ConceptComplete

Étale Equivalence Relations

The theory of étale equivalence relations provides the foundational machinery for constructing algebraic spaces. Every algebraic space arises as the quotient of a scheme by an étale equivalence relation, and conversely, every such quotient is an algebraic space. This perspective makes algebraic spaces concrete: they are "schemes modulo étale gluings."


1. Equivalence Relations in Categories

DefinitionEquivalence relation in a category

Let C\mathcal{C} be a category with fiber products. An equivalence relation on an object UU is a monomorphism j:RU×Uj: R \hookrightarrow U \times U such that for every object TT, the image of j(T):R(T)U(T)×U(T)j(T): R(T) \to U(T) \times U(T) is an equivalence relation on the set U(T)U(T).

Equivalently, RUR \rightrightarrows U (via the two projections s=pr1js = \mathrm{pr}_1 \circ j and t=pr2jt = \mathrm{pr}_2 \circ j) must satisfy:

  1. Reflexivity: There exists a section e:URe: U \to R of both ss and tt (the diagonal UU×UU \to U \times U factors through RR).
  2. Symmetry: There exists an involution σ:RR\sigma: R \to R swapping ss and tt.
  3. Transitivity: The map R×s,U,tRU×UR \times_{s, U, t} R \to U \times U given by (r1,r2)(t(r1),s(r2))(r_1, r_2) \mapsto (t(r_1), s(r_2)) factors through RR.

2. Étale Equivalence Relations

DefinitionÉtale equivalence relation

An equivalence relation RUR \rightrightarrows U on a scheme UU (in the category of schemes over SS) is an étale equivalence relation if both structure morphisms s,t:RUs, t: R \to U are étale.

The étaleness condition is crucial: it ensures that the quotient sheaf (in the étale topology) is an algebraic space. Weaker conditions (e.g., flat or smooth) lead to algebraic stacks rather than algebraic spaces.

DefinitionSmooth and flat equivalence relations

An equivalence relation RUR \rightrightarrows U is:

  • smooth if ss and tt are smooth,
  • flat if ss and tt are flat and locally of finite presentation.

Smooth equivalence relations give rise to algebraic stacks (Artin stacks), while étale equivalence relations specifically give algebraic spaces.


3. Quotient Sheaves

Given an étale equivalence relation RUR \rightrightarrows U, we form the quotient sheaf X=U/RX = U/R in the étale topology:

X(T)=coeq(R(T)U(T))X(T) = \mathrm{coeq}\bigl(R(T) \rightrightarrows U(T)\bigr)

for each scheme TT, where the coequalizer is taken in the category of sets, and we sheafify with respect to the étale topology.

TheoremÉtale quotients are algebraic spaces

Let RUR \rightrightarrows U be an étale equivalence relation on a scheme UU over SS. Then the quotient sheaf X=U/RX = U/R is an algebraic space over SS, and the natural map UXU \to X is an étale surjection serving as an atlas.

Proof

We verify the three conditions for an algebraic space:

Sheaf condition: By construction, XX is a sheaf for the étale topology.

Representability of the diagonal: For any scheme TT and morphisms a,b:TXa, b: T \to X, we need T×X×XXT \times_{X \times X} X to be a scheme. After étale base change to UU, the morphisms a,ba, b lift locally. The fiber product T×(a,b),X×X,ΔXT×U×URT \times_{(a,b), X \times X, \Delta} X \cong T \times_{U \times U} R is a scheme since RR is a scheme and the map is a base change.

Existence of atlas: The morphism UXU \to X is étale and surjective by construction. Étaleness follows because for any TXT \to X, the base change U×XTU \times_X T is an étale TT-scheme (since RUR \to U is étale). Surjectivity follows from the fact that étale-locally, every section of XX lifts to UU.


4. The Converse: Every Algebraic Space is a Quotient

TheoremAlgebraic spaces as quotients

Every algebraic space XX over SS is isomorphic to U/RU/R for some étale equivalence relation RUR \rightrightarrows U on a scheme UU.

Proof

Let UXU \to X be an étale atlas (which exists by definition). Set R=U×XUR = U \times_X U. Since the diagonal of XX is representable, RR is a scheme. The two projections s,t:RUs, t: R \rightrightarrows U are étale because they are base changes of the étale morphism UXU \to X. The relation RU×SUR \hookrightarrow U \times_S U is an equivalence relation (reflexivity from the diagonal URU \to R, symmetry from the swap map, transitivity from composition of correspondences). By construction, XU/RX \cong U/R.


5. Examples

ExampleTrivial equivalence relation

The trivial equivalence relation on UU is R=UR = U (the diagonal). The quotient is U/UUU/U \cong U itself. This shows every scheme arises from an étale equivalence relation.

ExampleFree action of a finite group

Let GG be a finite group acting freely on a scheme UU over a field kk. Define R=G×UR = G \times U with s(g,u)=us(g, u) = u and t(g,u)=gut(g, u) = g \cdot u. Since GG is étale over kk (being a finite discrete group scheme in characteristic not dividing G|G|), the projections s,t:RUs, t: R \to U are étale. Freeness ensures RU×UR \hookrightarrow U \times U is a monomorphism. The quotient U/R=U/GU/R = U/G is an algebraic space.

ExampleThe affine line modulo translation

Let U=Ak1U = \mathbb{A}^1_k and G=Z/nZG = \mathbb{Z}/n\mathbb{Z} acting by xx+1x \mapsto x + 1 (assuming char(k)n\mathrm{char}(k) \nmid n and kk contains a primitive nn-th root of unity is not needed here; we only need n0n \neq 0 in kk). Set R=G×UR = G \times U. The quotient Ak1/(Z/nZ)\mathbb{A}^1_k / (\mathbb{Z}/n\mathbb{Z}) is an algebraic space. When nn is invertible in kk, this is isomorphic to Ak1\mathbb{A}^1_k via the map xi=0n1(xi)x \mapsto \prod_{i=0}^{n-1}(x - i).

ExampleEquivalence relation from an étale cover

Let f:UXf: U \to X be an étale surjection of schemes. Then R=U×XUUR = U \times_X U \rightrightarrows U is an étale equivalence relation, and U/RXU/R \cong X. This provides a tautological presentation of any scheme as a quotient.

ExampleQuotient of a surface by an involution

Let X=Pk1×Pk1X = \mathbb{P}^1_k \times \mathbb{P}^1_k and σ\sigma the involution swapping the two factors. On the open set U=XΔU = X \setminus \Delta (complement of the diagonal), σ\sigma acts freely. The quotient U/σU/\langle \sigma \rangle is an algebraic space (and in this case a scheme, since UU is quasi-projective).

ExampleNon-separated étale equivalence relation

Take U=Ak1Ak1U = \mathbb{A}^1_k \sqcup \mathbb{A}^1_k and let RU×UR \subset U \times U be the equivalence relation that identifies the two copies everywhere except at the origin. The maps s,t:RUs, t: R \to U are étale (they are open immersions on the gluing part). The quotient is the line with doubled origin, a non-separated algebraic space (which happens to be a scheme).

ExampleÉtale equivalence relation from Galois action

Let L/KL/K be a finite Galois extension with group G=Gal(L/K)G = \mathrm{Gal}(L/K). Let U=Spec(L)U = \mathrm{Spec}(L). Then R=Spec(LKL)gGSpec(L)R = \mathrm{Spec}(L \otimes_K L) \cong \coprod_{g \in G} \mathrm{Spec}(L) defines an étale equivalence relation, and U/RSpec(K)U/R \cong \mathrm{Spec}(K). This is Galois descent in its simplest form.

ExampleGluing along an étale map

Let U1,U2U_1, U_2 be schemes with an open subscheme ViUiV_i \subset U_i and an étale isomorphism φ:V1V2\varphi: V_1 \xrightarrow{\sim} V_2. Set U=U1U2U = U_1 \sqcup U_2 and R=UV1R = U \sqcup V_1 (with appropriate maps using φ\varphi). The quotient U/RU/R is the algebraic space obtained by gluing U1U_1 and U2U_2 along φ\varphi. If φ\varphi is not an open immersion on both sides, the result may fail to be a scheme.

ExampleQuotient of an abelian variety by a finite subgroup

Let AA be an abelian variety over kk and HAH \subset A a finite étale subgroup scheme. Then HH acts freely on AA by translation: R=H×AAR = H \times A \rightrightarrows A. The quotient A/HA/H is an abelian variety (hence a scheme), and the map AA/HA \to A/H is an isogeny. This is a case where the algebraic space quotient turns out to be a scheme.

ExampleQuotient by the symmetric group

Let X=(P1)nX = (\mathbb{P}^1)^n and G=SnG = S_n (the symmetric group) acting by permuting factors. The quotient X/SnX/S_n is the nn-th symmetric product Symn(P1)Pn\mathrm{Sym}^n(\mathbb{P}^1) \cong \mathbb{P}^n (a scheme). The étale equivalence relation R=Sn×XR = S_n \times X on the open locus of distinct points gives an étale presentation of the quotient.

ExampleNon-effective equivalence relation in Zariski topology

Consider U=Spec(k[x,y])U = \mathrm{Spec}(k[x,y]) and the equivalence relation given by the free Z/2Z\mathbb{Z}/2\mathbb{Z}-action (x,y)(x,y)(x,y) \mapsto (-x, -y) restricted to U{0}U \setminus \{0\}. The Zariski quotient does not exist as a scheme with good properties, but in the étale topology, U{0}/(Z/2Z)U \setminus \{0\} / (\mathbb{Z}/2\mathbb{Z}) is a well-defined algebraic space.

ExampleÉtale equivalence relation on a curve

Let CC be a smooth projective curve of genus g2g \geq 2 over kk, and σ:CC\sigma: C \to C a fixed-point-free involution (which exists when CC admits a degree-2 map to a curve CC' unramified everywhere). Then R=CCR = C \sqcup C with the identity and σ\sigma gives an étale equivalence relation, and C/RCC/R \cong C' is a curve of genus (g+1)/2(g+1)/2 when gg is odd.

ExampleDiagonal equivalence (trivial case)

For any scheme UU, the diagonal ΔU:UU×U\Delta_U: U \hookrightarrow U \times U is an étale equivalence relation (in fact a closed immersion if UU is separated). The quotient is UU itself. This trivial example illustrates that the notion of étale equivalence relation subsumes the notion of identity.


6. Properties of Étale Equivalence Relations

TheoremEffectivity of étale equivalence relations

Every étale equivalence relation RUR \rightrightarrows U in the category of schemes is effective in the étale topology: the natural map RU×U/RUR \to U \times_{U/R} U is an isomorphism.

This is a key difference from the Zariski topology, where equivalence relations need not be effective. The étale topology has better descent properties, which is precisely why algebraic spaces are defined using it.

Remark

For smooth (but non-étale) equivalence relations, the quotient sheaf in the étale topology may not be an algebraic space but rather an algebraic stack. Effectivity still holds, but the quotient has a richer structure (with automorphisms).


7. Refinements and Morita Equivalence

Two étale equivalence relations (R1U1)(R_1 \rightrightarrows U_1) and (R2U2)(R_2 \rightrightarrows U_2) define the same algebraic space (up to isomorphism) if and only if they are Morita equivalent: there exists a scheme WW with étale surjections to both U1U_1 and U2U_2 that are compatible with the equivalence relations.

DefinitionMorita equivalence

Two étale equivalence relations (R1U1)(R_1 \rightrightarrows U_1) and (R2U2)(R_2 \rightrightarrows U_2) are Morita equivalent if U1/R1U2/R2U_1/R_1 \cong U_2/R_2 as sheaves on the big étale site.

This means an algebraic space is not "an" equivalence relation, but rather an equivalence class of equivalence relations. Different atlases give different presentations of the same algebraic space, much as different atlases present the same manifold.


8. Effectivity and Descent

DefinitionEffective equivalence relation

An equivalence relation RUR \rightrightarrows U is effective (in a given topology) if the natural map UU/RU \to U/R is a coequalizer and RU×U/RUR \cong U \times_{U/R} U.

TheoremFlat equivalence relations are effective in fppf topology

Let RUR \rightrightarrows U be a flat, locally finitely presented equivalence relation on a scheme UU. Then RR is effective in the fppf topology: the quotient fppf sheaf X=U/RX = U/R satisfies RU×XUR \cong U \times_X U.

For étale equivalence relations, effectivity already holds in the étale topology:

RU×U/ReˊtUR \xrightarrow{\sim} U \times_{U/R}^{\text{ét}} U

This means that once we form the quotient sheaf, we recover the original equivalence relation by forming the fiber product.


9. Constructing Étale Equivalence Relations in Practice

In practice, étale equivalence relations arise from:

  1. Group actions: A group scheme GG acting on UU gives R=G×UR = G \times U (when the action is free and GSG \to S is étale).
  2. Étale covers with descent data: An étale cover {UiX}\{U_i \to X\} gives R=Ui×XUjR = \coprod U_i \times_X U_j.
  3. Gluing data: Schemes UiU_i with étale isomorphisms φij:UijUji\varphi_{ij}: U_{ij} \xrightarrow{\sim} U_{ji} satisfying the cocycle condition.

The last construction is the most general and shows that algebraic spaces are obtained by "étale gluing" of schemes.


References

  • D. Knutson, Algebraic Spaces, LNM 203, Springer, 1971, Chapter II.
  • M. Artin, "Algebraic Spaces," Yale Mathematical Monographs, 1971.
  • The Stacks Project, Tag 025Y: Algebraic Spaces.