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Section 33

The ordinary point filtration

Fix p∈E∩E′p\in E\cap E'. The next two lemmas justify the use of an initial complete intersection. Merely assigning weights to the displayed equations would not suffice: the initial ideal could acquire further equations, and cancellations could change expected orders.

Lemma 33.1 (A uniform bilinear normal form and coprimality). Let P∈E∩E′P\in E\cap E' on a smooth member XX of Family 2.122.12. There are product coordinates with P=(e0,e0)P=(e_0,e_0) and a basis of its three bilinear equations such that F1=x1y0+x0y1+R1,F2=x2y0+q2+R2,F3=x0y2+q3+R3.\begin{aligned} F_1&=x_1y_0+x_0y_1+R_1,\\ F_2&=x_2y_0+q_2+R_2,\\ F_3&=x_0y_2+q_3+R_3. \end{aligned} Here R1R_1 is bilinear in the nonconstant coordinates, q2,q3q_2,q_3 are bilinear forms in (x1,x3)(x_1,x_3) and (y1,y3)(y_1,y_3), and every term of R2,R3R_2,R_3 contains x2x_2 or y2y_2 as well as a nonconstant coordinate from the other factor. Write qi=−Aix1y1−Bix3y1+Cix1y3+Dix3y3,Ni=(−AiCi−BiDi).q_i=-A_i x_1y_1-B_i x_3y_1+C_i x_1y_3+D_i x_3y_3, \qquad N_i=\begin{pmatrix}-A_i&C_i\\-B_i&D_i\end{pmatrix}. Then q2,q3q_2,q_3 are nonzero and coprime in ℂ[x1,x3,y1,y3]\mathbb C[x_1,x_3,y_1,y_3], and (C2,D2)≠(0,0),(B3,D3)≠(0,0).(C_2,D_2)\neq(0,0),\qquad (B_3,D_3)\neq(0,0). Moreover, N2,N3N_2,N_3 are linearly independent and det(z1N2+z2N3)\det(z_1N_2+z_2N_3) is not identically zero.

Proof. The two summands of the differential of the defining equations are maps from the two three-dimensional factor tangent spaces to the three-dimensional equation space. Each has rank two, since each projection has a smooth one-dimensional exceptional fibre at PP. Smoothness of XX says that their images span the equation space; the two rank-two images therefore intersect in a line. Choosing bases adapted to these two planes, and then factor coordinates, gives the linear parts x1+y1,x2,y2x_1+y_1,x_2,y_2. Homogenizing yields the displayed normal form.

Let M(z)=z0M1+z1M2+z2M3M(z)=z_0M_1+z_1M_2+z_2M_3 be the resulting matrix pencil. On the line z0=0z_0=0, its zeroth row and column are (0,0,z2,0)(0,0,z_2,0) and (0,0,z1,0)𝗍(0,0,z_1,0)^{\mathsf t}, respectively. Laplace expansion gives detM(0,z1,z2)=−z1z2det(z1N2+z2N3).\det M(0,z_1,z_2) =-z_1z_2\det(z_1N_2+z_2N_3). The determinant quartic CC is smooth and hence irreducible, so it does not contain the line z0=0z_0=0. Thus the binary determinant on the right is not identically zero. If z1N2+z2N3=0z_1N_2+z_2N_3=0 for some [z1:z2][z_1:z_2], the zeroth row and all rows other than row 22 of M(0,z1,z2)M(0,z_1,z_2) are supported only in column 22. The full matrix then has rank at most two. All entries of its adjugate vanish, so Jacobi’s formula makes every first derivative of detM\det M vanish there, contradicting smoothness of CC. Hence N2,N3N_2,N_3 are linearly independent and both nonzero.

A nonconstant common factor of two bilinear forms is either the entire form, making them proportional, or a linear form in one factor’s variables. Proportionality is already excluded. A common xx-linear factor writes qi=ℓ(x)mi(y)q_i=\ell(x)m_i(y), so every matrix z1N2+z2N3z_1N_2+z_2N_3 has rank at most one. A common yy-linear factor has the same consequence. Both contradict the nonzero binary determinant. This proves coprimality in the four variables.

For the last assertions, use regular parameters t=x1,a=x3,b=y3t=x_1,a=x_3,b=y_3 on the affine chart x0=y0=1x_0=y_0=1. The equations give y1=−t+O(2),x2=−Q2+O(3),y2=−Q3+O(3),Qi=Ait2+Bita+Citb+Diab.y_1=-t+O(2),\quad x_2=-Q_2+O(3),\quad y_2=-Q_3+O(3),\qquad Q_i=A_it^2+B_ita+C_itb+D_iab. The linear term of the Jacobian determinant of the first blowdown is, up to sign, C2t+D2aC_2t+D_2a; that of the second is, up to sign, B3t+D3bB_3t+D_3b. The ramification divisor of a blowup of a smooth curve in a smooth threefold is exactly its exceptional divisor, with multiplicity one. Since both exceptional divisors are smooth, their local equations have nonzero linear terms. This proves the two asserted nonvanishing conditions. ◻

Lemma 33.2 (Integrality of the ordinary initial complete intersection). In Lemma 33.1, give x0,y0x_0,y_0 weight zero, x1,x3,y1,y3x_1,x_3,y_1,y_3 weight one, and x2,y2x_2,y_2 weight two. The initial forms are G1=x1y0+x0y1,G2=x2y0+q2,G3=x0y2+q3.G_1=x_1y_0+x_0y_1,\qquad G_2=x_2y_0+q_2,\qquad G_3=x_0y_2+q_3. They form a regular sequence, and the ring ℂ[x0,x1,x2,x3,y0,y1,y2,y3]/(G1,G2,G3)\mathbb C[x_0,x_1,x_2,x_3,y_0,y_1,y_2,y_3]/(G_1,G_2,G_3) is an integral domain. These three forms generate the weight initial ideal of (F1,F2,F3)(F_1,F_2,F_3). On each bihomogeneous piece, the resulting weight filtration agrees, after division by the local trivialization x0my0nx_0^m y_0^n, with vanishing order at PP.

Proof. In ℙ3×ℙ3\mathbb P^3\times\mathbb P^3, the locus defined by the GiG_i on x0y0≠0x_0y_0\neq0 is the graph y1=−x1,x2=−q2(x1,x3;−x1,y3),y2=−q3(x1,x3;−x1,y3).y_1=-x_1,\qquad x_2=-q_2(x_1,x_3;-x_1,y_3),\qquad y_2=-q_3(x_1,x_3;-x_1,y_3). It is therefore an affine three-space with coordinates x1,x3,y3x_1,x_3,y_3. We show that its boundary has dimension at most two.

If x0=0x_0=0 and y0≠0y_0\neq0, then G1G_1 gives x1=0x_1=0. One must have x3≠0x_3\neq0, since otherwise G2G_2 also forces x2=0x_2=0, which is impossible in projective space. The equation G2G_2 determines x2x_2, while G3G_3 imposes the nonzero linear condition −B3y1+D3y3=0.-B_3y_1+D_3y_3=0. This locus has dimension two. The case y0=0,x0≠0y_0=0,x_0\neq0 is identical, using the nonzero condition C2x1+D2x3=0C_2x_1+D_2x_3=0.

On x0=y0=0x_0=y_0=0, if both pairs (x1,x3)(x_1,x_3) and (y1,y3)(y_1,y_3) are nonzero, the coprime forms q2,q3q_2,q_3 cut out a finite subscheme of ℙ1×ℙ1\mathbb P^1\times\mathbb P^1. The two additional coordinates x2,y2x_2,y_2 give fibres of dimension two, so this stratum has dimension at most two. If either pair vanishes, that projective factor is fixed at [0:0:1:0][0:0:1:0] and the other factor lies in a projective plane; again the dimension is at most two.

Thus the projective zero scheme has dimension three, and its only possible three-dimensional component is the closure of the displayed affine three-space. On the affine multicone, the locus where an entire xx- or yy-block vanishes has dimension four, below the expected dimension five; the other boundary strata also have dimension at most four. Hence the three affine equations have height three and form a regular sequence in the polynomial ring. Their quotient is Cohen–Macaulay, so has no embedded components. Its unique minimal component is generically smooth by the graph description. The quotient is therefore reduced and irreducible, hence a domain.

The weight initial ideal contains (G1,G2,G3)(G_1,G_2,G_3). Both the original equations and these initial equations are regular sequences of three forms of bidegree (1,1)(1,1). Their quotient rings consequently have the same bihomogeneous Hilbert series. A weight degeneration preserves this Hilbert series, so the inclusion of ideals must be equality.

Finally, localizing the initial domain at x0y0x_0y_0 is injective. The localization is ℂ[x0±1,y0±1,t,a,b].\mathbb C[x_0^{\pm1},y_0^{\pm1},t,a,b]. On a fixed bihomogeneous piece, division by x0my0nx_0^my_0^n identifies its image with a polynomial subspace in the degree-one parameters t,a,bt,a,b. The map to the ordinary tangent cone at PP sends these parameters to themselves, and is consequently injective on each bihomogeneous piece. Therefore no further cancellation can raise the vanishing order of a bihomogeneous section beyond its weight initial degree. The two filtrations agree. ◻

Lemma 33.3 (The genuine common factor after restricting to the tangent space). For the quadrics Qi=Ait2+Bita+Citb+DiabQ_i=A_it^2+B_ita+C_itb+D_iab above, a nonconstant common factor in ℂ[t,a,b]\mathbb C[t,a,b] occurs if and only if D2=D3=0D_2=D_3=0. In that case their greatest common divisor is exactly tt. If additionally (B2,C2)(B_2,C_2) and (B3,C3)(B_3,C_3) are proportional, then there is a linear form ℓ=b0a+c0b\ell=b_0a+c_0b with b0c0≠0b_0c_0\neq0 such that span{Q2,Q3}=span{t2,tℓ}.\operatorname{span}\{Q_2,Q_3\} =\operatorname{span}\{t^2,t\ell\}. In particular the coefficient of t2t^2 in the independent pencil combination is nonzero; it cannot disappear through further quadratic cancellation.

Proof. A common quadratic factor would make Q2,Q3Q_2,Q_3, and hence N2,N3N_2,N_3, proportional, which is excluded by Lemma 33.1. Suppose a common linear factor is αt+βa+γb\alpha t+\beta a+\gamma b. If βγ≠0\beta\gamma\neq0, absence of a2,b2a^2,b^2 in the QiQ_i forces both remaining factors to be multiples of tt, again giving proportional quadrics. If β≠0\beta\neq0 and γ=0\gamma=0, the quotients have the form uit+vibu_it+v_ib. Their matrices then satisfy Ni=(αβ)(−uivi),N_i=\begin{pmatrix}\alpha\\\beta\end{pmatrix} \begin{pmatrix}-u_i&v_i\end{pmatrix}, so every pencil member has rank at most one, a contradiction. The case γ≠0,β=0\gamma\neq0,\beta=0 is symmetric. Thus the only possible common factor is tt, and it occurs precisely when D2=D3=0D_2=D_3=0. The greatest common divisor cannot have larger degree, since the quadrics are not proportional.

In this case write the pencil coefficients as A(z),B(z),C(z)A(z),B(z),C(z). Its binary determinant is B(z)C(z)B(z)C(z) and is not identically zero. If the two residual forms are proportional, there are nonzero b,cb,c and a nonzero linear form k(z)k(z) such that B(z)=bk(z)B(z)=bk(z) and C(z)=ck(z)C(z)=ck(z). If AA were proportional to kk, the entire matrix N(z)N(z) would vanish at the root of kk, contradicting smoothness as in Lemma 33.1. Therefore A,kA,k are linearly independent, and the quadratic pencil has precisely the stated span. ◻

Remark 33.4. Coprimality in four bilinear variables and coprimality after the substitution y1=−x1y_1=-x_1 are different assertions. The first always holds and proves the integral initial model. The second fails precisely at the tangent-exceptional configurations above. Failure of the latter assertion does not invalidate the four-variable complete-intersection argument.

33.1 Hilbert functions and expected weights

Lemma 33.5 (Diagonal Hilbert weights). Let ℛ=ℂ[x0,x1,x2,x3,y0,y1,y2,y3](f1,f2,f3),degxi=(1,0),degyi=(0,1),\mathcal R=\frac{\mathbb C[x_0,x_1,x_2,x_3,y_0,y_1,y_2,y_3]} {(f_1,f_2,f_3)}, \qquad \deg x_i=(1,0),\quad\deg y_i=(0,1), where the fif_i form a regular sequence of bidegree (1,1)(1,1). Suppose that ℛ\mathcal R has a nonnegative integral weight grading, with coordinate weights αi,βi\alpha_i,\beta_i and equation weights ρ1,ρ2,ρ3\rho_1,\rho_2,\rho_3. Set V=∑i=03(αi+βi),R=ρ1+ρ2+ρ3.V=\sum_{i=0}^3(\alpha_i+\beta_i),\qquad R=\rho_1+\rho_2+\rho_3. Let Nm=dimℛm,mN_m=\dim\mathcal R_{m,m}, and let wmw_m be the sum of the weights of a homogeneous basis of ℛm,m\mathcal R_{m,m}. Then (33.1)Nm=(2m+1)(5m2+5m+3)3,\begin{aligned} N_m&=\frac{(2m+1)(5m^2+5m+3)}3,\label{f212:eq:diagonal-Hilbert}\end{aligned}

(33.2)wm=Vm(35m3+30m2+25m+6)24−Rm2(5m2+1)6.\begin{aligned} w_m&=V\frac{m(35m^3+30m^2+25m+6)}{24} -R\frac{m^2(5m^2+1)}6.\label{f212:eq:diagonal-weights} \end{aligned} In particular, limm→∞wmmNm=716V−14R.\lim_{m\to\infty}\frac{w_m}{mN_m} =\frac7{16}V-\frac14R. If this weighted ring is the actual associated graded anticanonical section ring for a valuation vv, the last expression equals SX(v)S_X(v).

Proof. The multigraded Hilbert series is H(u,v,z)=∏k=13(1−uvzρk)∏i=03(1−uzαi)(1−vzβi).H(u,v,z)= \frac{\prod_{k=1}^3(1-uvz^{\rho_k})} {\prod_{i=0}^3(1-uz^{\alpha_i})(1-vz^{\beta_i})}. At z=1z=1 this becomes H0(u,v)=(1−uv)3(1−u)4(1−v)4.H_0(u,v)=\frac{(1-uv)^3}{(1-u)^4(1-v)^4}. Hence Nm=∑k=03(−1)k(3k)(m−k+33)2=(2m+1)(5m2+5m+3)3.N_m=\sum_{k=0}^3(-1)^k\binom3k \binom{m-k+3}{3}^{\!2} =\frac{(2m+1)(5m^2+5m+3)}3. Here and below a binomial coefficient is zero when its nonnegative upper argument is smaller than its lower argument. Logarithmic differentiation in zz gives z∂H∂z|z=1=H0(u,v)(u∑iαi1−u+v∑iβi1−v−uvR1−uv).\left.z\frac{\partial H}{\partial z}\right|_{z=1} =H_0(u,v)\left( \frac{u\sum_i\alpha_i}{1-u} +\frac{v\sum_i\beta_i}{1-v} -\frac{uvR}{1-uv}\right). The two coordinate terms have the same diagonal coefficient, by symmetry in u,vu,v. Denoting that coefficient by FmF_m, and the diagonal coefficient of H0uv/(1−uv)H_0uv/(1-uv) by GmG_m, we obtain wm=VFm−RGm.w_m=VF_m-RG_m. Explicit coefficient extraction yields Fm=∑k=03(−1)k(3k)(m−k+34)(m−k+33)=m(35m3+30m2+25m+6)24,Gm=∑k=02(−1)k(2k)(m−k+23)2=m2(5m2+1)6.\begin{aligned} F_m &=\sum_{k=0}^3(-1)^k\binom3k \binom{m-k+3}{4}\binom{m-k+3}{3} =\frac{m(35m^3+30m^2+25m+6)}{24},\\ G_m &=\sum_{k=0}^2(-1)^k\binom2k \binom{m-k+2}{3}^{\!2} =\frac{m^2(5m^2+1)}6. \end{aligned} This proves (33.2). Since Nm=(10/3)m3+O(m2)N_m=(10/3)m^3+O(m^2), division by mNmmN_m gives the stated limit. The final assertion follows from the definition of expected vanishing, once the identification with the valuation associated graded ring has been established. ◻

Corollary 33.6 (The two point extractions). For the ordinary point extraction, use coordinate order (x0,x1,x2,x3)(x_0,x_1,x_2,x_3) and (y0,y1,y2,y3)(y_0,y_1,y_2,y_3). The coordinate weights are (0,1,2,1)(0,1,2,1) in each factor, and the equation weights are (1,2,2)(1,2,2). Thus V=8V=8, R=5R=5, and wm=m(15m3+20m2+15m+4)2,SX(G)=94.w_m=\frac{m(15m^3+20m^2+15m+4)}2, \qquad S_X(G)=\frac94. For the weight-(2,1,1)(2,1,1) extraction in the proportional tangent case, the coordinate weights are (0,2,3,1)(0,2,3,1) in each factor, and the equation weights are (2,3,3)(2,3,3). Thus V=12V=12, R=8R=8, and wm=m(65m3+90m2+67m+18)6,SX(G)=134.w_m=\frac{m(65m^3+90m^2+67m+18)}6, \qquad S_X(G)=\frac{13}{4}. The respective log discrepancies are 33 and 44, so in both cases AX(G)−SX(G)=34.A_X(G)-S_X(G)=\frac34.

Proof. Lemma 33.2 identifies the ordinary grading with its valuation filtration. Lemma 36.1 below does the same for the weighted grading. Substitute their weights in Lemma 33.5. The log discrepancy of a weighted blow-up of a smooth threefold point is the sum of its three primitive weights. ◻

Lemma 33.7 (The actual ordinary refined series). Let G≃ℙ2G\simeq\mathbb P^2 be the exceptional divisor of the ordinary blow-up of pp. With homogeneous coordinates [t:a:b][t:a:b] on GG, its refined series is the diagonal algebra generated in the two factor degrees by ⟨1,t,a,Q2⟩,⟨1,t,b,Q3⟩.\langle1,t,a,Q_2\rangle,\qquad\langle1,t,b,Q_3\rangle. More explicitly, Wm,jGW^G_{m,j} is spanned by (33.3)trasbhQ2iQ3k,r,s,h,i,k≥0,s+i≤m,h+k≤m,r+s+h+i+k≤2m,r+s+h+2i+2k=j.\label{f212:eq:ordinary-series} t^ra^sb^hQ_2^iQ_3^k,\qquad \begin{gathered} r,s,h,i,k\ge0,\quad s+i\le m,\quad h+k\le m,\\ r+s+h+i+k\le2m,\quad r+s+h+2i+2k=j. \end{gathered} Its total dimension is NmN_m in (32.1). It has bounded support and contains an ample series.

Proof. Lemma 33.2 identifies the valuation graded ring, including all cancellations. Dehomogenization gives the two displayed sets of generators. Distribute the rr copies of tt between the unused places in the two factors. Such a distribution exists precisely when the three inequalities in (33.3) hold. Every generator product has polynomial degree at most 4m4m. Conversely, for 0≤j≤m0\le j\le m all degree-jj monomials in t,a,bt,a,b satisfy those inequalities, so Wm,jG=H0(ℙ2,𝒪(j))W^G_{m,j}=H^0(\mathbb P^2,\mathcal O(j)). The ray j=m/2j=m/2 therefore contains a complete ample series. All integral degrees 0≤j≤4m0\le j\le4m occur, since the generator degrees in each factor are 0,1,1,20,1,1,2 and the ring is a domain. These observations give the required positivity and support hypotheses. ◻