C OMPOSITIO M ATHEMATICA
J ONATHAN M. W AHL
Simultaneous resolution of rational singularities
Compositio Mathematica, tome 38, n
o1 (1979), p. 43-54
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43
SIMULTANEOUS RESOLUTION OF RATIONAL SINGULARITIES
Jonathan M. Wahl*
Sijthoff & Noordhoff International Publishers - Alphen aan den Rijn
Printed in the Netherlands
Abstract
Let
Spec R
be a rational surfacesingularity
over C.Generalizing
work of
Brieskorn, Artin,
andothers,
we prove there is a smooth irreducible component A of the moduli space ofSpec
R,consisting
ofdeformations which resolve
simultaneously
in afamily
after Galois basechange. Further,
the group is a directproduct
ofWeyl
groups associated to -2configurations
in thegraph
of R. We also prove that for a determinantalsingularity,
A consists of the determinantal def ormations.0. Introduction
Let R be a two-dimensional normal local
ring
over C with a rationalsingularity
at the closedpoint,
and X -Spec R
the minimal resolu- tion. Thesimplest examples
are those ofembedding
dimension e = 3, the rational doublepoints (or RDP’s).
These are the Kleiniansingularities C’IG,
where G CSL(2, C)
is a finitesubgroup; they
arecalled An
(G cyclic),
Dn(binary dihedral),
E6(binary tetrahedral),
E7(binary octahedral),
and E8(binary icosahedral).
Theexceptional
fibreE in X is a
configuration
ofnon-singular
rational curves, of self-intersection -2, whose
(weighted)
dualgraph
is theDynkin diagram
of the
corresponding simple
Liealgebra.
Brieskorn discovered
([5], [6], [7])
arelationship
between the deformationtheory
of such an R and theWeyl
group W of the Liealgebra.
We say a deformation ’V--+ T resolvessimultaneously
if there* Partially supported by NSF grant MCS74-05588-A02 AMS (MOS) subj. class.
(1970) 14 J15, 32 C45.
is a smooth
map X -->
T,factoring through
such that for each t E T,,Vt-->’V,
is a(minimal)
resolution ofsingularities. Atiyah
observed in .1958
[4]
that the versal(analytic)
deformation of AI resolves simul-taneously
after aZ/2-base change (i.e., X2+ Y2+ Z2= t2
resolvessimultaneously).
THEOREM
(Brieskorn [7]):
The versaldeformation of
a rationaldouble
point
resolvessimultaneously after
a Galois basechange,
withgroup W.
This was
proved independently by Tjurina [19]
and(for An)
Kas[13], using
Brieskorn’s earlier work.There is a more
precise picture
of how thesimple algebraic
groups G =SL(n), Sp(n),
etc., themselves come intoplay,
and notjust
theWeyl
groups[1], [7].
The idea(due
toGrothendieck)
is tostudy
thesubregular
elements of G ; inparticular,
one looks at thesingular
locus of G -->
T/ W (T
= maximaltorus), sending
an element of G tothe
conjugacy
class of itssemi-simple
part.(If
G =SL(n),
this sendsa matrix to its characteristic
polynomial).
Artin and
Schlessinger [2] generalized
part of Brieskorn’s result(and
also a result of Huikeshoven[12])
to rationalsingularities
ofhigher multiplicity,
and made it morealgebraic;
however, one must work in asuitably
localizedalgebraic
category(e.g., algebraic
spaces,or local henselian
schemes).
THEOREM
[2]:
There is a smooth space Resparametrizing defor-
mations
of Spec
R with simultaneousresolution,
and afinite
map 03A6 :Res-Def into thedeformation
space, whoseimage
is an ir-reducible component A
of
Def.(A
= Artincomponent).
When e = 3 or
4,
then Def issmooth,
hence 0 issurjective.
However,
Pinkham[16]
showed that for the cone overP’--> P4 (e
=5),
Def has one- and three-dimensional components; every
deformation
is a
smoothing,
but simultaneous resolution takesplace
ononly
thesecond component.
The main purpose of this paper is to prove
THEOREM 1: 0: Rets - Def is Galois onto
A,
with group W =nw¡,
the
product of
theWeyl
groups associated to the maximal connected -2configurations
in thegraph of
R. Inparticular,
A is smooth.This had been
conjectured by Burns-Rapoport [8]
and Wahl[21].
The first authors had noticed that each -2 curve
gives
an automor-phism
of Res-Def(an
"elementarytransformation").
Weproved
that the dimension of the kernel of the tangent space map of Res Def is the number of -2 curves; in
particular,
if there are no -2’s,then Res-2-+A
[20].
It is recent work of J.Lipman [15]
whichcompletes
theproof.
The idea of the
proof
is rathersimple. First, interpret
Res as thedeformation space of X
([2], 4.6).
Next, blow down the -2configura-
tions in X to rational double
points, obtaining
X --.> V -Spec
R. Thisgives blowing-down
mapsThird, using
Brieskorn’s rational doublepoint
theorem and Burns-Wahl
[9]
on the relation of local toglobal déformations,
one deducesDef(X) - Def ( V)
is Galois andsurjective,
with group W.Therefore,
it remainsonly (!)
to show Def Vinjects
intoDef(R) (i.e.,
Def V is theArtin
component).
In an earlier version of this paper(cf. [24]),
weused a
cohomological
argument to prove Theorem 1 in case the fundamentalcycle
hasmultiplicity
1 at the -3 curves, e.g., for determinantal orquotient singularities. Lipman
proves theinjectivity directly;
thepoint
is that V is"canonically"
obtained fromSpec
R,even after déformation of each.
There is one case where the result is more concrete.
THEOREM 2: Let R be
determinantal, of multiplicity
d, hencedefined by
the 2 x 2 minorsof
a 2 x d matrix. Then the Artin component is the versal determinantaldeformation.
That
is,
the deformations of Rcorresponding
toperturbations
of theentries of the
defining
matrix form an irreducible component ofDef, equal
to A.First,
we observe that determinantal deformationsyield
deformations of V,
owing
to thesimple
construction of V in this case[23].
Then, werecognize
the determinantal nature of R from amorphism X ---> P’ x P"-’;
standard obstructiontheory
shows this map lifts to each deformationX
of X, whenceT(Ox)
is also determinantal.In a
forthcoming
paper[25],
westudy
the finer structure of Res A,especially
the irreducible components of the discriminant locus, and the fact that themonodromy
group over A is W.In § 1,
we define the action of W onRes;
our treatment there is influencedby
a letter from E. Horikawa. We outline aproof
ofLipman’s
result in§2,
while §3 discusses determinantal rationalsingularities.
§l. The action of W on Res
(1.1)
We assume known the basic facts about rationalsingularities ([3], [14]).
Moduli spaces areminimally
versal deformation spaces.Spec R,
and moduli spaces like Res andDef,
are assumed local henselian or localanalytic
spaces, in order to avoid the non-separatedness
of Res as analgebraic
space.(1.2) Interpreting
Res as Def X, there is ablowing-down
map Def X - Def Varising
from X - V([17], [9]).
Denoteby
p 1, ..., p, the RDP’s on V, andby Si,..., S,
their moduli spaces. Thecomposition
Def X --> Def V -->
IIS;
factors viaIIZ;,
where Zi --->Si
is the Res --> Def map for the RDP pi[9]. (Thinking
of Zi as the deformation space ofsome
neighborhood Ui
of theexceptional
fibre of pi in X, one hassimply
that deformations of Xgive
deformations of eachU;).
THEOREM 1.3: The
diagram
is cartesian, ail spaces are smooth, the horizontal maps are smooth, and the vertical maps are Galois
(and surjective),
with group W =nwi.
PROOF: The cartesian property is
[9],
2.6(it
is assumed there that V isprojective,
but this is not needed for theproof).
All spaces areobviously
smooth(all global H2’s
and localT2,S vanish).
The top map is .smoothby [9], 2.14;
thebottom,
because it issurjective
on the tangent spaces:Finally,
Brieskorn’s RDP theoremgives
the Galois property of theright-hand
map; since thediagram
iscartesian,
theseautomorphisms (and
the Galoisproperty) pull
back to Def X Def V.(1.4) Thus, Res/ W
= Def3Xl WIX Def
V.Now, W
=IIW
isgenerated by reflections;
wegive
a moregeometric picture
of theaction of a reflection a
corresponding
to Et, a -2 curve on X. This is the"elementary operation"
of[8], §7,
or[11], Appendix
B.First,
let Z --> S be Res - Def for asingle -2
curve(A1 -singularity),
with V --> Z the total
family.
Here, dim Z = dim S = 1, and dim Y = 3.Then the
exceptional
curve E C X C X has normal bundle0(-1)610(-1) [11].
Let p : Y - X be theblow-up
of E; thenp -1(E)~
E is
ir,: P 1 X P’--> P’ = E,
and the normal bundle ofp-1(E)
in Y is(- diagonal). By [10], p -1(E)
may be blown down in the direction of the otherruling, yielding Y--> X’-->Z. By functoriality,
X’--> Z is obtained from V-->Zby
anautomorphism 03C3:Z~Z,
of order 2by
construc- tion.For a
general
rationalsingularity,
let VI be the space obtained from Xby contracting
El, and consider the(cartesian) diagram
Let
R1 C Def X
be the fibre over theorigin
of Z;RI
is asmooth,
codimension 1subvariety corresponding
to déformations of X towhich
Et
lifts. If X --> Def X is the total space, andX1 --> RI
is the induceddéformation,
one has a relative effective Cartier divisor E CX1,
which lifts E1. Blowup 6
CX,
then blow down in another direction asbefore, yielding again
the reflection 03C3.(1.5)
Note that03C3(Ri)
=RI.
Infact,
for anRDP,
theRi’s correspond
to
hyperplanes
left fixedby
a basis of thepositive
roots when oneviews W as
acting
on the usualcomplex
vector space as a reflection group. To see the otherhyperplanes
as subvarieties ofRes,
and for thegeneralization
to all rationalsingularities,
see[25].
(1.6) Curiously,
theWeyl
group ofE8
cannot appear unless R is the RDPE8.
Thatis,
anE8-configuration
in thegraph
of a rationalsingularity
isnecessarily
the entiregraph.
Inlight
of Lemma 1.7 below, this is because the fundamentalcycle
ofE8
hasmultiplicity
a2at every component.
LEMMA 1.7: Inside a rational
configuration,
suppose L is areduced,
connected curveintersecting
an irreducible Et in onepoint ;
let
E2
be the curve in L withEl - E2
= 1. Then themultiplicity of E2
in ZL, thefundamental cycle of
L, is 1.PROOF : We must have
(ZL
+El) - (ZL
+Ei
+K) -5
-2. SinceZL -
(ZL
+K)
=El . (E,
+K) =
-2, we deduce ZL . E1~ 1. Thisimplies
the result.
§2.
Lipman’s
theorem(2.1)
As mentioned in theintroduction,
the main theorem will follow from theinjectivity
of theblowing-down
map Def V - Def R.The usual functorial argument shows that it suffices to prove in-
jectivity
on the tangent spaces, sinceHO(9v)’:::; 9R ([22], 1.12).
We will sketch(a slight
variantof) Lipman’s proof.
THEOREM 2.2
(Lipman [15]):
Def Vinjects
into Def R.PROOF: We show first that V =
ProjeH’(X, wx~n) (as
schemes overSpec R). Letting f :
X - V, we havef *(tJx
= wv(dualizing
differentialson
V),
soH’(X, wOn)
=HO(V, ,On).
We show wv is veryample
f orV- Spec R. By [14],
12.1, it suffices to show that(,wv - FI) > 0,
foreach
exceptional
curveFi
in V. Sincef *wv
= Wx( V
hasonly RDP’s),
thisintersection
number is(wx . E1),
where El is a non-2 curve in X, hence ispositive. Using
theF(£ù On) F(,W 0(- +n»
([14], 7.3),
the claim now follows.Next, if U = X - E =
Spec R - {m},
we have(2.2.1)
follows from the exact sequence of localcohomology,
sinceH1È(OX) = 0 (Grauert-Riemenschneider -
see[20],
TheoremA),
andHÈ(tox)
= 0(dual
toHl(Ox)
=0).
For(2.2.2),
we useThe top row is
surjective
asabove,
and theright
map isinjective,
whence
(2.2.2). Putting everything together gives
that V is comput- ablecanonically
fromU,
viz.Let
V
be a déformation of V over D =Spec C[e]/e2,
and wv therelative canonical sheaf of
V
over D(this
is theunique lifting
of theline bundle Cùv to
V).
We claim since a map between déformations isautomatically
anisomorphism,
it suffices toIf
V
blows down to a trivialdéformation, then,
as in[22], § 1,
the induced deformation!7
of U is trivial. Let (J)u =03A92u/D.
The barredanalogues
of(2.2.1)-(2.2.3)
are still true(use H°( V, v
instead ofH’(X, tù 0"», again using [22],
Theorem 0.4.Therefore,
V~Proj«D
lm03A6n).
But sinceU
is a trivialdeformation, 03A6n
is aproduct,
hence
V
is trivial. Thiscompletes
theproof.
(2.3)
One canidentify directly
the kernel of the tangent space map of Def V - Def R asExt1V(03A91 V/R, Ov).
Iff : X -
V, this can be recom-puted
asExt’x(f*f2’V/R, Cx),
and a(non-obvious)
reduction equatesinjectivity
withHornx (f *f2’, (Jz(Z))
= 0, where Z is the fundamentalcycle.
This should be viewed as avanishing
theoremanalogous
tothose of
[20].
Aftercomputing f * f2’ v
near the fibre of eachRDP,
we identified"easy
cases"(cf. [21])
in which the theorem was true -determinantal
singularities,
and those with no -3 curves[24].
A more carefulanalysis
of badcycles gives
the result if Z hasmultiplicity
1 atthe -3 curves
(e.g.,
forquotient singularities). Fortunately, Lipman’s
theorem proves
injectivity
incomplete generality,
and without ourlong
andcomplicated
method.§3. Determinantal deformations
(3.1)
A determinantal rationalsingularity R
hasequations given by
the 2 x 2 minors of a 2 x d
matrix,
d =multiplicity
of R(see [23],
§3 for a fulldiscussion).
There is a smoothsubvariety (or subfunctor)
Det of Def
consisting
of determinantaldeformations; merely perturb arbitrarily
the entries of thegiven
matrixdefining
R. We will showDet = A,
obtaining
anotherproof
of Theorem 2.2 in this case. Thus, Det isindependent
of the matrix used. Assume d a 3.THEOREM 3.2: For a determinantal rational
singularity,
Det =A;
i. e.,
the determinantaldeformations
areexactly
thosewhich, after
base
change, simultaneously
resolve in afamily.
PROOF: Let X --> V -->
Spec R
be as usual. We show first that the inclusion Det C Def factors via Def V, hence via A. Then we provethat
Def X -->A,
which issurjective (as
a map of spaces, notfunctors),
factors via Det.Recall V has a
simple
construction[23].
Assume R is defined(formally, say) by
where
fi, gi
are in a power seriesring
of d + 1 variables. Then V is the closure of thegraph
of the rational mapSpec R ~ P1
1 definedby
thecolumns. In
fact,
V CSpec R x pl is
definedby sfi
= tgi,where s, t
arehomogeneous
coordinates onP1.
If nowdefines a determinantal deformation
Spec R,
we may usesF
=tG;
todefine a deformation
V
of V. The verification thatV
is flat is doneby using,
e.g., that at least d - 1 of thefi’s
havelinearly independent leading
forms([23], 3.4).
We omit the details. This shows Det C A.On
X,
denoteby Eo
the -d curve, andby Ei (i > 0)
the other -2 curves; recallE°
hasmultiplicity
1 in the fundamentalcycle
Z.Pulling
back0(l)
from XiV ~ P1 gives
an invertible sheaf Y on X, with Y -Eo
= 1, Y - Ei = 0(i
>0),
and wx =IEfi!)(d-2).
Note thath 1(L) =
0,
h°(L~Oz)
= 2(use Riemann-Roch).
Suppose
that Z .Eo 0 ;
this means that the entries of the matrix(3.2.1)
generate the maximal ideal ofR,
or the strict tangent cone is 0.Therefore,
the rational mapSpec R ~ Pd-1 (defined by
therows)
is well-defined after oneblow-up;
inparticular,
theré is a mapX ~ Pd-1.
Denote
by Al by pull-back
ofO(1).
Since M isgenerated by
itsglobal
that
numerically equivalent
line bundles areisomorphic).
Thus, thegive
We claim
(3.2.2)
issurjective
oncompletions, by showing
the map ofgr’s
issurjective.
The map ofn’ graded pieces
isBut consider
The top and
right
maps aresurjective, by [14],
7.3, whence so is the bottom. This proves the claim. Note C is thegeneric
2 x ddeterminantal
singularity,
and(3.2.2)
shows how to write the matrix(3.2.1)
from03C0 : X --> P’ x Pd-1.
But Y and M lift
uniquely
to any déformation of X(since h 1( (O x) = h2«(Jx)
=0),
and the sections ofHO(Y)
andH°(M)
lift as well(since
their
H1,s
are0).
Thus, the mapX~P1 x Pd-1 lifts,
and(3.2.2)
lifts after deformation(of
course, C isrigid).
This shows how toperturb
the entries of the matrix
(3.2.1)
after deformation of X.(We
useimplicitly
that a map between déformations is anisomorphism).
Thus,Def X maps into Det.
Next,
suppose Z .Eo =
0; it is nolonger
true that theprojectivized
tangent cone embeds inP
1Xpd-1.
Defineinductively cycles Lj, Bj,
where
Lo
=E, Bo
= Z, and(i) L;+,
= connected component oflEi C Lj | Bj . Ei
=01 containing Eo
(ii) Bi,,
= fundamentalcycle
ofLi,,.
Eventually,
Bk .Eo
0, some k. Let Zl = Bo + ... +Bk.
ThenZ, - Eo
0, Bi.B;
= 0, i~j,
soh°(Oz1)
= k + 1, andh1(O(-Z1))
= 0.(Use
Lemma1.7 to show Z, -
Ej ~0,
alli ;
e.g., end curves ofLj+l
havemultiplicity
1 in
Bj,j). By construction, k
+ 1 =multiplicity
ofEo
in Z1 = number ofblow-ups
ofSpec R
needed todrop
themultiplicity (cf. [ 18]).
Also,H°(O(-Z1))
= I is thecomplete ideal,
ofcolength
k + 1,generated by
the entries of the matrix
(3.2.1).
The rational map
Spec R ~ Pd-1
is well-defined after k + 1blow-ups
ofSpec R (following
thepoint
ofmultiplicity d),
hence there is a mapX ~ Pd-1.
Let M be thepull-back
ofO(1).
ThenL~M
is thepull-back
of
O(1)0O(1)
fromX__>plXpd-1;
butby construction,
this is7Cx,
where I is the ideal
generated by
the entries of the matrix. Thus,again
expresses the deter- minantal nature of theprojectivized
tangent cone. There is a mapso that the map on the
n th piece
of the associatedgraded
is(compare
to thepreceding).
Infact,
thecompletion
of(3.2.4)
maps onto C +I,
asubring
of finitecolength
in R. Nonetheless, weproceed
as before. Déformations of X carry the map into
P
1xpd-1 (H1(IE) = H1(M)
= 0), hence(3.2.4) deforms,
and oneagain
knows how toperturb
the entries of the matrixdefining
R. Thiscompletes
theproof
of Theorem 3.2.
EXAMPLE
(3.3) (See [23], 5.5):
Aparticular
rationalsingularity
ofmultiplicity
4 withgraph
may be written
determinantally
via the matrixOne computes that dim
T1
= 10. The versal determinantal def or-mation,
of dimension 8, isgiven by
(Note
tio is the"equisingular" parameter).
Another four-dimensionalfamily (not obviously
an irreduciblecomponent)
can be read off the 2 x 2 minors of thesymmetric
3 x 3 matrix:Now, the one-parameter
subf amil00FF
of(3.3.2) given by
t4 =S2@
ts =S3,
t9 = S, tio = 0, has a
f amily
of -4singularities along
the sectionxl = x2 = x3 = x4 = 0, X5 = s ; also, it intersects
(3.3.1) only
at s = 0. Buta check shows that
(3.3.2)
acts as the non-Artin componentalong
thes-curve.
By
localversality
ofDef,
and Pinkham’sdescription [16]
ofthe moduli space f or
-4,
it follows that there is another component, ofdimension ~6, acting
as the Artin componentalong
the s-curve. Infact,
acomputation
shows Def has4,
6, and 8-dimensional components; the 6-dimensional one issingular,
with smooth normal- ization.REMARK
(3.4):
For ageneral
determinantalsingularity,
Det is notan irreducible component of the moduli space; in
fact,
it willdepend
on which matrix
representation
is used. Forinstance,
the modulispace of 4 lines
through
theorigin
inC4
is a coneover P1
1xp3 (hence irreducible,
but notsmooth).
Note,incidentally,
that thissingularity
isthe affine form of the
projectivized
tangent cone in(3.3)
above(i.e.,
set x5 = 0 in the
equation).
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[22] J. WAHL: Equisingular deformations of normal surface singularities, I. Ann. of Math. 104 (1976) 325-356.
[23] J. WAHL: Equations defining rational singularities. Ann. Sci. École Norm. Sup. 10 (1977) 231-264.
[24] J. WAHL: On Res ~ Def for a rational singularity. Informal Research Announce-
ment (1976).
[25] J. WAHL: Simultaneous resolution and discriminantal loci. (to appear).
(Oblatum 19-VII-1977) The Department of Mathematics
University of North Carolina-Chapel Hill Chapel Hill, North Carolina 27514