C OMPOSITIO M ATHEMATICA
S TEVEN L. K LEIMAN
The transversality of a general translate
Compositio Mathematica, tome 28, n
o3 (1974), p. 287-297
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287
THE TRANSVERSALITY OF A GENERAL TRANSLATE Steven L. Kleiman
Noordhoff International Publishing
Printed in the Netherlands
To Oscar Zariski in honor
of his
75thbirthday
Introduction
A basic
principle
of classical Schubert calculus says that each solution to thegeneral
case of an enumerativeproblem
appears withmultiplicity
one. The
principle
is a consequence of thefollowing
assertion: Consider two subvarieties of a Grassmannvariety; if the
intersection of the one anda
general
translate of the other is nonempty, the components each appear withmultiplicity
one. Thisassertion,
made in characteristic zero, is listedas Fact
(ii)
on p. 338of Hodge-Pedoe [4],
but isinadequately justified by
an
analogy.
A
simple, elementary proof
isgiven
below for thefollowing
transver-sality
theorem : Assume the characteristic is zero, and consider two sub-varieties,
Y and Z, of ahomogeneous
space X.Then,
Z intersects ageneral
translate of Yproperly,
andtransversally
if Y and Z are smooth.In
fact,
Y and Z need not be subvarieties ofX, just
be over X(fibered product replaces intersection);
this extensionpermits drawing
Bertini’stheorem and related results as corollaries. There are two basic
principles
involved in the
proof.
The first is thattranslating
a map from a smoothvariety
into ahomogeneous
spaceyields
a smoothparametrized family
of maps. The second is
that,
if aparametrized family
of maps issmooth,
then thegeneric
individual map is transversal to agiven
map from asmooth
variety. (There
areanalogous principles
with ’smooth’replaced
’Cohen-Macaulay’, ’normal’,
or the like[cf. (7) below].)
The secondprin- ciple
isused,
more or lessexplicitly,
in aproof
of Bertini’s theoremgiven
in an
unpublished preliminary
version of part of the treatise. ’Elements de GeometrieAlgebrique’, by
A. Grothendieck and J. Dieudonné. It is alsoessentially
used in Zariski’sproof [10]
of Bertini’s theorem. The formulation here isinspired by
the remark after Lemma 4.6 in[1] ;
thanks are due to M.
Golubitsky
forpointing
it out, forsuggesting
aproof, given
in(3) below,
of the firstprinciple,
and forremarking
that thetheorem carries over to the differentiable case.
The situation is different in
positive
characteristic. Forexample [see
(9) below],
the Grassmannvariety
of 2-dimensionalsubspaces
of a 4-dimensional vector space contains a smooth
subvariety
that does notintersect a certain Schubert
variety,
nor any translate ofit, transversally.
However,
thesubvariety
does not arise from an enumerativeproblem,
and the
principle
of Schubertcalculus,
stated at thebeginning, might
still be valid in a useful form in
positive
characteristic.In
positive characteristic,
thetransversality
result holds if the homo- geneous space is aprojective
space.Indeed,
theproof
of TheoremI,
p.153, of Hodge-Pedoe [4]
carries over. Anupdated
version ofit ispresented
in
(10)
below. This version underscores the action of thestability
group ofa
point
on its tangent space; this action isdramatically
better in the caseof a
projective
space than in the case of a moregeneral
Grassmannvariety,
contrary to the
impression given
in[4].
This version alsoyields
the formof Bertini’s theorem
given
in theunpublished
part of the treatiseby
Grothendieck and Dieudonné cited above. It is easy, but
instructive,
tohave
examples showing
Bertini’s theorem needs morestringent hypo-
theses in
positive
characteristic. Zariskigives
severalexamples
in[10];
another
example,
one more in thespirit
of thisarticle,
isgiven
in(13)
below.
Fix an
algebraically
closedground
field k.1. LEMMA: Consider a
diagram
withintegral algebraic schemes,
(i)
Assume qis flat. Then,
there exists a dense open subset Uof
S suchthat, for
eachpoint
s in U, eitherthe fibered product, p-’(s)
xXZ,
is emptyor it is
equidimensional
and its dimension isgiven by the,f’ormula,
(ii)
Assume qis, flat
with(geometrically) regular fibers (in short, smooth).
Assume Z is
regular. Then, p-1(03C3)
x XZ isregular,
where a is thegeneric point of S, and, if
the characteristic is zero, thenp - l(S)
x X Z isregular for
each
point
s in an open dense subsetof
S.PROOF :
(i)
Since W and X areintegral
and q isflat,
the nonempty fibers of q areequidimensional
withdimension,
dim(W) -
dim(X), by (EGA IV 2 ,
6.1.1). Hence, clearly,
the nonempty fibers of theprojection,
are also
equidimensional
with this dimensionby (EGA IV 2 , 4.2.8).
Onthe other
hand,
prZ is flatsince q
is flat(EGA IV2, 2.1.4),
and so,by (EGA IV2, 6.1.1),
the fiberthrough
apoint b
of W XZ has at bdimension, dimb ( W
xzZ)-
dim(Z),
because Z isintegral. Consequently,
W xXZ
isequidimensional,
and its dimension isgiven by
theformula,
There exists a dense open subset U1 of S such
that,
for each s inU,
either the fiberp-1(s)
is empty or it isequidimensional
and its dimension isgiven by
theformula,
(in fact,
there is a dense open subset of S over which p is flat(EGA IV 2 , 6.9.1),
and it will do(EGA IV2, 6.1.1)). Similarly,
since W XZ isequi- dimensional,
there exists a dense open subsetU2
of S suchthat,
for each s inU2 ,
either the fiber over s of themorphism,
is empty or it is
equidimensional
and its dimension isgiven by
theformula,
Now,
for each s inS,
theassociativity formula,
may be rewritten in
form,
Consequently,
for each s in U = U 1 nU 2 ,
eitherp-1(s)
x X Z is emptyor it is
equidimensional
and its dimension isgiven by
formula(1.1).
(ii) Since q
issmooth,
prZ: W x XZ~ Z is smooth(EGA IV4,
17.3.3 or EGAIV2, 6.8.3). Hence,
since Z isregular,
W xXZ
isregular (EGA IV2, 6.5.2). Therefore,
thegeneric fiber, (p 0 prw)-1(03C3),
isregular because,
ateach
point,
its localring
isobviously equal
to the localring
of W x XZ.If the characteristic is zero, then
(p 0 prX)-1(03C3)
isgeometrically regular (EGA IV 2, 6.7.4)
and so(p 0 prW)-1(s)
is(geometrically) regular
for each sin an open dense subset of S
(EGA IV 3 , 9.9.4).
In view of formula(1.2),
theproof
is nowcomplete.
2. THEOREM : Let G be an
integral algebraic
groupscheme,
X anintegral algebraic
scheme with a transitive G-action.Let f :
Y ~ X and g: Z ~ X be two mapsof integral algebraic
schemes. For each rationalpoint
sof G,
let s Y denote Y considered as an X-scheme via the map, y -sf (y).
(i) Then,
there exists a dense open subset Uof
G suchthat, for
each ra-tional
point
s inU,
either thefibered product, (s Y)
xXZ,
is empty or it isequidimensional
and its dimension isgiven by
theformula,
(ii)
Assume the characteristic is zero, and Y and Z areregular. Then,
there exists a dense open subset Uof
G suchthat, for
each rationalpoint
sin U, the
fibered product, (s Y)
xXZ,
isregular.
PROOF : Consider the map,
By hypothesis,
G and Y areintégral ; hence,
G x Y isintegral
because theground
field isalgebraically
closed(EGA IV 2 , 4.6.5). Therefore, q
is flatover a dense open subset V of X
(EGA IV2, 6.9.1).
Make G act on G x Ythrough
the firstfactor; obviously, then q
is ahomogeneous
map.By hypothesis,
G actstransitively
on X ;hence,
thetranslates,
SV; as s runsthrough
the rationalpoints
ofG,
form an opencovering
of X.Since q
is
homogeneous,
eachrestriction, q-1(sV)~SV,
isisomorphic
to therestrictions, q-1(V) ~
V ;hence,
each is flat.Thus, q
is flat.Assume the characteristic is zero and Y is
regular.
Since G is alsoregular (G
is reduced andhomogeneous)
and since theground
field isalgebraically closed,
G x Y isregular (EGA IV2, 6.8.5). Hence, obviously,
thegeneric
fiber
of q
isregular;
so it isgeometrically regular
because the charac- teristic is zero(EGA IV2, 6.7.4). Therefore,
the fibersof q
over thepoints
in a dense open subset of X are
geometrically regular (EGA IV 3 , 9.9.4).
Since G acts
transitively
on Xand q
is ahomogeneous
map, it follows that every fiberof q
isgeometrically regular.
The assertions
obviously
now follow from(1) applied
with G forS,
with G x Y forW,
with theprojection
from G x Y to G for p, andwith q
as above.
3. REMARK : In
(2),
assume, for each rationalpoint
xof X,
the differential of the map,is
surjective
at each rationalpoint
ofG;
this isalways
the case in charac-teristic zero, and
commonly
occurs inpositive
characteristic.Then,
clearly,
the differential of themap, q : G
x Y -X,
is alsosurjective
at eachrational
point; hence, q
is smooth(EGA IV4, 17.11.1). Nevertheless,
thehypothesis
in(2, (ii))
that the characteristic be zero is needed toapply (1, (ii))
and cannot be eliminated.4. COROLLARY : Let G be an
integral algebraic
groupscheme,
X anintegral algebraic
scheme with a transitive G-action. Let Y and Z beintegral
subschemes
of
X.(i)
There exists a dense open subset Uof
G suchthat, for
each rational point s in U, thetranslate,
sY, and the subscheme Z intersectproperly,
that is, each componentof their
intersection hasdimension,
dim( Y)
+ dim(Z) - dim (X).
(ii)
Assume the characteristic is zero and Y and Z areregular. Then,
thereexists a dense open subset U
of
G suchthat, for
each rationalpoint
s inU,
thesubscheme,
sY andZ,
intersecttransversally,
that is, the intersection,(s Y) n Z, is regular
and has puredimension, dim ( Y) + dim (Z) - dim (X).
PROOF : The assertions result from
(2), applied
with the inclusion maps of Y and Z into X forf
and g.5. COROLLARY
(Bertini’s theorem):
Assume the characteristic is zero.Then,
ageneral
memberof a
linear system on anintegral algebraic
schemeZ is
regular off the
base locusof the
system and thesingular
locusof Z.
PROOF:
Discarding
the base locus and thesingular
locus -both,
closed subsets of Z - we may assume the system has no base
points
andZ is
regular. Then,
the system defines a map g of Z into a suitable pro-jective
space X in such a way that its members areexactly
the scheme- theoretic inverseimages
of thehyperplanes.
The group G of automor-phisms
of X(or, just
asgood,
thecorresponding general linear group)
acts
transitively
on X and on the setof hyperplanes. Hence,
the assertion results from(2), applied
with the inclusion map of a fixedhyperplane
Yinto X
for f.
6. REMARK :
(5) generalizes easily.
Let Z be anintegral algebraic scheme,
E a
locally
free sheaf with a finite rank r, and V a finite dimensional vector space ofglobal
sections of Egenerating
E.Fix integers n
and msatisfying
the
(natural) inequalities,
1 ~ n ~
dim(V)
andmax (0,r-dim(V)+n) ~
m min(n, r).
Take n
general, linearly independent
elementsof V,
and consider the subscheme of Z ofpoints t
at whichthey
span asubspace
of E Ok(t)
with dimension at most m.
Then,
either this subscheme is empty or it has purecodimension, (r - m)(n - m) ;
moreover, if Z isregular
and the charac- teristic is zero, then it isregular
exceptexactly
at thepoints t
at which then sections span a
subspace
of E (Dk(t)
with dimension at most(m-1), (it
isregular everywhere
if m =0).
Indeed,
there is a natural map g of Z into the Grassmannvariety
X ofr-dimensional
quotients
of V in such a way that the subscheme of Z inquestion
is the scheme-theoretic inverseimage
of ananalogous
subschemeof
X,
which is a Schubert scheme(the
one denoted in[6] by 03C3(n-m)(A)
where A is the
subspace
of Vgenerated by
the nelements).
It is known[6, 2.9,
forexample]
that each Schubert scheme of this sort has purecodimension, (r-m)(n-m),
andthat,
in anycharacteristic,
itssingular
locus is the Schubert scheme obtained
by replacing
mby (m-1). Hence,
the assertion resultsby (2).
Taking
r = 1 and m = 0yields (5)
because the members of a linear system without basepoints
are the schemes of zeros of the elements of afinite dimensional vector space of
global
sections of an invertible sheaf.7. REMARK: It is easy to prove
similarly
theanalogous
formsof (1, (ii)),
of
(2, (ii)),
of(4, (ii)),
of(5)
and astrengthened, analogous
form of(6)
withthe
adjective ’regular’ replaced throughout by
theadjective
’Cohen-Macaulay’ (resp. ’normal’, ’reduced’, ’locally integral’ etc.);
in the newfrom of
(6),
the subscheme of Z can beproved Cohen-Macaulay,
etc.,everywhere
because thecorresponding
Schubertvariety
is so[3, 5, 7, 8,
or
9].
In the forms with’Cohen-Macaulay’,
the characteristic can bearbitrary.
8. COROLLARY: Let G be an
integral algebraic
groupscheme,
X an inte-,gral (regular) algebraic
scheme with a transitive G-action. Let Y and Z beintegral
subschemesof X.
Assume either the characteristic is zero or the induced actionof
G on theprojective
tangentvariety
PTX(= P(Ql))
istransitive.
Then,
there exists a dense open subset Uof G
suchthat,, f’or
eachrational
point
s in U, the intersection,(s Y,)
n Z, is proper and eachof
itscomponents appears with
multiplicity
one, that is, there exists a dense open subsetof (sY)
n Z that isregular
and has puredimension,
dim(Y)
+ dim(Z)
- dim (X).
PROOF : Let Y’
(resp. Z’)
denote the open set ofregular points
of Y(resp. of Z). Clearly, (4, (i)) implies that,
for each rationalpoint
s in a denseopen subset U’ of
G,
thefollowing
four intersections are proper :Hence, by
dimensionconsiderations, (s Y’)
n Z’ is a dense(open)
subsetof (sY)
n Z for each such s ; moreover, it isequidimensional
and its dimen- sion isgiven by
theformula,
Assume the characteristic is zero.
Then, (4, (ii)) implies that,
for eachrational
point
s in a dense open subset U of G contained inU’,
the denseopen subset
(s Y’) n Z’
of(s Y) n Z
isregular
and has puredimension,
dim( Y)
+ dim(Z) -
dim(X),
as desired.Assume the induced G-action on PTX is transitive.
Then, (4, (i)) implies that,
for each rationalpoint
s in a dense open subset U of G con-tained in
U’,
the subschemess(PT Y’)
and PTZ’ of PTX intersectproperly.
Fix such an s, and consider theprojection,
Since p is
surjective
and the two intersections are proper, there is a dense open subset V of s Y’ n Z’ over which the fibers of p havedimension, dim (Y) + dim (Z) - dim (X) - 1. Hence,
at each rationalpoint of V,
the tangent spaces to s Y’ and Z’ meet in a vector space withdimension, dim (Y) + dim (Z) - dim (X). Therefore, V
is a dense open subset of(s Y) n Z
that isregular
and has puredimension, dim ( Y) + dim (Z) - dim (X),
as desired.9. EXAMPLE
(showing
someauxiliary hypothesis
is necessary in(8)) :
Let X be the Grassmann
variety
of 2-dimensionalsubspaces
of a 4-dimensional vector
space v
Fix an elementf of V,
and let Y =Y( f )
denote the Schubert scheme
parametrizing
thesubspaces containing f.
Locally,
X can be coordinatized as the affine space of 2 x 2-matrices(tu)
via a choice ofbasis, (el,
e2, e3,e4),
of v and adecomposition
of thebasis into two subsets of two
elements,
say,(el, e2)
and(e3, e4), [6, 1.6,
forexample].
In this coordinatepatch,
Y is definedby
thefollowing
twolinear
equations [6, 2.3,
forexample] :
where the si are determined
by
therelation,
In
particular,
Y isobviously
smooth.Assume the characteristic is p > 0. Fis the coordinate
patch
U, and define a subscheme Z of Uby
thefollowing
twoéquations :
The differentials of these
equations
areSince
they
arelinearly independent,
Z is smooth.Assume s4 and
(s3 + s4)
are nonzero.Then, solving
theequations
de-fining
Y and Zsimultaneously
shows that Y and Z haveexactly
onepoint
in common.
Now,
weobviously
have therelation,
Therefore,
Y and Z do not intersecttransversally.
The
general
linear group G of V actstransitively
onX,
andclearly
we have the
formula,
Consequently,
for each rationalpoint
s in a dense open subset of G, theregular subschemes, sY(f)
and Z, of X do not intersecttransversally,
in
fact,
their intersection consists of asingle,
non-reducedpoint.
10. THEOREM : Let G be an
integral algebraic
groupscheme,
X anintegral algebraic
scheme with a transitive G-action. Assumethat, for
each rationalpoint
xof X,
the inducedhomomorphism,
from
thestability
groupof
x into thegeneral
linear groupof
the tangentspace
of X
at x, issurjective.
Letf :
Y - X and g : Z ~ X be two mapsof integral algebraic
schemes. Assumef
and g areunramified ( for example, embeddings). Then,
there exists a dense open subset Uof
G suchthat, for
each rational
point
sof
U,the fibered product, (s Y)
x xZ,
where s Y denotesY considered as an X-scheme via the map, y ~
sf (y),
is empty orregular
with pure
dimension,
dim( Y)
+ dim(Z) -
dim(X).
PROOF : Since
f
isunramified,
the mapf*03A91X ~ 03A91Y
issurjective (EGA Iv4, 17.4.2, c)). So,
there is a canonical closedembedding
ofP T Y =
P(03A91Y)
in(PTX)
x x Y =P(f*03A91Y);
itcorresponds
to a(linear)
map,
PTf :
PT Y -PTX, lifting f. Similarly,
since g isunramified,
therean
analogous
map,PTg:PTZ ~
PTX.The
projections,
PTY ~Y,
etc., induce a map,where G x PT Y is considered as a PTX-scheme via the map,
(s, t) ~
s(PTf(t)),
the action of G on PTXbeing
the onelifting
that of G on X, and where GX Y is considered as an X-scheme via the map,(s, y)
Hsf ( y).
Since the
projections
areproper, h
is proper.Hence,
thefollowing
set isclosed :
v
= {v~(G Y) XZ|dim(h-1(v)) ~ dim(Y)+dim(Z)-dim(X)+1}.
Let s, x, y, z be rational
points
ofG, X, 1’: Z,
and assume therelation,
x =
sf(y)
=g(z),
holds. Sincef and g are unramified,
theprojective tangent
spaces,PTy(Y)
andP7z(Z),
can be considered as(linear)
sub-spaces of
PTx(X)
viaPTf
andPTg.
It is easy to see that thepoint,
v =(s,
y,z),
of(G
xY)
xXZ
lies in V if andonly
if thefollowing inequality
holds :
(10.2) dim((sPTy(Y))
nPTz(Z)) ~ dim(Y)+dim(Z)-dim(X)+1.
In
general,
let A and B besubspaces
of a vector spaceC,
let a, b and cdenote the
respective dimensions,
and let p be aninteger satisfying
thecondition,
It is well-known that the closed set,
has
codimension, p(c-a-b+p). (The
set maps onto the Schubertvariety parametrizing
the a-dimensionalsubspaces
of C that meet B in aspace of dimension at least
p.)
Consider the natural map, r : V ~ Y x Z. Fix a rational
point (y, z)
ofY x
Z,
and let s be a rationalpoint
of G.Obviously,
thepoint (s,
y,z)
of(G
xY)
x XZ lies in the fiberr-1(y, z)
if andonly
if it liesin V,
so if andonly
if the
inequality (10.2)
holds.Hence,
since the map(10.1)
issurjective,
thegeneral
factjust
recalledyields
theformula,
Therefore,
there is aninequality,
(In fact, equality
holdsbecause,
as is easy to see, r issurjective.)
In view
of (10.3),
the natural map from V into G is notsurjective. Hence,
thecomplement
in G of the closure of theimage
ov V is a dense open set U. Fix a rationalpoint
s of U.Let y
and z be rationalpoints
of Y andZ,
and assume therelation, sf(y)
=g(z),
holds.Then, clearly,
thefollowing equality
holds:It follows that
(s Y) x x Z
isregular
withdimension, dim ( Y) + dim (Z) -
dim (X),
at(y, z) ;
this is a local matter, which iseasily
verifiedusing
thecompletions,
for an unramifiedmorphism
isanalytically
a closed embed-ding (EGA IV4, 17.4.4, f")). Thus, (sY) XZ
is empty orregular
withdimension,
dim( Y)
+ dim(Z) -
dim(X).
11. COROLLARY : Let X be
projective
n-space, G thecorresponding general linear group.
Letf :
Y - Xand g :
Z - X be twounramified
mapsof integral algebraic
schemes.Then,
there exists a dense open subset Uof
Gsuch
that, for
each rationalpoint
s in U, theproduct, (s Y)
x xZ,
where s Y denotes Y considered as an X-scheme via the map, y ~sf (y),
is empty orregular
withdimension,
dim( Y)
+ dim(Z) -
n.PROOF : Let x be a rational
point
of X. Coordinatize X so that x becomes(1, 0, ···, 0) and, using
the dualnumbers, identify
the tangent spaceTx(X)
with the set of(n + 1 )-typles (1, b1
8, ...,bn 8)
where thebi
arearbitrary
scalars and 03B52 isequal
to zero.Then,
a matrix m in thegeneral
linear group,
Gl(Tx(X)),
isobviously
theimage
of the matrix(1 0m)
in thestability subgroup G,
of x.Thus,
thehomomorphism (10.1)
issurjective,
and the assertion follows from
(10).
12. COROLLARY
(Bertini’s
theorem inarbitrary characteristic): A general
memberof a
linear system without basepoints
on aregular, integral algebraic
scheme Z isregular i,f’the
system separatesinfinitely
nearpoints,
that is,if the
systemdefines
anunramified
map gof Z
into a suitableprojec-
tive space X.
PROOF: The assertion results from
(11), applied
with the inclusion map of a fixedhyperplane
Y into Xfor f
13. EXAMPLE
(showing
someauxiliary hypothesis
is necessary in Ber- tini’s theorem in characteristic p >0):
Let Z be the affineplane
ofvariables x, y. The
equations,
define a
finite, surjective
map g from Z onto the affine(u, v)-plane. (It
isramified
along
they-axis).
Thecorresponding
linear system on Z consists of the curves definedby
theequations,
where a, b,
c arearbitrary
scalars.Obviously,
we have theformula,
So,
if a is nonzero, the curve,Fa, b, c
=0,
has aunique singular point
atx =
0,
y =(ela)’11.
REFERENCES
[1] M. GOLUBITSKY and V. GUILLEMIN : Stable mappings and their singularities. Graduate
texts in Mathematicas 14 Springer-Verlag (1973).
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