Schlessinger’s criterion

2 Definitions

2.1 Base category

Let \(\Lambda \) be a complete Noetherian (commutative) local ring and \(k\) its residue field.

Definition 1
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We define \(\mathbf{C}_\Lambda \) to be the category of Artinian local \(\Lambda \)-algebras having residue field \(k\), where morphisms are local algebra homomorphisms.

The condition of having the same residue field for a \(\Lambda \)-algebra \(A\) can be stated in a more general context as follows: the algebra map \(\Lambda \to \mathscr {k}_A\) is surjective (where \(\mathscr {k}_A\) is the residue field of \(A\)). As such the conditions on \(\Lambda \) are omitted in Lean.

Furthermore, we do not need to assume the morphisms to be local, as we have the following result:

Let \(A\) and \(B\) be commutative local rings, and \(f : A \to B\) a ring morphism. If \(A\) is Artinian, then \(f\) is local.

Proof

In an Artinian local ring, the maximal ideal is the set of nilpotent elements. In particular if \(x \in \mathfrak {m}_A\), then \(f (x)\) is not a unit.

The Artinian condition on elements of \(\mathbf{C}_\Lambda \) could potentially be interpreted in two ways: either as Artinian rings or as Artinian \(\Lambda \)-modules. In this context, both are equivalent.

Lemma 3
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Let \(A\) be a local \(\Lambda \)-algebra with same residue field as \(\Lambda \). Then \(\operatorname{length}_\Lambda (A) = \operatorname{length}_A (A)\).

Proof

We prove a more general result: if \(M\) is an \(A\)-module, then \(\operatorname{length}_\Lambda (M) = \operatorname{length}_A (M)\). This result follows easily by induction on \(\operatorname{length}_\Lambda (M)\) from the case \(\operatorname{length}_\Lambda (M) = 1\), in which case we have \(M \cong k\).

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Lemma 4
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The category \(\mathbf{C}_\Lambda \) has pullbacks.

Proof

Let \(f : X \to Z\) and \(g : Y \to Z\) be morphisms in \(\mathbf{C}_\Lambda \). Consider the set \(P = \{ (x, y) \in X \times Y ~ \vert ~ f (x) = g (y)\} \). Since \(f\) and \(g\) are local, the subset \(\mathfrak {m}_X \times \mathfrak {m}_Y\) is an ideal (which is maximal). We have \(\mathscr {k}_\Lambda \to \mathscr {k}_P \to \mathscr {k}_X\), so \(\mathscr {k}_P \cong k\). Furthermore, since \(X\) and \(Y\) are Artinian \(\Lambda \)-modules by lemma 3, \(P\) is an Artinian \(\Lambda \)-module as well, so it is an Artinian ring.

We also note that \(k\) is a terminal object in \(\mathbf{C}_\Lambda \), so the category also admits products (which are the same as pullbacks over the terminal object).

2.2 Small Extensions

Let \(p : B \to A\) be a surjective morphism in \(\mathbf{C}_\Lambda \).

Definition 5
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\(p\) is a small extension if \(\ker p\) is a non-zero principal ideal such that \(\mathfrak {m}_B \cdot \ker p = 0\).

The following propositions are equivalent:

  1. \(p\) is a small extension

  2. \(\ker p\) is a minimal non-zero ideal

  3. \(\operatorname{length}_\Lambda (B) = \operatorname{length}_\Lambda (A) + 1\)

Proof

Since \(p\) is surjective, we have \(\operatorname{length}_\Lambda (B) = \operatorname{length}_\Lambda (A) + \operatorname{length}_\Lambda (\ker p)\), and we also have that \(\operatorname{length}_B (\ker p) = 1\) if and only if \(\ker p\) is a minimal non-zero ideal, so using lemma 3 we get \((2) \iff (3)\). We now show \((1) \iff (2)\).

Assume that \(p\) is a small extension, write \(\ker p = (t)\), let \(I {\lt} \ker p\) be an ideal and \(x \in I\). There exists \(y \in B\) such that \(x = ty\). Since \(I \ne (t)\), \(y\) is not a unit, so we have \(y \in \mathfrak {m}_B\), and \(x = 0\) by definition of a small extension. So \(I=0\) and \(\ker p\) is minimal.

Assume that \(\ker p\) is a minimal non-zero ideal. Let \(t \in \ker p \setminus \{ 0\} \). By minimality, we have \(\ker p = (t)\). Furthermore, since \(\mathfrak {m}_B\) is nilpotent and \(\ker p \neq 0\) we have \(\mathfrak {m}_B \cdot \ker p \neq \ker p\) so \(\mathfrak {m}_B \cdot \ker p = 0\) by minimality. So \(p\) is a small extension.

Lemma 7
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If a property \(C\) on morphisms of \(\mathbf{C}_\Lambda \) is satisfied by isomorphisms and stable by composition on the left by a small extension, then it holds for any surjection.

Proof

By induction on \(\operatorname{length}_\Lambda (B) \in \mathbb {N}\). If \(\ker p = 0\), then \(p\) is an isomorphism. Otherwise, there exists a minimal non-zero ideal \(I\) of \(B\) because \(B\) is Artinian. By minimality, since \(\ker p \neq 0\), we have \(I \le \ker p\), so \(p\) factorizes through the small extension \(B \to B/I\). We conclude by applying the induction hypothesis to the map \(B/I \to A\).

Lemma 8
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If a property \(C\) on objects of \(\mathbf{C}_\Lambda \) is satisfied by \(k\), stable by isomorphisms and stable by small extensions, then it holds for all objects of \(\mathbf{C}_\Lambda \).

Proof

One way is to apply the previous lemma to the map \(p : B \to k\) (i.e. with the property on morphisms \(q : X \to Y\) given by if \(Y = k\) then \(C (X)\)). In the code the proof is essentially copied and adapted from the previous lemma.

2.3 Completed base category

For pro-representability, we consider a bigger category with objects that are projective limits of objects in the base category. However, in this context the term pro-representability is used in a more restrictive sense than usual, so that the "completed" category is not the pro-category as one might expect.

Definition 9
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A local ring with maximal ideal \(\mathfrak {m}\) is complete if it is \(\mathfrak {m}\)-adically complete.

Definition 10
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We define \(\hat{\mathbf{C}}_\Lambda \) to be the category of complete Noetherian local \(\Lambda \)-algebras having residue field \(k\), where morphisms are local algebra homomorphisms.

Note that a local ring is endowed with a natural topological ring structure, namely the \(\mathfrak {m}\)-adic topology, where \(\mathfrak {m}\) is the maximal ideal. It is defined by setting the powers of \(\mathfrak {m}\) as a neighborhood base of \(0\).

Lemma 11

The category \(\hat{\mathbf{C}}_\Lambda \) is a full subcategory of \(\mathbf{C}_\Lambda \).

Proof

An Artinian ring is Noetherian, and its \(\mathfrak {m}\)-adic topology is discrete, so it is trivially complete.

Lemma 12

A local Noetherian ring whose maximal ideal is nilpotent is Artinian.

Proof

A Noetherian ring is Artinian if and only if it has Krull dimension 0, so it suffices to show that any prime ideal is maximal. Let \(I\) be a prime ideal. Since \(\mathfrak {m}^n = 0 \le I\) we have \(\mathfrak {m}\le I\), so \(I = \mathfrak {m}\) is maximal.

If \(A \in \hat{\mathbf{C}}_\Lambda \), then for any \(n \in \mathbb {N}^*\) we have \(A / \mathfrak {m}^n \in \mathbf{C}_\Lambda \) where \(\mathfrak {m}\) is the maximal ideal of \(A\). In fact, we have \(A / J \in \mathbf{C}_\Lambda \) for any ideal \(J\) such that \(\mathfrak {m}^n \le J {\lt} A\).

Proof

\(A / \mathfrak {m}^n\) is a local Noetherian ring, with nilpotent maximal ideal \(\mathfrak {m}/ \mathfrak {m}^n\) and residue field \(k\), so lemma 12 applies.

Remark
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The fact that \(A \in \hat{\mathbf{C}}_\Lambda \) is complete (and Noetherian) means that we have \(A = \varprojlim A / \mathfrak {m}^n\). We don’t really use this result here but it explains some of the underlying ideas.

Lemma 14

Let \(R \in \hat{\mathbf{C}}_\Lambda \), \(A \in \mathbf{C}_\Lambda \) and \(u : R \to A\). There exists \(n \in \mathbb {N}^*\) such that \(\mathfrak {m}_R^n \le \ker u\), so \(u\) factorizes through \(u_n : R/\mathfrak {m}_R^n \to A\).

Proof

There exists \(n\) such that \(\mathfrak {m}_A^n = 0\), so \(\mathfrak {m}_R^n \le u^{-1} (\mathfrak {m}_A ^n) = \ker u\).

2.4 Trivial Square-Zero Extensions

Definition 15
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For \(V\) a \(k\)-vector space, we write \(k[V]\) for the trivial square-zero extension of \(V\) over \(k\), that is the module \(k \oplus V\) with multiplication defined so that \(V ^2 = 0\).

Definition 16
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We write \(k[\varepsilon ]\) for dual numbers, the special case where \(V = k\).

Definition 17
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We can a functor \(\operatorname{Mod}_k^{fg} \to \mathbf{C}_\Lambda \) that commutes with finite products (where \(\operatorname{Mod}_k^{fg}\) is the category of finite dimensional \(k\)-vector spaces).

If \(F\) is a functor \(\mathbf{C}_\Lambda \to Sets\) such that

\[ F(k[V] \times k[W]) ~ \tilde{\to } ~ F(k[V]) \times F(k[W]) \]

for all finite dimensional \(k\)-vector spaces \(V\) and \(W\), then \(F(k[V])\) has a canonical \(k\)-vector space structure.

Proof

This is a special case of the following lemma [ :

Lemma 19
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Let \(R\) be a (commutative) ring, and \(L : \operatorname{Mod}_R^{fg} \to Sets\) be a functor that preserves finite products. Then for any \(M \in \operatorname{Mod}_R^{fg}\), \(L(M)\) has a canonical \(R\)-module structure.

Proof

Let \(M \in \operatorname{Mod}_R^{fg}\). Write \(s : M \times M \to M\) for the addition map, \(\lambda _r : M \to M\) for the scalar multiplication by \(r \in R\), and \(z : 0 \to M\). The module structure on \(L(M)\) is defined using the images of these morphisms by \(L\), together with the identification \(L(M\times M) \cong L(M) \times L(M)\), and the fact that \(L(0)\) is terminal in \(Sets\) so it is a singleton. Checking that this defines a module structure is rather straightforward, by writing suitable commutative diagrams in \(\operatorname{Mod}_R^{fg}\) and pushing them with \(L\).

Lemma 20
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Let \(R\) be a (commutative) ring, \(L\) and \(L' : \operatorname{Mod}_R^{fg} \to Sets\) be two functors that preserve finite products, and \(\eta : L \to L'\) a natural transformation. Then for any \(M \in \operatorname{Mod}_R^{fg}\), \(\eta _M\) is \(R\)-linear.

Proof

This is a very simple check.

Lemma 21
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Let \(R\) be a (commutative) ring, \(L\) and \(L' : \operatorname{Mod}_R^{fg} \to Sets\) be two functors that preserve finite products, and \(\eta : L \to L'\) a natural transformation. Then \(\eta \) is an isomorphism if and only if \(\eta _R\) is an isomorphism.

Proof

By induction on the dimension.

2.5 Artin Functors

Definition 22
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For \(R \in \hat{\mathbf{C}}_\Lambda \) and \(A \in \mathbf{C}_\Lambda \), we define a functor \(\mathbf{C}_\Lambda \to Sets\) by \(h_R (A) = \operatorname{Hom}_{\hat{\mathbf{C}}_\Lambda }(R, A)\).

In what follows we will only consider functors \(F\) from \(\mathbf{C}_\Lambda \) to \(Sets\) that preserve terminal objects, or equivalently such that \(F(k)\) is a singleton.

Definition 23

We can extend such a functor to \(\hat{\mathbf{C}}_\Lambda \) by setting for \(R \in \hat{\mathbf{C}}_\Lambda \), \(\hat{F}(R) = \varprojlim F(R / \mathfrak {m}^n)\). A map \(u : R \to S\) induces maps \(u_n : R / \mathfrak {m}_R^n \to S / \mathfrak {m}_S^n\) for all \(n \in \mathbb {N}\), so we can also define \(\hat{F}(u)\) by using the universal property. This defines a functor \(\hat{F} : \hat{\mathbf{C}}_\Lambda \to Sets\).

Lemma 24
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There is a natural isomorphism \(\hat{F}|_{\mathbf{C}_\Lambda } \cong F\).

Proof

If \(A\) is in \(\mathbf{C}_\Lambda \), there exists \(N \in \mathbb {N}^*\) such that \(\mathfrak {m}_A^N=0\), so we have \(F(A/\mathfrak {m}_A^n) \cong F(A)\) for all \(n \ge N\).

Definition 25
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A pro-couple is a pair \((R, \xi )\) where \(R \in \hat{\mathbf{C}}_\Lambda \) and \(\xi \in \hat{F} (R)\).

Definition 26
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A pro-couple \((R, \xi )\) defines a natural transformation \(\nu (\xi ) : h_R \to F\) given by \(u \mapsto \hat{F} (u) (\xi )\) up to the isomorphism given in lemma 24.

Lemma 27
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Let \((R, \xi )\) be a pro-couple, \(A, B \in \mathbf{C}_\Lambda \), \(u : R \to A\) and \(v : A \to B\). Then \(\nu (\xi ) (v \circ u) = F(v)(\nu (\xi ) (u))\).

Proof

This is essentially the naturality of \(\hat{F}|_{\mathbf{C}_\Lambda } \cong F\).

Lemma 28
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Let \((R, \xi )\) be a pro-couple, with \(\xi = (\xi _q)_{q\in \mathbb {N}}\), \(n\in \mathbb {N}^*\), and \(p:R\to R/\mathfrak {m}_R^n\) the quotient map. Then \(\nu (\xi ) (p) = \xi _n\).

Proof

In fact, we have that \(\hat{F}(p)\) is equal to the projection \(\hat{F}(R) \to F(R / \mathfrak {m}_R^n)\) composed with the natural isomorphism \(F \cong \hat{F}|_{\mathbf{C}_\Lambda }\). This is a simple check.

In particular, since any map \(R \to A\) with \(A \in \mathbf{C}_\Lambda \) factorizes through some \(u_n : R / \mathfrak {m}^n \to A\) (lemma 14), we have \(\nu (\xi ) (u) = F(u_n) (\xi _n)\).

Definition 29
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A pro-couple \((R, \xi )\) pro-represents \(F\) if the natural transformation \(\nu (\xi ) : h_R \to F\) it induces is an isomorphism. \(F\) is pro-representable if there exists a pro-couple which pro-represents \(F\).

Definition 30
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Let \(F, G : \mathbf{C}_\Lambda \to Sets\) be two functors that preserve terminal objects. A natural transformation \(\eta : F \to G\) is smooth if for any surjection \(p : B \to A\) in \(\mathbf{C}_\Lambda \), the morphism

\[ F(B) \to F(A) \times _{G(A)} G(B) \]

is surjective.

Lemma 31
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To check that a natural transformation is smooth, it is enough to check the condition on morphisms \(p\) that are small extensions.

Proof

Apply lemma 7. Check that the property is stable by composition (note that the pullback is in \(Sets\)).

Lemma 32
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Let \(F, G : \mathbf{C}_\Lambda \to Sets\) be two functors that preserve terminal objects. If \(\eta : F \to G\) is smooth, then \(\eta _A\) is surjective for any \(A \in \mathbf{C}_\Lambda \).

Proof

Apply the condition to \(p : A \to k\) (using that \(F(k)\) and \(G(k)\) are singletons).

Definition 33
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The tangent space of a functor \(F\) is \(t_F = F(k[\varepsilon ])\). In the case \(F = h_R\), we simply write \(t_R\).

Definition 34
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A pro-couple \((R, \xi )\) is a hull of \(F\) if the natural transformation \(\nu (\xi ) : h_R \to F\) it induces is smooth and \(\nu (\xi )_{k[\varepsilon ]} : t_R \to t_F\) is an isomorphism.

Note that if \(\eta : F \to G\) is an isomorphism on \(k[\varepsilon ]\), then it is an isomorphism on \(k[V]\) for any finite dimensional \(k\)-vector space (lemma 21).

2.6 Schlessinger’s conditions

Let \(F\) be a functor from \(\mathbf{C}_\Lambda \) to \(Sets\) such that \(F(k)\) is a singleton. For \(f : X \to Z\) and \(G : Y \to Z\) morphisms in \(\mathbf{C}_\Lambda \), we consider the comparison morphism:

\begin{equation} \label{eq:pfg} p_{f, g} : F(X \times _Z Y) \to F(X) \times _{F(Z)} F(Y) \end{equation}
1

Definition 35
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\((H_1)\) : if \(g\) is a small extension then \(p_{f, g}\) is surjective.

Definition 36
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\((H_2)\) : if \(Z = k\) and \(Y = k[\varepsilon ]\) then \(p_{f, g}\) is bijective.

Definition 37
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\((H_3)\) : assuming \((H_2)\), \(\dim _k (t_F) {\lt} \infty \).

Definition 38
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\((H_4)\) : if \(f\) is a small extension then \(p_{f, f}\) is bijective.

These conditions are on the functor \(F\), so for example "\(F\) satisfies \((H_1)\)" means that for any morphisms \(f\) and \(g\), if \(g\) is a small extension, then \(p_{f, g}\) is surjective.

The definition of \((H_3)\) makes sense because the condition \((H_2)\) implies that \(F\) verifies the hypothesis of lemma 18, so that \(t_F\) admits a canonical \(k\)-vector space structure.

Proof

In fact, we have the following result:

If \(F\) satisfies \((H_2)\), we have \(F(A \times k[V]) \cong F(A) \times F(k[V])\) for any \(A \in \mathbf{C}_\Lambda \) and any \(V \in \operatorname{Mod}_k^{fg}\).

Proof

By induction on the dimension of \(V\).

We also have the following generalization from \((H_1)\):

Lemma 41
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If \(F\) satisfies \((H_1)\), then \(p_{f, g}\) is surjective for any surjection \(g\).

Proof

A surjection \(g\) is either an isomorphism or it can be factored as a composition of small extensions. The result is clear for isomorphisms and we can show that if \(g_1\) and \(g_2\) are two suitable morphisms such that \(p_{f, g_1}\) and \(p_{f, g_2}\) are surjective then \(p_{f, g_2 \circ g_1}\) is surjective as well.

We will also need the following fact:

The functor \(h_R\) satisfies conditions \((H_1)\), \((H_2)\), \((H_3)\) and \((H_4)\).

Proof

In fact in this case \((H_1)\), \((H_2)\) and \((H_4)\) hold trivially since \(p_{f, g}\) is an isomorphism for any morphisms \(f\) and \(g\), because \(h_R\) is a hom-functor, and pullbacks in \(\mathbf{C}_\Lambda \) are pullbacks in \(\hat{\mathbf{C}}_\Lambda \). For \((H_3)\), it suffices to show the following linear isomorphism \(t_R^* \cong \mathfrak {m}_R / (\mathfrak {m}_R ^2 + \mathfrak {m}_\Lambda R)\).