Chapter 9 Étale cohomology as a black box
Original lecture date: October 28, 2019.
In this lecture, we give a “black box” description of étale cohomology for varieties over finite fields and number fields. This will be our first example of a Weil cohomology theory.
Section 9.1 The Lefschetz trace formula
Definition 9.1.1.
Let \(K\) be a number field. Let \(X\) be a smooth projective \(K\)-scheme. Then for any prime number \(\ell\text{,}\) we get a collection of finite-dimensional \(\QQ_\ell\)-vector spaces \(H^{i}_{\et}(X_{\overline{K}},\QQ_\ell)\text{,}\) each with a continuous \(G_K\)-action. The \(G_K\)-action comes from the fact that we first base-extend \(X\) from \(K\) to \(\overline{K}\) before taking cohomology. (Since \(K\) is of characteristic 0, there is no restriction on \(\ell\) right now.)
Similarly, suppose that \(X\) is a smooth projective \(k\)-scheme where \(k\) is a finite field. Then for any prime number \(\ell\text{,}\) we get a collection of finite-dimensional \(\QQ_\ell\)-vector spaces \(H^{i}_{\et}(X_{\overline{k}},\QQ_\ell)\text{,}\) each with a continuous \(G_k\)-action. However, the case where \(\ell\) equals the characteristic of \(k\) is anomalous and is not considered a Weil cohomology theory. (We will describe a replacement later.)
Remark 9.1.2.
Note that one can also define the cohomology of \(X\) itself, without base change to an algebraically closed field, but in the context of these lectures this is not the construction of interest. An extreme case of this is taking the cohomology of a point \(\Spec k\text{,}\) which coincides with Galois cohomology (group cohomology for the Galois group of the field \(k\)).
Example 9.1.3.
For \(X = A\) an abelian variety over \(K\text{,}\)
\begin{equation*}
H^1_{\et}(X_{\overline{K}}, \QQ_\ell) = {V_{\ell}(A)}^* = \Hom_{\QQ_\ell}(V_{\ell}(A),\QQ_{\ell}(1))
\end{equation*}
where \(\QQ_\ell(1) = V_{\ell}(\GG_m)\text{.}\) That is, \(\QQ_\ell(1)\) is a one-dimensional vector space over \(\QQ_\ell\) with the Galois action given by the \(\ell\)-adic cyclotomic character. For \(i>1\text{,}\)
\begin{equation*}
H^i(X_{\overline{K}}, \QQ_\ell) = \bigwedge^i_{\QQ_\ell} H^1(X_{\overline{K}}, \QQ_\ell).
\end{equation*}
On a related note, for \(X\) a curve over \(K\) with Jacobian \(J\text{,}\) we have \(H^1(X_{\overline{K}}, \QQ_\ell) \cong H^i(J_{\overline{K}}, \QQ_\ell)\text{.}\) This comparison is in some sense the root of all of our concrete knowledge about étale cohomology; see Remark 9.1.5.
The following statement is part of the assertion that “étale cohomology is a Weil cohomology”.
Theorem 9.1.4. Lefschetz trace formula.
Let \(X\) be a smooth projective scheme over a finite field \(k\text{.}\) Then for any prime \(\ell\) nonzero in \(k\text{,}\)
\begin{equation*}
\# X(\FF_q) = \sum_{i=0}^{2\dim(X)} (-1)^i \Trace(F, H^{i}_{\et}(X_{\overline{k}},\QQ_\ell)).
\end{equation*}
Consequently,
\begin{equation*}
Z(X,T) = \prod_{i=0}^{2 \dim(X)} \det(1-F T,H^{i}_{\et}(X_{\overline{k}},\QQ_\ell) ) ^{(-1)^{1+i}}.
\end{equation*}
Remark 9.1.5.
The notation \(H^i_{\et}(X_{\overline{K}}, \QQ_\ell)\) is slightly misleading: it does not refer to the cohomology of the locally constant sheaf associated to the group \(\QQ_\ell\text{.}\) Rather, it is really shorthand for
\begin{equation*}
\left( \varprojlim_n H^i_{\et}(X_{\overline{K}}, \ZZ/\ell^n \ZZ) \right) \otimes_{\ZZ_\ell} \QQ_\ell
\end{equation*}
where we really do mean to take cohomology of the locally constant sheaf \(\ZZ/\ell^n \ZZ\text{.}\) (One can “put the inverse limit into the topology” by instead considering the pro-étale topology [10], in which case one does have a “locally constant sheaf” associated to \(\QQ_\ell\) whose cohomology does the right thing.)
Even after unpacking this, the definition of étale cohomology is not really suited for machine computations, as it involves constructions using Grothendieck topologies that are quite difficult to make finitistic. In fact, it is a true but nontrivial theorem that there is an algorithm which, given a scheme \(X\) of finite type over an algebraically closed field \(k\) and a prime \(\ell\) which is nonzero in \(k\text{,}\) computes the groups \(H^i(X, \FF_\ell)\) (see [92]). The strategy is to reduce to the case of curves (this strategy is often called dévissage; see Section 17.1), then apply Example 9.1.3.
Section 9.2 Reduction modulo a prime
Let us inspect more closely the relationship between the constructions over \(K\) and over \(k\text{.}\)
Definition 9.2.1.
Let \(\frakp\) be a maximal ideal of \(\calO_K\) with residue field \(\kappa(\frakp)\text{.}\) By choosing a place of \(\overline{K}\) above \(\frakp\text{,}\) we obtain an inclusion \(\overline{K} \subset \overline{K}_{\frakp}\) and a corresponding inclusion \(G_{K_{\frakp}} \subset G_K\text{.}\)
Taking \(G_{K_{\frakp}}\) apart further, we have an exact sequence
\begin{equation*}
1 \to I_\frakp \to G_{K_{\frakp}} \to G_{\kappa(\frakp)} \to 1,
\end{equation*}
where \(I_\frakp\) is the inertia group, and a tower of field extensions:
We say that a representation of \(G_{K_\frakp}\) is unramified if it restricts trivially to \(I_\frakp\text{,}\) which is to say that it factors through \(G_{\kappa(\frakp)}\text{.}\) A representation of \(G_K\) is unramified at \(\frakp\) if its restriction to \(G_{K_\frakp}\) is unramified.
The following is a form of the proper base change theorem.
Proposition 9.2.2. Proper base change theorem.
Suppose that \(\frakX\) is a smooth projective scheme over the local ring \((\calO_K)_{\frakp}\text{.}\) Then for any prime \(\ell\) nonzero in \(\kappa(\frakp)\text{,}\) there is a natural isomorphism
\begin{equation*}
H^i_{\et}(\frakX_{\overline{K}}, \QQ_\ell)|_{G_{K_\frakp}} \cong H^i_{\et}(\frakX_{\overline{\kappa(\frakp)}}, \QQ_\ell)|_{G_{\kappa(\frakp)}}
\end{equation*}
which is equivariant for the actions of \(G_{K_{\frakp}}\) on both sides (the latter via \(G_{K_{\frakp}} \twoheadrightarrow G_{\kappa(\frakp)}\)). In particular, the action of \(G_K\) on \(H^i_{\et}(\frakX_{\overline{K}}, \QQ_\ell)\) is unramified at \(\frakp\text{.}\)
Proof.
As per Remark 9.1.5, this reduces to a corresponding statement with torsion coefficients. For this, see [97], Corollary VI.2.3; the point is to first prove a finiteness statement for the higher direct images of a coherent sheaf along a proper morphism ([97], Theorem VI.2.3) and then this follows as an easy corollary.
In other words, if \(X\) is a smooth projective \(K\)-scheme with good reduction at a prime ideal \(\frakp\text{,}\) the action of \(G_K\) on its étale cohomology is unramified at \(\frakp \nmid \ell\text{.}\)
Remark 9.2.3.
In general, if \(X\) has good reduction at \(\frakp\), meaning that it extends in some way to a smooth proper scheme over \((\calO_K)_{\frakp}\text{,}\) then this extension is not guaranteed to be unique up to isomorphism. It is unique if \(\dim(X) = 1\text{,}\) and in some isolated cases of higher dimension (e.g., when \(X\) is an abelian variety); but in general, when \(\dim(X) \geq 2\) there can be multiple lifts which differ by a birational transformation. (Note that the lifts will have dimension \(\geq 3\text{,}\) so constructions like flips become relevant.)
In particular, the reduction modulo \(\frakp\) is not uniquely determined by \(X\text{.}\) However, its zeta function is independent of choices by Proposition 9.2.5 below.
In the good reduction case, we may transfer the statement of the Lefschetz trace formula to an assertion about the \(G_K\)-action on étale cohomology.
Definition 9.2.4.
We denote by \(\Frob_\frakp\) any element of \(G_K\) which belongs to \(G_{K_{\frakp}}\) and projects to the inverse of the Frobenius element of \(G_{\kappa(\frakp)}\text{.}\) Such an element of \(G_K\) is called a geometric Frobenius element at \(\frakp\text{;}\) the inverse of such an element is called an arithmetic Frobenius element at \(\frakp\text{.}\)
Proposition 9.2.5.
With notation as in Proposition 9.2.2,
\begin{equation*}
Z(\frakX_{\kappa(\frakp)},T) = \prod_{i=0}^{2 \dim(\frakX_K)} \det(1-\Frob_{\frakp} T,H^{i}_{\et}(\frakX_{\overline{K}},\QQ_\ell) ) ^{(-1)^{1+i}}.
\end{equation*}
Proof.
Using Proposition 9.2.2, this translates back into our previous formulation of the Lefschetz trace formula (Theorem 9.1.4).
Remark 9.2.6.
The case where \(\frakp\) divides \(\ell\) behaves differently; in that case, even if \(X\) has good reduction at \(\frakp\text{,}\) the action of \(G_K\) on \(\ell\)-adic étale cohomology will not in general be unramified at \(\frakp\text{.}\) For example, this is already true for \(\PP^1\) with \(i=2\text{.}\)
Based on ideas of Tate, Fontaine managed to define a condition on \(p\)-adic Galois representations which is satisfied by étale cohomology in this context but “usually” fails for other representations; this is called the crystalline condition. Its study is part of the subject of \(p\)-adic Hodge theory, which we will not pursue here.
Remark 9.2.7.
The case where the action of \(G_K\) is ramified at \(\frakp\text{,}\) but \(\frakp\) does not divide \(\ell\text{,}\) is also different. In this case, there is no well-defined action of \(\Frob_\frakp\) on all of \(H^{i}_{\et}(\frakX_{\overline{K}},\QQ_\ell)\text{,}\) only on the subspace invariant under the action of \(I_{\frakp}\text{.}\) The resulting action can be used to predict “missing” Euler factors needed to complete the \(L\)-function to achieve its functional equation (in addition to factors corresponding to infinite places, as in the case of Dedekind zeta functions).
However, these can be somewhat difficult to compute in practice. For elliptic curves, the relevant computation is Tate’s algorithm, which is somewhat of a nuisance to implement from scratch (but is fortunately implemented in many existing software packages). The corresponding algorithm for curves of genus 2 has been worked out, but is even more complicated. Beyond that, few general results are known, except in a few special cases like cyclic covers of \(\PP^1\) [12] (but see [36] for some recent progress on general curves).
For empirical purposes (i.e., where a rigorous proof is not required), one can sometimes short-circuit this issue by guessing a value for the missing Euler factors and then verifying numerically (by contour integration) that the resulting \(L\)-function appears to satisfy the correct functional equation. A more extreme version of this is [45], in which \(L\)-functions are detected by guessing all of their Euler factors up to some bound.
We now ask whether Proposition 9.2.2 has a converse. That is, if \(X\) is a smooth projective \(K\)-scheme and the action of \(G_K\) on \(H^i_{\et}(X_{\overline{K}},\QQ_\ell)\) is unramified at \(\frakp \nmid \ell\text{,}\) does \(X\) have good reduction at \(\frakp\text{?}\)
Theorem 9.2.8. Néron–Ogg–Shafarevich criterion.
Let \(X\) be an abelian variety over \(K\text{.}\) For \(\frakp\) a prime ideal of \(\calO_K\) and \(\ell\) a prime not equal to the characteristic of \(\kappa(\frakp)\text{,}\) \(X\) has good reduction at \(\frakp\) if and only if the action of \(G_K\) on \(H^i_{\et}(X_{\overline{K}},\QQ_\ell)\) is unramified at \(\frakp\text{.}\) (Note that on account of Example 9.1.3, it suffices to check the case \(i=1\text{.}\))
Remark 9.2.9.
For general \(X\text{,}\) there is no converse of Proposition 9.2.2. For example, if \(X\) is a curve of genus 2, then \(H^i_{\et}(X_{\overline{K}}, \QQ_\ell)\) is unramified at \(\frakp\) if and only if the same is true with \(X\) replaced by its Jacobian (as this does not change \(H^1_{\et}\)). However, it is possible for the Jacobian of \(X\) to degenerate to a product of two elliptic curves (with the product polarization), which obstructs \(X\) itself from having good reduction (as otherwise taking the reduction would commute with taking the Jacobian, whereas the product of two elliptic curves cannot be a Jacobian).
One way to fix this is to consider “nonabelian étale cohomology”. Roughly speaking, this means that étale cohomology arises from some sort of abelianization process on homotopy groups, which we replace with a less drastic quotienting operation.
Section 9.3 Hard Lefschetz
We mention another key property of étale cohomology which was mentioned previously in our analysis of the Lang–Weil theorem (see Remark 8.1.4): the hard Lefschetz theorem.
Theorem 9.3.1. Hard Lefschetz theorem.
Let \(X\) be a smooth projective scheme over \(K\) of dimension \(n\text{.}\) Let \(Y/K\) be a smooth ample hypersurface in \(X\text{.}\) Then the functoriality map
\begin{equation*}
H^i_{\et}(X_{\overline{K}},\QQ_\ell) \longrightarrow H^i_{\et}(Y_{\overline{K}},\QQ_\ell)
\end{equation*}
-
is \(G_K\)-equivariant,
-
is an isomorphism for \(i \lt n-1\text{,}\)
-
and is injective for \(i = n-1\text{.}\)
Example 9.3.2.
For \(X = \PP^n\text{,}\)
\begin{equation*}
H^i_{\et}(X_{\overline{K}},\QQ_\ell) =
\begin{cases}
0 & \mbox{ odd} \\
\QQ_\ell(i/2) & \mbox{ even} \\
\end{cases}
\end{equation*}
For \(Y\) a smooth ample hypersurface in \(X\text{,}\) using hard Lefschetz (and Poincaré duality) one sees that \(H^i_{\et}(Y_{\overline{K}},\QQ_\ell) \cong H^i_{\et}(X_{\overline{K}},\QQ_\ell)\) in all degrees except \(i=n-1\) (the middle cohomology degree for \(Y\)).
Remark 9.3.3.
One might expect (as Grothendieck did) that Theorem 9.3.1 would be a structural property of étale cohomology that shows up relatively early in its development. Instead, it turns out that the only known proofs depend on the Riemann hypothesis aspect of the Weil conjectures!
Section 9.4 The Faltings isogeny theorem and its consequences
As discussed earlier (Remark 7.1.6), Tate’s theorem on isogenies of abelian varieties over finite fields (Theorem 7.1.3) extends to number fields. However, the proof of this theorem is outside the scope even of our suggested readings; see instead [23].
Remark 9.4.1.
Let \(A_1,A_2\) be abelian varieties over a field \(K\text{.}\) Then \(\Hom(A_1, A_2)\) is a finitely generated, torsion-free \(\ZZ\)-module; for \(K = \CC\) this is apparent from the action of endomorphisms on singular homology, and then it follows for any field of characteristic 0. For \(K\) of positive characteristic one can similarly argue using the \(\ell\)-adic Tate module for any prime \(\ell\) which is nonzero in \(K\text{.}\)
A consequence of the previous observation is that for any prime \(\ell\text{,}\) \(\Hom(A_1,A_2) \to \Hom(A_1, A_2) \otimes_{\ZZ} \ZZ_\ell\) is injective, and moreover \(\Hom(A_1, A_2) \neq 0\) if and only if \(\Hom(A_1, A_2) \otimes_{\ZZ} \ZZ_{\ell} \neq 0\text{.}\)
Theorem 9.4.2. Faltings isogeny theorem.
Let \(A\) be an abelian variety over a number field \(K\) and let \(\ell\) be any prime.
-
The action of \(G_K\) on \(V_\ell(A)\) is semisimple; that is, \(V_\ell(A)\) decomposes as a direct sum of irreducible representations of \(G_K\text{.}\)
-
The map \(\End(A) \otimes_{\ZZ} \ZZ_\ell \to \End_{\ZZ_\ell[G_K]}(T_\ell(A))\) is an isomorphism.
Corollary 9.4.3.
Let \(A_1,A_2\) be abelian varieties over a number field \(K\text{.}\) For any prime \(\ell\text{,}\)
\begin{equation*}
\Hom(A_1,A_2) \otimes_{\ZZ} \ZZ_\ell \cong \Hom_{\ZZ_\ell[G_K]}(T_\ell(A_1),T_\ell(A_2)).
\end{equation*}
Proof.
As for Tate’s theorem, this has the following corollary.
Corollary 9.4.4.
Let \(A_1,A_2\) be abelian varieties over a number field \(K\text{.}\) Then \(A_1\) and \(A_2\) are isogenous if and only if \(V_\ell(A_1) \cong V_\ell(A_2)\) as \(\QQ_\ell[G_K]\)-modules.
Proof.
The “only if” direction is straightforward: if \(A_1 \to A_2\) is an isogeny, then it is surjective with finite kernel, so \(T_\ell(A_1) \to T_\ell(A_2)\) also has finite kernel.
For the “if” direction, note that \(V_\ell(A_1) \cong V_\ell(A_2)\) if and only if the \(G_K\)-invariant subspace of \(\Hom_{\QQ_\ell[G_K]}(V_\ell(A_1),V_\ell(A_2))\) contains an element of full rank. This happens if and only if \(\Hom_{\ZZ_\ell[G_K]}(T_\ell(A_1),T_\ell(A_2))\) contains an element of full rank, which by Corollary 9.4.3 implies that \(\Hom(A_1,A_2) \otimes_{\ZZ} \ZZ_\ell\) contains an element of full rank. By elementary linear algebra (see Exercise 19.6.10), this implies that \(\Hom(A_1, A_2)\) contains an isogeny.
To make this look more like Tate’s corollary, we must do a bit more group theory.
Proposition 9.4.5.
Fix a finite set \(S\) of primes of the number field \(K\text{,}\) and let \(G_{K,S}\) be the Galois group of the maximal algebraic extension of \(K\) unramified away from \(S\text{.}\) Let
\begin{equation*}
\rho_1: G_{K,S} \longrightarrow \GL_n(\QQ_\ell), \qquad \rho_2: G_{K,S} \longrightarrow \GL_n(\QQ_\ell)
\end{equation*}
be two continuous representations with the property that
\begin{equation*}
\Trace(\rho_1(\Frob_\frakp), \QQ_\ell^n) = \Trace(\rho_2(\Frob_\frakp), \QQ_\ell^n),
\end{equation*}
for every \(\frakp \notin S\text{.}\) Then \(\rho_1\) and \(\rho_2\) are isomorphic up to semisimplification (that is, their irreducible constituents can be matched up).
Proof.
By the Chebotarëv density theorem, the elements \(\{\mathrm{Frob}_\frakp\}\) are dense in \(G_K\) (see Exercise 19.4.1); so the equality of traces holds identically on \(G_{K,S}\text{.}\) By the Brauer–Nesbitt theorem (see [82], Corollary XVII.3.8 for a formulation that allows infinite groups), two representations on vector spaces over a field of characteristic \(0\) whose traces agree everywhere must have the same simplification.
Corollary 9.4.6.
Let \(A_1,A_2\) be abelian varieties over a number field \(K\text{.}\) Then \(A_1\) and \(A_2\) are isogenous if and only if \(\Trace(\Frob_\frakp, T_\ell(A_1)) = \Trace(\Frob_{\frakp}, T_\ell(A_2))\) for all but finitely many prime ideals \(\frakp\) of \(\calO_K\text{.}\)
Proof.
The “only if” direction follows from the “only if” direction of Corollary 9.4.4. For the “if” direction, apply Proposition 9.4.5 to see that \(V_\ell(A_1)\) and \(V_\ell(A_2)\) have isomorphic semisimplifications as \(\QQ_\ell[G_K]\)-modules. Using the first part of Theorem 9.4.2, we deduce that \(V_\ell(A_1)\) and \(V_\ell(A_2)\) are in fact isomorphic as \(\QQ_\ell[G_K]\)-modules. We may now apply the “if” direction of Corollary 9.4.4 to conclude.
The condition formulated in Corollary 9.4.6 may not appear to be finitely verifiable, but in fact it is. We will discuss this point in Chapter 10.
