominant morphism of irreducible classical varieties, the set U=Xreg∩f−1(Yreg)∩D(H) is a nonempty open subset of X with f(U)⊆Yreg and dxf surjective at every closed point x∈U.

[F29]

Dominant classical morphisms and rational maps: a morphism is dominant when the closure of its image is the target; for morphisms of varieties this is density of the image.

[F30]

Irreducibility via nonempty open subsets, connectedness and open subspaces: an irreducible space is nonempty and every nonempty open subspace of it is irreducible.

[F31]

Existence and basic properties of irreducible components: under AC, the closure of an irreducible subset is irreducible.

[F32]

[topology] The continuous image of an irreducible space is irreducible: the inverse image of a finite closed cover of the image is a finite closed cover of the source.

Proof

technique · direct
1.1F1F2F3F4F5F10F11given

Setting. By [F2] the structure morphisms of X and Y are smooth, so every point of either variety has an affine neighbourhood carrying a standard smooth presentation [F3]; by [F4] the classical points of X are its closed points and have residue field k, and by [F5] the classical varieties have the affine-model topology with residue field k, principal opens forming a basis. For a classical point x of X the differential dxf is the dual of the induced cotangent map [F10] and TxX is the finite-dimensional dual of mx/mx2 [F11]. Define Cr={x:rank⁡dxf≤r}. We prove (1) that Cr is closed in X, and (2) that dim⁡f(Cr)‾≤r.

1.2F2F3F5F6F7F9

Charts at a prescribed point. Let x0∈X. The structure morphism of X is smooth, so [F2] provides an affine neighbourhood of x0 whose coordinate ring is standard smooth after a principal shrinking; [F6] supplies finite affine covers of X and of Y, [F5] lets us shrink to a principal open contained in any prescribed open neighbourhood, [F7] makes principal opens affine, and [F3] absorbs the principal shrinking into the presentation. Choose in this way an affine chart V=Spec⁡C⊆Y containing f(x0), where C=k[V] is standard smooth over k, and an affine chart U=Spec⁡B⊆X containing x0 with f(U)⊆V and B=k[U] standard smooth over k; write B≅(k[x1,…,xn]/(F1,…,Fc))g with leading c×c Jacobian minor mapping to a unit of B, and d=n−c. Let y1,…,ym∈C be coordinate classes generating C as a k-algebra [F9].

1.3F10F11F12F13F14

Free differentials on the chart. By [F13] the module ΩB/k is the cokernel of the transposed Jacobian map Bc→Bn of the presentation of B, and since the leading c×c minor is invertible, [F14] shows that this cokernel is free with B-basis the images duc+1,…,dun of the differentials of the free coordinates uc+1,…,un∈B. For a closed point x∈U, [F12] identifies CxU=mx/mx2 with ΩB/k⊗Bκ(x) naturally, so that TxU≅(ΩB/k⊗Bκ(x))∨ by [F11], and the open immersion U↪X identifies TxU with TxX and dx(f∣U) with dxf [F10].

1.4F8F13F14F15

The pullback matrix. Let ψ ⁣:C→B be the k-algebra map induced by f∣U ⁣:U→V, under the correspondence of [F8]. By [F15] there is a canonical B-linear functoriality map γ ⁣:B⊗CΩC/k→ΩB/k, b⊗dc↦b d(ψc); by [F13] the differentials dy1,…,dym generate the C-module ΩC/k, so their images generate B⊗CΩC/k. Since duc+1,…,dun is a B-basis of ΩB/k [F14], there are unique regular functions aij∈B with d(ψyj)=∑i=c+1naij dui(c<i≤n, 1≤j≤m); denote by A=(aij) the resulting (n−c)×m matrix over B.

1.5F10F11F12F13F14F16F17F18

Rank identity on the chart. For every closed point x∈U with y=f(x) one has rank⁡dxf=rank⁡A(x), where A(x) is the matrix over κ(x)=k obtained by reducing the entries of A modulo mx; more precisely the two ranks equal the rank of the fibre γx=γ⊗Bκ(x). Indeed, the cotangent map ψˉx♯ ⁣:CyV→CxU corresponds under the natural isomorphisms of [F12] to γx ⁣:ΩC/k⊗Cκ(y)→ΩB/k⊗Bκ(x) — the source is identified with (B⊗CΩC/k)⊗Bκ(x) by [F16] — and dx(f∣U) is the dual of ψˉx♯ by [F10], hence has the same rank as ψˉx♯ by [F17] because these spaces are finite-dimensional [F11]; moreover γx(dyj⊗1)=d(ψyj)⊗1=∑iaij(x) (dui⊗1), the elements dyj⊗1 generate the source over k [F13], and (dui⊗1)i>c is a k-basis of the target [F14], so by [F18] the rank of γx is the rank of the matrix A(x); finally rank⁡dx(f∣U)=rank⁡dxf because U↪X and V↪Y are open immersions inducing tangent isomorphisms [F10].

1.6F6F29F31F32

Decomposition into components. As a closed subvariety of X, the set Cr is Noetherian with finitely many irreducible components Z1,…,Zs [F6]; each Zi is an irreducible closed subvariety of X, hence an irreducible classical variety. The image f(Zi) is irreducible as the continuous image of an irreducible space [F32], so its closure Wi:=f(Zi)‾ in Y is an irreducible closed subvariety of Y, i.e. an irreducible classical variety [F31]; the induced morphism f∣Zi ⁣:Zi→Wi is dominant because f(Zi) is dense in Wi [F29].

1.7F28F30

Generic surjectivity on a component. Fix i. By [F28] applied to the dominant morphism f∣Zi of irreducible classical varieties there is a nonempty open subset Ui⊆Zi with Ui⊆(Zi)reg∩f−1((Wi)reg) and with dx(f∣Zi) ⁣:TxZi→Tf(x)Wi surjective at every closed point x∈Ui; in particular f(x)∈(Wi)reg. Choose a point x∈Ui, which is possible because Ui is nonempty [F30], and put y=f(x)∈(Wi)reg.

1.8F9F10F18F19F20F21F22

Closed subvarieties have injective differentials. Let j ⁣:Z′↪U′ be the inclusion of a closed subvariety of an affine chart U′ of X, with vanishing ideal I⊆B′=k[U′], so that k[Z′]=B′/I [F9, F22], and let z∈Z′ be a point. Then OZ′,z≅(B′/I)mz≅Bmz′/IBmz′=OU′,z/IOU′,z by [F20] and [F21], the maximal ideal of this quotient is mz/IOU′,z with I⊆mz, and (mz/IO)/(mz/IO)2≅mz/(mz2+IOU′,z) by [F19]; hence the natural map mz/mz2→mZ′/mZ′2 is surjective [F19], and its dual is injective [F18]. By [F10] that dual is exactly the differential dzj ⁣:TzZ′→TzU′ of the inclusion, so dzj is injective.

2.1F18F22F9step 1.5

Determinantal description and local closedness. Let x∈U be a closed point. Since the entries aij(x)∈k are the images of the regular functions aij under B→B/mx=k, the (r+1)×(r+1) minors of A(x) are the images of the corresponding minors of A; by [F18] the inequality rank⁡A(x)≤r holds if and only if every one of those minors vanishes. By step 1.5 this says rank⁡dxf≤r if and only if every (r+1)×(r+1) minor of A lies in mx. Let JU⊆B be the ideal generated by all these minors; by [F22] the closed subvariety V(JU)⊆U has as its points exactly the maximal ideals of B containing JU, which are precisely the closed points x∈U with rank⁡dxf≤r. Hence Cr∩U=V(JU) is closed in U.

2.2F5F10F18step 1.2step 1.8

Rank comparison. Let U and V be the affine charts around x and f(x) with f(U)⊆V constructed in step 1.2; note y=f(x)∈V. The restrictions Zi∩U⊆U and Wi∩V⊆V are closed subvarieties of these affine charts [F5] with inclusion differentials that, under the open-immersion tangent isomorphisms Zi∩U⊆Zi, U⊆X, Wi∩V⊆Wi and V⊆Y [F10], are the differentials dxι and dyκ of the closed inclusions ι ⁣:Zi↪X and κ ⁣:Wi↪Y; by step 1.8 both dxι and dyκ are injective. The chain rule of [F10] applied to the identity κ∘(f∣Zi)=f∘ι gives dyκ∘dx(f∣Zi)=dxf∘dxι; since dyκ is injective, [F18] yields rank⁡dx(f∣Zi)=rank⁡(dxf∘dxι)≤rank⁡dxf. As x∈Zi⊆Cr we have rank⁡dxf≤r, so rank⁡dx(f∣Zi)≤r.

3.1F5F26step 1.2step 2.1

Global closedness. The charts U produced by step 1.2, as x0 ranges over the classical points of X, cover X; by step 2.1 each Cr∩U is closed in U, hence X∖Cr is open: a point x∉Cr lies in one of these charts U, and U∖(Cr∩U) is an open neighbourhood of x contained in X∖Cr. By [F26] the set Cr therefore equals its closure in X and is a closed subset of the classical variety X; with the reduced structure induced from X it is a closed subvariety of X [F5], which is claim 1.

3.2F18F23F27step 1.7step 2.2

Dimension of the image of each component. By step 1.7 the differential dx(f∣Zi) is surjective, so by [F18] rank⁡dx(f∣Zi)=dim⁡kTyWi. Since y∈(Wi)reg and Wi is irreducible, [F27] gives dim⁡kTyWi=dim⁡yWi, and [F23] gives dim⁡yWi=dim⁡Wi. Therefore dim⁡Wi=rank⁡dx(f∣Zi)≤r by step 2.2.

4.1F6F23F24F25F26step 3.2

Assembling the closure. Since Cr=Z1∪⋯∪Zs, one has f(Cr)=f(Z1)∪⋯∪f(Zs). The finite union W1∪⋯∪Ws of the closed sets Wi=f(Zi)‾ is closed and contains f(Cr), so f(Cr)‾⊆W1∪⋯∪Ws by [F26]; conversely each Wi=f(Zi)‾ is contained in f(Cr)‾ because f(Zi)⊆f(Cr) and f(Cr)‾ is closed [F26]. Hence f(Cr)‾=W1∪⋯∪Ws, a finite union of closed subsets of the Noetherian space Y [F6]; by [F25] its dimension is max⁡idim⁡Wi, which is at most r by step 3.2, and for Cr=∅, when the list W1,…,Ws is empty, both the maximum and dim⁡∅ are −∞ by [F24], which is at most r. This is claim 2.

5.1F1F4F6F7F14F18F19F20F22F24F27F28F31step 1.2step 4.1∎

Boundary and scope dispositions. Empty: X and Y may be empty or reducible, and no irreducibility is assumed; for X=∅ the set Cr is empty and closed and dim⁡f(Cr)‾=dim⁡∅=−∞≤r by [F24], while for Y=∅ also X=∅ because a morphism into the empty scheme has empty source. Zero: r=0 is allowed, and then C0 consists of the points where the differential vanishes; the relative dimension n−c=0 of step 1.2 is allowed, in which case ΩB/k=0 by [F14], the matrix A has no rows, its rank is 0, and Cr∩U=U for every r≥0 with dim⁡f(U)‾≤dim⁡V=0 when V is a point. One: nothing in the argument divides by a natural number or requires a positive relative dimension or a positive number of coordinate functions; for m=0, when V is a single point, the matrix A has no columns, γ=0 and Cr∩U=U, in agreement with claim 2. Degenerate: the smoothness of X in claim 1 is essential and cannot be dropped — for the singular closed subvariety X=V(xy)⊆Ak2, the morphism f ⁣:X→Ak1, (x,y)↦x, has rank⁡d(0,b)f=0 for every b≠0 while rank⁡d(0,0)f=1, so the corresponding C0 is the punctured y-axis, not closed; reducible and disconnected smooth X are nevertheless allowed, and claim 2 does not use the smoothness of Y, the argument for it needing only the local presentation of Y with coordinate functions generating its coordinate ring. Endpoints: the integer r ranges over r≥0 with no upper bound, and claim 2 is trivial for r≥dim⁡Y since dim⁡f(Cr)‾≤dim⁡Y; the marginal case r=0 with C0=∅ is covered by the empty-list convention −∞≤0 of step 4.1, while the case in which Ui is a single point is covered because the surjectivity conclusion of [F28] persists at every closed point of Ui. Nonempty-choice: AC is declared as [F1] and is used exactly through the AC-assuming suppliers [F4] (classical-scheme dictionary), [F6] (finite component decompositions), [F7] (principal opens), [F20] (local rings), [F22] (Nullstellensatz correspondence), [F27] (regular-point tangent criterion), [F28] (generic differential surjectivity) and [F31] (closures of irreducible sets), cited at steps 1.1, 1.2, 1.6, 1.7, 1.8 and 4.1; the chart, matrix, determinantal and rank-comparison computations of steps 1.3, 1.4, 1.5, 2.1, 2.2 and the local-ring duality of step 1.8 are choice-free, and no family of nonempty sets is selected anywhere. Biconditional directions: the statement asserts no equivalence, so the forward and reverse directions of a biconditional are not applicable; the only equivalence used inside the proof is the determinantal criterion of [F18], applied in step 2.1 in the direction "all (r+1)-minors vanish implies rank at most r" and conversely, and the cotangent isomorphisms of [F12] are used only through their naturality.

Source qualification

Vakil, Classes 51-52, §3.4 proves the corresponding statement for morphisms of finite-type k-schemes over an algebraically closed (or at least perfect) field of characteristic 0: the locus Xr where the rank of the tangent map is at most r is a closed subset, and the dimension of the image of Xr is at most r; the proof replaces the source by an irreducible component of Xr and the target by the closure of the image of that component, and then applies generic smoothness on the source together with the linear-algebra observation that restricting a linear map to subspaces cannot increase its rank. The present lemma keeps the smoothness of X and Y from the section's standing hypotheses: the source's assertion that the critical locus is cut out by determinantal equations is not available for an arbitrary singular source — the degenerate case recorded in step 5.1 shows this — so claim 1 is proved here from the standard smooth charts of X, on which the differential is described by regular functions, and the rank comparison of step 1.8 supplies the subspace step of the source's reduction directly. The argument uses the smoothness of Y only to choose a local presentation with coordinate functions generating its coordinate ring, so the same proof covers an arbitrary classical Y. Characteristic 0 enters only through A dominant map has a surjective differential on a dense source open in step 1.7; claim 1 is characteristic-free. The determinantal closedness of step 2.1 is the classical Jacobian-minor computation (Milne, Algebraic Geometry, §4d, Definition 4.22, in the equation-row convention) applied on the charts, and the local-ring duality of step 1.8 replaces the source's implicit identification of the tangent space of a closed subvariety with a subspace of the tangent space of the ambient variety.

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