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The Stacks project

10.128 More flatness criteria

The following lemma is often used in algebraic geometry to show that a finite morphism from a normal surface to a smooth surface is flat. It is a partial converse to Lemma 10.112.9 because an injective finite local ring map certainly satisfies condition (3).

Lemma 10.128.1.slogan Let R \to S be a local homomorphism of Noetherian local rings. Assume

  1. R is regular,

  2. S Cohen-Macaulay,

  3. \dim (S) = \dim (R) + \dim (S/\mathfrak m_ R S).

Then R \to S is flat.

Proof. By induction on \dim (R). The case \dim (R) = 0 is trivial, because then R is a field. Assume \dim (R) > 0. By (3) this implies that \dim (S) > 0. Let \mathfrak q_1, \ldots , \mathfrak q_ r be the minimal primes of S. Note that \mathfrak q_ i \not\supset \mathfrak m_ R S since

\dim (S/\mathfrak q_ i) = \dim (S) > \dim (S/\mathfrak m_ R S)

the first equality by Lemma 10.104.3 and the inequality by (3). Thus \mathfrak p_ i = R \cap \mathfrak q_ i is not equal to \mathfrak m_ R. Pick x \in \mathfrak m_ R, x \not\in \mathfrak m_ R^2, and x \not\in \mathfrak p_ i, see Lemma 10.15.2. Hence we see that x is not contained in any of the minimal primes of S. Hence x is a nonzerodivisor on S by (2), see Lemma 10.104.2 and S/xS is Cohen-Macaulay with \dim (S/xS) = \dim (S) - 1. By (1) and Lemma 10.106.3 the ring R/xR is regular with \dim (R/xR) = \dim (R) - 1. By induction we see that R/xR \to S/xS is flat. Hence we conclude by Lemma 10.99.10 and the remark following it. \square

Lemma 10.128.2. Let R \to S be a homomorphism of Noetherian local rings. Assume that R is a regular local ring and that a regular system of parameters maps to a regular sequence in S. Then R \to S is flat.

Proof. Suppose that x_1, \ldots , x_ d are a system of parameters of R which map to a regular sequence in S. Note that S/(x_1, \ldots , x_ d)S is flat over R/(x_1, \ldots , x_ d) as the latter is a field. Then x_ d is a nonzerodivisor in S/(x_1, \ldots , x_{d - 1})S hence S/(x_1, \ldots , x_{d - 1})S is flat over R/(x_1, \ldots , x_{d - 1}) by the local criterion of flatness (see Lemma 10.99.10 and remarks following). Then x_{d - 1} is a nonzerodivisor in S/(x_1, \ldots , x_{d - 2})S hence S/(x_1, \ldots , x_{d - 2})S is flat over R/(x_1, \ldots , x_{d - 2}) by the local criterion of flatness (see Lemma 10.99.10 and remarks following). Continue till one reaches the conclusion that S is flat over R. \square

The following lemma is the key to proving that results for finitely presented modules over finitely presented rings over a base ring follow from the corresponding results for finite modules in the Noetherian case.

Lemma 10.128.3. Let R \to S, M, \Lambda , R_\lambda \to S_\lambda , M_\lambda be as in Lemma 10.127.13. Assume that M is flat over R. Then for some \lambda \in \Lambda the module M_\lambda is flat over R_\lambda .

Proof. Pick some \lambda \in \Lambda and consider

\text{Tor}_1^{R_\lambda }(M_\lambda , R_\lambda /\mathfrak m_\lambda ) = \mathop{\mathrm{Ker}}(\mathfrak m_\lambda \otimes _{R_\lambda } M_\lambda \to M_\lambda ).

See Remark 10.75.9. The right hand side shows that this is a finitely generated S_\lambda -module (because S_\lambda is Noetherian and the modules in question are finite). Let \xi _1, \ldots , \xi _ n be generators. Because M is flat over R we have that 0 = \mathop{\mathrm{Ker}}(\mathfrak m_\lambda R \otimes _ R M \to M). Since \otimes commutes with colimits we see there exists a \lambda ' \geq \lambda such that each \xi _ i maps to zero in \mathfrak m_{\lambda }R_{\lambda '} \otimes _{R_{\lambda '}} M_{\lambda '}. Hence we see that

\text{Tor}_1^{R_\lambda }(M_\lambda , R_\lambda /\mathfrak m_\lambda ) \longrightarrow \text{Tor}_1^{R_{\lambda '}}(M_{\lambda '}, R_{\lambda '}/\mathfrak m_{\lambda }R_{\lambda '})

is zero. Note that M_\lambda \otimes _{R_\lambda } R_\lambda /\mathfrak m_\lambda is flat over R_\lambda /\mathfrak m_\lambda because this last ring is a field. Hence we may apply Lemma 10.99.14 to get that M_{\lambda '} is flat over R_{\lambda '}. \square

Using the lemma above we can start to reprove the results of Section 10.99 in the non-Noetherian case.

Lemma 10.128.4. Suppose that R \to S is a local homomorphism of local rings. Denote \mathfrak m the maximal ideal of R. Let u : M \to N be a map of S-modules. Assume

  1. S is essentially of finite presentation over R,

  2. M, N are finitely presented over S,

  3. N is flat over R, and

  4. \overline{u} : M/\mathfrak mM \to N/\mathfrak mN is injective.

Then u is injective, and N/u(M) is flat over R.

Proof. By Lemma 10.127.13 and its proof we can find a system R_\lambda \to S_\lambda of local ring maps together with maps of S_\lambda -modules u_\lambda : M_\lambda \to N_\lambda satisfying the conclusions (1) – (6) for both N and M of that lemma and such that the colimit of the maps u_\lambda is u. By Lemma 10.128.3 we may assume that N_\lambda is flat over R_\lambda for all sufficiently large \lambda . Denote \mathfrak m_\lambda \subset R_\lambda the maximal ideal and \kappa _\lambda = R_\lambda / \mathfrak m_\lambda , resp. \kappa = R/\mathfrak m the residue fields.

Consider the map

\Psi _\lambda : M_\lambda /\mathfrak m_\lambda M_\lambda \otimes _{\kappa _\lambda } \kappa \longrightarrow M/\mathfrak m M.

Since S_\lambda /\mathfrak m_\lambda S_\lambda is essentially of finite type over the field \kappa _\lambda we see that the tensor product S_\lambda /\mathfrak m_\lambda S_\lambda \otimes _{\kappa _\lambda } \kappa is essentially of finite type over \kappa . Hence it is a Noetherian ring and we conclude the kernel of \Psi _\lambda is finitely generated. Since M/\mathfrak m M is the colimit of the system M_\lambda /\mathfrak m_\lambda M_\lambda and \kappa is the colimit of the fields \kappa _\lambda there exists a \lambda ' > \lambda such that the kernel of \Psi _\lambda is generated by the kernel of

\Psi _{\lambda , \lambda '} : M_\lambda /\mathfrak m_\lambda M_\lambda \otimes _{\kappa _\lambda } \kappa _{\lambda '} \longrightarrow M_{\lambda '}/\mathfrak m_{\lambda '} M_{\lambda '}.

By construction there exists a multiplicative subset W \subset S_\lambda \otimes _{R_\lambda } R_{\lambda '} such that S_{\lambda '} = W^{-1}(S_\lambda \otimes _{R_\lambda } R_{\lambda '}) and

W^{-1}(M_\lambda /\mathfrak m_\lambda M_\lambda \otimes _{\kappa _\lambda } \kappa _{\lambda '}) = M_{\lambda '}/\mathfrak m_{\lambda '} M_{\lambda '}.

Now suppose that x is an element of the kernel of

\Psi _{\lambda '} : M_{\lambda '}/\mathfrak m_{\lambda '} M_{\lambda '} \otimes _{\kappa _{\lambda '}} \kappa \longrightarrow M/\mathfrak m M.

Then for some w \in W we have wx \in M_\lambda /\mathfrak m_\lambda M_\lambda \otimes \kappa . Hence wx \in \mathop{\mathrm{Ker}}(\Psi _\lambda ). Hence wx is a linear combination of elements in the kernel of \Psi _{\lambda , \lambda '}. Hence wx = 0 in M_{\lambda '}/\mathfrak m_{\lambda '} M_{\lambda '} \otimes _{\kappa _{\lambda '}} \kappa , hence x = 0 because w is invertible in S_{\lambda '}. We conclude that the kernel of \Psi _{\lambda '} is zero for all sufficiently large \lambda '!

By the result of the preceding paragraph we may assume that the kernel of \Psi _\lambda is zero for all \lambda sufficiently large, which implies that the map M_\lambda /\mathfrak m_\lambda M_\lambda \to M/\mathfrak m M is injective. Combined with \overline{u} being injective this formally implies that also \overline{u_\lambda } : M_\lambda /\mathfrak m_\lambda M_\lambda \to N_\lambda /\mathfrak m_\lambda N_\lambda is injective. By Lemma 10.99.1 we conclude that (for all sufficiently large \lambda ) the map u_\lambda is injective and that N_\lambda /u_\lambda (M_\lambda ) is flat over R_\lambda . The lemma follows. \square

Lemma 10.128.5. Suppose that R \to S is a local ring homomorphism of local rings. Denote \mathfrak m the maximal ideal of R. Suppose

  1. S is essentially of finite presentation over R,

  2. S is flat over R, and

  3. f \in S is a nonzerodivisor in S/{\mathfrak m}S.

Then S/fS is flat over R, and f is a nonzerodivisor in S.

Proof. Follows directly from Lemma 10.128.4. \square

Lemma 10.128.6. Suppose that R \to S is a local ring homomorphism of local rings. Denote \mathfrak m the maximal ideal of R. Suppose

  1. R \to S is essentially of finite presentation,

  2. R \to S is flat, and

  3. f_1, \ldots , f_ c is a sequence of elements of S such that the images \overline{f}_1, \ldots , \overline{f}_ c form a regular sequence in S/{\mathfrak m}S.

Then f_1, \ldots , f_ c is a regular sequence in S and each of the quotients S/(f_1, \ldots , f_ i) is flat over R.

Proof. Induction and Lemma 10.128.5. \square

Here is the version of the local criterion of flatness for the case of local ring maps which are locally of finite presentation.

Lemma 10.128.7. Let R \to S be a local homomorphism of local rings. Let I \not= R be an ideal in R. Let M be an S-module. Assume

  1. S is essentially of finite presentation over R,

  2. M is of finite presentation over S,

  3. \text{Tor}_1^ R(M, R/I) = 0, and

  4. M/IM is flat over R/I.

Then M is flat over R.

Proof. Let \Lambda , R_\lambda \to S_\lambda , M_\lambda be as in Lemma 10.127.13. Denote I_\lambda \subset R_\lambda the inverse image of I. In this case the system R/I \to S/IS, M/IM, R_\lambda \to S_\lambda /I_\lambda S_\lambda , and M_\lambda /I_\lambda M_\lambda satisfies the conclusions of Lemma 10.127.13 as well. Hence by Lemma 10.128.3 we may assume (after shrinking the index set \Lambda ) that M_\lambda /I_\lambda M_\lambda is flat for all \lambda . Pick some \lambda and consider

\text{Tor}_1^{R_\lambda }(M_\lambda , R_\lambda /I_\lambda ) = \mathop{\mathrm{Ker}}(I_\lambda \otimes _{R_\lambda } M_\lambda \to M_\lambda ).

See Remark 10.75.9. The right hand side shows that this is a finitely generated S_\lambda -module (because S_\lambda is Noetherian and the modules in question are finite). Let \xi _1, \ldots , \xi _ n be generators. Because \text{Tor}_1^ R(M, R/I) = 0 and since \otimes commutes with colimits we see there exists a \lambda ' \geq \lambda such that each \xi _ i maps to zero in \text{Tor}_1^{R_{\lambda '}}(M_{\lambda '}, R_{\lambda '}/I_{\lambda '}). The composition of the maps

\xymatrix{ R_{\lambda '} \otimes _{R_\lambda } \text{Tor}_1^{R_\lambda }(M_\lambda , R_\lambda /I_\lambda ) \ar[d]^{\text{surjective by Lemma 00MM}} \\ \text{Tor}_1^{R_\lambda }(M_\lambda , R_{\lambda '}/I_\lambda R_{\lambda '}) \ar[d]^{\text{surjective up to localization by Lemma 00MN}} \\ \text{Tor}_1^{R_{\lambda '}}(M_{\lambda '}, R_{\lambda '}/I_\lambda R_{\lambda '}) \ar[d]^{\text{surjective by Lemma 00MM}} \\ \text{Tor}_1^{R_{\lambda '}}(M_{\lambda '}, R_{\lambda '}/I_{\lambda '}). }

is surjective up to a localization by the reasons indicated. The localization is necessary since M_{\lambda '} is not equal to M_\lambda \otimes _{R_\lambda } R_{\lambda '}. Namely, it is equal to M_\lambda \otimes _{S_\lambda } S_{\lambda '} and S_{\lambda '} is the localization of S_{\lambda } \otimes _{R_\lambda } R_{\lambda '} whence the statement up to a localization (or tensoring with S_{\lambda '}). Note that Lemma 10.99.12 applies to the first and third arrows because M_\lambda /I_\lambda M_\lambda is flat over R_\lambda /I_\lambda and because M_{\lambda '}/I_\lambda M_{\lambda '} is flat over R_{\lambda '}/I_\lambda R_{\lambda '} as it is a base change of the flat module M_\lambda /I_\lambda M_\lambda . The composition maps the generators \xi _ i to zero as we explained above. We finally conclude that \text{Tor}_1^{R_{\lambda '}}(M_{\lambda '}, R_{\lambda '}/I_{\lambda '}) is zero. This implies that M_{\lambda '} is flat over R_{\lambda '} by Lemma 10.99.10. \square

Please compare the lemma below to Lemma 10.99.15 (the case of Noetherian local rings) and Lemma 10.101.8 (the case of a nilpotent ideal in the base).

Lemma 10.128.8 (Critère de platitude par fibres). Let R, S, S' be local rings and let R \to S \to S' be local ring homomorphisms. Let M be an S'-module. Let \mathfrak m \subset R be the maximal ideal. Assume

  1. The ring maps R \to S and R \to S' are essentially of finite presentation.

  2. The module M is of finite presentation over S'.

  3. The module M is not zero.

  4. The module M/\mathfrak mM is a flat S/\mathfrak mS-module.

  5. The module M is a flat R-module.

Then S is flat over R and M is a flat S-module.

Proof. As in the proof of Lemma 10.127.11 we may first write R = \mathop{\mathrm{colim}}\nolimits R_\lambda as a directed colimit of local \mathbf{Z}-algebras which are essentially of finite type. Denote \mathfrak p_\lambda the maximal ideal of R_\lambda . Next, we may assume that for some \lambda _1 \in \Lambda there exist f_{j, \lambda _1} \in R_{\lambda _1}[x_1, \ldots , x_ n] such that

S = \mathop{\mathrm{colim}}\nolimits _{\lambda \geq \lambda _1} S_\lambda , \text{ with } S_\lambda = (R_\lambda [x_1, \ldots , x_ n]/ (f_{1, \lambda }, \ldots , f_{u, \lambda }))_{\mathfrak q_\lambda }

For some \lambda _2 \in \Lambda , \lambda _2 \geq \lambda _1 there exist g_{j, \lambda _2} \in R_{\lambda _2}[x_1, \ldots , x_ n, y_1, \ldots , y_ m] with images \overline{g}_{j, \lambda _2} \in S_{\lambda _2}[y_1, \ldots , y_ m] such that

S' = \mathop{\mathrm{colim}}\nolimits _{\lambda \geq \lambda _2} S'_\lambda , \text{ with } S'_\lambda = (S_\lambda [y_1, \ldots , y_ m]/ (\overline{g}_{1, \lambda }, \ldots , \overline{g}_{v, \lambda }))_{\overline{\mathfrak q}'_\lambda }

Note that this also implies that

S'_\lambda = (R_\lambda [x_1, \ldots , x_ n, y_1, \ldots , y_ m]/ (g_{1, \lambda }, \ldots , g_{v, \lambda }))_{\mathfrak q'_\lambda }

Choose a presentation

(S')^{\oplus s} \to (S')^{\oplus t} \to M \to 0

of M over S'. Let A \in \text{Mat}(t \times s, S') be the matrix of the presentation. For some \lambda _3 \in \Lambda , \lambda _3 \geq \lambda _2 we can find a matrix A_{\lambda _3} \in \text{Mat}(t \times s, S_{\lambda _3}) which maps to A. For all \lambda \geq \lambda _3 we let M_\lambda = \mathop{\mathrm{Coker}}((S'_\lambda )^{\oplus s} \xrightarrow {A_\lambda } (S'_\lambda )^{\oplus t}).

With these choices, we have for each \lambda _3 \leq \lambda \leq \mu that S_\lambda \otimes _{R_{\lambda }} R_\mu \to S_\mu is a localization, S'_\lambda \otimes _{S_{\lambda }} S_\mu \to S'_\mu is a localization, and the map M_\lambda \otimes _{S'_\lambda } S'_\mu \to M_\mu is an isomorphism. This also implies that S'_\lambda \otimes _{R_{\lambda }} R_\mu \to S'_\mu is a localization. Thus, since M is flat over R we see by Lemma 10.128.3 that for all \lambda big enough the module M_\lambda is flat over R_\lambda . Moreover, note that \mathfrak m = \mathop{\mathrm{colim}}\nolimits \mathfrak p_\lambda , S/\mathfrak mS = \mathop{\mathrm{colim}}\nolimits S_\lambda /\mathfrak p_\lambda S_\lambda , S'/\mathfrak mS' = \mathop{\mathrm{colim}}\nolimits S'_\lambda /\mathfrak p_\lambda S'_\lambda , and M/\mathfrak mM = \mathop{\mathrm{colim}}\nolimits M_\lambda /\mathfrak p_\lambda M_\lambda . Also, for each \lambda _3 \leq \lambda \leq \mu we see (from the properties listed above) that

S'_\lambda /\mathfrak p_\lambda S'_\lambda \otimes _{S_{\lambda }/\mathfrak p_\lambda S_\lambda } S_\mu /\mathfrak p_\mu S_\mu \longrightarrow S'_\mu /\mathfrak p_\mu S'_\mu

is a localization, and the map

M_\lambda / \mathfrak p_\lambda M_\lambda \otimes _{S'_\lambda /\mathfrak p_\lambda S'_\lambda } S'_\mu /\mathfrak p_\mu S'_\mu \longrightarrow M_\mu /\mathfrak p_\mu M_\mu

is an isomorphism. Hence the system (S_\lambda /\mathfrak p_\lambda S_\lambda \to S'_\lambda /\mathfrak p_\lambda S'_\lambda , M_\lambda /\mathfrak p_\lambda M_\lambda ) is a system as in Lemma 10.127.13 as well. We may apply Lemma 10.128.3 again because M/\mathfrak m M is assumed flat over S/\mathfrak mS and we see that M_\lambda /\mathfrak p_\lambda M_\lambda is flat over S_\lambda /\mathfrak p_\lambda S_\lambda for all \lambda big enough. Thus for \lambda big enough the data R_\lambda \to S_\lambda \to S'_\lambda , M_\lambda satisfies the hypotheses of Lemma 10.99.15. Pick such a \lambda . Then S = S_\lambda \otimes _{R_\lambda } R is flat over R, and M = M_\lambda \otimes _{S_\lambda } S is flat over S (since the base change of a flat module is flat). \square

The following is an easy consequence of the “critère de platitude par fibres” Lemma 10.128.8. For more results of this kind see More on Flatness, Section 38.1.

Lemma 10.128.9. Let R, S, S' be local rings and let R \to S \to S' be local ring homomorphisms. Let M be an S'-module. Let \mathfrak m \subset R be the maximal ideal. Assume

  1. R \to S' is essentially of finite presentation,

  2. R \to S is essentially of finite type,

  3. M is of finite presentation over S',

  4. M is not zero,

  5. M/\mathfrak mM is a flat S/\mathfrak mS-module, and

  6. M is a flat R-module.

Then S is essentially of finite presentation and flat over R and M is a flat S-module.

Proof. As S is essentially of finite presentation over R we can write S = C_{\overline{\mathfrak q}} for some finite type R-algebra C. Write C = R[x_1, \ldots , x_ n]/I. Denote \mathfrak q \subset R[x_1, \ldots , x_ n] be the prime ideal corresponding to \overline{\mathfrak q}. Then we see that S = B/J where B = R[x_1, \ldots , x_ n]_{\mathfrak q} is essentially of finite presentation over R and J = IB. We can find f_1, \ldots , f_ k \in J such that the images \overline{f}_ i \in B/\mathfrak mB generate the image \overline{J} of J in the Noetherian ring B/\mathfrak mB. Hence there exist finitely generated ideals J' \subset J such that B/J' \to B/J induces an isomorphism

(B/J') \otimes _ R R/\mathfrak m \longrightarrow B/J \otimes _ R R/\mathfrak m = S/\mathfrak mS.

For any J' as above we see that Lemma 10.128.8 applies to the ring maps

R \longrightarrow B/J' \longrightarrow S'

and the module M. Hence we conclude that B/J' is flat over R for any choice J' as above. Now, if J' \subset J' \subset J are two finitely generated ideals as above, then we conclude that B/J' \to B/J'' is a surjective map between flat R-algebras which are essentially of finite presentation which is an isomorphism modulo \mathfrak m. Hence Lemma 10.128.4 implies that B/J' = B/J'', i.e., J' = J''. Clearly this means that J is finitely generated, i.e., S is essentially of finite presentation over R. Thus we may apply Lemma 10.128.8 to R \to S \to S' and we win. \square

Lemma 10.128.10 (Critère de platitude par fibres: locally nilpotent case). Let

\xymatrix{ S \ar[rr] & & S' \\ & R \ar[lu] \ar[ru] }

be a commutative diagram in the category of rings. Let I \subset R be a locally nilpotent ideal and M an S'-module. Assume

  1. R \to S is of finite type,

  2. R \to S' is of finite presentation,

  3. M is a finitely presented S'-module,

  4. M/IM is flat as a S/IS-module, and

  5. M is flat as an R-module.

Then M is a flat S-module and S_\mathfrak q is flat and essentially of finite presentation over R for every \mathfrak q \subset S such that M \otimes _ S \kappa (\mathfrak q) is nonzero.

Proof. If M \otimes _ S \kappa (\mathfrak q) is nonzero, then S' \otimes _ S \kappa (\mathfrak q) is nonzero and hence there exists a prime \mathfrak q' \subset S' lying over \mathfrak q (Lemma 10.18.6). Let \mathfrak p \subset R be the image of \mathfrak q in \mathop{\mathrm{Spec}}(R). Then I \subset \mathfrak p as I is locally nilpotent hence M/\mathfrak p M is flat over S/\mathfrak pS. Hence we may apply Lemma 10.128.9 to R_\mathfrak p \to S_\mathfrak q \to S'_{\mathfrak q'} and M_{\mathfrak q'}. We conclude that M_{\mathfrak q'} is flat over S and S_\mathfrak q is flat and essentially of finite presentation over R. Since \mathfrak q' was an arbitrary prime of S' we also see that M is flat over S (Lemma 10.39.18). \square


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