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The Stacks project

Lemma 55.3.14. If n, m_ i, a_{ij}, w_ i, g_ i is a minimal numerical type with n > 1, then g \geq g_{top}.

Proof. The reader who is only interested in the case of numerical types associated to proper regular models can skip this proof as we will reprove this in the geometric situation later. We can write

g_{top} = 1 - n + \frac{1}{2}\sum \nolimits _{a_{ij} > 0} 1 = 1 + \sum \nolimits _ i (-1 + \frac{1}{2}\sum \nolimits _{j \not= i,\ a_{ij} > 0} 1)

On the other hand, we have

\begin{align*} g & = 1 + \sum m_ i(w_ i(g_ i - 1) - \frac{1}{2} a_{ii}) \\ & = 1 + \sum m_ iw_ ig_ i - \sum m_ iw_ i + \frac{1}{2} \sum \nolimits _{i \not= j} a_{ij}m_ j \\ & = 1 + \sum \nolimits _ i m_ iw_ i(-1 + g_ i + \frac{1}{2} \sum \nolimits _{j \not= i} \frac{a_{ij}}{w_ i}) \end{align*}

The first equality is the definition, the second equality uses that \sum a_{ij}m_ j = 0, and the last equality uses that uses a_{ij} = a_{ji} and switching order of summation. Comparing with the formula for g_{top} we conclude that the lemma holds if

\Psi _ i = m_ iw_ i(-1 + g_ i + \frac{1}{2} \sum \nolimits _{j \not= i} \frac{a_{ij}}{w_ i}) - (-1 + \frac{1}{2}\sum \nolimits _{j \not= i,\ a_{ij} > 0} 1)

is \geq 0 for each i. However, this may not be the case. Let us analyze for which indices we can have \Psi _ i < 0. First, observe that

(-1 + g_ i + \frac{1}{2}\sum \nolimits _{j \not= i} \frac{a_{ij}}{w_ i}) \geq (-1 + \frac{1}{2}\sum \nolimits _{j \not= i,\ a_{ij} > 0} 1)

because a_{ij}/w_ i is a nonnegative integer. Since m_ iw_ i is a positive integer we conclude that \Psi _ i \geq 0 as soon as either m_ iw_ i = 1 or the left hand side of the inequality is \geq 0 which happens if g_ i > 0, or a_{ij} > 0 for at least two indices j, or if there is a j with a_{ij} > w_ i. Thus

P = \{ i : \Psi _ i < 0\}

is the set of indices i such that m_ iw_ i > 1, g_ i = 0, a_{ij} > 0 for a unique j, and a_{ij} = w_ i for this j. Moreover

i \in P \Rightarrow \Psi _ i = \frac{1}{2}(-m_ iw_ i + 1)

The strategy of proof is to show that given i \in P we can borrow a bit from \Psi _ j where j is the neighbour of i, i.e., a_{ij} > 0. However, this won't quite work because j may be an index with \Psi _ j = 0.

Consider the set

Z = \{ j : g_ j = 0\text{ and } j\text{ has exactly two neighbours }i, k\text{ with } a_{ij} = w_ j = a_{jk}\}

For j \in Z we have \Psi _ j = 0. We will consider sequences M = (i, j_1, \ldots , j_ s) where s \geq 0, i \in P, j_1, \ldots , j_ s \in Z, and a_{ij_1} > 0, a_{j_1j_2} > 0, \ldots , a_{j_{s - 1}j_ s} > 0. If our numerical type consists of two indices which are in P or more generally if our numerical type consists of two indices which are in P and all other indices in Z, then g_{top} = 0 and we win by Lemma 55.3.13. We may and do discard these cases.

Let M = (i, j_1, \ldots , j_ s) be a maximal sequence and let k be the second neighbour of j_ s. (If s = 0, then k is the unique neighbour of i.) By maximality k \not\in Z and by what we just said k \not\in P. Observe that w_ i = a_{ij_1} = w_{j_1} = a_{j_1j_2} = \ldots = w_{j_ s} = a_{j_ sk}. Looking at the definition of a numerical type we see that

\begin{align*} m_ ia_{ii} + m_{j_1}w_ i & = 0,\\ m_ iw_ i + m_{j_1}a_{j_1j_1} + m_{j_2}w_ i & = 0,\\ \ldots & \ldots \\ m_{j_{s - 1}}w_ i + m_{j_ s}a_{j_ sj_ s} + m_ kw_ i & = 0 \end{align*}

The first equality implies m_{j_1} \geq 2m_ i because the numerical type is minimal. Then the second equality implies m_{j_2} \geq 3m_ i, and so on. In any case, we conclude that m_ k \geq 2m_ i (including when s = 0).

Let k be an index such that we have a t > 0 and pairwise distinct maximal sequences M_1, \ldots , M_ t as above, with M_ b = (i_ b, j_{b, 1}, \ldots , j_{b, s_ b}) such that k is a neighbour of j_{b, s_ b} for b = 1, \ldots , t. We will show that \Phi _ j + \sum _{b = 1, \ldots , t} \Phi _{i_ b} \geq 0. This will finish the proof of the lemma by what we said above. Let M be the union of the indices occurring in M_ b, b = 1, \ldots , t. We write

\Psi _ k = -\sum \nolimits _{b = 1, \ldots , t} \Psi _{i_ b} + \Psi _ k'

where

\begin{align*} \Psi _ k' & = m_ kw_ k\left(-1 + g_ k + \frac{1}{2} \sum \nolimits _{b = 1, \ldots t} (\frac{a_{kj_{b, s_ b}}}{w_ k} - \frac{m_{i_ b}w_{i_ b}}{m_ kw_ k}) + \frac{1}{2} \sum \nolimits _{l \not= k,\ l \not\in M} \frac{a_{kl}}{w_ k} \right) \\ & -\left( -1 + \frac{1}{2}\sum \nolimits _{l \not= k,\ l \not\in M,\ a_{kl} > 0} 1 \right) \end{align*}

Assume \Psi _ k' < 0 to get a contradiction. If the set \{ l : l \not= k,\ l \not\in M,\ a_{kl} > 0\} is empty, then \{ 1, \ldots , n\} = M \cup \{ k\} and g_{top} = 0 because e = n - 1 in this case and the result holds by Lemma 55.3.13. Thus we may assume there is at least one such l which contributes (1/2)a_{kl}/w_ k \geq 1/2 to the sum inside the first brackets. For each b = 1, \ldots , t we have

\frac{a_{kj_{b, s_ b}}}{w_ k} - \frac{m_{i_ b}w_{i_ b}}{m_ kw_ k} = \frac{w_{i_ b}}{w_ k}(1 - \frac{m_{i_ b}}{m_ k})

This expression is \geq \frac{1}{2} because m_ k \geq 2m_{i_ b} by the previous paragraph and is \geq 1 if w_ k < w_{i_ b}. It follows that \Psi _ k' < 0 implies g_ k = 0. If t \geq 2 or t = 1 and w_ k < w_{i_1}, then \Psi _ k' \geq 0 (here we use the existence of an l as shown above) which is a contradiction too. Thus t = 1 and w_ k = w_{i_1}. If there at least two nonzero terms in the sum over l or if there is one such k and a_{kl} > w_ k, then \Psi _ k' \geq 0 as well. The final possibility is that t = 1 and there is one l with a_{kl} = w_ k. This is disallowed as this would mean k \in Z contradicting the maximality of M_1. \square


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