ConceptComplete

Grothendieck Topologies

Grothendieck topologies generalize the notion of open covers from classical topology to arbitrary categories. Instead of specifying which subsets are open, we specify which families of morphisms should be considered "coverings." This abstraction is one of the most powerful ideas in modern algebraic geometry, enabling the construction of cohomology theories (etale, fppf, crystalline) that go far beyond what the Zariski topology can detect.


Motivation: Why Generalize Topology?

The Zariski topology on a scheme XX is too coarse for many purposes. For instance, there are no nonconstant continuous maps AC1{0,1}\mathbb{A}^1_{\mathbb{C}} \to \{0, 1\} in the Zariski topology (since A1\mathbb{A}^1 is irreducible), so the Zariski topology cannot detect the fundamental group or produce a good cohomology theory with finite coefficients.

Grothendieck's insight was that we should replace "open subsets" with "morphisms that behave like open covers" in a categorical sense. The etale topology, for example, uses etale morphisms as the analogue of local homeomorphisms, recovering information that the Zariski topology misses entirely.


Pretopologies

Definition1.1Pretopology (Grothendieck pretopology)

Let C\mathcal{C} be a category with fiber products. A pretopology (or basis for a Grothendieck topology) on C\mathcal{C} is an assignment, to each object UCU \in \mathcal{C}, of a collection Cov(U)\operatorname{Cov}(U) of families of morphisms {UiU}iI\{U_i \to U\}_{i \in I}, called covering families, satisfying:

  1. (Isomorphism) If VUV \xrightarrow{\sim} U is an isomorphism, then {VU}Cov(U)\{V \to U\} \in \operatorname{Cov}(U).

  2. (Stability under base change) If {UiU}iICov(U)\{U_i \to U\}_{i \in I} \in \operatorname{Cov}(U) and VUV \to U is any morphism, then {Ui×UVV}iICov(V)\{U_i \times_U V \to V\}_{i \in I} \in \operatorname{Cov}(V).

  3. (Local character / Composition) If {UiU}iICov(U)\{U_i \to U\}_{i \in I} \in \operatorname{Cov}(U) and for each ii, {VijUi}jJiCov(Ui)\{V_{ij} \to U_i\}_{j \in J_i} \in \operatorname{Cov}(U_i), then the composite family {VijUiU}i,jCov(U)\{V_{ij} \to U_i \to U\}_{i,j} \in \operatorname{Cov}(U).

ExampleZariski pretopology

Let C=Sch/S\mathcal{C} = \mathbf{Sch}/S be the category of SS-schemes. The Zariski pretopology declares that a family {UiU}iI\{U_i \to U\}_{i \in I} is a covering family if each UiUU_i \to U is an open immersion and U=iim(Ui)U = \bigcup_i \operatorname{im}(U_i).

For U=Spec(A)U = \operatorname{Spec}(A), a Zariski cover corresponds to a collection of principal open sets D(fi)D(f_i) with (f1,,fn)=A(f_1, \ldots, f_n) = A, i.e., the fif_i generate the unit ideal.

This recovers the classical Zariski topology: the covering families are precisely the open covers.

ExampleEtale pretopology

The etale pretopology on Sch/S\mathbf{Sch}/S declares {UiU}\{U_i \to U\} to be a covering family if each UiUU_i \to U is etale and iUiU\coprod_i U_i \to U is surjective.

Recall that a morphism f:XYf: X \to Y of finite presentation is etale if it is flat and unramified, or equivalently if for every yYy \in Y, the fiber XyX_y is a disjoint union of spectra of separable field extensions of k(y)k(y).

For U=Spec(k)U = \operatorname{Spec}(k) where kk is a field, etale covers are of the form {Spec(Li)Spec(k)}\{\operatorname{Spec}(L_i) \to \operatorname{Spec}(k)\} where each Li/kL_i/k is a finite separable extension and Li\prod L_i is a faithfully flat kk-algebra.

Examplefppf pretopology

The fppf pretopology (fidelement plat de presentation finie) declares {UiU}\{U_i \to U\} to be a covering family if each UiUU_i \to U is flat and locally of finite presentation, and iUiU\coprod_i U_i \to U is surjective.

This is strictly finer than the etale pretopology: every etale cover is an fppf cover, but not conversely. For instance, Spec(k[ϵ]/(ϵp))Spec(k)\operatorname{Spec}(k[\epsilon]/(\epsilon^p)) \to \operatorname{Spec}(k) over a field of characteristic pp is flat and finitely presented (hence an fppf cover) but not etale (it is purely inseparable).

The fppf topology is needed to study non-smooth group schemes and torsors correctly.

Examplefpqc pretopology

The fpqc pretopology (fidelement plat et quasi-compact) declares {UiU}\{U_i \to U\} to be a covering family if each UiUU_i \to U is flat and iUiU\coprod_i U_i \to U is surjective and quasi-compact.

This is the finest of the standard algebraic topologies. Every fppf cover is an fpqc cover. Additionally, any faithfully flat morphism VUV \to U that is quasi-compact gives a single-morphism cover {VU}\{V \to U\}.

The fpqc topology is the natural home for faithfully flat descent, but it is technically harder to work with because fpqc morphisms need not be of finite presentation.


Sieves

Definition1.2Sieve

Let C\mathcal{C} be a category and UCU \in \mathcal{C} an object. A sieve on UU is a subfunctor ShU=HomC(,U)S \subseteq h_U = \operatorname{Hom}_{\mathcal{C}}(-, U) of the representable presheaf. Concretely, SS assigns to each object VV a subset S(V)Hom(V,U)S(V) \subseteq \operatorname{Hom}(V, U) such that if fS(V)f \in S(V) and g:WVg: W \to V is any morphism, then fgS(W)f \circ g \in S(W).

Equivalently, a sieve on UU is a collection of morphisms with target UU that is closed under precomposition: if f:VUf: V \to U is in the sieve and g:WVg: W \to V is any morphism, then fg:WUf \circ g: W \to U is also in the sieve.

ExampleSieve generated by a covering family

Given a covering family {UiU}iI\{U_i \to U\}_{i \in I} (in some pretopology), the sieve generated by this family is

S(V)={f:VUf factors through some UiU}.S(V) = \{f: V \to U \mid f \text{ factors through some } U_i \to U\}.

More precisely, fS(V)f \in S(V) if there exists iIi \in I and a morphism g:VUig: V \to U_i such that f=(UiU)gf = (U_i \to U) \circ g. This is indeed closed under precomposition: if h:WVh: W \to V then fhf \circ h factors through UiU_i via ghg \circ h.

The passage from covering families to sieves is how a pretopology generates a full Grothendieck topology.

ExampleMaximal and empty sieves

For any object UU:

  • The maximal sieve is hUh_U itself: S(V)=Hom(V,U)S(V) = \operatorname{Hom}(V, U) for all VV. Every morphism to UU belongs to this sieve.
  • The empty sieve is S(V)=S(V) = \emptyset for all VV. No morphism to UU belongs to this sieve.

If C\mathcal{C} has a terminal object *, then the maximal sieve on * is the entire category (every object maps to *).


Grothendieck Topologies

Definition1.3Grothendieck topology

A Grothendieck topology JJ on a category C\mathcal{C} assigns to each object UCU \in \mathcal{C} a collection J(U)J(U) of sieves on UU, called covering sieves, satisfying:

  1. (Maximal sieve) The maximal sieve hUJ(U)h_U \in J(U) for all UU.

  2. (Stability / Pullback) If SJ(U)S \in J(U) is a covering sieve and f:VUf: V \to U is any morphism, then the pullback sieve fSJ(V)f^*S \in J(V), where fS(W)={g:WVfgS(W)}f^*S(W) = \{g: W \to V \mid f \circ g \in S(W)\}.

  3. (Transitivity / Local character) If SJ(U)S \in J(U) is a covering sieve and TT is a sieve on UU such that for every f:VUf: V \to U in SS, the pullback fTJ(V)f^*T \in J(V), then TJ(U)T \in J(U).

RemarkPretopology vs. topology

A pretopology determines a Grothendieck topology by declaring a sieve SS on UU to be covering if it contains a covering family from the pretopology. Different pretopologies can generate the same Grothendieck topology, and it is the Grothendieck topology (not the pretopology) that determines the category of sheaves.

For most practical work, one specifies a pretopology and works with covering families. The sieve formulation is needed for the abstract theory (especially for sheafification and topos theory).

ExampleClassical topology as a Grothendieck topology

Let XX be a topological space and C=Open(X)\mathcal{C} = \operatorname{Open}(X) the category of open subsets (with inclusions). For an open set UU, a sieve SS on UU consists of a collection of open subsets of UU, closed under taking smaller opens. Define SJ(U)S \in J(U) if and only if VSV=U\bigcup_{V \in S} V = U.

This recovers the classical sheaf theory on XX. The pretopology version says: a covering family of UU is an open cover {UiU}\{U_i \subseteq U\} with Ui=U\bigcup U_i = U.

This shows that classical topology is a special case of Grothendieck topology.

ExampleNisnevich topology

The Nisnevich topology on Sch/k\mathbf{Sch}/k (for a field kk) uses etale morphisms as covers, but with a stronger condition than surjectivity. A family {UiU}\{U_i \to U\} is a Nisnevich cover if each UiUU_i \to U is etale and for every point xUx \in U, there exists ii and a point yUiy \in U_i mapping to xx with k(x)k(y)k(x) \xrightarrow{\sim} k(y) (an isomorphism on residue fields).

The Nisnevich topology sits strictly between Zariski and etale: ZariskiNisnevichetalefppffpqc\text{Zariski} \subsetneq \text{Nisnevich} \subsetneq \text{etale} \subsetneq \text{fppf} \subsetneq \text{fpqc}

It is the natural topology for algebraic K-theory and motivic homotopy theory (Morel--Voevodsky A1\mathbb{A}^1-homotopy theory).

Examplecdh topology

The cdh topology is generated by Nisnevich covers together with abstract blowup squares: if ZXZ \hookrightarrow X is a closed immersion and π:XX\pi: X' \to X is a proper morphism such that π1(XZ)XZ\pi^{-1}(X \setminus Z) \to X \setminus Z is an isomorphism, then {XX,ZX}\{X' \to X, Z \to X\} is a cdh cover.

This topology is used in the study of algebraic K-theory of singular schemes, particularly in the work of Voevodsky on motivic cohomology.


Comparison of Standard Topologies

The standard algebraic topologies form a hierarchy, ordered by fineness:

ZariskiNisnevichetalesmoothsyntomicfppffpqc\text{Zariski} \subseteq \text{Nisnevich} \subseteq \text{etale} \subseteq \text{smooth} \subseteq \text{syntomic} \subseteq \text{fppf} \subseteq \text{fpqc}

ExampleZariski vs. etale: what etale detects

Consider X=Spec(R)X = \operatorname{Spec}(\mathbb{R}). In the Zariski topology, XX is a single point with no nontrivial covers. But in the etale topology, the morphism Spec(C)Spec(R)\operatorname{Spec}(\mathbb{C}) \to \operatorname{Spec}(\mathbb{R}) is an etale cover (it is finite etale of degree 2).

The etale fundamental group π1et(Spec(R))\pi_1^{\text{et}}(\operatorname{Spec}(\mathbb{R})) is Gal(C/R)Z/2Z\operatorname{Gal}(\mathbb{C}/\mathbb{R}) \cong \mathbb{Z}/2\mathbb{Z}, detecting the nontrivial extension C/R\mathbb{C}/\mathbb{R}. The Zariski topology sees nothing.

Similarly, for X=Spec(Fq)X = \operatorname{Spec}(\mathbb{F}_q), the etale fundamental group is Z^\hat{\mathbb{Z}} (the profinite completion of Z\mathbb{Z}), generated by the Frobenius. Etale cohomology with \ell-adic coefficients on varieties over Fq\mathbb{F}_q is the key to the Weil conjectures.

ExampleEtale vs. fppf: inseparable phenomena

Over a field kk of characteristic p>0p > 0, consider the group scheme αp=Spec(k[t]/(tp))\alpha_p = \operatorname{Spec}(k[t]/(t^p)) with the additive group structure. The map xxpx \mapsto x^p (Frobenius) GaGa\mathbb{G}_a \to \mathbb{G}_a has kernel αp\alpha_p.

The sequence 0αpGaFGa00 \to \alpha_p \to \mathbb{G}_a \xrightarrow{F} \mathbb{G}_a \to 0 is exact in the fppf topology but not in the etale topology, because αp\alpha_p is not etale (it is infinitesimal).

To classify αp\alpha_p-torsors, one must use the fppf topology: Hfppf1(X,αp)Het1(X,αp)H^1_{\text{fppf}}(X, \alpha_p) \neq H^1_{\text{et}}(X, \alpha_p) in general.

Examplefppf vs. fpqc: non-finitely-presented phenomena

The inclusion of topologies fppffpqc\text{fppf} \subseteq \text{fpqc} is strict. For example, if kk is a field and k\overline{k} is its algebraic closure, the morphism Spec(k)Spec(k)\operatorname{Spec}(\overline{k}) \to \operatorname{Spec}(k) is faithfully flat but not of finite presentation (when [ksep:k]=[k^{\text{sep}}:k] = \infty), so it is an fpqc cover but not an fppf cover.

However, for most sheaves arising in algebraic geometry (representable functors, quasi-coherent sheaves), the sheaf condition for fpqc and fppf agree: a presheaf satisfying the fppf sheaf condition automatically satisfies the fpqc condition as well (a deep result of Gabber and others).


The Canonical Topology

Definition1.4Canonical topology

The canonical topology on a category C\mathcal{C} is the finest Grothendieck topology for which all representable presheaves hU=Hom(,U)h_U = \operatorname{Hom}(-, U) are sheaves.

Concretely, a sieve SS on UU is a covering sieve in the canonical topology if and only if for every presheaf FF on C\mathcal{C}, if FF is a sheaf for the sieve SS (i.e., the sheaf condition holds for SS), then F(U)lim(VU)SF(V)F(U) \to \varprojlim_{(V \to U) \in S} F(V) is an isomorphism whenever FF is representable.

ExampleCanonical topology on Top

On the category Top\mathbf{Top} of topological spaces, the canonical topology consists of families {UiU}\{U_i \to U\} that are effective epimorphic: the diagram i,jUi×UUjiUiU\coprod_{i,j} U_i \times_U U_j \rightrightarrows \coprod_i U_i \to U is a coequalizer.

Open covers are effective epimorphic families, but so are some other families (e.g., surjective local homeomorphisms). The canonical topology on Top\mathbf{Top} is thus finer than the standard open cover topology.

ExampleSubcanonical topologies in algebraic geometry

A topology JJ on a category C\mathcal{C} is subcanonical if every representable presheaf is a JJ-sheaf. All the standard algebraic topologies (Zariski, Nisnevich, etale, fppf, fpqc) are subcanonical on the category of schemes.

That is, for any scheme YY, the functor hY(T)=Hom(T,Y)h_Y(T) = \operatorname{Hom}(T, Y) satisfies the sheaf condition for any Zariski/etale/fppf/fpqc cover. For the fpqc topology, this is the content of fpqc descent for morphisms: given an fpqc cover {UiU}\{U_i \to U\} and compatible morphisms UiYU_i \to Y, there is a unique morphism UYU \to Y restricting to each UiYU_i \to Y.

This is a nontrivial theorem. It means we can "test" morphisms to YY locally in any of these topologies.


Examples of Covering Families in Practice

ExampleCovers of Spec(Z)

Consider U=Spec(Z)U = \operatorname{Spec}(\mathbb{Z}).

Zariski cover: {Spec(Z[1/p])Spec(Z)}p prime\{\operatorname{Spec}(\mathbb{Z}[1/p]) \to \operatorname{Spec}(\mathbb{Z})\}_{p \text{ prime}} together with Spec(Q)Spec(Z)\operatorname{Spec}(\mathbb{Q}) \to \operatorname{Spec}(\mathbb{Z}) do not form a finite Zariski cover. But {Spec(Z[1/6]),Spec(Z[1/10]),Spec(Z[1/15])}\{\operatorname{Spec}(\mathbb{Z}[1/6]), \operatorname{Spec}(\mathbb{Z}[1/10]), \operatorname{Spec}(\mathbb{Z}[1/15])\} is a Zariski cover since gcd(6,10,15)=1\gcd(6, 10, 15) = 1.

Etale cover: {Spec(Z[i])Spec(Z)}\{\operatorname{Spec}(\mathbb{Z}[i]) \to \operatorname{Spec}(\mathbb{Z})\} is not an etale cover (the map is not etale at p=2p = 2 since 2=i(1+i)22 = -i(1+i)^2 is ramified). However, {Spec(Z[1,1/2])Spec(Z[1/2])}\{\operatorname{Spec}(\mathbb{Z}[\sqrt{-1}, 1/2]) \to \operatorname{Spec}(\mathbb{Z}[1/2])\} is an etale cover.

fpqc cover: {Spec(Zp)Spec(Z)}p prime\{\operatorname{Spec}(\mathbb{Z}_p) \to \operatorname{Spec}(\mathbb{Z})\}_{p \text{ prime}} is not even jointly surjective (missing the generic point). But Spec(pZp×Q)Spec(Z)\operatorname{Spec}(\prod_p \mathbb{Z}_p \times \mathbb{Q}) \to \operatorname{Spec}(\mathbb{Z}) is faithfully flat, hence an fpqc cover.

ExampleGalois extensions as etale covers

Let K/kK/k be a finite Galois extension with Galois group GG. Then Spec(K)Spec(k)\operatorname{Spec}(K) \to \operatorname{Spec}(k) is a finite etale cover, and the fiber product is

Spec(K)×Spec(k)Spec(K)Spec(KkK)gGSpec(K)\operatorname{Spec}(K) \times_{\operatorname{Spec}(k)} \operatorname{Spec}(K) \cong \operatorname{Spec}(K \otimes_k K) \cong \coprod_{g \in G} \operatorname{Spec}(K)

where the isomorphism KkKgGKK \otimes_k K \cong \prod_{g \in G} K sends ab(ag(b))ga \otimes b \mapsto (a \cdot g(b))_g. This is the scheme-theoretic version of the fact that a Galois cover is "trivial over itself."

This example is fundamental: etale cohomology of Spec(k)\operatorname{Spec}(k) with coefficients in a sheaf F\mathcal{F} computes Galois cohomology Hi(Gk,F)H^i(G_k, \mathcal{F}) where Gk=Gal(ksep/k)G_k = \operatorname{Gal}(k^{\text{sep}}/k).


Topologies on Small and Big Sites

Definition1.5Small and big sites

For a scheme XX, there are two natural sites to consider:

The small etale site XetX_{\text{et}} has as objects the etale XX-schemes UXU \to X (etale morphisms to XX), and coverings are surjective families of etale morphisms.

The big etale site (Sch/X)et(\mathbf{Sch}/X)_{\text{et}} has as objects all XX-schemes, and coverings are surjective families of etale morphisms.

Similarly for the small/big Zariski, fppf, fpqc sites. The small site is often sufficient for computing cohomology, while the big site is needed for functorial constructions.

ExampleSmall etale site of a point

For X=Spec(k)X = \operatorname{Spec}(k), the small etale site XetX_{\text{et}} has objects Spec(L)\operatorname{Spec}(L) where L/kL/k is a finite separable extension. A covering family of Spec(L)\operatorname{Spec}(L) is a finite family {Spec(Li)}\{\operatorname{Spec}(L_i)\} with Li\prod L_i faithfully flat over LL.

The category of sheaves on XetX_{\text{et}} is equivalent to the category of continuous discrete GkG_k-sets, where Gk=Gal(ksep/k)G_k = \operatorname{Gal}(k^{\text{sep}}/k) is the absolute Galois group. This fundamental equivalence connects etale cohomology to Galois cohomology.


Topological Axioms and Saturation

RemarkSaturation property

A Grothendieck topology is saturated if a sieve SS on UU is covering whenever it contains a covering sieve. Equivalently, saturation means that the topology is maximal among topologies with the same category of sheaves.

Every Grothendieck topology has a unique saturation. For practical purposes, we usually work with a convenient pretopology and pass to the generated topology when needed.

Key saturation results:

  • If {UiU}\{U_i \to U\} is a covering family and each UiUU_i \to U factors through VUV \to U, then {VU}\{V \to U\} is a covering family (in the saturated topology).
  • If {VU}\{V \to U\} and {WU}\{W \to U\} are both covering sieves, then {V×UWU}\{V \times_U W \to U\} is a covering sieve.

Continuous and Cocontinuous Functors

Definition1.6Continuous functor

Let (C,J)(\mathcal{C}, J) and (D,K)(\mathcal{D}, K) be sites. A functor u:CDu: \mathcal{C} \to \mathcal{D} is continuous (or a morphism of sites) if it preserves covering families: for every {UiU}J(U)\{U_i \to U\} \in J(U), the family {u(Ui)u(U)}\{u(U_i) \to u(U)\} is in K(u(U))K(u(U)) (possibly after applying a suitable pullback).

More precisely, uu is continuous if for every sheaf G\mathcal{G} on (D,K)(\mathcal{D}, K), the presheaf upG=Guu^p\mathcal{G} = \mathcal{G} \circ u is a sheaf on (C,J)(\mathcal{C}, J).

ExampleComparison maps between topologies

The identity functor id:Sch/SSch/S\operatorname{id}: \mathbf{Sch}/S \to \mathbf{Sch}/S is continuous from the etale site to the Zariski site (every Zariski cover is an etale cover, so etale sheaves restrict to Zariski sheaves). This gives a comparison morphism of sites ϵ:XetXZar\epsilon: X_{\text{et}} \to X_{\text{Zar}}.

For any etale sheaf F\mathcal{F}, we get a natural map

HZari(X,ϵF)Heti(X,F)H^i_{\text{Zar}}(X, \epsilon_*\mathcal{F}) \to H^i_{\text{et}}(X, \mathcal{F})

This is generally not an isomorphism. For example, HZar1(Spec(k),Gm)=0H^1_{\text{Zar}}(\operatorname{Spec}(k), \mathbb{G}_m) = 0 but Het1(Spec(k),Gm)=0H^1_{\text{et}}(\operatorname{Spec}(k), \mathbb{G}_m) = 0 as well (Hilbert's Theorem 90). However, Het2(Spec(k),Gm)=Br(k)H^2_{\text{et}}(\operatorname{Spec}(k), \mathbb{G}_m) = \operatorname{Br}(k) (the Brauer group), which is invisible to Zariski cohomology.


Summary

RemarkKey points

The main ideas of Grothendieck topologies are:

  1. Covering families generalize open covers. They are specified by a pretopology (covering families) or a topology (covering sieves).

  2. Different topologies detect different geometric information. The hierarchy Zariski \subseteq Nisnevich \subseteq etale \subseteq fppf \subseteq fpqc gives progressively finer topologies.

  3. Subcanonical topologies (all standard algebraic topologies) ensure representable functors are sheaves.

  4. The choice of topology affects cohomology: etale cohomology, fppf cohomology, and Zariski cohomology of the same sheaf can differ drastically.

  5. Grothendieck topologies provide the foundation for descent theory, which is the algebraic geometer's tool for gluing constructions along covers in these more refined topologies.