TheoremComplete

Artin Representability Theorem

Artin's representability theorem provides verifiable criteria for a stack (or functor) to be algebraic. It is the fundamental existence theorem in the theory of algebraic stacks: rather than constructing an atlas explicitly, one checks a list of deformation-theoretic and set-theoretic conditions that together guarantee the existence of a smooth atlas. This theorem underlies the construction of virtually all moduli stacks in algebraic geometry.


Statement

Theorem4.1Artin Representability

Let SS be an excellent scheme and let X\mathcal{X} be a category fibered in groupoids over (Sch/S)fppf(\mathrm{Sch}/S)_{\mathrm{fppf}}. Suppose that:

  1. (Stack axiom) X\mathcal{X} is a stack for the fppf topology.

  2. (Limit preservation) X\mathcal{X} is limit-preserving (locally of finite presentation): for any filtered direct system {Ai}\{A_i\} of SS-algebras, X(Spec⁑lim→⁑Ai)β†’βˆΌlim←⁑X(Spec⁑Ai)\mathcal{X}(\operatorname{Spec} \varinjlim A_i) \xrightarrow{\sim} \varprojlim \mathcal{X}(\operatorname{Spec} A_i) is an equivalence of categories.

  3. (Homogeneity / Schlessinger-type conditions) X\mathcal{X} satisfies Schlessinger's conditions (S1) and (S2) (or equivalently, Rim's condition): for every pair of morphisms Aβ€²β†’AA' \to A and Aβ€²β€²β†’AA'' \to A of Artinian local SS-algebras where Aβ€²β€²β†’AA'' \to A is surjective, the natural functor X(Aβ€²Γ—AAβ€²β€²)β†’X(Aβ€²)Γ—X(A)X(Aβ€²β€²)\mathcal{X}(A' \times_A A'') \to \mathcal{X}(A') \times_{\mathcal{X}(A)} \mathcal{X}(A'') is an equivalence of categories.

  4. (Effectivity) Formal deformations are effective: for every complete Noetherian local SS-algebra A^\hat{A} with A^=lim←⁑A/mn\hat{A} = \varprojlim A/\mathfrak{m}^n, the functor X(A^)β†’lim←⁑X(A/mn)\mathcal{X}(\hat{A}) \to \varprojlim \mathcal{X}(A/\mathfrak{m}^n) is an equivalence.

  5. (Openness of versality) If a morphism Spec⁑Aβ†’X\operatorname{Spec} A \to \mathcal{X} is formally smooth at a point s∈Spec⁑As \in \operatorname{Spec} A, then it is formally smooth in a Zariski neighborhood of ss.

  6. (Deformation and obstruction theory) X\mathcal{X} admits a deformation theory: there exist coherent sheaves (on the relevant base) that control the infinitesimal deformations and obstructions, satisfying the Artin axioms [4.1] through [4.5] of Artin's original paper.

Then X\mathcal{X} is an algebraic stack, locally of finite presentation over SS.

RemarkThe conditions in practice

The conditions fall into three groups:

  • Algebraic conditions (1, 2): X\mathcal{X} is an fppf stack of finite presentation.
  • Formal conditions (3, 4): The formal local structure is algebraizable.
  • Openness condition (5): Versality is open, connecting the formal and algebraic pictures.

In modern formulations (e.g., following Lurie's derived algebraic geometry), conditions (3)--(6) are replaced by the existence of a cotangent complex LX/SL_{\mathcal{X}/S} satisfying finiteness conditions.


Artin's criteria for algebraic spaces

Theorem4.2Artin Representability for Algebraic Spaces

If in the above theorem X\mathcal{X} is a sheaf of sets (rather than a stack), then under the same conditions, X\mathcal{X} is representable by an algebraic space locally of finite presentation over SS.

More precisely, a functor F:(Sch/S)op→SetF : (\mathrm{Sch}/S)^{\mathrm{op}} \to \mathrm{Set} is an algebraic space if and only if:

  1. FF is an fppf sheaf.
  2. FF is locally of finite presentation.
  3. FF satisfies Schlessinger's conditions.
  4. Formal objects are effective.
  5. The formal smoothness locus is open.

The deformation theory input

Definition4.20Deformation theory for a stack

A deformation theory for a stack X\mathcal{X} over SS associates to each pair (ΞΎ0,M)(\xi_0, M) -- where ΞΎ0\xi_0 is an object of X\mathcal{X} over a field kk and MM is a finite kk-module -- the following data:

  • A deformation space Def⁑(ΞΎ0,M)\operatorname{Def}(\xi_0, M): the set of isomorphism classes of lifts of ΞΎ0\xi_0 to k[M]k[M] (the trivial square-zero extension).
  • An obstruction space Obs⁑(ΞΎ0,M)\operatorname{Obs}(\xi_0, M): obstructions to lifting ΞΎ0\xi_0 along surjections with square-zero kernel MM.
  • An automorphism space Aut⁑(ΞΎ0,M)\operatorname{Aut}(\xi_0, M): infinitesimal automorphisms of ΞΎ0\xi_0 over k[M]k[M].

These must satisfy:

  • They are functorial in MM and compatible with the cotangent complex.
  • There exist coherent sheaves T0,T1,T2T^0, T^1, T^2 on Spec⁑k\operatorname{Spec} k with Aut⁑(ΞΎ0,M)β‰…T0βŠ—M\operatorname{Aut}(\xi_0, M) \cong T^0 \otimes M, Def⁑(ΞΎ0,M)β‰…T1βŠ—M\operatorname{Def}(\xi_0, M) \cong T^1 \otimes M, Obs⁑(ΞΎ0,M)βŠ‚T2βŠ—M\operatorname{Obs}(\xi_0, M) \subset T^2 \otimes M.

Examples and applications

ExampleHilbert scheme

The Hilbert functor Hilb⁑X/SP\operatorname{Hilb}_{X/S}^P (parametrizing closed subschemes of X/SX/S with Hilbert polynomial PP) satisfies Artin's criteria:

  • Limit preservation: A closed subscheme of XΓ—Spec⁑(lim→⁑Ai)X \times \operatorname{Spec}(\varinjlim A_i) is determined by a closed subscheme of XΓ—Spec⁑AiX \times \operatorname{Spec} A_i for some ii (finite presentation of ideals).
  • Deformations: T1=Hom⁑OZ(I/I2,OZ)T^1 = \operatorname{Hom}_{\mathcal{O}_Z}(\mathcal{I}/\mathcal{I}^2, \mathcal{O}_Z) (normal sheaf).
  • Obstructions: T2βŠ†Ext⁑OZ1(I/I2,OZ)T^2 \subseteq \operatorname{Ext}^1_{\mathcal{O}_Z}(\mathcal{I}/\mathcal{I}^2, \mathcal{O}_Z).
  • Effectivity: Grothendieck's formal GAGA.

This proves that Hilb⁑X/SP\operatorname{Hilb}_{X/S}^P is an algebraic space -- in fact, a projective scheme (by Grothendieck's original argument using Castelnuovo--Mumford regularity).

ExamplePicard scheme

The Picard functor Pic⁑X/S\operatorname{Pic}_{X/S} (parametrizing line bundles on X/SX/S) satisfies Artin's criteria:

  • Deformations: T1=H1(Xs,OXs)T^1 = H^1(X_s, \mathcal{O}_{X_s}) (first cohomology of the structure sheaf).
  • Obstructions: T2=H2(Xs,OXs)T^2 = H^2(X_s, \mathcal{O}_{X_s}).
  • Effectivity: Formal GAGA again.

When H2(Xs,OXs)=0H^2(X_s, \mathcal{O}_{X_s}) = 0 (e.g., for curves, or for abelian varieties), the Picard functor is smooth. The result is that Pic⁑X/S\operatorname{Pic}_{X/S} is an algebraic space (and a group scheme when X/SX/S is proper with geometrically connected fibers).

ExampleModuli of curves

The moduli stack Mg\mathcal{M}_g satisfies Artin's criteria:

  • Deformations of a curve CC: T1=H1(C,TC)T^1 = H^1(C, \mathcal{T}_C), where TC\mathcal{T}_C is the tangent sheaf. For gβ‰₯2g \geq 2, dim⁑T1=3gβˆ’3\dim T^1 = 3g - 3 (by Riemann--Roch: Ο‡(TC)=3βˆ’3g\chi(\mathcal{T}_C) = 3 - 3g and H0(C,TC)=0H^0(C, \mathcal{T}_C) = 0).
  • Obstructions: T2=H2(C,TC)=0T^2 = H^2(C, \mathcal{T}_C) = 0 (since CC is a curve). So Mg\mathcal{M}_g is smooth.
  • Automorphisms: T0=H0(C,TC)=0T^0 = H^0(C, \mathcal{T}_C) = 0 for gβ‰₯2g \geq 2 (finite automorphism group β‡’\Rightarrow no infinitesimal automorphisms).
  • Effectivity: Follows from formal GAGA for proper schemes.

This proves Mg\mathcal{M}_g is an algebraic stack, smooth of dimension 3gβˆ’33g - 3.

ExampleModuli of vector bundles

Let CC be a smooth projective curve of genus gg. For the stack Bun⁑n(C)\operatorname{Bun}_n(C) of rank-nn vector bundles:

  • Deformations of EE: T1=H1(C,End⁑(E))=Ext⁑1(E,E)T^1 = H^1(C, \operatorname{End}(E)) = \operatorname{Ext}^1(E, E), with dim⁑T1=n2(gβˆ’1)+dim⁑H0(C,End⁑(E))\dim T^1 = n^2(g - 1) + \dim H^0(C, \operatorname{End}(E)).
  • Obstructions: T2=H2(C,End⁑(E))=0T^2 = H^2(C, \operatorname{End}(E)) = 0 (curve!). So Bun⁑n(C)\operatorname{Bun}_n(C) is smooth.
  • Automorphisms: T0=H0(C,End⁑(E))=End⁑(E)T^0 = H^0(C, \operatorname{End}(E)) = \operatorname{End}(E). For a stable bundle, End⁑(E)=k\operatorname{End}(E) = k (Schur's lemma), so dim⁑T0=1\dim T^0 = 1 and Aut⁑(E)=Gm\operatorname{Aut}(E) = \mathbb{G}_m.

The dimension is dim⁑Bun⁑n(C)=dim⁑T1βˆ’dim⁑T0=n2(gβˆ’1)\dim \operatorname{Bun}_n(C) = \dim T^1 - \dim T^0 = n^2(g-1) (as a stack).

ExampleModuli of sheaves on a surface

For a smooth projective surface XX and the moduli stack of coherent sheaves with fixed numerical invariants:

  • Deformations of F\mathcal{F}: T1=Ext⁑1(F,F)T^1 = \operatorname{Ext}^1(\mathcal{F}, \mathcal{F}).
  • Obstructions: T2=Ext⁑2(F,F)T^2 = \operatorname{Ext}^2(\mathcal{F}, \mathcal{F}). This is nonzero in general, so the moduli space may be singular.
  • By Serre duality, if Ο‰Xβ‰…OX\omega_X \cong \mathcal{O}_X (K3 or abelian surface), then Ext⁑2(F,F)β‰…Hom⁑(F,F)∨\operatorname{Ext}^2(\mathcal{F}, \mathcal{F}) \cong \operatorname{Hom}(\mathcal{F}, \mathcal{F})^{\vee}, and the trace-free obstructions lie in a space of dimension dim⁑Ext⁑02=dim⁑Ext⁑00\dim \operatorname{Ext}^2_0 = \dim \operatorname{Ext}^0_0. The expected dimension is dim⁑Ext⁑1βˆ’dim⁑Ext⁑0βˆ’dim⁑Ext⁑2+dim⁑Ext⁑0=2nβˆ’(r2βˆ’1)Ο‡(OX)\dim \operatorname{Ext}^1 - \dim \operatorname{Ext}^0 - \dim \operatorname{Ext}^2 + \dim \operatorname{Ext}^0 = 2n - (r^2 - 1)\chi(\mathcal{O}_X) by Riemann--Roch.
ExampleMapping stack (Hom stack)

For proper X/SX/S and separated Y/SY/S of finite presentation, the mapping stack Map⁑S(X,Y)\operatorname{Map}_S(X, Y) (whose TT-points are morphisms XTβ†’YTX_T \to Y_T) is an algebraic stack:

  • Deformations of f:Xβ†’Yf : X \to Y: T1=H0(X,fβˆ—TY)T^1 = H^0(X, f^*\mathcal{T}_Y) (sections of the pullback of the tangent bundle).
  • Obstructions: T2βŠ†H1(X,fβˆ—TY)T^2 \subseteq H^1(X, f^*\mathcal{T}_Y).
  • The expected dimension is Ο‡(X,fβˆ—TY)=deg⁑(fβˆ—TY)+dim⁑Yβ‹…(1βˆ’g)\chi(X, f^*\mathcal{T}_Y) = \deg(f^*\mathcal{T}_Y) + \dim Y \cdot (1-g) for XX a curve of genus gg.

Artin's theorem proves algebraicity. Properness (for the Kontsevich compactification with stable maps) requires additional arguments.

ExampleModuli of abelian varieties

The moduli stack Ag\mathcal{A}_g of principally polarized abelian varieties satisfies Artin's criteria:

  • Deformations of (A,Ξ»)(A, \lambda): T1=Sym⁑2H1(A,OA)β‰…Sym⁑2(Lie⁑(A∨))T^1 = \operatorname{Sym}^2 H^1(A, \mathcal{O}_A) \cong \operatorname{Sym}^2(\operatorname{Lie}(A^{\vee})), with dim⁑T1=g(g+1)/2\dim T^1 = g(g+1)/2.
  • Obstructions: Unobstructed (the deformation space is smooth), T2=0T^2 = 0.
  • Automorphisms: T0=Lie⁑(Aut⁑(A,Ξ»))T^0 = \operatorname{Lie}(\operatorname{Aut}(A, \lambda)). For a general ppav, Aut⁑(A,Ξ»)={Β±1}\operatorname{Aut}(A, \lambda) = \{\pm 1\}, so T0=0T^0 = 0.

Hence Ag\mathcal{A}_g is a smooth algebraic stack of dimension g(g+1)/2g(g+1)/2.

ExampleModuli of K3 surfaces

For polarized K3 surfaces (X,H)(X, H) of degree H2=2dH^2 = 2d:

  • Deformations: T1=H1(X,TX)β‰…H1(X,Ξ©X1)T^1 = H^1(X, \mathcal{T}_X) \cong H^1(X, \Omega^1_X) (by TXβ‰…Ξ©X1\mathcal{T}_X \cong \Omega^1_X since Ο‰Xβ‰…OX\omega_X \cong \mathcal{O}_X). By Hodge theory, dim⁑T1=20\dim T^1 = 20.
  • Obstructions: T2=H2(X,TX)β‰…H0(X,Ξ©X1)=0T^2 = H^2(X, \mathcal{T}_X) \cong H^0(X, \Omega^1_X) = 0 (since h1,0=0h^{1,0} = 0 for K3). So the moduli is unobstructed and smooth of dimension 20.
  • The polarization condition cuts out a divisor, giving dim⁑F2d=19\dim \mathcal{F}_{2d} = 19.

Artin's theorem proves that the moduli of polarized K3 surfaces is an algebraic stack (in fact a DM stack, since Aut⁑(X,H)\operatorname{Aut}(X, H) is finite).

ExampleDerived Artin representability (Lurie)

In derived algebraic geometry, Lurie proved a derived version of Artin representability: a functor X:CAlgkcnβ†’S\mathcal{X} : \mathrm{CAlg}_k^{\mathrm{cn}} \to \mathcal{S} (from connective E∞E_\infty-algebras to spaces) is a derived algebraic stack if and only if:

  1. X\mathcal{X} is a sheaf for the etale topology.
  2. X\mathcal{X} is nilcomplete, integrable, and infinitesimally cohesive.
  3. X\mathcal{X} has a cotangent complex LXL_{\mathcal{X}} that is connective and almost of finite presentation.

This dramatically simplifies Artin's criteria: the cotangent complex subsumes conditions (3)--(6) of the classical theorem. Many modern constructions of moduli spaces (e.g., derived moduli of perfect complexes, derived mapping stacks) use Lurie's version.

ExampleA functor that fails Artin's criteria

Consider the functor F(T)={fβˆˆΞ“(T,OT):f2=0Β everywhere}F(T) = \{f \in \Gamma(T, \mathcal{O}_T) : f^2 = 0 \text{ everywhere}\}. This is the functor of points of Spec⁑k[x]/(x2)\operatorname{Spec} k[x]/(x^2), which is representable by a scheme. But if we modify to F(T)={fβˆˆΞ“(T,OT):fΒ isΒ nilpotent}F(T) = \{f \in \Gamma(T, \mathcal{O}_T) : f \text{ is nilpotent}\} (nilpotent of unspecified order), this fails the finite presentation condition (limit preservation) and is not an algebraic space.

The "formal completion functor" F^(T)=lim←⁑F(T/mn)\hat{F}(T) = \varprojlim F(T/\mathfrak{m}^n) (formal deformations without algebraization) satisfies Schlessinger's conditions but fails effectivity, and hence is not algebraic.

ExampleQuot scheme

The Quot functor Quot⁑E/X/SP\operatorname{Quot}_{E/X/S}^P (parametrizing quotients of a coherent sheaf EE on X/SX/S with Hilbert polynomial PP) satisfies Artin's criteria:

  • Deformations of Eβ† FE \twoheadrightarrow F: T1=Hom⁑(K,F)T^1 = \operatorname{Hom}(K, F) where K=ker⁑(Eβ†’F)K = \ker(E \to F).
  • Obstructions: T2βŠ†Ext⁑1(K,F)T^2 \subseteq \operatorname{Ext}^1(K, F).
  • Effectivity: Formal GAGA.

Grothendieck proved Quot⁑E/X/SP\operatorname{Quot}_{E/X/S}^P is a projective scheme (stronger than just algebraic).

ExampleBun_G for a reductive group

For a reductive group GG over a field kk and a smooth projective curve CC, the moduli stack Bun⁑G(C)\operatorname{Bun}_G(C) of principal GG-bundles on CC satisfies Artin's criteria:

  • Deformations of PP: T1=H1(C,Ad⁑(P))T^1 = H^1(C, \operatorname{Ad}(P)), where Ad⁑(P)=PΓ—Gg\operatorname{Ad}(P) = P \times^G \mathfrak{g} is the adjoint bundle.
  • Obstructions: T2=H2(C,Ad⁑(P))=0T^2 = H^2(C, \operatorname{Ad}(P)) = 0.
  • Dimension: dim⁑Bun⁑G(C)=dim⁑Gβ‹…(gβˆ’1)\dim \operatorname{Bun}_G(C) = \dim G \cdot (g - 1).

This is a smooth algebraic stack, locally of finite type, central to the geometric Langlands program.


Historical context

RemarkHistory

Artin's representability theorem was developed in a series of papers:

  • Artin (1969): "Algebraization of formal moduli I" -- criteria for formal moduli to be algebraizable.
  • Artin (1970): "Algebraization of formal moduli II" -- the full representability theorem for functors.
  • Artin (1974): "Versal deformations and algebraic stacks" -- extension to stacks.

These built on Schlessinger's (1968) criteria for pro-representability of formal deformation functors. Artin's key insight was that Schlessinger's formal criteria, combined with effectivity and openness of versality, suffice to produce a global algebraic structure.

The modern perspective, particularly through derived algebraic geometry (Lurie, Toen--Vezzosi), reformulates the criteria in terms of the cotangent complex, providing a more conceptual and computationally effective approach.


Summary

Artin's representability theorem reduces the problem of constructing algebraic stacks to verifying a finite list of deformation-theoretic conditions. The key inputs are: the stack axiom, finite presentation, Schlessinger-type conditions on infinitesimal deformations, effectivity of formal deformations, and openness of versality. In practice, these reduce to computing the tangent and obstruction spaces T1T^1 and T2T^2 of the moduli problem.